Minutes 11-16-21 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION November 16, 2021 The Rhode Island Ethics Commission held its 15th 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, November 16, 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 The following Commissioner was not present: J. Douglas Bennett. 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 Peter J. Mancini and Gary V. Petrarca. At 9:05 a.m., the Chair opened the meeting. The first order of business was: Approval of minutes of the Open Session held on October 5, 2021. Commissioner Jones noted a typographical error on page one of the minutes. Upon motion made by Commissioner Jones and duly seconded by Commissioner Susi, it was VOTED: To approve the minutes of the Open Session held on October 5, 2021, as amended. AYES: Marisa A. Quinn; Arianne Corrente; Lauren E. Jones; and Holly J. Susi. ABSTENTIONS: Kyle P. Palumbo and Matthew D. Strauss. The next order of business was: Director’s Report: Status report and updates. a. Discussion of impact of COVID-19 crisis on Ethics Commission operations and staffing Executive Director Gramitt explained that the Commission is continuing normal operations and that mask-wearing remains mandatory. He requested that speakers raise their voices for all to hear. b. Complaints and investigations pending There are five active cases pending, two of which have been noticed for informal resolution and settlements in executive session today. c. Advisory opinions pending There are seven advisory opinions pending, with five noticed for today’s meeting. Executive Director Gramitt stated that advisory opinion requests generally wane in the months of November and December and then increase in January. d. Access to Public Records Act requests since last meeting There were seven APRA requests received since the last meeting, all of which were granted within one business day. Executive Director Gramitt informed that one request related to a complaint, four related to financial disclosure, and two related to recusals. e. Administration/Office Updates Executive Director Gramitt informed that, after a competitive application process, Tara Olsen was hired for the front desk position and he welcomed her to the Commission. He further informed that the vacancy left by former Chief Investigator Steven Cross will take time to fill, given budgetary issues and the nature of the position, but he hopes to have the position filled by January or February 2022. 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: Jonathan Womer, the former Director of the Office of Management and Budget, a division within the Rhode Island Department of Administration, requests an advisory opinion regarding the application of the revolving door provisions of the Code of Ethics, given that he is now privately employed by The Policy Lab at Brown University as its Senior Advisor and Lead for State Budgeting Practice. Chair Quinn recused from the matter and left the hearing room. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. The Petitioner addressed the Commission and explained that the Policy Lab’s focus is on promoting evidence-based policymaking and not on lobbying. He further explained that the Policy Lab requests and administers grant funding for its participants to promote best practices. The Petitioner indicated that the draft opinion did not address how the Policy Lab’s role in requesting grants could influence the judgment of the Cohort participants. In response to Commissioner Corrente, Staff Attorney Radiches explained that, while not alleging that the Petitioner would do so, as the state’s immediate former OMB Director and state representative in the Cohort, the Petitioner would be in a position to influence the state’s new OMB Director regarding the exercise of discretion and decision-making relative to Cohort activities. Commissioner Corrente stated that the Policy Lab operates as a cohort learning environment and that her concern was more focused on the Petitioner advocating for the state to appropriate matching funds given his former position. Staff Attorney Radiches noted that a decision by the Cohort participants to unify and work toward goals established in connection with The Policy Lab in its pursuit for grant funding, whether during or as a result of discussions facilitated by the Petitioner, involves the exercise of discretion and/or decision-making on the part of those participants that impacts the Petitioner’s employer. Staff Attorney Radiches stated that such activity on the part of the Petitioner amounts to representation before Rhode Island’s OMB Director or whomever might be attending a Cohort meeting on behalf of the state. In response to Commissioner Palumbo, the Petitioner stated that there are seven members of the Policy Lab who collaborate and informally discuss best practices and they pursue grant opportunities for the Cohort participants. He further stated that a grant foundation may enter into an agreement with a grant recipient and the foundation decides how the funding will be used. Staff Attorney