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HomeMy WebLinkAbout2013_1025_AgendaPacketKathy Clark Chair Calvin Murashige Vice -Chair Warren Perry Secretary COUNTY OF KAUAI BOARD OF ETHICS NOTICE OF MEETING AND AGENDA Friday, October 25, 2013 1:00 p.m. or shortly thereafter Mo'ikeha Building, Liquor Conference Room 3 4444 Rice Street, Lihu'e, HI 96766 CALL TO ORDER Members: Kurt Akamine Mark Hubbard Brad Nagano Paul Weil APPROVAL OF MINUTES Regular Open Session Minutes of August 23, 2013 (Deferred on 9/20 due to a lack of a majority vote) Special Session Open Minutes of September 3, 2013 Regular Open Session Minutes of September 20, 2013 COMMUNICATION BOE 2013 42 Circular No 13 -18 from Department of Personnel Services regarding Outside Employment BUSINESS BOE 2013 -11 Discussion and possible recommendations regarding the County Council's proposed Bill No. 2497 amending the Kauai County Code as relates to the registration and regulation of lobbyists (On- going) a. County Codes regulating the registration of Lobbyists for Hawaii Island, Maui County and the City and County of Honolulu a. Michael Dahilig (Director of Planning) 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. An Equal Opportunity Employer ES -014: Regular Executive Session Minutes of August 23, 2013 (Deferred on 9/20 due lack of a majority vote) ES -015: Special Session Executive Minutes of September 3, 2013 ES -016: Regular Executive Session Minutes of September 20, 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. ES 402: 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) (Deferred to November 15, 2013 due to unavailability of Special Counsel) a. Resolution 2013 4, 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 RETURN TO OPEN SESSION Ratify Board of Ethics actions taken in Executive Session for items: ES -014, ES -015, and ES -016 ANNOUNCEMENTS Next Meeting: Friday, November 15, 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 §924 and shall be limited to those items described in HRS §92 -5(a), 2 1 P a g e Board of Ethics — October 25, 2013 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 Board of Ethics Attn: Barbara Davis Office of Boards & Commissions 4444 Rice Street, Suite 150 L-1hu`e, HI 96766 Email: bdavis@kauai.gov Fax: 241 -5127 Phone: 241 -4919 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. 31Page Board of Ethics — October 25, 2013 COUNTY OF KAUAI k �` a 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 9/20/13 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. ColLnV 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 Q 00 Vu ro W CjO RAO 13 -007 Letter dated August 12, 2013, from Wayne Katayama, Planning Commissioner, requesting an advisory opinion regarding whether he may accpt a request from the County Clerk (on behalf of Councilmember Gary Hooser) to appear before the County Council's Economic Development.(Sustainability /Agriculture/Food/Energy) & Intergovernmental Relations Committee regarding Bill No. 2491 to answer uestions related to the possible impact the Bill may have on Kauai Coffee 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 Kauai 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 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 Page 7 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. r 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 P See minutes of Reviewed and Approved by: meeting. Kathy Clark, Chair ij Minutes of Meeting OPEN SESSION Board/Committee: BOARD OF ETHICS Meeting Date September 3, 2013 Location Mo`ikeha Building, Liquor Conference Room 3 Start of Meeting: 5:00 p.m. End of Meeting: 5:51 p.m. Present Chair Kathy Clark; Vice -Chair Calvin Murashige; Secretary Warren Perry; Members: Kurt Akamine; Mark Hubbard; Brad Nagano; Paul Weil Also: Deputy County Attorney Nicholas Courson; Boards & Commissions Office Staff: Support Clerk Barbara Davis; Administrator Paula Morikami; Administrative Aide Teresa Tamura; Planning Commissioner Wayne Katayama Excused Absent SUBJECT DISCUSSION ACTION Call To Order Chair Clark called the meeting to order at 5:00 p.m. with 7 members present Request for Letter dated August 12, 2013, from Wayne Katayama, Planning Advisory Commissioner, requesting an advisory opinion regarding whether he may Opinion accept a request from the County Clerk (on behalf of Councilmember Gary Hooser) to appear before the County Council's Economic Development ( Sustainability /Agriculture/Food/Energy) & Intergovernmental Relations Committee regarding Bill No. 2491 to answer questions related to the possible impact the Bill may have on Kauai Coffee Company and for his input as stakeholder on the island (Moved to Special Meeting as the Board was unable to achieve a majority vote during its 8/23/13 meeting) Mr. Katayama stated he did submit a letter to the Board explaining his position on this matter. As a background, Mr. Katayama did seek an U3 opinion from the Boards and Commissions Office, and was told that any participation could not be done on behalf of Kaua'i County while sitting in In an active board or commission. That is the genesis for asking for this Board's opinion on this matter. As it stands now, the position of conflict as defined by this Board is so broadly written that it jeopardizes the ability for zs Board of Ethics Open Session September 3, 2013 Page 2 SUBJECT DISCUSSION ACTION the County and the community to receive the benefit of all its resources. Mr. Katayama noted his appreciation to the Board for calling a special meeting to consider his request since he has been asked to appear on September 9 at a committee meeting on this Bill. Mr. Perry commented that Mr. Katayama is familiar with Bill 2491 to which Mr. Katayama responded yes. But for Ricky Watanabe's letter of August 2, 2013 to Mr. Katayama requesting his presence before that committee on behalf of Committee Chair Hooser, would he have appeared on behalf of Kaua'i Coffee in front of the committee. Mr. Katayama said that is the reason for being at the Ethics meeting that afternoon. Under the current ruling he would resign his status as a member of the Planning Commission to appear. Mr. Perry thought Mr. Katayama was saying that if he did appear in front of the Committee Chair Gary Hooser, he would be thinking that he was acting on behalf of Kaua'i Coffee. Mr. Katayama responded that he would be acting on behalf of Kaua'i Coffee because the nature of Bill 2491 would put certain prohibitions on the way they currently do business, above and beyond either Federal or State statute. Therefore on the benefit for the community, we need to understand the criteria on which the County of Kaua'i will be empowering such limitations on commercial agriculture. Mr. Perry said the effects of the Bill are not this Board's concern. This Board's concern is whether his appearance before a County board, commission, council or whatever is on behalf of private interests and that question has been answered. Chair Clark asked for a motion to move into Executive Session to confer with the County Attorney. Mr. Nagano so moved. Mr. Akamine seconded the motion. Motion carried 7:0 Executive The Board moved into Executive Session at 5:06 Board of Ethics Open Session September 3, 2013 SUBJECT DISCUSSION ACTION Session p.m. at which time Attorney Courson read the appropriate H.R.S. statutes to take the Board into Executive Session. Return to Open Continuance of Request for Advisory Opinion RAO 13 -007 Session Mr. Hubbard moved that the Board find that Mr. Katayama may appear before the County Council as an individual and he may give his opinion but he cannot appear in behalf of Kaua'i Coffee and further he cannot answer any questions regarding the impact of this Bill on Kaua'i Coffee. Mr. Perry Mr. Hubbard said the Board was not telling Mr. Katayama that he cannot seconded the motion. appear, but it is their opinion that it would be a violation of that section of the Charter to appear on behalf of Kaua'i Coffee, Mr. Akamine asked Mr. Katayama if his appearance before the County Council would have an effect on Kauai Coffee's business. Mr. Katayama said his role as President and General Manager of Kaua'i Coffee is to address policy issues that affect the on -going operations of the business. It is within his scope and responsibility to address these kinds of concerns as they appear. In this case this Bill has been put forward, not at his behest but it does impact the company, and he has been called as a resource. To limit his participation as an individual would not provide the right information, and for him to delegate that responsibility to someone else in the organization would not be proper or fitting. Mr. Perry took note that Mr. Katayama was called as a resource to address the County Council's Committee, and from his perspective given his duties and responsibilities with Kaua'i Coffee, he is the person to provide the information that the Committee Chair is seeking. Mr. Katayama stated that was true. But for this calling by Committee Chair Hooser, Mr. Perry asked Board of Ethics Open Session September 3, 2013 SUBJECT DISCUSSION ACTION if Mr. Katayama would have taken it upon himself to interject himself in this legislative process. Mr. Katayama said the answer would be yes. Mr. Perry asked if he would do that in his role as President and General Manager of Kaua'i Coffee if he did interject himself in this process. Mr. Katayama said he would need to do that because that is the level of authority and responsibility that is bestowed in making these kinds of disclosures or commitments. Mr. Hubbard thanked Mr. Katayama for his service as a Planning Commissioner. Over the years, this issue has come up numerous times so the Charter Review Commission submitted a change to the public that would allow board and commission members to speak in behalf of; it was turned down by a large number of the voters. That is where this Board came up with the Interpretive Rules that define these various words