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HomeMy WebLinkAbout2013_0920_Agenda_PacketKathy Clark Chair Calvin Murashige Vice -Chair Warren Perry Secretary COUNTY OF KAUAI BOARD OF ETHICS NOTICE OF MEETING AND AGENDA Friday, September 20, 2013 1:00 p.m. or shortly thereafter Mo'ikeha Building, Liquor Conference Room 3 4444 Rice Street, Lihu'e, HI 96766 Members: Kurt Akamine Mark Hubbard Brad Nagano Paul Weil CALL TO ORDER APPROVAL OF MINUTES Regular Open Session Minutes of July 19, 2013 (Deferred 8/23/13 for lack of a majority vote) Regular Open Session Minutes of August 23, 2013 RAO 13 -006 Request dated July 29, 2013, from Lyle Tabata, Deputy County Engineer for the Department of Public Works, as to whether there is a conflict of interest for him to act as the RME for a local General Contracting firm while acting in his current capacity for the Department of Public Works (Deferred 8/23/13 for lack of a majority vote) RAO 13 -008 Letter dated August 13, 2013, from Jay Furfaro, County Council Chair, requesting an advisory opinion as to whether or not a conflict of interest exists with respect to a position that he has been offered on the Board of Directors of the Kaua'i North Shore Community Foundation ( "KNSCF ") RAO 13 -009 Letter dated August 27, 2013, from Bernard Carvalho, Mayor, requesting an advisory opinion on whether he can accept invitations to the many island events, as a guest in his official capacity as Mayor. BUSINESS BOE 2013 -11 Discussion and possible recommendations regarding the County Council's proposed Bill No. 2497 amending the Kaua'i County Code as relates to the registration and regulation of lobbyists An Equal Opportunity Employer DISCLOSURE a. George White (Deputy Prosecuting Attorney) b. Richard Jose (Civil Service Commission) c. Anne Schneider (Historic Preservation Review Commission) d. Gerald Rapozo (Director of Liquor Control) e. Joel Guy (Charter Commission) f. Stephen Hall (Deputy County Attorney) EXECUTIVE SESSION Pursuant to Hawaii Revised Statutes § §92 -4 and 92 -5 (a) (4), 92 -9 (a)(1 -4) (b), the purpose of this executive session is to receive and approve Executive Session minutes and to consult with the Commission's legal counsel on issues pertaining to the Commission's and the County's powers, duties, privileges, immunities, and/or liabilities as they may relate to this item, deliberate and take such action as appropriate. ES -012: Regular Executive Session Minutes of June 21, 2013 (Deferred 7/19/13 and 8/23/13 for lack of a majority vote) ES -013: Regular Executive Session Minutes of July 19, 2013 (Deferred 8/23/13 for lack of a majority vote) ES -014: Regular Executive Session Minutes of August 23, 2013 Pursuant to H.R.S. §92 -4 and H.R.S. 92 -5 (a) (2) and (4), the purpose of this executive session is to consider the evaluation, dismissal or discipline of an employee or officer of the County in which charges have been alleged against an employee or officer where consideration of matters affecting privacy will be involved; provided that if the individual concerned requests an open meeting, an open meeting shall be held; and to consult with the Board's legal counsel on issues pertaining to the Board's and the County's powers, duties, privileges, immunities, and/or liabilities as they may relate to this item, deliberate and take such action as appropriate. E&002: BOE 13 -001 Complaint dated 2/5/13 that an officer or employee of the County has breached the Code of Ethics as set forth in the Kauai County Charter and the Kaua'i County Code 1987 in the performance of his/her duties (Ongoing) a. Resolution 2013 -1, defining the scope to establish a committee to investigate allegations that an employee of.the County of Kaua'i violated various provisions of the Code of Ethics ES -011: Review of the Board's responsibilities as relates to the scope of investigation for Resolution 2011 -1, adopted January 13, 2012, Resolution 2011 -2, adopted January 13, 2012, and Resolution 2012 -1 amending Resolution 2011 -1, adopted March 9, 2012 (Deferred to 9/20/13) RETURN TO OPEN SESSION Ratify Board of Ethics actions taken in Executive Session for items: ES -012, ES -013, ES -014, ES -002, and ES -011 Board of Ethics — September 20, 2013 21Page ANNOUNCEMENTS Next Meeting: Friday, October 18, 2013 —1:00 p.m., Mo'ikeha Building, Liquor Conference Room The Office of Boards and Commissions will no longer be providing bottled water to our members starting July 1St, 2013. This is one of our sustainability goals. Staff will provide cold water using a filtered system (i.e. Brita), so please bring in your water bottle that was provided to you. Mahalo. ADJOURNMENT NOTICE OF EXECUTIVE SESSION Pursuant to Hawaii Revised Statutes §92 -7 (a), the Commission may, when deemed necessary, hold an executive session on any agenda item without written public notice if the executive session was not anticipated in advance. Any such executive session shall be held pursuant to HRS §92 -4 and shall be limited to those items described in HRS §92 -5(a). c: Nicholas Courson, Deputy County Attorney PUBLIC COMMENTS and TESTIMONY Persons wishing to offer comments are encouraged to submit written testimony at least 24 -hours prior to the meeting indicating: 1. Your name and if applicable, your position/title and organization you are representing; 2. The agenda item that you are providing comments on; and 3. Whether you will be testifying in person or submitting written comments only. 4. If you are unable to submit your testimony at least 24 hours prior to the meeting, please provide 10 copies of your written testimony at the meeting clearly indicating the name of the testifier; and While every effort will be made to copy, organize and collate all testimony received, materials received on the day of the meeting or improperly identified may be distributed to the members after the meeting is concluded. The length of time allocated to persons wishing to present verbal testimony may be limited at the discretion of the chairperson or presiding member. Send written testimony to: Board of Ethics Attn: Barbara Davis Office of Boards & Commissions 4444 Rice Street, Suite 150 Lihu`e, HI 96766 Email: bdavis @kauai.gov Fax: 241 -5127 Phone: 241 -4919 31Page Board of Ethics — September 20, 2013 SPECIAL ASSISTANCE If you need an alternate format or an auxiliary aid to participate, please contact the Boards & Commissions Support Clerk at 241 -4919 at least five (5) working days prior to the meeting. Board of Ethics — September 20, 2013 4|Page COUNTY OF KAUAI Minutes of Meeting OPEN SESSION DRAFT To Be Approved Board/Committee: BOARD OF ETHICS Meeting Date July 19, 2013 Location Mo`ikeha Building, Liquor Conference Room 3 Start of Meeting: 1:00 p.m. End of Meeting: 2:11 p.m. Present Chair Kathy Clark; Vice -Chair Calvin Murashige; Secretary Warren Perry. Members: Mark Hubbard; Brad Nagano Also: Deputy County Attorney Nicholas Courson; Boards & Commissions Office Staff: Support Clerk Barbara Davis; Administrator Paula Morikami; Administrative Aide Teresa Tamura Excused Members: Kurt Akamine; Paul Weil Absent SUBJECT DISCUSSION ACTION Call To Order Chair Clark called the meeting to order at 1:00 p.m. with 5 members present. Approval of Regular Open Session Minutes of June 21, 2013 Mr. Nagano moved to approve the minutes as Minutes circulated. Mr. Murashige seconded the motion. Motion carried 4:1 abstain -P Disclosure a. Nicholas RH Courson (Deputy County Attorney b. Althea Kalei Lovell A inaga(Kaua'i Historic Preservation Commission c. Ernest W Barreira (Budget and Purchasing Director) Mr. Perry moved to receive Disclosures a. through c. and deem complete. Mr. Hubbard seconded the motion. Motion carried 5:0 Executive Mr. Nagano moved to go into Executive Session Session at 1:06 p.m. Mr. Murashige seconded the motion. Motion carried 5:0 Attorney Courson read the purpose for the Board to go into Executive Session for items ES -012, ro ES -7, ES -002 and ES -011 as fully described in �o the posted agenda. S Board of Ethics Open Session July 19, 2013 Page 2 SUBJECT DISCUSSION ACTION Mr. Perry moved to invite Ms. Morikami, Ms. Tamura and Mr. Tanaka into Executive Session. Mr. Hubbard seconded the motion. Motion carried 5:0 Return to Open Ratify Board of Ethics actions taken in Executive Session for items: The Board resumed in Open Session at 2:10 p.m. Session ES -012, ES -7. ES -002, and ES -011 Mr. Murashige moved to ratify the Board's actions taken in Executive Session. ES-012 — Executive Minutes deferred to August ES -7 — On -going ES -002 — On -going ES -011 — On -going Mr. Hubbard seconded the motion. Motion carried 4:0 Announcements Next Meeting: Friday, August 23, 2013 —1:00 p.m., Mo'ikeha Building, Liquor Conference Room The Office of Boards and Commissions will no longer be providing bottled water to our members as of July 1St, 2013. This is one of our sustainability goals. Staff will provide cold water using a filtered system (i.e. Brita), so lease bring in your water bottle that was provided to you. Adjournment Chair Clark adjourned the meeting at 2:11 p.m. Submitted by: Barbara Davis, Staff Support Clerk () Approved as is. () Approved with amendments. See minutes of Reviewed and Approved by: meeting. Kathy Clark, Chair COUNTY OF KAUAI M TOD Minutes of Meeting OPEN SESSION Board/Committee: BOARD OF ETHICS Meeting Date August 23, 2013 Location Mo`ikeha Building, Liquor Conference Room 3 Start of Meeting: 1:00 p.m. End of Meeting: 2:15 p.m. Present Chair Kathy Clark; Secretary Warren Perry; Members: Kurt Akamine; Paul Weil Also: Deputy County Attorney Nicholas Courson; Boards & Commissions Office Staff Support Clerk Barbara Davis; Administrator Paula Morikami; Administrative Aide Teresa Tamura; Deputy County Engineer Lyle Tabata Excused Vice -Chair Calvin Murashige; Members Mark Hubbard and Brad Nagano Absent SUBJECT DISCUSSION ACTION Call To Order Chair Clark called the meeting to order at 1:00 p.m. with 4 members present which constituted a quorum. Approval of Minutes Regular Open Session Minutes of July 19, 2013 Deferred to 9120113 meeting due to