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.
APPROVAL OF MEETING MINUTES
On the motion of Commissioner Sartory, seconded by Commissioner Kantrowitz, the Commission voted 5-0 to waive the reading and approve the public session minutes of the July 18, 2019 Commission meeting.
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 resigned from her position and that her last day at the Commission was August 29. Mr. Wilson said that Ms. Farago was an exceptional person and model employee who would be missed.
Mr. Wilson reported that the hiring process for a new investigator was underway. He said the opening was posted August 23 and that applications were due September 13. Mr. Wilson said the Commission received many resumes from interested candidates and that interviews with selected candidates would begin the following week.
Mr. Wilson provided an update regarding the hiring process for the new Program Coordinator position in the Public Education and Communications Division. He said that the position was posted August 1 and applications were due September 6. He said there were many responses and that interviews were ongoing. Mr. Wilson said the Commission is fortunate to have the opportunity to add this new position.
Mr. Wilson said that since Commissioner Mills’ term expires October 11, it was possible that this would be his last meeting. He thanked Commissioner Mills for his years of distinguished service to the Commission and support of the staff. Commissioner Mills praised the commitment of the staff members and the quality of their work. Chair Krokidas told Commissioner Mills that his judicial experience and practical experience in municipal governance had been invaluable to the Commission. Mr. Wilson said that he had communicated with the Governor’s office regarding the appointment of a successor commissioner and that the vacancy notice had been posted as required. Chair Krokidas stated that she may not be in attendance at the October Commission meeting, in which case she would participate remotely. She announced that if she is unable to attend in person and if Commissioner Mills is not in attendance, Commissioner Sartory would serve as Vice Chair Pro Tem.
Next Meeting
Mr. Wilson reminded the Commission that the next Commission meeting is scheduled for Thursday, October 17th, 2019 at 9:30 a.m.
Budget
Mr. Wilson reported that since the last Commission meeting, the Legislature passed the Fiscal Year 2020 state budget on July 23 and the Governor signed it July 31. The budget provides the $2,391,848 in funding that the Commission requested. Mr. Wilson said the funding allows the Commission to maintain and improve its current level of services and hire a new Program Coordinator in the Public Education and Communications Division. He said he is thankful for the support of the Governor and the Legislature in the budget process. Mr. Wilson said the Commission submitted its spending plan to the Executive Office for Administration and Finance on September 6 and thanked Chief Financial Officer Alice Wu and Government Affairs Officer Robert Milt for their work on it. Mr. Wilson reported that the spending plan was presented to the Commission’s Audit, Finance, and Human Resources Committee on September 5. Mr. Wilson said the budget team is now working on the Commission’s Fiscal Year 2021 maintenance budget request, which is due in mid-October.
Training
Mr. Wilson informed the Commission that on July 24, he and General Counsel/Legal Division Chief Eve Slattery presented a conflict of interest law training for the House Joint Caucus. He said the training was well received and that he was thankful for the opportunity to do the presentation.
Coalition for Integrity Report
Mr. Wilson invited Public Information Officer Gerry Tuoti to provide an update regarding the national nonprofit Coalition for Integrity’s “Unpacking the S.W.A.M.P. Index,” which was released September 12. Mr. Tuoti told the Commission that the report included several favorable references to the Massachusetts State Ethics Commission and ranked the Commission No. 5 nationally for transparency and the public availability of enforcement statistics. Additionally, the report referenced the Massachusetts State Ethics Commission as one of three agencies in its “best practices” section. According to the report, the Commission received the most Fiscal Year 2018 complaints in the country among state ethics agencies that publicly report complaint volume. Mr. Tuoti said the Commission’s high transparency ranking appears to be a reflection of the information included on the Commission’s website and in the Commission’s annual reports. Mr. Tuoti thanked Public Education and Communications Division Chief David Giannotti and Enforcement Division Chief Monica Brookman for their help compiling the enforcement statistics.
COGEL Conference
Mr. Wilson told the Commission that he and five staff members – Deputy Legal Division Chief/SFI Lauren E. Duca, Assistant Enforcement Counsel Victoria Giuliano, Assistant General Counsel Ting Chiu, Assistant General Counsel T. Michael McDonald, and Public Information Officer Gerry Tuoti – will attend the Council on Governmental Ethics Laws annual conference in Chicago from December 15-18. Mr. Wilson invited the commissioners to join the delegation if any are interested in attending the conference.
