Loading...
HomeMy WebLinkAbout2018_1019_BOE Mtg PacketMichael Curtis Chair Maureen Tabura Vice Chair Mia Shiraishi Secretary CALL TO ORDER Members: Susan Burriss Ryan de la Pena Mary Tudela Dean Toyofuku COUNTY OF KAUA'I BOARD OF ETHICS. R.w �� NOTICE OF MEETING AND AGENDA �� `�LE D Friday, October 19, 2018 1:00 p.m. or shortly thereafter Mo`ikeha Building, Liquor Conference RoAi OCT 11 P 1 :43 4444 Rice Street, Lihu'e, HI 96766 COl 3Y"'! 'JF j`.�' U A" APPROVAL OF MINUTES Open Session Minutes of September 21, 2018 BUSINESS BOE 2018-12 Discussion and possible decision -making on distributing reminders to update disclosure statements pursuant to Section 20.04 of the Charter of the County of Kauai [deferred 9121118] a. Rules of the Maui County Board of Ethics §04-101-48 Late filings, §04-101-49.1 Penalties b. Hawai`i County Rules of Practice and Procedure of the Board of Ethics — 8.7 Penalties c. Hawai`i County Code Sections 2-91 Appointing authority's power to discipline, 2-91.1 Financial disclosures and disclosures of interest d. Rules of Procedure, Ethics Commission of the City and County of Honolulu — 9.7 Penalties e. Revised Ordinances of Honolulu (ROH) Section 3-8.4 Financial disclosures, 3-8.5 Violation Penalty f. Hawai`i Revised Statutes (HRS) Section 84-17(i) Requirements of disclosure g. Letter dated October 11, 2018, from County Clerk Jade Fountain-Tanigawa regarding County of Kauai Disclosure Statements BOE 2018-13 Discussion and possible amendment or revocation of a prior advisory opinion, RAO 13-006 [deferred 9121118] An Equal Opportunity Employer a. Letter dated August 21, 2018, from the Contractors License Board to Mr. Stanley Morinaka regarding the Lydgate Beach Park Debris Removal Project b. Minutes of the Contractors License Board Meeting on August 16, 2018 BOE 2018-15 Review and possible approval of Meeting Schedule for 2019 BOE 2018-16 Election of Chair and Vice Chair for Calendar Year 2019 COMMUNICATION REQUEST FOR AN ADVISORY OPINION RAO 18-004 Request for an Advisory Opinion dated October 9, 2018, from Lyle Tabata to act as the RME for a local general contracting firm RAO 18-005 Request for an Advisory Opinion dated October 9, 2018, from Jason Kagimoto to attend an international trade fair, ECOMONDO, paid for by the Italian Trade Commission DISCLOSURES 1. Elesther Calipjo — Planning Commission 2. Michael C. Curtis — Board of Ethics EXECUTIVE SESSION Pursuant to H.R.S. §92-4, §92-5(a)(2) and (4), and §92-9 (a)(1-4) and (b), the purpose of this executive session is to receive and approve Executive Session minutes; 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-008 Executive Session Minutes of August 31, 2018 [deferred 9121118] ES-009 Executive Session Minutes of September 21, 2018 RETURN TO OPEN SESSION Ratify Board actions taken in Executive Session for Items: ES-008 and ES-009 ANNOUNCEMENTS Board of Ethics — October 19, 2018 2 1 P a b e Next Meeting: Friday, November 16, 2018 — 1:00 p.m., Mo`ikeha Building, Liquor Conference Room 3 ADJOURNMENT NOTICE OF EXECUTIVE SESSION Pursuant to Hawaii Revised Statutes §92-7(a), the Board may, when deemed necessary, hold an executive session on any agenda item without written public notice if the executive session was not anticipated in advance. Any such executive session shall be held pursuant to HRS §92-4 and shall be limited to those items described in HRS §92-5(a). Discussions held in Executive Session are closed to the public. cc: Deputy County Attorney Mark Bradbury PUBLIC COMMENTS and TESTIMONY Persons wishing to offer comments are encouraged to submit written testimony at least 24 hours prior to the meeting indicating: 1. Your name and if applicable, your position/title and organization you are representing; 2. The agenda item that you are providing comments on; and 3. Whether you will be testifying in person or submitting written comments only. 4. If you are unable to submit your testimony at least 24 hours prior to the meeting, please provide 10 copies of your written testimony at the meeting clearly indicating the name of the testifier; and While every effort will be made to copy, organize and collate all testimony received, materials received on the day of the meeting or improperly identified may be distributed to the members after the meeting is concluded. The length of time allocated to persons wishing to present verbal testimony may be limited at the discretion of the chairperson or presiding member. Send written testimony to: Board of Ethics Office of Boards & Commissions 4444 Rice Street, Suite 150 Lihu`e, HI 96766 Phone: (808) 241-4881 Fax: (808) 241-5127 SPECIAL ASSISTANCE If you need an ASL Interpreter, materials in an alternate format, or other auxiliary aid support, or an interpreter for a language other than English, please contact Lani Agoot at (808) 241-4917 or la;oot(i�kauai.glov at least seven calendar days prior to the meeting. Board of Ethics — October 19, 2018 3 1 P a b e FIR,IT�T�� (� Al� , r � NO COUNTY OF KAUAI Minutes of Meeting OPEN SESSION Board/Commission: I BOARD OF ETHICS Meeting Date I September 21, 2018 Location Mo`ikeha Building, Liquor Conference Room 3 Start of Meeting: 1:00 p.m. I End of Meeting: 3:15 p.m. Present Chair Michael Curtis. Secretary Mia Shiraishi. Members: Susan Burriss, Mary Tudela, Dean Toyofuku, and Ryan de la Pena. Also: Deputy County Attorney Mark Bradbury. Boards & Commissions Office Staff. Administrator Nicholas R. Courson and Support Clerk Darcie Agaran. Excused Vice Chair Maureen Tabura. Absent SUBJECT DISCUSSION ACTION Call To Order Chair Curtis called the meeting to order at 1:00 p.m. with six members present which constituted a quorum. Request for an RAO 18-003 Request for an Advisory Opinion dated August 28, 2018, from Arryl Kaneshiro relating to a possible conflict of interest relating to Bill No. 2719 Advisory Opinion With no objections, Chair Curtis took the agenda out of order to accommodate Councilmember Arryl Kaneshiro. Councilmember Kaneshiro stated that his request for an advisory opinion was a O precautionary measure. He recalled a previous time when he requested an advisory opinion as a precautionary measure that helped because he was asked at Council if he went to the Board of Ethics and if he should be sitting in on the item, and he was able to say yes, the Board said he could sit in on the item, and the Council meeting resumed without interruption. Councilmember Kaneshiro noted that in this particular case, it is a Cb Planning Committee item and he is not on the Planning Committee; however, he would be able to vote on it when it goes before the full Council. He stated that the item deals O with Agricultural land and Important Agricultural Lands (JAL), but he didn't think he r U -1 Board of Ethics Open Session September 21, 2018 Page 2 SUBJECT DISCUSSION ACTION had a conflict because it is an island -wide policy that splits out Ag land and really designates IAL as Ag land and any other Ag land as Ag land. Councilmember Kaneshiro reiterated that he would not get to vote on it at the Committee level, but he would get to vote at full Council. He added that the public hearing was coming up in the next week, so he wanted to get ahead of it. He wants to be able to sit through the whole process and not have to recuse himself. Chair Curtis asked Councilmember Kaneshiro to explain how IAL affects Grove Farm. Councilmember Kaneshiro stated that they already have lands that are designated as IAL, which was a State initiative. He noted that Grove Farm has regular Ag land as well. It was his understanding that Planning was attempting to tighten up some of the restrictions on IAL and be more flexible with things you can do on Ag land, such as having fruit stands on Ag land that the fruit is being grown on. Councilmember Kaneshiro restated that it was an island -wide policy that is not specific to Grove Farm. He added that Grove Farm was not the only landowner with IAL. He believed that Gay & Robinson, Alexander & Baldwin, as well as Kamehameha Schools had IAL. Ms. Tudela noted that Councilmember Kaneshiro's request stated that Grove Farm was not the subject of the proposed amendment, and asked if she heard correctly that the decision would not impact Grove Farm. Councilmember Kaneshiro replied that it would impact IAL and Ag land. Ms. Tudela followed up by saying that Grove Farm had IAL, and Councilmember Kaneshiro confirmed that that was correct, adding that it was similar to any councilmember sitting in on a tax increase for residential, or even Ag land, as it does not target a specific company; taxes are island -wide. Out of all the lands designated as IAL on Kauai, Ms. Shiraishi asked Councilmember Kaneshiro to provide an estimated percentage of those lands owned by Grove Farm. He said it was difficult, but he thought that they had over 10,000 acres of designated IAL. Councilmember Kaneshiro stated that they are a big landowner and added that Grove Farm voluntarily designated their land as IAL. Board of Ethics Open Session September 21, 2018 Page 3 SUBJECT DISCUSSION ACTION Chair Curtis asked if Grove Farm stands to significantly benefit from this action to which Councilmember Kaneshiro replied that he didn't think so. Councilmember Kaneshiro stated that the bill would restrict density on IAL, and with regard to Ag lands, the bill would make it easier for farmers to farm and sell their goods. He noted that Grove Farm doesn't farm; they lease their land to farmers, so the bill would actually benefit the farmers. With no further questions, Chair Curtis called for a motion. Ms. Burriss moved that the Board finds no conflict. Mr. de la Pena seconded the motion. Motion carried 6:0. Chair Curtis invited testimony from the public. Mr. Ken Taylor noted that he would have liked to comment before the Board voted. He stated that it's very seldom that anyone would be in front of the Board with a true conflict of interest, adding that most people that come before the Board come with perceived conflicts. Mr. Taylor said that the problem was that Councilmember Kaneshiro is in management for one of the largest Ag landholders on the island, and questioned whether Councilmember Kaneshiro receives a bonus at the end of the year. Mr. Taylor added that it wasn't wrong that Councilmember Kaneshiro had a perceived conflict, but it was the nature of the situation with his employment and being on the County Council and dealing with certain issues. Mr. Taylor stated that he thinks it is imperative that the Board understands the difference between conflicts of interest and perceived conflicts of interest, which he believed was the case here. He noted that it had to be dealt with and not ignored. Mr. Taylor pointed out that Councilmember Kaneshiro was part of the decision -making process at the County, as well as Grove Farm, and involved in making rules and regulations that would apply to Grove Farm. Mr. Taylor stated that because of the fact that there is a perceived conflict, the Board has to ask Councilmember Kaneshiro to step away from the issue. Board of Ethics Open Session September 21, 2018 Page 4 SUBJECT DISCUSSION ACTION Chair Curtis asked if there were any questions for Mr. Taylor or if any of the members wanted to reconsider the decision that was previously made to which there were none. Approval of Open Session Minutes of August 31, 2018 Minutes Hearing no corrections to the minutes, Chair Curtis entertained a motion to accept the minutes as circulated. Ms. Tudela moved to accept the Open Session minutes of August 31, 2018, as circulated. Ms. Burriss seconded the motion. Motion carried 6:0. With no objections, Chair Curtis moved on to the Disclosures. Disclosures 1. Ana -Lucia d.1.C.M. Des Marais — Candidate for Mayor 2. Lyle M. Tabata — Acting County Engineer 3. Susan H. Burriss — Board of Ethics Ms. Tudela stated that the Board was reviewing a disclosure statement that they previously reviewed and had a question on. She added that the individual submitted a letter explaining why there were no changes to the original disclosure statement. Ms. Tudela noted that the original disclosure statement was notarized, but the clarification letter was not. She wanted to ensure that the Board wasn't missing a legal step and asked if the clarification letter needed to be notarized. Ms. Tudela presumed that it was fine, but she wanted to verify. Deputy County Attorney Mark Bradbury stated that it should be fine. Chair Curtis entertained a motion to receive and approve Disclosures 1 and 3. Ms. Tudela moved to receive and approve Disclosures 1 and 3. Mr. de la Pena seconded the motion. Motion carried 6:0. Ms. Tudela stated that Ms. Burriss should have abstained from voting on Disclosure 3 as Board of Ethics Open Session September 21, 2018 Page 5 SUBJECT DISCUSSION ACTION that was her own disclosure statement. Chair Curtis noted for the record that Disclosures 1 and 3 were approved with Ms. Burriss abstaining from the vote on Disclosure 3. Chair Curtis stated that it was his understanding that Ms. Jade Fountain-Tanigawa requested to comment on Disclosure 2 regarding Lyle Tabata, and called Ms. Fountain- Tanigawa to the table. Ms. Fountain-Tanigawa thanked Chair Curtis for the opportunity to submit testimony regarding Mr. Tabata's disclosure statement and his apparent late filing. She explained that Mr. Tabata was sworn in as the Deputy County Engineer in 2010 and filed his first disclosure statement on January 18, 2011. He was later reappointed in 2014 and filed a disclosure statement on December 19`h, so he had filed two disclosure statements up until that point. Ms. Fountain-Tanigawa further explained that on February 19, 2016, upon the departure of Larry Dill, the former County Engineer, Mr. Tabata was named Acting County Engineer, which is his current position. She added that as the Acting County Engineer, Mr. Tabata assumes full responsibility for the Department of Public Works. She noted that Mr. Tabata, as the Acting County Engineer, did not file a new or amended disclosure statement until the one that appeared on the current meeting's agenda. Ms. Fountain-Tanigawa pointed out that Kauai County Code, Section 3-1.9 Requirements of Disclosure, is very clear that any changes — including changes to Mr. Tabata's employment, job title, and responsibilities from Deputy County Engineer to Acting County Engineer — would require the submittal of a new or, at the very least, an amended disclosure statement. She noted that failing to submit a new disclosure statement was a direct violation of the Code of Ethics and, therefore, the law. Ms. Fountain-Tanigawa referred to Section 3-1.9(g), which states, "Any violation of any of the provisions of this Section shall constitute cause for fine, suspension or removal from office or employment." She stated that in her discussion with the State Ethics Commission, staff confirmed that anyone who files a late disclosure statement on behalf Board of Ethics Open Session September 21, 2018 Page 6 SUBJECT DISCUSSION ACTION of the State is fined, noting that everyone is subjected to the same treatment and same fines, and that no one is treated any different. Ms. Fountain-Tanigawa added that staff further stated that once they began to actively levy fines, everyone began to comply, and that was the most efficient method that they came across for compliance. She noted that excuses are not entertained as they feel that those were highly -paid individuals who are very capable of filing disclosure statements on time. Ms. Fountain-Tanigawa proposed that the Board, at the very least, fine Mr. Tabata for submitting a very late disclosure statement as he clearly violated the Code of Ethics. She stated that department heads in the County of Kauai and throughout the State set the high moral standards that the County expects their employees to follow. Upon speaking with staff from Maui County and Hawai' i Island, Maui County confirmed that they have also fined department heads and employees for submitting late disclosure statements; she couldn't confirm with Hawaii Island as they were in an Ethics Commission meeting. As the County Clerk, Ms. Fountain-Tanigawa noted that she often administers oaths and as part of the oath, you swear to uphold the laws of the land, essentially — the State Constitution, the Charter of the County of Kaua` i. and the Kaua` i County Code. She felt that if the Board wanted to see compliance, a fine would probably be the most effective way. Ms. Fountain-Tanigawa stated that the State fines their employees $75 plus $10 for every day that it's late. She provided some examples of fines, which included the Executive Director of DCCA having to pay an $820 fine, the Superintendent for the Department of Education having to pay a $1,500 fine, and the Chairperson of the Board of Ag having to pay a $130 fine. Ms. Fountain-Tanigawa stated that she believed the Board had the ability to levy fines, and she hoped that they would take it under advisement and choose that route. Chair Curtis thanked Ms. Fountain-Tanigawa for her testimony and asked the Board if they had any questions. Board of Ethics Open Session September 21, 2018 Page 7 SUBJECT DISCUSSION ACTION Ms. Tudela stated that Ms. Fountain-Tanigawa mentioned a few dates in her testimony; January 18, 2011, and a December 19`h date, but a year was not provided. Ms. Fountain- Tanigawa restated the dates she mentioned, which were January 18, 2011 (Mr. Tabata's Is'disclosure statement), December 19, 2014 (Mr. Tabata's 2"d disclosure statement), and September 4, 2018 (Mr. Tabata's current disclosure statement). Ms. Tudela asked if the County of Kaua` i currently has a fine schedule. Chair Curtis requested for that information to be documented to the Board and placed on the next meeting's agenda. Ms. Burriss also requested documentation that included the history of fines in the last five or six years. Chair Curtis stated that that would be part of their investigation and asked Ms. Fountain-Tanigawa, as well as the Office of Boards and Commissions, to provide a record of past fines for the next meeting. Chair Curtis asked if there was any further public testimony or if Mr. Tabata had anything to offer the Board regarding his disclosure statement. Hearing none, Chair Curtis entertained a motion to accept Mr. Tabata's disclosure statement. Mr. de la Pena moved to accept Disclosure 2. Ms. Burriss seconded the motion. Motion carried 6:0. Business BOE 2018-12 Discussion and possible decision -making on distributing reminders to update disclosure statements pursuant to Section 20.04 of the Charter of the County of Kaua` i In light of the Board's investigation at the next meeting, Administrator Courson suggested to defer this item as there might be some very pertinent information to share with all of the department heads. Chair Curtis asked if it was due to the recently Board of Ethics Open Session September 21, 2018 Page 8 SUBJECT DISCUSSION ACTION received information to which Administrator Courson replied yes. Administrator Courson stated that November will be the end of his time with Boards and Commissions and a new administrator may or may not know a lot of things, but if the Board was prepped and ready to send out a reminder to not only the current department heads, but to all of the new political appointees in December, he thought that would be great. Chair Curtis stated that it was a good idea. Ms. Tudela asked if a motion to defer was needed to which Mr. Bradbury replied that it wouldn't hurt. Administrator Courson stated that it was best practice. Ms. Tudela moved to defer BOE 2018-12 to the next meeting. Ms. Burriss seconded the motion. Motion carried 6:0. BOE 2018-13 Discussion and possible amendment or revocation of a prior advisory opinion, RAO 13-006 Chair Curtis asked Administrator Courson or the Board's counsel to share the complexity of the advisory opinion and its applicability to the Board. Mr. Bradbury asked if the Board was considering the revocation of the advisory opinion to which Chair Curtis replied that the Board was readdressing it. Mr. Bradbury stated that the Board could ask him any questions regarding the item. Ms. Tudela noted that she didn't have any questions for counsel, but recalled that the reason the item was on the agenda was because there was a question on whether or not the advisory opinion should be amended due to a shift in the subject's role and responsibility, and suggested to start with a discussion or dialog with Mr. Tabata re ar ing that. Board of Ethics Open Session September 21, 2018 Page 9 SUBJECT DISCUSSION ACTION Chair Curtis read Advisory Opinion RAO 13-006. Ms. Tudela stated that the reason it came up was because, in a prior case that the Board heard, the County awarded work to that particular firm. Chair Curtis asked if the Board wanted to reconsider and readdress the advisory opinion. Ms. Shiraishi stated that it was her understanding that there may have been a question about whether the opinion of no conflict was based upon Mr. Tabata not contracting with the County, so her direction would be to follow up on that and perhaps have a discussion about the meaning of the opinion. She asked if it meant that there was a blanket "no conflict" even if Mr. Tabata contracts with the County. She also questioned how the sentence regarding the private employment and not contracting with the County affects the Board's decision. Chair Curtis read the "Background" section of the advisory opinion and stated that there has been a case where the "Background" was violated, which causes the Board to reconsider and readdress the advisory opinion. Ms. Burriss stated that the Board received some testimony regarding when the RME License comes into play and believed that they heard testimony that the particular contract in question did not require that license. She added that there were discussions about whether or not the prohibition on County contracts would be applicable if the RME was not vital to the contract. Ms. Burriss stated that she thought that was why the discussion to either clarify or amend the previous advisory opinion came up because they did, in fact, find no conflict. Ms. Tudela added that the Board did not find that the advisory opinion was violated. She noted that Chair Curtis said that they had a case that violated the advisory opinion Board of Ethics Open Session September 21, 2018 Page 10 SUBJECT DISCUSSION ACTION and wanted to clarify that the Board did not decide that. She suggested that it would be helpful to review the minutes. Administrator Courson cautioned the Board that there was a lot of discussion about some points that were in Executive Session and noted that it had to be completely separated out. Mr. Toyofuku stated that he had the same thought process as Ms. Shiraishi. It was his understanding that the advisory opinion was binding to the current Board. He questioned the importance of the "Background" information in the advisory opinion. Mr. Toyofuku asked if it provided the basis or review of the information that the opinion was based on. He noted that it could be generalized either way. He stated that the statement, "...to act as RME for his General Contracting firm that his firm will not be contracting with the County," doesn't specifically state for licensed jobs only or jobs that require a contractor's license, so it could be easily argued that it wasn't specific enough. Mr. Toyofuku added that if it's read for what the words are worth, then the situation has changed and the firm has had a contract with the County. He asked counsel how important the "Background" information was in the advisory opinion, noting that he has never experienced writing an advisory opinion during his time on the Board. Mr. Toyofuku said that if the opinion is based on the "Background," then the situation has changed and he felt it was the Board's responsibility to revisit it. He added that he would like to either find documentation or have something that says exactly what an RME stands for and their responsibilities. Chair Curtis pointed out the confidentiality of Mr. Tabata's employment and entertained a motion to go into Executive Session to openly continue the discussion. Mr. de la Pena asked if it needed to be on the agenda to which Administrator Courson replied that an Executive Session for the specific item was not on the agenda; however, there was a catch-all Executive Session item. Board