Minutes September 27, 2016 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION September 27, 2016 The Rhode Island Ethics Commission held its 12th meeting of 2016 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 27, 2016, 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 Mark B. Heffner* Marisa A. Quinn, Vice Chair Timothy Murphy Robert A. Salk, Secretary James V. Murray Also present were Edmund L. Alves, Jr., Commission Legal Counsel; Kent A. Willever, Commission Executive Director; Katherine D’Arezzo, Senior Staff Attorney; Jason Gramitt, Education Coordinator/Staff Attorney; Staff Attorneys Teresa Giusti and Teodora Popova Papa; and Commission Investigators Steven T. Cross, Peter J. Mancini and Gary V. Petrarca. At 9:07 a.m., the Chair opened the meeting. The first order of business was: Approval of minutes of the Open Session held on September 13, 2016. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Murray, it was VOTED: To approve minutes of the Open Session held on September 13, 2016. AYES: James V. Murray; Marisa A. Quinn; and Ross Cheit. ABSTENTIONS: Robert A. Salk; 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: Christopher B. Frenier , a Probation and Parole Supervisor for the Rhode Island Department of Corrections, requests an advisory opinion regarding whether the Code of Ethics permits him to continue working in his private capacity as a facilitator of a batterer ’s intervention program at Rhode Island Batterer’ s Intervention Program. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. *Commissioner Heffner arrived at 9:14 a.m. The Petitioner advised that he takes exception to the statement that he would have a substantial conflict under section 36-14-5 because his role is to facilitate classes, which would not lead to a gain or a loss to his private employer. He stated that he understands that he is responsible for his subordinates, but case management relates to the individual offender, rather than who is providing the program. He noted that he does not just have domestic violence clients, whereas the prior cited advisory opinion related to the provision of services solely to sex offenders. Chair Cheit observed that the company would realize a gain or a loss depending upon the number of referrals received. He further noted that the staff recommendation recognizes that there is the potential for someone in the Petitioner’s position to make referrals to his private employer. Commissioner Murphy commented that the Petitioner is supervising individuals who may want to please or help him by making referrals to his private employer. The Petitioner advised that there would be no financial gain to him if any of his probation and parole officers made referrals to his private employer. Chair Cheit stated that the issue is the gain to his private employer. Commissioner Salk stated that there could be a financial impact on the Petitioner if referrals were not made to his employer and it closed down its office. The Petitioner replied that the closure of the Newport office would have no impact on him because the company has offices statewide. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Murphy, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Christopher B. Frenier, a Probation and Parole Supervisor for the Rhode Island Department of Corrections. In response to the Petitioner, Chair Cheit indicated that it would be fine for the Petitioner to give two weeks’ notice to his private employer. The next advisory opinion was that of: Brian Moore, the Administrator of the Stormwater Management Program within the Department of Transportation, requests an advisory opinion as to what limitations the Code of Ethics places upon him given that his brother-in-law is a Project Manager with BETA Engineering, a contractor currently providing inspections for the Stormwater Management Program. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. The Petitioner advised that he needs to report to his Director and the General Assembly regarding the status of Department of Transportation projects. He inquired if he may still sit in on meetings, just to hear the status of the project, provided that he does not participate. Chair Cheit stated that the restriction relates to his participation if the meeting were evaluative. In response to Commissioner Murphy, the Petitioner estimated that there are 25,000 catch basins statewide and there currently is one other contractor, besides BETA, performing inspections. The Petitioner noted that catch basin inspection is just one aspect of the program, perhaps 25%, and that he is also involved with other consultants regarding watershed management plans. The Petitioner confirmed that BETA had the contract prior to his employment. Upon motion made by Commissioner Murphy and duly seconded by Commissioner Murray, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Brian Moore, the Administrator of the Stormwater Management Program within the Department of Transportation. The next advisory opinion was that of: Marco Pacheco, a member of the East Providence Economic Development Commission, requests an advisory opinion regarding whether he may apply for a commercial loan through an existing low interest loan program administered by his Commission. Staff Attorney Gramitt presented the Commission Staff recommendation. The Petitioner was not present. Staff Attorney Gramitt informed that information regarding the East Providence Economic Development Commission (EDC) was obtained from EDC staff with the Petitioner’s knowledge. He advised that, in practice, all loans are for approximately $99,000. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Heffner, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Marco Pacheco, a member of the East Providence Economic Development Commission. The next order of business was: Commission review of final dispositions in staff-initiated complaints relating to non-filing of the 2014 Financial Disclosure Statement. Staff Attorney Gramitt advised that, at this time last year, the Commission approved a fine schedule for staff-initiated non-filing Complaints, which lowered the penalty to $100 for those that settled within ten days of filing and $500 for those that settled thereafter, provided that the Staff has discretion to accept a reduced penalty based upon unique circumstances. He noted that the Staff is to report all such informal dispositions to the Commission. Staff Attorney Gramitt reported that all twelve (12) staff-initiated Complaints for non-filing of the 2014 Statement, all of which were prosecuted by Staff Attorney Giusti, had been resolved, eleven (11) of which were by informal disposition and one (1) by adjudication. He stated that nine (9) were settled immediately for $100, one (1) was resolved for $100 later, where the Respondent had been out of the country, and one (1) was resolved for $500 after four months. He informed that the Commission imposed a $1,000 civil penalty against Frank Hyde at adjudication. He noted that Mr. Hyde has a prior unpaid penalty in collection and the new penalty will likely be sent to collection as well. He advised that the Staff consensus is that the new penalty schedule worked well and no changes are recommended. Director’s Report. Executive Director Willever reported that there were six (6) complaints and four (4) advisory opinions pending. He stated that ten (10) APRA requests were received since the last meeting, all of which were granted within one business day. The next order of business was: Executive Session. At 9:53 a.m., upon motion made by Commissioner Murray and duly seconded by Commissioner Murphy, it was unanimously VOTED: To go into Executive Session, to wit: 1. Motion to approve minutes of Executive Session held on September 13, 2016, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 2. In re: Helder J. Cunha, Complaint No. 2016-11, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). 3. Motion to return to Open Session. At 10:05 a.m., the Commission reconvened in Open Session. The next order of business was: Motion to seal minutes of Executive Session held on September 27, 2016. Upon motion made by Commissioner Murray and duly seconded by Commissioner Quinn, it was unanimously VOTED: To seal minutes of the Executive Session held on September 27, 2016. 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 September 13, 2016. [Reporter’s note – The vote was as follows: AYES: James V. Murray; Marisa A. Quinn; and Ross Cheit. ABSTENTIONS: Robert A. Salk; Mark B. Heffner; and Timothy Murphy. 2. Unanimously voted (6-0) to approve an Informal Resolution & Settlement in In re: Helder J. Cunha, Complaint No. 2016-11. The next order of business was: New Business. There was no new business. At 10:08 a.m., upon motion made by Commissioner Quinn and duly seconded by Commissioner Heffner, it was unanimously VOTED: To adjourn. Respectfully submitted, __________________ Robert A. Salk Secretary