Minutes 7-25-23 MINUTES OF THE OPEN SESSION OF THE RHODE ISLAND ETHICS COMMISSION July 25, 2023 The Rhode Island Ethics Commission held its 7th 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, July 25, 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 Hugo L. Ricci, Jr. Lauren E. Jones Matthew D. Strauss Emma L. Peterson The following Commissioner was not present: Holly J. Susi 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 9:05 a.m., the Chair opened the meeting. The first order of business was: Administration of Oath of Office to the Honorable Hugo L. Ricci, Jr. Chair Quinn administered the Oath of Office to Commissioner Hugo L. Ricci, Jr. Chair Quinn expressed appreciation for former Commissioner Arianne Corrente’s six years of service. The next order of business was: Approval of minutes of the Open Session held on June 27, 2023. Upon motion made by Commissioner Jones and duly seconded by Commissioner Peterson, it was VOTED: To approve the minutes of the Open Session held on June 27, 2023. AYES: Marisa A. Quinn; Lauren E. Jones; Emma L. Peterson; and Matthew D. Strauss. ABSTENTION: Hugo L. Ricci, Jr. The next order of business was: Director’s Report: Status report and updates. Executive Director Gramitt noted that today’s meeting is being livestreamed. He informed that the agenda and meeting materials are available on the Commission’s website. Executive Director Gramitt noted that only Open Session will be livestreamed, after which the livestream will be closed while the Commission convenes in Executive Session. At the conclusion of Executive Session, the Commission will resume livestreaming Open Session and report out those actions taken in Executive Session. Executive Director Gramitt informed that a written report of actions taken in Executive Session will be posted on the website after the meeting concludes. a.) Complaints and investigations pending There are six complaints pending, five of which are under investigation and one of which has been noticed for initial determination today in Executive Session. 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 14 APRA requests received since the last meeting, all of which were granted within one business day. Two requests related to financial disclosure, four requests related to recusals, and eight related to complaint matters. d.) Financial Disclosure The staff has received and processed 4,255 financial disclosure filings as of this date, and the compliance rate is 99.5%. There are 32 individuals who still have not filed the 2022 Financial Statement. e.) Legislative Update (2023 Senate Bill 1135) The bill that would amend the financial disclosure requirements to require disclosure of credit card debt that results in entry of a default judgment has passed both the House and Senate and has been signed into law by the Governor. f.) Ethics Administration/Office and Education Updates Executive Director Gramitt informed that the staff is working with DOIT on the recusal module of a new case management system. He explained that the staff will update the recusal form to remove the second option that currently exists on the form and to require that the filer provide a brief narrative regarding the conflict of interest. The next order of business was: Review of Exemption for Azure Cygler, pursuant to the R.I. Public/Private Partnership Act, R.I. Gen. Laws § 16-59-26. Executive Director Gramitt discussed the history of this exemption as applied to University of Rhode Island (“University”) employees. He informed that the University recognized a need to formalize an exemption process to allow individuals/employees to have a financial interest in their research and inventions. He explained that the Public/Private Partnership Act was enacted in 2003, with the support of the Ethics Commission, and authorizes the University’s Board of Trustees to permit individual exemptions to the Code of Ethics in order to allow the University to enter into contracts and partnerships which allow the marketing of inventions developed by faculty and staff for the benefit of the faculty inventor and the educational institution. Executive Director Gramitt informed that Peter Harrington, Esq., Associate General Counsel for the University, was present to answer any questions or address any concerns. Executive Director Gramitt discussed the current application submitted by Azure Cygler, a University employee working as a Marine Research Associate in the Graduate School of Oceanography’s Coastal Resources Center. He explained that the Commission’s role in these matters is to review the exemption as authorized by the Board of Trustees and, if it finds any areas of concern, to require the Board to re-examine at an open meeting the exemption as applied to the subject application. He further explained that the Commission is not required to take any action unless it finds cause to require the Board of Trustees to re-examine the exemption. Attorney Harrington addressed the Commission and represented that the applicant’s research and proposed development of an animal food supplement supports economic development and is an environmentally friendly concept, as evidenced by the Rhode Island Commerce Corporation’s grant to fund the applicant’s research. In response to Chair Quinn, he informed that the University ultimately would own the intellectual property but provide licenses to start-up companies. No action was taken, thereby allowing the exemption to take effect. 