of Ethics Open Session September 21, 2018 Page l 1 SUBJECT DISCUSSION ACTION Administrator Courson read the Notice of Executive Session, which states, "Pursuant to Hawai `i Revised Statutes §92-7(a), the Board may, when deemed necessary, hold an executive session on any agenda item without written public notice if the executive session was not anticipated in advance. Any such executive session shall be held pursuant to HRS §92-4 and shall be limited to those items described in HRS §92-5(a)." He explained that the privacy of an employee is one of the items listed in HRS §92-5(a), but it didn't mean that anything to do with an employee is secret. Administrator Courson suggested to start by going into Executive Session with the understanding that that was one purpose, but the more primary purpose might be to seek legal guidance. He noted that Mr. Bradbury could help define what privacy really means, what has to be protected as privacy in Executive Session and what doesn't, and what should really be in Open Session. Noting that he didn't think the Board could fully discuss the item without going into Executive Session, Chair Curtis asked what the Board's pleasure was. Ms. Tudela moved to go into Executive Session for the purposes as stated by Administrator Courson. Ms. Burriss seconded the motion. Discussion: Chair Curtis stated that the Board is inviting Mr. Tabata into their Executive Session. Chair Curtis asked if there was any further discussion or advice from counsel. Mr. Bradbury asked if the question was whether they could go into Executive Session to which Chair Curtis replied yes. Mr. Bradbury stated that they could. With no further discussion, Chair Curtis called for the vote. Motion carried 6:0. The meeting recessed at 1:45 p.m. to convene in Executive Session. Board of Ethics Open Session September 21, 2018 Page 12 SUBJECT DISCUSSION ACTION The meeting reconvened in Open Session at 2:09 p.m. Chair Curtis asked the Board if they had any questions for Mr. Tabata. Ms. Tudela stated that she thought Mr. Tabata answered her question, which was, "how many more of these do you perceive happening?" She believed that his answer was that he did not know of any more planned work and asked if that was correct. Mr. Tabata stated that it was in reference to rescinding the opinion and that Ms. Shiraishi clarified that he could still be the RME. He added that any work that gets done would not entail any County oversight or review, noting that he needs to make disclosures to determine if there is a conflict. Chair Curtis called for public testimony. Mr. Taylor reiterated that perceived conflict was very real. He said he was really appalled after reading the action that took place in 2013 that the Board at the time didn't address the fact that the perceived conflict was a major issue. Mr. Taylor noted that he didn't see the minutes for that meeting, so he wasn't sure if there was any discussion about it, but it wasn't included in the opinion. He stated that he thought the advisory opinion should be revoked, especially now that Mr. Tabata is the Acting County Engineer. Mr. Taylor added that Mr. Tabata is a good man and he didn't think Mr. Tabata would intentionally do anything out of line; however, if they were to make a list of the possible conflicts of interest issues, the list would probably be double or triple the length of an arm. He noted that it was better to not have the perception of a conflict, especially in top management of County government, adding that it doesn't look good. Mr. Taylor stated that it was nothing personal against Mr. Tabata, but it's just what the facts are. He restated that he thought it was imperative to revoke the advisory opinion and leave it at that. Board of Ethics Open Session September 21, 2018 Page 13 SUBJECT DISCUSSION ACTION Chair Curtis called Ms. Fountain-Tanigawa to the table and asked if she was acting personally, individually, or in a professional capacity to which she replied her professional capacity as the County Clerk. Ms. Fountain-Tanigawa stated that prior to the meeting, she was on the phone with an attorney for the National Labor Relations Board (NLRB) and they had expressed concern regarding the relationship between Mr. Tabata, the Acting County Engineer, and the firm who he is the RME for. She noted that there were currently four cases before the NLRB, and the attorney was surprised to hear that Mr. Tabata was the RME for the company. Ms. Fountain-Tanigawa mentioned that the attorney wanted more information, but she couldn't get into the specifics as to his responsibilities. They also spoke about information that the attorney obtained from the State's Contractors Licensing Board on Oahu regarding what an RME is and should be doing. Ms. Fountain-Tanigawa explained that the RME is responsible, by law, to assume direct management of the contracting entity that he is employed by. Direct management means the general supervision of the construction projects, the control of technical administrative decisions, personnel management, review of construction contracts, and enforcing compliance with all laws and rules affecting the construction business. Ms. Fountain-Tanigawa further explained that an RME is also held equally responsible, along with the licensed entity, for any violations of the Contractors Licensing Law, any Board rules, including failure to maintain financial responsibility. She added that an RME, technically, is considered the one who is principally employed by the contracting entity and who qualifies the contracting entity for licensure. Ms. Fountain-Tanigawa stated that although the firm that Mr. Tabata is the RME for, Kauai Veterans Express, obtained the contract through the suspension of 103D, which is the procurement law, and although the contract was let by the Parks Department, the Department of Public Works had or could have had involvement in the process because that contract involved hauling debris from the ponds, which would include things like trees, green waste, and other rubbish. She noted that the hauling of those materials — Board of Ethics Open Session September 21, 2018 Page 14 SUBJECT DISCUSSION ACTION green waste itself — falls under the Department of Public Works. Ms. Fountain- Tanigawa added that in the event something occurred, Mr. Tabata would have the sole responsibility of making that call. She stated that it was an interesting, yet somewhat confusing, situation because from what she was told, as the RME for Kauai Veterans Express, Mr. Tabata is responsible for anything going on with Kauai Veterans Express and the contract in the eyes of the DCCA. Ms. Fountain-Tanigawa questioned what would happen if he was operating in the capacity of the RME but needed to make calls relating to green waste and other issues related to Public Works, noting that Mr. Tabata does not have a deputy. Ms. Fountain-Tanigawa referred to Mr. Tabata's request for the advisory opinion in 2013 and noted that Mr. Tabata stated that he would be working for a general contracting firm. However, from her understanding, Kauai Veterans Express was not a general contracting firm; they were a hauling firm. Ms. Fountain-Tanigawa believes Kauai Veterans Express is still considered a hauling firm, but with Mr. Tabata as the RME, they can bid on other jobs. She referred to another part of Mr. Tabata's request where he stated that as the Deputy, he does not have any regulatory oversight and he does not have direct supervision. She noted that it was misleading to say he doesn't have direct supervision. Ms. Fountain-Tanigawa explained that he is responsible for the Department of Public Works, so she would say that he has complete supervision of everyone in the Department. She added that Mr. Tabata started handling or signing regulatory letters, which she believed was a concern and different from what was represented in 2013. Ms. Fountain-Tanigawa noted that the NLRB attorney asked her to convey their concern of what was happening. She guessed that it was a large case, but wasn't familiar with it. Ms. Fountain-Tanigawa mentioned that there must be much, much more than what it looks like superficially to rise to that level. Chair Curtis asked if the Board had any questions for Ms. Fountain-Tanigawa. Board of Ethics Open Session September 21, 2018 Page 15 SUBJECT DISCUSSION ACTION Ms. Tudela asked if there was an NLRB case currently open with the County to which Ms. Fountain Tanigawa replied that it involves the county of Kauai, not the "County of Kauai" itself. She noted that it involved Kauai Veterans Express and the operating engineers. Ms. Tudela asked Ms. Fountain-Tanigawa how many cases she was aware of to which she replied four. Ms. Tudela noted that Ms. Fountain-Tanigawa brought up a concern regarding regulatory letters and asked Ms. Fountain-Tanigawa to explain what the concern was. Ms. Fountain-Tanigawa stated that a situation was brought to their attention a few months ago on the council floor that involved Po`ipu Beach Park and the repairs that the Parks Department was handling. She explained that she believed the Parks Department went in to the Department of Public Works, Engineering Division to get an after -the -fact Special Management Area (SMA) Permit. Subsequently, the Parks Department was denied the permit because the value exceeded the threshold, so they couldn't get the permit as easily. Ms. Fountain-Tanigawa stated that she thought there were other steps that needed to be taken and apologized for not knowing the specifics. Noting that it was hearsay, she mentioned that the Parks Department was really upset and contacted Mr. Tabata. Since that time, Mr. Tabata took over drafting or signing regulatory letters, which would include instances where, for example, he would say to approve the permit. Hearing no further questions, Chair Curtis thanked Ms. Fountain-Tanigawa for her testimony. Chair Curtis asked if there were any comments from the Board regarding RAO 13-006. Ms. Burriss stated that it was her opinion that they could not void an advisory opinion that was rendered back in 2013 on facts that were pertinent at the time, noting that the Board of Ethics Open Session September 21, 2018 Page 16 SUBJECT DISCUSSION ACTION advisory opinion should stand. She added that if there was a need for a new advisory opinion based on updated facts and other concerns, then it should be requested. Ms. Shiraishi noted that there was an opinion of no conflict, but, as Mr. Toyofuku mentioned earlier, she questioned how facts in the "Background" section apply to the "Opinion" section, asking if it was part of the opinion or just an aside. She stated that she thought their purpose was to figure out the scope of the advisory opinion, what it means, and what it was based upon. Ms. Shiraishi also thought that they were there to give clarity to the future Board of Ethics in the event it comes up again, as well as give clarity to Mr. Tabata. Ms. Burriss suggested doing what she tried to do in law school, which was to go back into the legislative history if you don't understand a piece of legislation. She believed that the Board needed to look at the facts as the background for the opinion itself and what the body had in mind at the time. Ms. Burriss added that the "Background" information helps the Board to understand how the particular advisory opinion was rendered. Chair Curtis asked if it was the consensus of the Board that RAO 13-006 could not be revoked at the present time. If so, he asked to rescind the review and acceptance of Mr. Tabata's disclosure and that it be reconsidered. Ms. Burriss asked why to which Chair Curtis replied because of the perception of a conflict of interest with Mr. Tabata as the Acting County Engineer and as the RME for Kauai Veterans Express. He suggested that the Board readdress the apparent appearance of a conflict at a future meeting. Chair Curtis asked if there were any suggestions on another way to approach the issue. Mr. Bradbury stated that there might have been a misunderstanding as to what the advisory opinion does; it immunizes Mr. Tabata from committing an ethical violation. He noted that revoking the advisory opinion now wouldn't affect anythingprior; Board of Ethics Open Session September 21, 2018 Page 17 SUBJECT DISCUSSION ACTION however, it would stop him from going forward with any future contracts. Administrator Courson noted that Ms. Burriss used the word "void" and he agreed that it would not void the prior opinion. He explained that "void" has a really specific meaning, which is that it wouldn't have existed in the first place. Administrator Courson pointed out that the word "revoke" is used in the Charter, and he heard different interpretations of what it means amongst the current board members, so he suggested that the Board either amend or revoke the opinion because he didn't think it was serving its purpose. He stated that it was not very clear guidance to Mr. Tabata. Administrator Courson noted that something needed to be done when even the Board can't agree on what it means. Ms. Tudela noted that she heard a suggestion that another letter from Mr. Tabata was needed in order to render another advisory opinion. She asked if the Board needed to do something with the current advisory opinion prior to issuing another one, and if so, who should initiate the opinion moving forward. Assuming the advisory opinion was revoked, Mr. Bradbury stated that Mr. Tabata would need to submit a new request if he intended to proceed the way he had in the past. Chair Curtis noted that that was his suggestion with regard to addressing Mr. Tabata's disclosure. Chair Curtis asked what the Board's preference was on addressing RAO 13-006. Ms. Tudela stated that she had a question about fines. Chair Curtis noted that that was a different issue that would be discussed at a later time. Chair Curtis asked if the Board wanted to take any action with regard to RAO 13-006. Ms. Burriss suggested taking no action and questioned what the Board would do if they did take action. She further asked if the intent was to revise the advisory opinion based on the fact that Mr. Tabata was now the Acting County Engineer. Chair Curtis agreed, stating that it should stand as history. Board of Ethics Open Session September 21, 2018 Page 18 SUBJECT DISCUSSION ACTION Chair Curtis suggested that Mr. Tabata's disclosure statement be received, subject to further discussion. He didn't think that the Board should accept the current disclosure statement of Mr. Tabata, the Acting County Engineer, as it stood, and he thought that it required additional exploration. Ms. Burriss added, "with regard to the nature of the RME." Chair Curtis stated yes, the apparent conflict. Ms. Tudela stated that it was her understanding that the Board's responsibility, as it relates to disclosure statements, was to review them and deem them complete. Chair Curtis added that it was also their responsibility to identify and address conflicts according to the ethics laws of the County of Kauai. Ms. Tudela noted that they were trying to keep the matters separate, and that was where she was confused. She pointed out that Mr. Tabata submitted a disclosure statement that was complete, noting that that was what they did for every other disclosure statement, and questioned whether she was correct or not. Administrator Courson explained that Ms. Tudela was reiterating advice from the Office of the County Attorney under Al Castillo, which was the standing advice of the County Attorney for many, many years. He noted that it might be worth revisiting to see if it continued to be the advice of the current County Attorney. Administrator Courson pointed out that Chair Curtis was referring to the language in the Charter — Section 20.05(D)(4) —that says, "To examine all disclosure statements filed and to comment on or advise corrective action to any matters that may indicate a conflict of interest." He stated that Ms. Tudela was citing advice from the County Attorney from some time ago, which was the source of her confusion. Ms. Tudela thanked Administrator Courson for the explanation and stated that she was fine with following Section 20.05(D)(4). She noted that in her experience on the Board, they never had a situation where there was a question; however, she agreed with the Chair that there was a question on Mr. Tabata's disclosure statement based on previous Board of Ethics Open Session September 21, 2018 Page 19 SUBJECT DISCUSSION ACTION decisions. Ms. Tudela noted that she was in support of the Chair's recommendation. Chair Curtis stated that the Board would readdress Mr. Tabata's disclosure statement and the apparent conflict of interest that the disclosure statement reveals at the next meeting. He entertained a motion to reexamine Mr. Tabata's disclosure statement and explore the conflict of interest between being the RME for Kauai Veterans Express and his current position at the County. Ms. Tudela stated that that meant they were rescinding the decision that was made an hour previous. Chair Curtis stated that they received it and identified a perceived conflict that will be addressed at the next meeting. Ms. Tudela noted that the Board received three disclosure statements at the meeting and voted on them, separating out one (Mr. Tabata's). She stated that they voted on it like they have in the past, so she thought they needed to be explicit in what they were going to do with the previous vote. Chair Curtis entertained a motion to reconsider Mr. Tabata's disclosure statement after discussion of that prior advisory opinion. Ms. Tudela stated that they would essentially be putting two things together so they could be discussed as one item. Chair Curtis replied yes. Administrator Courson explained that a motion to reconsider was a specific procedural thing. Anyone who voted in the majority could make that motion and it would take them back to square one. He also noted that a motion to receive was not the same thing as a motion to approve. A motion to receive acknowledges that the Board received it. Chair Curtis entertained a motion to reconsider the approval of Mr. Tabata's disclosure statement recently received and approved. He stated that the motion would prompt Mr. Tabata to return at the next meeting and explain the perception of a conflict of interest, and the Board would offer their opinion regarding its condition. Board of Ethics Open Session September 21, 2018 Page 20 SUBJECT DISCUSSION ACTION Ms. Burriss moved to reconsider the approval of Lyle Tabata's disclosure statement recently received and approved. Motion failed for lack of a second. Chair Curtis entertained another motion. Ms. Tudela moved to reconsider the approval of Lyle Tabata's disclosure statement recently received and approved referring to Charter Section 20.05(D)(4) as the Board continues to examine and advise corrective action as it relates to a potential conflict of interest. Ms. Burriss seconded the motion for discussion. Discussion: Administrator Courson stated that, procedurally, they were mixing two things. He explained that the motion should just be to reconsider the original motion, and if that motion passes, then that would be an appropriate time to do a new motion. If the motion to reconsider fails, then the original motion stands. Chair Curtis stated that Board action was required to withdraw the motion on the table and called for the vote. Motion carried 6:0 to withdraw the motion. Chair Curtis entertained a motion to rescind the receipt and approval of Mr. Tabata's disclosure statement. Ms. Burriss asked if that was previously where the Board was to which Chair Curtis replied yes. Administrator Courson clarified that the previous motion to reconsider had an additional Board of Ethics Open Session September 21, 2018 Page 21 SUBJECT DISCUSSION ACTION action in it. He explained that an action took place — either to receive or approve Mr. Tabata's disclosure statement — and if the Board wanted to reconsider that action, they would need to make a motion to that effect. Chair Curtis entertained a motion to rescind the prior receipt and approval of Mr. Tabata's disclosure statement. Ms. Burriss moved to rescind the prior receipt and approval of Mr. Tabata's disclosure statement. Motion failed for lack of a second. Chair Curtis stated that Mr. Tabata's disclosure statement was received and approved. Ms. Tudela asked to verify Chair Curtis' statement by reviewing the record. Administrator Courson requested a recess to give the clerk time to review the recording. Chair Curtis called for a five-minute recess. The meeting recessed at 2:49 p.m. The meeting reconvened at 3:01 p.m. Chair Curtis noted that the motion (projected on the wall) that passed was to accept Mr. Tabata's disclosure statement offered to them that day. He asked if anyone wanted to make a motion. Ms. Burriss asked if it was accepted as complete to which Ms. Tudela replied yes. Chair Curtis stated that the question was whether the Board wanted to rescind their earlier action, and then they could address it however they would like to. Ms. Burriss stated that she thought it should be in the record that Mr. Tabata, in fact, submitted his disclosure statement. Ms. Tudela added, "...and it was complete" and Ms. Burriss said yes. Board of Ethics Open Session September 21, 2018 Page 22 SUBJECT DISCUSSION ACTION Ms. Tudela asked what the next step was after a disclosure statement was accepted by the Board to which Administrator Courson replied that it is filed. Ms. Tudela asked if anything is sent back to the individual to which Administrator Courson replied no, and explained that has never been the practice, unless the Board was seeking clarification. Ms. Tudela stated that Mr. Tabata submitted his disclosure statement, the Board has accepted it, and it is complete; now they have a subsequent issue. Ms. Burriss noted that the motion may be to place the perceived conflict issue as it appears from the review of Mr. Tabata's disclosure statement in light of the 2013 opinion on the next meeting's agenda. She explained that by looking at the 2013 opinion and Mr. Tabata's disclosure statement, there was a question because of his role as the RME and his role as the Acting County Engineer. Mr. de la Pena stated that the previous advisory opinion was outdated based on the background information. Chair Curtis read Section 20.05(D)(2) of the Charter. Ms. Burriss pointed out that there are no charges, there was nothing to bind the Board, and the facts were different, referring to it as apples and oranges. Chair Curtis stated that the advisory opinion was binding until revoked or amended. Ms. Burriss noted that that was how she saw it and asked if Administrator Courson agreed with her to which he replied that he did. Administrator Courson noted that there has been a question and a split between the Board as to whether the validity of the advisory opinion was predicated on the "Background." He stated that Ms. Burriss' opinion was that the facts are different and it's apples and oranges, but if other people don't have the same opinion, then it doesn't provide clear guidance to Mr. Tabata or the public. If someone else thought that the facts were pretty similar and they were covered Board of Ethics Open Session September 21, 2018 Page 23 SUBJECT DISCUSSION ACTION by the advisory opinion, Administrator Courson stated that that was the heart of his concern. He added that he would like to see more clarity for everyone. Ms. Burriss stated that she thought it would require a request for an updated advisory opinion in light of Mr. Tabata's duties as they are presently described. She asked Mr. Tabata if he was willing to submit that request to which he replied yes. Mr. Toyofuku asked Administrator Courson if he was saying that the current advisory opinion was binding, and he replied yes. If the Board renders an advisory opinion based on the new information, Mr. Toyofuku asked if the current advisory opinion would be voided automatically or if the Board needed to officially say that it is revoked. Administrator Courson stated that the word "void" meant that it never existed at all. He noted that the current advisory opinion is good for the time that it was good and even if it was revoked going forward, anything that happened while the advisory opinion existed was binding on the Board. Mr. Toyofuku restated his