Mr. Weil's abstention and lack of a majority vote. Request for Advisory Opinion RAO 13 -006 Request dated July 29, 2013, from Lyle Tabata, Deputy Chair Clark recused herself on this item and requested a deferral to the September meeting for lack of a majority vote. Count Engineer for the Department of Public Works, as to whether there is a conflict of interest for him to act as the RME for a local General Contracting firm while acting in his current capacity for the Department of Public Works ba _ RAO 13 -007 Letter dated August 12, 2013, from Wayne Katayama, Planning Commissioner, requesting an advisory pinion regarding whether he may accept a request from the County Clerk (on behalf of Councilmember Gary Hooser) to appear before the County Council's Economic Development ( SustainabilitylAgriculture /Food/Ener & Intergovernmental Relations Committee regarding Bill No. 2491 to answer uestions related to the ossible im act the Bill may have on Kauai Coffee P Board of Ethics Open Session August 23, 2013 Page 2 SUBJECT DISCUSSION ACTION Company and for his input as stakeholder on the island Deputy Attorney Courson stated that Mr. Katayama sent his apologies for his absence. Attorney Courson said that Section 20.02 D of the Charter states that officers shall not appear in behalf of private interests before any county board, commission, or agency. Mr. Katayama is technically an officer since he is a Planning Commissioner, County Attorney opinions in the past have consistently been that the Charter has to be read in conjunction with the Ordinances because the Charter says the Council shall by ordinance adopt and make from time to time, revise, and amend such complimentary provisions as may be necessary to supplement the Code of Ethics (Section 20.04 D). Section 3 -1.7, County Code, covers conflicts of interest. Mr. Katayama has been asked to speak on the GMO bill and government employees do give up some of their rights to the First Amendment protections, even an unpaid volunteer who is an officer of the County. Traditionally even a government employee is allowed to speak on matters of public concern that do not relate to his job. The GMO bill is certainly a matter of public concern on this island and Mr. Katayama's job, as far as the government goes, is a Planning Commissioner and the two do not intersect. It is the opinion of the County Attorney, to apply this rule against a Planning Commissioner in this context is a possible Constitutional violation but that advice puts this Board in a difficult position because if the vote is that it is not a violation, it technically is. To do a motion based on Counsel's advice the Board would not render an opinion. Attorney Courson explained that there was nothing nefarious going on or any real gain with this request. If we allow that to be the rule we run into some Constitutional problems and practical problems where you get absurd results; you volunteer to be on a board or commission and you cannot speak. Private interest can be defined quite broadly. Board of Ethics Open Session August 23, 2013 Page 3 SUBJECT DISCUSSION ACTION Mr. Weil asked what Constitutional interests were being violated. Attorney Courson said the First Amendment right to freedom of speech. Mr. Weil said no one was stopping him from speaking; it is a limited appearance in which he carries the imprimatur of being a County employee. Attorney Courson said, in general a public employee or not, just because you became a public employee does not mean you are not allowed to speak publically. There is no de facto rule that says public employee — no right to speak. Mr. Weil said he reacted because Counsel used that phrase as if it was all encompassing and overpowering. Based on Counsel's advice, Chair Clark asked for a motion that the Board would not be rendering an opinion. Mr. Perry made the motion that there was no conflict. Motion died for lack of a second. Mr. Akamine made the motion that the Board of Ethics does not render an Advisory Opinion on the matter of RAO 13 -007. Mr. Weil seconded the motion for the purpose of discussion. Mr. Akamine asked what the ramifications would be for the Board of Ethics or the County if an Advisory Opinion is not rendered; is there anything that requires the Board to render an Advisory Opinion. Attorney Courson said not that he was aware of. If an Advisory Opinion is not rendered it would be a finding of no breach in this instance; it would not be setting a precedence. Attorney Courson said if the Board votes that this is a conflict, but Mr. Katayama appears anyway and says he is not resigning from the Planning Commission, and the Board has to deal with this as a Charter violation it could be raised that he has freedom of speech and counters with a 1983 lawsuit in which it becomes a real problem. The downsides of allowing him to speak when the Council has specifically twice requested him seems to be nil versus what the Board risks. As a fallback position he Board of Ethics Open Session August 23, 2013 SUBJECT DISCUSSION ACTION can get by the conflict rules but he can't get by the over - arching "you can't talk if you happen to be a County employee ". Mr. Akamine said if the Board may be at risk if they go one way or the other should this be put as an Executive Session to hear from the Counsel for the Board. Attorney Courson said they could but he would only be expounding on what has already been said. Mr. Weil did not think the Board would. get anything different from what has already been said. Mr. Weil asked what doors they were opening as to future requests if the Board does not render an opinion. Attorney Courson did not believe there would be any because if a request lapse for any number of reasons then it lapse; there is no opinion and that particular action is valid, but there is no precedential value so it is not opening a door. Mr. Perry pointed out it was not a matter that Mr. Katayama wants to speak in front of the County Council. He is being asked to share whatever information he has as a professional for the benefit of the County Council. In looking at the provision "appear" Mr. Perry said he looks at "in behalf of private interest ". He is not appearing in behalf of private interest; there is no representation, there is no advocacy on the part of Kaua'i Coffee. Mr. Perry does not see any conflict when any member of a board or commission is requested by the County Council to provide information. He would not be violating appearing in behalf of private interest. Mr. Perry said the Board should not duck their responsibilities; they have the Code of Ethics, the ordinances and the Rules of Practice and Procedure. Mr. Akamine said this particular Bill (No. 2491) does affect Mr. Katayama's place of employment. Based on that argument there is a conflict of interest, not directly, but indirectly based on his testimony, which Board of Ethics Open Session August 23, 2013 Page 5 SUBJECT DISCUSSION ACTION may influence how the Council votes on this matter. Attorney Courson asked if the conflict was within Mr. Katayama's capacity as a Planning Commissioner because it has to be viewed from that nexus, not that he is Kaua'i Coffee. Mr. Akamine pointed out that several years ago the Board issued an Advisory Opinion on the same issue that no employee or officer of the County can appear. Mr. Akamine said he understood that as related to or unrelated to their capacity. Attorney Courson said he did see that opinion, but believes that rule is too broad and will run afoul of first amendment protections because government workers do not give up all their rights; particularly on matters of public concern. Mr. Perry said any legislation passed by our County affects each and every single one of us — the budget bill, taxes. This piece of legislation may affect Kaua'i Coffee, but it will affect anybody who is in the (inaudible). The question is whether Mr. Katayama is advocating, representing, or appearing in behalf of; he is not, he is providing information, given his expertise, and therefore Mr. Perry did not see a conflict. Mr. Weil said what Mr. Perry said raises the question of why does Council want Mr. Katayama's opinion if not because of his involvement with Kaua'i Coffee. Mr. Perry said the letter requests Mr. Katayama's presence to answer questions related to the possible impact the Bill may have on Kaua'i Coffee Company and his input as a stakeholder on the island. Motion that the Board of Ethics does not render an Advisory Opinion on the matter of RAO 13- Board of Ethics Open Session August 23, 2013 �. r !"1 SUBJECT DISCUSSION ACTION 007 failed 3:1 (nay -Perry) Attorney Courson said the issue with deferring this matter in terms of avoiding a possible lawsuit, Mr. Katayama has been requested to speak September 9. Mr. Katayama will not have an answer and be forced to choose either to appear and possibly fact a conflict or quit (the Planning Commission) and remove the conflict. If he is forced to quit that is an issue as well. Mr. Weil stated for the record his vote was based solely upon Counsel's expressed opinions and no other basis because he thinks there is a conflict. Mr. Akamine suggested that if there is a matter of public and County importance that the Chair considers scheduling a special meeting before September 9 to address this request. Disclosure a. Hugh A. Strom (Board of Water Supply) Mr. Akamine moved to receive Disclosure a. and deem complete. Mr. Perry seconded the motion. Motion carried 4:0 Executive Attorney Courson read the purpose for the Board Session to go into Executive Session for items ES -012, ES -013, ES -7, ES -002 and ES -011 as fully described in the posted agenda. Mr. Akamine moved to go into Executive Session at 1:24 p.m. Mr. Perry seconded the motion. Motion carried 4:0 Mr. Akamine moved to invite staff and guests as required into the meeting. Mr. Perry seconded the motion. Motion carried 4:0 Return to Open Ratify Board of Ethics actions taken in Executive Session for items: The Board resumed in Open Session at 2:11 p.m. Board of Ethics Open Session August 23, 2013 MOM 0 0 SUBJECT DISCUSSION ACTION Session ES -012, ES -013, ES -7, ES -002, and ES -011 Mr. Perry moved to ratify the Board's actions taken in Executive Session. ES -012 and ES -013 — Executive Minutes of 6/21 and 7/19 deferred to September for lack of a majority vote ES -7 — Informal hearing concluded; findings to be issued ES -002 — On -going ES -011 — On -going Mr. Akamine seconded the motion. Motion carried 4:0 Announcements Chair Clark-noted that on advice from Council, the Board should look at a special meeting to reconsider the Katayama issue. Staff to check availabilities and schedule a meeting accordingly before September 9 Next Regular Meeting: Friday, September 20, 2013 —1:00 p.m. Adjournment Mr. Perry moved to adjourn the meeting at 2:15 p.m. Mr. Akamine seconded the motion. Motion carried 4:0 Submitted by: Barbara Davis, Staff Support Clerk () Approved as is. () Approved with amendments. See minutes of Reviewed and Approved by: meeting. Kathy Clark, Chair Kauai County Board of Ethics c/o Office of Boards and Commissions 444 Rice Street, Suite 150 Lihue, Kauai, Hawaii 96766 Dear Honorable Board Members, July 29, 2013 ' 292h L..w.._ .. _ BOARDS & COMh "!Sb I have been appointed to the position of Deputy County Engineer for the Department of Public Works of the County of Kauai, and have been fulfilling my duties as such effective January 3, 2011. 