Minutes May 15, 2018 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION May 15, 2018 The Rhode Island Ethics Commission held its 10th meeting of 2018 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, May 15, 2018, 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 J. Douglas Bennett Marisa A. Quinn, Vice Chair* Arianne Corrente Robert A. Salk, Secretary John D. Lynch, Jr.** M. Therese Antone The following Commissioner(s) were not present: Timothy Murphy and James V. Murray. Also present were Herbert F. DeSimone, Jr., Commission Legal Counsel; Jason Gramitt, Commission Executive Director; Katherine D’Arezzo, Senior Staff Attorney; Staff Attorneys Teresa Giusti and Teodora Popova Papa; and Commission Investigators Steven T. Cross; Peter J. Mancini; and Gary V. Petrarca. At 9:01 a.m., the Chair opened the meeting. The first order of business was: Approval of minutes of the Open Session held on April 24, 2018. Upon motion made by Commissioner Corrente and duly seconded by Commissioner Salk, it was VOTED: To approve the minutes of the Open Session held on April 24, 2018. AYES: Robert A. Salk; Arianne Corrente; John D. Lynch, Jr.; and Ross Cheit. ABSTENTIONS: M. Therese Antone and J. Douglas Bennett. *Commissioner Quinn arrived at 9:03 a.m. 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: Derek M. Silva, a member of the Rhode Island State Labor Relations Board, who is also a Lieutenant of the Providence Fire Department, and a Vice President and Legislative Agent for the Providence Fire Fighters Local 799 of the International Association of Fire Fighters, requests an advisory opinion regarding what limitations the Code of Ethics places upon his participation in Rhode Island State Labor Relations Board matters involving firefighters across the state. (Continued from 4/24/2018). At 9:04 a.m., Commissioner Corrente recused and left the hearing room. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. The Petitioner inquired as to whether he must recuse any time an attorney who represents Local 799 and other locals appears before the State Labor Relations Board (“Board”). Staff Attorney Popova Papa responded that the Petitioner would be required to recuse only when an attorney representing Local 799 appears before the Board. **Commissioner Lynch arrived at 9:09 a.m. Chair Cheit expressed concern that R.I. Gen. Laws § 28-7-4, providing that three (3) members of the Board shall be labor representatives, creates an automatic conflict with the Code of Ethics’ prohibition against the Petitioner’s participation in any matter involving Local 799. In response, Executive Director Gramitt stated that if an enabling statute could create an exception to the Code of Ethics, that would run counter to the Supreme Court’s holding that the Ethics Commission has primary legislative authority in the area of ethics. In response to Chair Cheit, the Petitioner responded that it is rare for Providence Fire Fighters Local 799 to appear before the Board. Upon motionmade by Commissioner Quinn and duly seconded by Commissioner Antone, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Derek M. Silva, a member of the Rhode Island State Labor Relations Board, who is also a Lieutenant of the Providence Fire Department, and a Vice President and Legislative Agent for the Providence Fire Fighters Local 799 of the International Association of Fire Fighters. At 9:12 a.m., Commissioner Corrente returned to the hearing room. The next advisory opinion was that of: Brian Ferguson, P.E., a Principal Civil Engineer with the Rhode Island Department of Transportation, Construction Management Group, requests an advisory opinion regarding what limitations the Code of Ethics places upon him, given that his first-cousin-in-law is employed by Manafort Brothers Incorporated, a contractor that often bids and currently provides services to the Department of Transportation. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. Upon motionmade by Commissioner Lynch and duly seconded by Commissioner Quinn, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Brian Ferguson, P.E., a Principal Civil Engineer with the Rhode Island Department of Transportation, Construction Management Group. The next advisory opinion was that of: Jeremiah O’Grady, a legislator serving in the Rhode Island House of Representatives, requests an advisory opinion regarding whether he may participate in the House of Representatives’ discussions and voting relative to the FY2019 State Budget, given his employment with a non-profit corporation that may be financially impacted by certain line-item budget appropriations. Executive Director Gramitt presented the Commission Staff recommendation. The Petitioner was present. The Petitioner explained that he changed employment last year and decided to recuse from all matters that could relate to his new employer, Local Initiatives Support Corporation (“LISC”). In response to Commissioner Bennett, the Petitioner informed that it is rare for any discussions to occur regarding line-item funding for LISC, nor does he anticipate any such discussions taking place. Upon motionmade by Commissioner Antone and duly seconded by Commissioner Quinn, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Jeremiah O’Grady, a legislator serving in the Rhode Island House of Representatives. The next advisory opinion was that of: Philip Overton, a member of the Westerly Town Council, requests an advisory opinion regarding whether the Code of Ethics prohibits from participation in the Town Council’s discussion and decision-making relative to the Town of Westerly Harbor Management Plan’s mooring regulations, given that his spouse owns property with mooring rights. (Continued from 4/24/2018). Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. In response to Commissioner Quinn, Staff Attorney Popova Papa stated that the fee at issue applies equally to all mooring owners. In further response to Commissioner Quinn, Staff Attorney Popova Papa explained that she informed the Petitioner that if the Town Council’s discussions veer into revision of the Harbor Management Plan in ways that impact the Petitioner’s spouse individually or as a member of a much smaller class or subclass of mooring rights owners, he should recuse or seek further guidance from the Ethics Commission. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Antone, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Philip Overton, a member of the Westerly Town Council. The final advisory opinion was that of: Gregory Laboissonniere, a member of the Coventry Town Council, a municipal elected position, requests an advisory opinion regarding whether the Code of Ethics prohibits him from participating in the Town Council’s discussions and decision-making relative to the reappointment of the Coventry Municipal Court Judge, given that both are members of the Board of Directors of Gabriel’s Trumpet Christian Book Store, Inc. Staff Attorney Giusti presented the Commission Staff recommendation. The Petitioner was not present. Upon motion made by Commissioner Lynch and duly seconded by Commissioner Antone, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Gregory Laboissonniere, a member of the Coventry Town Council. Adjudication: In re: Carlos Monzon, Complaint No. NF2017-4. The hearing was stenographically recorded and a transcript of the proceeding will be available at the Commission’s Office. Commission Prosecutor Giusti represented the People of the State of Rhode Island. The Respondent, Carlos Monzon, was not present. Commission Prosecutor Giusti presented the case to the Commission. She moved to admit Prosecution’s Exhibit 1, the affidavit of Michelle Berg, Ethics Commission Financial Disclosure Officer, into evidence along with six attachments. Exhibit 1 was admitted as a full exhibit. Commission Prosecutor Giusti also moved to admit Prosecution’s Exhibit 2, the affidavit of Steven T. Cross, Ethics Commission Investigator, into evidence along with two attachments. Exhibit 2 was admitted as a full exhibit. The Commission deliberated in open session. Upon motion made by Commissioner Bennett and duly seconded by Commissioner Quinn, it was unanimously VOTED: That the Respondent, Carlos Monzon, violated R.I. Gen. Laws § 36-14-16 by failing to timely file a 2016 Financial Disclosure Statement with the Ethics Commission. The discussion turned to the imposition of a civil penalty. In response to Chair Cheit, Commission Prosecutor Giusti recommended a $1,000 civil penalty. Discussion ensued. Upon motion made by Commissioner Salk and duly seconded by Commissioner Antone, it was unanimously VOTED: To impose a civil penalty in the amount of $750. Executive Session. At 9:55 a.m., uponmotion made by Commissioner Corrente and duly seconded by Commissioner Antone, it was unanimously VOTED: To go into Executive Session, to wit: 1. Motion to approve the minutes of the Executive Session held on April 24, 2018, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 2. In re: John G. Edwards, V, Complaint No. 2017-8, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 3. In re: Cristine McBurney, Complaint No. 2017-9, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 4. In re: Gayle Corrigan, Complaint No. 2017-11, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 5. In re: Charles Collins, Complaint No. 2018-6, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 6. In re: Nicholas J. Izzi, Complaint No. 2018-7, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 7. Motion to return to Open Session. The Commission reconvened in Open Session at 11:01 a.m. The next order of business was: Motion to seal minutes of Executive Session held on May 15, 2018. Upon motion made by Commissioner Antone and duly seconded by Commissioner Corrente, it was unanimously VOTED: To seal the minutes of the Executive Session held on May 15, 2018. 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 (3-0) to approve the minutes of the Executive Session held on April 24, 2018. [Reporter’s Note: The vote was as follows: AYES: Arianne Corrente; Robert A. Salk; and Ross Cheit. ABSTENTIONS: M. Therese Antone; J. Douglas Bennett; John D. Lynch, Jr.; and Marisa A. Quinn.] 2. Voted (6-1) in the matter of In re: John G. Edwards, V, Complaint No. 2017-8, to dismiss the Complaint. [Reporter’s Note: The vote was as follows: AYES: M. Therese Antone; J. Douglas Bennett; Arianne Corrente; John D. Lynch, Jr.; Marisa A. Quinn; and Ross Cheit. NOES: Robert A. Salk.] 3. Unanimously voted (7-0) in the matter of In re: Cristine McBurney, Complaint No. 2017-9, to find that probable cause does not exist to believe that the Respondent violated the Code of Ethics as alleged in the Complaint. 