EMPLOYEE COMPENSATION
Mr. Wilson provided an update regarding the compensation of Commission staff. He explained that some staff members, while not members of the National Association of Government Employees (NAGE), are paid in accordance with the NAGE Unit 6 Collective Bargaining Agreement’s (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 took effect July 1. Previously, after the first two 2% raises took effect, the Commission twice authorized Mr. Wilson to adjust the salaries of those staff members who are not paid in accordance with the CBA salary schedule so that those salaries would be fair and equitable in comparison to the salaries of the staff members who are paid in accordance with the CBA salary schedule. Mr. Wilson requested the Commission’s authorization to again adjust staff salaries now that the third and final 2% increase pursuant to the CBA had taken effect.
After discussion, on the motion of Chair Krokidas, seconded by Commissioner Sartory, the Commission voted 5-0 to approve, as requested by the Executive Director, a 2% increase in salaries of all non-contract Commission employees, not including the Executive Director, who are not compensated according to the NAGE Unit 6 CBA salary schedule, retroactive to July 1, 2019.
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 reported that he had recently conducted a conflict of interest seminar at UMass Medical School in Shrewsbury and he is scheduled to conduct one at UMass-Boston. He expressed his appreciation with UMass General Counsel Gerry Leone’s efforts to have the Commission visit all UMass campuses to conduct seminars for executive staff. Mr. Giannotti said that he has also received an invitation to conduct two seminars for staff in the Governor’s Office. Additionally, Mr. Giannotti said that he is scheduled to participate along with staff from the Attorney General’s Office and the Inspector General’s Office in a Board of Higher Education training program for new trustees of public colleges and universities.
Mr. Giannotti provided an update on the new Program Coordinator position. He said the Commission received 48 applications and was in the process of conducting interviews. He thanked Legal Division Assistant General Counsel T. Michael McDonald, Legal Division Staff Counsel Norah Mallam, Legal Division Deputy Chief/SFI Lauren E. Duca, Legal Division Staff Counsel Amy Nee, Legal Division Assistant General Counsel Ting Chiu, Government Affairs Officer Robert Milt, and Public Information Officer Gerry Tuoti for their hard work and assistance in reviewing applications and conducting interviews.
Mr. Giannotti updated the Commission on the project to develop a new conflict of interest law online training programs. He thanked Mr. Milt and Mr. Tuoti for their work organizing meetings with prospective vendors, applying for capital funding, and creating a survey, which was posted on the Commission’s website and distributed via email to state, county, and municipal agencies. Mr. Tuoti said that approximately 1,500 public employees had responded to the survey to date.
LEGAL DIVISION MATTERS
General Counsel/Legal Division Chief Eve Slattery reported on the activities of the Legal Division.
Legal Division Metrics for July/August 2019
Ms. Slattery presented the following Legal Division metrics for July/August 2019.
• Written advice. The Legal Division answered by letter or email 45 (July) and 46 (August) written requests for advisory opinions under G.L. c. 268A and c. 268B. Of these requests, 2 (July) and 7 (August) pertained to SFIs.
For comparison: July 2018 (same month last year): 50
August 2018 (same month last year): 46
June 2019 (previous month): 56
• Oral advice. The Legal Division attorneys provided advice by telephone or on a walk-in basis in response to 413 (July) and 431 (August) requests for advice from state, county and municipal officials. Of these requests, 65 (July) and 38 (August) pertained to SFIs.
For comparison: July 2018 (same month last year): 282
August 2018 (same month last year): 453
June 2019 (previous month): 403
• Review of municipal letters. Division staff reviewed 3 (July) and 2 (August) letters issued by city solicitors/town counsel pursuant to G.L. c. 268A, § 22 and 930 CMR 1.03.
For comparison: July 2018 (same month last year): 3
August 2018 (same month last year): 6
June 2019 (previous month): 2
• Backlog. As of today, the Division has 3 pending requests for written advice that are more than 30 days old. There is a total of 17 pending requests for written advice.
Adjudicatory Matters
Ms. Slattery presented the Legal Division Calendar. The Commission discussed that Commissioner Kantrowitz is serving as the hearing officer in the Helen Donohue matter, and Commissioner Sartory is serving as the hearing officer in the Stephen Comtois matter. Commissioner Martinez volunteered to serve as the hearing officer in the Peter Skorput matter. Ms. Slattery informed Commissioner Martinez that Ms. Chiu and Ms. Nee will be the legal advisors in the Skorput matter.
Litigation Matters
McGovern v. State Ethics Commission: Appeals Court Docket No. 2018-P-1060. The Commission is awaiting the Court’s decision.
Ms. Slattery stated that the Commission was party to an impounded case, which has since been dismissed. She said that Ms. Duca represented the Commission in the matter. She explained that the Legal Division represents the Commission in court proceedings as special assistant attorneys general with permission from the Attorney General’s Office.