question and asked what the correct process was if the Board wanted to render a new advisory opinion. He asked if they would amend the current advisory opinion, or if they would need to revoke it prior to rendering a new opinion. Administrator Courson stated that it was at the pleasure of the Board; however, the advice from the Board's counsel was that it would be cleaner to revoke the current advisory opinion and issue a new one. Hearing no motions or further discussion, Chair Curtis stated that they would move on to the next agenda item. Ms. Tudela stated that she was confused and asked if Chair Curtis was saying that the Board decided not to do anything with the agenda item because there was no motion. Chair Curtis asked if Ms. Tudela wanted to make a motion. She replied that she was Board of Ethics Open Session September 21, 2018 Page 24 SUBJECT DISCUSSION ACTION trying to tie up the conversation and asked if the next step was to wait for Mr. Tabata to request a new advisory opinion which would be placed on the agenda and taken up in normal order. Chair Curtis stated that they've discussed the perception of a conflict of interest in Mr. Tabata's disclosure statement and asked if Ms. Tudela wanted to make a motion with regard to that, and she replied no. Mr. de la Pena stated that Ms. Tudela was wondering what they were going to do with the agenda item. Chair Curtis stated that he will continue it to the next meeting. BOE 2018-14 Discussion and possible decision -making on amending the Disclosure Statement to include a "date" field Ms. Burriss stated that she said what she was going to say at the prior meeting and she wrote the date on her disclosure statement without a "date" field, so it worked for her. Chair Curtis noted that the notary dates the disclosure statement, so it was kind of redundant to have a "date" field. Mr. de la Pena agreed. Hearing no further comments from the Board, Chair Curtis called for any public testimony. Ms. Fountain-Tanigawa asked for clarification as to what the Board needed from her to which Chair Curtis replied that they needed the documentation of the disclosure statements, the potential for fines, and the statewide ethics practices and procedures that she mentioned. Chair Curtis asked Ms. Fountain-Tanigawa to submit the documentation to the Office of Boards and Commissions to be included on the next meeting's agenda. Ms. Fountain-Tanigawa asked if the Board needed any information regarding the RME and what the RME does to which Chair Curtis replied that it would be part of the discussion on the amendment of RAO 13-006. He encouraged any additional information that she would like to offer to the Board. Board of Ethics Open Session September 21, 2018 Page 25 SUBJECT DISCUSSION ACTION With no further discussion, the Board moved on to the next agenda item. Communication There was no communication. Executive ES-008: Executive Session Minutes of August 31, 2018 With no objections, Chair Curtis Session deferred the Executive Session Minutes of August 31, 2018, to the next meeting. Announcements Next Meeting: Friday, October 19, 2018 — 1:00 p.m., Mo`ikeha Building, Liquor Conference Room 3 Adjournment Ms. Tudela moved to adjourn. Ms. Burriss seconded the motion. Motion carried 6:0. Chair Curtis adjourned the meeting at 3:15 p.m. Submitted by: Darcie Agaran, Staff Support Clerk Reviewed and Approved by: () Approved as circulated. () Approved with amendments. See minutes of meeting. Michael Curtis, Chair Maui County Board of Ethics Rules The examination of disclosure statements that are confidential shall be in executive meeting. (c) If, after examination, the board finds no concerns of material matter arising under the code of ethics, the board shall acknowledge receipt of the disclosure statement, annual financial disclosure statement update, or amendment of disclosure, and file it. If, after examination, a conflict of interest or other concern arising under the code of ethics is found, the board shall acknowledge the receipt of the submission and shall advise the person of the conflict of interest or other matter of concern arising under the code of ethics and of the person's obligations and responsibilities to avoid violation of the code of ethics. (d) The acknowledgment of receipt of the disclosure statement does not imply that the subject content or person is "approved" or "accepted", but only that the disclosure statement has been examined in accordance with the board's duties. [Eff 4/29/13, ren §04-101-36 and comp 4/29/13] (Auth: HRS §91-2; Charter §§10-2.2.f, 13- 2.15) (Imp: HRS §91-2; Charter §§10-2.2.f, 13-2.15) §04 101-48 Late filings. (a) The board may issue or cause to be issued a letter of reminder to any person whose financial disclosure or annual financial disclosure update has not been filed by the deadline set by these rules. The letter of reminder shall include a request that the person file promptly. (b) Copies of the letter and any other letter of reminder shall be available for public inspection and may be circulated through news releases and other means. (c) The board may compile rosters of candidates for elective county office and elected and appointed county officers and the dates of their respective financial disclosure filings, if any. Copies of rosters shall be available for public inspection and may be circulated through news releases and other means. [Eff 4/29/13, ren §04-101-37 and comp 4/29/13] (Ruth: HRS §91-2; Charter §§10-2.2.f, 13-2.15) (Imp: HRS §91-2; Charter §§10- 2.2.f, 13-2.15) §04-101-49 Financial disclosure files; disposition. (a) All financial disclosure statements filed with the board shall be maintained by the board, during the term 101-28 BOE 2018-12.a of office of the elected or appointed officer, employee, or board or commission member for a period of six years thereafter. Upon the expiration of the six -year period, the financial disclosure statement and all copies thereof shall be destroyed. (b) Public financial disclosure statements shall cease to be public records once the six -year period in subsection (a) or (b) has run. ( c ) Nothing herein shall bar the board' s staf f from retaining a financial disclosure statement or an electronic copy of a financial disclosure statement that has become part of a charge case or advisory opinion request, or is part of an ongoing investigation. [Eff 4/29/131 (Auth: HRS §46-43; MCC §2.84.050) [L 1989, c 219, §1; am L 1993, c 27, §1; am L 1997, c 49, §11 §04.101-49.1 Penalties.. (a) Any person who fails to file a financial disclosure statement, annual financial disclosure update, or amendment of disclosure as required by section 10-3 of the Charter, section 2.56.060, Maui County Code, and these rules shall be subject to a penalty of not more than $1,000, as provided for by section 2.56.010, Maui County Code, and section 10-5 of the Charter. (b) The board may assess the following penalties: (1) For public financial disclosure statements: (A) Failure of an appointed or elected officer, department director, and/or r first deputy director, to file a financial disclosure statement when due shall be assessed an administrative fine of $50. The board shall notify said person, by registered mail return receipt requested, of the failure to file, and the disclosure of financial interests shall be submitted to the board not later than 4:30 p.m. on the tenth day after notification of the failure to file has been mailed to the person. If a disclosure of financial interests has not been filed within ten days of the due date, an additional administrative fine of $10 for each day a disclosure remains unfilled shall be added to the administrative fine, up to an aggregate 101-29 of $1,000. (B) Failure of a candidate for elective office to file a financial disclosure statement when due shall be assessed an administrative fine of $25, which shall be collected by the board, made payable to the County of Maui, and deposited to the general fund. The board may confirm with the County clerk's office whether or not a candidate for elective office has filed nomination papers. (2) For confidential financial disclosure statements: (A) Failure of a board or commission member to file their confidential financial disclosure statement with the board when due, shall be assessed an administrative fine of $50. The board shall notify a person, by registered mail return receipt requested, of the failure to file, and the disclosure of financial interests shall be submitted to the board not later than 4:30 p.m. on the tenth day after notification of the failure to file has been mailed to the person. If a disclosure of financial interests has not been filed within ten days of the due date, an additional administrative fine of $10 for each day a disclosure remains unfiled shall be added to the administrative fine. (c) All administrative fines collected under this section shall be deposited in the County's general fund, made payable to the County of Maui. Any administrative fine for late filing shall be in addition to any other action the board may take under this chapter for violations of the code of ethics. The board may waive any administrative fines assessed under this subsection for good cause shown. In addition to the assessment of any administrative fine, the board may release to the public a list of all public officials and candidates for elective office who have failed to file financial disclosure statements. [Eff 4/29/13, ren §04-101-38 and comp 4/29/13] (Auth: HRS 84-17, Charter §§10-2.2.f, 10- 5, MCC §2.56.010)(Imp: Charter §10-3; MCC §2.56.010 and §2.56.060) 101-30 Hawaii County Board of Ethics Rules re eived, time -stamped, and acknowledged by th etary ofhe Board. . —b. The dis osure may be reviewed by -a-'Board for conflict of interes or discrepancies C. If a discrepancy ' fo �rthe Board will advise the officer or employe the discrepancy, and it is the officer's or em oyee's sponsibility to correct the discrepancy. d. If a c flict is found, the aoard w' advise the officer or ployee of the conflict and procee treat the ter as though the matter were a request r an informal advisory opinion. 8.7 Penalties a. Any officer or employee who fails to file a financial disclosure as required by Section 2-91.1, HCC, and these rules shall be subject to the penalty provisions set forth in Section 2-91, HCC. RULE 9. DISCLOSURES OF INTEREST REQUIRED UNDER SECTION 2-91.1(S), HCC 9.1 Disclosures Required of Any Elected or Appointed Officer or Employee a. Any elected or appointed officer or employee who possesses or who acquires such interest, financial or otherwise, as might reasonably tend to create a conflict with the public interest in the performance of public duties, shall make full disclosure in writing at any time such conflict becomes apparent. b. The written disclosure need not be in any particular form but shall contain: (1) The name, address, and telephone number of the officer or employee; (2) A statement of the interest possessed or acquired by the officer or employee; (3) Any other information relevant to the matter; and (4) The signature of the officer or employee. C. Such disclosure statements shall be submitted: -20- BOE 2018-12.b 1 2-88 HAWAI`I COUNTY CODE (b) With respect to employees and officers other than officers removable only by impeachment, if there is no compliance of a formal opinion against an employee and officer other than an officer removable only by impeachment, the board shall issue a complaint and refer the matter to the appointing authority having the power to discipline the employee. The complaint must contain a statement of the facts alleged to constitute the violation. Hearings shall be in accordance with chapter 91, Hawaii Revised Statutes, except that every hearing shall be private, and no record of the proceedings shall be released to the public prior to its conclusion. Judicial review of decisions, orders and rulings adverse to the employee shall be in accordance with chapter 91, Hawai`i Revised Statutes. (c) If it is found that no violation of subsection (b) of this section has occurred, the appointing authority shall not make the record of the proceedings public. If it is found that a violation has occurred, the appointing authority may make its findings and the record of the proceedings public, taking into account the seriousness of the violation. (1983 CC, c 2, art 15, sec 2-88.) Section 2-89. Cooperation with County agencies. The commission may request and shall receive from every department, division, board, bureau, commission or other agency of the County cooperation and assistance in the performance of its duties. In addition, if the board's decision requires action by any agency, the board may request that such agency report its action within thirty days from the date of the request for action. (1983 CC, c 2, art 15, sec 2-89.) Section 2-90. Confidentiality. (a) Any board member, including the individual making the charge, who divulges information concerning the charge prior to the issuance of the complaint by the board mentioned in section 2-88 and section 2-89 or if the investigation discloses that the complaint should not be issued by the board, at any time divulges any information concerning the original charge, or divulges the contents or disclosures except as permitted by the board, shall be guilty of a misdemeanor which shall be punishable by a fine of not more than $500. If a board member is in violation of this section, the board member may be subject to dismissal from this board. (b) This prohibition shall not apply to meetings open to the public. (1983 CC, c 2, art 15, sec 2-90.) Section 2-91. Appointing authority's power to discipline. In addition to any other powers the appointing authority may have to discipline employees, the appointing authority may reprimand. put on probation, demote, suspend or discharge an employee found to have violated the standards of this article. (1983 CC, c 2, art 15, sec 2-91.) BOE 2018-12.c 2-36 ADMINISTRATION § 2-91.1 Section 2-91.1. Financial disclosures and disclosures of interest. (a) Definitions. The following words used in this section shall have the respective meanings in this section: (1) "Candidate" has the meaning given it by section 11-191(3),* Hawaii Revised Statutes; (2) "Elective" means all elective offices of the County of Hawaii; (3) "Income" means gross income defined by section 61 of the Internal Revenue Code of 1954; (4) "Regulatory employee" means: (A) Supervisors of inspectors employed by the department of public works and department of environmental management; (B) Inspectors employed by the department of public works and department of environmental management; (C) Supervisors of liquor control investigators; (D) Liquor control investigators; (E) Buyers and purchasing agents; (F) Supervisors of real property tax appraisers; (G) Real property tax appraisers; (H) Planners employed by the planning department; (I) Supervisors of inspectors employed by the department of water supply; (J) Inspectors employed by the department of water supply; (K) The legislative auditor. (b) Filing of financial disclosures. (1) Candidates to Office, All candidates for elective office for the County of Hawaii shall file a financial disclosure as provided herein within ten working days after the deadline for filing as a candidate for office. (2) Officers. All officers shall file a financial disclosure as provided herein within twenty working days after taking the oath of office or within twenty working days after the effective date of this section and annually thereafter on or before January 31 of each year until the end of the term of office. If an officer is re-elected to office or reappointed to office for a new term, the foregoing requirement for filing financial disclosures shall be observed. (3) Regulatory Employees. All regulatory employees shall file a financial disclosure as provided herein on or before January 31, 1984, and thereafter biennially on or before January 31 of the biennium year. Persons becoming regulatory employees on or after January 31, 1984, shall file the initial financial disclosure as provided herein within thirty working days of commencement of employment or term of office. (c) The disclosure of financial interests shall state the financial interests of the person disclosing, whether held in the person's name or by any other person for the person disclosing's use and benefit, and shall include: (1) The source, nature, and amount of all income of $1,000 or more received during the preceding calendar year; provided that information that may be privileged by law need not be disclosed. 2-37 § 2-91.1 HAWAI`I COUNTY CODE (2) The name of each creditor to whom the value of $3,000 or more was owed during the preceding calendar year and the original amount and amount outstanding; provided that debts arising out of retail installment transactions for the purchase of consumer goods need not be disclosed. (3) The amount and identity of every ownership or beneficial interest held during the disclosure period in any business having a value of $5,000 or more, or interest equal to ten percent or more of the ownership of the business and, if the interest was transferred during the preceding calendar year, the date of the transfer; provided that an interest in the form of an account in a Federal or State regulated financial institution, an interest in the form of a policy in a mutual insurance company, or individual items in a mutual fund or a blind trust, if the mutual fund or blind trust has been disclosed pursuant to this paragraph, need not be disclosed. (4) Every officership, directorship, trusteeship, or other fiduciary relationship held in a business during the preceding calendar year, the term of office and the annual compensation. (5) A description of all real property in which the person now holds, or held during the preceding calendar year, an interest valued at $5,000 or more, its tax map key, street address, and fair market value, and, if the interest was acquired or transferred during the preceding calendar year, the consideration paid or received for the interest and the name of the person or entity paying or receiving the consideration. (6) The amount and identity of all creditor interests in an insolvent business held during the preceding calendar year having a value of $5,000 or more. (7) The names of clients personally represented before County agencies, except in ministerial matters, for a fee or compensation during the preceding calendar year and the names of the County agencies involved. (8) On any item which calls for the stating of a dollar amount, this value may be reported by using an appropriate letter code as follows: (A) Less than $1,000; (B) At least $1,000 but less than $10,000; (C) At least $10,000 but less than $50,000; (D) At least $50,000 but less than $100,000; (E) At least $100,000 but less than $300,000; (F) At least $300,000 but less than $700,000; (G) At least $700,000 but less than $1,000,000; (H) More than $1,000,000. (d) Filing requirements. (1) All public financial disclosures shall be filed with the office of the County clerk. All confidential disclosures shall be filed with County board of ethics. (2) The form for all public financial disclosures shall be as prescribed by the County clerk. The forms for confidential disclosures shall be as prescribed by the County board of ethics. 2-38 ADMINISTRATION § 2-91.1 (3) Any officer or regulatory employee of the County shall file a financial disclosure as prescribed herein ten working days before an officer is to leave office or a regulatory employee is to terminate employment with the County. This requirement will also include transfer of an officer or regulatory employee from the County to either the State or Federal governments, or the transfer of an officer or regulatory employee to a County position for which financial disclosure is not required. (e) The financial disclosure statements of the following persons shall be public record and may be opened for inspection by the public during office hours of the County clerk: (1) All candidates for elective office. (2) All elected officers. (3) The administrative heads of the County agencies and their first deputies. (4) The managing director and deputy managing director. All other financial disclosure statements required to be filed under this section shall be confidential and accessible only by action of the board of ethics. (f) Penalty. (1) Officers and regulatory employees subject to section 2-91.1(b). Any officer or regulatory employee of the County who fails to file a financial disclosure as required in this section shall be subject to the provisions of section 2-91 hereof relating to noncompliance. (2) Any candidate who fails to file a financial disclosure as prescribed herein shall be guilty of a misdemeanor and subject to a fine of $1,000 and imprisonment of one year. (g) Notwithstanding any other disclosures filed under this section, it shall be incumbent upon all employees or officers of the County to make a full disclosure in writing to their appointing authority or to the council in the case of an elective officer, whenever the employee or officer possesses or acquires any interests, financial or otherwise, that might reasonably tend to create a conflict with the public interest in the performance of the public duties and responsibilities of the officer or employee. Any member of the council who knows he or she has a personal interest, direct or indirect, in any action proposed or pending before the council shall immediately disclose such interest. A copy of any disclosure of interest filed under this subsection shall be filed by the employee or officer with the County clerk which shall be a matter of public record. (1983 CC, c 2, art 15, sec 2-91.1; am 1983, ord 83-7, sec 1; am 1985, ord 85-35, sec 1; am 1999, ord 99-54, sec 1; am 2002, ord 02-109, sec 5; am 2005, ord 05-41, sec 1; am 2007, ord 07-131, sec 1; am 2008, ord 08-50, sec 2.) * Editor's Note: Section 11-191, Hawaii Revised Statutes, was repealed. 