Minutes September 24, 2019 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION September 24, 2019 The Rhode Island Ethics Commission held its 11th 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, September 24, 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 Arianne Corrente, Secretary Kyle P. Palumbo M. Therese Antone Emili B. Vaziri J. Douglas Bennett* The following Commissioner(s) were not present: Marisa A. Quinn and Robert A. Salk. Also present were Herbert F. DeSimone, Jr., Commission Legal Counsel; Jason Gramitt, Commission Executive Director; 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 9:08 a.m., the Chair opened the meeting. The first order of business was: Approval of minutes of the Open Session held on August 20, 2019. Upon motion made by Commissioner Antone and duly seconded by Commissioner Palumbo, it was VOTED: To approve the minutes of the Open Session held on August 20, 2019. AYES: Ross Cheit; M. Therese Antone; Timothy Murphy; Kyle P. Palumbo; and Emili B. Vaziri. ABSTENTIONS: Arianne Corrente. 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: Alisa Richardson, a Project Manager in the Office of Stormwater Development at the Rhode Island Department of Transportation, requests an advisory opinion regarding whether the Code of Ethics prohibits her from continuing to appear, in her private capacity and on her own time, at various municipal planning and zoning board meetings on behalf of neighborhood associations concerned with stormwater practices and water quality treatment. Commissioner Palumbo recused and left the hearing room at 9:10 a.m. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. Upon motion made by Commissioner Antone and duly seconded by Commissioner Murphy, it was VOTED: To issue an advisory opinion, attached hereto, to Alisa Richardson, a Project Manager in the Office of Stormwater Development at the Rhode Island Department of Transportation. AYES: Ross Cheit; M. Therese Antone; Arianne Corrente; Timothy Murphy; and Emili B. Vaziri. RECUSALS: Kyle P. Palumbo. Commissioner Palumbo returned to the hearing room at 9:14 a.m. The next advisory opinion was that of: Elizabeth Champagne, MA, CSEP, a Vocational Rehabilitation Counselor for the Rhode Island Department of Human Services, Office of Rehabilitation Services, requests an advisory opinion regarding whether the Code of Ethics prohibits her from working, on her own time, as a certified yoga instructor for young children and/or adults with disabilities. *Commissioner Bennett arrived at 9:17 a.m. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. The Petitioner noted that the Office of Rehabilitation Services (“ORS”) vendors out physical therapy services. She explained that her office’s policy is that if a counselor has a bias or conflict of interest in a case, he or she can transfer the case to a different counselor. The Petitioner queried whether there would be a conflict for her if various state agencies refer clients to her. Staff Attorney Popova Papa stated that the Petitioner would not have a conflict as long she does not solicit her ORS clients for her private employment. In response to Commissioner Murphy, the Petitioner represented that she would not accept a private client for whom the ORS provided funding. Chair Cheit noted that the language on page one of the draft opinion which states that the ORS “does not refer individuals to yoga” should be amended to reflect that the ORS “rarely” refers individuals to yoga and that if any person in the Petitioner’s caseload requires a referral to a yoga class, the Petitioner will recuse herself from further participation on that person’s case and make arrangements for the case to be re-assigned to one of her colleagues. In response to the Petitioner’s further inquiries, both Chair Cheit and Commissioner Murphy commented that the conditions set forth on the bottom of page two of the draft opinion address the Petitioner’s concerns with respect to her private employment. Chair Cheit emphasized that the Petitioner cannot actively solicit her ORS clients to attend her private classes nor can she inform her ORS contacts of her private employment. Executive Director Gramitt informed the Petitioner that the draft opinion provides general guidance based on her request, but as more specific and discrete issues arise, she may wish to seek an additional advisory opinion or speak with Staff Attorney Popova Papa going forward. Upon motion made by Commissioner Murphy and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion, as amended and attached hereto, to Elizabeth Champagne, MA, CSEP, a Vocational Rehabilitation Counselor for the Rhode Island Department of Human Services, Office of Rehabilitation Services. The next advisory opinion was that of: Marc A. Tillson, the Building Official for the Town of New Shoreham, who in his private capacity owns and operates a house watch service there, requests an advisory opinion regarding the application of the Code of Ethics to his participation in matters before his agency, given his business associations with persons who may be involved with, or impacted by, such matters. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was not present but indicated to Staff Attorney Radiches that he would be available by phone if questions arose. Staff Attorney Radiches informed that she will amend the footnote at the bottom of page one of the draft opinion to reflect that the Petitioner “informed the Town Council and the Town Manager in September of 2018 of his intent to resign in December of 2019.” In response to Chair Cheit, Staff Attorney Radiches informed that there are at least eight other house watch servicers in the town. She further informed that the Petitioner has sent letters to three clients terminating their business associate relationship due to his public position. Executive Director Gramitt stated that the Commission has not imposed a time frame as to when a business association is terminated without reasonable foreseeability that it will resume at some point. Discussion ensued regarding the Petitioner’s duty to report violations that he sees in the course of his private work and whether the Petitioner should appear before the Commission to address questions and concerns. Commissioner Palumbo stated that if the Petitioner has a duty to report, this may constitute a conflict. In response to Commissioner Vaziri, Staff Attorney Radiches stated that the Petitioner sought this advisory opinion because someone raised the issue of a potential conflict at a recent Planning Board meeting. In response to Commissioner Corrente, Executive Director Gramitt informed that after the Petitioner resigns, the one-year prohibition will only apply to his appearing before his own board. The Commission took no action and the matter was continued to a future meeting at which the Petitioner is expected to appear. The next advisory opinion was that of: Donald R. Grebien, the Mayor of the City of Pawtucket, requests an advisory opinion regarding whether the Code of Ethics prohibits him from taking official actions regarding the approval or disapproval of the YMCA of Pawtucket, Inc.’s application for Community Development Block Grant funds, given that his daughter is employed by the YMCA of Pawtucket, Inc. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. Staff Attorney Popova Papa explained that the Petitioner submitted one request letter, but the Staff separated the two issues for clarity. In response to Commissioner Murphy, Executive Director Gramitt stated that if the information concerning Block Grants is publicly available, the Petitioner is free to inform his family members about the available grants. Upon motion made by Commissioner Corrente and duly seconded by Commissioner Antone, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Donald R. Grebien, the Mayor of the City of Pawtucket. The final advisory opinion was that of: Donald R. Grebien, the Mayor of the City of Pawtucket, requests an advisory opinion regarding whether the Code of Ethics prohibits him from taking official actions regarding the approval or disapproval of the Pawtucket Soup Kitchen’s application for Community Development Block Grant funds, given that his spouse is a member of the Pawtucket Soup Kitchen’s Board of Directors. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. Upon motion made by Commissioner Antone and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Donald R. Grebien, the Mayor of the City of Pawtucket. Executive Session. At 9:57 a.m., uponmotion made by Commissioner Murphy and duly seconded by Commissioner Corrente, it was unanimously VOTED: To go into Executive Session, to wit: 1. Motion to approve minutes of Executive Session held on August 20, 2019, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). 2. In re: Daryl Gould, Complaint No. 2019-14, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). 3. In re: Gary Cote, Complaint No. 2019-13, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). 4. In re: Tony Raposo, Complaint No. 2019-12, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). 5. In re: Valarie Lawson, Complaint No. 2019-7, 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. Motion to return to Open Session. At 10:51 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 (6-0) to approve the minutes of the Executive Session held on August 20, 2019. [Reporter’s Note: The vote was as follows: AYES: Ross Cheit; M. Therese Antone; J. Douglas Bennett; Timothy Murphy; Kyle P. Palumbo; and Emili B. Vaziri. ABSTENTIONS: Arianne Corrente.] 