Minutes August 17, 2021 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION August 17, 2021 The Rhode Island Ethics Commission held its 12th meeting of 2021 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 17, 2021, 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: Marisa A. Quinn, Chair Lauren E. Jones Arianne Corrente, Vice Chair Matthew D. Strauss Kyle P. Palumbo, Secretary Holly J. Susi J. Douglas Bennett The following Commissioner was not present: M. Therese Antone. 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 Chairopened the meeting and began by commending the staff for their hard work during the pandemic. The other Commissioners concurred. The first order of business was: Approval of minutes of the Open Session held on June 29, 2021. Upon motion made by Commissioner Jones and duly seconded by Commissioner Corrente, it was VOTED: To approve the minutes of the Open Session held on June 29, 2021. AYES: Arianne Corrente; Lauren E. Jones; Kyle P. Palumbo; Matthew D. Strauss; and Holly Susi. ABSTENTIONS: Marisa A. Quinn and J. Douglas Bennett. The next order of business was: Director’s Report: Status report and updates. Executive Director Gramitt informed that Commissioner Murphy tendered his resignation last week after six years of service on the Commission. He further informed that the Governor’s office has been notified and will seek to fill the vacancy. a.) Discussion of impact of COVID-19 crisis on Ethics Commission operations and staffing Executive Director Gramitt explained that the Governor’s Executive Order allowing for remote meetings lapsed and the Commission has resumed meeting in person as of today. He informed that meeting via Zoom will no longer be an option even if a Commissioner cannot attend a given meeting in person. Executive Director Gramitt further informed that the staff has resumed mandatory mask-wearing pursuant to the CDC’s guidelines and is limiting in-person contacts with the public. In response to Chair Quinn, Executive Director Gramitt stated that the General Assembly did not pass legislation to allow for remote meetings and the Governor’s authority to issue executive orders to this effect are more constrained. b.) Complaints and investigations pending There are six active cases pending. Executive Director Gramitt informed that the Corrigan matters are closed, leaving three conflict of interest cases and three non-filing cases. He explained that due to the pandemic, the Commission did not file complaints against non-filers last year. Executive Director Gramitt stated that 48 persons had not filed financial disclosure statements for 2019 and 2020. He informed that the investigators had volunteered to reach out to those non-filers and help them with filing. As a result of their hard work and persistent efforts, all but three persons filed their statements and the staff filed complaints against those three remaining non-filers. In response to Commissioner Palumbo, Executive Director Gramitt explained that the Commission implemented the Schedule of Fines around 2000 and authorized the staff to settle non-filing complaints pursuant to the Schedule of Fines which he will send to the Commissioners. The Schedule of Fines also authorizes the staff to adjust penalty amounts based on special circumstances. c.) Advisory opinions pending There are seven advisory opinions with six noticed for today’s meeting. d.) Access to Public Records Act requests since last meeting There were eight APRA requests received since the last meeting, three of which were granted within one business day. Executive Director Gramitt informed that one request related to a complaint, one to a recusal, two to an advisory opinion, and four to financial disclosure. e.) Financial Disclosure: Update on upcoming 2020 filing period Executive Director Gramitt informed that as of today, the compliance rate for filing is at 99.38%, the highest in the Commission’s history. He stated that there are 26 remaining non-filers for 2020. At 9:10 a.m., upon motion made by Commissioner Bennett and duly seconded by Commissioner Jones, it was unanimously VOTED: To go into Executive Session, to wit: a.) Motion to approve minutes of Executive Session held on June 29, 2021, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). b.) In re: Steven Merolla, Complaint No. 2020-6, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). c.) In re: Anthony Pilozzi, Complaint No. 2021-2, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). d.) 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 August 17, 2021. Upon motion made by Commissioner Corrente and duly seconded by Commissioner Jones, it was unanimously VOTED: To seal the minutes of the Executive Session held on August 17, 2021. The next order of business was: Report on actions taken in Executive Session. Chair Quinn reported that the Commission took the following actions in Executive Session, which information will also be available on the Commission’s website: 1. Voted (5-0) to approve the minutes of the Executive Session held on June 29, 2021. [Reporter’s Note: The vote was as follows: AYES: Arianne Corrente; Lauren E. Jones; Kyle P. Palumbo; Matthew D. Strauss; and Holly Susi. ABSTENTIONS: Marisa A. Quinn and J. Douglas Bennett.] 