PUBLIC SESSION
MEETING CONVENED
Chair Maria J. Krokidas called the meeting to order at 9:31 a.m. Also in attendance were Commissioner Thomas J. Sartory and Commissioner Josefina Martinez. Vice Chair David A. Mills participated remotely. Commissioner R. Marc Kantrowitz was absent.
REMOTE PARTICIPATION
Chair Krokidas announced that the Commission previously voted to authorize remote participation on December 16, 2011, and that Vice Chair Mills would participate remotely. 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 Sartory, seconded by Commissioner Martinez, the Commission voted 4-0 to waive the reading and approve the public session minutes of the June 20, 2019 Commission meeting.
VOTE: Chair Krokidas yes
Commissioner Mills yes
Commissioner Sartory yes
Commissioner Martinez yes
EXECUTIVE DIRECTOR’S REPORT
Executive Director David A. Wilson presented his monthly report.
Personnel
Mr. Wilson informed the Commission that Special Investigator Katelyn Farago had recently returned from leave and that Special Investigator Timothy Gravel was expected to return from leave in November.
Mr. Wilson reported that in accordance with the Commission’s personnel manual, the Commission staff elects an ombudsman at the beginning of each fiscal year. He congratulated Legal Division Staff Counsel Norah K. Mallam on her election as ombudsman. Mr. Wilson thanked Enforcement Staff Counsel Candies Pruitt Doncaster, who chose not to seek re-election, for serving two terms as ombudsman. Chair Krokidas expressed the Commission’s support for the ombudsman position.
Budget
Mr. Wilson reported that Fiscal Year 2020 had begun since the last Commission meeting. He told the Commission that the Fiscal Year 2020 budget had yet to be approved by the Legislature and remained in conference committee. He said that the Commonwealth was operating under short-term budget to cover state spending for about a month. Mr. Wilson said that the Commission is required to file a Fiscal 2020 spending plan with the Executive Office for Administration and Finance in September, and that Government Affairs Officer Robert Milt, Chief Financial Officer Alice Wu, and he would work on the spending plan in the coming weeks.
Training
Mr. Wilson reported that he and General Counsel Eve Slattery were scheduled to conduct an ethics training for the House of Representatives joint caucus in the next week. Public Education and Communications Division Chief David Giannotti said that he has previously conducted training for Senate staff, while House Counsel James Kennedy has conducted training for House staff.
Case Management System
Mr. Wilson invited Government Affairs Officer Robert Milt to provide an update on the project to replace the Commission’s case management system, Ethos, which has been in use for more than a decade. Mr. Milt told the Commission that for more than two years, staff have been working to identify a replacement case management system that includes powerful search tools, dashboard reporting, and the ability to receive disclosures electronically. Mr. Milt said that in the last fiscal year, Commission staff members have worked with the capital team from the Executive Office of Technology Services and Security (EOTSS) to identify products that could potentially meet the needs of the Commission as well as other agencies. Mr. Milt said that EOTSS has allocated approximately $100,000 in capital funding for the procurement process, and that the Legislature is expected to pass a new Information Technology bond bill that would allow this project to start receiving funding in the second or third quarter of Fiscal Year 2020. Mr. Milt said staff would work on a request for quotes in the fall. Mr. Wilson said that the Baker Administration has focused on encouraging agencies to collaborate on technology projects to leverage their collective purchasing power and expertise.
Next Meeting
Mr. Wilson reminded the Commission that the next Commission meeting is scheduled for Thursday, September 19, 2019 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. Mr. Giannotti said that Public Information Officer Gerry Tuoti had recently issued four press releases within a one-week period at the end of June. Mr. Giannotti commended Mr. Tuoti for his hard work and explained that the Division strives to issue press releases prior to the end of the month in which the Commission decided the matter.
Mr. Giannotti noted that 16 conflict of interest law educational seminars have been scheduled thus far for fiscal 2020.
Mr. Giannotti presented the Public Education/Information Technology Annual Report for Fiscal Year 2019. He said he conducted 63 conflict of interest law seminars in Fiscal Year 2019, an amount comparable to the prior fiscal year, but that, in addition, he conducted 16 briefings on the conflict of interest law for newly formed advisory boards and commissions.
Mr. Giannotti told the Commission that Mr. Tuoti is the interim public records access officer. During Fiscal Year 2019, Commission staff handled 104 requests for public records from members of the press and others. Staff produced more than 900 records in response to those requests. Mr. Giannotti also informed the Commission that when the Commission receives conflict of interest law disclosures each month, a list of those individuals filing disclosures is added to the list on the Commission’s website. In Fiscal 2019, 468 entries were loaded. Mr. Giannotti thanked Mr. Tuoti for his efforts.
Mr. Giannotti thanked Information Technology Specialist Tony Webb for IT work completed during Fiscal Year 2019. He told the Commission that Mr. Webb performed a considerable amount of complex IT work “behind the scenes,” including preparing for an eventual move of network servers from the Commission’s office to a server room that EOTSS plans to operate in the building.
LEGAL DIVISION MATTERS
General Counsel/Legal Division Chief Eve Slattery reported on the activities of the Legal Division.