Radiches noted the importance of collaboration by all Cohort participants during the grant-seeking process. Commissioner Corrente remarked that cohorts function informally. In response to Commissioner Corrente, the Petitioner explained that his ministerial duties could be assigned to others and that he could recuse from grant-writing. In response to Commissioner Jones, the Petitioner stated that the time frame for submitting grant applications is the end of this calendar year. Upon motion made by Commissioner Susi and duly seconded by Commissioner Strauss, it was VOTED: To issue an advisory opinion, attached hereto, to Jonathan Womer, the former Director of the Office of Management and Budget, a division within the Rhode Island Department of Administration. AYES: Matthew D. Strauss and Holly Susi. NOES: Arianne Corrente; Lauren E. Jones; and Kyle P. Palumbo. RECUSAL: Marisa A. Quinn. Legal Counsel DeSimone advised that no advisory opinion issued as the requisite five affirmative votes were not obtained. Chair Quinn returned to the hearing room. The next advisory opinion was that of: Christopher Abhulime, the Deputy Chief of Staff to the Governor of the State of Rhode Island, requests an advisory opinion regarding how best to avoid and/or manage potential conflicts of interest, if any, that may arise given that his spouse is the sole proprietor of a newly established private entity that intends to offer 24-hour community care in small residential facilities for eligible adults with intellectual and development disabilities and that will soon seek licensure from the Rhode Island Department of Behavioral Healthcare, Development Disabilities, and Hospitals. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. The Petitioner addressed the Commission and stated that, upon joining the Governor’s staff, he realized that he needed guidance from the Commission. In response to Chair Quinn, the Petitioner stated that there were no specific issues that arose, but given his professional and personal background, ethics has always been an important part of his life. In response to Chair Quinn, the Petitioner informed that his colleagues are aware that he has sought this opinion. Upon motion made by Commissioner Jones and duly seconded by Commissioner Corrente, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Christopher Abhulime, the Deputy Chief of Staff to the Governor of the State of Rhode Island. The next advisory opinion was that of: Jennifer Lima, a member of the North Kingstown School Committee, who in her private capacity is the founder and co-president of Towards an Anti-Racist North Kingstown (“TANK”), a non-profit organization dedicated to advancing discussions of anti-racist policies in the Town of North Kingstown, requests an advisory opinion regarding whether the Code of Ethics prohibits her from participating in School Committee and/or Subcommittee discussions and/or voting on matters relative to the topics of diversity, equity, and inclusion, given that those topics are among those advanced by TANK as part of its mission. Staff Attorney Popova Papa informed that she would propose an amendment to the draft later in her presentation based on information she received after the draft was circulated but which amendment does not alter the legal analysis. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. Staff Attorney Popova Papa proposed adding the following language “even in matters unrelated to TANK or its mission” to the top of page four, at the conclusion of the first paragraph. In response to Commissioner Palumbo, Staff Attorney Popova Papa stated that TANK does not appear before the School Committee. Chair Quinn noted that if TANK does appear, the Petitioner would be required to recuse. Commissioner Jones stated that the Petitioner and TANK are business associates. Chair Quinn informed that the Petitioner may voice her own opinions but not on behalf of TANK. Upon motion made by Commissioner Corrente and duly seconded by Commissioner Jones, it was unanimously VOTED: To issue an advisory opinion, as amended and attached hereto, to Jennifer Lima, a member of the North Kingstown School Committee, who in her private capacity is the founder and co-president of Towards an Anti-Racist North Kingstown (“TANK”), a non-profit organization dedicated to advancing discussions of anti-racist policies in the Town of North Kingstown. The next advisory opinion was that of: Robert R. Moreau, the Executive Director of the Housing Authority of the City of Woonsocket, 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 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 inquired regarding the bottom of page five of the draft which provides that he is not prohibited from providing information relative to the Woonsocket Housing Authority to those persons involved in the negotiations of a collective bargaining agreement between the Housing Authority and the union, provided that it is not reasonably foreseeable that his sister will be financially impacted by his official activity. The Petitioner explained that if he