Advisory on Gifts and Gratuities
Ms. Slattery presented a new draft Advisory 19-1: Gifts and Gratuities to update and replace Advisory 04-02. She explained that the new draft advisory, which was prepared by Mr. McDonald, follows a new format intended to present the information more clearly. Ms. Slattery said the new draft advisory includes an explanation of a provision regarding gifts from lobbyists, which was revised since the previous advisory was adopted. Ms. Slattery explained the revision expanded the definition of lobbyists to essentially include holders of gaming licenses, and that her recommendation is that the provision be interpreted to also include individuals affiliated with the holders of gaming licenses. Ms. Slattery stated that the Massachusetts Gaming Commission staff disagrees with her interpretation. She said the Massachusetts Gaming Commission apparently would not consider a casino in Massachusetts to be a legislative agent, but would consider the casino’s parent company and its qualifiers under G.L. c. 23K, § 14.to be legislative agents. Ms. Slattery said the new draft advisory also includes guidance on fundraising and crowdsourcing.
After discussion by the Commission and staff, on the motion of Chair Krokidas, seconded by Commissioner Martinez, the Commission voted 5-0 to approve as a draft the version of Draft Advisory 19-1 presented to the Commission at its September 19, 2019 meeting; to authorize the Executive Director to release the draft to the public for comment through a posting on the Commission website and through other appropriate means; and to direct staff to present a final draft, as appropriate, to the Commission for final approval at a later Commission meeting.
Legal Division Memorandum
Ms. Slattery presented a memorandum on statutory and regulatory provisions governing confidentiality of Commission proceedings. She said that at the June meeting, the Commission expressed interest in why certain information cannot be provided to complainants when a complaint is closed. Chair Krokidas suggested that a new memorandum be presented at the next Commission meeting to clarify that disposition agreements, public education letters, and any materials docketed in an adjudicatory hearing are public records.
ENFORCEMENT DIVISION MATTERS
Enforcement Division Chief Monica Brookman presented the Enforcement Division Intake Metrics. She noted that there was an influx of complaints in July and August.
Ms. Brookman provided an update on the hiring process for a new investigator. She said that the Commission received approximately 90 applications for the position and that eight candidates were selected for interviews. She thanked the Enforcement Division staff for assisting in the process.
Mr. Wilson left the room at 10:43 a.m.
EVALUATION AND COMPENSATION OF THE EXECUTIVE DIRECTOR
The Commission and Ms. Slattery discussed the process for conducting an annual evaluation and determining the compensation of the Executive Director. Ms. Slattery offered to serve as a resource for the Commission through the evaluation process. Chair Krokidas said that she found last year’s process less than satisfactory in regards to how feedback was presented to the Executive Director, and that it is important to have a fair and clear process.
Commissioners Sartory and Martinez volunteered to be on the evaluation committee, which will meet with staff at later dates to seek input on Mr. Wilson’s evaluation. Ms. Duca requested that there be an opportunity for staff to speak with the evaluation committee without any other staff present. Chair Krokidas asked that the evaluation committee report back to the Commission in December.
The meeting recessed at 10:52 a.m. and reconvened at 10:59 a.m., with Mr. Wilson present.
Chair Krokidas stated one of the recommendations of the evaluation committee last year was that the Commission consider making executive coaching available to Mr. Wilson. She said that last year’s budget did not include funding for a private executive coaching consultant, but that there is funding in the current budget for such a consultant. Chair Krokidas said that Mr. Wilson began exploring options before the current budget was approved, and now that the budget is in place, it would be appropriate for him to proceed.
EXECUTIVE SESSION
At 11:01 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.
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
1. Agenda for the Commission Meeting of September 19, 2019
2. Minutes of the State Ethics Commission Meeting of July 18, 2019 Public Session
3. Memorandum dated September 12, 2019 from Public Education and Communications Division Chief David Giannotti to the Commission concerning the Public Education and Communications Division report for the meeting
4. Memorandum dated September 11, 2019 from General Counsel/Legal Division Chief Eve Slattery to the Commission setting forth Legal Division matters for the meeting
5. 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
6. Legal Division Calendar
7. Draft Advisory 19-1: Gifts and Gratuities
8. Advisory 04-02: Gifts and Gratuities
9. Memorandum dated September 10, 2019 from General Counsel/Legal Division Chief Eve Slattery to the Commission concerning confidentiality
10. Enforcement Intake Metrics
11. Spending plan presented to the Executive Office for Administration and Finance
Respectfully submitted,
Gerry Tuoti
Public Information Officer