2-39 City & County of Honolulu Ethics Commission Rules b. Forms for the confidential disclosure maybe obtained from the commission offices during normal business hours or may be obtained on-line through the commission's official web site. Forms for public disclosures may be obtained from the office of the city clerk during regular business hours. [Eff �r�i p: RCH Sec. 11-107; ROH Sec. 3-8.4) OCT 1 9 9.4 Filing of Disclosures a. Financial disclosures shall be filed in accordance with section 3-8.4(d), ROH. b. Financial disclosures shall be filed in accordance with the deadlines as set forth in sections 3-8.4(b) and (d), ROH. c. Any officer or employee who is required to file a financial disclosure may be granted an extension of 10 working days by the commission; provided that such request is submitted in writing to the commission before the statutory deadline for the filing of either the long or short form. The commission or its legal counsel may grant such extension for good cause. [Eff ] (Imp: RCH Sec. I 1-10 ROH Sec. 3-8.4) OCT 1 9 2012 9.5 Confidentiality of Disclosures Disclosures will be treated as public or confidential in accordance with section 3- 8.4(e), ROH. [Eff ] (Imp: RCH Sec. 11-107; ROH Sec. 3-8.4) OCT 1 9 2CU12 9.6 Recordation and Review a. Upon receipt of a disclosure, it shall be time -stamped by the staff of the commission. b. The disclosure may be reviewed by the commission or its staff and if a conflict of interest or other violation of the standards of conduct is apparent from the contents of the disclosure, the commission or its staff may treat the matter as though it were a request for advice or a complaint. [Eff ] (Imp: RCH Sec. 11-107; ROH Sec. 3-8.4) OCT 19 20i2 9.7 Penalties 42 BOE 2018-12.d Any officer or employee who fails to file a financial disclosure as required by `. section 3-8.4, ROH, and these rules, or who files a financial disclosure that he or she knows or should have known is materially incomplete or inaccurate, shall be subject to the penalty provisions set forth in sections 3-8.4(f) and 3-8.5, ROH. [Eff' ] (imp: RCH Sec. 11-107; ROH Secs. 3-8.4 and 3-8.5) OCT 19 �otz 43 City & County of Honolulu ROH (a) No former officer or employee of the city shall disclose any information which by law or practice is not available to the public and which the former officer or employee acquired in the course of his or her official duties or use the information for his or her personal gain or the benefit of anyone- (b) No former officer or employee of the city shall within a period of one year after termination of city service or employment and for compensation appear before any city agency in relation to any case, proceeding or application with respect to which such person was directly concerned or which was under the person's active consideration while employed or in the service of the city- (c) A former officer or employee of the city may, within a period of one year after termination of city service or employment and for compensation: (1) appear before any city agency in any case, proceeding or application, with respect to which knowledge or information in relation to such case, proceeding or application, was made available to the former officer or employee during the term of employment or service; or (2) assist another person or business, including but not limited to one in which such person is an officer or employee, in any official act or action by [he city; provided, that in either instance the former city officer or employee shall first file an affidavit as provided below. Such former officer or employee of the city shall file a sworn affidavit with the city agency involved stating that the former officer or employee (1) was not directly concerned with, (2) did not actively consider, (3) did not participate in, and (4) was not given access to knowledge or information not readily available to the public during the period of said active service or employment, with respect to such case, proceeding or application or other matter before the city agency, All city agencies that receive such an affidavit shall forward a copy to the ethics commission (d) For the purposes of this section, the term "appear before any city agency" includes acting as an agent or attorney for, or otherwise representing, any other person or business in any formal or informal appearance. "Appear" also includes making any oral or written communications, including letters or telephone calls, to any city agency or personnel with the intent to influence on behalf of any other person or business. The date of termination of city service or employment shall be defined as the date upon which a person's resignation, dismissal or retirement takes effect- (e) No officer or employee of the city shall do business with any former officer or employee who falls within the scope of this section unless such former officer or employee first files a sworn affidavit as provided herein. (t) Any former officer or employee who falls within the scope of this section and who makes a false statement in the person's swom affidavit or files a false affidavit shall be deemed to have committed perjury and thereby subject to the provisions of Section 710 1060 of HRS Chapter 710 (Penal Code), and be punished as provided in said Chapter 710. (g) This section shall not prohibit any city agency from contracting with a former officer or employee to act on a matter on behalf of the city within the period of limitation stated herein and shall not prevent such officer or employee from appearing before any city agency in relation to such employment. (Sec. 6-13, R.O. 1978 (1983 Ed.), Am. Ord 90-96, 96-58) Sec. 3-8.4 Financial disclosures. (a) Definitions. The following words used in this section shall have the respective meanings in this subsection: "Business" includes a corporation, a partnership, a sole proprietorship, a trust or foundation, or other individual organization carrying on a business, whether or not operated for profit. "Candidate" has the meaning given it by HRS Section 11-191. "Elective" means all elective offices of the City and County of Honolulu. "Employee" means all full time employees of the executive and legislative branches of the City and County of Honolulu and all full-time employees of the board of water supply and the Honolulu Authority for Rapid Transportation who are exempt from civil service pursuant to Revised Charter Sections 6-1103 and 6-1104, but excluding all persons hued under the Comprehensive Employment and Training Act and under Revised Charter Section 6-1103 (e), (f), (g), and (h) "Income" means gross income as defined by Section 61 of the Internal Revenue Code of 1954. "Officer" has the same meaning as in Section 13-101.4 of the revised charter and shall include officers of the board of water supply and the Honolulu Authority for Rapid Transportation. (b) Filing of Financial Disclosures. (1) Candidates to Office. Any candidate for nomination or elective office for the City and County of Honolulu shall file within 10 working days after the deadline for filing as a candidate for office, a financial disclosure as provided herein. (2) (A) Officers. Any officer of the executive or legislative branch shall file a financial disclosure as prescribed herein within 20 working days after taking the oath of office and annually thereafter on or before January 31 st of each year until the end of the term of office. (B) If an officer is reelected or reappointed for a new term, the foregoing prescription of filing financial disclosures shall be observed. (3) Employees. Employees of the executive or legislative branches shall file financial disclosures as prescribed herein within 20 working days after the effective date of this section and file financial disclosures annually thereafter on or before January 31 st of each year. (c) The disclosure of financial interests shall state, in addition to the financial interests of the person disclosing, the financial interests of the person's spouse and dependent children, and shall include (1) The source and amount of all income of $1,000.00 or more received, for services rendered, by the person in such person's own name or by any other person for such person's use or benefit during the preceding calendar year and the nature of the services rendered; provided, that information that may be privileged by law or individual items of compensation that constitute a portion of the gross income of the business or profession from which the person derives income need not be disclosed. (2) The name of each creditor to whom the value of $3,000.00 or more was owed during the preceding calendar year and the original amount and amount outstanding; provided that debts arising out of retail installment transactions for the purchase of consumer goods neJ not be disclosed. (3) The amount and identity of every ownership or beneficial interests held during the disclosure period in any business incorporated, regulated, or licensed to carry on business in the state having a value of $5,000.00 or BOE 2018-12.e more or equal to 10 percent of the ownership of the business and, if the interest was transferred during the preceding calendar year, the date of the transfer, provided. that an interest in the form of an account in a federal or state regulated financial institution. an interest in the form of a policy in a mutual insurance company, or individual items in a mutual fund or a blind trust, if the mutual fund or blind trust has been disclosed pursuant to this paragraph, need not be disclosed (4) Every officership. directorship trusteeship or other fiduciary relationship held in a business during the preceding calendar year, the term of office and the annual compensation (5) The street address. if any. the tax map key number, if any, and the value of any real property in the City and County of Honolulu in which the person holds an interest whose value is $10,000 00 or more, and if the interest was transferred or obtained during the preceding calendar year. a statement of the amount and nature of the consideration received or paid in exchange for such interest. and the name of the person furnishing or receiving the consideration, provided that public disclosure shall not be required of the street address and tax map key number of the person's residence (6) The amount and identity of every creditor interest in an insolvent business held during the preceding calendar year having a value of $5,000 00 or more (7) The names of clients personally represented before city agencies. except in ministerial matters. for a fee or compensation during the preceding calendar year and the names of the city agencies involved (d) Filing Requirements (1) All public financial disclosures shall be filed with the office of the city clerk and a copy shall be transmitted by that office to the ethics commission All confidential disclosures shall be filed with the city ethics commission (2) The form for all public financial disclosures shall be as prescribed by the city clerk, provided that the person's residence address, including tax map key number, is disclosed on a separate form for "internal use only" and shall not be publicly disclosed by the city clerk or city ethics commission The forms for confidential disclosures shall be as prescribed by the city ethics commission (3) When leaving office or employment with the city Any officer or employee of the city shall file a financial disclosure as prescribed herein 10 working days before an officer is to leave such person's office or an employee is to terminate such person's employment with the city This requirement will also include transfer of an officer or employee from the city to either the state or federal governments (u) The financial disclosure statements of the following persons shall be public record and may be opened for inspection by the public during office hours of the city clerk.- (1) All candidates for elective office, (2) All elected officers. (3) The directors of the city agencies and their first deputies All other financial disclosure statements required to be filed under this section shall be confidential l f] Penalq (1) Officers and Employees (A) Late Filing Any officer or employee of the city whose required financial disclosure is not received by the ethics commission or the city clerk, whichever is applicable, by the close of business on the deadline date specified in subsection (b), shall be given a notice of violation of the provisions of this section by the ethics commission or the city clerk. whichever is applicable The notice shall state that the city officer or employee has 10 days from receipt of the notice in which to file the required financial disclosure or be subject to the penalties provided in this paragraph and Section 3-8 5 Any city officer or employee, who has received this notice and fails to file the required disclosure within 10 days of receipt of the notice, shall be subject to a civil fine according to the following schedule $100 00 for the first late filing, $200 00 for the second late filing. and thereafter. for each additional late filing, the fine imposed for the previous late filing plus $200 00 Any penalty or fine shall be imposed after an opportunity for a hearing conducted by the ethics commission under HRS Chapter 91 (B) Failure to File Any officer or employee of the city who falls to file a financial disclosure as required in this section within 30 days from receipt of the notice of violation referred to in paragraph (A), shall, in addition to any civil fines imposed under paragraph (A), be subject to (1) The provisions of Section 3 8 5 relating to noncompliance, or (ii) A criminal penalty of a fine of not more than $2,000 00 or of imprisonment for not more than one year, or of both such fine and imprisonment, or to both (i) and (ii) (2) Candidates (A) Late Filing Any candidate whose required financial disclosure is not received by the city clerk by the close of business on the deadline date specified in subsection (b), shall be given a notice of violation of the provisions of this section by the city clerk The notice shall state that the candidate has 10 days from receipt of the notice in which to file the required financial disclosures or be subject to the penalties provided in this paragraph Any candidate, who has received this notice and fads to file the required disclosure within 10 days of receipt of the notice, shall, upon election to office, be subject to the provisions of Section 3-8 5 and a civil fine according to the following schedule $100 00 for the first late filing, $200.00 for the second late filing, and thereafter, for each additional late filing. the fine imposed for the previous late filing plus $200 00 Any penalty or fine shall be imposed after an opportunity for a hearing conducted by the ethics commission under HRS Chapter 91 (BY Failure to File Any candidate who fails to file a financial disclosure as required in this section within 30 days from receipt of the notice of violation referred to in paragraph (A), shall, in addition to any civil fines imposed under paragraph (A), be subject to a criminal penalty of a fine of not more than $2,000.00 or of imprisonment for not more than one year or of both such fine and imprisonment. (3) Rules. The ethics commission shall have the authority to establish rules to implement subdivisions (1) and (2) (Sec. 6-1 4, R O. 1978 (1987 Supp to 1983 Ed.), Am. Ord. 95-23, 96-58. 0743. 09-9, 14-1) See. 3-8.5 1 iolation Penalty. (a) The failure to comply with or any violation of the standards of conduct of this article or of Article XI of the revised charter shall be grounds for impeachment of elected officers and for the removal from office or from employment of all other officers and employees. The appointing authority may, upon the recommendation of the ethics commission, reprimand, put on probation, demote, suspend or discharge an employee found to have violated the standards of conduct established by this article Nothing contained herein shall preclude any other remedy available against such officer or employee. (b) In addition to any other penalty provided by law, any contract entered into by the city in violation of Article XI of the revised charter or of this article is voidable on behalf of the city; provided, that in any action to void a contract pursuant to this article the interest of third parties who may be damaged thereby shall be taken into account, and the action to void the official act or action is initiated within six months after the matter is determined by the ethics commission (c) The city, by the corporation counsel, may recover any fee, compensation, gift or profit received by any person as a result of a violation of the standards in this article or in Article XI of the revised charter by an officer or employee or former officer or employee. Action to recover under this subsection shall be brought within four years of such violation (d) In addition to any other penalty, sanction or remedy provided by law, the ethics commission may impose a civil fine against a former or current officer or exempt employee of the city who has been found by the ethics commission to have violated the standards of conduct in Article XI of the revised charter or this article. For the purposes of this section, "officer" has the same meaning as in Section 13-101 4 of the revised charter and shall include officers of the board of water supply and the Honolulu Authority for Rapid Transportation and "exempt employee" means all employees of the executive and legislative branches of the City and Count}of Honolulu and all full-time employees of the board of water supply and the Honolulu Authority for Rapid Transportation who are exempt from civil service pursuant to revised charter Sections 6- 1103(a)-(d), (i) and (k) and 6-1 104(a)-(d), but shall not mean exempt employees in clerical positions or employees within a bargaining unit as described in Section 89-6, Hawaii Revised Statutes (1) Where a civil fine has not otherwise been established in this article, the amount of the civil fine imposed by the ethics commission for each violation shall not exceed the greater of $5,000 or three times the amount of the financial benefit sought or resulting from each violation (2) In determining whether to impose a civil fine and the amount of the civil fine, the ethics commission shall consider the totality of the circumstances, including, but not limited to: (A) The nature and seriousness of the violation, (B) The duration of the violation, (C) The effort taken by the officer or exempt employ ee to correct the violation; (D) The presence or absence of any intention to conceal, deceive or mislead; (E) Whether the violation %%as negligent or intentional, (F) Whether the officer or exempt employee demonstrated good faith by consulting the ethics commission staff or another government agency or an attorney; (G) Whether the officer or exempt employee had prior notice that his or her conduct was prohibited, (H) The amount, if any, of the financial or other loss to the city as a result of the violation; (1) The value of anything received or sought in the violation; 0) The costs incurred in enforcement, including reasonable investigative costs and attorneys' fees, (K) Whether the officer or exempt employee %gas truthful and cooperative in the investigation; and (L) Any other relevant circumstance. (3) No civil fine shall be imposed unless the requirements of Chapter 91 and HRS Section 46-1 5(24), have been met. (4) The ethics commission may recover any civil fines imposed pursuant to this section and may, through the corporation counsel, institute proceedings to recover any civil fines. (5) Pursuant to Chapter 1, Article 19, the ethics commission shall have executive authority to add unpaid fines by administrative order to any taxes, fees or charges (6) Notwithstanding Section 3-6.3(c), no civil fine may be imposed under this subsection: (A) If the applicable complaint or request for advisory opinion is submitted more than four years after the alleged violation occurred; or (B) For an investigation commenced by the commission on its own initiative, if the investigation is commenced more than four years after the alleged violation occurred. (Sec 6-1.5, R.O. 1978 (1983 Ed ); Am Ord 90-96, 02-15, 0743, 09-9, 12-31) Sec. 3-8.6 Additional standards of conduct concerning campaign contributions and campaign assistance. (a) This section applies to the conduct of an exempt officer or employee This section is additional to the prohibitions of Section 6-11 12(2) and (3) of the revised charter, both of which are directed at an officer or employee in the civil service. (b) For the purpose of this section: "Campaign assistance" means any service, including donating time or anything of value, to assist: (1) The campaign of a person seeking nomination or election to a public office; (2) The effort to (A) Place a question on an election ballot, or (B) Approve or reject a question which is on an election ballot, (3) The effort to recall an officer, or § 84-17. Requirements of disclosure, HI ST § 84-17 KeyCite Yellow Flag - Negative Treatment Proposed Legislation West's Hawaii Revised Statutes Annotated DiNRsion 1. Government Title 7. Public Officers and Employees Chapter 84. Standards of Conduct (Refs & Annos) Part II. Code of Ethics (Refs & Annos) HRS § 84-17 § 84-17. Requirements of disclosure Currentness (a) For the purposes of this section, the terms: "Disclosure period" refers to the period from January I of the preceding calendar year to the time of the filing of the employee's or legislator's disclosure of financial interests. "Substantially the same" refers to no more than ten amendments or changes to the information reported for the preceding disclosure period. (b) The disclosure of financial interest required by this section shall be filed: (1) By any person enumerated in subsection (c), except a member of the legislature, between January I and May 31 of each year; (2) By a member of the legislature between January 1 and January 31 of each year; (3) Within thirty days of a person's election or appointment to a state position enumerated in subsection (c); or (4) Within thirty days of separation from a state position if a prior financial disclosure statement for the position was not filed within the one hundred eighty days preceding the date of separation; provided that candidates for state elective offices or the constitutional convention shall file the required statements no later than twenty days prior to the date of the primary election for state offices or the election of delegates to the constitutional convention. (c) The following persons shall file annually with the state ethics commission a disclosure of financial interests: (1) The governor, the lieutenant governor, the members of the legislature, and delegates to the constitutional convention; provided that delegates to the constitutional convention shall only be required to file initial disclosures; BOE 2018-12.f WE5TLAW r ; 2018 Thornson Reuters. No claim to original U.S. Government Works. § 84-17. Requirements of disclosure, HI ST § 84-17 (2) The directors and their deputies, the division chiefs, the executive directors and the executive secretaries and their deputies, the purchasing agents and the fiscal officers, regardless of the titles by which the foregoing persons are designated, of every state agency and department; (3) The permanent employees of the legislature and its service agencies, other than persons employed in clerical, secretarial, or similar positions; (4) The administrative director of the State, and the assistants in the office of the governor and the lieutenant governor, other than persons employed in clerical, secretarial, or similar positions; (5) The hearings officers of every state agency and department; (6) The president, the vice presidents, assistant vice presidents, the chancellors, and the provosts of the University of Hawaii and its community colleges; (7) The superintendent, the deputy superintendent, the assistant superintendents, the complex area superintendents, the state librarian, and the deputy state librarian of the department of education; (8) The administrative director and the deputy director of the courts; (9) The members of every state board or commission whose original terms of office are for periods exceeding one year and whose functions are not solely advisory; (10) Candidates for state elective offices, including candidates for election to the constitutional convention, provided that candidates shall only be required to file initial disclosures; (11) The administrator and assistant administrator of the office of Hawaiian affairs; and (12) The Hawaii unmanned aerial systems test site chief operating officer. (d) The financial disclosure statements of the following persons shall be public records and available for inspection and duplication: (1) The governor, the lieutenant governor, the members of the legislature, candidates for and delegates to the constitutional convention, the trustees of the office of Hawaiian affairs, and candidates for state elective offices; (2) The directors of the state departments and their deputies, regardless of the titles by which the foregoing persons are designated; provided that with respect to the department of the attorney general, the foregoing shall apply only to the attorney general and the first deputy attorney general; WESTLAW C, 2018 Thomson Reuters. No claim to original U.S. Government Works § 84-17. Requirements of disclosure, HI ST § 84-17 (3) The administrative director of the State; (4) The president, the vice presidents, the assistant vice presidents, the chancellors, members of the board of regents, and the provosts of the University of Hawaii; (5) The members of the board of education and the superintendent, the deputy superintendent, the state librarian, and the deputy state librarian of the department of education; (6) The administrative director and the deputy director of the courts; (7) The administrator and the assistant administrator of the office of Hawaiian affairs; and (8) The members of the following state boards, commissions, and agencies: (A) The board of directors of the agribusiness development corporation established under section 163D-3; (B) The board of agriculture established under section 26-16; (C) The state ethics commission established under section 84-21; (D) The Hawaii community development authority established under section 206E-3; (E) The Hawaiian homes commission established under the Hawaiian Homes Commission Act of 1920, as amended, and section 26-17; (F) The board of directors of the Hawaii housing finance and development