PUBLIC SESSION
MEETING CONVENED
Chair Maria J. Krokidas called the meeting to order at 9:31 a.m. Also in attendance were Vice Chair Thomas J. Sartory, Commissioner R. Marc Kantrowitz, Commissioner Josefina Martinez, and Commissioner Wilbur P. Edwards, Jr. Chair Krokidas, Vice Chair Sartory, Commissioner Kantrowitz, Commissioner Martinez, and Commissioner Edwards participated remotely.
REMOTE PARTICIPATION
Chair Krokidas announced that the meeting would take place remotely pursuant to Governor Baker’s Order Suspending Certain Provisions of the Open Meeting Law, G.L. c. 30A, § 20, dated March 12, 2020. She stated that members of the public had been invited to watch and listen to the public session via Zoom Webinar. Chair Krokidas noted that all votes at the meeting would be taken by roll call.
HEARING ON MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM
In the Matter of Jeffrey Travers, Commission Docket No. 20-0006, Counsel for Respondent, Roy A. Bourgeois, and counsel for Petitioner, Candies Pruitt, presented arguments on and responded to Commissioners’ questions concerning Respondent’s Motion to Dismiss for Failure to State a Claim. The hearing on the motion was recorded. The Commission took the matter under advisement.
APPROVAL OF MEETING MINUTES
On the motion of Chair Krokidas, seconded by Commissioner Kantrowitz, the Commission voted 5-0 to waive the reading and approve the public session minutes of the October 15, 2020 Commission meeting.
| Chair Krokidas | Yes |
| Vice Chair Sartory | Yes |
| Commissioner Kantrowitz | Yes |
| Commissioner Martinez | Yes |
| Commissioner Edwards | Yes |
EXECUTIVE DIRECTOR’S REPORT
Executive Director David A. Wilson presented his monthly report.
Personnel
Mr. Wilson noted that this Commission meeting would likely be Vice Chair Sartory’s last meeting and thanked him on behalf of the Commission staff for his years of distinguished service to the Commission. Vice Chair Sartory said that he has been proud to serve on the Commission and commended the work of the staff.
Mr. Wilson reported that the hiring process for a new Special Investigator was well underway. He said that first-round interviews were ongoing and will be completed by the end of the week with the goal of filling the position in December.
Budget
Mr. Wilson said that, as he had reported at the Commission’s October meeting, the Governor filed a revised Fiscal Year 2021 budget recommendation that would fund the Commission at its Fiscal Year 2020 level for the remainder of this fiscal year. He reported that, since the October meeting, the House passed and Senate Committee on Ways and Means recommended versions of the Fiscal Year 2021 budget that would fully meet the Commission’s original funding request for Fiscal Year 2021. Mr. Wilson said that this requested higher level of funding would enable the backfilling of the currently vacant special investigator position, the hiring of an additional attorney, and possibly pay for additional investigative services.
At Mr. Wilson’s request, Government Affairs Officer Robert Milt provided an update on the Governor’s revised budget. Mr. Milt explained that, in November 2019, the Commission filed a $92,000 maintenance budget request and a $100,000 budget expansion request for Fiscal Year 2021. He said that the Commission will work with the Executive Office for Administration and Finance to implement its Fiscal Year 2021 budget and hopefully sustain a higher level of funding in Fiscal Year 2022. Mr. Milt said that the Governor would likely sign the revised Fiscal Year 2021 budget by the end of November. Mr. Milt noted that 2020 has been a challenging year for predicting budget-related matters.
Ongoing Projects
At Mr. Wilson’s request, Public Information Officer Gerry Tuoti provided an update on the replacement of the Commission’s online conflict of interest law training program. Mr. Tuoti said that the project team and vendor RSM received several vendor responses to an RFI that RSM will use to provide the Commission with a set of recommendations and technical requirements to develop a future RFQ for creating a new online training program. He said that RSM presented its initial recommendations to the project team and will present expanded recommendations by the end of November. Mr. Tuoti said that the Commission will reapply for capital funding for the project to fund the future procurement of a new online training program.
Next Meeting
Mr. Wilson reminded the Commission that the next Commission meeting is scheduled for January 6, 2021 at 9:30 a.m. There will not be a Commission meeting in December.
