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Massachusetts State Ethics Commission

Code of Massachusetts Regulations: 930 CMR 1-5

930 CMR 1.00:              RULES OF PRACTICE AND PROCEDURE

930 CMR 2.00:             DESIGNATIONS OF PUBLIC EMPLOYEES

930 CMR 3.00:             CONFIDENTIALITY

930 CMR 4.00:             STATEMENTS OF FINANCIAL INTERESTS: INSPECTIONS

930 CMR 5.00:             EXEMPTIONS FROM M.G.L. c. 268A

930 CMR 1.00:              RULES OF PRACTICE AND PROCEDURE

(1) Scope, Construction and Definitions.

(2) Representation.

(3) Time.

(4) Filings Generally.

(5) Initiation of Formal Adjudicatory Proceedings.

(6) Motions.

(7) Discovery.

(8) Intervention and Participation. Any person whose name is mentioned during an Adjudicatory Proceeding of the Commission and who may be adversely affected thereby may, by filing a written request with the Commission, either appear personally before the Commission or Presiding Officer to make a statement on his own behalf or file a written statement for incorporation into the record of the proceeding. The Commission or the Presiding Officer shall, in their discretion, regulate the time, place and method of any oral presentation pursuant to this section.

(9) Hearings and Conferences.

(1) General. 930 CMR 1.02 shall be applicable to all proceedings held under 930 CMR 1.01 of these Rules.

(2) Effective Date. These Rules which amend 801 CMR 1.00 shall take effect as of the date of publication thereof.

(3) Citation. These Rules shall be cited as "State Ethics Commission Rules of Practice and Procedure" followed by the particular rule and section number.

(4) Availability of Rules. Copies of these Rules shall be available upon request to any person from the Commission.

(5) Severability. If any rule contained herein is found to be unconstitutional or invalid by a court of competent jurisdiction, the validity of the remaining rules will not be so affected.

(6) Non-English Speaking Parties.

(7) Conflicts. No Presiding Officer who has a direct or indirect interest, personal involvement or bias, in an Adjudicatory Proceeding, shall conduct a hearing in said matter, nor shall he participate in the decision-making process with respect to such matter.

(8) Ex-Parte Communications. No Party or other Person directly or indirectly involved in an Adjudicatory Proceeding shall submit to the Presiding Officer or any Commission employee involved in the Decision-making process, any evidence, argument, analysis or advice, whether written or oral, regarding any matter at issue in an Adjudicatory Proceeding, unless such submission is part of the record or made in the presence of all Parties. This provision does not apply to consultation among Commission members concerning the Commission's internal administrative functions or procedures.

(9) Docket/Decision Index.

(10) Statute of Limitations.

(1) Upon written request by any municipal employee, including an employee of a municipal district, a regional municipal entity, a former municipal employee or a prospective municipal employee, the Commission shall issue a formal advisory opinion under M.G.L. c. 268B, §3(g). Copies of any such opinions, excepting the name of the requesting person and any other identifying information, shall be forwarded to any city corporation counsel, city solicitor or town counsel who has subscribed with the Commission to receive the opinions. The Commission may decline to issue an opinion if the employee has requested an opinion on the same matter from the city corporation counsel, city solicitor or town counsel and a copy of the opinion has been filed with the Commission as provided in 930 CMR 1.03(3).

(2) An advisory opinion issued by the Commission under M.G.L. c. 268A, §3(g) is binding on the Commission in any subsequent proceedings only with respect to the person who requested the opinion and to those upon whose behalf he requested the opinion. The Commission is not bound by an opinion whose material facts were omitted or misstated by the person in the request for the opinion, or who otherwise acted in bad faith in securing the opinion.