corporation established under section 201 H-3; (G) The board of land and natural resources established under section 171-4; (H) The state land use commission established tinder section 205-1; (I) The legacy land conservation commission established under section 173A-2.4; (J) The natural area reserves system commission established under section 195-6; WESTIAW D 2018 Thomson Reuters. No claim to original U.S. Government Works. § 84-17. Requirements of disclosure, HI ST § 84-17 (K) The board of directors of the natural energy laboratory of Hawaii authority established under section 227D-2; (L) The board of directors of the Hawaii public housing authority established under section 35613-3; (M) The public utilities commission established under section 269-2; and (N) The commission on water resource management established under section 174C-7. (e) The information on the financial disclosure statements shall be confidential, except as provided in subsection (d). The commission shall not release the contents of the disclosures except as may be permitted pursuant to this chapter. Any person who releases any confidential information shall be subject to section 84-31(c). (f) Candidates for state elective offices, including candidates for election to the constitutional convention, shall only be required to disclose their own financial interests. The disclosures of financial interests of all other persons designated in subsection (c) shall state, in addition to the financial interests of the person disclosing, the financial interests of the person's spouse and dependent children. All disclosures shall include: (1) The source and amount of all income of $1,000 or more received, for services rendered, by the person in the person's own name or by any other person for the person's use or benefit during the preceding calendar year and the nature of the services rendered; provided that required disclosure under this paragraph for the income source of the spouse or dependent child of a person subject to subsection (d) shall be limited to the name of the business or other qualifying source of income, and need not include the income source's address; provided further that other information that may be privileged by law or individual items of compensation that constitute a portion of the gross income of the business or profession from which the person derives income need not be disclosed; (2) The amount and identity of every ownership or beneficial interest held during the disclosure period in any business having a value of $5,000 or more or equal to ten per cent of the ownership of the business and, if the interest was transferred during the disclosure period, the date of the transfer; provided that an interest in the form of an account in a federal or state regulated financial institution, an interest in the form of a policy in a mutual insurance company, or individual items in a mutual fund or a blind trust, if the mutual fund or blind trust has been disclosed pursuant to'this paragraph, need not be disclosed; (3) Every officership, directorship, trusteeship, or other fiduciary relationship held in a business during the disclosure period, the term of office and the annual compensation; (4) The name of each creditor to whom the value of $3,000 or more was owed during the disclosure period and the original amount and amount outstanding; provided that debts arising out of retail installment transactions for the purchase of consumer goods need not be disclosed; (5) The street address and, if available, the tax map key number, and the value of any real property in which the person holds an interest whose value is $10,000 or more, and, if the interest was transferred or obtained during the WESTIAW C, 2018 Thornson Reuters. No claim to original U.S. Government Works. 4 § 84-17. Requirements of disclosure, HI ST § 84-17 disclosure period, a statement of the amount and nature of the consideration received or paid in exchange for such interest, and the name of the person furnishing or receiving the consideration; provided that disclosure shall not be required of the street address and tax map key number of the person's residence; (6) The names of clients personally represented before state agencies, except in ministerial matters, for a fee or compensation during the disclosure period and the names of the state agencies involved; and (7) The amount and identity of every creditor interest in an insolvent business held during the disclosure period having a value of $5,000 or more. (g) Where an amount is required to be reported, the person disclosing may indicate whether the amount is at least $1,000 but less than $10,000; at least $10,000 but less than $25,000; at least $25,000 but less than $50,000; at least $50,000 but less than $100,000; at least $100,000 but less than $150,000; at least $150,000 but less than $250,000; at least $250,000 but less than $500,000; at least $500,000 but less than $750,000; at least $750,000 but less than $1,000,000; or $1,000,000 or more. An amount of stock may be reported by number of shares. (h) The state ethics commission shall provide a long form of disclosure on all even -numbered years and a short form of disclosure for subsequent annual filings on all odd -numbered years in those instances where the financial interests of the person disclosing are substantially the same as those reported for the preceding disclosure period. (i) Failure of a legislator, a delegate to the constitutional convention, or employee to file a disclosure of financial interests as required by this section shall be a violation of this chapter. Any legislator, delegate to a constitutional convention, or employee who fails to file a disclosure of financial interests when due shall be assessed an administrative fine of $75. The state ethics commission, upon the expiration of the time allowed for filing, may post on its website for public inspection a list of all persons who have failed to file financial disclosure statements. The state ethics commission shall notify a person. by in -person service, electronic mail to the person's state electronic mail address, or first class mail, of the failure to file, and the disclosure of financial interests shall be submitted to the state ethics commission not later than 4.30 p.m. on the tenth day after notification of the failure to file has been mailed to the person. If a disclosure of financial interests has not been filed within ten days of the due date, an additional administrative fine of $10 for each day a disclosure remains unfiled shall be added to the administrative fine. All administrative fines collected under this section shall be deposited in the State's general fund. Any administrative fine for late filing shall be in addition to any other action the state ethics commission may take under this chapter for violations of the state ethics code. The state ethics commission may waive any administrative fines assessed tinder this subsection for good cause shown. 0) The chief election officer, upon receipt of the nomination paper of any person seeking a state elective office, including the office of delegate to the constitutional convention, shall notify the state ethics commission of the name of the candidate for state office and the date on which the person filed the nomination paper. The state ethics commission, upon the expiration of the time allowed for filing, shall release to the public a list of all candidates who have failed to file financial disclosure statements and shall immediately assess a late filing penalty fee against those candidates of $50, which shall be collected by the state ethics commission and deposited into the general fund. The state ethics commission may investigate, initiate, or receive charges as to whether a candidate's financial disclosure statement discloses the financial interests required to be disclosed. After proceeding in conformance with section 84-31, the state ethics commission may issue a decision as to whether a candidate has complied with section 84-17(f) and this decision shall be a matter of public record. WESTLAW 2018 Thomson Reuters. No claim to original U.S. Government Works. § 84-17. Requirements of disclosure, HI ST § 84-17 Credits Laws 1972, ch. 163, § 1; Laws 1978, ch. 245, § 4; Laws 1979, ch. 91, § 6; Laws 1980, ch. 87, §§ 1, 2; Laws 1984, ch. 90, § 1; Laws 1985, ch. 152, § 1; Laws 1989, ch. 113, §§ 1, 2; Laws 1991, ch. 150, § 1; Laws 1993, ch. 26, § 1; Laws 1995, ch. 49, § 1; Laws 1995, ch. 230, § 1; Laws 1997, ch. 50, § 1; Laws 2000, ch. 297, § 18; Laws 2003, ch. 187, § 4; Laws 2005, ch. 135, § I; Lags 2006, ch. 207, § 2; Laws 2007. ch. 9, § 4, eff. April 9, 2007; Laws 2011, ch. 5, § 10; Laws 2013, ch. 125, § 1, eff. June 14, 2013; L m s 2014, ch. 230, § 2, eff. July 8, 2014, Laws 2015, ch. 208, § 3, eff. July I, 2015; Laws 2017, ch. 52, § I, eff. June 22, 2017. H R S§ 84-17, H I ST § 84-17 Current through Act 220 of the 2018 Regular Session, pending classification of undesignated material and text revision by the revisor of statutes. For research tips relating to newly added undesignated material, see Searching and Fields under scope. h-md of Document _Ills I hom,on Ranters No clams to onemaI l'.S (GoNernment Work,. WESTLAW @ 2.018 Thomson Reuters. No claim to original U.S. Government Works. 6 COUNTY COUNCIL Mel Rapozo, Chair Ross Kagawa, Vice Chair Arthur Brun Mason K. Chock Arryl Kaneshiro Derek S.K. Kawakami JoAnn A. Yukimura Council Services Division 4396 Rice Street, Suite 209 LlWe, Kauai, Hawaii 96766 October 11, 2018 Mike Curtis, Chairperson Kauai Board of Ethics c/o Office of Boards & Commissions 4444 Rice Street Lihu`e, Hawaii 96766 OFFICE OF THE COUNTY CLERK Jade K. Fountain-Tanigawa, County Clerk Scott K. Sato, Deputy County Clerk Telephone: (808) 241-4188 Facsimile: (808) 241-6349 E-mail: cokcouncil@kauai.gov RE: COUNTY OF KAUAI DISCLOSURE STATEMENTS Dear Chair Curtis and Members of the Board of Ethics: Enclosed is the information requested regarding Charter Section 20.04, Disclosure and Kauai County Code Section 3-1.9, Requirements of Disclosure. Disclosure Statements The purpose of Disclosure Statements is to ensure a level of governmental accountability and transparency by identifying financial interests that may conflict with an appointed or elected officials duties and responsibilities. Failure to comply with the County's disclosure requirements is a violation of the Code of Ethics. As stated in both Charter Section 20.04 (C) (2) and Kauai County Code Section 3-1.9(g)... Any violation of any of the provisions of this Section shall constitute cause for fine, suspension, or removal from office or employment. History Lyle Tabata was sworn in as the Deputy County Engineer in 2010 and filed his first Disclosure Statement on January 18, 2011, he was later reappointed in 2014, and again filed a Disclosure Statement on December 19, 2014. On February 19, 2016, upon the departure of Larry Dill, Mr. Tabata was named Acting County Engineer, a position he still holds today. In his new position, he assumes full responsibility for the Department of Public Works. However, as the Acting County Engineer, he did not file a new or amended Disclosure Statement as required by Section 3-1.9, Requirements of Disclosure (see attached), until the statement that appeared on the September 21, 2018 Board of Ethics Commission agenda. AN EQUAL OPPORTUNITY EMPLOYER 130E 301b ' la . 9 Mike Curtis, Chairperson, Kauai Board of Ethics Re: County of Kauai Disclosure Statements October 11, 2018 Page 2 The Code of Ethics The Requirements of Disclosure are very clear, failing to disclose or failing to amend your disclosure statement when a change occurs is a violation, and the Board of Ethics (BOE) has the ability to prescribe the penalty — whether it be a fine, suspension, or removal from office. The Charter provides the BOE with the authority to implement the disclosure provisions. Other Jurisdictions Each County as well as the State via the Hawaii State Ethics Commission has specific Code of Ethics provisions which are summarized below: • Kaua`i: Requires disclosure, changes/amendments must be made within 30 days, no extension of time provided, penalty: fine, suspension, removal from office. • C & C Hnl: Requires disclosure, changes/amendments need to be made within 5 working days, 10 day extension of time provided only for good reason, penalty: appointing authority w/ Ethics Commission recommendation may reprimand. Demote, suspend, discipline, civil fines. • Maui: Requires disclosure, penalty: not more than $1000 per violation, discipline, criminal proceedings. • Hawai'i Island: Requires disclosure, changes amendments dependent on type of job, penalty: discipline, reprimand, demotion, probation, suspension or discharge. • State of Hawaii: Requires disclosure, changes/amendments allowed 15 days prior to deadline, penalty: $75 late filing penalty plus admire fines $10 per day. During discussion with the State Ethics Commission, staff confirmed that everyone who files a late disclosure is fined (see attached public posting notice and fines). Everyone is subjected to the same treatment and the same fines — no one is treated differently. Staff further stated that once they began to actively levy fines, everyone began to comply, and they found it the most efficient and effective method of obtaining compliance. They do not entertain excuses of "I'm too busy", "I forgot", and "I didn't know". Mike Curtis, Chairperson, Kauai Board of Ethics Re: County of Kauai Disclosure Statements October 11, 2018 Page 3 They feel strongly as I am sure each specific Ethics Commission feels with regard to the importance of Disclosure Statements and the need for timely disclosure. The Board of Ethics plays a significant role in governmental transparency and accountability, how the BOE handles these types of cases is critical. While, some may feel this case is not important, a violation is just that and should be handled as detailed in both the Charter and Kauai County Code. Thank you for the opportunity to provide the Board of Ethics with the requested information. If you have any questions, please feel free to contact me. Sincerely, C a J K. FOUNTAIN-TANIGAWA County Clerk Attachments. � THE CHARTER OF THE, COUNTY OF KAUA`I (2016 Codified Version) B. The county shall not enter into a contract with any person or firm which is represented or assisted personally in the matter by a person who has been an employee of the agency within the preceding one year and who participated while in county employment with the subject matter of the contract. (Amended 2010) C. This section shall not apply to a personal employment contract. Section 20.04. Disclosure. A. The mayor, councilpersons, all department heads and deputies, members of boards and commissions, the purchasing administrator, and any employee delegated or authorized to act on behalf of the director of finance and the deputy director of finance in their absence shall, within thirty days of assuming office, file with the board a list of all real property within the county in which such person has any right, title, or interest, a list of all business firms which contract for county business in which such person has any interest, and all of such person's places of employment, including part-time employment, all sources and amounts of income, business ownership, officer and director positions, debts, creditor interests in insolvent businesses, and the names of persons represented before government agencies. Amendments to the list, including additions, deletions, or changes in title, interest in property or of employment, shall be made within thirty days of the occurrence of the amendment. The list shall be'a matter of public record. (Amended 2008, 2010) B. 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 with such person's duties or authority, or who is an owner, officer, executive director, or director of an organization, or whose member of such person's immediate family, which includes parents, siblings, spouse, or children, is an owner, officer, executive director, or director of an organization in any matter pending before such person shall make full disclosure of the conflict of interest and shall not participate in said matter. (Amended 1976, 1980, 2006, 2008) C. Penalties. (1) Any violation of any of the provisions of this section shall, at the option of the director of finance, render forfeit and void the contract, work, business, sale, or transaction affected. (2) Any violation of any of the provisions of this section shall constitute cause for fine, suspension, or removal from office or employment.— D. The council shall, by ordinance, adopt and may, from time to .time, revise and amend such complementary provisions as may be necessary to supplement the code of ethics. E. The mayor, the council, and the board of ethics shall be responsible for the enforcement of provisions of this article. (Amended 2008) - 40 - 2016 Kauai County Code 1987, as amended Sec. 3-1.9 Requirements of Disclosure. (a) The Mayor, Councilpersons, all department heads and deputies, members of boards and commissions and the purchasing administrator, and any employee delegated or authorized to act on behalf of the Director of Finance and the Deputy Director of Finance in their absence shall, within thirty (30) days of assuming office, file with the Board of Ethics a list of all real property within the County in which he or she has any right, title or interest; a list of all business firms which contract for County business in which he or she has interest; all places of employment, including part-time employment; and all sources and amounts of income, business ownership, officer and director positions, debts, creditor interests in insolvent businesses and the names of persons represented before government agencies. Amendments to the list, including additions, deletions or changes in title, interest in property or of employment, shall be made within thirty (30) days of the occurrence of the amendment. The list shall be a matter of public record. (b) All candidates for elective office shall, within seven (7) days of filing nomination papers, file with the Board of Ethics a list of all real property within the County in which he or she has any right, title or interest; a list of all business firms which contract for County business in which he or she has any interest; all places of employment, including part-time employment; and all sources and amounts of income, business ownership, officer and director positions, debts, creditor interests in insolvent businesses and the names of persons represented before government agencies. Amendments to the list, including additions, deletions or changes in title, interest in property or of employment shall be made within seven (7) days of the occurrence of the amendment. The list shall be a matter of public record. (c) The Board of Ethics shall prescribe the form or forms to be executed and shall fix the date when the initial disclosure must be filed. (d) Any Councilmember who has a financial interest in any proposed legislation before the Council shall disclose on the record of the Council the nature and extent of the interest. (e) Any employee who has a financial interest in any proposed legislative action of the Council and who participates in discussion with or gives an official opinion or recommendation to the Council shall disclose on the record of the Council the nature and extent of the interests. (f) In addition to the non -compulsory meetings that can be called by the chairman or by a majority of the Board of Ethics there shall be one (1) compulsory meeting of the Board of Ethics that shall be held annually on a date designated by the Board of Ethics for the purpose of reviewing and verifying all disclosure forms to insure that they have been kept current and that any modifications thereon have been duly recorded. (g) Any violation of any of the provisions of this Section shall, at the option of the Director of Finance, render forfeit and void the contract, work, business, sale or transaction affected. Any violation of any of the provisions of this Section shall constitute cause for fine, suspension or removal from office or employment. (Ord. No. 142, May 7, 1969; Sec. 25, C.O. 1971; Sec. 3-1.9, R.C.O. 1976; Ord. No. 387, June 26, 1980; Ord. No. 956, August 28, 2013) Sec. 3-1.11 Violation; Penalties. (a) In addition to any other penalty provided by law, any contract entered into by the County in violation of this Article is voidable on behalf of the County at the option of the Director of Finance, provided that in any action to void a contract pursuant to this Section the interests of third parties who may be damaged thereby shall be taken into account, and the action to void the transaction is initiated within sixty (60) days after the determination of a violation under this Article. The County Attorney shall have the authority to enforce this provision. (b) Any favorable County action obtained in violation of any of the standards for Councilmembers or employees is voidable in the same manner as voidable contracts as provided for under Sec. 3- 1.11(a); and the County by the County Attorney may pursue all legal and equitable remedies available to it. (c) The County Attorney may recover any fee, compensation, gift or profit received by any person as a result of a violation of these standards by a Councilmember or employee or former Councilmember or employee. Action to recover under this Subsection shall be brought within two (2) years of the violation under this Article. (d) Any violation of any of the provisions of this Article shall constitute cause for fine, suspension or removal from office or employment. (Ord. No. 142, May 7, 1969; Sec. 25, C.O. 1971; Sec. 3-1.11, R.C.O. 1976) S6 OFq� HAWAII t %96 STATEy9, 1 ETHICS COMMISSION State of Hawaii • Bishop Square,1001 Bishop Street, ASB Tower 970 • Honolulu, Hawaii 96813 Resolution of Charge No. 2018-1 COMPL-C-17-00342 Dean Nishina, Executive Director Department of Commerce and Consumer Affairs Division of Consumer Advocacy January 18, 2018 The Financial Disclosure Law, Hawaii Revised Statutes ("HRS") § 84-17, requires state elected officials, members of state boards and commissions, and state employees holding certain positions to file an annual Disclosure of Financial Interests with the Hawaii State Ethics Commission ("Commission"). The purpose of financial disclosures is to ensure governmental accountability and transparency by identifying financial interests that may conflict with a state official's duties and responsibilities to the public. State officials who fail to comply with the disclosure requirements are subject to statutory fines and other administrative penalties. HRS § 84-17(i). On October 2, 2017, the Commission issued a charge against Dean Nishina, Executive Director of the Department of Commerce and Consumer Affairs, Division of Consumer Advocacy, based on his failure to file a 2017 financial disclosure statement by the statutory deadline. Mr. Nishina filed his financial disclosure on November 21, 2017 and has agreed to pay $820:00, the full amount of the statutory penalty, to the State of Hawaii. Accordingly, the Commission and Mr. Nishina have agreed to resolve this matter upon publication of this Resolution of Charge. The Commission believes it is fair, reasonable, and in the public interest to resolve this matter without further administrative action. Telephone: (808) 587-0460 Email: c1hiu@hawaiieth0cs.ar9 Website: hitp://ethics.ha%vaii.gov/ Resolution of Charge No. 2018-1 Page 2 JAN 18 2018 Dated Reynaldb D. Graulty, Chair Hawaii State Ethics Commissio JAN 18 2018 (4 a 15 g Dated Ruth D. Tschumy, Vice Chair Hawaii State Ethics Commission Dated JAN 18 2018 qDZI-0 David O'Neal, Commissioner Hawaii State Ethics Commission Dated JAN 18 2018 n Susan N. DeGuzma ommissioner Hawaii State Ethics Commission JAN 18 2018 ' Dated Melinda S. Wood, Commissioner Hawaii State Ethics Commission t" 0 V "'4 HAWAII 4' ° `°'a • '= STATE ETHICS COMMISSION State of Hawaii • Bishop Square,1001 Bishop Street, ASB Tower 970 • Honolulu, Hawaii 96813 Resolution of Charges No. 2017-1 2016 Late Financial Disclosure Filers April 21, 2017 The State Ethics Code requires members of state boards and commissions and state employees holding certain state positions to file an