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: Josh Hyman, an Engineering Technician at the Rhode Island Department of Transportation, requests an advisory opinion regarding the application of the revolving door provisions of the Code of Ethics to his impending employment with a private engineering firm. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. In response to Chair Quinn, the Petitioner stated that he sought an advisory opinion based on his understanding of potential conflicts associated with leaving public employment to accept private employment. In response to Commissioner Jones, Staff Attorney Radiches stated that the relevance of the fact that there will be two entities gathering data is that RIDOT will be doing its own work and collecting its own data and not relying on work for AECOM produced by the Petitioner. Upon motion made by Commissioner Jones and duly seconded by Commissioner Peterson, it was unanimously VOTED: To issue an advisory opinion to Josh Hyman, an Engineering Technician at the Rhode Island Department of Transportation. The next advisory opinion was that of: The Honorable Michael B. Forte, Jr., the Municipal Court Judge for the Town of Tiverton, requests an advisory opinion regarding whether he is prohibited by the Code of Ethics from presiding over and adjudicating a complaint alleging violations of the Tiverton Home Rule Charter by members of the Tiverton Town Council, given that he was appointed to his current position by the Town Council. Staff Attorney Radiches presented the Commission Staff recommendation. The Petitioner was present. In response to Commissioner Jones, the Petitioner confirmed that he is subject to appointment by the Town Council and the Probate Judge is elected. In response to Commissioner Peterson, the Petitioner stated that he is compensated in his position. Commissioner Peterson expressed concern over the possibility that the Petitioner will be eligible for reappointment while the subject matter is still pending. Upon motion made by Commissioner Jones and duly seconded by Commissioner Strauss, it was VOTED: To issue an advisory opinion to The Honorable Michael B. Forte, Jr., the Municipal Court Judge for the Town of Tiverton. AYES: Marisa A. Quinn; Lauren E. Jones; Hugo L. Ricci, Jr.; and Matthew D. Strauss. NOES: Emma L. Peterson. The next advisory opinion was that of: Timothy E. Sweeney, a member of the Bristol Town Council, requests an advisory opinion regarding whether he qualifies for a hardship exception to the Code of Ethics’ prohibition against representing himself before the Bristol Historic District Commission, over which the Bristol Town Council has appointing authority, in order to seek review and approval of proposed renovations to his primary residence. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner could not attend. Amy Goins, Esq., Assistant Solicitor for the Town of Bristol, was present to answer any questions in the Petitioner’s absence. In response to Commissioner Jones, Staff Attorney Popova Papa stated that the Commission historically has included language in advisory opinions regarding avoiding appearances of impropriety. Commissioner Jones noted that the Commission does not use “must” recuse when discussing appearance of impropriety issues. Executive Director Gramitt addressed the Commission and explained that, unlike the advisory opinion issued to the Honorable Michael C. Forte, Jr., this opinion implicates § 36-14-5(e), which includes a provision that allows the Commission to impose any additional conditions that may be appropriate in a given matter to avoid any appearance of impropriety. Commissioner Jones queried why the added condition is that the Petitioner must recuse from the Town Council’s appointment or reappointment of a person to the HDC until after the election cycle for his seat and not simply after the matter is completely resolved. Executive Director Gramitt informed that the Commission’s reasoning for incorporating this language likely was that an intervening election allows the public to decide through voting whether to reelect the person, if it so chooses, and if it does, this reelection/reappointment serves to remove any appearance of impropriety that may have attached