in that section. Mr. Nagano pointed out that the letter sent to Mr. Katayama specifically asked him to be present at the meeting to answer questions related to the possible impact the Bill may have on Kaua'i Coffee and for his input as a stakeholder, President and General Manager. Mr. Nagano asked how the Board's motion would affect that letter. Chair Clark said Mr. Katayama had already addressed the fact that he could not speak to the Council outside of his role. Roll Call: Nay — Akamine; Aye - Hubbard; Nay - Murashige; Abstain - Nagano; Aye -Perry; Nay - Weil; Nay - Clark. Motion failed: 4 Nay/ 2 Ayes / 1 Abstain. Mr. Akamine moved that the Board does not prohibit Mr. Katayama from appearing before the Board of Ethics Open Session September 3, 2013 Page 5 SUBJECT DISCUSSION ACTION Committee of the County Council in the representative capacity of Kaua'i Coffee and/or as an individual. Mr. Perry seconded the motion. Mr. Murashige amended the motion to read as stated by Mr. Akamine with the insertion "as requested by the Council ". Mr. Akamine seconded the motion. Mr. Weil said they were thrown a fast ball and they were ducking it; he is not comfortable with any of the approaches that have been taken even though he is very sympathetic to Mr. Katayama's position. The cure is not in any opinion the Board may render under the current rules; the cure is in finding a way to amend those rules or enforcing it. He would go along with the suggestion that if the Board is going to duck they just duck and not render an opinion. Mr. Perry said the actual question would be is it a violation of the Code of Ethics. The Board is saying `he can appear as an individual on behalf of Kaua'i Coffee as requested by County Council' ,and that there is no violation of the Code. Mr. Akamine said he was willing to restate his motion or just put it as clarification and narrative as the Board moves forward. Motion on the amendment carried 7:0 Roll Call on the original motion as amended: Aye= Akamine; Nay - Hubbard; Aye- Murashige; Aye - Nagano; Aye -Perry; Aye -Weil; Aye -Clark Motion carries 6 Ayes: I Na Announcements Next Meeting: Friday, September 20, 2013 — 1:00 p.m. Adjournment Mr. Akamine moved to adjourn the meeting at Board of Ethics Open Session September 3, 2013 Page 6 SUBJECT DISCUSSION ACTION 5:51 p.m. Mr. Murashige seconded the motion. Motion carried 7:0 Submitted by: Barbara Davis, Staff Support Clerk Reviewed and Approved by: O Approved as is. () Approved with amendments. See minutes of meeting. Kathy Clark, Chair A A IA" Minutes of Meeting OPEN SESSION Board/Committee: I BOARD OF ETHICS Meeting Date I September 20, 2013 Location Mo`ikeha Building, Liquor Conference Room 3 Start of Meeting: 1:00 p.m. End of Meeting: 2:36 p.m. Present Chair Kathy Clark; Vice -Chair Calvin Murashige; Secretary Warren Perry; Members: Mark Hubbard; Brad Nagano; Paul Weil Staff: Deputy County Attorney Nicholas Courson; Boards & Commissions Office: Support Clerk Barbara Davis; Administrator Paula Morikami; Administrative Aide Teresa Tamura. Also: Deputy County Engineer Lyle Tabata; Council Chair Jay Furfaro; Director of Communications Beth Tokioka; Audience Member Rob Abrew Excused Member: Kurt Akamine Absent SUBJECT DISCUSSION ACTION Call To Order Chair Clark called the meeting to order at 1:00 p.m. with 6 members present. Approval of Regular Open Session Minutes of July 19, 2013 (Deferred 8/23/13 for lack Minutes of a majority vote) Mr. Perry moved to approve the minutes as circulated. Mr. Nagano seconded the motion. Motion carried 5:1 (abstain -Weil) Regular Open Session Minutes of August 23, 2013 Mr. Perry moved to approve the minutes of August 23rd. Mr. Nagano seconded the motion. Minutes deferred to 10/25/13 meeting due to 3 abstaining votes and lack of a majority vote. Request for RAO 13 -006 Request dated July 29, 2013, from Lyle Tabata, Deputy Advisory County Engineer for the Department of Public Works, as to whether there is Opinion 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) Chair Clark advised the Board she would recuse o Mr. Murashi a asked if RME stood for Responsible Managing Employee to from voting on this request. w a Board of Ethics Open Session September 20, 2013 J SUBJECT DISCUSSION ACTION which Mr. Tabata, replied yes. Asked if in that capacity he was an employee of the local general contracting firm to which Mr. Tabata said he will be, yes. Mr. Weil asked if the firm contracts with the County. Mr. Tabata. said they will not be contracting anything with the County if he is allowed to act as the RME. Chair Clark called for a motion in order for the Board to continue discussion. Mr. Hubbard moved that the Board of Ethics find no inherent conflict of interest in this situation. Motion failed for lack of a second. Mr. Murashige requested permission to raise a question to Counsel asking if there is any provision in the Charter prohibiting an employee from having another job. Attorney Courson said not that he is aware of as long as it does not touch on your County work and you are not performing that job during County hours. Mr. Perry moved that the Board find there is no conflict. Mr. Hubbard seconded the motion for discussion purposes. Mr. Perry thought they were dealing with two sections of the Ethics Code. The first is an officer or employee cannot use his official position to acquire special benefits, privileges or exemption for himself or others (Charter §22.02 E), and the reason why Mr. Hubbard made the motion as such that there is no inherent conflict. The second provision says any elected official, appointed officer, employee, or any member of a board or commission who possesses or acquires such interest as might reasonably tend to create a conflict (Charter §20.04 B), and in Mr. Tabata's role as a County officer or employee working for the Department of Public Works, someone could say it may reasonably tend to create a conflict, (...) in any matter pending before him shall make full disclosure of the conflict and shall not participate ... Board of Ethics Open Session September 20, 2013 Page 3 SUBJECT DISCUSSION ACTION in said matter. That is the reason, in and of its self, Mr. Tabata's dual positions do not create a conflict, but if he does something that gives special benefit to him or someone else or he is deciding on something that may reasonably tend to create a conflict then the Board of Ethics has problems. There is no information relative to Mr. Tabata using his official position to gain a special benefit nor is there information relative to a matter pending before him that he has not made full disclosure. That is why relative to this there is no conflict and the reason for this motion. Mr. Murashige asked the other Board members if it would be different if the person seeking the Advisory Opinion was an employee as opposed to a Department Head or Deputy Department Head. Mr. Hubbard said it makes him think twice because it is a Department Head, but he comes to the same conclusion. With an employee, inherently it would not be a conflict. Mr. Weil said any opinion in matters like this must include a reference to not only the fact that further activity might raise a conflict and might require disclosure, but that the opinion is specifically subject to those conditions. Mr. Nagano asked what the hours of employment would be at the General Contracting firm. Mr. Tabata said the hours would be outside of whatever he needs to do for the County, but if he would need to take time off during normal work hours it would be taken as vacation. Motion that the Board finds no conflict carried 5:1 abstain -Clark Mr. Perry moved to receive items RAO 13 -008 and RAO 13 -009. Mr. Murashige seconded the motion. Motion carried 6:0 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 Commurifty Foundation Board of Ethics Open Session September 20, 2013 WMA SUBJECT DISCUSSION ACTION "KNSCF ") Mr. Furfaro stated that he has been asked to participate in this Foundation and is concerned because this Foundation will be dealing with "gifted" items for the North Shore community, which might include expansion of the North Shore bike path; it might include improvements to playground facilities, ballparks; it might possibly contribute to activities in a leadership role in which he was already exempted from once due to the fact that he had a position on the County Council. This is a new Foundation and there might be a possibility that something comes before the County Council, especially in the way of gifts, and if it is simply recusing himself from voting on that items that is probably the best approach. If the Board has challenges with that he would like to hear directly from them. Mr. Hubbard moved that the Board find no inherent conflict of interest for Jay Furfaro to be on the Board of Directors of Kauai North Shore Community Foundation providing he recuses himself in the event of gifts or grants to or from the County Council. Mr. Perry seconded the Mr. Perry said they have nothing that shows any special benefit or working motion. on something in which there may be a conflict. Mr. Furfaro's statement that he would recuse himself, or using the language from the Charter, "not participate" in the matter; that is totally fine; disclosure and not participate. Mr. Furfaro stated that he has been very consistent in updating his disclosure within 30 days after accepting work as a consultant in the resort business or anything else. Motion that the Board finds no conflict carried 6:0 RAO 13 -009 Letter dated August 27, 2013, from Bernard Carvalho, Ma,, oquesting an advisory pinion on whether he can accept invitations to the mpny island events as a guest in his official cqpaciiy as Ma or Board of Ethics Open Session September 20, 2013 Page 5 SUBJECT DISCUSSION ACTION Mr. Hubbard moved that the Mayor may accept invitations to the many island events as a guest in his official capacity as Mayor without it being inherently a conflict of interest or a violation