Minutes February 26, 2019 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION February 26, 2019 The Rhode Island Ethics Commission held its 3rd meeting of 2019 at 9:00 a.m. at the Rhode Island Ethics Commission conference room, located at 40 Fountain Street, 8th Floor, Providence, Rhode Island, on Tuesday, February 26, 2019, pursuant to the notice published at the Commission offices, the State House Library, and electronically with the Rhode Island Secretary of State. The following Commissioners were present: Ross Cheit, Chair M. Therese Antone Marisa A. Quinn, Vice Chair J. Douglas Bennett Arianne Corrente, Secretary Robert A. Salk* The following Commissioner(s) were not present: John D. Lynch, Jr., and Timothy Murphy. Also present were Herbert F. DeSimone, Jr., Commission Legal Counsel; Jason Gramitt, Commission Executive Director; Katherine D’Arezzo, Senior Staff Attorney; Lynne Radiches, Staff Attorney/Education Coordinator; Staff Attorneys Teresa Giusti and Teodora Popova Papa; and Commission Investigators Peter J. Mancini and Gary V. Petrarca. At 9:02 a.m., the Chair opened the meeting. The first order of business was: Approval of minutes of the Open Session held on February 5, 2019. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Corrente, it was unanimously VOTED: To approve the minutes of the Open Session held on February 5, 2019. The next order of business was: Advisory Opinions. The advisory opinions were based on draft advisory opinions prepared by Commission Staff for review by the Commission and were scheduled as items on the Open Session Agenda for this date. The first advisory opinion was that of: Ruth Strach, a member of the Scituate Home Rule Charter Commission, seeks an advisory opinion regarding what limitations, if any, the Code of Ethics places upon her carrying out her duties as a member of the Charter Commission, given that she is also an appointed member of the Scituate Land Trust, and her husband is an appointed member of the Scituate Conservation Commission. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. Upon motionmade by Commissioner Antone and duly seconded by Commissioner Quinn, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Ruth Strach, a member of the Scituate Home Rule Charter Commission. The next advisory opinion was that of: S. James Busam, a member of the Smithfield School Building Committee, seeks an advisory opinion regarding whether the Code of Ethics prohibits him from participating in the selection of a construction manager for the elementary school reconfiguration project, given that his son is employed by a company that is expected to bid on the project. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. The Petitioner expressed that he sought the advisory opinion because he wants to perform his duties appropriately and with full transparency. He added that he is aware of the recusal requirements under the Code but also wants to be able to help the Town of Smithfield with the execution of the project. In response to Commissioner Antone, Staff Attorney Radiches stated that the Petitioner is prohibited from participating in the development of the Request for Proposals (“RFP”) for the project because it could be prejudicial. She explained that the Petitioner’s knowledge of a potential applicant such as his son’s employer may impact how the RFP is drafted. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to S. James Busam, a member of the Smithfield School Building Committee. The final advisory opinion was that of: Nancy A. Beye, a member of the Jamestown Town Council, requests an advisory opinion regarding what restrictions the Code of Ethics places on her participation in Town Council discussions and decision-making relative to the budgets of the Jamestown Fire Department, the Police Department, and/or the Town, given that the Petitioner is a volunteer member of the Fire Department and that her son is a police dispatcher in the Town. *Commissioner Salk arrived at 9:14 a.m. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. Staff Attorney Popova Papa explained that an advisory opinion issued to the Petitioner on January 8, 2019, on one issue, but the remaining issues that the Petitioner raised in her request letter are addressed in the instant advisory opinion. In response to Chair Cheit, Executive Director Gramitt stated that general guidance is sometimes appropriate to give public officials a basic understanding of how the Code of Ethics will apply to their position. He noted that callers and petitioners are advised to return for more specific guidance when a particular situation or issue arises or becomes clearer. Upon motion made by Commissioner Antone and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Nancy A. Beye, a member of the Jamestown Town Council. Executive Session. At 9:20 a.m., uponmotion made by Commissioner Antone and duly seconded by Commissioner Corrente, it was unanimously VOTED: To go into Executive Session, to wit: 1. Motion to approve the minutes of the Executive Session held on February 5, 2019, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 2. In re: Brian Mathieu, Complaint No. 