Settlement  Disposition Agreement in the Matter of Heather Sharpes-Smith

Date:	09/24/2025
Organization:	State Ethics Commission
Docket Number:	25-0007
Referenced Sources:	G.L. c. 268A, the Conflict of Interest Law, as Amended by c. 248, Acts of 2024

Disposition Agreement

The State Ethics Commission (“Commission”) and Heather Sharpes-Smith (“Sharpes-Smith”) enter into this Disposition Agreement pursuant to Section 3 of the Commission’s Enforcement Procedures. This Agreement constitutes a consented-to final order enforceable in the Superior Court, pursuant to G.L. c. 268B, § 4(j).

On June 20, 2024, the Commission initiated, pursuant to G.L. c. 268B, § 4(a), a preliminary inquiry into possible violations of the conflict of interest law, G.L. c. 268A. On July 31, 2025, the Commission concluded its inquiry and found reasonable cause to believe that Sharpes-Smith violated G.L. c. 268A, § 6.

The Commission and Sharpes-Smith now agree to the following findings of fact and conclusions of law:

Temporary Position

Findings of Fact

1. Sharpes-Smith was the University of Massachusetts Amherst (“UMass Amherst”) Associate Provost for Instructional Design and Technology, and the UMass Amherst Senior Vice Provost for Academic Affairs was her appointing authority, at all times here relevant.
2. As Associate Provost for Instructional Design and Technology, Sharpes- Smith oversaw the Instructional Design, Engagement and Support (“IDEAS”) Department, which provided technical support to faculty in relation to learning management systems.
3. On May 11, 2023, Sharpes-Smith sent an email to the UMass Amherst Human Resources (“HR”), the Senior Vice Provost for Academic Affairs, and others about a permanent Instructional Technologist Learning Management Systems (“LMS”) support position, which she had received approval to add to the IDEAS Department.
4. According to the May 11th email, the permanent LMS support position had not yet been available for posting and Sharpes-Smith wanted to hire an unnamed “guy” to work in a temporary or “03” position (“temporary position”) to perform the LMS support duties in the interim. Sharpes-Smith wrote,

I wanted to check-in on a couple of things while we wait for my positions to make their way through the long winding tunnel of HR ;) 1. Short term 03 LMS admin position - can we hire an 03 until our LMS position posts? The guy we want to hire as 03 is one we want to apply when the role posts.

5. The “guy” Sharpes-Smith wanted to hire was her brother, a New York resident.
6. Sharpes-Smith made her May 11th email inquiry about the possibility of hiring the unnamed “guy” for the temporary position without disclosing to HR, to her appointing authority, or to the State Ethics Commission that the “guy” to be hired was her brother, and was informed that she could make the hire.
7. Sharpes-Smith subsequently contacted HR with “a question about family working on the same team.” Sharpes-Smith told HR that the individual she had in mind for the temporary position was her brother and asked whether this would be permissible. HR answered affirmatively but said that Sharpes-Smith could not supervise him. Sharpes-Smith did not disclose to her appointing authority, the Senior Provost for Academic Affairs, or to the State Ethics Commission that the person she was planning to hire was her brother.
8. As Associate Provost for Instructional Design and Technology, Sharpes- Smith took the following actions in the hiring of her brother:
   • May 12, 2023, Sharpes-Smith recommended her brother for the temporary position by forwarding his resume to HR.
   • June 14, 2023, Sharpes-Smith approved the offer letter for the temporary position.
   • June 15, 2023, Sharpes-Smith electronically signed the offer letter to her brother, which he accepted electronically.
   • June 22, 2023, Sharpes-Smith verified her brother’s identity in support of his Criminal Offender Record Information (CORI) check.
9. Sharpes-Smith’s brother received a six-month appointment to the temporary LMS support position effective June 25, 2023. The temporary position was fulltime and paid $30 per hour without benefits.
10. From June 2023 through September 2023, Sharpes-Smith’s brother submitted his weekly timesheets to Sharpes-Smith and she approved them as Associate Provost for Instructional Design and Technology so that he could receive compensation for his work in the temporary LMS support position.

Conclusions of Law

11. Section 6 of G.L. c. 268A prohibits a state employee from participating as such an employee in a particular matter¹ in which, to their knowledge, they, or their immediate family has a financial interest.²
12. UMass Amherst is a state agency as that term is defined by G.L. c. 268A, § 1(p).
13. As Associate Provost for Instructional Design and Technology at UMass Amherst, Sharpes-Smith was a state employee.
14. Sharpes-Smith’s brother is her immediate family.
15. The hiring of Sharpes-Smith’s brother for the temporary LMS support position, including the decision to hire him and the process leading to that decision, was a particular matter.
16. Sharpes-Smith’s brother had a financial interest in the particular matter of his hiring, known to Sharpes-Smith, because the temporary LMS support position was a paid position.
17. As Associate Provost for Instructional Design and Technology, Sharpes- Smith participated in her brother’s hiring to the temporary LMS support position by (1) requesting the temporary position with the intent of hiring her brother, (2) recommending her brother for the temporary position, (3) approving the offer letter to her brother for the temporary position, (4) signing the offer letter, and (5) verifying her brother’s identity for a CORI check.
18. Sharpes-Smith’s brother’s employment in the temporary LMS support position was a contract and a particular matter within the meaning of G.L. c. 268A.
19. As Associate Provost for Instructional Design and Technology, Sharpes- Smith also participated in the particular matter of his employment in the temporary LMS support position by approving her brother’s weekly timesheets, thus determining that he had worked the hours stated in the timesheets and authorizing his compensation for those hours.
20. When Sharpes-Smith participated as Associate Provost for Instructional Design and Technology in each of the particular matters described above, she knew her brother had a financial interest in the particular matters because the temporary LMS support position was paid.
21. Therefore, by, as Associate Provost for Instructional Design and Technology, participating in the hiring of her brother for the paid temporary LMS support position and subsequently participating in his employment in that position by approving his timesheets and compensation for his work in that position, Sharpes-Smith violated § 6.