of the Code of Ethics. Mr. Nagano seconded the motion. Mr. Furfaro said it was more a matter of continuity and consistency on these disclosures. If someone receives a trip to the mainland, Mr. Furfaro said whether it is promoting Kaua'i as the County Chair or not, he would disclose it. It may not be a gift, but this is something that is worth having some continuity. When contributions are made or gifts are given, we who serve the public, have an option within 30 days to update our disclosure. Mr. Furfaro asked if the Board was waiving the need to do that disclosure. Chair Clark said no. There was a previous request in which the Board voted that the person did have a conflict, and so the Mayor wanted to double check that it is okay for him, in his role as the Mayor, to accept gifts in the form of being invited to attend functions as a guest. Mr. Furfaro said he has turned down invitations across the line in his twelve years on the Council. Mr. Furfaro asked if the Board was waiving for political candidates the simple disclosure of a gift. Chair Clark said the Board has not waived anything. Chair Furfaro asked if he received plane tickets, in his official capacity as a Councilmember, to Molokai for a canoe race would not he disclose that. Mr. Weil stated of course. Attorney Courson said he was not sure where it says gifts are required to be disclosed on the disclosure form. Board members agreed that it was not. Board of Ethics Open Session September 20, 2013 SUBJECT DISCUSSION ACTION The requirements of the Disclosure is a list of all real property within the County in which he or she has any right (...) Mr. Furfaro stated he has always listed gifts. Mr. Weil said the way to distinguish this is in the case of the Mayor, if he is attending a function to deliver a proclamation or otherwise pursuant to his duties as the Mayor, it is not a conflict. Accepting tickets to attend an event where he is just a guest in which he is being treated rather than paying his way, to the extent that it is not part of his duties as Mayor or part of Mr. Furfaro's duties as Council Chair, then it is receiving a gift. Mr. Hubbard said the use of the term "gift" and "disclosure" is inappropriate. You cannot accept any gift that is significant if it is reasonably construed that it might influence your actions as a Councilmember. That is what was ruled on before with a different County employee; it was a gift and he could not accept it. You don't have to disclose it; you just can't accept it. What the Board is talking about is an official action, and if the Mayor is being asked to do something it is not a gift so no disclosure. The Board is just clarifying this for the Mayor's Office who became concerned. The Mayor is the one who does most of the official activities and the Council Chair does some so the Board is saying that is okay for the performance of official duties. Chair Furfaro said he heard the Board clear and it should not matter how much one does; it should be consistent. Chair Clark said the roles are different. Chair Furfaro stated the roles are not different; we are all politicians and held to the highest- standards possible, and he gets no exception because he is the Mayor. Mr. Perry said there are two sections of the Code of Ethics the Board is dealing with. One is relative to an affirmative act on the part of the employee or official which says "use his or her official position"; use Board of Ethics Open Session September 20, 2013 Page 7 SUBJECT DISCUSSION ACTION (emphasis) it — something affirmative. The other is a passive sort of thing — because (emphasis) of your official position, you can't accept something. To influence where it could reasonably infer that the gift or benefit could influence you in the performance of your official duties or as a reward for what you have done. Mr. Furfaro said he wanted to make sure the Board understands they cannot make an exception for a Mayor and other politicians with this interpretation. Mr. Perry informed the Chair that he was not finished speaking and he was going to relate the two provisions the Board is stuck with applying relative to the Mayor's request. This is more or less in a passive role; people come to the Mayor and say they want or need him to participate. If it is a passive role, the only question is whether the acceptance of whatever gift is going to influence future work or to reward him for past actions taken. Mr. Perry said they all need that analysis in order to be consistent in the future. Relative to this specific request, the duties of the Mayor and representing the County of Kauai in these type of functions, Mr. Perry said he did not see a blanket thing that it is a reward for actions taken or to influence his performance in the future, and he would rule in favor of the motion that there is no conflict. Mr. Furfaro said he wished the Board good luck dealing with this because he did not think he got a clear definition of when you are objective and when you are subjective. Chair Clark suggested Mr. Furfaro look at the Board's record, and he would see they are very consistent in how these issues are addressed. Mr. Abrew said his first issue is the Administrative Code and how the County is set up; the Mayor is the top of the County but the Mayor answers to the electors with the electors at the very top. Numerous times in the last ten years the public has been asked about gift giving and disclosure; every time they have applied the strict Charter to those conditions. Our Charter Board of Ethics Open Session September 20, 2013 SUBJECT DISCUSSION ACTION has an area about gifts and disclosures; the Code has the same thing - all these documents specify anything of a value that can reasonably be inferred. In the Mayor's letter he asked if this is part of the scope of his duty; Mr. Abrew asked if anyone on the Board can point to where in the scope of the Mayor's duty it allows him to go to private interests and accept valuable gifts. If the Mayor asks to go to their fundraiser, be given free tickets to their fundraiser, and be a part of their table — this is a private interest; it is not a government function. The Mayor has a choice and it is only the Mayor's choice, but he can decline the invitation because there is a value and it could be seen as taking sides for a non -profit organization or a private enterprise or it could influence him in the future. If the Mayor accepts an invitation and someone files a complaint, then the Board can deal with it. The Board does not give the Mayor the wide opportunity to go to all the events of the island and have the "free get out of jail" card that this Advisory Opinion came to. This body is not the only body that functions as the keeper of disclosures; there are three entities in this County— it is this Board, it is the Council and it is the Mayor — they all oversee disclosures; not just this body. Mr. Murashige said the County Charter and the sections pertaining to Ethics were not written by this Board; the Board is authorized, empowered and responsible for enforcing it. If the Mayor and the Council sign a more stringent provision the Board will apply more stringent requirements. As it is written right now the Board sees whether or not the situation falls outside the provisions and acts accordingly. Mr. Perry told Mr. Abrew that he appreciated his comments but the way the Charter and the Code of Ordinance reads has nothing to do with value. You don't receive anything (emphasis) ( ... ) under circumstances where it can reasonably be inferred ... The Board has to look at the circumstances as Board of Ethics Open Session September 20, 2013 SUBJECT DISCUSSION ACTION to whether it was something to influence official action or reward for official action. Politicians do receive these types of requests, and it is their responsibility under threat that the Board will review it to see whether it could have been reasonably inferred that it was to influence official action or as a reward for official action. Mr. Abrew wanted to know if they have to disclose it on their official disclosure. Mr. Perry repeated again that the test is can it reasonably be inferred that it was to influence official action or as a reward for official action; the Board is not giving carte blanche to the Mayor or anyone to receive anything. Ms. Tokioka wanted to clarify what was being asked when the Mayor made his advisory request. When the Advisory Opinion for Mr. Trask came out the situation the Board ruled on is very similar to something the Mayor deals with every day, which is invitations he receives from community organizations primarily to attend their various functions. Many times it is a dinner and there is a charge associated with the dinner; he is invited to attend and sit with the host table or to give a proclamation or something along those lines. These are not things the Mayor is necessarily seeking out; they are invitations that come in to him. The Mayor feels very strongly because they are from the residents of the County of Kauai, and for the most part are non -profit organizations that do good things for the community. He wants to be there to show support, and if asked to give a proclamation he is happy to do so. Many times he does not stay for the dinner as he is off to the next event or two in the same evening. That is the concern as to how it would apply to him after seeing the Advisory Opinion. Mr. Hubbard said he sees a very distinct difference between the Board's previous ruling and the current motion on the table. The previous person was not acting in his official capacity; he was just invited to sit at the table. The Mayor very often gets invited in his official capacity, which is the big Board of Ethics Open Session September 20, 2013 Page 10 SUBJECT DISCUSSION ACTION difference. It is not a get out of jail free card, and it is not just because he is the Mayor; the Board has to think of the official capacity in addition to reasonably