1 am herby presenting myself before the Ethics Board at this time to request clearance to act as RME for a local General Contracting firm. The following are my reasons in regards to justification of this request: 1. I am a registered General Contractor license number ABC 29696 in the State of Hawaii. Prior to my employment with the County of Kauai, I worked as the Operations Manager of Aqua Engineers Inc., and as the RME for Briant Construction Company the construction subsidiary of Aqua Engineers Inc. 2. My position with the County is one that is appointed by the Mayor and therefore not considered permanent employment. It is therefore necessary for me to keep abreast of the Construction industry since I may have to refer back to it in the future as a source of income. By aligning myself with a firm I will continue to be able to keep pace of the industry and maintain my relationships throughout the state. I have carefully considered this request and feel that no conflict of interest can be generated because of my employment with the Department of Public Works. The role that I play in the Department is that of an administrative role and do not directly supervise anyone in the Building regulatory plans review and inspection and Engineering regulatory plans and inspection sections. As a licensed contractor there is a code of ethics which I must uphold. It is against my personal integrity to build anything that does not meet the code permit requirements of the County of Kauai. I would not place my client in jeopardy or threaten my professional ethic and my General Contractor's license. I would appreciate your favorable review of this request since it will allow me the opportunity to keep abreast of my profession and keeping ties in the industry. I will gladly make myself available to answer any questions you may have. Tabata RAO /3 - 666 COUNTY COUNCIL Jay Furfaro, Chair Nadine K. Nakamura, Vice Chair Tim Bynum Gary L. Hooser Ross Kagawa Mel Rapozo JoAnn A. Yukimura TO: Board of Ethics Council Services Division 4396 Rice Street, Suite 209 Lihu`e, Kauai, Hawaii 96766 MEMORANDUM August 13, 2013 FROM: Jay Furfaro, Council Chair RE: REQUEST FOR ADVISO: OFFICE OF THE COUNTY CLERK Ricky Watanabe, County Clerk Jade K. Fountain- Tanigawia, Deputy County Clerk Telephone (808) 241 -4188 Fax (808) 241 -6349 Email cokcouncil @kauai.gov a AUG 2 12013 ( J BOAFIDS & COMMISSIONP Pursuant to the Charter of the County of Kauai, Article 20.05(D)(2), I am requesting an advisory opinion as to whether or not a conflict of interest exists with respect to a position that I have been offered on the Board of Directors of the Kauai North Shore Community Foundation ("KNSCF'). I have attached KNSCF's presentation for your review. The mission of KNSCF's is "To enhance the social, cultural and educational fabric of Kaua`i's North Shore Community." The two projects that are underway is a health and fitness center and a dog park. There will also be other projects in the future that will be based on community input and need. I currently sit as the Chair of the Kauai County Council, and as such, I am one of seven members that decide /vote on various issues facing our island and community. For instance, one of the two projects that KNSCF has underway may touch on a subject that the Council is currently dealing with, which is the Kauai Humane Society's contract with the County and the services that they provide. We are currently deliberating on a bill which the Kauai Humane Society is in support of, which would drastically increase fees for dog licenses. Additionally, there are also other community projects which the KNSCF may decide to support or adopt which may have some overlap with the County Council's decision making responsibilities. Prior to responding to the invitation from Directors, I would like an advisory opinion from conflict would exist, should I choose to accept a Also, if it is your opinion that a conflict may or as to what action I should take or refrain from tE the KNSCF to sit on their Board of the Board of Ethics as to whether a position on the Board of Directors. does exist, please provide guidance eking. R�11113-Q�48 AN EOUAL OPPORTUNITY EMPI.OYF.R Board of Ethics Re: Request For Advisory Opinion August 13, 2013 Page 2 I would greatly appreciate your assistance in this matter and look forward to hearing from you. Should you have any questions or need additional information, please feel free to contact me at 241 41881 • CNT:mn Attachment Kauai North Shore Community Foundation Overview and Strategic Plan The Kauai North Shore Community Foundation is a 501(c)(3) Charitable Organization incorporated in the State of Hawaii on July 25, 2012 (Foundation). Our Mission The Foundation was created to improve the social, cultural and educational fabric of Kauai's North Shore. The social fabric is loosely defined as any activity, event or facility that enhances the sense of community and fulfills a public social need on the North Shore, The Foundation will be a `vehicle' that enables the residents of the North Shore, other foundations and other interested parties to undertake charitable projects. Reach of the Kauai "North Shore" The Foundation has defined the Kauai North Shore as including all the communities of Anahola, Moloa'a, Kilauea, Princeville, Hanalei, Wainiha & Haena and all the places in between. The Foundation very deliberately chose this definition since it makes way for a broader, progressive social & demographic understanding and reach of how communities interact and how one community might assist another. Bringing together funding, land and other resources to meet a Social need In its simplest form the Foundation can act as a conduit through which money and land (and other resources) are directed in a tax effective way to meet a social need on the North Shore. In others, a donor or group of donors may come together to resource their own major project and vision with management help from the Foundation staff. This can be achieved anonymously if the donor so desires. We believe that many projects will be identified by our Advisory Board, our own Board or our Executive Director in concert with the community, and solidified to a point where land is donated and then funds are raised to complete a project. We are also open to public /private collaboration on projects, perhaps bringing public lands together with private funds to deliver a "social solution ". We will also seek grants and donations from other charitable Foundations, private foundations and donors from across the State, the US and the World if the project warrants. Incorporation and standing The Foundation was incorporated corporation. The Foundation has will be tax deductible retroactive b unrelated to and distinct from any Community Assocation (PHCA), in the State of Hawaii on July 25, 2012 as a nonprofit public benefit filed for tax - exempt status under 501(c)(3) from the IRS. Donations the date of incorporation.The Foundation is a separate legal entity, other existing organization including the Princeville at Hanalei Current status The Board meets on a regular two weekly schedule, with meetings on the intervening Wednesday when the regular meeting over -runs. Minutes of each meeting are maintained. Each project identified, and considered viable and desirable by the board, is handed to one of four "operational center" Board members, who then request a sub - committee be formed to analyze and evaluate and to report back to the Board. Enhancing the social, cultural & educational fabric of the North Shore Page 1 Kauai North Shore.Community Foundation Overview and Strategic Plan The four operational centers are: • Education & Culture • Youth & Seniors • Health & Fitness • Special projects/ Land use The Foundation will also be utilized to recruit volunteers for local charitable projects as well as for raising funds through donations. Some of the potential needs that have been identified based on community needs are listed below. ■ Fundraising for the construction of a local community recreation and aquatics center that would include a pool, rooms for exercise classes, work out rooms and weight rooms and other public spaces, where amateur athletic programs for youth could be conducted, and senior citizens and the public could participate in health and wellness programs for healthy aging. • A community dog park. • Supporting education by fundraising for a local education center, schools and scholarships. • Working with government and public officials to fight juvenile delinquency and drug addiction through drug education and drug treatment programs. • Fundraising and education for conservation and open space preservation including parks and public access