Permanent Position

Findings of Fact

22. In August 2023, Sharpes-Smith approved the position description for a permanent Instructional Technologist LMS position (“permanent position”) and received authorization to fill the position. The duties of the permanent position were identical to the temporary LMS support position then held by Sharpes-Smith’s brother.
23. An unexpected vacancy occurred in a second Instructional Technologist LMS position, also permanent, and Sharpes-Smith received permission to fill that position as well.
24. Sharpes-Smith subsequently asked an IDEAS Department subordinate to lead a hiring committee (“Hiring Committee Lead”) to fill the two positions.
25. Sharpes-Smith and another IDEAS Department subordinate with technical expertise (“Tech Subordinate”) reviewed approximately 100 resumes for the permanent position and removed candidates that did not meet the minimum requirements for the position.
26. A Hiring Committee comprised of the Hiring Committee Lead, the Tech Subordinate, and an individual from a different department, interviewed five candidates for the permanent positions and determined that Sharpes-Smith’s brother and another individual were the best candidates for the positions.
27. On October 13, 2023, the Hiring Committee Lead announced its determinations in an email to Sharpe-Smith and, as regards Sharpes-Smith’s brother wrote, “Candidate has strong institutional and IDEAS knowledge from his time working with the team as an 03 [temporary position].”
28. Sharpes Smith forwarded the Hiring Committee Lead’s email to the Executive Director of Financial Planning and Operations asking, “Can we move forward with next steps in hiring?”
29. The “next steps” were to hire Sharpes-Smith’s brother for the permanent position. Sharpes-Smith designated the Hiring Committee Lead to process her brother’s hiring on Sharpes-Smith’s behalf.

30. Sharpes-Smith’s brother was hired for the permanent position effective November 5, 2023, at a salary of $68,000. The permanent position included benefits and union membership. 

    Conclusions of Law

31. The decision to hire someone to fill the permanent position was a particular matter.
32. As a candidate for the permanent position, Sharpes-Smith’s brother had a financial interest in the decision of who to hire for the position because the permanent position was a paid position with benefits and union membership.
33. As Associate Provost for Instructional Design and Technology, Sharpes- Smith participated in the decision-making process that led to the hiring of her brother to the permanent position by (1) asking her IDEAS Department subordinate to serve as Hiring Committee Lead, (2) reviewing the resumes for the permanent position and culling the candidates that did not meet the minimum requirements, (3) asking the Executive Director of Financial Planning and Operations about moving forward with the candidates recommended by the Hiring Committee, which included her brother and, (4) designating the Hiring Committee Lead to process her brother’s hire.
34. When Sharpes-Smith participated as Associate Provost for Instructional Design and Technology in the decision-making process to hire her brother for the permanent position, she knew her brother had a financial interest in that decision.
35. Accordingly, by participating as Associate Provost for Instructional Design and Technology in the hiring of her brother for the permanent position, Sharpes- Smith violated § 6.

In view of the foregoing violations of G.L. c. 268A by Sharpes-Smith, the Commission has determined that the public interest would be served by the disposition of this matter without further enforcement proceedings, on the basis of the following terms and conditions agreed to by Sharpes-Smith:

1. that Sharpes-Smith pay to the Commonwealth of Massachusetts, with such payment to be delivered to the Commission, the sum of $10,000 as a civil penalty for repeatedly violating G.L. c. 268A, § 6; and
2. that Sharpes-Smith waive all rights to contest, in this or any other administrative or judicial proceeding to which the Commission is or may be a party, the findings of fact, conclusions of law and terms and conditions contained in this Agreement.

By signing below, Sharpes-Smith acknowledges that she has personally read this Disposition Agreement, that it is a public document, and that she agrees to all of the terms and conditions therein.

1 “Particular matter” includes, in relevant part, contracts, decisions, and determinations. G.L. c. 268A, § 1(k).

2 This section further states:

Any state employee whose duties would otherwise require her to participate in such a particular matter shall advise the official responsible for appointment to her position and the state ethics commission of the nature and circumstances of the particular matter and make full disclosure of such financial interest, and the appointing official shall thereupon either

1. assign the particular matter to another employee; or
2. assume responsibility for the particular matter; or
3. make a written determination that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the commonwealth may expect from the employee, in which case it shall not be a violation for the employee to participate in the particular matter. Copies of such written determination shall be forwarded to the state employee and filed with the state ethics commission by the person who made the determination. Such copy shall be retained by the commission for a period of six years. (emphasis added)