PUBLIC SESSION
MEETING CONVENED
Chair Maria J. Krokidas called the meeting to order at 9:30 a.m. Also in attendance were Vice Chair 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 Vice Chair Sartory, the Commission voted 5-0 to waive the reading and approve the public session minutes of the December 19, 2019 Commission meeting.
| Chair Krokidas | Yes |
| Vice Chair Sartory | Yes |
| Commissioner Kantrowitz | Yes |
| Commissioner Martinez | Yes |
| Commissioner Edwards, Jr. | Yes |
EXECUTIVE DIRECTOR’S REPORT
Executive Director David A. Wilson presented his monthly report.
Personnel
Mr. Wilson reported that nearly the entire Commission staff participated in a three-hour unconscious bias training program on January 14, 2020. The purpose of this training is to create awareness of unconscious bias and to begin a group conversation concerning it that will lead to a work environment that is safe and comfortable for everyone, as well as ensure that everyone dealing with the Commission is treated with respect. Mr. Wilson thanked Assistant Enforcement Counsel Tracy Morong for arranging the training, which was provided by Ingrid Chiemi Schroffner, who is Assistant General Counsel at the Executive Office of Health and Human Services, and expressed his thanks to Ms. Chiemi Schroffner for providing the training.
Budget
Mr. Wilson stated that the Commission’s maintenance budget request for Fiscal Year 2021 was filed with the Executive Office for Administration and Finance on October 18, 2019. 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 provided an update on the Fiscal Year 2021 budget process. Mr. Wilson said the Governor’s Office is expected to issue the Administration’s Fiscal Year 2021 budget proposal at the end of the month. He said that Chief Financial Officer Alice Wu and Government Affairs Officer Robert Milt would submit the Commission’s maintenance budget request to House and Senate Ways and Means towards the end of the month.
Mr. Wilson said that the Commission filed a budget expansion request on November 22, 2019 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. Mr. Wilson said that he will testify before the Joint Committee on Ways and Means this March to present the Commission’s request for Fiscal Year 2021 funding.
Audit
Mr. Wilson stated that the State Auditor’s Office is continuing to perform 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 that the audit is expected to last for a couple more months.
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 state bond funding is made available.
Mr. Wilson said the Commission also requested $50,000 in funding in Fiscal Year 2020 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 improvement project with the goal of issuing an RFQ when capital funding becomes available. Mr. Milt and Public Information Officer Gerry Tuoti will meet with EOTSS on January 17, 2020 to discuss next steps for both projects.
Next Meeting
Following discussion, the Commission scheduled its next meetings for February 27, 2020 at 9:30 a.m., March 19, 2020 at 9:30 a.m., and April 16, 2020 at 9:30 a.m.
PUBLIC EDUCATION AND COMMUNICATIONS DIVISION MATTERS
Public Education and Communications Division Chief David Giannotti presented the monthly Public Education and Communications Division Report.
Mr. Giannotti said the Calendar Year 2020 compliance period for the conflict of interest law education requirements has begun. He explained that all public employees will be required to acknowledge receipt of a summary of the conflict of interest law and complete the online training program during the current compliance period. Mr. Giannotti said that he will work with Program Coordinator Arthur Xia to send notifications to state, county, and municipal agencies regarding the training requirements.
Mr. Giannotti said that the Commission publications, the Calendar Year 2018 and 2019 Rulings, and the Fiscal Year 2019 Annual Report are being drafted and will be posted on the Commission’s website after they are published. Mr. Giannotti is preparing the Rulings and Mr. Tuoti is preparing the Annual Report.
Mr. Giannotti reported that he conducted three public education seminars in December 2019, including a seminar for the Operational Services Division attended by approximately 140 chief financial officers from other state agencies.
Mr. Giannotti said that Mr. Xia has update several sections of the Commission’s website to improve website usability.
LEGAL DIVISION MATTERS
General Counsel/Legal Division Chief Eve Slattery reported on the activities of the Legal Division.
Legal Division Metrics for December 2019
Ms. Slattery presented the following Legal Division metrics for December 2019.
- Written advice. The Legal Division answered by letter or email 50 written requests for advisory opinions under G.L. c. 268A and c. 268B. Of these requests, 7 pertained to SFIs.
| December 2018 (same month last year): | 38 |
| November 2019 (previous month) (total/SFI): | 45/6 |
- Oral advice. The Legal Division attorneys provided advice by telephone or on a walk-in basis in response to 366 requests for advice from state, county and municipal officials. Of these requests, 34 pertained to SFIs.
| December 2018 (same month last year): | 334 |
| November 2019 (previous month) (total/SFI): | 345/30 |
- 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.
| December 2018 (same month last year): | 0 |
| November 2019 (previous month): | 0 |
- 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 20 pending requests for written advice.