inferred. Mr. Weil asked Mr. Hubbard if he was saying official capacity means that he is there to perform an official duty such as presenting a proclamation or just there to have dinner. Mr. Perry asked if giving a proclamation isn't an official action performance to be taken. Motion that no conflict be found for the Mayor to accept invitations in his official capacity as Mayor carried 6:0 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 Mr. Hubbard questioned the reason this item was placed on the agenda. Staff advised the Board that this is on the County Council's agenda for a public hearing on September 25, and because it affects the Board of Ethics the Boards and Commissions Office felt they should at least be aware of it. Chair Clark said in some counties this duty resides with the Board of Ethics and in others it is with the County Clerk. Asked who the writer of this Bill is, Mr. Furfaro said he was the writer and it comes from a situation where people had been secured as lobbyists, but were not qualified for their registration as lobbyists. Chair Clark asked when he wrote this, how Mr. Furfaro envisioned that the Board would be able to police this. Mr. Furfaro said practicing some safety in the sense that the piece had been reviewed by the Board of Ethics before it went into dialogue on the floor in Committee. Staff explained to Mr. Furfaro that Mona Clark drafted a proposal just before she retired, but it got into Board of Ethics Open Session September 20, 2013 Page 11 SUBJECT DISCUSSION ACTION Council's hands before the Board saw the proposal. Mr. Furfaro said it just came out of Committee and goes to public hearing this week and then goes back to the full Council. This is an opportunity for the Board to provide feedback to the Council. Mr. Perry felt the Board needed more time to study the proposed Bill. Mr. Hubbard noted that the purpose of this Bill was so the Council decision makers and general public would have the right to know upon whose behalf an individual is presenting testimony, and he asked if that is a problem. Mr. Furfaro said it could be if they select someone only to find out they also represent someone like Sygenta in the current GMO issue. Mr. Hubbard asked if there are rules requiring lobbyists to register now. Mr. Furfaro said it is very clear there are rules for them to be registered as official lobbyists, and unfortunately there was an incident where a company was secured, not by the Council, to represent the County of Kaua'i and had some of their credentials expire on them. Mr. Hubbard said he started reading the proposed Bill, but did not know where the Board of Ethics fit in or why. Attorney Courson said there are rules on lobbyists' disclosure on the State level. The Hawai'i Constitution requires all political subdivisions to have rules on lobbyists in their Code of Ethics, and it appears Kauai does not have anything even though we are required to. The State Constitution does not say the Board of Ethics has to be responsible; it just says it needs to be in the Code of Ethics, and the Board of Ethics administers the Code of Ethics. _ Chair Clark said from her perspective it is the Staff who become the police for this, and asked how they would know who is a lobbyist. Mr. Furfaro Board of Ethics Open Session September 20, 2013 Page 12 SUBJECT DISCUSSION ACTION said this is an ahahana koko lele (shame on you) moment. These people were not exactly clear to the administration when they were secured as our lobbyists. The discussion we had with Mona before she left was that we wanted to tighten this up. Chair Furfaro then apologized to the Board that this did not come to them in its earlier draft after it got through the first reading with the Council. He noted this is the opportunity for the Board to comment before it goes through public hearing, and asked if there is something the Board would like to see. Mr. Furfaro said he thought the enforcement comes through the fact that obviously if the County Attorney's Office knows that Administration has secured a lobbyist that all their credentials are in order first of all, and that is where the responsibility starts. If something is done unethically and someone wants to file a complaint, it would be filed with the Board of Ethics. Chair Clark said she may have missed the point that this is only for County lobbyists and not every lobbyist who lives on Kauai. Mr. Weil said he sees the information gap is that the Board does not know who the registered lobbyists are, they have no means of checking on that, and somehow are to be made responsible for it. Mr. Furfaro said when we enter into an agreement or a contract with a lobbyist company that contract is reviewed by the County Attorney's Office. They will be the first point of checking for flaws, things that are expired. If someone brought a complaint and everything was in order then it would come to the Board; that is the intent. Mr. Murashige asked when the statute was first passed requiring the counties to have their own provision regarding lobbyists. Attorney Courson said it looked like it was added in 1978. Ms. Morikami told the Board that when she was a lobbyist in the late 1980's and early 1990's she was required to file a lobbyist form with the County Board of Ethics Open Session September 20, 2013 Page 13 SUBJECT DISCUSSION ACTION Clerk's Office who provided the form. She stated she is unaware what has happened from that point on. There was an article in Civil Beat saying that Kauai County is the only county in the State that is not abiding by the Hawaii State Constitution and that lobbyists do not have to register in the County. We are trying to correct the problem, which is why there is this draft Bill. Mr. Murashige said he would feel more comfortable reviewing the provisions in the other counties' charters and how they address it. He did not know if this copied what others have done or if it is different, but it would help to have something to compare. Mr. Furfaro said when this Bill goes to public hearing the Council does not interact, they just take testimony. If the Board would like the Council to defer the Bill they should send a letter to Mr. Furfaro asking for a deferral until the Board has an opportunity to review it. Ms. Morikami said in reference to Mr. Murashige's question, she did check with the other three counties. The City and County of Honolulu and Maui County, their Ethics Board or Commission handles the applications, the filings and any violations; for Hawaii County it is the County Clerk's Office. This information will be included in the next Board packet. Mr. Murashige moved to send a letter to the Council Chair asking them to defer action on this Bill. Mr. Nagano seconded the motion. Mr. Furfaro said it is the Council's hope that between the County Attorney's Office and the Ethics Commission you will accept that responsibility. Mr. Hubbard said he saw no reason to defer. A violation will come to the Board of Ethics with or without this law and it needs to be deliberated by Board of Ethics Open Session September 20, 2013 SUBJECT DISCUSSION ACTION the County Council. Motion carried 5:1 (nay= Hubbard) Mr. Weil said he could not find a cross reference in this Bill to compliance with the State Law. Mr. Furfaro said he heard the query and would send the question to the County Attorney and hopefully he will get it to the Board by the October 18th meeting. Mr. Furfaro said he could on his own defer Council action for four weeks and not take any action until after October 26. Disclosures 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 (DMutyCo m Attorneys Mr. Perry moved to receive Disclosures a. through f. and deem them complete. Mr. Nagano seconded the motion. Motion carried 6:0 Executive Mr. Perry asked Attorney Courson how specific the Board has to be on Session identifying why they are going into Executive Session. Attorney Courson said the Board should be as specific as they can be without giving anything away that defeats the lawful purpose of going into Executive Session. The public can make a UIPA (Uniform Information Practices Act) request, which would be analyzed by the assigned attorney to determine if the lawful purpose for confidentiality still remains. In many cases the minutes may never be releasable such as when consulting with your attorney about your liabilities or when there is an ethics complaint against a person unless that person chooses to have an open hearing. The two main reasons this Board goes into Executive session is for personnel issues /complaints and to confer with the attorney. Mr. Pent' moved to go into Executive Session at 2:19 p.m. and to invite staff and guests as required into the meeting. Mr. Murashi e Board of Ethics Open Session September 20, 2013 Page 15 SUBJECT DISCUSSION ACTION seconded the motion. Motion carried 6:0 Attorney Courson read the purpose for the Board to go into Executive Session for items ES -012, ES -013, ES -014, ES-002, and ES -011 as fully described in the posted agenda. Return to Open Ratify Board of Ethics actions taken in Executive Session for items: The meeting resumed in Open Session at 2:33 Session ES -012, ES -013, ES -014, ES -002, and ES -011 p.m. Mr. Weil moved to ratify actions taken in Executive Session. Mr. Murashige seconded the motion. ES -012 — Approved as circulated ES -013 — Approved as circulated ES -014 — Deferred to October ES -002 — On -going ES -011 — Board to refer findings to appropriate agency Announcements Next Meeting: Friday, October 18, 2013 Chair Clark stated she would not be available to attend the meeting on the 18th. Mr. Murashige noted he would not be returning to Kauai until 12:00 p.m. on the 18th. Staff to check date and room availability to reschedule October meeting Adjournment Chair Clark adjourned the meeting at 2:36 p.m. Board of Ethics Open Session September 20, 2013 Page 16 Submitted by: S. Reviewed and Approved by: Barbara Davis, Staff Support Clerk Kathy Clark, Chair ( ) Approved as is. ( ) Approved with amendments. See minutes of meeting. Bernard P. Carvalho, Jr. Mayor • TO: FROM: SUBJECT: DEPARTMENT OF PERSONNEL SERVICES County of Kauai, State of Hawaii 4444 Rice Street, Suite 140, Llhu`e, Hawaii 96766 TEL (808) 2414956 FAX (808) 241 -6593 September 20, 2013 ALL DEPARTMENTS /AGENCIES THOMAS T. TAKATSUKI, ACTING DIRECTOR OF PERSONNEL SERVICES OUTSIDE EMPLOYMENT Thomas T. Takatsuki Acting Director r J� SEP 2 0 2013 CIRCULAR NO 13 -18 This is a reminder that the County allows employees to engage in outside employment after worldng hours, provided that the outside employment does not cause the employees to violate the ethical standards or creates a conflict of interest. These standards and conflict prohibitions are necessary to make certain that all employees properly discharge their duties to the County. The Administrative Directive from the Mayor dated August 7, 2009 regarding Outside Employment is posted on the County's SharePoint portal (Personnel, Policies). Employees who feel that their outside employment may be inconsistent or incompatible with or interferes with the proper discharge of their duties should complete an OUTSIDE EMPLOYMENT REQUEST, also available on the County's SharePoint portal (Personnel, Policies). Upon receipt of an OUTSIDE EMPLOYMENT REQUEST, the Department/Agency Head can either approve the request or submit the request to the Board of Ethics for their review and determination as to whether a conflict exists. If you have any questions, please contact our office at 2414956. AN EQUAL OPPORTUATTY EMPLOYER t3 0 %3 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 -31 (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. 1 P, D B*(No*24q7) so d013 -11 (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: 2 RHO(Nos 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. (f) 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 requirements set forth in Section 3- 1.5- 5(a)(2) or (3); and C p, p. B. (No , 2491 (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. 44.4 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. 44.5 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 lobbyist. (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; n P.D.& (Nos 2497) (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. 44.6 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. 44.8 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; 5 p (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 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 r4 P, D. E. (No. 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 p (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. 44.9 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." 91 PO D*Bs(Nas Z413) 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: Lihu`e, Kauai, Hawaii V:\BILLS \2012 -2014 TERM \Lobbyist Registration PM_cy.doc M p. DIBU(Na 2u97) § 2 -91.2 HAWAII COUNTY CODE (e) In addition to any other penalty provided by law, whenever any former officer or employee has obtained, or assisted any other person to obtain, favorable County action and the former officer or employee violated (a) or (b) above in the course of the obtaining of such action, the County may void such action, provided that the County shall act to void the action within sixty days of its discovery of the violation and shall, insofar as possible, avoid damaging the interests of innocent third parties. (f) The board of ethics is hereby empowered to receive petitions from, and render informal and formal advisory opinions to: (1) Former officers or employees who request advisory opinions regarding their own conduct in relation to this section. A former officer or employee whose employment may violate the provisions of this section shall request an informal advisory opinion from the board prior to accepting or engaging in such employment; or (2) Any member of the public concerning the conduct of a former officer or employee. The board may initiate an investigation to determine whether the conduct of a former officer or employee is in violation of this section. (g) A former officer or employee shall not be deemed in violation of this section with respect to conduct which conforms to an advisory opinion of the board, and none of the sanctions of this section may be applied to such conduct. (1984, Ord. No. 84 -55, sec. 1; Am. 1996, Ord. No. 96 -69, sec. 1.) Section 2-91.3. Lobbyist registration. (a) Definitions. When used in this section: (1) "Administrative action" means the proposal, drafting, consideration, amendment, enactment, or defeat by any administrative agency of any matter pending or proposed before the administrative agency, except ministerial matters. (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) "Contribution" means 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. (4) "Expenditure" means 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. It does not include the expenses of preparing written testimony and exhibits for a hearing before the council or an administrative agency. (5) "Legislative action" means the sponsorship, drafting, introduction, consideration, modification, enactment, or defeat of any bill, resolution, amendment, report, nomination, appointment, or any other matter pending or proposed in the council. (6) "Lobbyist" means any individual engaged for pay or other consideration who spends more than five hours in any month or $275 in any six -month period for the purpose of attempting to influence legislative or administrative action by communicating or urging others to communicate with public officials. (7) "Lobbying" means communicating directly or through an agent, or soliciting others to communicate, with any official in the legislative or executive branch, for the purpose of influencing any legislative or administrative action. (8) "Person' means a corporation, individual, union, association, firm, sole proprietorship, partnership, committee, club, or any other organization, or a representative of a group of persons acting in concert. 2 -28 86C A013-11 �t., #"aLl / &&"j ADMINISTRATION § 2 -91.3 (b) Registration of Lobbyists, Requirements. (1) Every lobbyist shall file a registration form with the County clerk within five days of becoming a lobbyist. (2) Each lobbyist shall provide and certify the following information: (A) The name, mailing address, and business telephone number of the lobbyist. (B) 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. (C) The subject areas on which the lobbyist expects to lobby. (3) A lobbyist shall report any change in any of the information contained in the registration statement within ten days after the change has occurred. (4) A lobbyist shall file a notice of termination within ten 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 this article for the period during which the registration was effective. (5) This section shall not apply to: (A) Any individual who represents him or herself and not any other person before the council or administrative agency; (B) Any Federal, State, or County official or employee acting in the official or employee's official capacity; (C) Any elected public official acting in the official or employee's official capacity; (D) 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; and (E) Any person who possesses special skills and knowledge relevant to certain areas of legislation, whose skills and knowledge may be helpful to the legislative and executive branches of County government, and who is appearing at the request of the council or an administrative agency, even though receiving reimbursement for the appearance. . (c) Each lobbyist shall file a statement of expenditures with the County clerk on July 31 and January 31 of each year. (d) The July 31 report shall cover the period from January I through June 30 of the year of the report; and the January 31 report shall cover the period from July 1 through December 31 of the calendar year preceding the January 31 report. (1) The statement shall contain the following information: (A) The name and address of each person with respect to whom expenditures for the purpose of lobbying in the total sum of $25 or more per day were made by the person filing the statement during the statement period and the amount or value of such expenditure; (B) The name and address of each person with respect to whom expenditures for the purpose of lobbying in the aggregate of $150 or more were made by the person filing the statement during the statement period and the amount or value of such expenditures; 2_29 SUPP.2 (7 -2006) § 2 -913 HAWAII COUNTY CODE (C) 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 $275 during the statement period; (D) 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 $25 or more during the statement period and the amount or value of such contributions; and (E) -The subject area of the legislative and administrative action which was supported or opposed by the person filing the statement during the statement period. (2) 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. (e) All statements and forms required by this section to be filed with the County clerk: (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 County clerk; provided, however, in the event it is not received, a duplicate of the statement shall be promptly filed upon notice by the County clerk of its nonreceipt; and (2) Shall be preserved by the County clerk and shall constitute part of the public records of the County clerk, and shall be open to public inspection pursuant to section 92 -51,* Hawaii Revised Statutes. (f) No lobbyist shall accept or agree to accept compensation in any way contingent on the enactment, defeat, or outcome of any proposed legislative or administrative action. (g) The board of ethics is empowered to render advisory opinions with respect to the application of this section to any person. No person who conforms their conduct to an advisory opinion