(3) Any city corporation counsel, city solicitor or town counsel who files with his respective municipal clerk an advisory opinion issued under M.G.L. c. 268A, §22 shall also file a copy of the opinion with the Commission. Following receipt of the opinion, the Commission, acting through the Executive Director, shall notify the city corporation counsel, city solicitor or town counsel of any legal conclusions in the opinion which are inconsistent with Commission conclusions on similar issues under M.G.L. c. 268A or are otherwise, in the Commission's judgment, incorrect, incomplete or misleading. If no such notification is sent by the Commission within 30 days of receipt of the opinion, the opinion will be binding upon the Commission to the extent and in the manner stated in 930 CMR 1.03(2). An advisory opinion issued by a corporation counsel, city solicitor or town counsel under M.G.L. c. 268A, §22, a copy of which is not filed with the Commission, is not binding upon the Commission.

REGULATORY AUTHORITY

930 CMR 2.00: DESIGNATIONS OF PUBLIC EMPLOYEES

M.G.L. c. 268B requires that public employees annually file Statements of Financial Interest with the State Ethics Commission for any year in which they are public employees for thirty (30) days or more. Chapter 268B defines "public employee" to include, with certain enumerated exceptions, persons holding "major policy making positions" in governmental bodies and imposes upon certain state and county officials the obligation annually to designate the "major policy making positions" within their respective jurisdictions. M.G.L. c. 268B also empowers the Executive Director of the State Ethics Commission to add positions which he deems to be "major policy making positions".

930 CMR 2.00 establishes standards and procedures for the designation of "major policy making positions" and identification of public employees by the appropriate state and county officials and by the Executive Director of the State Ethics Commission. They are intended to carry out the purposes of M.G.L. c. 268B by insuring uniform designations throughout state and county government and facilitating the designation process.

As used in these regulations, the following terms have the following meanings. All terms defined herein will be capitalized throughout these regulations.

(1) BOARD, COMMISSION OR COUNCIL WHICH HAS NO AUTHORITY TO EXPEND PUBLIC FUNDS means any board, commission or council which:

(2) COMMONWEALTH means the Commonwealth of Massachusetts or any agency or political subdivision thereof.

(3) DESIGNATION LIST means one of the lists of MAJOR POLICY MAKING POSITIONS which must be filed with the State Ethics Commission pursuant to M.G.L. c. 268B, §3(j).

(4) DESIGNATOR means a state or county official required by M.G.L. c. 268B, §3(j) to submit a list of MAJOR POLICY MAKING POSITIONS within his or her jurisdiction.

(5) EXECUTIVE DIRECTOR means the Executive Director of the State Ethics Commission.

(6) EXECUTIVE OR ADMINISTRATIVE HEAD OR HEADS OF A GOVERNMENTAL BODY means:

(7) EXERCISING SIMILAR AUTHORITY means exercising authority on more than an occasional basis or for more than eight consecutive days which is qualitatively or quantitatively similar to, or the same as, that of the EXECUTIVE OR ADMINISTRATIVE HEAD OR HEADS OF A GOVERNMENTAL BODY, A MEMBER OF THE JUDICIARY, a person whose SALARY EQUALS OR EXCEEDS THAT OF A STATE EMPLOYEE CLASSIFIED IN STEP ONE OF JOB GROUP XXV of the general salary schedule contained in M.G.L. c. 30, §46 and who reports directly to said EXECUTIVE OR ADMINISTRATIVE HEAD, or the HEAD of a division, bureau or other MAJOR ADMINISTRATIVE UNIT WITHIN A GOVERNMENTAL BODY, except that no person shall be deemed to be exercising authority similar to that of another person merely by virtue of acting in the place of that other person during his or her normal vacation or sick leave periods.

(8) GOVERNMENTAL BODY means: any state or county agency, authority, board, bureau, commission, council, department, division, or other entity, including the general court and the courts of the COMMONWEALTH, whether or not located within, or subject to the control of, a larger GOVERNMENTAL BODY.

(9) HEAD means the chief executive or administrative officer or officers.

(10) HOLDING A MAJOR POLICY MAKING POSITION IN A GOVERNMENTAL BODY FOR THIRTY DAYS OR MORE means occupying that position for that period of time, without regard to days of actual service.

