Minutes December 6, 2016 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION December 6, 2016 The Rhode Island Ethics Commission held its 15th 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, December 6, 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 J. Douglas Bennett Marisa A. Quinn, Vice Chair Mark B. Heffner M. Therese Antone Also present were Edmund L. Alves, Jr., Commission Legal Counsel; 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 9:20 a.m., the Chair opened the meeting. The first order of business was: Administration of Oath of Office to J. Douglas Bennett. Chair Cheit administered the Oath of Office to Commissioner Bennett. The next order of business was: Approval of minutes of the Open Session held on November 15, 2016. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Antone, it was VOTED: To approve minutes of the Open Session held on November 15, 2016. AYES: Mark B. Heffner; Marisa A. Quinn; and Ross Cheit. ABSTENTIONS: M. Therese Antone; J. Douglas Bennett. 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 prohibits him from accepting part-time, private employment with a private sex offender counseling program. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. Staff Attorney Popova Papa noted that the matter had been continued from the last meeting, which the Petitioner was unable to attend, and the draft opinion had been amended to address questions raised by the Commission. The Petitioner advised that if stepped-down sex offenders were referred back to counseling it would mean that they were no longer considered low risk and would not be referred to counselors under his supervision. In response to Chair Cheit, the Petitioner stated that he had reached out to Mr. Stevens, who he knew from his practicum experience in forensic psychology in graduate school, and inquired about employment opportunities. In further response, the Petitioner confirmed that he has no involvement with the Probation Department’s referral of cases to Mr. Stevens. Chair Cheit expressed concern that such employment is ill advised because so many factors could change and render it problematic, although he believes that the Code does allow it. Upon motion made by Commissioner Antone and duly seconded by Commissioner Quinn, 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. The next advisory opinion was that of: The Honorable Daniel Da Ponte, a legislator serving as a member of the Rhode Island Senate, requests an advisory opinion regarding whether the Code of Ethics prohibits him from acting as a financial advisor to employee/participants of the Rhode Island Public Transit Authority’s 457 deferred compensation plan with MassMutual. Staff Attorney Gramitt presented the Commission Staff recommendation. The Petitioner was present. In response to Commissioner Antone, the Petitioner stated that he was approached by the union on behalf of Rhode Island Public Transit Authority (“RIPTA”) employees. He stated his understanding that if employees want their own financial advisor with MassMutual it would not be prohibited. In response to Commissioner Heffner, he informed that the union recommends a financial advisor for their employee participants. The Petitioner advised that each individual participant would have to either choose him as the advisor for their own account, choose their own advisor, subject to RIPTA approval, or deal directly with MassMutual on their own. Chair Cheit inquired as to whether RIPTA’s action to approve a financial advisor would be ministerial. Upon discussion, Staff Attorney Gramitt concurred that RIPTA would be assessing minimal qualifications, but it would not be issuing a Request for Proposals for investment advisors or vetting advisors. In response to Commissioner Quinn, the Petitioner stated that the legislature does not have any role and the budget resources it allocates to RIPTA are not at the individual employee level. Chair Cheit expressed support for the “spirit of transparency” language utilized in the draft opinion. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Heffner, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to the Honorable Daniel Da Ponte, a legislator serving as a member of the Rhode Island Senate. The next advisory opinion was that of: Dean Naylor, a member of the North Smithfield Planning Board, requests an advisory opinion regarding whether he may accept, if offered, the position of Town Planner. Staff Attorney Giusti presented the Commission Staff recommendation. The Petitioner was present. The Petitioner advised that the Planning Board receives resumes for review and makes three recommendations to the Town Administrator. He clarified that the Board does not subsequently approve the Administrator’s final selection. Staff Attorney Giusti agreed with that representation, but she noted that it is problematic because the Board of which he is a member chooses the three applicants from which the Administrator must select. The Petitioner stated his understanding that the number of applicants was limited. Chair Cheit explained the factually specific limitations of application of the hardship exception. Commissioner Bennett noted that he knew the Petitioner from the community and inquired why he had not resigned from the Board prior to seeking the opinion. The Petitioner replied that he did not believe that it would make a difference and noted that the job is not certain