Legal Division Annual Report for Fiscal Year 2019
Ms. Slattery presented the Legal Division Annual Report for Fiscal Year 2019 and a memorandum concerning the Calendar Year 2018 SFI filing season. Ms. Slattery said that the Legal Division hired and trained herself and two attorneys in Fiscal Year 2019. She said the Legal Division remains committed to the goals of providing quality, timely legal advice for conflict of interest law inquiries and supporting the Commission in adjudicatory proceedings. Ms. Slattery said that in Fiscal 2020, she hopes the Legal Division will have time to work on additional projects, such as issuing new advisories and revising existing advisories, depending on the demand for legal services.
Deputy Legal Division Chief/SFI Lauren E. Duca presented information about the Calendar Year 2018 filing season for Statements of Financial Interests. She said the compliance rate was 94% and that 200 formal notices of lateness were issued, 88% of which were sent automatically by the SFI application. There were no referrals to the Enforcement Division. Ms. Duca said there was a concerted effort to reach out to late filers to bring them into compliance. Ms. Duca informed the Commission that the contract for the SFI application includes 77 hours of enhancement work. She said that the improvements to some of the application’s reporting functions were made under the contract. Chair Krokidas said she was pleased that there were no adjudicatory referrals, as that would be an inefficient use of staff time.
Legal Division Metrics for June 2019
Ms. Slattery presented the following Legal Division metrics for June 2019.
- Written advice. The Legal Division answered by letter or email 56 written requests for advisory opinions under G.L. c. 268A and c. 268B.
For comparison: June 2018 (same month last year): 64
May 2019 (previous month): 100
- Oral advice. The Legal Division attorneys provided advice by telephone or on a walk-in basis in response to 403 requests for advice from state, county and municipal officials.
For comparison: June 2018 (same month last year): 409 May 2019 (previous month): 612
- 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.
For comparison: June 2018 (same month last year): 2
May 2019 (previous month): 4
- Backlog. As of today, the Division has 2 pending requests for written advice that are more than 30 days old. There is a total of 10 pending requests for written advice.
Litigation Matters
McGovern v. State Ethics Commission: Appeals Court Docket No. 2018-P-1060. The Commission is awaiting the Court’s decision.
Commissioner Sartory asked if there was an update regarding efforts to collect the outstanding $4,000 civil penalty owed by Howard Hansen. Ms. Slattery indicated that after staff sent a recent letter to Mr. Hansen, one of Mr. Hansen’s relatives contacted the Commission to report why he has not paid the penalty. Ms. Slattery said staff would be following up to verify that information.
Legal Division Memorandum
Ms. Slattery presented a memorandum on the jurisdictional tests used to determine whether an individual who provides services to a municipality on behalf of a private entity is a municipal employee or whether an entity is a municipal agency for purposes of the conflict of interest law. Commissioner Sartory commented that there is a level of vagueness in the definitions of “employee” and “agency” in the conflict of interest law. Mr. Wilson commented that it is an excellent argument for empowering the Commission with full regulatory authority.
ENFORCEMENT DIVISION MATTERS
Enforcement Division Report for Fiscal Year 2019
Enforcement Division Chief Monica Brookman presented the Enforcement Division Report for Fiscal Year 2019. Ms. Brookman stated that when Special Investigator Timothy Gravel returns from leave, the Enforcement Division will be fully staffed. Ms. Brookman reported that during Fiscal Year 2019, the Enforcement Division reduced its complaint backlog by 100 complaints, opened 22 cases, and resolved 15 cases, nine of which were resolved publicly. She said the Enforcement Division issued 91 private education letters. Ms. Brookman said she expects that, once fully staffed, the Enforcement Division will be able to close more cases in the new fiscal year. Ms. Brookman thanked the Enforcement Division staff and lauded Special Investigators Scott Cole, Brian McWilliams and Lynn Edmonds for their work while the Division was short two investigators for most of the fiscal year. She also thanked Public Education and Communications Division Chief David Giannotti for assisting the Enforcement Division. Chair Krokidas said she is pleased to see the case backlog growing smaller and is encouraged by the number of disposition agreements the Enforcement Division has reached.
EXECUTIVE SESSION
At 10:20 a.m., on the motion of Chair Krokidas, seconded by Commissioner Martinez, 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.
VOTE: Chair Krokidas yes
Commissioner Mills yes
Commissioner Sartory 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 July 18, 2019
- Minutes of the State Ethics Commission Meeting of June 20, 2019 Public Session
- Memorandum dated July 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 July 11, 2019 from Public Education and Communications Division Chief David Giannotti to the Commission entitled FY 2019 Public Education/Communications Division and Information Technology Accomplishments
- Memorandum dated July 10, 2019 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the meeting
- Memorandum dated July 11, 2019 from General Counsel/Legal Division Chief Eve Slattery to the Commission entitled Legal Division Report for Fiscal Year 2019: 7/1/18-6/30/19
- Memorandum dated July 8, 2019 from Deputy Legal Division Chief/SFI Lauren E. Duca to the Commission entitled CY 2018 SFI Filing Season
- Legal Division Calendar
- Memorandum dated July 10, 2019 from General Counsel/Legal Division Chief Eve Slattery to the Commission concerning municipal employees and agencies
- Memorandum dated July 9, 2019 from Enforcement Division Chief Monica Brookman to the Commission entitled Enforcement Division Report for Fiscal Year 2019: July 1, 2018 — June 30, 2019
Respectfully submitted,
Gerry Tuoti
Public Information Officer