PUBLIC EDUCATION AND COMMUNICATIONS DIVISION MATTERS
Public Education and Communications Division Chief David Giannotti presented his memorandum detailing Public Education and Communications Division activities for the month of October 2020.
Mr. Giannotti reported that the Commission issued the Fiscal Year 2019 Annual Report in September. He noted that Public Information Officer Gerry Tuoti is currently working on the 2020 Annual Report. He said that he will work with Program Coordinator Arthur Xia to issue the 2020 Rulings, which will be provided to the Social Law Library.
Mr. Giannotti thanked Mr. Xia for his work to maintain the Commission website, including updating featured announcements. He also thanked Mr. Tuoti and Mr. Xia for assisting the Enforcement Division with complaint intake each week.
Mr. Giannotti reported that he conducted eleven, 90-minute online public education seminars during October for various public agencies, including the Town of Barnstable and members of boards and committees for the City of Boston.
Mr. Giannotti said he is working to revise the online training programs to remove Flash elements from the audio and video files and to upgrade those files to HTML5, in preparation for the 2021 conflict of interest law education requirements. He explained that public employees will have to complete the online training program and acknowledge the summary of the conflict of interest law for this compliance period.
LEGAL DIVISION MATTERS
General Counsel/Legal Division Chief Eve Slattery reported on the activities of the Legal Division.
Legal Division Metrics for October 2020
Ms. Slattery presented the following Legal Division metrics for October 2020.
- Written advice. The Legal Division answered by letter or email 39 written requests for advisory opinions under G.L. c. 268A and c. 268B. Of these requests, 1 pertained to SFIs.
| October 2019 (same month prior year) (total/SFI): | 59/4 |
| September 2020 (previous month) (total/SFI): | 31/4 |
- Oral advice. The Legal Division attorneys provided advice by telephone in response to 307 requests for advice from state, county and municipal officials. Of these requests, 10 pertained to SFIs.
| October 2019 (same month last year) (total/SFI): | 526/67 |
| September 2020 (previous month) (total/SFI): | 317/23 |
- Review of municipal letters. Division staff reviewed 1 letter issued by city solicitors/town counsel pursuant to G.L. c. 268A, § 22 and 930 CMR 1.03.
| October 2019 (same month last year): | 2 |
| September 2020 (previous month): | 2 |
- Backlog. As of November 12, 2020, the Division has 3 pending requests for written advice that are more than 30 days old. There is a total of 13 pending requests for written advice.
SFI Summary
Legal Division Deputy Chief/SFI Lauren Duca provided an update on the Calendar Year 2019 Statement of Financial Interests (SFI) filing season. Ms. Duca said that the filing season ended on October 15, 2020 when the last non-filer, a former public employee, filed an SFI. She explained that the SFI Team will not need to make any referrals of late or non-filers to the Enforcement Division for Calendar Year 2019.
Ms. Duca said that the SFI Team started its preparations for the Calendar Year 2020 filing season. She said that the SFI Team held training sessions for agency liaisons on the use of the SFI system and SFI procedures via video conference on November 3, November 6, and November 12, 2020. She noted that they also reviewed and updated the SFI training materials provided to agency liaisons.
Ms. Duca said that, on November 9, 2020, the SFI Team sent out a request to agencies for their annual Designation Lists due in January 2021. She explained that agencies have 60 days from the date of the Commission’s request to submit their Designation Lists using the SFI system.
Adjudicatory Matters
Ms. Slattery presented the November calendar of conferences/hearings in pending Commission adjudicatory proceedings.
Chart of Unpaid Penalties
Ms. Slattery presented a chart of Commission matters from 2008 to 2020 with unpaid civil penalties greater than $500.
Memorandum to Commission Regarding Debt Collection and Intercept
Ms. Slattery presented her memorandum regarding the Office of the Comptroller’s Intercept Program and contingent fee contracts with debt collection agencies. She explained that the Commission is responsible for making diligent efforts to collect legally authorized accounts receivable, which include unpaid penalties, and for pursuing the full amount of the debt. As part of this process, the Commission is obligated to pursue intercept and debt collection services prescribed by the Office of the Comptroller.