(11) MAJOR ADMINISTRATIVE UNIT means any department, division, bureau, or other unit whether established by law or by administrative action and whether or not within another administrative unit, which

(12) MAJOR POLICY MAKING POSITION(S) means:

(13) MEMBER(S) OF THE JUDICIARY means every judge, justice, chief justice, chief judge, administrative justice, circuit justice, associate justice, associate judge, special justice, and master in chancery of every court of the COMMONWEALTH.

(14) PERSON WHO RECEIVES NO COMPENSATION means any person who does not receive money or anything of value, except reasonable reimbursements for expenses actually incurred, in exchange for services rendered in a governmental position. Any person who serves in a position for which compensation is authorized by statute, rule, or regulation, shall be considered "a person who receives no compensation" within the meaning of this paragraph only if, by official act (including lack of an appropriation), the compensation is not made available to that person. Any person who fails for any reason to accept compensation which has been set aside for, or which has otherwise been made available to, him or her for the position, shall not be considered "a person who receives no compensation" within the meaning of this paragraph.

(15) PUBLIC EMPLOYEE means any person HOLDING A MAJOR POLICY MAKING POSITION IN A GOVERNMENTAL BODY FOR THIRTY DAYS OR MORE during a REPORTING YEAR whether by election, appointment, contract of hire or engagement, and whether on a full, part-time, intermittent, or consultant basis, excluding any person who serves on a BOARD, COMMISSION OR COUNCIL WHICH HAS NO AUTHORITY TO EXPEND PUBLIC FUNDS other than to approve reimbursements for expenses and excluding any PERSON WHO RECEIVES NO COMPENSATION other than reimbursements for expenses.

(16) REPORTING YEAR means the calendar year for which a Statement of Financial Interest is required to be filed.

(17) SALARY EQUALS OR EXCEEDS THAT OF A STATE EMPLOYEE CLASSIFIED IN STEP ONE OF JOB GROUP XXV means that the salary, wages or other compensation authorized for the REPORTING YEAR equals or exceeds the salary in effect on January 1st of the REPORTING YEAR for step one of job group XXV; provided that in the case of individuals working as consultants for a period which exceeds or is reasonably expected to exceed 60 days, it means that the figure arrived at by annualizing the maximum possible earnings equals or exceeds the salary in effect on January 1 of the REPORTING YEAR for step one of job group XXV. For purposes of 930 CMR 2.02, a day means a full working day or part thereof.

(1) Requests for Lists. On or before February 1 of each year, the EXECUTIVE DIRECTOR shall request every DESIGNATOR to prepare and submit a DESIGNATION LIST of the MAJOR POLICY MAKING POSITIONS within his or her jurisdiction and to identify all PUBLIC EMPLOYEES who are or have been in those positions during the REPORTING YEAR.

(2) Submission of Lists

(3) Certifications. The DESIGNATOR shall certify on each DESIGNATION LIST that the list has been prepared in accordance with Chapter 268B and 930 CMR 2.00 and notice served as required by 930 CMR 2.03(4).

(4) Notice. The DESIGNATOR shall, before submitting any DESIGNATION LIST to the Ethics Commission, notify each individual named on that list of his or her designation as a PUBLIC EMPLOYEE and obligation to file a Statement of Financial Interest with the Ethics Commission on or before May 1.

(1) A DESIGNATOR may at any time add positions and/or individuals to his/her DESIGNATION LIST by submitting to the Ethics Commission a written amendment to the original DESIGNATION LIST, providing with respect to the new positions and individuals the same information and certifications as are required by 930 CMR 2.03(3) and (4) above on the original DESIGNATION LIST.

(2) A DESIGNATOR may delete positions and/or individuals from his/her DESIGNATION LIST during the sixty-day period immediately following receipt of the EXECUTIVE DIRECTOR's request for designations by informing the Ethics Commission of the deletion in writing.

(3) A DESIGNATOR may delete positions and/or individuals from his/her DESIGNATION LIST after the sixty-day period immediately following receipt of the EXECUTIVE DIRECTOR's request for designations by submitting the following data in writing to the Commission:

Every DESIGNATOR shall submit to the Ethics Commission the name of any new PUBLIC EMPLOYEE within his or her jurisdiction within ten days of his or her employment.

