December 19, 2019 State Ethics Commission Meeting Minutes - Public Session

Public session minutes of the December 19, 2019 State Ethics Commission meeting

PUBLIC SESSION

MEETING CONVENED

Chair Maria J. Krokidas called the meeting to order at 9:10 a.m. Also in attendance were Commissioner Thomas J. Sartory, Commissioner R. Marc Kantrowitz, Commissioner Josefina Martinez, and Commissioner Wilbur P. Edwards, Jr.

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 November 21, 2019 Commission meeting.

Vote:

Chair Krokidas	Yes
Commissioner Sartory	Yes
Commissioner Kantrowitz	Yes
Commissioner Martinez	Yes
Commissioner Edwards, Jr.	Yes

ELECTION OF VICE CHAIR

On the motion of Commissioner Kantrowitz, seconded by Commissioner Martinez, the Commission voted 5-0 to elect Commissioner Sartory as Vice Chair.

Vote:

Chair Krokidas	Yes
Commissioner Sartory	Yes
Commissioner Kantrowitz	Yes
Commissioner Martinez	Yes
Commissioner Edwards, Jr.	Yes

EXECUTIVE SESSION

At 9:12 a.m., on the motion of Chair Krokidas, seconded by Vice Chair 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, preliminary inquiries, summons authorization requests, and adjudicatory matters.

Vote:

Chair Krokidas	Yes
Vice Chair Sartory	Yes
Commissioner Kantrowitz	Yes
Commissioner Martinez	Yes
Commissioner Edwards, Jr.	Yes

Chair Krokidas stated that the Commission would reconvene in public session following the executive session.

PUBLIC SESSION

At 12:39 p.m., the meeting reconvened in public session. Present were Chair Krokidas, Vice Chair Sartory, Commissioner Martinez, and Commissioner Edwards, Jr. Commissioner Kantrowitz left the meeting at 10:55 a.m.

EXECUTIVE DIRECTOR’S REPORT

Executive Director David A. Wilson presented his monthly report. 

New Commissioner

Executive Director David A. Wilson welcomed Commissioner Edwards, Jr.

Budget

Mr. Wilson reported that the Commission’s maintenance budget request for Fiscal Year 2021 was filed with the Executive Office for Administration and Finance on October 18. He said that the Commission requested an increase of slightly less than 4%, or approximately $92,000, over the Commission’s Fiscal Year 2020 funding to maintain the Commission’s current level of service in the next fiscal year.

Mr. Wilson said that the Commission filed a budget expansion request on November 22 to seek $100,000 in funding to add an attorney to the staff to perform work for both the Enforcement Division and the Legal Division. If approved, the budget expansion and maintenance budget requests would bring the Commission’s Fiscal Year 2021 total budget to $2,583,694, or an increase of about 8% over the Commission total Fiscal Year 2020 funding.

Audit

Mr. Wilson reported that the State Auditor’s Office has recently started an audit of the Commission. He stated that the State Auditor’s Office is required by law to perform an audit of state agencies every three years. Mr. Wilson said his understanding is that the audit will primarily focus on the Commission’s implementation of the education requirements contained in Sections 27 and 28 of the conflict of interest law, which were added to the law in the ethics reform of 2009. Mr. Wilson said he was informed that the audit is expected to last three to five months.

Subcommittee Meeting

Mr. Wilson reported that the Audit, Finance and Human Resources Committee met on November 21, 2019 and discussed the Commission’s budget, staff compensation, and a draft revised internal control plan.

Ongoing Projects

Mr. Wilson discussed the ongoing projects to develop a new case management system and a new conflict of interest law online training program. He said that the 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 reported that the Commission’s application for Fiscal Year 2021 capital funding was submitted to the Executive Office of Technology and Security Services (EOTSS) on December 6. He said an RFQ has been developed by EOTSS for the case management project in consultation with the Commission and other state agencies but will not be issued until early 2020.

Mr. Wilson said the Commission also requested funding in Fiscal Year 2020 for a consultant with expertise in electronic learning and learning management systems who would enable the Commission’s Project Team, led by Public Information Officer Gerry Tuoti and Government Affairs Officer Robert Milt, to help refine its vision for the online training project and define functional and technical requirements with the goal of issuing an RFQ in early Fiscal Year 2021.

COGEL Conference

Mr. Wilson reported that Legal Division Staff Counsel Norah Mallam, Assistant Enforcement Counsel Victoria Giuliano, Assistant General Counsel T. Michael McDonald, Assistant General Counsel Ting Chiu, Mr. Tuoti, and himself attended the annual Council on Governmental Ethics Laws (COGEL) conference in Chicago on December 15-18. He said the conference was attended by over 500 public officials and experts in the fields of campaign finance, governmental ethics, elections, lobbying, and freedom of information from six countries.

Next Meeting

Mr. Wilson reminded the Commission that the next Commission meeting is scheduled for Wednesday, January 15, 2020 at 9:30 a.m.

EMPLOYEE COMPENSATION

Mr. Wilson stated that some Commission staff members are paid according to the National Association of Government Employees (NAGE) Unit 6 Collective Bargaining Agreement salary schedule, and other staff members are paid at a level determined by the Executive Director, with the Commission’s approval. Mr. Wilson said that to ensure that everyone is compensated fairly and appropriately, he was asking the Commission to approve a 2% to 3.25% percent increase in salaries for employees who are not compensated according to the NAGE Unit 6 CBA, who if they were so compensated would in the current fiscal year receive step increases in their salaries, effective on the anniversary date of their appointment to their current positions. He said the total cost of the pay increases would be less than $20,000. Mr. Wilson provided the Commission with a chart of the relevant step increases.

