Minutes August 20, 2019 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION August 20, 2019 The Rhode Island Ethics Commission held its 10th 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, August 20, 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 Timothy Murphy Marisa A. Quinn, Vice Chair Kyle P. Palumbo M. Therese Antone Emili B. Vaziri J. Douglas Bennett The following Commissioner(s) were not present: Arianne Corrente and Robert A. Salk. 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 9:00 a.m., the Chair opened the meeting. The first order of business was: Approval of minutes of the Open Session held on July 16, 2019. Upon motion made and duly seconded, it was VOTED: To approve the minutes of the Open Session held on July 16, 2019. AYES: Ross Cheit; J. Douglas Bennett; Kyle P. Palumbo; Marisa A. Quinn; and Emili B. Vaziri. ABSTENTIONS: M. Therese Antone and Timothy Murphy. 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: Lisa Daft, a member of the Barrington Committee on Appropriations, requests an advisory opinion regarding whether she is prohibited by the Code of Ethics from continuing to serve in that capacity, and/or participating in the review, deliberations or voting relative to the town, school and capital budgets, given that her spouse is currently an employee of the Barrington School Department. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. Commissioner Bennett expressed some concern with the Petitioner voting on the aggregate budget which may contain line items that will affect her husband’s employment. Chair Cheit advised the Petitioner that she should seek further guidance from the Commission as more discrete issues arise. Upon motion made by Commissioner Antone and duly seconded by Commissioner Murphy, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Lisa Daft, a member of the Barrington Committee on Appropriations. The next advisory opinion was that of: Brenda Dann-Messier, the former Postsecondary Education Commissioner, requests an advisory opinion regarding whether she is prohibited by the Code of Ethics from providing coaching services to representatives from Rhode Island agencies on behalf of her private employer. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. In response to Commissioner Murphy, the Petitioner stated that she has 45 years of experience in education. In further response to Commissioner Murphy, the Petitioner stated that she will be helping the State strategize only with respect to its application for grant funding from STRADA. In response to Chair Cheit, the Petitioner explained that her role is to assist the State in strengthening its grant application to STRADA, and if the grant is awarded, she will coach the State in achieving its objectives of the grant. She represented that she will not advocate or testify for the State. In response to Chair Cheit, the Petitioner stated that she coaches many agencies and helps them work toward evidence-based decisions. In response to Commissioner Quinn, Staff Attorney Radiches informed that the Petitioner will not receive any additional compensation for helping the State obtain the grant. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Antone, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Brenda Dann-Messier, the former Postsecondary Education Commissioner. The next advisory opinion was that of: Rosemary Enright, a member of the Jamestown Planning Commission, requests an advisory opinion regarding whether she is prohibited by the Code of Ethics from participating in the Planning Commission’s discussions and decision-making relative to a proposed development located on property that abuts a building rented by the Jamestown Historical Society, for which the Petitioner is the Treasurer. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. In response to Commissioner Quinn, Executive Director Gramitt stated that an example of a financial impact to the Historical Society would be the construction of a new parking lot that might block the Historical Society museum’s view or cause the diversion of traffic. Upon motion made by Commissioner Antone and duly seconded by Commissioner Murphy, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Rosemary Enright, a member of the Jamestown Planning Commission. The next advisory opinion was that of: Edward Gromada, a member of the Jamestown Zoning Board of Review, requests an advisory opinion regarding whether the Code of Ethics prohibits him from participating in the Zoning Board’s discussion and decision-making relative to a matter involving the Jamestown Historical Society, given that his wife is a member of the Board of Trustees for that entity. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. In response to Chair Cheit, the Petitioner stated that there were five members of the Board of Review present at the first meeting related to this matter but not enough at the July 23, 2019 meeting given that he recused. In response to Commissioner Murphy, Executive Director Gramitt stated that there is no investigation conducted with advisory opinions. He further stated that this opinion was based on the Petitioner’s representation that there will be no financial benefit to his wife. Chair Cheit noted that advisory opinions only apply to and protect petitioners if their representations are accurate. Upon motion made by Commissioner Murphy and duly seconded by Commissioner Antone, it was VOTED: To issue an advisory opinion, attached hereto, to Edward Gromada, a member of the Jamestown Zoning Board of Review. AYES: Ross Cheit, M. Therese Antone; J. Douglas Bennett; Timothy Murphy; Kyle P. Palumbo; and Emili B. Vaziri. RECUSAL: Marisa A. Quinn The next advisory opinion was that of: Justin Katz, a member of the Tiverton Town Council, requests an advisory opinion regarding what limitations, if any, the Code of Ethics places upon his participation in the Town Council’s discussions and decision-making relative to the Town of Tiverton’s position on sports betting and the process by which it has been implemented in Rhode Island; and the Town’s position on and activities related to a lawsuit filed by the Petitioner’s business associate. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. In response to Chair Cheit, Staff Attorney Popova Papa informed that the Petitioner’s position as Research Director is full-time. In response to Commissioner Palumbo, Staff Attorney Popova Papa stated that the court is asking that the Town take a position on the matter. Commissioner Palumbo commented that the two bifurcated issues are blended together and the Town’s position on one issue will likely affect the other issue. He noted that the Town’s position on sports gambling may affect the position it takes on the lawsuit. In response to Chair Cheit, Staff Attorney Popova Papa explained that the phrase “and the process by which it has been implemented” in the draft opinion refers to whether the law requires a referendum before voting. Legal Counsel DeSimone inquired whether the Town was being asked to submit an amicus curiae brief or was moving to intervene in the lawsuit and concurred with Commissioner Palumbo’s comment that the issues are intertwined. In response to Commissioner Murphy, Executive Director Gramitt noted that the Petitioner’s business associate is seeking attorney’s fees. Chair Cheit stated that the matter should be continued to the next meeting for the Petitioner to attend and respond to the Commission’s questions and concerns. The next advisory opinion was that of: James W. McElroy, a member of the Warwick City Council, requests an advisory opinion regarding what limitations, if any, the Code of Ethics places upon him, given that his daughter is one of two candidates nominated by the Mayor for two part-time municipal court positions, the appointments for which require the advice and consent of the City Council. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. In response to Chair Cheit, Staff Attorney Popova Papa stated that the Petitioner was informed of the draft opinion and did not object. In response to Commissioner Palumbo, Staff Attorney Popova Papa stated that following a conversation with the Petitioner, the question presented in his request letter was modified. She explained that, as initially drafted, his request would have required the Commission to analyze whether each member of the City Council could vote to appoint the Petitioner’s daughter. Staff Attorney Popova Papa informed that she advised the Petitioner, however, that the advisory opinion only applies to him and cannot address situations relative to other City Council members unless they request their own advisory opinions. Upon motion made by Commissioner Antone and duly seconded by Commissioner Quinn, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to James W. McElroy, a member of the Warwick City Council. The final advisory opinion was that of: Michael W. Carroll, a member of the Barrington Town Council, seeks an advisory opinion regarding whether his spouse may appear before the Barrington Zoning Board of Review, and potentially the Barrington Planning Board and the Barrington Town Council, to oppose the proposed subdivision and/or development of a vacant lot directly abutting property that the Petitioner and his spouse jointly own. > Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. She informed that the Staff had issued safe harbor to this Petitioner. In response to Commissioner Bennett, Staff Attorney Popova Papa stated that the Petitioner is required to recuse from voting because there is a rebuttable presumption that that he and his spouse will be financially impacted. In response to Commissioner Palumbo, Chair Cheit stated that the Commission cannot direct the Petitioner’s spouse as to what she should do or what she should tell the Board if she appears before it because she is not subject to the Code of Ethics. Discussion ensued regarding amending the advisory opinion to include that, prior to his or his spouse’s appearance before the Boards relative to the subdivision and/or development of the vacant lot, the Petitioner must inform the Boards’ members of his receipt of the instant advisory opinion. Upon motion made by Commissioner Murphy and duly seconded by Commissioner Antone, it was unanimously VOTED: To issue an advisory opinion, as amended and attached hereto, to Michael W. Carroll, a member of the Barrington Town Council. Executive Session. At 9:55 a.m., uponmotion made by Commissioner Murphy and duly seconded by Commissioner Quinn, it was unanimously VOTED: To go into Executive Session, to wit: 1. Motion to approve minutes of Executive Session held on July 16, 2019, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). 2. In re: Gina M. Raimondo, Complaint No. 2019-11, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). 3. In re: Tony Raposo, Complaint No. 2019-12, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). 4. In re: Gary Cote, Complaint No. 2019-13, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). 5. In re: Jonathan N. Savage, Complaint No. 2019-1, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). 