PUBLIC SESSION
MEETING CONVENED
Chair Maria J. Krokidas called the meeting to order at 9:47 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.
Chair Krokidas thanked Executive Director David A. Wilson, Public Education and Communications Division Chief David Giannotti, and Program Coordinator Arthur Xia for providing technical support in preparation for the Commission meeting. She also thanked the entire Commission staff for balancing their professional and personal lives during these difficult times to ensure that the Commission continues to run smoothly.
Chair Krokidas noted the recent passing of Massachusetts Supreme Judicial Court Chief Justice Ralph Gants and requested a moment of silence in memory of Chief Justice Gants.
Chair Krokidas said that since Vice Chair Sartory’s term expires on September 21, 2020, this Commission meeting could be his last one. She thanked Vice Chair Sartory for his years of distinguished service to the Commission. Vice Chair Sartory praised the level of professionalism from the Commission staff.
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.
APPROVAL OF MEETING MINUTES
On the motion of Vice Chair Sartory, seconded by Commissioner Martinez, the Commission voted 5-0 to waive the reading and approve the public session minutes of the July 30, 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 reported that the staff has been in contact with the Attorney General’s Office regarding the appointment of a new commissioner to succeed Vice Chair Sartory, whose term expires on September 21, 2020. He said that a notice of vacancy was posted as required. Mr. Wilson thanked Vice Chair Sartory on behalf of the staff for his service as a Commissioner.
Mr. Wilson reported that almost the entire Commission staff continues to work safely from home and the Commission office continues to be closed to visitors. He stated that public access to the office will be by appointment only for the foreseeable future.
Budget
Mr. Wilson said that there is very little new information to report about the budget as state government continues to await news of further federal aid. He added that, while he does not know how the current public health crisis will affect the Commission in the long run this fiscal year, the Commission will continue through October at least to receive funding at its Fiscal Year 2020 level.
Ongoing Projects
Mr. Wilson reported that Information Technology Specialist Tony Webb and a vendor will soon relocate the Commission’s network servers from the Commission’s office to a more secure server room EOTSS operates in the building.
At Mr. Wilson’s request, Government Affairs Officer Robert Milt provided an update on the Commission’s case management system Ethos. Mr. Milt said that the Commission has been working with EOTSS to replace Ethos for the past three years. He explained that the Governor has authorized $500,000 in capital funding for this current fiscal year. Mr. Milt said that he will provide further updates regarding the issuance of an RFQ as he receives more information about the IT bond bill.
Next Meeting
Following discussion, the Commission scheduled its next meetings for October 15, 2020 at 9:30 a.m.
COMMISSION OFFICE REOPENING PLAN DRAFT
Mr. Wilson presented the draft reopening plan for the Commission office to ensure the continued health and safety of Commission staff, Commissioners, and all other persons entering the Commission’s office and to facilitate the Commission’s continued successful performance of its agency mission during the COVID-19 pandemic.
Mr. Wilson said that occupancy of the office is still limited to 25% of normal occupancy, or 6 persons. He stated that, while this limit is likely to increase to 50%, or 12 persons, during the Fall if public health conditions improve, he is not in a rush to have the Commission staff return to the office and continues to encourage them to work from home during the ongoing pandemic.
PUBLIC EDUCATION AND COMMUNICATIONS DIVISION MATTERS
Public Information Officer Gerry Tuoti presented the monthly Public Education and Communications Division Report for August and September in the absence of Public Education and Communications Division Chief David Giannotti.
Mr. Tuoti reported that he issued three press releases, and Mr. Giannotti conducted eight 90-minute public education seminars by video conference during June and August. He reported that more than 400 public employees participated in the eight seminars.
Mr. Tuoti said that the Commission entered into a contract with vendor RSM to develop a set of recommendations and technical requirements that will be used in creating a request for quotes to develop new conflict of interest law online training programs. Led by Mr. Tuoti, the project team held a kickoff meeting and a series of fact-finding meetings with the vendor. The vendor and members of the project team also held meetings with external stakeholders. Mr. Tuoti explained that meeting topics have included pedagogy, course structure, user experience, compliance tracking, technology, and integration with learning management systems. The project team continues to work with the vendor and expects to receive the recommendations and technical requirements in the fall.
LEGAL DIVISION MATTERS
General Counsel/Legal Division Chief Eve Slattery reported on the activities of the Legal Division.
Chair Krokidas asked why there was a much higher number of requests for advice in August than in July. Ms. Slattery explained that many of those requests for advice related to Statements of Financial Interests (SFIs) public inspection requests.
Legal Division Metrics for July and August 2020
Ms. Slattery presented the following Legal Division metrics for July and August 2020.
