PUBLIC SESSION
MEETING CONVENED
Chair Maria J. Krokidas called the meeting to order at 9:30 a.m. Also in attendance were Vice Chair David A. Mills, Commissioner Thomas J. Sartory, Commissioner R. Marc Kantrowitz and Commissioner Josefina Martinez.
ARGUMENT ON PENALTY
In Re Oscar Walker, Adjudicatory Docket No. 19-0009: The Commission heard arguments regarding the assessment of a civil penalty for the failure of respondent Oscar Walker, the Former Roxbury Community College Director of Public Safety, to file his 2017 Statement of Financial Interests (SFI) in a timely manner in violation of G.L. 268B, § 5(c). Commissioner Kantrowitz, the Presiding Officer, had proposed that Mr. Walker pay a $175 civil penalty.
Mr. Walker, representing himself, said he provided documentation showing that he was not living at the address at which the Commission had tried to contact him. Mr. Walker stated he was recovering from a period of personal and financial difficulty and could not afford a penalty of more than $100. He said that once he learned he needed to complete a 2017 SFI, he did so within one week. Mr. Walker said he hoped the Commission would take the human aspect of his circumstances into account.
Staff Counsel Candies Pruitt-Doncaster, representing Petitioner said that prior to failing to file his 2017 SFI on time, Mr. Walker had been assessed a $100 civil penalty for failing to file his 2016 SFI on time. Ms. Pruitt-Doncaster said she opposed the Presiding Officer’s recommendation that Mr. Walker pay a $175 civil penalty. Ms. Pruitt-Doncaster stated that the Commission’s SFI unit had been very clear in providing instructions regarding the need to file. She stated that Mr. Walker had contacted the SFI unit after receiving a communication informing him of the need to file a 2017 SFI, yet still failed to file on time. Ms. Pruitt-Doncaster said that, taking Walker’s personal and financial difficulty into account, Petitioner was proposing that Mr. Walker pay a $300 civil penalty. She noted that payment plans are available.
Chair Krokidas stated that the Commission would take the matter under advisement. Commissioner Kantrowitz explained that the commissioners would deliberate among themselves and would contact both parties after reaching a decision.
APPROVAL OF MEETING MINUTES
On the motion of Commissioner Kantrowitz, seconded by Commissioner Mills, the Commission voted 5-0 to waive the reading and approve the public session minutes of the April 18, 2019 Commission meeting.
EXECUTIVE DIRECTOR’S REPORT
Executive Director David A. Wilson presented his monthly report.
Office Improvements
Mr. Wilson reported that installation of new carpeting in the Commission’s office space was scheduled for Friday, June 7 through Sunday, June 10. Mr. Wilson said the schedule was chosen to minimize disruption of the Commission staff. He said that Chief Financial Officer Alice Wu was in charge of planning the packing and moving of the contents of individual offices to accommodate the carpet installation.
Information Technology Improvements
Mr. Wilson invited Information Technology Specialist Tony Webb to provide an update on IT projects at the Commission. Mr. Webb reported that the Commission’s office will soon replace its existing phones with a more modern voice over internet protocol (VoIP) phone system. Mr. Webb said the work will involve replacing and converting switches, replacing all current handsets, and connecting the new handsets to the computer network. He said the work is expected to take four to six hours. Mr. Webb reported that the patch panel behind the office’s computer server rack would be relocated. He also reported that the Commission’s SFI application would moved to a cloud service, as it is currently hosted on a state server in Chelsea, which the state has decided to no longer maintain.
Responding to a question from Commissioner Krokidas about the reasons the IT projects are being undertaken, Mr. Webb stated that VoIP phones have already been adopted by most state agencies and offer greater functionality and features. Mr. Wilson added that if the Commission did not upgrade its phones now, it may be required to do so within a couple years. Mr. Wilson said the Executive Office of Technology Services and Security was providing the Commission with approximately $4,000 worth of VoIP phones at no cost. Mr. Wilson explained that the Commission’s current phones are approximately 10 years old and many vendors no longer service them. He explained that moving the patch panel from its current location is the first step in an ongoing process to move the Commission’s network server to a new state-of-the-art server room on the 7th floor of the McCormack Building.
Budget
Mr. Wilson invited Government Affairs Officer Robert Milt to provide an update on the Fiscal Year 2020 budget. Mr. Milt reported that the Commission requested $2,391,848 for Fiscal Year 2020, which is approximately $152,000 more than the amount received in the Fiscal Year 2019 general appropriation. Mr. Milt said that the House had adopted an amendment to fully fund the Commission’s Fiscal Year 2020 budget request. However, the Senate Committee on Ways and Means included a lower amount of funding for the Commission in its proposed budget. Mr. Milt said that Senator Marc Pacheco, Senate Chair of the Joint Committee on State Administration and Regulatory Oversight, offered an amendment to provide approximately $108,000 in additional funding to the Commission, which would match the $2,391,848 in funding for the Commission that the House included in its amended budget. Mr. Milt said the Senate is expected to debate the budget in the following week, and that the budget would then head to a conference committee. Mr. Milt said the Governor typically signs the budget late in the fiscal year, or in early July.
Next Meeting
Mr. Wilson reminded the Commission that the next Commission meeting is scheduled for June 20 at 9:30 a.m.