of the board regarding this section shall be subject to the penalties provided herein. (h) Any person who wilfully fails to file any statement or report required by this section or who wilfully files a statement or report containing false information or material omission of any fact, who engages in activities prohibited by this section, or who fails to provide any information required by this section shall be guilty of a petty misdemeanor. (1984, Ord. No. 84 -77, sec. 1; Am. 1986, Ord. No. 86 -44, sec. 1, Am. 2006, Ord. No. 06 -71, sec. 1.) * Editor's Note: Sections 92 -50 to 92 -52, Hawaii Revised Statutes, have been repealed and replaced with chapter 92F. Section 2 41.4. Gifts. No officer or employee shall 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 the officer or employee in the performance of the officer's or employee's official duties or is intended as a reward for any official action on the officer's or employee's part. (1995, Ord. No. 95 -21, sec. 2; Am. 2002, Ord. No. 02 -109, secs. 6 and 7.) Section 2 -91.5. Reporting of gifts. (a) Every officer and employee shall file a gifts disclosure statement with the County board of ethics on June 30 of each year if all the following conditions are met: (1) The officer or employee, or spouse or dependent child of an officer or employee, received directly or indirectly from one source any gift or gifts valued singly or in the aggregate in excess of $100, whether the gift is in the form of money, service, goods, or in any other form; (2) The source of the gift or gifts have interests that may be affected by official action or lack of action by the officer or employee; and SUPP.2 (7 -2006) 2 -30 SUBCHAPTER 9 LOBBYIST REGISTRATION §04- 101 -90 Registration. Before appearing before any executive or legislative body, a lobbyist shall file a certified statement with the board setting forth: (a) The name, mailing address, and business telephone number of the lobbyist; (b) A description of the subject matter of the lobbying, and (c) The name and principal place of business of each person or organization represented by the lobbyist, and a written authorization to act as a lobbyist from each person by whom the lobbyist is employed or with whom the lobbyist contracts. The certified statement shall be in a form or forms prescribed or otherwise adopted by the board." [Eff 4/29/13, ren §04- 101 -80 and comp 4/29/131 (Ruth: Charter §13 -2.15; MCC §2.56.040) (Imp: MCC §2.56.040) §04- 101 -91 Review by the board. The board shall review all lobbyist registration statements for completeness. The statements shall be available for public inspection. The board shall make available a list of registered lobbyists, the names of persons and organizations represented, and any other pertinent information. [Eff 4/29/13, ren §04- 101 -81, and comp 4/29/131 (Auth: Charter §13 -2.15; MCC §2.56.040) (Imp: MCC §2.56.040) §04- 101 -92 Amendments. A lobbyist shall report any change in lobbyist registration information within ten days of such change. [Eff 4/29/13, ren §04- 101 -82 and comp 4/29/131 (Auth: MCC §2.56.050) (Imp: MCC §2.56.040) §04- 101 -93 Notice of termination. A lobbyist shall file with the board a notice of termination within ten days of ceasing activity as a lobbyist." [Eff 4/29/13, ren §04- 101 -831 (Auth: MCC §2.569040) (Imp: MCC §2.56.040) S ACLBRICAL \ROLSB \Board of 8thioe.2013.etd.apd 101 -50 Maur 0,6atup LOBBYIST REGISTRATION LOBBYIST NAME: Last First M.I. ADDRESS: State Zip Code TELEPHONE NO.: ORGANIZATION/PERSON LOBBYING FOR: DESCRIPTION OF SUBJECT MATTER UPON WHICH YOU EXPECT TO LOBBY: CERTIFICATION OF LOBBYIST I hereby certify that the information furnished above is, to the best of my knowledge, correciand complete. Signature Date This one -page Lobbyist Registration, dated , was subscribed and sworn to before me this day of , 20 in the Circuit of the State of Hawaii by (SEAL) Notary Public, State of Hawaii Printed Name: My commission expires: AUTHORIZATION TO LOBBY I, , certify that the above -named person is authorized to engage in lobbying activities on behalf of Signature: Address: Title: Telephone No.: S:\ CIERICALUCEU\BOEU.obb*t\Ubbyist Registration fo m.wpd 0. MAUI COUNTY BOARD OF ETHICS c/o Department of the Corporation Counsel 200 South High Street Wailuku, Maui, Hawaii 96793 Phone: 270 -7740 Facsimile: 270 -7152 FINANCIAL DISCLOSURE STATEMENT Name: Daytime Telephone Number: Mailing Address: This is a: ❑ First-time filing (check one) ❑ Annual update ❑ Interim new information update 1 am a: ❑ Candidate for public office (check one) Name of public office: Date of filing of nomination papers: O Elected or appointed official of the County of Maui Position titre: Date of election or appointment: 70 Board or Commission member Name of Board/Commission. Date of appointment (month /year): ITEM I— ANNUAL INCOME (Include retirement income) OCCUPATION (For Previous Calendar Year) EMPLOYER AND BUSINESS ADDRESS ANNUAL COMPENSATION* (see letter code below) Yourself: Spouse: Dependent Children: ❑ Additional sheet attached ❑ None *For dollar amount value, please use appropriate letter code as follows: (A) Less than $1,000 (D) $25,000 to $49,999 (G) $200,000 to $499,999 (B) $1,000 to $9,999 (E) $50,000 to $99,999 (H) $500,000 to $999,999 (C) $10,000 to $24,999 (F) $100,000 to $199,999 (1) $1,000,000 or more 4i ITEM 2 -OTHER EARNINGS, INCOME, OR COMPENSATION IN ANY FORM SOURCE ANNUAL AMOUNT OR RANGE* gee letter code below CONSIDERATION PERFORMED OR GIVEN FOR COMPENSATION DISCLOSED IN THIS ITEM (if any) ❑ Additional sheet attached ❑ None ❑ Additional sheet attached ❑ None ITEM 3 -EACH OWNERSHIP OR BENEFICIAL INTEREST HELD IN ANY COMPANY CARRYING ON BUSINESS IN THE STATE (Including publicly traded companies in which you own stock) NAME, LOCATION & NATURE OF BUSINESS PERCENT OWNERSHIP & VALUE OF YOUR INVESTMENT* see letter code below ADDRESS OF PROPERTY ❑ Additional sheet attached ❑ None ITEM 4- IDENTIFY EACH CREDITOR INTEREST CURRENTLY HELD BY YOU IN AN INSOLVENT BUSINESS NAME, LOCATION OF INSOLVENT BUSINESS AMOUNT OWED* (see letter code below) ADDRESS OF PROPERTY ❑ Additional sheet attached ❑ None ITEM S -YOUR PERSONAL RESIDENCE MORTGAGE HOLDER PRESENT AMOUNT OWED* see letter code below ADDRESS OF PROPERTY ❑ 'Additional sheet attached ❑ None *For dollar amount value, please use appropriate letter code as follows: (A) Less than $1,000 (D) $25,000 to $49,999 (G) $200,000 to $499,999 (B) $1,000 to $9,999 (E) $50,000 to $99,999 (H) $500,000 to $999,999 (C) $10,000 to $24,999 (F) $100,000 to $199,999 (1) $1,000,000 or more ITEM 6- OTHER DEBT (List all creditors and current debt owed: Include mortgages, car and other loans, and credit cards — list only W balance exceeds $10,000 at any time over the last 12 months) NAME OF CREDITORS PRESENT AMOUNT OWED* (see letter code below) OWNERSHIP OF PERCENT ❑ Additional sheet attached ❑ None ITEM 7- REAL PROPERTY INTERESTS OF ANY KIND IN MAUI COUNTY, EXCLUDING PERSONAL RESIDENCE (if owned by business entity, hui, or partnerships, indicate name of entity and general partner) STREET ADDRESS (IF NONE, OWNERSHIP OF PERCENT VALUE OF YOUR PROVIDE TAX MAP KEY NO.) PROPERTY OWNERSHIP INTEREST* (HOW IS TITLE HELD) or TAX ASSESSMENT see letter code below ❑ Additional sheet attached ❑ None ITEM 8- OFFICER, DIRECTOR, OR TRUSTEE POSITIONS (including companies and non - profits) NAME AND LOCATION OF ORGANIZATION/BUSINESS TYPE OF POSITION HELD NATURE OF ORGANIZATION /BUSINESS ❑ Additional sheet attached ❑ None *For dollar amount value, please use appropriate letter code as follows: (A) Less than $1,000 (D) $25,000 to $49,999 (G) $200,000 to (B) $1,000 to $9,999 (E) $50,000 to $99,999 (H) $500,000 to (C) $10,000 to $24,999 (F) $100,000 to $199,999 (1) $1,000,000 $499,999 $999,999 or more ITEM 9- PERSONS, FIRMS OR ORGANIZATIONS YOU HAVE REPRESENTED BEFORE COUNTY AGENCIES IN THE LAST YEAR NAME OF PERSON, FIRM OR ORGANIZATION NAME OF COUNTY AGENCY NATURE OF MATTER DESCRIPTION DATE VALUE OF ❑ Additional sheet attached ❑ None ITEM 10— GIFTS: List gifts received from a single source with aggregate value of $50 or more within the last year Preceding the filing of this form (see instructions) WHO RECEIVED GIFT NATURE OF SOURCE, DESCRIPTION DATE VALUE OF (you, spouse, dependent child) AND SOURCE'S OF GIFT RECEIVED GIFT BUSINESS ACTIVITY, (best estimate IF ANY: of value) ❑ Additional sheet attached ❑ None REMARKS: (Additional information or disclosures) CERTIFICATION: I hereby certify under penalty of perjury that the above is a true, correct, and complete statement. SIGNATURE OF PERSON FILING DISCLOSURE PRINT NAME DATE *For dollar amount value, please use appropriate letter code as follows: (A) Less than $1,000 (D) $25,000 to $49,999 (G) $200,000 to $499,999 (B) $1,000 to $9,999 (E) $50,000 to $99,999 (H) $500,000 to $999,999 (C) $10,000 to $24,999 (F) $100,000 to $199,999 (1) $1,000,000 or more Article 13. Registration of Lobbyists SeCt10AS4 343.1 Declaration of intent. 343.2 Definitions. 343.3 Registration and reporting. 3 43.4 Registration and report forms to conform to law and truth. 343.5 Certification of registration. 343.6 Prohibition. 343.7 Additional duties of the ethics commission. 343.$ Penalties. 