Minutes

April 30, 2009

The Citizen’s Ethics Advisory Board (“Board”) of the Office of State Ethics (“OSE”) held a Special Meeting on Thursday, April 30, 2009on the 5th Floor, State Elections Enforcement Commission Conference Room, 18-20 Trinity Street, Hartford, CT06106.

Chairperson Robert Worgaftik called the meeting to order at 1:05 p.m.

The following members of the Board were present:

  • Robert Worgaftik, Chairman
  • Sister Sally J. Tolles, Vice Chairperson
  • Ernest Abate, Member
  • Kenneth Bernhard, Member
  • Kathleen Bornhorst, Member
  • Thomas H. Dooley, Member
  • Rebecca Doty, Member (participated by teleconference)
  • Dennis Riley, Member

The following staff members of the OSE were present:

  • Carol Carson, Executive Director
  • Barbara Housen, General Counsel
  • Cynthia Isales, Assistant Enforcement Officer
  • Thomas K. Jones, Enforcement Officer
  • Patrick Lamb, Assistant General Counsel
  • Peter Lewandowski, Assistant General Counsel
  • Brian O’Dowd, Assistant General Counsel
  • Yolanda Perez, Clerk
  • Mark Wasielewski, Assistant Enforcement Officer
  • Kayla Bynum, Student Intern

The following topics were addressed during the meeting:

  1. The minutes of the March 24, 2009 special meeting were presented to the Board for approval. Corrections were noted to the minutes.

On the motion by Ms. Bornhorst, seconded by Mr. Riley, the Board voted eight(8) to zero(0) to accept and approve the minutes with corrections.

  1. The minutes of the March 26, 2009 regular meeting were presented to the Board for approval. Corrections were noted to the minutes.

On the motion by Mr. Riley, seconded bySister Tolles, the Board voted eight (8) to zero (0) to accept and approve the minutes with corrections.

  1. General Counsel Houseninformed the Board that a request was received from the Administrative & Residual Employees Union to postpone consideration of the Draft Advisory Opinion, “Application of General Statutes § 1-80 (b) to Members of the Citizen’s Ethics Advisory Board Running for Local Elective Office,” for one month.

On the motion by Mr. Abate, seconded by Mr. Riley, the Board voted eight (8) to zero (0) to table the Draft Advisory Opinion, “Application of General Statutes § 1-80 (b) to Members of the Citizen’s Ethics Advisory Board Running for Local Elective Office,” until the May 2009 regular meeting.

  1. Mr. Worgaftik addressed the Board regarding the Appointment of a Board Member to Fill a Vacancy on the Connecticut State University System Committee, as required by General Statutes § 1-84 (r) (3).

Discussion took place regarding the appointment.

Mr. Worgaftik appointed Mr. Bernhard to serve on the Connecticut State University System Committee. Mr. Bernhard accepted the appointment.

  1. General Counsel Housen presented the Board with the Legal Division Report.

Discussion took place regarding the Legal Division Report.

  1. Executive Director Carson reported that the OSE regulations were submitted and scheduled for consideration before the Regulations Review Committee. She informed the Board that upon review by the Legislative Commissioner’s Office(LCO) prior to consideration,substantive concerns with 4 sections were raised by LCO staff and the regulations were thereafter withdrawn. She reported that OSE staff then met with the LCOstaff regarding their concernsand three of the four issues were resolved. She indicated that the regulations will be resubmitted to the Regulations Review Committee for consideration at its June meeting.
  1. Executive Director Carson reported to the Board regarding the Statements of Financial Interests (SFI) Audit Protocol. She stated that 5% of the Statements of Financial Interests filers will be randomly selected for audit.

Discussion took place regarding the new SFI on-line filing system.

  1. In the absence of Meredith Trimble, Director of Education, Executive Director Carson presented the Board with the Director of Education’s Written Report.
  1. Executive Director Carson presented the Board with the Executive Director’s Report. She reported regarding the Appropriations Committee proposedbudget. Regarding personnel issues, she statedthat AttorneyLamb has joined the Legal Divisionand that AttorneyIsales has joined the Enforcement Division. Executive Director Carson introducedKayla Bynum, student intern from HartfordPublicHigh School’s Law and GovernmentAcademyand notedthat 4 additional student interns will join the OSE during the summer. She reported that Iris D’Oleo-Edwin, Paralegal from the Enforcement Division, has returned to work from parental leave.
  1. Enforcement Officer Jones presented the Enforcement Division Report.

Enforcement Officer Jones presented the Board with four enforcement audits conducted by the Enforcement Division:

(1) American Express

(2) CBA Admin Law Section

(3) Physicians for Women’s Health

(4) TAP Pharmaceuticals

On the motion by Ms. Bornhorst, seconded by Mr.Riley, the Board voted eight (8) to zero (0) to accept and approve the following three enforcement audits as presented: (1) American Express, (2) CBA Admin Law Section and (3) TAP Pharmaceuticals

On the motion by Ms. Bornhorst, seconded by Sister Tolles, the Board voted seven (7) to zero (0) to accept and approve the enforcement audit for Physicians for Women’s Health as presented. Mr. Worgaftik abstained.

Enforcement Officer Jones indicated the need for a hearing officer to preside over UAPA hearings on June 16, 2009.

On the motion by Mr. Bernhard, seconded by Sister Tolles, the Board voted eight (8) to zero (0) to accept and approve Mr. Riley as the hearing officer for the June 16, 2009 hearings. Mr. Riley abstained.

  1. On the motion by Mr. Riley, seconded by Sister Tolles, the Board voted eight (8) to zero (0) to move into executive and closed sessions: (a) todiscuss settlement offers and (b) to discuss status of matters that are confidential pursuant to General Statutes §§ 1-82a and 1-93a.

The Board moved intoexecutive and closed sessions at 2:09p.m.

The following individuals attended the executive session:

Robert Worgaftik, Chairman

Sister Sally J. Tolles, Vice Chairperson

Ernest Abate, Member

Kenneth Bernhard, Member

Kathleen F. Bornhorst, Member

Rebecca Doty, Member (participated by teleconference)

Carol Carson, Executive Director

Barbara Housen, General Counsel

Thomas K. Jones, Enforcement Officer

Mark Wasielewski, Assistant Enforcement Officer

The following individuals attended the closed session:

Robert Worgaftik, Chairman

Sister Sally J. Tolles, Vice Chairperson

Ernest Abate, Member

Kenneth Bernhard, Member

Kathleen F. Bornhorst, Member

Rebecca Doty, Member (participated by teleconference)

Dennis Riley, Member

Carol Carson, Executive Director

Barbara Housen, General Counsel

Thomas K. Jones, Enforcement Officer

The Board reconvened in public session at 3:02p.m.

On the motion by Sister Tolles, seconded by Mr. Riley, the Board voted seven (7) to zero (0) to reject the settlement offer from Mr. Paul Filson, Docket Number 2009-26 UL. Mr. Dooley abstained.

On the motion by Sister Tolles, seconded by Mr. Bernhard, the Board voted six (6) to zero (0) to reject the settlement offer from Ms. Stacey Zimmerman, Docket Number 2009-25 UL. Ms. Doty and Mr. Dooley abstained.

  1. The Board adjourned the meeting at 3:04 p.m.

Respectfully Submitted by:

Yolanda Perez, Clerk

Citizen’s Ethics Advisory Board

______

Date approved by the

Citizen’s Ethics Advisory Board

of the Office of State Ethics

1