EMPLOYEE COMPENSATION
Mr. Wilson and the Commission discussed adjustments to the salaries of certain Commission employees who are not compensated according to the National Association of Government Employees (NAGE) Unit 6 Collective Bargaining Agreement. Mr. Wilson explained that some staff members, while not members of NAGE Unit 6, are paid in accordance with the NAGE Unit 6 CBA salary schedule. The remaining staff members, except for the Executive Director, are paid salaries determined by the Executive Director in consultation with the Chief Financial Officer and approved by the Commission. Mr. Wilson stated that in addition to step increases, there were three 2% increases included in the current NAGE Unit 6 CBA – the last of which is to take effect July 1. The Commission previously extended the first two 2% increases to staff who are not compensated in accordance with the CBA. Mr. Wilson said that he is committed to fair and equitable compensation for all staff, and that employees who are not paid in accordance with the CBA should be similarly compensated to employees in comparable positions who are paid in accordance with the CBA.
After discussion and at the recommendation of Mr. Wilson, on the motion of Chair Krokidas, seconded by Commissioner Martinez, the Commission voted 5-0 to authorize the Executive Director, in his discretion and in consultation with the CFO, to make upward adjustments collectively totaling not more than $22,500 in the salaries of Commission staff (not including the Executive Director) who are not compensated according to the Unit 6 CBA salary schedule and who were appointed to their current positions before July 1, 2018, retroactive to the later of July 1, 2018 or the date of the first year anniversary of their appointment to their current positions.
PUBLIC EDUCATION AND COMMUNICATIONS DIVISION REPORT
Mr. Wilson presented the monthly Public Education and Communications Division Report in the absence of Division Chief David Giannotti.
LEGAL DIVISION MATTERS
General Counsel/Legal Division Chief Eve Slattery reported on the activities of the Legal Division.
Legal Division Metrics for April 2019
Ms. Slattery presented the following Legal Division metrics for April 2019.
- Written advice. The Legal Division answered by letter or email 79 written requests for advisory opinions under G.L. c. 268A and c. 268B.
For comparison: April 2018 (same month last year): 81
March 2019 (previous month): 63
- Oral advice. The Legal Division attorneys provided advice by telephone or on a walk-in basis in response to 600 requests for advice from state, county and municipal officials.
For comparison: April 2018 (same month last year): 435
March 2019 (previous month): 506
- 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: April 2018 (same month last year): 7
March 2019 (previous month): 1
- Backlog. As of May 6, the Division has 8 pending requests for written advice that are more than 30 days old. There is a total of 19 pending requests for written advice.
SFI Summary
Ms. Duca provided an update on Statements of Financial Interests. Ms. Duca reported that the CY 2018 filing deadline for appointed employees was May 1, and that approximately 150 formal notices of lateness were sent automatically by email. Additionally, required filers without an email address in the electronic filing system were sent notices by mail. Ms. Duca said that as a result of a vigorous outreach effort, all current appointed public employees filed their 2018 SFIs within the 10-day grace period. She said the SFI Team is working to contact former employees who failed to meet their filing obligations. Ms. Duca reported that the 2018 filing deadline for elected public officials is May 28.
Ms. Duca said that the SFI Team is working with its vendor to enhance the SFI system. Three enhancements to the system, including the notification and reporting function were authorized. It is expected that further enhancements will also be authorized. The enhancements are expected to be covered by an existing maintenance and support agreement. Ms. Duca said that the SFI Team continues to work with required filers who did not file their SFIs due to an issue with the system’s reporting and notification functions. For CY 2017, only 20 such filers remain, down from 35.
Adjudicatory Matters
General Counsel/Legal Division Chief Eve Slattery presented the Legal Division calendar.
Litigation Matters
McGovern v. State Ethics Commission: Appeals Court Docket No. 2018-P-1060. The Commission is awaiting the Court’s decision.
Revised Advisory
Ms. Slattery presented revisions to State Ethics Commission Advisory 05-05: The Rule of Necessity. She stated that after the Office of the Inspector General issued a report on the town of Methuen and the use there of the Rule of Necessity, the Commission wanted to ensure that the public was clearly informed about the rule. Ms. Slattery said the Rule of Necessity was adopted by the courts, and that the Commission has historically stressed the narrow circumstances that need to be present for the rule to be invoked.
Ms. Slattery said the revised advisory more clearly emphasizes that the Rule of Necessity may only be invoked when there is a legal necessity for a board to act, and there is a lack of quorum because members have recused themselves due to a conflict of interest. The updated advisory changes the procedure for invoking the Rule of Necessity. The previous advisory directed that the Rule of Necessity should be invoked by a disqualified board member, whereas the updated advisory directs that the best practice is for a disinterested member, preferably the chair, to invoke the rule when possible. The revised advisory also includes improved examples of when the Rule of Necessity may be invoked.
Commissioner Kantrowitz suggested the advisory state that before invoking the Rule of Necessity, a board obtain prior written advice when feasible. Ms. Slattery replied that the advisory could be amended as Commissioner Kantrowitz suggested.
On the motion of Chair Krokidas, seconded by Commissioner Sartory, the Commission voted 5-0 to approve the revised advisory as amended.
ENFORCEMENT DIVISION MATTERS
Enforcement Division Metrics
Enforcement Division Chief Monica Brookman presented the Enforcement intake metrics for April 2019. Ms. Brookman reported that there was a slight increase in the case backlog and said that she is hopeful that backlog can be reduced when two investigators are expected to return from leave in July.
EXECUTIVE SESSION
At 10:27 a.m., on the motion of Chair Krokidas, seconded by Commissioner Martinez, 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, advisory opinions, and adjudicatory matters.
VOTE: Chair Krokidas yes
Commissioner Mills yes
Commissioner Sartory yes
Commissioner Kantrowitz 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 May 16, 2019
- Minutes of the State Ethics Commission Meeting of April 18, 2019 Public Session
- Memorandum dated May 8, 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 May 6, 2019 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the meeting
- Legal Division Calendar
- Revised Advisory 05-05: The Rule of Necessity, dated May 16, 2019
- Report of Enforcement Division Intake Metrics
Respectfully submitted,
Gerry Tuoti
Public Information Officer