343.9 Severability. Sec. 3 43.1 Declaration of intent. The council 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 individual .members of the council, to committees of the council, and to officers of the executive branch their opinions on pending legislation and rules involved in the city's policy making process. However, the preservation and maintenance of the integrity of the policy making process require the identification in certain instances of persons and groups who engage in efforts to persuade members of the city council or officers of the executive branch to take specific action. It is the purpose of this article to require registration of lobbyists in order to make available to the council, the executive branch, and the public information relating to the activities of such persons and groups. (Added by Ord. 05 -033) Sec. 343.2 Definitions. As used in this article, unless the context requires otherwise: "Agency" means any "agency" as defined in Section 13 -101 of the Revised Charter. "Contribution" means a gift, subscription, loan, advance or deposit of money or anything of value and includes a contract, promise or agreement, whether or not legally enforceable, to make a contribution. "Lobbying" means certain activities of a person who is included in the definition of a "lobbyist" as defined in this section and not specifically excluded under Section 3- 133(e). "Lobbying" shall be deemed to include the representation, by any person, whether or not compensated, of an association, corporation or organization that accepts membership dues or contributions with the understanding that a portion of the funds so received will be used to influence the policy making process of the City and County of Honolulu. ".Lobbyist" means any person who engages oneself for pay or other consideration for the purpose of influencing, directly or indirectly, and whether by such person or through any agent or employee or other person in any manner whatsoever, the policy making process of the City and County of Honolulu. 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 have "engaged oneself' to conduct such activities. "Officer or employee of the City and County of Honolulu" means any "officer" or "employee" as defined in Section 13 -101 of the Revised Charter. "Person" means an individual, partnership, committee, association, corporation, and any other organization or group of individuals. "The policy making process" means any action taken by an officer or employee of the City and County of Honolulu with respect to any bill, resolution or other measure in the city council, or with respect to any rule, regulation, standard, rate or other regulatory enactment of any city agency. (Added by Ord. 05 -033) Sec. 343.3 Registration and reporting. (a) Each lobbyist shall, not later than five days after engaging himself or herself to conduct lobbying activities or receiving contributions, membership dues or a fee or salary as set forth in Section 3 -13.2, file a registration form with the ethics commission. (b) Such registration form shall be developed by the ethics commission and shall include the registrant's full name and address; place of business; the full name and complete address of each person, whether or not an employee, who will lobby on behalf of the registrant; the full name of each person by whom the registrant is retained or employed or on whose behalf the registrant lobbies; duration of such person's employment; and a description of the matters on which the registrant expects to lobby. If the registrant lobbies or purports to lobby on behalf of members, such registration form shall include a statement of the number of members, and a full and complete description of the methods by which the members develop and make decisions about positions on policy. In addition thereto, each registration form shall be accompanied by a written authorization from each person (as defined in Section 3 -13.2) by whom the registrant is employed or authorized to lobby. In a situation where the "person" is other than a natural person, i..e., a corporation, association, partnership or any organization consisting of groups of individuals, written authorization shall be executed by the president or an officer delegated such power by the president or the organization's board of directors. (c) Each lobbyist shall file with the ethics commission an annual report concerning the lobbyist's activities during the preceding calendar year ending December 31" by January 10th of each year, or, if the aforesaid date falls on a Saturday, Sunday or holiday, the next business day, as long as such lobbyist continues to engage in the activity described in Section 3 -13.2. The annual report form shall be developed by the ethics commission and shall include, in addition to an up-to -date statement of the information required to be supplied in the registration form, such information for the preceding calendar year concerning (1) contributions, membership fees and other receipts relating to lobbying activities of the .lobbyist, (2) amounts expended for lobbying by the lobbyist, and (3) each decision of the policy making process the reporting lobbyist sought to influence, as the ethics commission deems necessary to effectuate the purposes of this article. (d) Each lobbyist shall file a supplementary registration form with the ethics commission no later than 10 days after any change in the information supplied in the lobbyist's last registration form under subsection (b). Such supplementary registration form shall include a complete description of the information that has changed. (e) The registration and reporting requirements set forth herein shall not apply to: (1) Any person who merely appears at a public hearing before the council, its committees or city agencies to express such person's opinion on pending legislation and/or rules and regulations involved in the city's policy making process; (2) Any federal, state or county official or employee acting in such person's official capacity; (3) Any elected public official acting in such person's official capacity; (4) Any newspaper or other regularly published periodical, radio or television station (including any individual who owns, publishes or is employed by a newspaper or periodical or radio or television station) which in the ordinary course of business publishes news items, editorials or other comments, or paid advertisements, which directly or indirectly urge the taking of legislative or executive action, if the newspaper, periodical, radio or television station or individual engages in no further or. other activities in connection with influencing decisions in the policy making process of the City and County of Honolulu; (5) Any person representing a bona fide church solely for the purpose ofprotecting the public right to practice the doctrines of the church; (6) Any unpaid volunteer representing a nonprofit organization, association or corporation; provided, that the organization, association or corporation: (A) Is registered in accordance with the provisions of this section, and (B) Files a written authorization with the ethics commission specifically designating such person to represent it; and such persons may engage in the activities described in this subsection without being holders of a certificate of registration. (Added by Ord. 05 -033) Sec. 343.4 Registration and report forms to conform to law and truth. Each registration and report form required to be filed under this article shall conform to law and truth and shall be signed and certified under oath as true and correct by the registrant, or, if the registrant is a person other than an individual, by an appropriate officer of such registrant. (Added by Ord. 05 -033) Sec. 343.5 Certificate of registration. (a) Within 10 working days after receipt of a registration form completed as provided in Section 3433(b) and certified under oath as true and correct as provided in Section 3 -13.4, the ethics commission shall either issue a certificate of registration to the registrant or notify the registrant that the form lacks relevant information or is improperly filled out, and no certificate of registration will be issued unless the omission is rectified or the form properly filled out (b) Within 10 working days after receipt of the annual report form prescribed by Section 3433(c), the ethics commission shall renew the registrant's certificate of registration or shall, upon notice to the registrant, suspend the certificate until such time as the registrant's annual report form has been brought into compliance with the requirements of this article. (c) The initial certificate and any renewed certificate shall remain in force until 10 working days following the next succeeding annual reporting date as set forth in Section 3433(c), except that a certificate may be suspended or revoked as set forth in subsections (d) and (e). (d) If, either prior or subsequent to the issuance or renewal of a certificate of registration, the ethics commission obtains information leading it to believe that the registration or report form under consideration or on which issuance or renewal of a certificate has been based contains a material misstatement of fact, the ethics commission, after notice and a hearing, may suspend or revoke, for a period of up to one year following hearing on the misstatement, any effective certificate and may decline to issue or renew a certificate for a period of up to one year following the hearing. In exercising its discretion with respect to suspending or revoking or declining to issue or renew certificates of registration, the ethics commission shall grant a hearing to the aggrieved registrant at which it shall consider the nature of the material misstatement of fact, whether it was made intentionally or inadvertently, and any other circumstances surrounding the making of the material misstatement of fact. (e) In the event that, subsequent to filing of the registration form and issuance of the certificate, the ethics commission obtains information leading it to believe that a change in the information set forth in the registration form occurred and was not reflected in a supplementary registration form filed as required by Section 343.3(d), the ethics commission may; upon notice to the registrant, suspend the certificate of registration until a supplementary report containing the appropriate information is on file. (Added by Ord. 05 -033) Sec. 343.6 Prohibition. No person who is not the holder of a current certificate of registration issued by the ethics commission under this article shall engage in lobbying activities. (Added by Ord. 05 -033) Sec. 343.7 Additional duties of the ethics commission. In addition