Minutes 2-14-23 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION February 14, 2023 The Rhode Island Ethics Commission held its 2nd 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, February 14, 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 Kyle P. Palumbo, Secretary Matthew D. Strauss Lauren E. Jones Holly J. Susi The following Commissioner was not present: Arianne Corrente, Vice Chair. 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 9:04 a.m., the Chair opened the meeting. The first order of business was: Approval of minutes of the Open Session held on January 24, 2023. 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 January 24, 2023. The next order of business was: Director’s Report: Status report and updates. a.) Complaints and investigations pending There is one complaint pending, which will be initially determined today during Executive Session. b.) Advisory opinions pending There are twelve advisory opinions pending, four of which have been noticed for today’s meeting. Two requests were withdrawn after being processed. c.) Access to Public Records Act requests since last meeting There were no APRA requests received since the last meeting. d.) Financial Disclosure The 2022 Financial Statement will be mailed to required filers in mid-March but can be filed now online. e.) Ethics Administration/Office and Education Updates In response to Chair Quinn, Executive Director Gramitt informed that he had productive discussions with the Governor’s office and the House Minority Leader regarding the two remaining vacancies on the Commission. He stated that Representative Chippendale has a candidate whose name he will be submitting to the Governor. 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: The Honorable George Nardone, a member of the Rhode Island House of Representatives, requests an advisory opinion regarding whether the Code of Ethics prohibits him from submitting, discussing, and voting on legislation that would relieve members of Homeowner Associations from the financial responsibility for the upkeep and maintenance of water pumping stations that are not physically located on Homeowner Association property, given that the Petitioner belongs to a Homeowner Association, the members of which would be impacted by such legislation. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. Commissioner Jones noted that he and the Petitioner had a prior attorney-client relationship that concluded in July 2022, and there is no ongoing business relationship between them. The Petitioner clarified to the Commission that he is a member of the neighborhood and not of the Association. Staff Attorney Radiches thanked the Petitioner for the clarification and stated that this information does not change the analysis in the draft opinion because the Petitioner would be impacted either way. Commissioner Jones commented that the representation in the draft that the homeowners are the Petitioner’s constituents, many of whom requested that he submit this legislation, should not be a factor in the class exception analysis. Staff Attorney Radiches explained that this statement is intended to show that the official action to be taken by the Petitioner is the representation of his constituents by submitting the legislation. Upon motion made by Commissioner Jones and duly seconded by Commissioner Peterson, it was unanimously VOTED: To issue an advisory opinion to The Honorable George Nardone, a member of the Rhode Island House of Representatives. 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 presented the Commission Staff recommendation. The Petitioner was present. In response to Commissioner Strauss, Staff Attorney Radiches explained that most advisory opinions involving property and the hardship exception analysis do not involve grant funding. She further explained that the Commission might not approve a hardship exception for this Petitioner if he were pursuing grant funding to purchase a new business or to improve his tennis court business if it were his side job. Staff Attorney Radiches contrasted those scenarios from the current one in which the Petitioner seeks grant funding to improve his current and only business. In response to Commissioner Peterson, the Petitioner stated that the application period began in October and, to date, the Economic Development Commission has not disapproved funding to any applicant. Staff Attorney Radiches informed that this question is addressed in footnote three in the draft opinion. In response to Commissioner Palumbo, Staff Attorney Radiches stated that the relevance of the draft’s inclusion of the Petitioner’s representation that he will not be selling the business for 10 years is that this business is the Petitioner’s sole livelihood, and he is not seeking the grant funding to improve the business and then sell it for a profit. In response to Commissioner Jones, Staff Attorney Radiches informed that the requirement that the Petitioner recuse from participating in matters involving other businesses even after his application has been approved reflects a concern with an appearance of impropriety. Upon motion made by Commissioner Susi and duly seconded by Commissioner Palumbo, it was unanimously VOTED: To issue an advisory opinion to Thomas E. Brun, a member of the East Providence Economic Development Commission, who in his private capacity owns and operates the Indoor Tennis Court. The next advisory opinion was that of: The Honorable Tina Spears, a member of the Rhode Island House of Representatives, requests an advisory opinion regarding what restrictions the Code of Ethics places on her ability to participate in matters before the Rhode Island General Assembly given that she is employed as the Executive Director of the Community Provider Network of Rhode Island, a non-profit trade association of private providers of services and supports to people with developmental and intellectual disabilities. Senior Staff Attorney D’Arezzo presented the Commission Staff recommendation. The Petitioner was present. In response to Chair Quinn, the Petitioner represented that she is a member of the House Environment and Natural Resources Committee and the House Municipal Government and Housing Committee. She further represented that some affordable housing bills might come before the General Assembly for consideration. Commissioner Jones noted the language in the draft that the Petitioner’s recusal would not be required where the direct financial impact of proposed legislation would be upon the recipients of services rather than the providers. In response to Chair Quinn, the Petitioner stated that the draft opinion is helpful in general terms, but she will return to the Commission, as advised, if specific legislation is proposed. Senior Staff Attorney D’Arezzo advised the Petitioner to seek further guidance if legislation is proposed that might impact a smaller subclass of service providers. Upon motion made by Commissioner Jones and duly seconded by Commissioner Susi, it was unanimously VOTED: To issue an advisory opinion to The Honorable Tina Spears, a member of the Rhode Island House of Representatives. The final advisory opinion was that of: Steven G. Bois, a member of the Jamestown Harbor Commission, requests an advisory opinion regarding whether he is prohibited by the Code of Ethics from accepting, if offered, the position of Jamestown Harbormaster, provided that he resigns from the Jamestown Harbor Commission upon accepting the position of Harbormaster. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was present. In response to Commissioner Palumbo, the Petitioner explained that there is no relationship between the Jamestown Police Department and the Jamestown Harbor Commission and that each has its own internal chain of command. In further response to Commissioner Palumbo, Staff Attorney Popova Papa stated that the Chief of Police is an ex officio member of the Harbor Commission. In response to Chair Quinn, the Petitioner stated that the Harbor Commission functions only in an advisory capacity to the Town Council. Upon motion made by Commissioner Palumbo and duly seconded by Commissioner Peterson, it was unanimously VOTED: To issue an advisory opinion to Steven G. Bois, a member of the Jamestown Harbor Commission. The next order of business was: Discussion of Code of Ethics’ application to employees of housing authorities consistent with Advisory Opinion 2021-55. Executive Director Gramitt presented a memorandum that he had prepared for the Commission’s consideration. He explained the difference between General Commission Advisory Opinions (“GCAs”), which inform the public at large about issues of general importance, versus individual advisory opinions drafted for a specific individual. He also explained the procedure for the Commission to issue a GCA. Executive Director Gramitt stated that the Commission would have to take a preliminary vote to move forward with a draft GCA. The public would then be invited to attend a meeting and offer comments, after which the Commission would take a second and final vote to issue the GCA. Executive Director Gramitt stated that if a GCA issued, it would be posted on the Commission’s website. Discussion ensued regarding whether housing authority employees, directors, and board members are subject to the Code of Ethics and required to file financial statements and how the Commission staff learns of new appointments and employees. Commissioner Jones queried whether the status of housing authority employees is an appropriate subject for a GCA. Commissioner Palumbo noted that the employees and directors/board members may not be aware of their status under the Code of Ethics and the Financial Disclosure mandate, given that many are federally funded entities and have limited interactions with the municipalities. Commissioner Palumbo expressed concern with issuing a GCA and setting precedent. In response to Chair Quinn, Executive Director Gramitt proposed searching the Commission’s database for information relative to whether housing authority directors and board members are filing financial statements and, if not, whether they are aware that they are also subject to the Code. Executive Director Gramitt explained the process by which staff attorneys conduct staff determinations to establish whether public agencies or boards and their members are required to file financial statements. He informed that a similar audit could be conducted with respect to whether housing authorities’ directors and board members are filing and how the Commission is notified of these members. Chair Quinn stated that this information would be helpful in determining whether the Commission should be concerned with the status of housing authorities before it considers issuing a GCA. In response to Commissioner Palumbo, Executive Director Gramitt stated that the staff could examine how other states consider housing authorities, but this would be a large task. In response to Chair Quinn, Executive Director Gramitt informed that housing authorities are required to comply with federal regulations even if they are stricter than the Code of Ethics. He further informed that the Commission would not enforce federal regulations against housing authority employees/members. At 10:11 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 January 24, 2023, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). b.) In re: Harold G. Morgan, Jr., Complaint No. 2023-1, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). c.) Motion to return to Open Session. At 10:31 a.m., the Commission reconvened in Open Session. The next order of business was: Motion to seal minutes of Executive Session held on February 14, 2023. Upon motion made by Commissioner Palumbo and duly seconded by Commissioner Jones, it was unanimously VOTED: To seal the minutes of the Executive Session held on February 14, 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 (6-0) to approve the minutes of the Executive Session held on January 24, 2023. Unanimously voted (6-0) in the matter of In re: Harold G. Morgan, Jr., Complaint No. 2023-1, as follows: To initially determine that, relative to the allegation that the Respondent failed to disclose real estate on his 2016-2021 Financial Statements, the Complaint states facts that, if true, are sufficient to constitute violations of the Financial Disclosure Mandate and to authorize an investigation. To initially determine that, relative to the allegation that the Respondent failed to disclose income on his 2017-2019 Financial Statements, the Complaint does not state facts that are sufficient to constitute violations of the Financial Disclosure Mandate. To initially determine that, relative to the allegation that the Respondent violated R.I. Gen. Laws § 36-14-1 Declaration of Policy, the Complaint does not state facts that are sufficient to constitute violations of the Code of Ethics. An Initial Determination is a preliminary vote that should not be construed as an opinion regarding the truth of the facts alleged in the complaint but is merely a vote to conduct an investigation into the allegations raised. Unanimously voted (6-0) 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 10:36 a.m., upon motion made by Commissioner Susi and duly seconded by Commissioner Jones, it was unanimously VOTED: To adjourn the meeting. Respectfully submitted, ______________________________ Kyle P. Palumbo Secretary