to the person’s original conduct. In response to Commissioner Ricci, Staff Attorney Popova Papa stated that the Staff Assistant is hired by the Town Administrator. Assistant Solicitor Goins addressed the Commission and explained that while the HDC cannot overrule the Staff Assistant, the Staff Assistant generally approves only administrative matters that are part of a project proposal. Upon motion made by Commissioner Jones and duly seconded by Commissioner Strauss, it was unanimously VOTED: To issue an advisory opinion to Timothy E. Sweeney, a member of the Bristol Town Council. The next advisory opinion was that of: J. Clement Cicilline, M.S., a member of the Newport Canvassing Authority, who in his private capacity is a member of the Democratic 13th Senatorial District Committee, a private organization, requests an advisory opinion regarding whether the Code of Ethics prohibits him from simultaneously serving in both positions. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present but had agreed to the Commission proceeding in his absence. Upon motion made by Commissioner Jones and duly seconded by Commissioner Strauss, it was unanimously VOTED: To issue an advisory opinion to J. Clement Cicilline, M.S., a member of the Newport Canvassing Authority, who in his private capacity is a member of the Democratic 13th Senatorial District Committee, a private organization. The final advisory opinion was that of: Matthew McGeorge, AIA, LEED AP, a member of the East Greenwich Historic District Commission, who in his private capacity is an architect, requests an advisory opinion regarding whether he qualifies for a hardship exception to the Code of Ethics’ prohibitionon representing his client before the Petitioner’s own board. Staff Attorney Popova Papa presented the Commission Staff recommendation. The Petitioner was not present. Staff Attorney Popova Papa informed that she emailed the Petitioner and left a voice mail message, but he had not responded. Discussion ensued regarding whether the Commission should continue the matter or proceed in the Petitioner’s absence. Commissioner Ricci commented that the notice provided to the Petitioner seemed sufficient. Legal Counsel DeSimone confirmed that the notice was sufficient pursuant to Commission Regulation 2.7(D). The Commission directed Staff Attorney Popova Papa to proceed. In response to Commissioner Peterson, Staff Attorney Popova Papa stated that the hardship exception did not apply to this Petitioner because he did not timely apply for it consistent with GCA 2010-1. Commissioner Jones noted that the Petitioner is asking to appear on August 9, 2023, and that his prior appearance on July 12, 2023, without a Commission-sanctioned advisory opinion, is not before the Commission at this time. Chair Quinn expressed concern that the draft recommendation seems punitive. Executive Director Gramitt informed that he directed Staff Attorney Popova Papa to draft the opinion as written. He explained that the Commission has created only one exception to the Code’s prohibition against appearing before one’s own public body, and that exception applies to historic architects. He also explained that the exception does not serve as a rubber stamp to appear before one’s public body and that the Commission requires that an applicant receive an advisory opinion each time he wishes to appear before the public body. Executive Director Gramitt stated that he viewed the Petitioner’s representation of his client as a single representation as opposed to two separate instances. He further stated that he defers to the Commission’s decision. In response to Commissioner Strauss, Executive Director Gramitt explained that an advisory opinion cannot address past conduct. Further discussion ensued regarding how much time the Petitioner had available to him before he submitted the first application to appear before the HDC on July 12, 2023. Commissioner Peterson expressed concern that an applicant’s failure to request a hardship exception from the inception of a project would preclude him from going forward at subsequent meetings. In response to Commissioner Jones, Legal Counsel DeSimone stated that the Commission could vote to amend the draft opinion to grant the hardship exception as of today going forward. Upon motion made by Commissioner Jones and duly seconded by Commissioner Peterson, it was VOTED: To amend the draft advisory opinion to provide for the granting of a hardship exception from this date forward. AYES: Marisa A. Quinn; Lauren E. Jones; Emma L. Peterson; and Matthew D. Strauss. NOES: Hugo L. Ricci, Jr. Upon motion made by Commissioner Jones and duly seconded by Commissioner Peterson, it was VOTED: To issue an advisory opinion, as amended, to Matthew McGeorge, AIA, LEED AP, a member of the East Greenwich Historic District Commission, who in his private