2018-12, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 3. Motion to return to Open Session. At 9:29 a.m., the Commission reconvened in Open Session. The next order of business was: Adjudication: In re: Francis X. Flaherty, Complaint No. 2016-14. The adjudication was stenographically recorded and a transcript of the proceeding will be available at the Commission Offices. Commission Prosecutor Katherine D’Arezzo represented the People of the State of Rhode Island. The Respondent, Francis X. Flaherty, was present and represented by Marc DeSisto, Esq. Tracy Teixeira, Commission Officer Manager, and Christine Andreozzi, Administrative Assistant, were present during the hearing to serve as clerks and assist with the exhibits. Chair Cheit read the Commission’s Finding of Probable Cause for the record. The Respondent denied the allegation. Commission Prosecutor D’Arezzo presented a joint stipulation as to facts and exhibits. Joint Exhibit J1 was admitted as a full exhibit. Commission Prosecutor D’Arezzo presented an opening statement followed by the Prosecution’s case-in-chief. Prosecution Exhibits P1-P5(a)-(e) were admitted as full exhibits. Commission Prosecutor D’Arezzo rested at the conclusion of her case-in-chief. Attorney DeSisto presented a Motion for a Directed Verdict pursuant to Rule 52 of the Rhode Island Superior Court Rules of Civil Procedure. Commission Prosecutor D’Arezzo objected and presented rebuttal. At 10:20 a.m., upon motion made by Commissioner Corrente and duly seconded by Commissioner Quinn, it was unanimously VOTED: To go into Executive Session with independent legal counsel to deliberate on the Respondent’s Motion for a Directed Verdict. At 10:42 a.m., the Commission reconvened in Open Session. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Corrente, it was unanimously VOTED: To deny the Respondent’s Motion for a Directed Verdict on the basis that, through the admitted exhibits, the Commission Prosecutor has sufficiently shown the elements necessary to establish a knowing and willful violation. Attorney DeSisto waived his opening statement and introduced Respondent’s Exhibit R1 into evidence. He presented the testimony of Family Court Magistrate Armando O. Monaco and retired Rhode Island Superior Court Associate Justice Francis J. Darigan, Jr. Commission Prosecutor D’Arezzo did not have any questions for the witnesses. The witnesses answered questions from the Commission. Attorney DeSisto presented the testimony of the Respondent. Commission Prosecutor D’Arezzo cross-examined the Respondent. The Respondent answered questions from the Commission. Commission Prosecutor D’Arezzo presented her closing argument, followed by Attorney DeSisto, who waived his right to present his closing argument first. At 12:15 p.m., upon motion made by Commissioner Antone and duly seconded by Commissioner Quinn, it was unanimously VOTED: To go into Executive Session with independent legal counsel to deliberate the matter of In re: Francis X. Flaherty, Complaint No. 2016-14. At 12:40 p.m., the Commission reconvened in Open Session. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Antone, it was unanimously VOTED: To find that the Prosecution has established by a preponderance of the evidence that the Respondent committed a knowing and willful violation of 520-RICR-00-00-4.11 Leadership Positions with Not-for-Profit Organizations (36-14-17008) by failing to list his position as President of St. Thomas More Society of Rhode Island on his 2010-2015 Financial Statements. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Bennett, it was unanimously VOTED: To impose a civil penalty in the amount of $200. At the conclusion of the proceeding, Chair Cheit addressed the Respondent. He stated that this was a garden-variety non-disclosure complaint and the Commission’s ruling today does not reflect on his honorable service in any way. Chair Cheit further stated that this matter is more akin to a traffic violation and is not a major issue with the Commission and should not be for the Respondent. Chair Cheit expressed gratitude for the Respondent’s public service. The next order of business was: Report on actions taken in Executive Session. Chair Cheit reported that the Commission took the following actions in Executive Session: 1. Voted (5-0) to approve the minutes of the Executive Session held on February 5, 2019. [Reporter’s Note: The vote was as follows: AYES: Ross Cheit; M. Therese Antone; J. Douglas Bennett; Arianne Corrente; and Marisa A. Quinn. ABSTENTIONS: Robert A. Salk.] 2. Unanimously voted (6-0) in the matter of In re: Brian Mathieu, Complaint No. 2018-12, to approve an Informal Resolution and Settlement and impose a civil penalty of $1000. The final order of business was: Motion to seal minutes of Executive Session held on February 26, 2019. Upon motion made by Commissioner Antone and duly seconded by Commissioner Quinn, it was unanimously VOTED: To seal the minutes of the Executive Session held on February 26, 2019. At 12:45 p.m., upon motion made by Commissioner Quinn and duly seconded by Commissioner Antone, it was unanimously VOTED: To adjourn. Respectfully submitted, ______________________________ Arianne Corrente Secretary