to coastal areas. ■ Increasing cultural awareness including supporting education on the history of the island and preserving historical sites for public benefit. • Other charitable projects that qualify under Internal Revenue Code section 501(c)(3) will be identified in the future based on input from the public and a community needs assessment. The Organization of the Foundation The Foundation started with a grassroots group of individuals from Princeville. The Board is currently being expanded to recognize and represent geographic and social diversity, age demographics and personal interests to be truly reflective of the North Shore and to gain multiple perspectives on the social issues that need addressing. The Board of the Foundation will be assisted by: o An Advisory Board consisting of well -known and influential members o Board Members with responsibility for steering the various aspects of the Foundations Mission o A part-time staff that can assemble and manage the many tentacles that the Foundation already has and the many more that will appear as we grow o Subcommittees for each project with a Board Member on each one Enhancing the social, cultural & educational fabric of the North Shore Page 2 n Kauai North Shore Community Foundation Overview and Strategic Plan Kauai North Shore Community Foundation Projected income & expenditure expectations: KWCF� Sumrary values in `OWs 2012 1 2013 2014 21115 �i oil ivy iii iii •.iii LL L77, 7 ON :ii .. Enhancing the social, cultural & educational fabric of the North Shore Page 3 Kauai North Shore Community Foundation Overview and Strategic Plan The future is bright, but we are young and growing The Foundation had humble origins as a small grass roots group of Princeville residents who wanted to build a community recreation center. The vision was expanded from a single project, to the broad prospective of addressing the social challenges of the community that we live in on the North Shore of Kauai. The Foundation will help to address these social issues by providing facilities and programs. The opportunities are boundless — the Foundation can be the vehicle through which the social fabric of the entire North Shore is continually improved — an impartial, independent mechanism through which funds and resources are channeled for the greater good of all. We understand we have work to do and the hurdles could be significant. However, we have come a long way with just a few people to this point, and the future is bright and filled with opportunities. It is a never - ending journey - Please join us. Initial Funding: The Founding Board and its advisors has launched and contributed to the "Founder's Circle" and has also donated countless pro -bono hours. Founder's Circle- How you can help? The Foundation is now looking to secure $75,000 of additional charitable contributions from donors so it can pursue: • Continuing start-up funding • Having site plans prepared • Continuing legal work • Marketing materials • Web Site development • The hiring of a part-time Executive Director • Expanding the Board to better reflect the North Shore diversity and demographics and recruiting the advisory board. Enhancing the social, cultural & educational fabric of the North Shore Page 4 Kauai North Shore Community Foundation Overview and Strategic Plan Appendix The Founding Board of Directors: Mark Snyder - President Mark is a community leader with a strong back ground as an educator, school administrator and therapist. He currently serves as a member of the Local School Board for Hawaii Technology Academy (HTA), the largest charter school in the state of Hawaii, and has held that position for four years. The mission of HTA is to utilize research -based technology applications and meaningful teacher /student/parent involvement to provide an innovative hybrid model of public charter school education adapted to the needs of elementary, middle, and high school students who reside in Hawaii. Mark has lived on the north shore of Kauai full time since 2009 and prior to making Kauai his permanent home, he was a part-time resident for many years. Before moving to Kauai, Mark was a leader and deeply involved in community education in California. He served as the chairman of the Palisades Charter School Foundation from r_ 2001 -2009, was a member of the school board for the Palisades Charter High School from 1998 -2005. l Mark will serve as the President of KNSCF. As President of KNSCF Mark will preside over all meetings of the Foundation's Board and Executive Committee, serve as ex- officio member of all committees, create subcommittees and appoint subcommittee chairs, be responsible for maintaining an accurate and complete record of Board Members, and in the future when the Foundation is in a position to hire staff, the President will be responsible for management of the Foundation staff. Rory Enright —Vice President Rory has been a homeowner in Princeville Kauai since 2003. He has been the General Manager for the Princeville at Hanalei Community Association (PHCA) since June 2010. Princeville is a private community, which owns its own facilities (roads, parks, community center, etc.). In his capacity as General Manager, Rory is responsible for all the elements of running a small community including: administration, enforcement of rules & covenants, common area maintenance, architectural design and communications. Prior to moving to Kauai, Rory was a sales and marketing executive in the computing and communications industry. After ten years at IBM, early in his career, he spent the next fifteen years at several companies _ (Tymnet, Network Equipment Technologies, McData, and Signalsoft) with responsibly for marketing and worldwide distribution. Rory has been married for 36 years to Bea Enright; has two children, Sean and Tracy, and two grandchildren. He is a graduate from the University of California, Berkeley, with a B.S degree in Environmental Studies. On Kauai, he has been a volunteer at the Kilauea Point Lighthouse and Na Aina Kai Botanical Gardens. Rory will serve as the Vice President of the KNSCF. As Vice President he will perform the duties of the President in the President's absence, serve in such capacity as assigned by the President, and become President for the unexpired term in the event the President cannot continue in that office. Enhancing the social, cultural & educational fabric of the North Shore Page 5 Kauai North Shore Community Foundation Overview and Strategic Plan Teresa Young, C.P.A. - Treasurer Teresa has been a homeowner in Princeville Kauai for 10 years. She moved to the north shore of Kauai full time in 2012 after retiring from her long time career with Deloitte. At Deloitte she was a Tax Partner specializing in serving foundations and other tax - exempt organizations, and led the tax - exempt organization practice for the Pacific Southwest region for the firm. Teresa has served on the board of a number of 501(c)(3) organizations including the University of California San Diego Foundation (where she chaired the audit committee and was a financial expert), the UCSD Alumni Association (where she served as Treasurer) and Athena (where she served as Treasurer). She also was a member of the Finance Committee of the San Diego Community Foundation and the Planned Giving Council for UCSD. Teresa earned her undergraduate degree at the University of California San Diego (BA in Chemistry) and her master's degree at San Diego State University (MS in Accounting with Taxation emphasis). She is a C.P.A., and a member of the AICPA and the California Society of C.P.A.s. Teresa will serve as the Treasurer of the KNSCF. As Treasurer she will be accountable for and have charge of all funds of the Foundation, bank deposit all receipts and pay all bills of the Foundation, keep an itemized record of all receipts and expenditures, assets and liabilities, ensure that the Foundation remains in compliance with all federal, state and local laws and regulations, oversee the preparation of the financial statements, prepare the annual budget of the Foundation and present such budget to the Board, work with the Foundation's external auditors to complete the annual audit, and present audited financial statement of the Foundation. Mary Paterson — Board Member at Large Mary has made Kauai her home since 1987. She is an entrepreneur and business and civic leader who is well known and respected on Kauai. She has worked in many different locations and businesses around the world in a variety of positions gaining unique knowledge and skills along the way and has been involved in managing a variety of businesses. In the 80's, Mary co- managed the popular Aspen Racquet Club with its indoor tennis courts and strong tennis membership in Aspen Colorado. She also co- managed a failing 304 -unit condominium complex in Aspen, which was successfully turned around after changing policies & enforcing rules. Working with developers to renovate each building and improve amenities, the project became a popular place to live, and Aspen's crime rate was reduced significantly. After seven years in Aspen, Mary moved to Hanalei on the North Shore of Kauai where she obtained her Hawaii Real Estate license. Realizing that real estate was not the right fit for her, Mary joined Princeville Corporation's marketing department working for the Director of Marketing. She helped coordinate the Women's Kemper Open and many other events, and represented Princeville at travel agent promotions around the country. As Promotions Manager, she created the company newsletter and assisted the Director in moving the Hotel through two ownerships — from Australian entrepreneur Christopher Skase, to the Japanese company Suntory; the opening of the Prince Golf Course and Health Club and many more projects, until Hurricane Iniki hit in1992. Over the years, Mary has also been involved in a civic capacity — on the board of the Kauai Humane Society, Treasurer of a small non - profit, and volunteering at countless fundraising events. Each experience has broadened her skills, knowledge