Minutes March 2, 2021 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION March 2, 2021 The Rhode Island Ethics Commission remotely conducted its 4th meeting of 2021 in Zoom webinar format at 9:00 a.m. on Tuesday, March 2, 2021, pursuant to the notice published at the Commission offices, 40 Fountain Street, Providence, Rhode Island, and electronically with the Rhode Island Secretary of State.[1] The following Commissioners were present: Marisa A. Quinn, Chair J. Douglas Bennett Kyle P. Palumbo, Secretary Timothy Murphy M. Therese Antone Robert A. Salk The following Commissioner was not present: Arianne Corrente. 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 Steven T. Cross, Peter J. Mancini, and Gary V. Petrarca. At 9:02 a.m., the Chairopened the meeting. The first order of business was: Discussion of Remote Meeting Format; Identifying and Troubleshooting any Remote Meeting Issues. Executive Director Gramitt stated that the Commission has been operating pursuant to the Governor’s executive orders relating to remote meetings during the COVID-19 pandemic. He informed that the Commission will conduct a public adjudication in Open Session today followed by consideration of a matter for an initial determination in Executive Session. He explained that the Commission will return to Open Session to provide a live report on all actions taken in Executive Session. Executive Director Gramitt stated that copies of today’s agenda and draft advisory opinions are accessible on the Commission’s website and a written report of all actions taken in Executive Session will be published and available on the Commission’s website after the meeting ends. The next order of business was: Approval of minutes of the Open Session held on February 9, 2021. Upon motion made by Commissioner Bennett and duly seconded by Commissioner Antone, it was unanimously VOTED: To approve the minutes of the Open Session held on February 9, 2021. AYES: Marisa A. Quinn; M. Therese Antone; J. Douglas Bennett; and Kyle P. Palumbo. ABSTENTIONS: Timothy Murphy and Robert A. Salk. The next order of business was: Director’s Report: Status report and updates. a.) Discussion of impact of COVID-19 crisis on Ethics Commission operations and staffing Executive Director Gramitt stated that there have been no changes in the Commission’s temporary daily office operations and procedures implemented in response to the COVID-19 pandemic. b.) Complaints and investigations pending There are five complaints pending, with two scheduled for an adjudication today, one for initial determination in Executive Session, and two are currently in the investigation period. c.) Advisory opinions pending There are 21 advisory opinions pending, with two noticed on today’s meeting agenda. Executive Director Gramitt noted that several others have been drafted and prepared for the Commission’s next meeting, some of which have been given safe-harbor protection until the March 16, 2021 meeting, which will largely be devoted to advisory opinions. d.) Access to Public Records Act requests since last meeting There were eight APRA requests received since the last meeting, all of which were granted within one business day. Executive Director Gramitt informed that half of the requests related to complaints, one related to an advisory opinion, and three related to financial disclosure. The next order of business was that of: 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 opinionwas that of: Colonel Mark A. Knott, the Interim Town Manager for the Town of West Warwick, requests an advisory opinion regarding whether the proposed alternate supervisory chain of command is sufficient to insulate the Petitioner from conflicts of interest relating to his spouse’s employment as the Solid Waste/Recycling Coordinator for the Town of West Warwick. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner could not attend, but Town Solicitor Timothy Williamson, Esq., was present on the Petitioner’s behalf via video link. Staff Attorney Radiches explained that the Petitioner had clarified certain facts yesterday during a telephone call, which does not affect the staff’s recommendation in the draft advisory opinion but requires several edits therein. What the Petitioner clarified to Attorney Radiches was that disciplinary matters involving his spouse that are not settled by her immediate supervisor, the Director of Public Works, would next be brought to the Personnel Director in the ordinary course of events, not to the Petitioner who would then ask the Personnel Director or the Town Council President to act in his place. It is only in the event that a disciplinary matter involving his spouse is not resolved at the level of the Personnel Director that it would then go to the Petitioner, who has stated that he would recuse and ask the Town Council President to step in. Attorney Radiches proposed to add the following language in italics to the sentence on the first page of the draft to read: “The Petitioner further represents that, in his capacity as Town Manager, Interim or otherwise, while not involved in the day-to-day supervision of his spouse, the possibility exists that he could be called upon to resolve a dispute concerning the level of discipline offered by the Director of the Department of Public Works in response to an event related to the performance by his spouse of her public duties in the event that it cannot be resolved by the Town’s Personnel Director.” Staff Attorney Radiches next proposed to delete from the next sentence two references to the Personnel Director that appear in italics, after which the sentence would read: “The Petitioner states that, in anticipation of such a possibility when