2. Voted (6-0) in the matter of In re: Steven Merolla, Complaint No. 2020-6, that probable cause exists to believe that the Respondent, Steven Merolla, a member of the Warwick City Council, violated Rhode Island General Laws § 36-14-5(a) and (d) by participating in the City Council’s votes on: April 22, 2019, to approve the first extension of the Council’s contract with YKSM and an increase in funding in the amount of $30,000; and on June 17, 2019, to approve the second extension of the Council’s contract with YKSM and an increase in funding in the amount of $165,000, respectively. [Reporter’s Note: The vote was as follows: AYES: Marisa A. Quinn; Arianne Corrente, J. Douglas Bennett; Kyle P. Palumbo; Matthew D. Strauss; and Holly J. Susi. RECUSAL: Lauren E. Jones.] Voted (6-0) in the matter of In re: Steven Merolla, Complaint No. 2020-6, that probable cause exists to believe that the Respondent, Steven Merolla, a member of the Warwick City Council, violated Rhode Island General Laws § 36-14-5(a) and (d) by taking official actions, including signing five invoices authorizing payments to YKSM; signing an engagement letter with YKSM for services to be performed for the City Council from January 1, 2019, through December 31, 2019; signing a letter on February 1, 2019, to the City’s Finance Director and a letter on April 4, 2019, to the City’s Purchasing Division requesting and authorizing a contract extension and additional funds; and directing City personnel to make payments to YKSM, all of which actions resulted in a direct financial impact upon the Respondent’s business associates, YKSM and Thomas Lisi, and constituted the Respondent’s use of public office. [Reporter’s Note: The vote was as follows: AYES: Marisa A. Quinn; Arianne Corrente, J. Douglas Bennett; Kyle P. Palumbo; Matthew D. Strauss; and Holly J. Susi. RECUSAL: Lauren E. Jones.] 3. Unanimously voted (7-0) in the matter of In re: Anthony Pilozzi, Complaint No. 2021-2, to initially determine that the Complaint states facts that, if true, are sufficient to constitute a violation of the Code of Ethics and authorized an investigation. 4. Unanimously voted (7-0) to return to Open Session. 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 opinionwas that of: The Honorable Steven A. Moretti, an Associate Judge of the Cranston Municipal Court, who in his private capacity is a practicing attorney, requests an advisory opinion regarding whether the Code of Ethics prohibits him from representing clients before the Cranston Probate Court, the Cranston Zoning Board of Review, and the Cranston City Council, and from representing clients charged with criminal offenses by the Cranston Police Department. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. Staff Attorney Radiches noted edits on pages three and four of the draft opinion where the word “justice” should read “judge” in two instances and the word “or” should be inserted after “counsel” and before “other.” The Petitioner addressed the Commission and represented that he will return before the Commission if he needs further guidance. In response to Commissioner Palumbo, the Petitioner explained that the zoning cases he handles before the Zoning Board of Review are not matters that would go before the Municipal Court on which he serves given that the two bodies address different subject matters. He represented, however, that if a client whom he represented before the Zoning Board of Review should appear before him in Municipal Court, he will recuse. In response to Commissioner Bennett, the Petitioner explained that traffic violations involving the Police Department are handled either in Municipal Court or the RI Traffic Tribunal, but because there is no overlap between the state and municipal courts, matters heard before the Traffic Tribunal would not come before him in Municipal Court. Upon motion made by Commissioner Jones and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion, as amended and attached hereto, to The Honorable Steven A. Moretti, an Associate Judge of the Cranston Municipal Court, who in his private capacity is a practicing attorney. The next advisory opinion was that of: Robert R. Moreau, Executive Director for the Woonsocket Housing Authority, requests an advisory opinion regarding what restrictions, if any, the Code of Ethics places upon him in carrying out his official duties, given that his sister is employed by the Woonsocket Housing Authority as a Data Entry Clerk. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. The Petitioner addressed the Commission and queried whether he is an “employee” for purposes of the Code of Ethics given that the Woonsocket Housing Authority (“Housing Authority”) is not affiliated with the City of Woonsocket. The Petitioner explained that the Housing Authority is comprised of a Board of Commissioners (“Board”) whose seven members are appointed by the Mayor. He further explained that the Mayor has no oversight or other involvement with the Housing Authority and that the Board hired him as the Executive Director. The Petitioner informed that the Housing Authority is completely overseen and funded by the United States Department of Housing and Urban Development (“HUD”), and he does not receive any remuneration from the City. Staff Attorney Radiches cited to the definition of “employee” under R.I. General Laws § 36-14-2(4) of the Code of Ethics and Legal Counsel DeSimone cited to § 36-14-2(9) to support the finding that the Petitioner is an employee under the Code. In response to Commissioner Susi, the Petitioner stated that the Housing Authority is subject to HUD’s rules and regulations, including those relating to nepotism. The Petitioner further queried whether, if he is subject to the Code of Ethics, the class exception analysis would apply to permit him to engage in negotiations with the union regarding the collective bargaining agreement (“CBA”). Staff Attorney Radices explained that the advisory opinion was drafted based on the facts presented by the Petitioner and that a future draft could be prepared to address more specific issues and application of the class exception to those issues. The Petitioner expressed concern over carrying out his day-to-day duties given that issues involving negotiations with the union frequently arise. He provided the example of the recent Juneteenth holiday for which he had to engage in negotiations to provide a floating holiday to employees. In response to Chair Quinn, the Petitioner explained that there is no one above him in the chain of command other than the Board, and HUD does not approve of Board members getting involved in day-to-day functions of the Housing Authority. He stated that the Human Resources Director is his subordinate. Staff Attorney Radiches pointed out that the Code prohibits the Petitioner from delegating his duties to his subordinate. Commissioner Corrente noted that the draft opinion does not address how the Petitioner should handle day-to-day issues that arise. Commissioner Jones expressed concern over the language in the draft informing the Petitioner that he must recuse when it is possible that he may qualify for the class exception in certain circumstances. Executive Director Gramitt explained that the nepotism provisions under the Code require the Petitioner to recuse from any negotiations involving the union and/or the CBA and the class exception analysis would not apply. Executive Director Gramitt further explained that the class exception may apply, however, to standard day-to-day issues that do not involve CBA negotiations. The Petitioner expressed further concern that the draft does not provide him with any direction as to what he can and cannot do in his day-to-day work. Executive Director Gramitt stated that the guidance in the draft is general. In response to Commissioner Palumbo, Executive Director Gramitt informed that the definition of a municipal agency includes a “quasi-public authority” such as a housing authority. Commissioner Corrente stated that the Commission should revisit the issue of whether housing authority employees are subject to the Code and that the Petitioner’s conundrum may also apply to other housing authorities throughout the state. Commissioner Susi queried whether housing authority employees are federal or municipal employees. Commissioner Jones stated that more facts are needed to distinguish issues involving the CBA in which the Petitioner cannot participate from those day-to-day issues in which he can participate. Staff Attorney Radiches proposed that the Petitioner withdraw the instant advisory opinion request and submit a new one. In response to Commissioner Palumbo, Executive Director Gramitt informed that if the Commission takes no action today, the staff will consider the question of whether employees of the Woonsocket Housing Authority are subject to the Code of Ethics in a future draft or memorandum. The Petitioner withdrew his request and the Commission took no action. The next advisory opinion was that of: Robert Almeida, the Supervising Forensic Scientist for the Rhode Island Department of Health, requests an advisory opinion regarding whether the Code of Ethics prohibits him from working, on his own time, as a private consultant on matters outside of and with no relation to the State of Rhode Island. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. The Petitioner addressed the Commissioner and clarified that he has been a toxicologist for the past seven years but a supervisor since March of this year. Staff Attorney Popova Papa confirmed that the draft accurately represented the Petitioner’s tenure at the Department of Health. Upon motion made by Commissioner Bennett and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Robert Almeida, the Supervising Forensic Scientist for the Rhode Island Department of Health. The next advisory opinion was that of: William J. Fazioli, the Chairperson of the East Providence Waterfront District Commission, who also serves as the Director of the Department of Planning and Economic Development for the City of East Providence, requests an advisory opinion regarding whether the Code of Ethics prohibits his simultaneous service in both positions. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present along with Amy Goins, Esq., Assistant City Solicitor. The Petitioner addressed the Commission and informed that he was appointed as Chairperson of the Waterfront Commission in September 2019 and would have come before this Commission sooner but for the pandemic. In response to Commissioner Bennett, the Petitioner stated that he does not receive any remuneration for his position as Chairperson. In response to Commissioner Jones, the Petitioner explained that he is an ex officio member of the Planning Board and will recuse from staff reports relative to matters pending before the Waterfront Commission. Upon motion made by Commissioner Corrente and duly seconded by Commissioner Jones, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to William J. Fazioli, the Chairperson of the East Providence Waterfront District Commission, who also serves as the Director of the Department of Planning and Economic Development for the City of East Providence. The next advisory opinion was that of: Thomas R. Doyle, a member of the New Shoreham Sewer Commission, requests an advisory opinion regarding whether he qualifies for a hardship exception to the Code of Ethics’ prohibition on appearing before an agency of which he is a member in order to appeal a sewer assessment against his personal residence. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. Staff Attorney Popova Papa explained that the Petitioner could not attend but had consented to the Commission proceeding in his absence. In response to Commissioner Jones, Staff Attorney Popova Papa explained that many petitioners are aware of the requirement and procedure for filing recusal forms with the Commission, but she will make it clear to this Petitioner as well. Upon motion made by Commissioner Jones and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Thomas R. Doyle, a member of the New Shoreham Sewer Commission. The final advisory opinion was that of: Stephen R. Ucci, a former legislator who served as a member of the Rhode Island House of Representatives, requests an advisory opinion regarding whether he may, prior to the expiration of one year after leaving legislative office, accept an appointment by the Speaker of the Rhode Island House of Representatives to the Special Commission on Reapportionment. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. Staff Attorney Popova Papa explained that the Petitioner could not attend but had consented to the Commission proceeding in his absence. Upon motion made by Commissioner Susi and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Stephen R. Ucci, a former legislator who served as a member of the Rhode Island House of Representatives. The next order of business was: Education Update. Education Coordinator Radiches presented an update on ethics trainings conducted during FY 2021 which included a document summarizing information about the trainings by month and category and an alphabetical listing by category of all groups that received training. She informed that, effective September 1, 2021, online training will be available through the Rhode Island Learning Center and explained the seven PowerPoint modules that will comprise the online program. Education Coordinator Radiches stated that all state employees will be able to access the training modules through the Learning Center and non-state employees will be able to enroll upon request to Alicia Ridge, Coordinator of Employee Training for the state. She further stated that Ms. Ridge will provide monthly reports to the Commission regarding the progress of the trainings. Education Coordinator Radiches informed that online training is not expected to replace in-person training but is offered as a convenient supplement or when immediate access to information is needed. She stated that the Commissioners will receive access codes by the end of the day to view the modules themselves, if they are so inclined. Education Coordinator Radiches informed that she has started scheduling some in-person trainings again and continues to receive requests for same. Commissioner Corrente stated that the number of trainings was positive, and she and the other Commissioners expressed appreciation for Education Coordinator Radiches’ efforts. The final order of business was: New Business proposed for future Commission agendas and general comments from the Commission. Commissioner Jones inquired whether a general discussion of housing authorities could be noticed on a future agenda. Executive Director Gramitt stated that the staff will engage in drafting a memo or a new advisory opinion to Mr. Moreau to address this issue. He further stated that the staff will begin its analysis with the Woonsocket Housing Authority given that not all housing authorities are the same. At 11:42 a.m., upon motion made by Commissioner Corrente and duly seconded by Commissioner Bennett, it was unanimously VOTED: To adjourn the meeting. Respectfully submitted, _____________________________ Kyle P. Palumbo Secretary