and desire to make the North Shore a better place to live. Mary will serve as a Board Member at Large. In that capacity she will serve on the Board of Directors for the KNSCF, attend and vote at all Board and Executive Committee meetings. She serves on the Finance Committee and works closely with the Treasurer on all financial issues. Enhancing the social, cultural & educational fabric of the North Page 6 Kauai North Shore Community Foundation Overview and Strategic Plan New Board Members Robert Doyle — Secretary Robert (Bob) Doyle has been a resident of the Hawaiian Islands since 1964, and a landowner on the North Shore of Kauai since 1976. Bob graduated from University of Hawaii with a bachelor's degree in Business Management. He was employed on Oahu by the Department of Defense as a computer specialist and was the head civilian responsible for planning and budgeting for intelligence systems in the Pacific. Bob retired in 2001 and built a home on his Princeville lot. He embraced the Kauai lifestyle and. became actively involved in numerous organizations, making a difference in the lives of many in the local community. Previous to joining the board of the Kauai North Shore Community Foundation he served on the board of the Princeville at Hanalei Community Association, and served as its President for 5 of the last 9 years. Bob also currently serves as a board member of the North Shore Council and the Ana'ina Hou Community Park. He volunteers his time at the Kauai Food Bank, serving on the food pantry staff and also at his local church, St. Williams in Hanalei where he is a Eucharistic Minister. Bob has been married to his wife Sue for 45 years and their three sons all live on the Hawaiian Islands; one on Kauai and two on Oahu. Bob will serve as Secretary for the Kauai North Shore Community Foundation, Barbara Cameron Barbara is a successful entrepreneur with multiple ventures in the field of Interior Design. She has a degree in Languages (French /German) and did two years post graduate work in Political Science, both at the University of Calgary, in Canada. Her degree in Interior Design is from the Interior Designer's Institute in Newport Beach, California. She is currently an Allied Member of the American Society of Interior Designers and a Leed Accredited professional with the United States Green Building Council. She has over 25 years of design ( experience throughout Hawaii the West Coast and Mexico, and while she primarily targets high -end residential markets, her portfolio includes commercial work in both the medical and hospitality industries. She was awarded the ASID presidential citation for her work in helping to organize the 2005 Leed seminar and conference in Oahu jointly sponsored by the United States Green building Council and the Hawaii chapter of ASID. The seminar brought many local leaders together from different fields to learn first -hand the process and possibility of making sustainability a reality in the islands. Barbara's current and principal business is Yochi Interiors , Since its opening in Lihue in 2004 , it has not only served as one of the island's primary sources for high -end, environmentally sustainable design, but it has also consistently promoted local talent. Her online company Plus20 Design was launched in 2012, and has steadily developed her international clientele by simplifying the logistical and creative design processes. Enhancing the social, cultural & educational fabric of the North Shore Page 7 Kauai North Shore Community Foundation Overview and Strategic Plan Prior to moving to Kauai she lived in San Diego, where, in addition to running her design business, she actively participated in community affairs. She spent six months as a volunteer coordinator for the Los Angeles 1984 Olympic games, helping to set up their local office in San Diego, and recruiting and over - seeing the more than 200 volunteers required to host the Equestrian Three Day venue being held there. This was a world -class event with competitors and dignitaries from several countries in attendance. In order to make this a success, and having only a limited budget, it meant the cooperation of local businesses and residents to provide the funding necessary. Her efforts were also instrumental in allowing the participation of a group of children from the various Southern California therapeutic riding programs to take part the day of the event — a day they will never forget. Barbara has been an active member in the Kauai community since moving to the North Shore with her family in 2000. She served as the President for the PTSA at Kula High and Intermediate, and she has also held leadership roles in a variety of local social events. Barbara and her husband have been married for over 40 years, and they live in Kilauea where they have a citrus business and three dressage horses, which she avidly rides on the weekends. Her two children have both attended Kauai schools and now reside on the mainland She has two grandchildren who love nothing more than spending their summers in Kauai. Joel Guy Joel Guy grew up on Kauai, spending the first 20 years of life in Ha'ena, and the last 20 years in Hanalei, having the honor of always calling Kauai home. Joel feels that his childhood experience on the north shore was a gift that he is forever grateful for. In 1988 Joel graduated from Kapaa High school and went on to the University of Hawaii to study Art History. In 1992 he returned to Kauai to help rebuild his family home after Hurricane Iniki. Shortly thereafter he met a wonderful woman, got married and they had an amazing son. Joel was committed to raising his son on Kauai, and says that this has been his inspiration for working hard to build the local community, so that his son has more opportunities in both education and inspiration than he had. Joel started managing restaurants in 1994, and in 1999 with his family's help, opened his own restaurant in Hanalei. He hired 25 employees from within the community, and together they served nothing but the freshest local produce from mostly Kilauea farmers, and fish caught in local waters. As a business owner Joel immersed himself in the North Shore business climate, and was eventually elected to be President of the Kauai North Shore Business Council (KNSBC). In that capacity he collaborated with various aspects of the north shore community to organize job fairs, financial seminars, drug awareness presentations, and small business opportunities for members. After 5 years of operation in a challenging seasonal market, Joel sold his business lease. He then began what was once a hobby of filmmaking, and turned it into a business and a way of supporting his family and connecting the community. In 2005 he went on the first of two trips to South Africa. He then spent the next two years traveling to Indonesia, South -East Asia, Australia, Tahiti, Mexico, and the continental US making independent films. Joel was able to spend months with some of the most Enhancing the social, cultural & educational fabric of the North Shore Page 8 Kauai North Shore Community Foundation Overview and Strategic Plan financially challenged people on the planet, sharing good food and healthy families. This film business allowed his time at home between trips to be devoted to Kauai issues. In 2008 -2009 Joel worked at the Hawaii State Legislature under the guidance of Representative Mina Morita while she was chair of the Energy and Environmental Protection Committee. He is a huge supporter of policy. Today, Joel is the owner of Grass Shack Productions and is very busy creating "Web Based Content" in the form of short videos and photos. Joel will serve as a board member at large of the Kauai North Shore Community Foundation. Enhancing the social, cultural & educational fabric of the North Shore Page 9 Kauai North Shore Community Foundation Presentation for Jay Furfaro January 10, 2012 History and Background o Concept evolved from PHCA board and the fitness center finance committee o A community foundation can raise funds for various projects determined by community needs o The North Shore Community Foundation is a new nonprofit foundation which is a separate unrelated legal entity from the PHCA and will serve the entire north shore Stir, r'S} r K Stir, r'S} History and Background What is a Community Foundation? o A community foundation is a nonprofit A foundation that is tax - exempt under 501(c)(3) ~` o Donations are tax - deductible ,y o Donations can be made to specific project 5 F funds' or to donor advised funds o Can be an important part of estate and tax planning ri o A community foundation raises funds for projects that are needed by the community it serves o There are many successful community f .. oundations throughout the U.S, serving the unique communities `a d C it rp History and Background o Kauai North Shore Community Foundation was I ncorporated July 25, 2012 (pro -bono by Harvey Cohen) o All volunteer board committed to the North Shore of Kauai o Tax- exempt status is in process and donations are being accepted o Community projects that benefit t be accomplished through KNSCF _i he public can KNSCF Mission and Goals s o Mission: "To enhance the social, cultural a: and educational fabric of Kauai's North yv a^ Shore community" o Two projects underway o Health & Fitness Center oDog Park 0 other projects will be based on community input and needs �f :r, �f Community Projects Health &Fitness Center o Support full North Shore Population (Anahola to Haena) o Programs for all ages (youth to seniors) o Weight / Cardio / Training Facilities o Classes (Yoga, Rates, etc) o Aquatics o Feasibility Study - Ballard *King - Completed o Conceptual Designs - Avery Yuen - Completed o Location to be Determined ..5 r n. r: �.-� c?Sni _ Community Projects Dog Park o off -leash dog park with separate facilities for large & small dogs o Opportunity for dog exercise & socialization o Enhances overall community for people &dogs o Makes leash laws more enforceable Cr:J4' lrc.