(1) The EXECUTIVE DIRECTOR may at any time add to any DESIGNATION LIST submitted in accordance with 930 CMR 2.03 above any position which he or she deems to be a MAJOR POLICY MAKING POSITION and/or the names of any individuals whom he or she deems to be PUBLIC EMPLOYEES, provided he/she certifies in writing that the addition is in accordance with M.G.L. c. 268B and with these regulations and that he/she has served notice as required by 930 CMR 2.06(2) below.

(2) The EXECUTIVE DIRECTOR shall, within 30 days of adding any individual to a DESIGNATION LIST, send written notice to the individual of his or her designation and obligation to file a Statement of Financial Interest with the State Ethics Commission, stating the facts relied upon as the basis for the designation, citing the statute and regulations authorizing designations by the EXECUTIVE DIRECTOR, enclosing a copy of the forms to be filed, and informing the individual of his/her right to an appeal before the Ethics Commission. The EXECUTIVE DIRECTOR shall also send a copy of the notice of the designation to the DESIGNATOR and the head of the individual's GOVERNMENTAL BODY.

(3) Any person aggrieved by the action of the EXECUTIVE DIRECTOR may appeal that action to the Ethics Commission in accordance with the Formal Rules of the Standard Rules of Practice and Procedure, 801 CMR 1.00.

REGULATORY AUTHORITY

930 CMR 3.00: CONFIDENTIALITY

(1) 930 CMR 3.00 is made pursuant to the authority of M.G.L. c. 268B, §3(a) and is intended to implement the confidentiality requirements of M.G.L. c. 268B, §§3(g) and 4(a), (b) and (i).

(2) The nature or existence of a preliminary inquiry involving allegations of violations of M.G.L. 268A or 268B, or of an initial staff review to determine whether to conduct a preliminary inquiry, shall be kept confidential by participants in those proceedings.

(3) "Participants" shall include any member or employee of the Commission, a complainant and any potential witness who contacts, or who has been contacted by, an employee of the Commission.

(4) If the Commission votes and makes public a finding of reasonable cause and authorization of adjudicatory proceedings in accordance with M.G.L. c. 268B, §4(c), the participants in the Commission proceeding shall no longer be bound by the requirements of 930 CMR 3.01(2).

(5) The identity of a complainant shall be kept confidential by Commission members and employees.

(6) Notwithstanding the provisions of these regulations, the Commission may provide relevant information concerning a complaint or inquiry to a court or a law enforcement agency.

(7) Nothing contained in these regulations shall be construed to require the subject of a preliminary inquiry or initial staff review to maintain the confidentiality of such proceedings provided, however, that should the subject make a public disclosure concerning the disposition of an inquiry or staff review by the Commission, the Commission may confirm the existence of the inquiry or staff review and, in its discretion, make public any documents which were issued to the subject or which stated the resolution of the matter.

(8) Advisory opinions issued pursuant to M.G.L. c. 268B, §3(g) or staff letters issued in lieu of formal advisory opinions, shall be confidential, provided that the Commission may publish such opinions, and may disclose the contents of such letters, but the name of the requesting person and any other identifying information shall not be included unless the requesting person consents to such inclusion or publicly discloses that he has requested or received an opinion or letter from the Commission. The requirements of this paragraph shall not apply to an opinion or letter which is issued to a person who is subsequently the subject of a preliminary inquiry concerning the same or similar matters, and the Commission votes to find reasonable cause and authorizes adjudicatory proceedings.

(9) Memoranda prepared by the Legal Division for the Commission during deliberations in executive sessions mandated by M.G.L. c. 268B, §4(i) shall remain confidential.

(10) Complaints that Commission members or employees have violated the provisions of M.G.L. c. 268B, ss. 3, 4, or 7 or these regulations shall be referred to the Attorney General for investigation. Such referral shall not preclude additional sanctions by the Commission.

>REGULATORY AUTHORITY

930 CMR 4.00: STATEMENTS OF FINANCIAL INTERESTS: INSPECTIONS

(1) This regulation is intended to implement the public inspection request and notification requirements contained in M.G.L. c. 268B, §3(d).