capacity is an architect. AYES: Marisa A. Quinn; Lauren E. Jones; Emma L. Peterson; and Matthew D. Strauss. NOES: Hugo L. Ricci, Jr. Annual Education Report (FY 2023). Education Coordinator Radiches presented an education update to the Commission and made reference to the handout included in the Commissioners’ binders. She informed that a total of 2,540 people received training from the Ethics Commission during FY2023. The live/in-person trainings were broken down by month and category on page one of the handout. There were 53 trainings in total, attended by 2,075 people. Page two of the handout contained an alphabetical listing by category of the groups that received training. Education Coordinator Radiches identified among the live trainings of note during FY2023 those for the following groups: the Offices of the General Treasurer, Secretary of State, and Auditor General; the General Assembly; and the new Cannabis Control Commission. On the topic of online ethics training, for which FY2023 was the first full year that it was available, Education Coordinator Radiches explained that records were kept for state employees and members of state boards, commissions, and agencies (the listing for which could be found on page three of the handout) and for municipalities (the listing for which could be found on page four of the handout). The number of state participants this past year was 354, while the number of municipal participants totaled 111. Education Coordinator Radiches noted that since online training became available in September of 2021, all but four municipalities have participated in it. Education Coordinator Radiches informed the Commission that the focus of her work on the education program during the summer generally involves updating her PowerPoint and scheduling trainings for the fall, but that she does have five trainings currently scheduled during the heavy vacation months of July and August. She added that she will focus her efforts on scheduling ethics training for municipalities and state agencies which either have not had training in the last two years, or for which training seems appropriate based upon the duty calls, advisory opinion requests, and complaints received by the Commission in recent months. Education Coordinator Radiches stated that she also would continue to promote the pre-recorded training. At 10:40 a.m., upon motion made by Commissioner Jones and duly seconded by Commissioner Strauss, it was unanimously VOTED: To go into Executive Session, to wit: a.) Motion to approve minutes of Executive Session held on June 27, 2023, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). b.) In re: Daniel McKee, Complaint No. 2023-8, pursuant to R.I. Gen. Laws § 42-46-5(a)(2) & (4). c.) Motion to return to Open Session. Executive Director Gramitt reminded all in attendance that the Open Session portion of the meeting will close for Executive Session and will be reactivated for Open Session after Executive Session concludes. At 10:55 a.m., the Commission reconvened in Open Session. The next order of business was: Motion to seal minutes of Executive Session held on July 25, 2023. Upon motion made by Commissioner Jones and duly seconded by Commissioner Peterson, it was unanimously VOTED: To seal the minutes of the Executive Session held on July 25, 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: Voted (4-0) to approve the minutes of the Executive Session held on June 27, 2023, with the exception of those minutes relating to K. Joseph Shekarchi. [Reporter’s Note: The vote was as follows: AYES: Marisa A. Quinn; Lauren E. Jones; Emma L. Peterson; and Matthew D. Strauss. ABSTENTION: Hugo L. Ricci, Jr.] Voted (3-0) to approve the minutes of the Executive Session held on June 27, 2023, relating to K. Joseph Shekarchi. [Reporter’s Note: The vote was as follows: AYES: Marisa A. Quinn; Emma L. Peterson; and Matthew D. Strauss. ABSTENTIONS: Lauren E. Jones and Hugo L. Ricci, Jr.] Unanimously voted (5-0) in the matter of In re: Daniel McKee, Complaint No. 2023-8, to initially determine that the Complaint states facts that, if true, are sufficient to constitute violations of the Code of Ethics and to authorize an investigation. 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. 3. Unanimously voted (5-0) to return to Open Session. The next order of business was: New Business proposed for future Commission agendas and general comments from the Commission. Chair Quinn informed that there will be an election to fill the vacant position of Vice Chair at the next meeting. She encouraged any member with interest to express his/her willingness to serve. At 11:01 a.m., upon motion made by Commissioner Jones and duly seconded by Commissioner Strauss, it was unanimously VOTED: To adjourn the meeting. Respectfully submitted, ______________________________ Jason Gramitt Executive Director