Regulation  930 CMR 6.00: Exemptions Unrelated to Gifts

1. The State Ethics Commission (Commission) has statutory authority to promulgate exemptions from M.G.L. c. 268A, §§ 3 through 7, 11 through 14, 17 through 20, and 23, pursuant to M.G.L. c. 268B, § 3(a)(2). Pursuant to that authority, the Commission is promulgating 930 CMR 6.00 to create exemptions that will permit, in certain situations, conduct which would otherwise be prohibited by M.G.L. c. 268A, §§ 4 through 7, 11 through 14, 17 through 20, and/or 23, because the Commission has determined that the conduct either serves a legitimate public purpose, or does not present a genuine risk of a conflict of interest or the appearance of a conflict of interest, or both. Exemptions related to gifts to public employees are set forth in 930 CMR 5.00: Exemptions from M.G.L. c. 268A and M.G.L. c. 268B Related to Gifts; other exemptions are set forth in 930 CMR 6.00. An alphabetical index of these exemptions is set forth in 930 CMR 6.26.
2. The exemptions created by 930 CMR 6.00 are in addition to those set forth in M.G.L. c. 268A unless the contrary is stated explicitly.
3. For purposes of these exemptions only, and not for purposes of M.G.L. c. 268B, a public employee is any state, county, or municipal employee, and any special state, county, or municipal employee, as defined in M.G.L. c. 268A, § 1. The term includes full and part-time public employees. It applies regardless of how the public employment began, and includes public employees who were appointed or elected to their positions, or hired by a public agency, or those who provide services to a public agency pursuant to an express or implied contract. It also applies to persons serving in both compensated and uncompensated positions. The definition set forth in 930 CMR 6.01(3): Public Employee is for purposes of these exemptions only, and not for purposes related to M.G.L. c. 268B, § 5. A public employee who complies with the requirements of an exemption in 930 CMR 6.00 is deemed to be in compliance with the sections of M.G.L. c. 268A referenced in that exemption.
4. The establishment of these exemptions shall not be the basis for any inference that conduct not specifically exempted either is, or is not, prohibited by M.G.L. c. 268A.
5. The exemptions in 930 CMR 6.00 shall be construed to advance their stated purposes.
6. For purposes of 930 CMR 6.00, a disclosure is a written statement that sets forth all the relevant facts. Disclosures required by 930 CMR 6.00 must be made on forms prescribed by the Commission. A disclosure is a public record. If a disclosure required by 930 CMR 6.00 will contain information required by law to be kept confidential, the public employee making the disclosure must follow the procedure set forth in 930 CMR 3.02: Disclosures Containing Confidential Information.
   1. An appointed public employee must make a disclosure to the employee's appointing authority before the relevant event occurs. An appointing authority is the individual official, board, commission, or other governmental body that has the legal authority to appoint the public employee, or such authority's designee. A disclosure to an appointing authority that is a multi-member body shall be made to the chairperson, and copied to the members of the body. Such multi-member body, by valid vote of such body, may choose to delegate to the chairperson or other member of the body the authority to make any necessary determination in response to such disclosure on behalf of such body, which should then be copied to the members. Judges and judicial branch employees make the disclosures required by 930 CMR 6.00 to the Chief Justice of their respective courts, or to his or her designee.
   2. A state or county public employee who does not have an appointing authority because that employee is elected, or for any other reason, makes a disclosure to the Commission, except that Members of the General Court may make a disclosure to the Senate or House Clerk, as appropriate, or to the Commission. A disclosure must be made before the relevant event occurs.
   3. A municipal employee who does not have an appointing authority because that employee is elected, or for any other reason, makes a disclosure to the town or city clerk. An elected regional school district employee makes a disclosure to the clerk or secretary of such district. Such employees must make the disclosure before the relevant event occurs.

1. Purpose. The purpose of 930 CMR 6.02 is to encourage volunteer public service, and to promote education, training, and professional development, by:
   1. permitting public employees, and persons with existing direct or indirect financial interests in public contracts, to serve in uncompensated positions with public agencies, without violating M.G.L. c. 268A, § 7, 14, or 20;
   2. permitting persons with compensated non-public positions to receive their usual compensation during the time spent serving in uncompensated positions with public agencies, without violating M.G.L. c. 268A, § 4(a), 11(a), or 17(a);
   3. permitting persons with compensated public positions to receive their usual compensation during the time spent serving in uncompensated positions as part of the State Employees Responding as Volunteers (SERV) Program, or in any other public agency program to promote volunteer services by public employees with guidelines comparable to those of the SERV Program, without violating M.G.L. c. 268A, § 4(a), 11(a), or 17(a); and
   4. permitting persons who serve in uncompensated intern positions to accept compensation from other sources for time spent in such service.
2. Definitions. For purposes of the exemptions created by 930 CMR 6.02:
   1. An uncompensated position is a position for which no pay, benefits, per diems, or retirement-related creditable service is provided. A position is not uncompensated because the person holding it waives compensation. A person holding an uncompensated position may receive reimbursement for actual expenses and the position will still be considered uncompensated.
   2. To have an indirect financial interest in a contract made by a public agency means to derive financial benefit from a contract between a public agency and another person or entity.
   3. Usual compensation does not include a severance package, stipend, or other funds received in anticipation of commencing employment.
3. Exemptions.
   1. A public employee, or a person with an existing direct or indirect financial interest in a public contract, does not violate M.G.L. c. 268A, § 7, 14, or 20 by being elected or appointed to an uncompensated position with a public agency at the same level of government, including such a position with the same agency in which the public employee is serving, provided that the employee makes a disclosure as set forth in 930 CMR 6.01(6). Persons acting within this exemption remain subject to the other prohibitions of M.G.L. c. 268A, including, but not limited to, M.G.L. c. 268A, §§ 8A, 15A, and 21A concerning election and appointment by public boards; M.G.L. c. 268A, §§ 6, 13, and 19 concerning self-dealing; and M.G.L. c. 268A, § 23, the standards of conduct.
   2. A person who has a compensated position or contractual arrangement with a non-public employer may receive his or her usual compensation from the non-public employer during the time spent serving a public agency in an uncompensated position without violating M.G.L. c. 268A, § 4(a), 11(a), or 17(a).
   3. A public employee may receive the employee's usual compensation during the time spent serving in an uncompensated position as part of the SERV Program, or in any other public agency program to promote volunteer services by public employees with guidelines comparable to those of the SERV Program, without violating M.G.L. c. 268A, § 4(a), 11(a), or 17(a).
   4. A person who serves in an unpaid intern or similar position in a public agency for educational, training, or professional development purposes may receive compensation, a fellowship, or loan forgiveness from an accredited educational institution or other educational or professional organization during the time spent serving the public agency without violating M.G.L. c. 268A, § 4(a), 11(a), or 17(a). An accredited educational institution or other educational or professional organization may provide such compensation, fellowship or loan forgiveness without violating M.G.L. c. 268A, § 4(b), 11(b), or 17(b).

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