- Written advice. The Legal Division answered by letter or email 33 (July) and 132 (August) written requests for advisory opinions under G.L. c. 268A and c. 268B. Of these requests, 8 (July) and 102 (August) pertained to SFIs.
| July 2019 (same month prior year) (total/SFI): | 45/2 |
| August 2019 (same month prior year) (total/SFI): | 46/7 |
| June 2020 (previous month) (total/SFI): | 58/32 |
- Oral advice. The Legal Division attorneys provided advice by telephone in response to 316 (July) and 467 (August) requests for advice from state, county and municipal officials. Of these requests, 15 (July) and 129 (August) pertained to SFIs.
| July 2019 (same month last year) (total/SFI): | 413/65 |
| August 2019 (same month prior year) (total/SFI): | 431/38 |
| June 2020 (previous month) (total/SFI): | 429/96 |
- Review of municipal letters. Division staff reviewed 1 (July) and 3 (August) letters issued by city solicitors/town counsel pursuant to G.L. c. 268A, § 22 and 930 CMR 1.03.
| July 2019 (same month last year): | 3 |
| August 2019 (same month prior year): | 2 |
| June 2020 (previous month): | 0 |
- Backlog. As of September 10, 2020, the Division had 3 pending requests for written advice that are more than 30 days old. There was a total of 12 pending requests for written advice.
SFI Summary
Legal Division Deputy Chief/SFI Lauren Duca provided an update on the CY 2019 Statement of Financial Interests (SFI) filing season. She reported that there are only 2 outstanding non-filers to whom the SFI Team will send a new notice of lateness. Ms. Duca said that they are working on resolving an issue with the user access notification function of the SFI system, which allows the SFI Team to send a notification to a filer who has forgotten the User ID that they need to enter the system in order to file their SFI or to review their previous filings beginning with CY 2015. She added that the SFI Team is preparing for the CY 2020 SFI filing season and will be training municipal liaisons by WebEx.
Adjudicatory Matters
Ms. Slattery presented the calendar of pre-hearing conferences in pending Commission adjudicatory proceedings. She noted that the adjudicatory hearing regarding In the Matter of Jeffrey Fournier has been rescheduled to October 26, 2020 at 10:00 a.m.
In the Matter of Charles Carroll, Docket No. 20-0008: Commissioner Martinez was assigned as the presiding officer. Staff Counsel Norah Mallam will serve as legal advisor.
Ms. Slattery presented the draft guidelines for remote adjudicatory hearings to provide guidance to Commission staff, counsel, and the parties on how to prepare for and conduct remote hearings and remote depositions in compliance with the Commission’s Rules of Practice and Procedure, 930 CMR 1.00. Commissioner Kantrowitz said that he prefers to conduct hearings in-person, and all upcoming hearings should be postponed until they can be done in-person if all parties agree to it. Commissioner Sartory said that it can be difficult to display exhibits via video conference, which was already complicated enough to do in-person. Chair Krokidas said that the Commission will review the draft guidelines and provide more feedback at the next Commission meeting.
Litigation Matters
Ms. Slattery provided an update on [Doe] v. State Ethics Commission, Berkshire Superior Court Civil Action No. 1976CV00286. Ms. Slattery reported that an Answer and Motion to Dismiss Count II (failure to properly serve summons) is due on September 30, 2020. She indicated the parties were in the process of resolving Count II, but expected an Answer would be filed as to Count I.
Ms. Slattery provided an update on Condez v. Town of Dartmouth, et al., Bristol Superior Court Civil Action No. 1673CV00929. Ms. Slattery reported that on September 3, 2020, the Plaintiff served a Motion for Discovery Order on the Commission seeking records regarding an alleged closed investigation, but Plaintiff subsequently withdrew the motion.
ENFORCEMENT DIVISION MATTERS
Enforcement Division Chief Monica Brookman presented the Enforcement Intake Metrics. She reported that the Division was able to hold the backlog relatively steady in June and July with the continued help of contract Special Investigators Katelyn Farago and Paul Murray, who are each providing up to fifteen hours of investigative work per week. Ms. Brookman said that Special Investigator Tim Gravel, who has been on military leave since the beginning of April, was expected to return on October 1, 2020. However, Mr. Gravel notified her on September 4, 2020 that he expects his orders to be further extended to September 20, 2021. She also said that Special Investigator Lynn Edwards will be taking six month of family leave starting at the end of November.
Ms. Brookman said that the Division will be stretched extremely thin until it is able to again employ at least five full-time investigators, especially if the Division is unable to renew the expiring contracts of Ms. Farago and Mr. Murray. Mr. Wilson stated that since he does not know if the Commission will continue to be funded at its FY 2020 level after October, hiring currently remains on hold.
EXECUTIVE SESSION
At 10:53 a.m., on the motion of Chair Krokidas, seconded by Commissioner Kantrowitz, 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 10:54 a.m. and reconvened at 11:00 a.m.
LIST OF DOCUMENTS USED AT THIS MEETING
- Agenda for the Commission Meeting of September 17, 2020
- Minutes of the State Ethics Commission Meeting of July 30, 2020 Public Session
- Commission Office Reopening Plan Draft
- Memorandum dated September 10, 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 September 10, 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
- Draft Guidelines for Remote Adjudicatory Hearings
- Enforcement Intake Metrics
Respectfully submitted,
Arthur Xia
Program Coordinator