he became the Interim Town Manager, he asked the Town’s Personnel Director and the Town Council President to address any such disputes, adding that both the Town’s Personnel Director and the Town Council President agreed to do so.” Staff Attorney Radiches also proposed to delete the reference to the Personnel Director on page three of the draft that appear in italics, after which the sentence would read: “Here, the Petitioner has likewise proposed an alternate chain of command under which he would be removed from involvement in any potential disciplinary matters relating to his spouse’s employment, with said matters to instead be brought before the Town’s Personnel Director and the Town Council President.” She then proposed to delete the next sentence in its entirety. Attorney Williamson addressed the Commission and stated that he concurred with the staff’s recommendation and represented that he will continue to advise the Town on this matter. Commissioner Bennett asked that Attorney Williamson advise the Petitioner to exercise caution and seek further guidance from the Commission as needed. In response to Chair Quinn, Attorney Williamson stated that the Petitioner as Town Manager will be notified of any problem that arises regarding his wife’s employment, as he normally is apprised of personnel issues, but will then convey the matter to the Town Council President in writing to ensure that there is a written record of how the matter was handled. In response to Commissioner Palumbo, Staff Attorney Radiches stated that the task of the budget falls to both the Finance Director and the Town Manager, and the Town Manager’s recusal from participation in that task does not amount to designating to a subordinate something he could not do himself, which would be prohibited by the Code. Upon motion made by Commissioner Bennett and duly seconded by Commissioner Antone, it was unanimously VOTED: To issue an advisory opinion, amended and attached hereto, to Colonel Mark A. Knott, the Interim Town Manager for the Town of West Warwick. The final advisory opinion was that of: The Honorable Gayle Goldin, a legislator serving as a member of the Rhode Island Senate, requests an advisory opinion regarding whether the Code of Ethics prohibits her from introducing and participating in the General Assembly’s discussions and vote on legislation that would carve out an exemption to R.I. Gen Laws § 3-7-19 for a specific property, allowing a restaurant owner whose establishment is located at said property to apply for a liquor license, given that the restaurant owner and Petitioner’s spouse are in an ongoing attorney-client relationship. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present via video link. In response to a question from Commissioner Bennett, Staff Attorney Popova Papa stated that it was her understanding that the Petitioner’s spouse is currently representing the restaurant owner on legal matters unrelated to the restaurant or property that is impacted by the legislation at issue. In response to Commissioners Antone and Palumbo, the Petitioner addressed the Commission and explained that the owner has recently established a new restaurant and that the Petitioner’s spouse represented the owner regarding the other restaurant but not the new one. In further response to Commissioner Palumbo, the Petitioner stated that her spouse practices mostly business litigation. In response to Commissioner Bennett, the Petitioner informed that she is the only senator in this district and that it is not the practice of legislators to sponsor legislation for colleagues in other districts, although it could be done. In response to Chair Quinn, Staff Attorney Popova Papa stated that there will be no financial impact to the Petitioner’s spouse regardless of the outcome of the proposed legislation. In response to Commissioner Salk, the Petitioner stated that she was requested by the restaurant owner to sponsor the subject legislation because the restaurant is in the Petitioner’s district and the restaurant owner noted to the Petitioner that she is a client of the Petitioner’s spouse. Commissioner Salk expressed concern that the restaurant owner approached the Petitioner and shared the fact that she is a client of her spouse. The Petitioner responded that this information enabled her to come forward and request guidance from the Commission. Commissioner Bennett stated that one of the Petitioner’s colleagues should sponsor the legislation. Commissioner Murphy stated that if the Petitioner has represented that there is no financial benefit and the staff’s recommendation is based on that representation, the Commission should support and approve the advisory opinion. Upon motion made by Commissioner Antone and duly seconded by Commissioner Murphy, it was VOTED: To issue an advisory opinion, attached hereto, to The Honorable Gayle Goldin, a legislator serving as a member of the Rhode Island Senate. AYES: Marisa A. Quinn; M. Therese Antone; and Timothy Murphy. NOES: J. Douglas Bennett; Kyle P. Palumbo; and Robert A. Salk. The motion failed. Executive Director Gramitt explained that five affirmative votes are required to issue an advisory opinion. He further explained that no advisory opinion has issued to the Petitioner that advises her that she can or cannot act. In response to the Petitioner’s inquiry, Executive Director Gramitt stated that if the Petitioner acts by introducing the subject legislation and a complaint is filed, without the protection of an advisory opinion the Commission would have to process the complaint consistent with its statutory and regulatory processes. Executive Director Gramitt advised the Petitioner to consult with Staff Attorney