annual Disclosure of Financial Interests ("financial disclosure statement") with the Hawaii State Ethics Commission ("Commission"). Hawaii Revised Statutes ("HRS") § 84-17. Individuals who fail to timely file their annual financial disclosure statement are subject to a $50 fine, and a $10 administrative penalty for each day that their disclosure remains unfiled. HRS § 84- 17(i). In February 2017, the Commission issued charges and assessed fines against the following individuals for failure to file a 2016 financial disclosure statement by the statutory deadline: William N. Arakaki, Complex Area Superintendent, Kauai, Department of Education ($1,500) Scott E. Enright, Chairperson, Board of Agriculture ($130) Rachelle lopa, Board Member, Board of Physical Therapy ($1,100) Respondents have now filed their disclosures and paid the full amount of the statutory penalty. Accordingly, the Commission and Respondents agreed to resolve each of the matters upon publication of this Resolution of Charge. Telephone: (808) 587-0460 Email: ethics o0hawaiielhics.oro Website: http://ethlcs.hawaii.gov/ 10/11/2018 city and county of Revised Charter of Honolulu 2017 Edition, Section 11 HONOLULU Government Departments Home and Agencies & Visitors and Activities City and County of Honolulu • Ethics Commission Ethics Commission Home What's New Meeting Information FAQs Report an Issue or Concern Laws Advisory Opinions Publications and Guidelines by Subject Matter Mandatory Ethics Training Disclosure Forms & Instructions Lobbyist Information Related Web Sites i.i Communities City Services Residents & Business Online Revised Charter of Honolulu 2017 Edition, Article XI Standards of Conduct To access the full text of the Revised Charter of Honolulu, please click here. Section 11-101. Declaration of Policy — Elected and appointed officers and employees shall demonstrate by their example the highest standards of ethical conduct, to the end that the public may justifiably have trust and confidence in the integrity of government. They, as agents of public purpose, shall hold their offices or positions for the benefit of the public, shall recognize that the public interest is their primary concern, and shall faithfully discharge the duties of their offices regardless of personal considerations. Section 11-102. Conflicts of Interest — 1. No elected or appointed officer or employee shall: (a) Solicit or accept any gift, directly or indirectly, whether in the form of money, loan, gratuity, favor, service, 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 such person's official duties. Nothing herein shall preclude the solicitation or acceptance of lawful contributions for election campaigns. (b) Disclose confidential information gained by reason of such person's office or position or use such information for the personal gain or benefit of anyone (c) Engage in any business transaction or activity or have a financial interest, direct or indirect, which is incompatible with the proper discharge of such person's official duties or which may tend to impair the independence of judgment in the performance of such person's official duties. (d) Receive any compensation for such person's services as an officer or employee of the city from any source other than the city, except as otherwise provided by this charter or by ordinance. (a) Represent private interests in any action or proceeding against the interests of the city or appear in behalf of private interests before any agency, except as otherwise provided by law. 2. No appointed officer shall participate in or make any decision on a city matter if., (a) He or she was directly involved in the matter while employed with a private entity in the twelve months immediately preceding the start of the officer's current employment with the city; and (b) Such prior involvement on behalf of a private entity may tend to impair the independence of judgment in the performance of the officer's official duties. The prohibition in this subsection shall apply for a period of twelve months from the start of the officer's current employment with the city. The officer may apply for a waiver from this prohibition to the ethics commission, which shall determine, based on the relevant circumstances, whether the waiver is in the best interests of the public. For the purposes of this subsection, the term "officer" shall exclude any member of a board or commission who is not the administrative head of an agency. (Reso. 83-357 and 09-336) Section 11-103. Disclosure of Interest — Any elected or appointed officer or employee who possesses or who acquires such interests as might reasonably tend to create a conflict with the public interest shall make full disclosure in writing to such person's appointing authority or to the council, in the case of a member of the council, and to the ethics commission, at any time such conflict becomes apparent.37 Such disclosure statements shall be made a matter of public record and be filed with the city clerk. Any member of the council who knows he or she has a personal or private interest, direct or indirect, in any proposal before the council, shall disclose such interest in writing to the council. Such disclosure shall be made a matter of public record prior to the taking of any vote on such proposal. (Reso. 83-357) 37A councilmember's indirect personal interest in a townhouse development, in that land owned by him would benefit by road improvements required of developer, requires disclosure in writing under terms of municipal charter, but failure to disclose does not invalidate council action when sufficient votes existed excluding the councilmember's vote. Hui Malama Aina O Ko'olau v. Pacarro, 4 Haw. App. 304, 666 P.2d 177 (1983). Section 11-104. Fair and Equal Treatment — Elected or appointed officers or employees shall not use their official positions to secure or grant special consideration, treatment, advantage, privilege or exemption to themselves or any person beyond that which is available to every other person. (Reso. 83-357) Section 11-105. Future Employment — No person who has served as an elected or appointed officer or employee of the city shall, within a period of one year after termination of such service or employment, appear for compensation before any agency of the city, or receive compensation for any services rendered in behalf of any private interests in relation to any case, proceeding or application with respect to which such person was directly concerned, or which was under such person's active consideration, or with respect to which knowledge or information was made available to such person during the period of said service or employment. (Reso. 83-357) Section 11-106. Penalties and Disciplinary Action for Violations — The failure to comply with or any violation of the standards of conduct established by this article of the charter or by ordinance shall be grounds for impeachment of elected officers and for the removal from office or from employment of all other officers and employees. The appointing authority may, upon the recommendation of the ethics commission, reprimand, put on probation, demote, suspend or discharge an employee found to have violated the standards of conduct established by this article of the charter or by ordinance. The ethics commission may also impose civil fines established by ordinance for violations of the standards of conduct committed by elected and appointed officers and employees of the city with significant discretionary or fiscal power as determined by ordinance. (2006 General Election Charter Amendment Question No. 5; Reso. 07-384) Section 11-107. Ethics Commission -- There shall be within the department of the corporation counsel for administrative purposes only an ethics commission which shall consist of seven members. The commission shall be governed by the provisions of Section 13-103 of this charter. In accordance with the prohibition in Article XIV of the Constitution of the State of Hawaii, the members of the ethics commission shall be prohibited from taking an active part in political management or in political campaigns. The commission may appoint such staff and engage consultants as is necessary to assist it in the performance of its duties. Such staff and consultants may include attorneys who may advise the commission independently of the department of the corporation counsel. All staff positions shall be exempt from the provisions of Chapter 11 of Article VI of this charter, but such staff positions, except the position of executive director and staff attorneys, shall be included in the position classification plan. The executive director shall be an attorney qualified to practice law in the State of Hawaii. The salaries of the executive director and any staff attorneys of the ethics commission shall be set by the ethics commission. The salary of the executive director shall not exceed the salary of the first deputy corporation counsel and the salaries of any other staff attorney shall not exceed the salary of the executive director. The commission is authorized to hold hearings and to conduct investigations concerning the application of this article of the charter and shall have the powers provided in Section 13-114 of this charter. The commission may, on its own initiative, render advisory opinions with respect to this article of the charter. An advisory opinion shall be rendered pursuant to a written request of any elected or appointed officer or employee concerned and may be rendered pursuant to the request of any person. The commission shall publish its advisory opinions with such deletions as may be necessary to prevent disclosure of the identity of the persons involved. The commission may impose civil fines established by ordinance against elected and appointed officers and employees of the city with significant discretionary or fiscal power as determined by ordinance, found by the commission to have violated the standards of conduct established by this -article of the charter or by ordinance. The commission shall recommend appropriate disciplinary action against officers and employees found to have violated the standards of conduct established by this article of the charter or by ordinance. The appointing authority shall promptly notify the commission of the action taken on the recommendation. (Reso. 84-234; 1998 Reorganization; 2006 General Election Charter Amendment Question Nos. 5 and 12(c); Reso. 07-384; 2016 General Election Charter Amendment Question No. 2) Section 11-108. Registration of Lobbyists — The council shall by ordinance provide for the registration of lobbyists, including the classification, issuance, revocation, suspension and renewal of certificates of registration, the disclosure of information necessary In the public interest, and the investigative procedures and sanctions necessary to effectuate the purposes of the ordinance. As used herein, "lobbyist' means any person who is engaged for pay or other -consideration for the purpose of attempting to influence legislative or administrative action of the city. (Reso. 83-357) Last Updated: 05 October 2017 Privacy Statement Phone Directory, of Services Office of the Mayg �L4y Div rvSt Fmqu n y Asked Questions �ty n 'I Accessibili Div rsi Statement Customer Service t!! Departments and Agencies Copyright© 2018 Cty. and Countv of Honolulu. All rights reserved. Design by impartment of Information Technology, 64f, C I-I-1,o JWJV[ ARTICLE X - SPECIAL ASSESSMENT IMPROVEMENTS Section 10-101. Improvements by Special Assessments — Improvements by special assessment shall be as provided by law. No changes, however, shall be made by the council regarding any matter under the control of the board of water supply without the prior approval of its board. ARTICLE XI - STANDARDS OF CONDUCT Section 11-101. Declaration of Policy — Elected and appointed officers and employees shall demonstrate by their example the highest standards of ethical conduct, to the end that the public may justifiably have trust and confidence in the integrity of government They, as agents of public purpose, shall hold their offices or positions for the benefit of the public, shall recognize that the public interest is their primary concern, and shall faithfully discharge the duties of their offices regardless of personal considerations. Section 11-102. Conflicts of Interest — No elected or appointed officer or employee shall: (a) Solicit or accept any gift, directly or indirectly, whether in the form of money, loan, gratuity, favor, service, 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 such person's official duties. Nothing herein shall preclude the solicitation or acceptance of lawful contributions for election campaigns. (b) Disclose confidential information gained by reason of such person's office or position or use such information for the personal gain or benefit of anyone. (c) Engage in any business transaction or activity or have a financial interest, direct or indirect, which is incompatible with the proper discharge of such person's official duties or which may tend to impair the independence of judgment in the performance of such person's official duties. 10 (d) Receive any compensation for such person's services as an officer or employee of the city from any source other than the city, except as otherwise provided by this charter or by ordinance. (e) Represent private interests m any action or proceeding against the interests of the city or appear in behalf of private interests before any agency, except as otherwise provided by law. 2. No appointed officer shall participate in or make any decision on a city matter if. (a) He or she was directly involved in the matter while employed with a private entity in the twelve months immediately preceding the start of the officer's current employment with the city; and (b) Such prior involvement on behalf of a private entity may tend to impair the independence of judgment in the performance of the officer's official duties. The prohibition in this subsection shall apply for a period of twelve months from the start of the officer's current employment with the city. The officer may apply for a waiver from this prohibition to the ethics commission, which shall determine, based on the relevant circumstances, whether the waiver is in the best interests of the public. For the purposes of this subsection, the term "officer" shall exclude any member of a board or commission who is not the administrative head of an agency. (Reso. 83-357 and 09-336) Section 11-103. Disclosure of Interest — Any elected or appointed officer or employee who possesses or who acquires such interests as might reasonably tend to create a conflict with the public interest shall make full disclosure in writing to such person's appointing authority or to the council, in the case of a member of the council, and to the ethics commission, at any time such conflict becomes apparent. Such disclosure statements shall be made a matter of public record and be filed with the city clerk. Any member of the council who knows he or she has a personal or private interest, direct or indirect, in any proposal before the council, shall disclose such interest in writing to the council. Such disclosure shall be made a matter of public record prior to the taking of any vote on such proposal. (Reso. 83-357) Section 11-104. Fair and Equal Treatment — Elected or appointed officers or employees shall not use their official positions to secure or grant special consideration, treatment, advantage, privilege or exemption to themselves or any person beyond that which is available to every other person. (Reso. 83-357) 100 Section 11-105. Future Employment — No person who has served as an elected or appointed officer or employee of the city shall, within a period of one year after termination of such service or employment, appear for compensation before any agency of the city, or receive compensation for any services rendered ui behalf of any private interests in relation to any case, proceeding or application with respect to which such person was directly concerned, or which was under such person's active consideration, or with respect to which knowledge or information was made available to such person during the period of said service or employment. Weso. 83-357) Section 11-106. Penalties and Disciplinary Action for Violations — The failure to comply with or any violation of the standards of conduct established by this article of the charter or by ordinance shall be grounds for impeachment of elected officers and for the removal from office or from employment of all other officers and employees. The appointing authority may, upon the recommendation of the ethics commission, reprimand, put on probation, demote, suspend or discharge an employee found to have violated the standards of conduct established by this article of the charter or by ordinance. The ethics commission may also impose civil fines established by ordinance for violations of the standards of conduct committed by elected and appointed officers and employees of the city with significant discretionary or fiscal power as determined by ordinance. (2006 General Election Charter Amendment Question No. 5,• Reso. 07-384) Section 11-107. Ethics Commission — There shall be within the department of the corporation counsel for administrative purposes only an ethics commission which shall consist of seven members. The commission shall be governed by the provisions of Section 13-103 of this charter. In accordance with the prohibition in Article XIV of the Constitution of the State of Hawaii, the members of the ethics commission shall be prohibited from taking an active part in political management or in political campaigns. The commission may appoint such staff and engage consultants as is necessary to assist it in the performance of its duties. Such staff and consultants may include attorneys who may advise the commission independently of the department of the corporation counsel. All staff positions shall be exempt from the provisions of Chapter 11 of Article VI of this charter, but such staff positions, except the position of executive director and staff attorneys, shall be included in the position classification plan. The executive director shall be an attorney qualified to practice 101 law in the State of Hawaii. The salaries of the executive director and any staff attorneys of the ethics commission shall be set by the ethics commission. The salary of the executive director shall not exceed the salary of the first deputy corporation counsel and the salaries of any other staff attorney shall not exceed the salary of the executive director. The commission is authorized to hold hearings and to conduct investigations concerning the application of this article of the charter and shall have the powers provided in Section 13-114 of this charter. The commission may, on its own initiative, render advisory opinions with respect to this article of the charter. An advisory opinion shall be rendered pursuant to a written request of any elected or appointed officer or employee concerned and may be rendered pursuant to the request of any person. The commission shall publish its advisory opinions with such deletions as may be necessary to prevent disclosure of the identity of the persons involved. The commission may impose civil fines established by ordinance against elected and appointed officers and employees of the city with significant discretionary or fiscal power as determined by ordinance, found by the commission to have violated the standards of conduct established by this article of the charter or by ordinance. The commission shall recommend appropriate disciplinary action against officers and employees found to have violated the standards of conduct established by this article of the charter or by ordinance. The appointing authority shall promptly notify the commission of the action taken on the reconunendation. (Reso. 84-234, 1998 Reorgxnzation; 2006 General Election Charter Amendment Question Nos. 5and 12(c); Reso. 07-384; 2016 General Election Charter Amendment Question No. 2) Section 11-108. Registration of Lobbyists — The council shall by ordinance provide for the registration of lobbyists, including the classification, issuance, revocation, suspension and renewal of certificates of registration, the disclosure of information necessary in the public interest, and the investigative procedures and sanctions necessary to effectuate the purposes of the ordinance. As used herein, "lobbyist" means any person who is engaged for pay or other consideration for the purpose of attempting to influence legislative or administrative action of the city. (Reso. 83-357) 102 CMfj60MM" H+NL DISCLOSURE OF INTERESTS BY OFFICERS AND EMPLOYEES* Part 1 Officer or Employee* Completes COMPLETE THIS FORM WITHIN FIVE (5) WORKING DAYS OF (check applicable reason): ❑ Entering City employment or office. ❑ Obtaining any new non -City employment or business* or professional activity. ❑ Promotion or reallocation to a higher City position. ❑ Discontinuing previously reported non -City employment or business* or professional activity. ❑ Transfer from one City agency* to another. ❑ Seeking approval from or appearances before any City agency.` 1. Name _ LAST FIRST M.I. (JR.. SR.. III) 2. City Department/Agency* 3. City Position __ ❑ Full time ❑ Part time (less than 20 hours) # hrs. ❑ Personal Service Contract; contract length 4. Normal City working hours (days and times) City Telephone ❑ Part time (20 or more hours) # hrs. # DAYS/MONTHS/YEARS 5. Non -City employment: ❑ Check here if none a. Name of employer b. Nature of employer's business* c. Nature of your duties d. Hours of work (days and times) e. If employer has conducted or seeks to conduct any transactions with the City, describe f. Has employer sought approval from or appeared before any City agency* in the past twelve (12) months or does employer plan to do so for any reason? ❑ Yes ❑ No If yes, describe g. Is the employer likely to come before you in your official capacity or to be involved in official action* to be taken by you? ❑ Yes ❑ No If yes, describe 6. Non -City business* or professional activity: ❑ Check here if none a. Name of business* or professional activity b. Nature of business* or professional activity c. Your position and duties in the business* or professional activity _— d. Approximate hours spent on such business* or professional activity (days and times) e. If business* or professional activity has conducted or seeks to conduct any transactions with City, describe f. Has the business* or professional activity sought approval from or appeared before any City agency* in the past twelve (12) months or does it plan to do so for any reason? ❑ Yes ❑ No If yes, i) what agency* ii) what was/is the nature of the approval sought or the appearance g. Is the business* or professional activity likely to come before you in your official capacity or to be involved in official action* to be taken by you? ❑ Yes ❑ No If yes, describe The words "agency," "business," "official action," officers and employees" have the meanings set forth in Section 3-8.1, Revised Ordinances of Honolulu (ROH), relating to Additional Standards of Conduct. CC-8 (REV.8101) O vir- Ft1\4i­ 7. Do you or any member of your immediate family (either living under the same roof with you or related to you by blood or marriage) own a financial or controlling interest in any business which has sought approval of any proposed official action* from a City agency during the past twelve (12) months or maybe involved in official action* to betaken by you? ❑ Yes ❑ No If yes, a. Name of business b. Nature of business c. Name of person owning interest and relationship to you d. Percent of interest owned by that person _ e. City agency from which approval has been or will be sought _ f. Action of City agency IMPORTANT NOTE: Section 11-103, Revised Charter of Honolulu (RCH), provides that any elected or appointed officer or employee who possesses or acquires such interdsts as might reasonably tend to create a conflict with the public interest shall make full disclosure in writing to his or her appointing authority and to the Ethics Commission, at any time such conflict becomes apparent. If any outside employment or business or professional activity disclosed above might reasonably tend to create such a conflict, or if you possess any interests which might tend to create such a conflict, complete a Disclosure of Interest Statement (Form EM-2). The form can be obtained from the Ethics Commission or from your appointing authority. Failure to disclose any non -City employment, business or professional activity, or the seeking of approval from or appearance before any City agency may subject an officer or employee to disciplinary action by their appointing authority. DATE SIGNATURE The term "official action" as used here includes, but is not limited to: applications relating to grading requirements; building permits or variances under the City and County Building Code; approval of maps and/or other construction plans of subdivisions; variances and rezoning under the zoning laws; additions to or changes in the General Plan; reimbursement for construction of sanitary sewers, water facilities and/or subdivision improvements; claims, against the City; and purchases by the City. Part II Appointing Authority Completes DETERMINATION OF APPOINTING AUTHORITY (1) Based on answers to questions 5, 6 & 7 above, this person has no non -City employment, business or professional activity. (2) Based on the available information, it has been determined that the non -City employment or business or professional activity disclosed in questions 5, 6 & 7 above does not violate Article XI, RCH, or Section 3-8.2, ROH, because _ . (3) Based on the available information, it has been determined that non -City employment or business or professional activ- ity disclosed in questions 5, 6 & 7 above does violate Article XI, RCH, or Section 3-8.2, ROH, because (4) Referred to the Ethics Commission for guidance. DATE APPOINTING AUTHORITY TELEPHONE OF APPOINTING AUTHORITY Part III Ethics Commission Completes DETERMINATION OF ETHICS COMMISSION (1) Approved or concur with appointing authority. (2) Returned to appointing authority for the following information: DATE FOR ETHICS COMMISSION 10/11/2018 County of Maui, HI Code of Ordinances Chapter 2.56 - CODE OF ETHICS ,4 2.56.010 - Violation —Penalty. Wiwi Qom" Any person who violates any provision of the code of ethics of the county as contained in Article 10 of the Revised Charter of the County of Maui shall, upon conviction, be punished by a fine of not more than one thousand dollars for each violation. (Ord. 881 § 1 (part), 1977: prior code § 5-6.1)* * ;hg;Editor's Note: There are two prior code Sections 5-6.1. 