Ms. Slattery explained that the Commission is eligible to participate in the Intercept Program, an automated process that matches eligible payments by the Commonwealth to delinquent debt of state agencies. She noted that Chief Financial Officer Alice Wu enrolled the Commission to participate in the Intercept Program. The Office of the Comptroller authorized nine debt collection agencies under a statewide contract to assist state agencies in the collection of debt. The contract for these services is a contingent fee contract. The Commission may submit an unpaid penalty simultaneously to the Intercept Program and a debt collection agency.
Ms. Slattery said that the plan for the Commission is to proceed with entering into an agreement with Linebarger Goggan Blair & Sampson, LLP, subject to a reference check, to provide debt collection legal services to the Commission, including, but not limited to, undertaking settlements for partial payment or litigation actions to recover the full number of debts owed the Commission when the debtor refuses to pay and there is reasonable expectation that the amount can be recovered.
Ms. Slattery said that the Commission plans to send a final demand letter to Respondents in order to make a final attempt to collect the unpaid penalty and to notify them that they will be subject to Intercept collection charges and a collection fee. Ms. Slattery explained that if the Commission does not receive a response, the Commission will engage Linebarger and refer the matter to the law firm. Chair Krokidas said that while the Commission should enforce the provisions of the conflict of interest law, the Commission should also consider the financial and health impacts of the COVID-19 pandemic as it pursues any debt collection efforts.
Litigation Matters
Ms. Slattery provided an update on [Doe] v. State Ethics Commission, Berkshire Superior Court Civil Action No. 1976CV00286. Ms. Slattery reported that on September 23, 2020, the parties filed a Stipulation of Dismissal of Count II (failure to properly serve summons). The Commission subsequently filed an Answer to Count I (declaratory judgment that summonses violate the 5th Amendment and Art. 12 of the Mass. Declaration of Rights).
Ms. Slattery provided an update on Donohue v. State Ethics Commission, Norfolk Superior Court Civil Action No. 2082CV00886. Ms. Slattery reported that on September 21, 2020, Helen Donohue served the Commission with an appeal. The Commission filed a short Answer on October 2, 2020. The next step is for the Commission to file the Administrative Record, which is due by December 20, 2020.
Ms. Slattery provided an update on Comtois v. State Ethics Commission, Suffolk Superior Court Civil Action No. 2084CV02105. Ms. Slattery reported that on September 29, 2020, Stephen Comtois served the Commission with an appeal. The Commission filed a short Answer on October 6, 2020. The next step is for the Commission to file the Administrative Record, which is due by December 28, 2020.
ENFORCEMENT DIVISION MATTERS
Enforcement Division Chief Monica Brookman presented the Enforcement Intake Metrics. Ms. Brookman reported that with the assistance of the Public Education and Communications Division, the Enforcement Division was able to further reduce its intake backlog in October.
Ms. Brookman said that the Division hopes to make a job offer for the Special Investigator position in December. She added that the Commission extended the contracts of Special Investigators Katelyn Farago and Paul Murray to assist in processing the complaint backlog.
EXECUTIVE SESSION
At 11:16 a.m., on the motion of Commissioner Kantrowitz, 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, and adjudicatory matters.
| Chair Krokidas | Yes |
| Vice Chair Sartory | Yes |
| Commissioner Kantrowitz | Yes |
| Commissioner Martinez | Yes |
| Commissioner Edwards | Yes |
Chair Krokidas stated that the Commission would not reconvene in public session following the executive session.
The meeting recessed at 11:17 a.m. and reconvened at 11:29 a.m.
LIST OF DOCUMENTS USED AT THIS MEETING
- Agenda for the Commission Meeting of November 18, 2020
- Minutes of the Commission Meeting of October 15, 2020 Public Session
- Memorandum dated November 12, 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 November 12, 2020 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the meeting
- Calendar of hearing dates and pre-hearing conferences in pending Commission adjudicatory matters
- Chart of Unpaid Penalties
- Memorandum dated November 12, 2020 from General Counsel/Legal Division Chief Eve Slattery to the Commission on Debt Collection and Intercept
- Enforcement Intake Metrics
Respectfully submitted,
Arthur Xia
Program Coordinator