Popova Papa on how to proceed. Commissioner Palumbo stated that if the Petitioner attempts to reach out to a colleague from a different district and he/she refuses to sponsor the subject legislation on the restaurant owner’s behalf, then his view and vote might be different. In response to the Petitioner’s inquiry regarding whether she may vote on the subject legislation if a colleague introduces it, Executive Director stated that no advisory opinion has issued to address that issue. He further stated that it is not the Commission’s intention to preclude the restaurant owner from seeking the relief needed to operate the establishment. He explained that if the owner will suffer a financial hardship, the Commission would want to be apprised of that information. The next order of business was that of: Adjudication: In re: Gayle Corrigan, Complaint Nos. 2017-11 and 2018-5. The adjudication was stenographically recorded and a transcript of the proceeding will be available at the Commission’s Office. Commission Prosecutor Katherine D’Arezzo represented the People of the State of Rhode Island. The Respondent, Gayle Corrigan, and her attorney, Richard E. Kirby, Esq., were both present via video link. Commission Prosecutor D’Arezzo presented a motion to consolidate Complaint Nos. 2017-11 and 2018-5 for purposes of the instant adjudication to which Attorney Kirby did not object. Upon motion made by Commissioner Antone and duly seconded by Commissioner Bennett, it was unanimously VOTED: To consolidate Complaint Nos. 2017-11 and 2018-5 for purposes of adjudication. Commission Prosecutor D’Arezzo presented her opening statement followed by Attorney Kirby. Commission Prosecutor D’Arezzo then presented a joint stipulation as to facts, exhibits, and witnesses as Joint Exhibit 1. Upon motion made by Commissioner Murphy and duly seconded by Commissioner Antone, it was unanimously VOTED: To admit Joint Exhibit J1 into evidence as a full exhibit. Commission Prosecutor D’Arezzo next presented Prosecution Exhibits P1-P13 and asked to move these into evidence as full exhibits. Upon motion made Commissioner Antone and duly seconded by Commissioner Murphy, it was unanimously VOTED: To admit Prosecution Exhibits P1-P13 into evidence as full exhibits. Attorney Kirby then presented Respondent Exhibits A-F and asked to move these into evidence as full exhibits. Upon motion made by Commissioner Bennett and duly seconded by Commissioner Murphy, it was unanimously VOTED: To admit Respondent Exhibits A-F into evidence as full exhibits. At 12:38 p.m., the Commission briefly recessed the adjudication to allow Attorney Kirby to address technical difficulties. Chair Quinn stated that the Commission will convene in Executive Session to consider one matter and then reconvene in Open Session. Upon motion made by Commissioner Antone and duly seconded by Commissioner Bennett, it was unanimously VOTED: To suspend the adjudication until 1:00 p.m. Commissioner Salk left the meeting and did not return. At 12:44 p.m., upon motion made by Commissioner Murphy and duly seconded by Commissioner Antone, it was unanimously VOTED: To go into Executive Session, to wit: a.) Motion to approve minutes of Executive Session held on February 9, 2021, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). b.) In re: Brett Smiley, Complaint No. 2021-1, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). c.) Motion to return to Open Session. At 1:02 p.m., the Commission reconvened in Open Session. The next order of business was: Report on actions taken in Executive Session. Chair Quinn reported that the Commission took the following actions in Executive Session, which information will also be available on the Commission’s website: 1. Voted (4-0) to approve the minutes of the Executive Session held on February 9, 2021. [Reporter’s Note: The vote was as follows: AYES: Marisa A. Quinn; M. Therese Antone; J. Douglas Bennett; and Kyle P. Palumbo. ABSTENTION: Timothy Murphy.] 2. Unanimously voted (5-0) in the matter of In re: Brett Smiley, Complaint No. 2021-1, to initially determine that the Complaint states facts that, if true, are sufficient to constitute a violation of the Code of Ethics and authorized an investigation. 3. Unanimously voted (5-0) to return to Open Session. The next order of business was: Motion to seal minutes of Executive Session held on March 2, 2021 Upon motion made by Commissioner Bennett and duly seconded by Commissioner Murphy, it was unanimously VOTED: To seal the minutes of the Executive Session held on March 2, 2021. The adjudication in In re: Gayle Corrigan resumed. At 2:16 p.m., upon motion made by Commissioner Antone and duly seconded by Commissioner Murphy, it was unanimously VOTED: To recess and continue the adjudication to another date agreed upon by the attorneys. The final order of business was: New Business proposed for future Commission agendas and general comments from the Commission. There was none. At 2:18 p.m., upon motion made by Commissioner Bennett and duly seconded by Commissioner Antone, it was unanimously VOTED: To adjourn the meeting. Respectfully submitted, _____________________________ Kyle P. Palumbo Secretary [1] On March 9, 2020, Governor Gina Raimondo declared a state of emergency due to the dangers to health and life posed by COVID-19. In furtherance thereof, the Governor issued Executive Order 20-46 on June 12, 2020, which, in part, relieved public bodies from the prohibitions regarding the use of telephonic or electronic communication to conduct meetings set forth under the Rhode Island Open Meetings Act. Pursuant to the issuance of Executive Order 21-10, on February 3, 2021, said relief was extended through March 4, 2021.