Minutes 1-24-23 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION January 24, 2023 The Rhode Island Ethics Commission held its 1st meeting of 2023 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, January 24, 2023, 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 Emma L. Peterson Arianne Corrente, Vice Chair Matthew D. Strauss Kyle P. Palumbo, Secretary Holly J. Susi Lauren E. Jones Also present were Herbert F. DeSimone, Jr., Commission Legal Counsel; Jason Gramitt, Commission Executive Director; Katherine D’Arezzo, Senior Staff Attorney; Lynne M. Radiches, Staff Attorney/Education Coordinator; Staff Attorneys Teresa Giusti and Teodora Popova Papa; and Commission Investigators Peter J. Mancini, Gary V. Petrarca, and Kevin Santurri. 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 December 13, 2022. Upon motion made by Commissioner Jones and duly seconded by Commissioner Susi, it was unanimously VOTED: To approve the minutes of the Open Session held on December 13, 2022. The next order of business was: Director’s Report: Status report and updates. a.) Complaints and investigations pending There are two complaints pending, including one noticed for a settlement on today’s agenda and one that will be initially determined at the Commission’s next meeting. b.) Advisory opinions pending There are ten advisory opinions pending, five of which have been noticed for today’s meeting. c.) Access to Public Records Act requests since last meeting There were two APRA requests received since the last meeting, both of which were granted within one business day. Executive Director Gramitt informed that one request related to financial disclosure and one related to a complaint matter. d.) Financial Disclosure The 2022 filing year is now underway. Executive Director Gramitt stated that the clerks for all 39 cities and towns have been contacted to provide the names of all required filers. He informed that the staff is working with the Governor’s office to obtain correct information relative to state appointed officials and major state decision-makers who are required to file. e.) Ethics Administration/Office and Education Updates Education Coordinator Radiches has been busy providing both remote and in-person ethics training sessions. Executive Director Gramitt explained that he conducts trainings that involve senior staff officials and/or legislators, and he recently trained the House of Representatives and the Office of the Treasurer. He stated that training of members of the Secretary of State’s office and the Senate is forthcoming. Executive Director Gramitt informed that he has had good discussions with the Governor’s office and the House Minority Leader regarding the two remaining vacancies on the Commission, and he hopes to see these vacancies filled soon. 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: Douglas Duford, the Associate Director of the Quality Management Unit for the Rhode Island Department of Behavioral Healthcare, Developmental Disabilities & Hospitals, requests an advisory opinion regarding the application of the revolving door provisions of the Code of Ethics to his potential new private employment with CODAC Behavioral Healthcare following his severance from state employment. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. Upon motion made by Commissioner Jones and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion to Douglas Duford, the Associate Director of the Quality Management Unit for the Rhode Island Department of Behavioral Healthcare, Developmental Disabilities & Hospitals. The next advisory opinion was that of: Thomas E. Brun, a member of the East Providence Economic Development Commission, who in his private capacity owns and operates the Indoor Tennis Court, requests an advisory opinion regarding whether he is prohibited by the Code of Ethics from pursuing federal grant funding through the Storefront Improvement Program administered through the East Providence Department of Planning and Economic Development and, if so, whether he qualifies for a hardship exception to the Code of Ethics’ prohibition against representing himself before the municipal agency of which he is a member for purposes of pursuing the grant funding. Staff Attorney Radiches informed the Commission that the Petitioner was ill and had requested a continuance of the matter to the next meeting so that he could be present. She further informed that she would correct two typographical errors in the draft before the next meeting. Upon motion made by Commissioner Jones and duly seconded by Commissioner Peterson, it was unanimously VOTED: To continue the Commission’s consideration of an advisory opinion drafted for Thomas E. Brun, a member of the East Providence Economic Development Commission, who in his private capacity owns and operates the Indoor Tennis Court, to a future meeting. The next advisory opinion was that of: The Honorable Donald R. Grebien, the Mayor of the City of Pawtucket, requests an advisory opinion regarding whether his daughter’s employment with the Pawtucket Housing Authority would present a conflict of interest for the Petitioner under the Code of Ethics. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner and the City Solicitor were not present but had authorized the Commission to proceed in their absence. Commissioner Jones requested clarification from the staff regarding the status of housing authorities under the Code of Ethics and whether they are subject to the Commission’s jurisdiction. Executive Director Gramitt stated that the staff conducted an analysis of this issue in a past advisory opinion. Staff Attorney Popova Papa explained that the advisory opinion involved the Executive Director of the Woonsocket Housing Authority, and the Commission opined that he was subject to the Commission’s jurisdiction. Executive Director Gramitt informed that he would distribute copies of Advisory Opinion 2021-55 to the Commissioners at the next meeting. In response to Commissioner Palumbo, Executive Director Gramitt stated that the Petitioner’s daughter is not required to file financial disclosure statements, because she is not a municipal appointed official having decision-making authority over the expenditure of more than $50,000 in public funds, but she is still subject to the Code of Ethics as a municipal employee. Further discussion ensued regarding whether the Commission should issue a General Commission Advisory Opinion (“GCA”) providing an interpretation generally applicable to municipal housing authorities. Executive Director Gramitt suggested that the Commissioners, after reviewing A.O. 2021-55, could discuss at a future meeting whether to issue a GCA on this subject. In response to Commissioner Palumbo, Executive Director Gramitt explained that a GCA would apply broadly to housing authorities in contrast with an opinion that would be drafted for and apply to a specific petitioner and his/her set of facts. Upon motion made by Commissioner Corrente and duly seconded by Commissioner Palumbo, it was unanimously VOTED: To issue an advisory opinion to The Honorable Donald R. Grebien, the Mayor of the City of Pawtucket. The next advisory opinion was that of: Edward P. Morrone, a member of the Westerly Town Council, requests an advisory opinion regarding whether the Code of Ethics prohibits him from participating in Town Council discussions and decision-making relative to certain matters expected to be submitted by Winn Properties, LLC, given that the principals of Winn Properties, LLC are the Petitioner’s neighbors and friends. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present but had authorized the Commission to proceed in his absence. Chair Quinn noted that, under these facts, the question of whether the Petitioner can be fair and impartial in his participation in discussions and decision-making remains. Executive Director Gramitt noted that whether one can be fair and impartial, separate from any recusal requirements imposed by the Code of Ethics, is covered in ethics training sessions. Upon motion made by Commissioner Corrente and duly seconded by Commissioner Peterson, it was unanimously VOTED: To issue an advisory opinion to Edward P. Morrone, a member of the Westerly Town Council. The final advisory opinion was that of: Mark H. Trimmer, the President of the Richmond Town Council, who in his private capacity is a customer of the Town of Richmond’s water supply system, requests an advisory opinion regarding whether he may participate in the Town Council’s discussions and voting regarding whether the Town should use funds made available to the Town under the American Rescue Plan Act to offset some of the cost associated with the installation of a chlorination system to the Town’s water supply system or, alternatively, whether such cost should be borne entirely by the Town’s water customers. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner could not be present but had authorized the Commission to proceed in his absence. In response to Commissioner Susi, Staff Attorney Popova Papa stated that an analysis of who would comprise a smaller class or subclass in this matter will depend on specific circumstances and might include the impact of the subject decision on commercial versus private customers. She provided prior examples of tax-freeze ordinances as they applied to veterans, and she explained that wounded veterans might comprise a subclass of the larger class of veterans. Commissioner Palumbo noted that the class exception analysis involves a subjective analysis. Staff Attorney Popova Papa stated that class/subclass size is only one, non-determinative factor in the class exception analysis. Upon motion made by Commissioner Jones and duly seconded by Commissioner Peterson, it was unanimously VOTED: To issue an advisory opinion to Mark H. Trimmer, the President of the Richmond Town Council, who in his private capacity is a customer of the Town of Richmond’s water supply system. At 9:45 a.m., upon motion made by Commissioner Jones and duly seconded by Commissioner Peterson, it was unanimously VOTED: To go into Executive Session, to wit: a.) Motion to approve minutes of the Executive Session held on December 13, 2022, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). b.) In re: Stephen P. Mattscheck, Complaint No. 2022-1, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). c.) Motion to return to Open Session. At 10:10 a.m., the Commission reconvened in Open Session. The next order of business was: Motion to seal minutes of Executive Session held on January 24, 2023. Upon motion made by Commissioner Susi and duly seconded by Commissioner Jones, it was unanimously VOTED: To seal the minutes of the Executive Session held on January 24, 2023. 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: Unanimously voted (7-0) to approve the minutes of the Executive Session held on December 13, 2022. 2. Voted (5-1) to approve a proposed Informal Resolution & Settlement in the matter of In re: Stephen P. Mattscheck, Complaint No. 2022-1, by which the Ethics Commission imposed a civil penalty of $300 for violations of the Financial Disclosure Mandate. [Reporter’s Note: The vote was as follows: AYES: Marisa A. Quinn; Lauren E. Jones; Kyle P. Palumbo; Emma L. Peterson; and Holly J. Susi. NOES: Matthew D. Strauss. ABSTENTIONS: Arianne Corrente.] Unanimously voted (7-0) to return to Open Session. The next order of business was: New Business proposed for future Commission agendas and general comments from the Commission. There were none. At 10:13 a.m., upon motion made by Commissioner Jones and duly seconded by Commissioner Corrente, it was unanimously VOTED: To adjourn the meeting. Respectfully submitted, ______________________________ Kyle P. Palumbo Secretary