2.56.020 - Additional action. The provisions of Section 2,56.010 for the imposition of a fine for the violation of the code of ethics of the county shall be in addition to and independent of any other right of any public official or agency to effect disciplinary action or other criminal proceedings against a person who has violated the code of ethics. (Ord. 881 § 1 (part), 1977: prior code § 5-6.2) 2.56.030 - Contracts and transactions. A. In addition to any other penalty provided bylaw, any contract entered into by the County in violation of the code of ethics of the County is voidable on behalf of the County; provided, that the action to void the transaction is initiated within sixty days after a final determination as to a violation of the code of ethics. B. Any favorable County action obtained in violation of the code of ethics for County officers and employees is voidable in the same manner as voidable contracts, and the county by the board of ethics and the corporation counsel may pursue any legal and equitable remedies available to it. C. The County by the corporation counsel may recover any fee, compensation, gift, or profit received by any person as a result of a violation of the code of ethics. Action to recover under this subsection shall be brought by the corporation counsel within two years of such violation. (Ord. 881 § 1 (part), 1977: prior code § 5-6.3) 2.56.040 - Lobbyist' registration. Prior to appearing before any executive or legislative body, all lobbyists shall file a certified statement with the board of ethics setting forth the name, mailing address, business telephone number, and subject matter of the lobbyist. A lobbyist shall report any change in information contained in the certified statement within ten days of such change. A lobbyist shall file a notice of termination within ten days of ceasing activity as a lobbyist. As used herein, "lobbyist" means any person who engages himself for pay or other consideration for the purpose of attempting to influence legislative or administrative action of the county. (Ord. 1167 § 1, 1981) 2.56.050 - Restrictions on post employment. A. No former officer or employee of the county shall, for compensation and within a period of one year after 1 /3 10/11/2018 County of Maui, HI Code of Ordinances termination of service or employment, assist any person or business, or act in a representative capacity for any person or business, on matters in which the former officer or employee exercised discretionary power, unless he first files a sworn affidavit with the board of ethics and with the agency before which such person or business intends to appear that the former officer or employee was not directly concerned with such case, proceeding or application, and such case, proceeding or application was not under his active consideration. B. No former officer or employee of the county shall disclose any information which bylaw or practice is not available to the public and which the former officer or employee acquired in the course of his official duties. No former officer or employee shall use any information which by law or practice is not available to the public for his personal gain or for the benefit of any person or business. C. This section shall not prohibit any agency from contracting with a former officer or employee to act on a matter on behalf of the County within the period of limitation stated herein and shall not prevent such former officer or employee from appearing before any agency on behalf of the County. (Ord. 1166 § 1, 1981) ;(- 2.56.060 - Financial disclosure statements. A. Filing Deadlines. 1. Candidates for Elective Office. All candidates for nomination or elective office in County government shall file a public financial disclosure statement concurrently with their nomination papers. A new public financial disclosure statement shall be filed each year a person becomes a candidate for office. 2. Appointed Officers. All appointed officers having significant discretionary or fiscal powers shall file a public financial disclosure statement within fifteen days after starting employment. Appointed officers having significant discretionary or fiscal powers shall include executive and legislative department heads and first deputies. 3. Members of Boards and Commissions. All members of boards and commissions having significant discretionary or fiscal powers shall file a confidential financial disclosure statement within fifteen days after taking the oath of office. The following boards and commissions have significant discretionary or fiscal powers: a. Board of variances and appeals; b. Charter commission; c. Civil service commission; d. Board of ethics; e. Board of code appeals; f. Salary commission; g. Cultural resources commission; h. Liquor control commission; i. Liquor control adjudication board; j. Maui planning commission; k. Police commission; I. Cost of government commission; m. Maui redevelopment agency, n. Board of water supply; 2/3 10/11/2018 County of Maui, HI Code of Ordinances o. Board of review, p. Molokai planning commission; q. Lanai planning commission; and r. Public safety commission. 4. The board of ethics shall request an annual updating of all financial disclosure statements. B. Form of disclosure. The financial disclosure statement shall include the following information: 1. The source and amount of all income received by the person in his or her own name or by any other person for his or her use and benefit during the preceding calendar year. 2. The tax map key number or street address of all real property that is currently owned in whole or in part by the person in his or her own name or by any other person for his or her use and benefit. 3. The name and mailing address of all business firms that are currently owned in whole or in part by the person in his or her own name or by any other person for his or her use and benefit. 4. Every officership, directorship, trusteeship, or other fiduciary relationship currently held in any organization or business. S. The total amount of debt currently owed to all creditors. 6. The identity of each creditor interest currently held in an insolvent business. 7. The name of each person represented before a County agency for the year immediately preceding the date of the financial disclosure statement. C. Where an amount is required to be reported, the person disclosing may indicate whether the amount is at least one thousand dollars but less than ten thousand dollars; at least ten thousand dollars but less than twenty-five thousand dollars; at least twenty-five thousand dollars but less than fifty thousand dollars; at least fifty thousand dollars but less than one hundred thousand dollars; at least one hundred thousand dollars but less than two hundred thousand dollars; at least two hundred thousand dollars but less than five hundred thousand dollars; or five hundred thousand dollars or more. D. Filing Requirements. All public financial disclosure statements shall be filed with the county clerk and shall be public records available for inspection. All confidential financial disclosure statements shall be filed with the board of ethics and shall be confidential. ( Ord. No. 4459, § 1,ZQJ. ; Ord. No. 3844, § 1, 2011; Ord. 2602 § 1, 1997; Ord. 1804 § 1, 1989: Ord. 1473 § 1, 1985; Ord. 1270 § 1, 1982) 3/3 COUNTY CHARTER NtY of yq� •9 F COUNTY OF HAWAI`I 2016 appropriations to the fund in addition to the minimum required appropriations. The revenues and unencumbered balance in this fund shall be utilized for the provision, protection, and expansion of affordable housing and suitable living environments for persons of very low to gap income, as defined by ordinance, including the rehabilitation of existing structures, land purchase or other acquisition of land or property entitlements, planning, design, and construction. 2. On an annual basis, no more than three percent (3%) of this fund shall be used for administrative expenses. 3. Any unencumbered balance in this fund at the end of each fiscal year shall not lapse, but shall remain in the fund, accumulating from year to year. Any unencumbered balance in this fund shall not be used for any purpose except those listed in Subsection 1 of this Section, or as provided by ordinance. 4. The council shall by ordinance establish procedures for the administration and expenditure of the revenues in this fund. Any appropriations to this fund shall not substitute, but shall be in addition to, those appropriations historically made for the purposes stated in this section. (Amended 2014, 2010, 2006) ARTICLE 10 CODE OF ETHICS Section 10-1. Declaration of Policy. Elected and appointed officers and employees shall demonstrate by their example the highest standards of ethical conduct to the end that the public may justifiably have trust and confidence in the integrity of government. Section 10-2. Board of Ethics. There shall be a board of ethics. 1. The board shall consist of nine members appointed by the mayor with the approval of the council. 2. The board shall: a. Initiate, receive, hear and investigate complaints of violations of this Article. b. Initiate impeachment proceedings against elected officers and officers appointed to elective office who are found by the board after investigation to have violated this Article. Such proceeding shall be brought in the name of the board which shall be represented by special counsel of the board's choosing. C. Render advisory opinions with respect to application of this Article on request. All requests for advisory opinions shall be answered within 45 forty-five (45) days of its filing; failure to submit an advisory opinion within the forty-five (45) days shall be deemed a finding of no breach of this Article. d. Prescribe forms for the disclosures provided in this section and to implement the requirements of the disclosure provisions. e. Examine all disclosure statements filed and to comment on or advise corrective action as to any matters that may indicate a conflict of interest. f. Adopt such rules, having the force and effect of law, as will be necessary to provide for the enforcement of the provisions of this Article. 3. In the course of its investigations, the board shall have the power to administer oaths and subpoena witness and to compel the production of books and papers pertinent thereto. 4. The board, after due deliberation on issues before it, shall make findings of facts and conclusions of law regarding such issues and shall transmit the same to the appropriate appointing authority and the prosecuting attorney for appropriate disposition. 5. If any officer or employee, or former officer or employee, obtains an advisory opinion from the board and acts accordingly, or acts in accordance with the opinions of the board, the officer or employee shall not be held liable for violating any of the provisions of this Article. 6. The council and mayor shall cooperate and provide financing and personnel reasonably required by the board in the performance of its duties. (Amended 1992) Section 10.3. Financial Disclosure. 1. All elected county officers, all candidates for elective county office, and such appointed officers or other employees as the council shall designate by ordinance shall file with the board of ethics and the county clerk financial disclosure statements in a form or forms to be prescribed by the board of ethics. Such financial disclosure statements shall be open to public inspection. 2. All members of boards and commissions established under this charter, and such appointed officers or other employees as shall be designated by the council by ordinance as having significant discretionary or fiscal powers shall file with the board of ethics confidential financial disclosure statements in a form or forms to be prescribed by the board of ethics, which financial disclosure statements shall not be open to public inspection, provided that the names of all persons required to file confidential financial disclosure statements, the dates by which the financial disclosure statements are required to be filed, and the dates on which the financial disclosure statements are actually filed, shall be open to public inspection. 46 3. All persons required herein to make financial disclosure statements, other than candidates for elective county office, shall file such financial disclosure statements within fifteen (15) days of taking office. A candidate for elective county office shall file a financial disclosure statement concurrently with the filing of nomination papers. The financial disclosure statement shall be sworn to under oath and shall include sources and amount of income, business ownership, officer and director positions, ownership of or interest in real property, debts, creditor interests in insolvent businesses, the names of persons represented before government agencies, and such other information as shall be prescribed by the board of ethics. (Amended 2010, 1994, 1992) Section 10-4. Prohibitions. 1. No officer or employee of the county shall: a. Solicit, accept or receive any gift; directly or indirectly, 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. b. Disclose information which, by law or practice, is not available to the public and which the officer or employee acquires in the course of the officer's or employee's official duties or use such information for the officer's or employee's personal gain or for the benefit of anyone. C. Engage in any business transaction or activity or have a financial interest, direct or indirect, which is incompatible with the proper discharge of the officer's or employee's official duties or which may tend to impair the officer's or employee's independence of judgment in the performance of the officer's or employee's official duties. d. Use county property or personnel for other than public activity or purpose. e. Fail to disclose a financial interest in any matter which may be affected by an action of a county agency or vote on any matter affected by such interest. f. Receive compensation for any service rendered in behalf of any private interest after termination of service to or employment with the county in relation to any case, proceeding or application with respect to which the officer or employee was directly concerned, or which was under his or her active consideration, or with respect to which knowledge or information not generally available to the public was made available to him or her during the period of service to or employment with the county. 47 2.a: No former mayor or council member shall appear for compensation before any agency of the county within a period of one (1) year after leaving the county elective office. b. No former non -elected salaried employee or officer of the county shall appear for compensation before any department or other agency of the county by which such employee or officer was last employed within a period of one (1) year after termination of service to or employment with the county. 3. The county shall not enter into any contract of a value in excess of $500.00 with an officer or employee or with a firm in which an officer or employee has a substantial interest involving services or property unless the contract is made after competitive bidding. 4. Officers and full time employees of the county shall not appear on behalf of or represent private interests before any county agency, provided that no officer or employee shall be denied the right to appear before any agency to petition for redress or grievances caused by any official county action affecting such person's personal rights, privileges or property, including real property, provided that members of boards and commissions may appear on behalf of private interests before county agencies other than the one on which such person serves and other than those agencies that have the power to review the actions of the agency on which such person serves, or to act on the same subject matter as the agency on which such person serves; provided, further, that without changing the prohibitions and rights stated above, the council by ordinance may prescribe further standards, conditions, and guidelines concerning the representation of private interests before county agencies. (Amended 2002, 1992) Section 10-5. Penalties. Any person who violates the provisions of this Article shall be subject to a fine to be provided for by ordinance adopted by the county council, and in addition to any such fine that may be imposed, non -elected officers or employees may be suspended or removed from office or employment by the appropriate appointing authority and elected officers may be removed through impeachment proceedings pursuant to Section 13-13. ARTICLE 11 INITIATIVE Section 11-1. Powers. 1. The voters of the county shall have power to propose ordinances to the council. If the council fails to adopt an ordinance so proposed without any change in substance, the voters may adopt the same at the polls, such power being known as the initiative power. 48 2. The voters shall have power to propose the reconsideration by the county of an adopted ordinance or any portion thereof. If the county fails to repeal an ordinance so reconsidered the voters shall have the power to reject the same at the polls, such power also being known as the initiative power. 3. The initiative power shall not extend: a. To any part or all of the capital program or annual budget; b. To any property tax levied; C. To any ordinance making or repealing any appropriation of money; d. To any ordinance authorizing the issuance of bonds; e. To any ordinance authorizing the appointment of employees; or, f. To any emergency ordinance. (Amended 2002) Section 11-2. Affidavit. Any five qualified voters may commence initiative proceedings by filing with the county clerk an affidavit stating their names and addresses and specifying the address to which all notices to the committee are to be sent, and setting out in full the proposed ordinance, or citing the ordinance or portion thereof sought to be reconsidered. In addition the affidavit shall state that they: 1. Will constitute the petitioners' committee; 2. Will be responsible for circulating the petition; and 3. Will file it in proper form. Promptly after such affidavit is filed, the clerk shall issue the appropriate petition blanks to the petitioners' committee. Section 11-3. Petitions. 1. Petitions shall be filed as one instrument and shall contain or have attached thereto throughout their circulation the full text of the ordinance proposed or sought to be reconsidered. 2. Such petitions must be signed by not less than twenty percent (20%) of the total number of voters who cast ballots in the last mayoral general election. 3. Each signature shall be followed by the printed or typewritten identification of the name of the individual signing the petition and that individual's place of residence. 4. To each such petition paper there shall be attached an affidavit of the circulator stating: a. That he or she personally circulated the paper; b. The number of signatures thereon; 49 tEorH� i HAWAII STATE ETHICS COMMISSION State of Hawaii • Bishop Square, 1001 Bishop Street, ASB Tower 970 • Honolulu, Hawaii 96813 50" ANMVERSARY 1968-2018 DISCLOSURE OF FINANCIAL INTERESTS: WHO IS REQUIRED TO FILE? The State Ethics Code requires state elected officials, members of state boards and commissions, and state employees holding certain positions to file an annual Disclosure of Financial Interests with the Hawaii State Ethics Commission ("Commission").' The following is a general list of persons who are required to file: Elected officials: the Governor, Lieutenant Governor, state legislators, trustees of the Office of Hawaiian Affairs, and constitutional convention delegates Agency and department heads: directors, deputy directors, division chiefs, and the executive directors and executive secretades2 and their deputies of every state agency Legislative Branch: all permanent employees of the legislature and its service agencies, other than persons employed in clerical, secretarial, or similar positions Offices of the Governor and Lt. Governor: the administrative director of the state (i.e. the governor's chief of staff), and assistants in the office of the governor and the lieutenant governor, other than persons employed in clerical, secretarial, or similar positions University of Hawaii (UH): members of the Board of Regents, the president, vice-presidents, assistant vice-presidents, chancellors, and the provosts of UH and its community colleges3 Department of Education (DOE): members of the Board of Education, the superintendent, deputy superintendent, assistant superintendents, complex area superintendents, the state librarian, and the deputy state librarian of the DOE State Judiciary: the administrative director and deputy director of the courts Office of Hawaiian Affairs (OHA): the administrator and assistant administrator of OHA Purchasing agents, fiscal officers, and hearings officers of every state agency State boards and commissions: members of state boards and commissions whose original terms of office are more than one year and whose functions are not solely advisory Candidates for state elective offices° Please note this is not a complete list of filers. To verify your filing status, please contact the Commission's office at (808) 587-0460 or ethicsCD__hawaiiethics.or% ' Hawaii Revised Statutes ("HRS") § 84-17(c). 2 The term "executive secretary" means an executive official or administrator of a state board or commission, and does not include persons employed in clerical, secretarial or similar positions. 7 Other UH filers may be required to file as a director, department head, or fiscal officer. 