+r7 o Donor directed funds •� Y 1 o Project Team L Lindman eaders: Gary Rexrode & Nancy o Location: Kilauea potential �j C. Y y� �j Potential Community Projects • Supporting schools and education • Scholarships o Open space preservation and conservation including parks • Programs for • Programs to s ocal youth and seniors upport drug prevention, rehabilitation and recovery from drug addiction ;_' o other projects which qualify under 501 (c)(3) identified by the community _. and board Jr -:cam nf- Realizing the Dream It takes a Community that cares and wants to get involved! o Volunteer o Donate - $75k startup fund o Advocate -Encourage Participation from all North Shore. Communities o Contact one of the Board Members �� ; '�,7r,±c �...- n, .� yes _-'rrr i�,• �r •�i.4 -'- _ Mark Snyder President ;Rory Enright Vice Pres% Teresa Young - Treasurer Bob Doyle - Secretary `.- C ,^ Mary Paterson Joel Guy .1..` ..:1r .e�.,i:- .t;..i .,_�sY tiFIY�.''L�itii4 l�...•.f .= ....� —i y'T� ..: {a_1. ..•2a..Z0 ��Y �� -c -1r. 'LT. IC.'�5,f'��.vi-1 a I'- E4 Barbara Cameron ' 6F fig {"�+'_ - .. t. .....'`r •� .... �. - '. .. fi:- - ... - � - _J I' 4 'v� I. ; 11 dd Realizing the Dream I It takes a Community that cares and wants to get involved! o Volunteer o Donate - $75k startup fund o Advocate -Encourage Participation from all North Shore. Communities o Contact one of the Board Members �� ; '�,7r,±c �...- n, .� yes _-'rrr i�,• �r •�i.4 -'- _ Mark Snyder President ;Rory Enright Vice Pres% Teresa Young - Treasurer Bob Doyle - Secretary `.- C ,^ Mary Paterson Joel Guy .1..` ..:1r .e�.,i:- .t;..i .,_�sY tiFIY�.''L�itii4 l�...•.f .= ....� —i y'T� ..: {a_1. ..•2a..Z0 ��Y �� -c -1r. 'LT. IC.'�5,f'��.vi-1 a I'- E4 Barbara Cameron ' 6F fig {"�+'_ - .. t. .....'`r •� .... �. - '. .. fi:- - ... - � - _J I' 4 'v� KNSCF Organization Bernard P. Carvalho, Jr. Mayor August 27, 2013 OFFICE OF THE MAYOR County of Kauai, State of Hawaii 4444 Rice Street, Suite 235, Lihu`e, Hawaii 96766 TEL (808) 2414900 FAX (808) 241=6877 Chair Kathy Clark and Members of the Board of Ethics c/o Office of Boards and Commissions 4444 Rice Street, Suite 150 Lihu`e, 11196766 Re: Request for Advisory Opinion Dear Chair Clark and Members of the Board of Ethics: Gary K. Heu Managing Director A:'C 292013 LBO & CO2%',Mi,SS CVC' Recently, I was apprised of an advisory opinion rendered following a request for advice from a deputy county attorney regarding the acceptance of fundraiser tickets from a corporate entity. The Board found that there was a conflict for the deputy to attend the event in his official capacity, primarily because of his working relationship with the corporate entity. Please advise how this opinion may apply to me in my official capacity as mayor. As the head of the county, I am invited as a guest to numerous events, oftentimes with my wife, primarily to represent the county. Usually, the business or entity that is sponsoring the event offers me a complimentary ticket and asks for me to sit at their table. Often, I am asked to say a few words, present a proclamation, sit as a panelist or sit at the head table. If I am not available, the event sponsor will ask me to send an official representative, which is usually one of my appointed staff. Whatever clarification and specific examples you can provide of what would be deemed a conflict for me to attend these events or to send an official county representative would be appreciated. Mahalo for your assistance. Bernard P. Carvalho, Jr. Mayor C: Paula Morikami, Administrator, Office of Boards and Commissions An Equal Opportunity Employer 6,A a I3 -X09 County of Kauai Board of Ethics Advisory Opinion RAO 13=005 The County of Kauai Board of Ethics (`Board') received a letter dated February 13, 2013, ("Letter") from Mauna Kea Trask, Deputy County Attorney requesting an advisory opinion on whether there is a conflict of interest if he attends. the March 2, 2013, Humane Society Fundraiser as a guest of Grove Farm Senior Vice President Michael Tresler. Background Mr. Trask serves as a Deputy County Attorney in the County of Kauai County Attorney's Office. In his letter he stated that on February 12, 2013, he received an invitation for his wife and himself from Mr. Michael Tresler, Senior Vice President of Grove Farm to attend the Kauai Humane Society fundraiser. He stated that he has known Mr. Tresler for a few years and considers him to be a social friend/acquaintance. He also states that as a Deputy County Attorney he is assigned to various tasks and issues that involve Grove Farm and the County of Kauai. At the Board of Ethics meeting, Mr. Trask testified that he does not have any pending litigation cases against Grove Farm. However, since Grove Farm is a large landowner, there are many issues including the siting for the new landfill, the Pubi Metals issue and more recently the Planning Department's support of Grove Farm's petition before the Land Use Commission for the self- designation of important agriculture lands. Mr. Trask also testified that he may have met Mr. Tresler throughout his life but the majority, if not 100% of that time, was through County work. Applicable Law County of Kauai Charter, Section 20.02A states that "[n]o officer or employee of the county shall: A. Solicit, accept or receive, directly or indirectly, any gift, whether in the form of money, service, loan, travel, entertainment, hospitality, thing or promise or in any other form, under circumstances in which it can reasonably be inferred that the gift is intended to influence him in the performance of his official duties or is intended as a reward for any official action on his part. Opinion The Board of Ethics cited the County of Kauai Charter, Section 20.02A and noted that the invitation constituted a gift which was not insignificant. There was a question as to whether the invitation was from Michael Resler, Senior Vice President, rather than Michael Tresler, individually, which could be reasonably inferred that the gift was intended to influence Mr. Trask in the performance of his official duties or was intended as a reward for past actions. The Board concluded that it would be a conflict for Deputy County Attorney Trask to attend the March 2, 2013, Humane Society fundraiser as a guest of Grove Farm's Senior Vice President, Inasmuch C•: • discussions and deliberations c•n i i matter Advisory Opinion shall be prepared. With a quorum present and voting, this opinion was rendered by the board at its meeting on February 15, 2013. J Members present and voting: Kathy Clark, Warren Perry., Kurt Akamine, Mark Hubbard, Brad Nagano, and Paul Dissenting: None Absent: Calvin Murashige F Board of Ethics: Bernard P. Carvalho, Jr. Mayor OFFICE OF THE COUNTY ATTORNEY County of Kauali, State of Hawaili 4444 Rice Street, Suite 220, Llhu'e, Hawaii 967664300 TEL(808)241-4930 FAX(808)241-6319 February 13, 2013 Kathleen Clark, Chairperson and Members of the Board of Ethics Office of Boards & Commissions 4444 Rice Street, Suite 150 Lihu'e, Hawai'i 96766 Alfred B. Castillo, Jr. County Attorney Amy I. Esalr3 First Deputy ''► FEB 12 2093 BOARDS & C0Mm1SS1C)1,,1S Re: Request for Advisory Opinion by Deputy County Attorney Mauna Kea Trask Aloha Chair Clark and Members of the County of Kauai Board of Ethics, I am requesting and advisory opinion pursuant to Kauai County Charter section 20.05 (D) (2) and Rule 5.1 of the Kauai County Board of Ethics Rules and Regulations on the following question(s). (1) May I attend the March 2, 2013 Humane Society Fundraiser as a guest of Grove Farm Senior Vice President Michael Tressler? On February 12, 20131 received an invitation for my wife and Ito attend the Kauai Humane Society fundraiser from Mr. Tressler. In response I said 1'd ask my wife and I'd get back to him. Over the course of the evening of the 12th I decided it would be a good idea to get an ethics opinion regarding this matter just to be safe. 1 have known Mr. Tressler for a few years now and consider him a social friend /acquaintance, and I believe that he views me in the same manner. In discussing the matter with Mr. Tressler I have been told that "there is nothing unethical nor is there any intent to be unethical with this." As a deputy county attorney I am assigned to various tasks and issues that involve Grove Farm and my client the County of Kauai. I do not believe that accepting this invitation would violate the code of ethics nor would it create an ethical conflict for me but as the BOE is the arbiter in all ethical matters I defer to you. Thank you for your consideration in this matter. Please contact me if you need any supplemental information pursuant to Rule 5.1 (c). Mahalo, au ea Trask Deputy County Attorney Office of the County Attorney, County of Kaua'i ORDINANCE NO. BILL NO. A BILL FOR AN ORDINANCE TO AMEND THE KAUAI COUNTY CODE 19879 AS AMENDED, BY ADDING A NEW ARTICLE TO CHAPTER 4, RELATING TO THE REGISTRATION AND REGULATION OF LOBBYISTS BE IT ORDAINED BY THE COUNCIL OF THE COUNTY OF KAUAI, STATE OF HAWAII: SECTION 1. Findings and Purpose. The Kauai County Council finds that County decision makers and the general public have the right to know upon whose behalf an individual is presenting testimony. The purpose of this bill is to require lobbyists to register with the County of Kauai and identify themselves as lobbyists prior to testifying before the County Council or County agencies. SECTION 2, Chapter 4 of the Kauai County Code 1987, as amended, is hereby amended by adding a new Article 5 to read as follows: "ARTICLE 5. REGISTRATION AND RESTRICTION OF LOBBYISTS Sec. 4 -5.1 Declaration of Intent. The County Council hereby declares that the operation of responsible democratic government requires that the fullest opportunity be afforded to the people to petition their government for the redress of grievances and to express freely to appropriate officials their opinions on legislation and governmental operations; and that, to preserve and maintain the integrity of the governmental decision - making process in this county, it is necessary that the identity, expenditures and activities of persons and organizations retained, employed or