(2) For the purposes of this regulation:

(3) A requester shall submit to the Commission a statement inspection request form containing:

(4) If the request is made in person at the Commission's office, the requester shall provide sufficient documentation identifying the requester. Sufficient documentation constitutes a driver's license, registry of motor vehicles identification card, student identification, social security card or passport. Following the Commission's determination that the document is sufficient and the statement inspection request form is complete, the Commission shall provide to the requester the statement for review. Any requester who wishes to retain a copy of a statement shall receive a copy following submission to the Commission of a payment sufficient to cover the reasonable copying costs, as determined by the Commission.

(5) If the request is received from a requester by mail, rather than in person, and the requester requests the Commission to forward by mail a copy of the statement, the request must be accompanied by:

REGULATORY AUTHORITY

930 CMR 5.00: EXEMPTIONS FROM M.G.L. c. 268A

M.G.L. c. 268B, § 3(a)(2) authorizes the State Ethics Commission to carry out the purposes of M.G.L. c. 268A by promulgating rules and regulations providing for reasonable exemptions from the provisions of M.G.L. c. 268A, §§ 3 through 7, §§ 11 through 14, §§ 17 through 20, and § 23. 930 CMR 5.00 is intended to establish reasonable exemptions to the provisions of M.G.L. c. 268A. The establishment of such exemptions shall not be the basis for inferring that any conduct, items or other matters not so exempted are prohibited, permitted, restricted or otherwise regulated by M.G.L. c. 268A.

Authority. 930 CMR 5.00 is promulgated under authority and in conformity with M.G.L. c 268B, § 2 and M.G.L. c. 30A.

Terms defined in M.G.L. c. 268A and c. 268B shall have the same meanings as in 930 CMR 5.00. In addition for purposes of 930 CMR 5.00:

Appointing Authority means the individual official, board, commission or other governmental body that has the legal authority to appoint a state, county or municipal employee or has otherwise been delegated by such appointing authority to act as the appointing authority for purposes of any disclosure filed pursuant to M.G.L. c. 268A and 930 CMR 5.00.

Commission means the State Ethics Commission.

Disclosure means a written statement on a form prescribed by the Commission, or in another writing that otherwise complies with M.G.L. c. 268A and 930 CMR 5.00, of all relevant facts as required by the circumstances and the provisions of 930 CMR 5.00. Disclosures shall be public records for purposes of M.G.L. c. 4, § 7, cl. 26 and shall be filed as follows:

Free or Discounted Admission means a waiver of all or part of the fees for admission to, and food, refreshment, instruction, and materials provided at an annual business or other meeting, seminar, conference or similar event held by a community group or professional, business, civic, charitable, trade or labor organization, but shall not include entertainment and meals that are not an official part of the event and where some, but not all, attendees are invited to participate.

General School Fee means a fee, waiver or exemption established by a school committee for a school service, program or activity including, but not limited to, fees for school bus transportation, preschool or after school programs, sports or extracurricular activities. The term "general school fee" does not include a fee that applies to a single event.

Legitimate Speaking Engagement means giving a speech or serving on a panel where the speech or panel:

Legitimate Public Purpose means the promotion of tourism, economic development and other activities to promote the interests of the Commonwealth, a county, or a municipality; attendance at training and educational events designed to improve the efficiencies and effectiveness of public services or to enhance the knowledge and skills of public employees relative to their official duties; business travel necessary to make informed purchasing decisions, selections, and inspections; and similar public purposes.

Public Employee means a state, county or municipal employee or a special state, county or municipal employee as defined in M.G.L. c. 268A, § 1.

Substantial Value means a value of $50 or more. For purposes of determining substantial value, the value of a gift, item, discount or other benefit shall mean the fair market value of the gift, item, discount or other benefit unless the cost or face value is greater.

Example: The face value of a ticket to a sporting event is $30 but the giver paid $ 100. The value of the ticket is $100 and of substantial value.