4. Unanimously voted (7-0) in the matter of In re: Gayle Corrigan, Complaint No. 2017-11, to enlarge time for investigation for sixty days. 5. Unanimously voted (7-0) in the matter of In re: Charles Collins, Complaint No. 2018-6, to find that the Complaint fails to state facts sufficient to constitute a knowing and willful violation of the Code of Ethics. Therefore, the Complaint was dismissed. 6. Unanimously voted (7-0) in the matter of In re: Nicholas J. Izzi, Complaint No. 2018-7, to initially determine that the facts alleged in the Complaint, if true, are sufficient to constitute a knowing and willful violation of the Code of Ethics and to authorize an investigation. The next order of business was: Director’s Report: Status report and updates Executive Director Gramitt informed that: a.) Complaints and investigations There are eight (8) substantive complaints pending. The 90-day moratorium for new complaints against candidates will go into effect on or about August 8, 2018. b.) Advisory opinions There are ten (10) advisory opinions pending. c.) Financial Disclosure The 2017 Financial Disclosure Statements were due at the end of April; thus far, the Commission Staff has received 3,380 filings which translates into an 85% compliance rate. The percentage of online filers is also at 85%. d.) Regulations (1) Conversion of regulations to statewide RICR format. The Commission Staff has almost completed the conversion of Commission regulations to the new RICR format required of all state agencies. A sample of what has been completed is included in the meeting binders. The old regulation numbers and names have been preserved as part of the new regulation titles. (2) Regulation 1006 (Finding of Probable Cause) amendment status. Following completion of the regulatory amendments, rule-making with respect to Commission Regulation 1006 will be scheduled as an item on the agenda for a June or July 2018 Commission meeting. e.) Legislation Discussion of 2018 House Bill – H 8042. Act to amend § 36-14-16 to require that any financial disclosure statement filed with the Ethics Commission be made available for public inspection through the Commission’s website within two (2) business days of its filing. Takes effect upon passage and will apply to statements that are due April 27, 2018, and thereafter. Executive Director Gramitt testified at the hearing on this bill and observed some pushback related to confidentiality concerns. The Bill will go before the House on May 17, 2018, and then before the Senate. It is expected that amendments requiring redaction will be proposed. f.) Personnel An advertisement has been posted online and in Rhode Island Lawyers Weekly effective today, May 15, 2018, for a Staff Attorney IV/Education Coordinator. The posting will run for two (2) weeks. Also, Christine Andreozzi is a new hire in the position of Administrative Assistant. g.) Access to Public Records Act requests Twenty-four (24) APRA requests were received since the last meeting, twenty-two (22) of which were granted within one business day, one of which was granted within ten (10) business days due to the voluminous nature of the request, and one which was a re-request of a prior denial that was denied again. The next order of business was: Discussion and potential vote re: Adoption of Policy for Annual Review of Executive Director/Chief Prosecutor by Chair and Vice Chair. Chair Cheit proposed a policy by which the Chair and Vice Chair will meet annually with the Executive Director to review his performance. Prior to said review, the Chair and Vice Chair will solicit input from the whole Commission as to any matters that should be addressed in the review. Chair Cheit suggested that the Commissioners provide input at the next meeting on June 5, 2018, regarding matters to be discussed with the Executive Director. He further suggested that, following the June 19, 2018 meeting, the Chair and Vice Chair will meet with Executive Director Gramitt and report back to the whole Commission. Commissioner Antone noted that the June 19, 2018 meeting with the new Executive Director would consist largely of comments rather than a review. Chair Cheit stated that the meeting would focus on goals for the next year. He further stated that he hopes to meet with the Executive Director on a monthly basis. Commissioner Corrente commented that the dialogue between the Commission and the Executive Director should be ongoing. Upon made by Commissioner Bennett and duly seconded by Commissioner Antone, it was unanimously VOTED: To adopt the process for annual review of the Executive Director/Chief Prosecutor by Chair and Vice Chair. The final order of business was: New Business. Commissioner Antone inquired as to an education process for legal counsel/solicitors on the Code of Ethics. Chair Cheit stated that this item should be placed on a future agenda for further discussion. At 11:23 a.m., upon motion made by Commissioner Antone and duly seconded by Commissioner Bennett, it was unanimously VOTED: To adjourn. Respectfully submitted, ______________________________ Robert A. Salk Secretary