and he has two years left to serve. Upon motion made by Commissioner Antone and duly seconded by Commissioner Quinn, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Dean Naylor, a member of the North Smithfield Planning Board. The next advisory opinion was that of: James Lathrop , the Town Manager for the Town of New Shoreham, requests an advisory opinion as to the application of the Code of Ethics’ nepotism provision if his wife were to seek or accept employment with the Town of New Shoreham. Staff Attorney Popova Papa presented the Commission Staff recommendation. She represented that the Petitioner was not present due to the difficulty of travel from Block Island. In response to Commissioner Quinn, Staff Attorney Popova Papa indicated that the Petitioner could use the opinion for general guidance, although there may be a need to seek further specific guidance in the future. 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 Lathrop, the Town Manager for the Town of New Shoreham. The next advisory opinion was that of: Melissa Hutchinson, a member of the Tiverton Planning Board, requests an advisory opinion regarding whether she may participate in the Planning Board’s discussions and voting relative to applications for subdivisions and land development projects in which her business associate appears as an expert witness for the applicant. Staff Attorney Gramitt presented the Commission Staff recommendation. The Petitioner was not present. Upon motion made by Commissioner Quinn and duly seconded by Commissioner Heffner, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Melissa Hutchinson, a member of the Tiverton Planning Board. The next advisory opinion was that of: Thomas E. Hodge, a member of the Pawtucket City Council, requests an advisory opinion as to whether he may be appointed to the Pawtucket Water Supply Board, an unpaid position, within one year from the Petitioner’s official severance from his position as City Councilor. Staff Attorney Popova Papa presented the Commission Staff recommendation. She advised that the Petitioner could not attend due to the requirements of his job. Upon motion made by Commissioner Heffner and duly seconded by Commissioner Antone, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Thomas E. Hodge, a member of the Pawtucket City Council. Chair Cheit expressed appreciation for the Petitioner’s unpaid public service. The next order of business was: Financial Disclosure Update. Staff Attorney Gramitt reported that the administrative staff processed 4,300 financial statements this year, the most filings since 2003. This is due to approximately 400 extra candidate filings required in an election year, as well as the receipt of over 400 amendments to previously filed statements. He expressed thanks to the Commission’s Financial Disclosure Officer, Michelle Berg. Staff Attorney Gramitt advised that 11 of the 12 non-filing complaints initiated by Staff in November have been disposed. In the remaining matter, the 2015 Statement and penalty payment have been received, but the Staff awaits receipt of the executed Consent Form via mail. Staff Attorney Gramitt attributed the rapid disposition to the Commission’s reduction of the fine to $100 and the efforts of Commission Investigators. He informed that the Commission had its highest compliance rate, 98.2%, since 1988. He noted that online filing is currently at 80%, with only approximately 900 paper filings. Staff Attorney Gramitt advised that if the Commission attains 100% online filing it would have the ability to generate meaningful reports. He stated that the Staff is working with RI.gov on ideas to achieve this goal. The next order of business was: Director’s Report. On behalf of Executive Director Willever, Senior Staff Attorney D’Arezzo reported that there were six (6) complaints pending, which included five (5) conflict complaints and the one (1) unresolved non-filing complaint previously discussed by Staff Attorney Gramitt. She informed that there were six (6) advisory opinions pending and no preliminary investigation or litigation matters pending. She stated that three (3) APRA requests were received since the last meeting, all of which were granted within one business day. For planning purposes, she noted that In re: Peter Palumbo is scheduled for adjudication at the February 7, 2017 meeting. In response to Chair Cheit, she estimated that the meeting could last until noon on that date. The next order of business was: Executive Session. At 10:36 a.m., upon motion made by Commissioner Antone and duly seconded by Commissioner Quinn, it was unanimously VOTED: To go into Executive Session, to wit: a.) Motion to approve minutes of Executive Session held on November 15, 2016, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) and (4). b.) Motion to return to Open Session. At 10:36 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 (3-0) to approve the minutes of the Executive Session held on November 15, 2016. [Reporter’s note – The vote was as follows: AYES: Mark B. Heffner; Marisa A. Quinn; and Ross Cheit. ABSTENTIONS: M. Therese Antone; J. Douglas Bennett.] The next order of business was: New Business. Chair Cheit welcomed Commissioner Bennett. At 10:37 a.m., upon motion made by Commissioner Heffner and duly seconded by Commissioner Quinn, it was unanimously VOTED: To adjourn. Respectfully submitted, __________________ Robert A. Salk Secretary