SFI Summary
Deputy Legal Division Chief Lauren Duca provided an update on Statements of Financial Interests (SFI). Ms. Duca said that every state and county agency with SFI filers has a designated employee who serves as their agency’s SFI liaison to the Commission. The materials for agency liaisons on how to use the SFI system and how to perform various SFI functions were updated in September 2019. Mr. Milt conducted 3 in-person trainings and 2 webinar trainings for a total of 118 agency liaisons and other agency staff in October 2019.
Ms. Duca said that the Calendar Year 2019 SFI filing season began when the request to agencies for their Designation Lists was sent out on November 7, 2019. The Designation Lists, which are prepared on an annual basis by agency liaisons using the SFI system, contain the names and titles of all filers in the agency. She said the deadline for agencies to submit their Calendar Year 2019 2019 lists to the Commission is January 7, 2020.
Ms. Duca reported that the SFI Team prepared a manual Calendar Year 2019 SFI form for use only by candidates who must file the form with the Secretary of State in order to appear on the ballot for two special elections for the General Court in March 2020. The system for electronic filing of Calendar Year 2019 SFIs is currently scheduled to open on January 27, 2020.
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 Supreme Judicial Court denied McGovern’s application for further appellate review on December 23, 2019.
OCPF Emergency Regulations
Ms. Slattery stated that the Governor signed new campaign finance legislation into law on November 27, 2019. As part of the new law, the Office of Campaign and Political Finance (OCPF) is required to promulgate regulations, in consultation with the State Ethics Commission, relative to the appropriate use of websites and social media for campaign purposes. On December 26, 2019, OCPF issued emergency regulations, 970 CMR 1.24. Mr. Slattery said that she will provide her recommendations regarding the regulations at the next Commission meeting on February 27, 2020. A public hearing concerning these regulations is scheduled for February 28, 2020 at OCPF.
ENFORCEMENT DIVISION MATTERS
Enforcement Division Chief Monica Brookman presented the Enforcement Intake Metrics and Enforcement Case Metrics. Ms. Brookman noted that the Enforcement Division handled a slightly higher than average caseload in Fiscal Year 2020’s second quarter, but as several cases were resolved in the last three months, she expects the caseload to be reduced next quarter. She also said that the complaint backlog remained relatively the same in December.
EVALUATION OF EXECUTIVE DIRECTOR
Chair Krokidas stated that the evaluation of the Executive Director would be conducted in public session, but requested that all staff, except for Mr. Wilson and Ms. Slattery to leave the room during the evaluation.
The Chair deferred to Vice Chair Sartory and Commissioner Martinez to lead a discussion of the Executive Director’s core competencies and major responsibilities during the relevant time period of July 1, 2018 to June 30, 2019.
Vice Chair Sartory and Commissioner Martinez informed the commissioners of the feedback they received during interviews with staff regarding Mr. Wilson’s performance and discussed his self-evaluation. They then led a discussion of Mr. Wilson’s performance including a review of his core competencies and major job responsibilities.
On the motion of Chair Krokidas, the Commission voted 5-0 to delegate to Vice Chair Sartory and Commissioner Martinez the preparation and signing of the Executive Director’s written evaluation on behalf of the Commission.
The meeting recessed at 11:25 a.m. and reconvened at 11:31 a.m. Vice Chair Sartory left the meeting at 11:29 a.m.
EXECUTIVE SESSION
At 11:32 a.m., on the motion of Chair Krokidas, seconded by Commissioner Kantrowitz, the Commission voted 4-0 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 |
| 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.
LIST OF DOCUMENTS USED AT THIS MEETING
- Agenda for the Commission Meeting of January 15, 2020
- Minutes of the State Ethics Commission Meeting of December 19, 2019 Public Session
- Memorandum dated January 9, 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 January 8, 2020 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the meeting
- Legal Division Calendar
- OCPF Emergency Regulations 970 CMR 1.24 on Website and Social Media Use by Public Employees
- Enforcement Intake Metrics
- Enforcement Case Metrics
- State Ethics Commission Performance Evaluation Form for Executive Director David A. Wilson for Evaluation Period: July 1, 2018 to June 30, 2019 (blank form)
Respectfully submitted,
Arthur Xia
Program Coordinator
Eve Slattery
General Counsel/Legal Division Chief