6. Litigation update re: Francis X. Flaherty v. Rhode Island Ethics Commission et al., Superior Court C.A. No. PC-2019-5088, pursuant to R.I. Gen. Laws § 42-46-5(a)(2). 7. Discussion of investigative materials received by Commission staff, pursuant to R.I. Gen. Laws § 42-46-5(a)(4). 8. Motion to return to Open Session. At 11:17 a.m., the Commission reconvened in Open Session. 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 July 16, 2019. [Reporter’s Note: The vote was as follows: AYES: Ross Cheit; J. Douglas Bennett; Kyle P. Palumbo; Marisa A. Quinn; and Emili B. Vaziri. ABSTENTIONS: M. Therese Antone and Timothy Murphy.] 2. Voted (6-1) in the matter of In re: Gina M. Raimondo, Complaint No. 2019-11, to initially determine that the Complaint fails to state facts sufficient to constitute a violation of R.I. Gen. Laws § 36-14-5(h). Therefore, as to this allegation, the Complaint was dismissed. [Reporter’s Note: The vote was as follows: AYES: Ross Cheit; M. Therese Antone; Timothy Murphy; Kyle P. Palumbo; Marisa Quinn; and Emili B. Vaziri. NOES: J. Douglas Bennett.] Voted (6-1) in the matter of In re: Gina M. Raimondo, Complaint No. 2019-11, to initially determine that the Complaint states facts that, if true, are sufficient to constitute a violation of R.I. Gen. Laws § 36-14-5(d) and authorized an investigation. [Reporter’s Note: The vote was as follows: AYES: Ross Cheit; M. Therese Antone; J. Douglas Bennett; Timothy Murphy; Kyle P. Palumbo; and Marisa Quinn. NOES: Emili B. Vaziri.] 3. Voted (6-1) to initially determine that the facts alleged in In re: Tony Raposo, Complaint No. 2019-12, if true, are sufficient to constitute a violation of the Code of Ethics and authorized an investigation. [Reporter’s Note: The vote was as follows: AYES: Ross Cheit; M. Therese Antone; J. Douglas Bennett; Timothy Murphy; Kyle P. Palumbo; and Marisa Quinn. NOES: Emili B. Vaziri.] 4. Unanimously voted to initially determine that the facts alleged in In re: Gary Cote, Complaint No. 2019-13, if true, are sufficient to constitute a violation of the Code of Ethics and authorized an investigation. 5. Voted (6-0) in the matter of In re: Jonathan N. Savage, Complaint No. 2019-1, to enlarge time for investigation for 60 days. [Reporter’s Note: The vote was as follows: AYES: Ross Cheit; M. Therese Antone; J. Douglas Bennett; Timothy Murphy; Marisa A. Quinn; and Emili B. Vaziri. RECUSALS: Kyle P. Palumbo.] 6. Received a litigation update in Francis X. Flaherty v. Rhode Island Ethics Commission et al., Superior Court C.A. No. PC-2019-5088. 7. Discussed investigative materials received by Commission staff. The next order of business was: Motion to seal minutes of Executive Session held on August 20, 2019. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Murphy, it was unanimously VOTED: To seal the minutes of the Executive Session held on August 20, 2019. The next order of business was: Review of Exemption for Albert Kausch, Ph.D., pursuant to the R.I. Public/Private Partnership Act, R.I. Gen. Laws § 16-59-26. Executive Director Gramitt informed that the Rhode Island Council on Postsecondary Education has approved an exemption under the Public/Private Partnership Act regarding Albert Kausch, Ph.D. Executive Director Gramitt stated that he prepared a memorandum explaining the exemption for the benefit of the new commissioners. He explained that this exemption allows professors and researchers to monetize their work and inventions. Theodore Myatt, Associate Vice President for Research Administration at the University of Rhode Island, was present to answer any questions or address any concerns. Executive Director Gramitt explained to the Commission that Dr. Kausch is a co-founder of Verinomics which wishes to lease space at URI to conduct further research relating to genetic diversity in commercially significant vegetable crops. He informed that he reviewed the exemption materials that URI submitted, and they comply with the Act. He further informed that no action was required by the Commission unless it finds reason for the Council to re-examine the exemption. No issues were raised by the Commission. The next order of business was: Discussion of improvements and amendments to financial disclosure requirements and procedures. Chair Cheit stated that this matter would be continued to a meeting in September, given that Commissioner Corrente requested this agenda item but was not present today to participate in the discussion. The next order of business was: Director’s Report: Status report and updates. a.) Complaints and investigations There are nine complaints pending, seven of which are substantive conflict of interest matters and two are financial disclosure cases. b.) Advisory opinions There are seven advisory opinions pending. c.) Access to Public Records Act requests since last meeting Seven APRA requests were received since the last meeting, all of which were granted within one business day. In response to Chair Cheit, Executive Director Gramitt informed that five of those seven requests related to financial disclosure. He informed that the 2018 financial disclosure filings are currently at 96% compliance. The final order of business was: New Business and General Comments from the Commission. Chair Cheit stated that Executive Director Gramitt will be working on an amendment to the regulations regarding the process by which complaints submitted to the Commission are accepted or rejected for filing. At 11:30 a.m., upon motion made by Commissioner Quinn and duly seconded, it was unanimously VOTED: To adjourn. Respectfully submitted, _____________________________ Arianne Corrente Secretary