At 12:59 p.m., on the motion of Chair Krokidas, seconded by Vice Chair Sartory, the Commission voted 4-0 to approve, as requested by the Executive Director, increases of between 2% to 3.25%, as determined by the Executive Director in consultation with the Chief Financial Officer, in the salaries of Commission employees who are not compensated according to the NAGE Unit 6 CBA salary schedule and who, if they were so compensated, would in the current fiscal year receive step increases in their salaries, effective on the anniversary date of their appointment to their current positions.

Vote:

Chair Krokidas	Yes
Vice Chair Sartory	Yes
Commissioner Martinez	Yes
Commissioner Edwards, Jr.	Yes

PUBLIC EDUCATION AND COMMUNICATIONS DIVISION MATTERS

Mr. Tuoti presented the monthly Public Education and Communications Division Report in the absence of Division Chief David Giannotti.

Mr. Tuoti reported that a press release was published on November 22 concerning the Public Education Letter issued to Secretary of the Commonwealth William Francis Galvin.

Mr. Tuoti said that a notice was posted on the Commission website on December 6 to remind public employees about restrictions on gifts to coincide with the holiday season.

Mr. Tuoti reported that Mr. Giannotti conducted seven public education seminars in November and participated as part of a panel discussion at the annual Massachusetts Association of School Committees/Massachusetts Association of School Superintendents Joint Conference in Hyannis, where he discussed the updated Public School Teacher FAQs and new guidance regarding teachers chaperoning school trips.

Mr. Tuoti reported that Program Coordinator Arthur Xia has been very active in updating several sections of the Commission’s website.

LEGAL DIVISION MATTERS

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

Legal Division Metrics for November 2019

Ms. Slattery presented the following Legal Division metrics for November 2019. 

• Written advice.  The Legal Division answered by letter or email 45 written requests for advisory opinions under G.L. c. 268A and c. 268B. Of these requests, 6 pertained to SFIs.

For comparison:

November 2018 (same month last year):	59
October 2019 (previous month) (total/SFI):	59/4

• Oral advice.  The Legal Division attorneys provided advice by telephone or on a walk-in basis in response to 345 requests for advice from state, county and municipal officials. Of these requests, 30 pertained to SFIs.

For comparison:

November 2018 (same month last year):	333
October 2019 (previous month) (total/SFI):	526/67

• 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:

November 2018 (same month last year):	0
October 2019 (previous month):	2

• Backlog.  As of today, the Division has 5 pending requests for written advice that are more than 30 days old. There is a total of 17 pending requests for written advice.

Adjudicatory Matters

Ms. Slattery presented the Legal Division Calendar. 

Litigation Matters

Ms. Slattery provided an update on McGovern v. State Ethics Commission. Ms. Slattery reported that the Commission has filed an opposition to McGovern’s Application for Further Appellate Review with the Supreme Judicial Court on November 14, 2019. Ms. Slattery said the Commission was awaiting a decision by the Court.

Revised Draft Advisory 19-1, Gifts and Gratuities

Ms. Slattery presented the draft Advisory 19-1, Gifts and Gratuities, and stated that the draft, as preliminarily approved by the Commission at its September 19, 2019 meeting, was on the Commission’s website for public comment for approximately four weeks. The draft advisory was also sent to interested parties for feedback. The revised draft incorporates comments received by the Commission.

On the motion of Chair Krokidas, seconded by Commissioner Martinez, the Commission voted 4-0 to approve the revised draft of Advisory 19-1 as presented to the Commission at the December 19, 2019 meeting.

Vote:

Chair Krokidas	Yes
Vice Chair Sartory	Yes
Commissioner Martinez	Yes
Commissioner Edwards, Jr.	Yes

ENFORCEMENT DIVISION MATTERS

Enforcement Division Chief Monica Brookman presented the Enforcement Division Intake Metrics. Ms. Brookman noted that since all open positions in the Enforcement Division have been filled, she expects a decrease in the backlog of complaints.

ADJOURN MEETING

At 1:06 p.m., on the motion of Chair Krokidas, seconded by Commissioner Martinez, the Commission voted 4-0 to adjourn.

Vote:

Chair Krokidas	Yes
Vice Chair Sartory	Yes
Commissioner Martinez	Yes
Commissioner Edwards, Jr.	Yes

LIST OF DOCUMENTS USED AT THIS MEETING

1. Agenda for the Commission Meeting of December 19, 2019
2. Minutes of the State Ethics Commission Meeting of November 21, 2019 Public Session
3. Chart of FY20 Grade 10 and Grade 17 step increases
4. Memorandum dated December 12, 2019 from Public Education and Communications Division Chief David Giannotti to the Commission concerning the Public Education and Communications Division report for the meeting
5. Memorandum dated December 6, 2019 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the meeting
6. Legal Division Calendar
7. Revised Advisory 19-1 on Gifts and Gratuities
8. Enforcement Intake Metrics
    

Respectfully submitted,         
Arthur Xia
Program Coordinator