provides information regarding how much money the Housing Authority has in its budget, for example, his sister will be impacted either way. Staff Attorney Radiches informed that the Petitioner must be aware of whether his sister will be financially impacted by the Petitioner’s activity “to any greater extent than any other similarly situated employee of the WHA” and proposed adding that phrase to the end of the paragraph at the top of page six. In response to Commissioner Palumbo and Chair Quinn, Staff Attorney Radiches stated that whether the information that the Petitioner provides to those participating in CBA negotiations is ministerial or not depends on the nature of such information. In response to Chair Quinn, the Petitioner stated that there are 12 data entry clerks. Commissioner Jones complimented Staff Attorney Radiches and the Petitioner for working through many potential issues and addressing these in the draft, particularly on page six. In response to Chair Quinn, the Petitioner explained that his sister has a direct supervisor with whom she could interact, along with the Human Resources Director, in any disciplinary matters. He further explained that if disciplinary issues involving his sister are brought to his attention, he does not make any decisions but forwards those issues to the Human Resources Director. Staff Attorney Radiches stated that, while the Petitioner cannot delegate to his subordinate, such as the Human Resources Director, duties that she would otherwise not have, given the challenge of designating an alternate chain of command in the event such a circumstance arises, the Petitioner might be allowed to so designate following the issuance of a subsequent duly-authorized advisory opinion. 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 Robert R. Moreau, the Executive Director of the Housing Authority of the City of Woonsocket. The final advisory opinion was that of: Nicole Bucka, a member of the East Greenwich School Committee, whose spouse is a teacher in the East Greenwich School Department and a member of the East Greenwich teachers’ union, requests an advisory opinion regarding what restrictions, if any, the Code of Ethics places upon her ability to: (1) participate in School Department budget discussions; (2) vote to approve or reject as a whole the teachers’ collective bargaining/employee contract; and (3) participate in School Committee discussions relative to the collective bargaining/employee contract negotiations for non-teacher unions. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. In response to Commissioner Jones, Staff Attorney Popova Papa stated that the Petitioner’s recusal will depend on the situation and the issue. She further stated that the Petitioner has been advised to return to the Commission for guidance regarding issues specifically affecting the teachers’ union. Upon motion made by Commissioner Corrente and duly seconded by Commissioner Jones, it was unanimously VOTED: To issue an advisory opinion, attached hereto, to Nicole Bucka, a member of the East Greenwich School Committee, whose spouse is a teacher in the East Greenwich School Department and a member of the East Greenwich teachers’ union. At 10:25 a.m., upon motion made by Commissioner Corrente and duly seconded by Commissioner Palumbo, it was unanimously VOTED: To go into Executive Session, to wit: a.) Motion to approve minutes of Executive Session held on October 5, 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 11:07 a.m., the Commission reconvened in Open Session. The next order of business was: Motion to seal minutes of Executive Session held on November 16, 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 November 16, 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: Voted (4-0) to approve the minutes of the Executive Session held on October 5, 2021. [Reporter’s Note: The vote was as follows: AYES: Marisa A. Quinn; Arianne Corrente; Lauren E. Jones; and Holly J. Susi. ABSTENTIONS: Kyle P. Palumbo and Matthew D. Strauss.] Unanimously voted (5-0) in the matter of In re: Steven Merolla, Complaint No. 2020-6, to approve an Informal Resolution and Settlement by which the Ethics Commission imposed a civil penalty of $3,500. [Reporter’s Note: The vote was as follows: AYES: Marisa A. Quinn; Arianne Corrente; Kyle P. Palumbo; Matthew D. Strauss; and Holly J. Susi. RECUSAL: Lauren E. Jones.] Unanimously voted (6-0) in the matter of In re: Anthony Pilozzi, Complaint No. 2021-2, to approve an Informal Resolution and Settlement by which the Ethics Commission imposed a civil penalty of $250, required attendance at an ethics training no later than December 31, 2021, and filing a completed and signed recusal form. Failure to satisfy any of the conditions set forth in this Informal Resolution & Settlement agreement may result in the Commission rescinding this agreement, proceeding immediately to a probable cause hearing, and possibly imposing a higher civil penalty. Unanimously voted (6-0) to return to Open Session. At 11:10 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