designated to influence the passage or defeat of any legislation by county council, the approval, or veto, of any legislation by the mayor and attempts to influence administrative action by the executive branch, be publicly and regularly disclosed. Sec. 44.2 Definitions. When used in this Article, the following words or phrases shall have the meaning given in this section unless it shall be apparent from the context that another meaning is intended. (1) "Administrative action" means the proposal, drafting, consideration, amendment, enactment, or defeat by any administrative agency of any rule, regulation, or other action governed by Hawaii Revised Statues (HRS) Section 91 -3. (2) "Administrative agency" means a commission, board, agency, or other body, or official in the County government that is not a part of the legislative branch. (3) "Board of Ethics" means that board established by Section 20.05 of the Charter of the County of Kauai. R D B 1 ?0,5 aa /3- it (4) "Contested case" shall have the meaning defined in HRS Section 91-1. (5) "Contribution" includes a gift, subscription, forgiveness of a loan, advance, or deposit of money, or anything of value and includes a contract, promise, or agreement, whether or not enforceable, to make a contribution. (6) "Expenditure" includes a payment, distribution, forgiveness of a loan, advance, deposit, or gift of money, or anything of value and includes a contract, promise, or agreement, whether or not enforceable, to make an expenditure. "Expenditure" also includes compensation or other consideration paid to a lobbyist for the performance of lobbying services. "Expenditure" excludes the expenses of preparing written testimony and exhibits for a hearing before the County Council or an administrative agency. (7) "Legislative action" means the sponsorship, drafting, introduction, consideration, modification, enactment, or defeat of any bill, resolution, ordinance, amendment, report, nomination, appointment, or any other matter pending or proposed in the County Council, including the approval or veto of such. (8) "Lobbyist" means any individual, who for pay engages, or is engaged, in lobbying or lobbying activities in excess of five (5) hours in any month or spends more than seven hundred fifty dollars ($750) in any reporting period described in Section 3 -1.5 -5 except such persons as specifically excluded by Section 3 -1.5 -3 (e) from the application of this Article. A person who accepts membership dues or contributions made, or a fee or salary paid, with the understanding that the person accepting the same intends to devote a portion of the funds contributed or the time for which the salary is paid to lobbying activities shall be deemed to be "engaged" to conduct such activities. (9) The term "lobbying" or "lobbying activities" shall mean communicating, directly or through an agent, or soliciting others to communicate, with a County officer or employee for the purpose of attempting to influence any Legislative action or Administrative action. (10) "Person" means a corporation, individual, union, association, firm, sole proprietorship, partnership, committee, club, limited liability company or any other organization or a representative of a group of persons acting in concert. Sec. 44.3 Registration of lobbyists, requirements. (a) Every lobbyist shall file a registration form with the Board of Ethics within five (5) days of becoming a lobbyist. (b) The registration form shall require the lobbyist or appropriate officer of lobbyist if a corporation or appropriate manager or member if the lobbyist is a limited liability company, to provide and certify under oath as true and correct the following information: K p 2 4g7) (1) The name, mailing address, and business telephone number of the lobbyist. (2) The name and principal place of business of each person by whom the lobbyist is retained or employed or on whose behalf the lobbyist appears or works and a written authorization to act as a lobbyist from each person by whom the lobbyist is employed or with whom the lobbyist contracts. (3) The subject areas on which the lobbyist expects to lobby. (c) Prior to testifying before the County Council or administrative agency, a lobbyist shall disclose the person on whose behalf the lobbyist is appearing. (d) A lobbyist shall report any change in any of the information contained in the registration statement within ten (10) days after the change has occurred. (e) A lobbyist shall file a notice of termination within ten (10) days after the lobbyist ceases the activity which required the lobbyist's registration. The lobbyist and the employer of the lobbyist shall remain subject, however, to the requirements of Chapter 97 for the period during which the registration was effective. (0 This Article shall not apply to: (1) Any individual who represents oneself and not any other person before the County Council or administrative agency; provided that such individual must nonetheless file a statement of expenditures if the individual meets any of the provisions of Section 3- 1.5- 5(a)(2) -(3); (2) Any federal, state, or county official or employee acting in the official's or employee's official capacity; (3) Any newspaper or other regularly published periodical or radio or television station (including any individual who owns, publishes, or is employed by a newspaper or periodical or radio or television station) while publishing in the regular course of business news items, editorials, or other comments, or paid advertisements, which directly or indirectly urge the passage or defeat of legislative or administrative action; (4) Any attorney who. advises the attorney's clients on the construction or effect of proposed legislative or administrative action; provided that such attorney must nonetheless file a statement if the attorney meets the reporting statement 9 requirements set forth in Section 3- 1.5- 5(a)(2) or (3); and 3 p. p. B. (No . 2497) (5) Any person who possesses special skills and knowledge relevant to certain areas of legislation, whose skills and knowledge may be helpful to the County Council and executive branch of County government, and who makes an occasional appearance at the request of the County Council or an administrative ' agency, even though receiving reimbursement or other payment from the County Council or administrative agency for the appearance. Sec. 4 -5.4 Renewal of registration. Each registered lobbyist shall renew the lobbyist's registration biennially by filing a registration and authorization form with the Board of Ethics by January 31, 2013 and on every odd - numbered year's session thereafter. Sec. 4 -5.5 Contributions and expenditures; statement. (a) The following persons shall file a statement of expenditures with the Board of Ethics on July 31 and January 31 of each year: (1) Each lobbyist. (2) Each person who spends seven hundred fifty dollars ($750) or more of the person's or any other person's money in any six -month period for the purpose of attempting to influence legislative or administrative action or a ballot issue by communicating or urging others to communicate with public officials; provided that any amounts expended for travel costs, including incidental meals and lodging, shall not be included in the tallying of the seven hundred fifty dollars ($750). (3) Each person who employs or contracts for the services of one (1) or more lobbyists, whether independently or jointly with other persons. If the person is an industry, trade, or professional association, only the association is the employer of the Iobbyist, (b) The July 31 report shall cover the period from January 1 through the last day of June. The January 31 report shall cover the period from July 1 through December 31 of the previous year. (c) The statement shall contain the following information: (1) The name and address of each person with respect to whom expenditures for the purpose of lobbying in the total sum of twenty -five dollars ($25) or more per day was made by the person filing the statement during the statement period and the amount or value of such expenditure; (2) The name and address of each person with respect to whom expenditures for the purpose of lobbying in the aggregate of one hundred fifty dollars ($150) or more was made by the person filing the statement during the statement period and the amount or value of such expenditures; 4 P. D.B. (NO , 24R7) (3) The total sum or value of all expenditures for the purpose of lobbying made by the person filing the statement during the statement period in excess of seven hundred fifty dollars ($750) during the statement period; (4) The name and address of each person making contributions to the person filing the statement for the purpose of lobbying in the total sum of twenty -five dollars ($25) or more during the statement period and the amount or value of such contributions; and (5) The subject area of the legislative and administrative action which was supported or opposed by the person filing the statement during the statement period. (d) The receipt or expenditure of any money for the purpose of influencing the election or defeat of any candidate for an elective office or for the passage or defeat of any proposed measure at any special or general election is excluded from the reporting requirement of this section. Sec. 4 -5.6 Manner of filing; public records. All statements required by this Article to be filed with the Board of Ethics: (1) Shall be deemed properly filed when delivered or deposited in an established post office within the prescribed time, duly stamped, registered, or certified, and directed to the Board of Ethics; provided, however, in the event it is not received, a duplicate of the statement' shall be promptly filed upon notice by the Board of Ethics of its nonreceipt; and (2) Shall be preserved by the Office of Boards and Commissions for a period of four (4) years from the date of filing; and shall constitute part of the public records of the Office of Boards and Commissions. Sec. 4 -5.7 Restricted activities. No lobbyist shall accept or agree to accept any payment in any way contingent upon the defeat, enactment, or outcome of any proposed legislative or administrative action. Sec. 4-5.8 Administration. (a) The Board of Ethics shall administer and implement this Article, and shall have the following powers and duties: (1) Initiate, receive, and consider charges concerning alleged violations of this Article, and investigate or cause to be investigated on a confidential basis, the activities of any person to determine whether the person is in compliance with this Article; (2) Prescribe forms for the statements and reports required by Sections 3 -1.5 -4 and 3 -1.5 -5 and establish orderly procedures for implementing the requirements of those provisions; P, p.I3.