Example: The face value of a ticket to a concert is $100 but, due to the scarcity of such tickets, the fair market value is $500 at the time of the gift. The value of the ticket is $500 and of substantial value.

Example: The fair market value of meals and entertainment to a charitable event is $40.00 but the face value or cost of a ticket to the event is $ 150. The value of the ticket is $ 150 and of substantial value. If a gift, item, discount or other benefit is given to more than one person, the value to each person shall be the total value of the gift, item, discount or other benefit divided by the number of recipients.

Example: The total cost including tax and tips of dinner for ten people is $750. Each individual attending the dinner is deemed to have received a $75 dinner, which is of substantial value. In determining substantial value the Commission shall aggregate gifts, items, discounts or other benefits offered or given to, or received by, a public employee within a calendar year by one person or by an organized group of persons having a common interest in a particular matter or legislation before that public employee. Gifts, items, discounts or other benefits whose valuation cannot be readily ascertained are not eligible for exemption pursuant to 930 CMR 5.04.

(1) Gifts and Benefits Not Requiring Disclosure. It shall not be a violation of M.G.L. c. 268A,§ 3(a) for an individual to give or offer to give or a violation of M.G.L. c. 268A, § 3(b) or § 23(b)(2) for a public employee to receive a gift or benefit set forth in 930 CMR 5.04(1) provided that such gift or benefit has not been solicited by the public employee. No disclosure shall be required by M.G.L. c. 268A, § 23(b)(3) or 930 CMR 5.04( 1) for any such gift or benefit received by a public employee.

(2) Gifts and Benefits Requiring Disclosure. It shall not be a violation of M.G.L. c. 268A, § 3(a) for an individual to give, or offer to give, or a violation of M.G.L. c. 268A, § 3(b) or § 23(b)(2) for a public employee to receive a gift or benefit set forth in 930 CMR 5.04(2). It shall not be a violation of M.G.L. c. 268, § 23(b)(3) or 930 CMR 5.04(2) for a public employee to receive any such gift or benefit if the employee makes a disclosure as provided for in 930 CMR 5.04(3).

(3) Disclosure.

(1) Free or Discounted Travel. It shall not be a violation of M.G.L. c. 268A, § 3(a) for an individual to offer, or give, or a violation of M.G.L. c. 268A, § 3(b), § 23(b)(2) or § 23(b)(3) for a public employee to receive, free or discounted travel and lodging expenses, including meals, of substantial value that serve legitimate public purposes provided that:

(2) Legitimate Speaking Engagements. Reimbursement for out-of-pocket travel expenses, including transportation, lodging, meals, and conference fees, to a public employee who participates in a legitimate speaking engagement whose purpose is to provide education to conference participants. The travel expenses may only cover the day or days on which the public employee has participation or presentation responsibilities and the days on which the public employee must travel to the conference and return to the Commonwealth.

(3) Free or Discounted Admission. It shall not be a violation of M.G.L. c. 268 A, § 3 (a) for an individual to offer or give or a violation of M.G.L. c. 268A, § 3(b), § 23(b)(2), or § 23(b)(3) for a public employee to receive, free or discounted admission of substantial value.

It shall not be a violation of M.G.L. c. 268A, § 7 for a state employee to have a financial interest in a contract or agreement with the Department of Social Services to serve as a foster parent, guardian, pre-adoptive or adoptive parent, including but not limited to the receipt of payments directly or indirectly from the Commonwealth of Massachusetts according to prevailing schedules, provided that:

(1) It shall not be a violation of M.G.L. c. 268A, § 19 for an elected member of a school committee to participate in a particular matter involving a general school fee in which such member or such member's immediate family has or is reasonably likely to have a financial interest because the elected member or a member of his or her immediate family has a child in the school system, if:

(2) Notwithstanding the provisions of 930 CMR 5.07(1), nothing shall authorize an elected member of a school committee to participate in a particular matter involving any fee that would affect the financial interest of only that member's child and/or a child of that member's immediate family, regardless of the amount of the financial interest.

REGULATORY AUTHORITY

930 CMR 5.00: M.G.L. c. 268B, § 3(a)(2).

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