2. Voted (6-1) in the matter of In re: Daryl Gould, Complaint No. 2019-14, to initially determine that the Complaint alleges facts that, 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; Arianne Corrente; Timothy Murphy; and Kyle P. Palumbo. NOES: Emili B. Vaziri.] 3. Unanimously voted (7-0) in the matter of In re: Gary Cote, Complaint No. 2019-13, to approve an Informal Resolution and Settlement and impose a civil penalty of $100. 4. Unanimously voted (7-0) in the matter of In re: Tony Raposo, Complaint No. 2019-12, to approve an Informal Resolution and Settlement and impose a civil penalty of $100. 5. Voted (6-1) in the matter of In re: Valarie Lawson, Complaint No. 2019-7, to find that probable cause does not exist to believe that the Respondent violated the Code of Ethics and to dismiss the Complaint. [Reporter’s Note: The vote was as follows: AYES: Ross Cheit; M. Therese Antone; Timothy Murphy; Kyle P. Palumbo; and Emili B. Vaziri. NOES: J. Douglas Bennett. RECUSALS: Arianne Corrente.] 6. Received a litigation update in Francis X. Flaherty v. Rhode Island Ethics Commission et al., Superior Court C.A. No. PC-2019-5088. The next order of business was: Motion to seal minutes of Executive Session held on September 24, 2019. Upon motion made by Commissioner Antone and duly seconded by Commissioner Murphy, it was unanimously VOTED: To seal the minutes of the Executive Session held on September 24, 2019. Commissioner Corrente left the hearing room at 10:53 a.m. The next order of business was: Discussion of improvements and amendments to financial disclosure requirements and procedures. Executive Director Gramitt explained that financial disclosure has remained the same since the 1970s and this may be a good time to reexamine the statute and Commission’s regulations to see if any changes or updates are needed. Executive Director Gramitt explained that the General Assembly has statutory authority to enact statutes and the Commission has concurrent authority to adopt regulations which it has done over the years. Executive Director Gramitt explained that merging the statute and regulations would require a two-step process: (1) preparing a legislative package with proposed statutory changes and asking a sponsor to bring the proposals to the General Assembly; and (2) amending the Commission’s regulations through rule-making. He stated that the Commission can hold workshops and public hearings to conduct rule-making. Executive Director Gramitt explained that the primary purpose of any reforms is to increase compliance and to improve transparency and accountability. Commissioner Antone left the hearing room at 11:10 a.m. In response to Commissioner Murphy, Executive Director Gramitt explained that the Commission can ask the General Assembly to repeal R.I. Gen. Laws § 36-14-17 and the Commission can enact regulations instead, or the Commission can work to improve upon the statutory framework that already exists. He proposed discussion regarding the process by which the Commission currently handles and resolves non-filing and non-disclosure complaints including, but not limited to, implementing public letters of reprimand. In response to Commissioner Palumbo, Executive Director Gramitt stated that the Commission can offer substantive comments on these proposals at a future meeting. Commissioner Bennett left the hearing room at 11:13 a.m. The next order of business was: Director’s Report: Status report and updates. a.) Complaints and investigations There are seven complaints pending, one of which is a financial disclosure case and six of which are substantive conflict of interest cases. b.) Advisory opinions There are nine advisory opinions pending. c.) Access to Public Records Act requests since last meeting Six APRA requests were received since the last meeting, four of which were granted within one business day and two of which required the full 10 days under the statute due to their complicated nature. The final order of business was: New Business and General Comments from the Commission. Chair Cheit stated that elections for officer positions will be held at the next meeting. He informed that he will be resigning from the Commission at the end of this year but is willing to continue serving as Chair until that time if the Commission so chooses. At 11:21 a.m., upon motion made by Commissioner Murphy and duly seconded, it was unanimously VOTED: To adjourn. Respectfully submitted, _____________________________ Arianne Corrente Secretary