to other duties prescribed by law, it shall be the duty of the ethics commission: (a) To prescribe registration and report forms required to be filed under this article, and to furnish and make available such forms to city agencies affected by, and persons required to register and report under, this article; (b) To accept and file any information voluntarily supplied that exceeds the requirements of this article; (c) To make registration and report forms filed with it available for public inspection and copying during regular office hours; a reasonable charge for reproducing copies may be assessed for the reimbursement of costs thereof; (d) To preserve such registration and report forms for a period of five years from the date of receipt; (e) To report suspected violations of law to the appropriate law enforcement authorities; (f) To establish procedures for the orderly processing of lobbyist registration; and (g) To adopt rules, if needed, in accordance with HRS Chapter 91, for the implementation, administration and enforcement of this article. (Added by Ord. 05 -033) Sec. 343.8 Penalties. Except as otherwise provided in this article, the ethics commission may suspend or revoke the certificate of registration of a lobbyist who has been found to have violated any provision of this article. No certificate shall be suspended or revoked except after a notice has been issued to the violator and a hearing held. The suspension or revocation shall not exceed one year from the date of the hearing. (Added by Ord. 05 -033) See. 343.9 Severability. 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 and circumstances shall not be affected thereby. (Added by Ord. 05 -033) Name (Print) Last Business Address CITY AND COUNTY OF HONOLULU ETHICS COMMISSION LOBBYIST ANNUAL REPORT FORM First (Street, City, State, Zip Code) State name and address of organization you lobbied for. Middle Phone State total amount received as a lobbyist representing contributions, membership fees and other receipts related to lobbying activities. State total amount expended for lobbying by lobbyist. List results of the legislation you sought to influence. Other information. I hereby certify that the foregoing statements are true and correct. (Signature) Subscribed and sworn to before me This day of I: 20 Notary or any official authorized to administer oaths My commission expires: DUE DATE OF THIS REPORT IS JANUARY 10 OF EACH YEAR (See back of this form for information.) PLEASE RETAINA COPY FOR YOR RECORDS INFORMATION ON THE ANNUAL REPORT FORM Filing Date. Each lobbyist must file with the Honolulu Ethics Commission an annual report for the preceding calendar year ending December 31. The report is due January 10 of each year, or if the date falls on a Saturday or holiday, the next business day. Name of Lobbyist will be an individual's name, i.e., the name used on the original registration form. Business Address of Lobbyist to include your telephone number and the name and address of your firm and telephone number. Name and Address of Organization Lobbied For. This is the same organization you identified on your registration form. Contribution Received. State the total amount you received directly or indirectly for lobbying. If you work for a service type of organization (such as an architectural firm) that receives a fixed fee from an organization, the amount received that can be directly attributed to legislative activities related to the organization should be included as part of the total amount. If your representation is indirectly related to the performance of your job, the dollar amount of the compensation you received based on the time spent directly in representation or influencing legislation should be included as a part of the total amount. Expenditures. State the total amount of all expenditures that you have made in conjunction with your lobbying activities for the above organization. Example: Stationery costs, travel expenses, remunerations, political contributions and any other type of expenditures relating to the defeat or enactment of legislation. Results of Representation. State results of the legislation you sought to influence. Example: Subject matter and whether an ordinance was enacted or a resolution was adopted. Other Information to include any comments that you wish to become a part of your permanent file. Each report form must be signed and certified under oath as true and correct by the lobbyist. Legal Citation: The legal citation for lobbyist registration is found in Chapter 4, Article 1, of the Revised Ordinances of Honolulu (R OH). Penalties: Except as otherwise provided in Ordinance No. 05 -033, violation of any provisions of this article shall be grounds for suspension or revocation of the certificate of registration for a period of up to one year following hearing on the violation by the city council or its duly authorized committee. CITY AND COUNTY OF HONOLULU ETHICS COMMISSION LOBBYIST REGISTRATION FORM Separate applications must be filed if you lobby for pay or other consideration for more than one organization. (See back of this form for information.) SECTION I LOBBYIST NAME (PRINT) LAST FIRST MIDDLE Business Address Phone EMPLOYER STREET, CITY, STATE, ZIP CODE Business Address Phone STREET, CITY, STATE, ZIP CODE ORGANIZATION LOBBYING FOR Business Address Phone STREET, CITY, STATE, ZIP CODE Estimated Duration of Employment with Organization Number of membership if lobbying on behalf of members Description of the methods by which members develop and make decisions about positions on policy: Description of type of legislation you expect to lobby on: SECTION II CERTIFICATION OF LOBBYIST I hereby certify that the foregoing statements are true and correct. SIGNATURE OF LOBBYIST DATE U,"M i'r Name of Organization Subscribed and sworn to before me This day of , By: NOTARY OR ANY OFFICIAL AUTHORIZED TO ADMINISTER OATHS My commission expires: SECTIONHI AUTHORIZATION TO LOBBY TITLE OF AUTHORIZING OFFICER I hereby authorize the above -named lobbyist to engage in lobbying activities on behalf of the undersigned. SIGNATURE OF AUTHORIZING OFFICER PLEASE RETAIN A COPY FOR YOUR RECORDS DATE INFORMATION ON LOBBYIST REGISTRATION FORM SECTION I LOBBYIST This portion will be completed by any person who engages himself/herself for pay or other consideration for the purpose of influencing the policymaking process of the City. A supplementary registration is required no later than 10 days after any substantial change in the information supplied in your last registration form. Name, Business Address, Phone Number Indicate your name, business address and phone number. Name of Employer, Business Address, Phone Number Indicate name of employer, business address and phone number. Name and Organization, Business Address, Phone Number Indicdte name, business address and phone number of the corporation, association or organization you are lobbying for. Estimate Duration of Employment Estimated duration of employment is the estimated length of time the lobbyist expects to be employed by the organization. Indicate membership number if lobbying on behalf of members. Indicate description of the methods by which members develop and make decisions about positions on policy. Legislation Indicate the general category of legislation that the lobbyist is retained to represent; i.e. fiscal, environmental, land use, code enforcement and administrative rules having the effect of law. SECTION II CERTIFICATIONOFLOBBYIST Each registration form must be signed and certified under oath as true and correct by the lobbyist. SECTION III AUTHORIZATION TO LOBBY A signature of authorization to lobby must be obtained from the President or an authorized officer of an organization, corporation, association, partnership or any organization consisting of groups of individuals. Legal Citation: The legal citation for lobbyist registration is found in Chapter 4, Article 1, of the Revised Ordinances of Honolulu (ROH). Lobbyist Registration shall not apply to: (1) Any person who merely appears at a public hearing before the council, its committees or city agencies to express such person's opinion on pending legislation and/or rules and regulations involved in the city's policymaking process, (2) Any federal, state or county official or employee acting in such person's official capacity; (3) Any elected public official acting in such person's official capacity; (4) Any newspaper or other regularly published periodical, radio or television station (including any individual who owns, publishes or is employed by a newspaper or periodical or radio or television station) which in the ordinary course of business publishes news items, editorials or other comments, or paid advertisements, which directly or indirectly urge the taking of legislative or executive action, if the newspaper, periodical, radio or television station or individual engages in no further or other activities in connection with influencing decisions in the policy making process of the City and County of Honolulu; (5) Any person representing a bona fide church solely for the purpose of protecting the public right to practice the doctrines of the church; (6) Any unpaid volunteer representing a nonprofit organization, association or corporation; provided, that the organization, association or corporation: (A) Is registered in accordance with the provisions of this section, and (B) Files a written authorization with the Honolulu Ethics Commission specifically designating such person to represent it; and such persons may engage in activities described in this subsection without being holders of a certificate of registration. Penalties: Except as otherwise provided in Ordinance No. 05 -033, violation of any provisions of this article shall be grounds for suspension or revocation of the certificate of registration for a period of up to one year following hearing on the violation by the city council or its duly authorized committee.