(No. 2'IR7) (3) Render advisory opinions upon the request of any person subject to this Article. If no advisory opinion is rendered within forty -five (45) days after the request is filed with the Board of Ethics, it shall be deemed that an advisory opinion was rendered and that the facts and circumstances of that particular case do not constitute a violation of this Article. The opinion rendered or deemed rendered, until amended or revoked, shall be binding on the Board of Ethics in any subsequent charges concerning the person subject to this Article who sought the opinion and acted in reliance on it in good faith, unless material facts were omitted or misstated by the person in the request for an advisory opinion; (4) Issue subpoenas, administer oaths, and exercise those powers conferred upon the Board of Ethics by Section 20.05(E) of the Charter of the County of Kauai; (5) Adopt rules, not inconsistent with this Article, as in the judgment of the Board of Ethics seem appropriate for the carrying out of this Article and for the efficient administration of this Article, including every matter or thing required to be done or which may be done with the approval or consent or by order or under the direction or supervision of, or as prescribed by, the Board of Ethics. The rules, when adopted as provided in Chapter 91, HRS shall have the force and effect of law; and (6) Have jurisdiction for purposes of investigation and taking appropriate action on alleged violations of this Article in all proceedings commenced within three years of an alleged violation of this Article. A proceeding shall be deemed commenced by the filing of a charge with the Board of Ethics or by the signing of a charge by three or more members of the Board of Ethics. Nothing shall bar proceedings against a person who by fraud or other device prevents discovery of a violation of this Article; and (7) Report suspected violations of law to the appropriate law enforcement authorities. (b) Charges concerning the violation of this Article shall be in writing, signed by the person making the charge under oath, except that any charge initiated by the Board of Ethics shall be signed by three (3) or more members of the Board of Ethics. The Board of Ethics shall notify in writing every person against whom a charge is received and afford the person an opportunity to explain the conduct alleged to be in violation of the Article. The Board of Ethics may investigate such charges and render an informal advisory opinion to the alleged violator. The Board of Ethics shall investigate all charges on a confidential basis, having available all the powers herein provided, and proceedings at this stage shall not be public. If the informal advisory opinion indicates a probable violation, the person charged shall request a formal opinion or within a reasonable time comply with the informal advisory opinion. If the person charged fails to comply with such informal advisory opinion or if a majority of the members of the Board of Ethics determine that there is probable cause for belief that a violation of this Article might have occurred, a copy of the charge and a further statement of the alleged violation shall be personally served upon the alleged violator. Service shall be made by personal service upon the alleged violator wherever found or by registered or certified mail with request for a return receipt and marked deliver to addressee only. If after due 2 P. p. B. (Na. 2497) diligence service cannot be completed successfully in accordance with the above, service may be made by publication if so ordered by the circuit court of the circuit wherein the alleged violator last resided. The Board of Ethics shall submit to the circuit court for its consideration in issuing its order to allow service by publication an affidavit setting forth facts based upon the personal knowledge of the affiant concerning the methods, means, and attempts made to locate and effect service by personal service or by registered or certified mail in accordance with the above. Service by publication when ordered by the court shall be made by publication once a week for four (4) successive weeks of a notice in a newspaper of general circulation in the circuit of the alleged violator's last known state address. The alleged violator shall have twenty (20) days after service thereof to respond in writing to the charge and statement. (c) If after twenty (20) days following service of the charge and further statement of alleged violation in accordance with this section, a majority of the members of the Board of Ethics conclude that there is probable cause to believe that a violation of this Article has been committed, then the Board of Ethics shall set a time and place for a hearing, giving notice to the complainant and the alleged violator in the same manner as provided in subsection (b). Upon the Board of Ethics' issuance of a notice of hearing, the charge and further statement of alleged violation and the alleged violator's written response thereto shall become public record. The hearing shall be held within ninety (90) days of the Board of Ethics' issuance of a notice of hearing. If the hearing is not held within that ninety -day period, the charge and further statement of alleged violation shall be dismissed; provided that any delay that is at the request of, or caused by, the alleged violator shall not be counted against the ninety -day period. All parties shall have an opportunity to: (1) Be heard; (2) Subpoena witnesses and require the production of any books or papers relative to the proceedings; (3) Be represented by counsel; and (4) Have the right of cross - examination. All hearings shall be in accordance with. Chapter 91, HRS All witnesses shall testify under oath and the hearings shall be open to the public. The Board of Ethics shall not be bound by the strict rules of evidence but the Board of Ethics' findings shall be based on competent and substantial evidence. All testimony and other evidence taken at the hearing shall be recorded. Copies of transcripts of the record shall be available only to the complainant and the alleged violator at their own expense. All fees collected under this Article shall be deposited into the general fund. 7 ps D4 b 4 (N o . 2 491) (d) A decision of the Board of Ethics pertaining to the conduct of any person subject to this Article shall be in writing and signed by three or more of the members of the Board of Ethics. A decision of the Board of Ethics rendered after a hearing together with findings and the record of the proceeding shall be a public • record. (e) A person who files a frivolous charge with the Board of Ethics against any person covered by this Article shall be civilly liable to the person charged for all costs incurred in defending the charge, including but not limited to costs and attorneys' fees. In any case where the Board of Ethics does not issue a decision or final conclusion in which the Board of Ethics concludes that a person has violated this Article, the Board of Ethics shall, upon the written request of the person charged and after a contested case hearing, make a finding as to whether or not the charge was frivolous. The person charged may initiate an action in the circuit court for recovery of fees and costs incurred in Board of Ethics contested case proceedings within one (1) year after the Board of Ethics renders a decision that the charge was frivolous. The Board of Ethics' decision shall be binding upon the court for purposes of a finding pursuant to HRS Section 607 -14.5. Sec. 4-5.9 Penalties; administrative fines. (a) Any person who: (1) Willfully fails to file any statement or report required by this Article; (2) Willfully files a statement or report containing false information or material omission of any fact; (3) Engages in activities prohibited by Section 3- 1.5 -7; or (4) Fails to provide information required by Sections 3- 1.5 -3, 3 -1.5 -4 or 3- 1.5 -5; shall be subject to an administrative fine imposed by the Board of Ethics that shall not exceed five hundred dollars ($500) for each violation of this Article. All fines collected under this section shall be deposited into the general fund. The Board of Ethics may suspend or revoke the certificate of registration of a lobbyist who has been found to have violated any provision of this Article. The suspension or revocation shall not exceed two (2) years from the date of the sanctions imposition. (b) No fine, suspension or revocation shall be assessed unless: (1) The Board of Ethics. convenes a hearing in accordance with Section 3- 1.5 -8(c) and. Chapter 91, HRS; and (2) A decision has been rendered by the Board of Ethics." 0 P. D.B.(No• 2493) SECTION 3. Severability Clause. If any provision of this Article or the application thereof to any person or circumstance, is held invalid, the validity of the remainder of this Article and the application of such provisions to other persons or circumstances shall not be affected thereby. SECTION 4. New material is underscored. In printing this ordinance, the brackets, bracketed material, and underscoring need not be included. SECTION 5. This ordinance shall take effect upon its approval. Introduced by: JAY FURFARO DATE OF INTRODUCTION: Lzhu`e, Kauai, Hawaii V:\BILLS \2012 -2014 TERM \Lobbyist Registration PM_cy.doc 9 p.p.B 49 7)