4 Candidates for state elective offices are not subject to the annual filing requirement, and are only required to file an initial disclosure 20 days prior to the state primary election. HRS § 84-17(c)(10). Telephone: (808) 587-0460 Email: ethics(a hawaiiethics.ora Website: http://ethics.hawaii.i oy/ 0 Hawaii State Ethics Commission h*" .O Financial Disclosures Electronic Filing System User Guide March 2018 Hawaii State Ethics Commission: Financial Disclosure Guide Table of Contents TheFinancial Disclosure Law.....................................................................................................................1 Whois Required to File?.............................................................................................................................:L Whois a Public Filer?..................................................................................................................................1 FilingDeadlines............................................................................................................................................2 Extensionsof Time to File...........................................................................................................................2 FinancialInterests to be Reported............................................................................................................2 PublicRecords..............................................................................................................................................2 Penalties........................................................................................................................................................2 E-Filing Procedures Howto File a Financial Disclosure......................................................................................................3 Accessingthe E-Filing System .......................................................................................................3 Creatingan Account........................................................................................................................3 LoggingIn to Your Account............................................................................................................4 Creatinga New Disclosure.............................................................................................................5 CompletingYour Disclosure...........................................................................................................6 FilingYour Disclosure.....................................................................................................................13 Saving& Filing Later.......................................................................................................................14 Howto Log Out.................................................................................................................................14 Editinga Draft Disclosure.....................................................................................................................15 Amendinga Filed Disclosure...............................................................................................................16 ForgotYour Password?.........................................................................................................................17 Update Your Profile & Account Settings............................................................................................17 FAQs...............................................................................................................................................................18 Hawaii State Ethics Commission • 1001 Bishop Street, Ste. 970 - Honolulu, Hawaii 96813 - (808) 587-0460 Email: ethics(cDhawaiiethics.orci • HSEC website: http://ethics.hawaii.aov - Twitter: @HawaiiEthics Hawaii State Ethics commission: Financial Disclosure Guide The Financial Disclosure Law The Financial Disclosure Law, Hawaii Revised Statutes ("HRS") § 84-17, requires state elected officials, members of state boards and commissions, and state employees holding certain positions to file an annual Disclosure of Financial Interests with the Hawaii State Ethics Commission ("Commission"). Financial disclosures help to ensure governmental accountability and transparency by identifying financial interests that may conflict with a state official's duties and responsibilities to the public. Who is Required to File? Elected officials: governor, lieutenant governor, state legislators, Office of Hawaiian Affairs trustees, and constitutional convention delegates. Agency and department heads: directors, deputy directors, division chiefs. and executive directors and their deputies of every state agency. Legislative Branch: all permanent employees of the legislature and its service agencies, except for persons employed in secretarial, or similar positions. Offices of the Governor and Lt. Governor: the administrative director and all permanent employees of the Offices of the Governor and the Lieutenant Governor, except for persons employed in secretarial, or similar positions. University of Hawaii: Board of Regents, the president, vice-presidents, assistant vice-presidents, and chancellors of UH and its community colleges. Department of Education: Board of Education, the superintendent, deputy superintendent, assistant superintendents, complex area superintendents, state librarian, and deputy state librarian. State Judiciary: administrative director and deputy director of the courts Office of Hawaiian Affairs: administrator and assistant administrator State boards and commissions: members whose original terms of office are more than one year and whose duties are not solely advisory. Purchasing agents, fiscal officers, and hearings officers Who is a Public Filer? Legislators, certain state officials (highlighted in color above), and members of the following state boards are public filers under HRS § 84-17(d): Agricultural Dev. Corp. Ethics Commission Board of Agriculture Land Use Commission Board of Land & Natural Resources Legacy Land Conservation Comm. Comm. on Water Resource Mgmt. Natural Area Reserves System Comm. Hawaii Community Dev. Auth. Natural Energy Lab. of Hawaii Auth. Hawaiian Homes Commission Hawaii Public Housing Authority Housing Finance & Dev. Corp. Hawaii Public Utilities Commission Hawaii State Ethics Commission: Financial Disclosure Guide Filing Deadlines State Legislators January 31 (each year) Current Employee & Board filers May 31 (each year) New filers Within 30 days of election or appointment to a state position that is required to file Exit filers Within 30 days of leaving your state position (if your last disclosure was filed more than 180 days prior) Extensions of Time to File Filers may submit a written request for a 15-day extension of time to file. Extension requests must be submitted prior to the filing deadline. Financial Interests to be Reported Filers are required to report certain types of financial interests, such as income; business ownership; stocks, bonds, and mutual funds; officer or director positions in for -profit or non-profit business; real property; loans; names of clients represented before state agencies; and creditor interests in an insolvent business. In addition, state legislators, state board members, and state employee filers are required to disclose their own financial interests, as well as those held by a spouse or dependent child. Public Records Financial disclosures filed by state legislators and certain state officials are designated as public records. All other financial disclosures that are filed with the Commission are confidential as a matter of law. Public financial disclosures are available for inspection at the Commission's office or via the Commission's website at http://ethics.hawaii.aov. Penalties Failure to file a financial disclosure as required by HRS § 84-17 constitutes a violation of state law. State legislators, state board members, and state employee filers who fail to file a disclosure by the statutory deadline shall be assessed a $75 late penalty. In addition, the Commission may publish a list of delinquent filers, and may assess additional administrative fines as authorized by law. i or 0, DAVIDY.IGE 1* ,osn GOVERNOR 4 "[ DOUGLAS S. CHIN w LIEUTENANT GOVERNOR ydR•ft� CONTRACTORS LICENSE BOARD STATE OF HAWAII PROFESSIONAL AND VOCATIONAL LICENSING DIVISION DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS P.O. BOX 3469 HONOLULU, HAWAII 96801 cca.hawaII.gov/pvl August 21, 2018 Mr. Stanley Morinaka Kauai Veterans' Express Company P.O. Box 3329 Lihue, Hawaii 96766 Dear Mr. Morinaka: RE: Lydgate Beach Park Debris Removal Project CATHERINE P. AWAKUNI COLON DIRECTOR CHARLENE LK. TAMANAHA ACTING LICENSING ADMINISTRATOR This is in response to your August 9 and 10, 2018 emails requesting a determination on the contractor's license required for the Lydgate Beach Park Debris Removal project ("Project") which includes the removal of all wood debris from the shoreline and the proper off -site disposal of all recovered wood debris. At its August 16, 2018 meeting, the Contractors License Board ("Board") discussed your inquiry and the information you provided. Based solely on the information you submitted, the Board determined that a contractor's license is not required to remove wood debris from the shoreline and to properly dispose of all recovered wood debris off -site for the Lydgate Beach Park Debris Removal project. In accordance with Hawaii Administrative Rules section 16-201-90, the above interpretation is for informational and explanatory purposes only. It is not an official opinion or decision, and thus, is not binding on the Board. If you wish to have a formal, binding opinion, please file a petition for declaratory relief. The necessary forms may be obtained from my office. If you have any questions on the above, please do not hesitate to contact me at (808) 586-2700. Thank you for your inquiry. Very truly yours, 6v4lv—� Candace Ito Executive Officer CI:fn DOE ao►�-►� . a CONTRACTORS LICENSE BOARD Professional and Vocational Licensing Division Department of Commerce and Consumer Affairs State of Hawaii Minutes of Meeting Date: August 16, 2018 Place: King Kalakaua Conference Room, King Kalakaua Building Department of Commerce and Consumer Affairs 335 Merchant Street, 1st Floor, Honolulu, Hawaii 96813 Present: John Polischeck, Jr., Chairperson Tyrus Kagawa, Vice Chairperson Anacleto "Joey" Alcantara, Jr., Member Leslie Isemoto, Member Nathan Konishi, Member Peter H. M. Lee, Member Leonard K. P. Leong, Member Danny T. Matsuoka, Member Kenneth T. Shimizu, Member Nicholas W. Teves, Jr., Member Candace Ito, Executive Officer Charlene L. K. Tamanaha, Executive Officer Krishna F. Jayaram, Deputy Attorney General Faith Nishimura, Secretary Excused: Kent Matsuzaki, Member Guests: Peter M. Turner, RME, Siemens Industry Inc. Joseph V. Beregovoy, RME, Sureline Construction Sacha N. Estrada, Elements of Hospitality Inc. Seen S. Morimoto, RME, Pua Aina Inc. Robert M. Cutts, Jr., Pua Aina Inc. Dustin J. McClure, RME, McClure and Sons Inc. Dan L. Smith, RME, Pacific Underwater Construction LLC Ed Brown, Goodfellow Bros Construction LLC Robert Takatmatsu, Esq., Goodfellow Bros Construction LLC Ulieli V. Pauni, RME, JVM Builders LLC Ryan Kobayashi, Laborers Union Local 1308 Arnold Wong, Ironworkers Stabilization Ryan Takahashi, HEMEP Call to Order: There being a quorum present, Chairperson Polishcheck called the meeting to order at 8:30 a.m. Agenda: The agenda for this meeting was filed with the Office of the Lieutenant Governor, as required by Hawaii Revised Statutes ("HRS") section 92-7(b). Minutes: It was moved by Mr. Isemoto, seconded by Mr. Konishi, and unanimously carried to approve the Applications Committee Meeting and Executive Session Meeting �oE ao�S-�eb. b Contractors License Board Minutes of the August 16, 2018 Meeting Page 2 Minutes of August 6, 2018, and the Board Meeting and Executive Session Meeting Minutes of July 20, 2018, as circulated. Amendments to Agenda: It was moved by Mr. Isemoto, seconded by Mr. Lee, and unanimously carried to approve the following amendments to the agenda: Addition to Appearances: g. Joseph V. Beregovoy, RME Sureline Construction "B" General Building h. Sacha N. Estrada, RME Elements of Hospitality Inc. "B" General Building I. Seen S. Morimoto, RME Pua Aina Inc. C-31 Masonry C-51 Tile j. Dustin J. McClure, RME McClure and Sons Inc. "B" General Building k. Dan L. Smith, RME Pacific Underwater Construction LLC "A" General Engineering I. Jiafa Pan (Individual) "B" General Building Deletion from Appearances: a. Kelly J. Ah Hee, RME Nah Security Services Inc. C-27 Landscaping Deletion from Owner -Builder Exemption Applications: a. Edwin & Lynda Maraetetoa b. Huynh Quoc Viet & Ta Tran C. James & Julie Garrison Committee Reports: 1. Scope of Activity Committee Nathan T. Konishi and Leslie Isemoto, Co -Chairpersons a. County of Hawaii Department of Water Supply Contractors License Board Minutes of the August 16, 2018 Meeting Page 3 Requests a determination on the contractor's licenses required for the County of Hawaii Department of Water Supply ("DWS"), Waikoloa Reservoir No. 1 Earthquake Repairs, Job No. 2011-970. In particular, the DWS requests the contractor's licenses required for the following work: 1. Repairing the reservoir's concrete liner (approximately 6,600 lineal feet); 2. Repairing construction joints and expansion joints between concrete liner panels (approximately 18,000 lineal feet)); 3. Constructing new concrete outfall and spillway structures; 4. Installing a new synthetic liner over the concrete liner (approximately 5 acres); 5. Installing drain line piping at the toe of the reservoir embankment slope (approximately 1,600 lineal feet); 6. Grading, grubbing and tree removal (approximately 2 acres); 7. Replanting ground cover in portions of the grubbed areas (approximately 1 acre); 8. Constructing a new access roadway; and 9. Re -paving the existing reservoir site access roadway. Members reviewed the information provided by the County of Hawaii Department of Water Supply. Mr. Isemoto recused himself on this matter. Mr. Arnold Wong, Ironworkers Stabilization, stated that any work installing new rebar or replacement of existing rebar requires a C-41 Reinforcing steel contractor; especially if dealing with a structural engineer's stamp. Mr. Ryan Kobayashi, Hawaii Laborer's Union Local 368, stated that he believes that an "A" General engineering contractor is the appropriate contractor for the project. Mr. Lee suggested that the Board clarify in its responses that the C-41 Reinforcing steel contractor's license is to reinforce the concrete. The Board also discussed that it may be difficult to pour concrete on a steep slope to repair the reservoir's liner and that the project may change from pouring concrete to using shotcrete. After further discussion, the Scope Committee recommended the following: Recommendation: The "A" General engineering contractor's license is required to be the primary contractor and the following contractor's licenses are required: (1) Repairing the reservoir's concrete liner (approximately 6,600 lineal feet). Response: "A" General engineering, "B" general building, C-31 Masonry, C-31a Cement concrete, C-41 Reinforcing steel contractor's license to reinforce the concrete; and C-23 Gunite or C-49 Swimming pool contractor's license if shotcrete is used. (2) Repairing construction joints and expansion joints between concrete liner panels (approximately 18,000 lineal feet). Contractors License Board Minutes of the August 16, 2018 Meeting Page 4 Response: C-31 Masonry or C-31 a Cement concrete contractor's license. (3) Constructing new concrete outfall and spillway structures. Response: C-31 Masonry, C-31a Cement concrete, C-41 Reinforcing steel contractor's license to reinforce the concrete; and C-31 b Stone masonry contractor's license for rip -rap. (4) Installing a new synthetic liner over the concrete liner (approximately 5 acres). Response: C-55 Waterproofing contractor's license. (5) Installing drain line piping at the toe of the reservoir embankment slope (approximately 1,600 lineal feet). Response: "A" General engineering, C-37 Plumbing, C-37a Sewer and drain line, or C-43 Sewer, sewage disposal, drain, and pipe laying contractor's license; and C-17 Excavating, grading, and trenching contractor's license for trenching only. (6) Grading, grubbing and tree removal (approximately 2 acres). Response: "A" General engineering, C-17 Excavating, grading, and trenching contractor's license; or C-27 Landscaping or C-27b Tree trimming and removal contractor's license for tree removal only. (7) Replanting ground cover in portions of the grubbed areas (approximately 1 acre). Response: C-27 Landscaping contractor's license. (8) Constructing a new access roadway. Response; "A" General engineering or C-17 Excavating, grading, and trenching contractor's license. (9) Re -paving the existing reservoir site access roadway. Response: "A" General engineering or C-3 Asphalt paving and surfacing contractor's license. b. Kauai Veterans' Express Company Requests a determination on the contractor's license required for the Lydgate Beach Park Debris Removal project which includes the removal of all wood debris from the shoreline and the proper off -site disposal of all recovered wood debris. The Board reviewed and discussed the information submitted by Kauai Veterans' Contractors License Board Minutes of the August 16, 2018 Meeting Page 5 Express Company. Recommendation: A contractor's license is not required to remove wood debris frdm the shoreline and to properly dispose of all recovered wood debris off -site for the Lydgate Beach Park Debris Removal project. After discussion, it was moved by Mr. Konishi, seconded by Mr. Lee, and unanimously carried (with Mr. Isemoto recusing himself from the DWS inquiry) to approve the above scope recommendations. Appearances Before the Board: b. Timothy J. Mort, RME Foundation Systems Hawaii LLC "A" General engineering Mr. Mort was not present. C. Timothy G. Jesch (Individual) "B" General building Mr. Jesch was not present. Executive Session: At 8:46 a.m., it was moved by Mr. Lee, seconded by Mr. Konishi, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 8:55 a.m., it was moved by Mr. Lee, seconded by Mr. Konishi, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. It was moved by Mr. Isemoto, seconded by Mr. Konishi, and unanimously carried to defer Mr. Jesch's request for reconsideration of the Board's denial of his application for licensure in the in the "B" General building classification to its September 21, 2018 meeting. d. Goodfellow Bros Construction LLC Edward B. Brown, RME "A" General engineering "B" General building C-13 Electrical C-14 Sign C-23 Gunite C-27 Landscaping C-31 Masonry C-31b Stone masonry Contractors License Board Minutes of the August 16, 2018 Meeting Page 6 C-34 Soil stabilization C-37 Plumbing C-41 Reinforcing steel C-68RL Rockfall mitigation Executive Session: At 8:56 a.m., it was moved by Mr. Isemoto, seconded by Mr. Lee, and unanimously carried to enter into executive session pursuant to HRS section 92- 5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 8:59 a.m., it was moved by Mr. Isemoto, seconded by Mr. Konishi, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. It was moved by Mr. Isemoto, seconded by Mr. Konishi, and unanimously carried to approve Goodfellow Bros Construction LLC's application in the "A" General engineering, "B" General building, C-13 Electrical, C-14 Sign, C-23 Gunite, C-27 Landscaping, C-31 Masonry, C-31 b Stone masonry, C-34 Soil stabilization, C-37 Plumbing, C-41 Reinforcing steel, and C-68RL Rockfall mitigation classifications. e. Peter M. Turner, RME Siemens Industry Inc. "B" General building Executive Session: At 9:00 a.m., it was moved by Mr. Isemoto, seconded by Mr. Konishi, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 9:14 a.m., it was moved by Mr. Leong, seconded by Mr. Isemoto, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. It was moved by Mr. Isemoto, seconded by Mr. Lee, and unanimously carried to defer Mr. Turner's application for licensure in the "B" General building classification pending the submittal of four years of on -site "ground -up" supervisory work experience which may date back beyond ten years. Ulieli V. Pauni, RME JVM Builders LLC "B" General building Contractors License Board Minutes of the August 16, 2018 Meeting Page 7 Executive Session: At 9:15 a.m., it was moved by Mr. Lee, seconded by Mr. Isemoto, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 9:28 a.m., it was moved by Mr. Konishi, seconded by Mr. Isemoto, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. It was moved by Mr. Konishi, seconded by Mr. Isemoto, and unanimously carried to approve Mr. Pauni's application for licensure in the "B" General building classification. g. Joseph V. Beregovoy, RME Sureline Construction "B" General building Executive Session: At 9:29 a.m., it was moved by Mr. Konishi, seconded by Mr. Isemoto, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 9:42 a.m., it was moved by Mr. Leong, seconded by Mr. Isemoto, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. Mr. Beregovoy requested to amend his application to add the C-5 Cabinet, millwork and carpentry remodeling and repairs and C-6 Carpentry framing classifications. It was moved by Mr. Isemoto, seconded by Mr. Leong, and unanimously carried to add the C-5 Cabinet, millwork and carpentry remodeling and repairs and C-6 Carpentry framing classifications to Mr. Beregovoy's application; approve his application for licensure in the C-5 Cabinet, millwork and carpentry remodeling and repairs and C-6 Carpentry framing classifications; and defer his application for licensure in the "B" General building classification pending the submittal of a revised project list verifying four years of on -site "ground -up" supervisory work experience. h. Sacha N. Estrada, RME Elements of Hospitality Inc. "B" General building Contractors License Board Minutes of the August 16, 2018 Meeting Page 8 Executive Session: At 9:55 a.m., it was moved by Mr. Konishi, seconded by Mr. Lee, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 10:13 a.m., it was moved by Mr. Konishi, seconded by Mr. Lee, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. Mr. Estrada requested to withdraw his application in the "B" General building classification and to apply for the C-5 Cabinet, millwork and carpentry remodeling and repairs classification. The Board informed Mr. Estrada that Elements of Hospitality Inc. must submit an Additional Classification application for the C-5 Cabinet, millwork and carpentry remodeling and repairs classification. It was moved by Mr. Leong, seconded by Mr. Lee, and unanimously carried to withdraw Mr. Estrada's application for licensure in the "B" General building classification and defer his application for licensure in the C-5 Cabinet, millwork and carpentry remodeling and repairs classification pending the submittal of additional projects verifying his on -site supervisory work experience. The Board is also requesting verification of his financial matters. Seen S. Morimoto, RME Pua Aina Inc. C-31 Masonry C-51 Tile Executive Session: At 10:16 a.m., it was moved by Mr. Isemoto, seconded by Mr. Kagawa, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 10;40 a.m., it was moved by Mr. Isemoto, seconded by Mr. Kagawa, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. It was moved by Mr. Kagawa, seconded by Mr. Lee, and unanimously carried to approve Mr. Morimoto's application for licensure in the C-51 Tile classification and defer his application for licensure in the C-31 Masonry classification pending the submittal of additional projects in the broad scope of this classification and the commensurate amount of on -site supervisory work experience. Mr. Morimoto may document projects which may date back beyond ten years. Contractors License Board Minutes of the August 16, 2018 Meeting Page 9 Dustin J. McClure, RME McClure and Sons Inc. "B' General Building Executive Session: At 10:43 a.m., it was moved by Mr. Konishi, seconded by Mr. Isemoto, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 11:02 a.m., it was moved by Mr. Leong, seconded by Mr. Isemoto, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. It was moved by Mr. Leong, seconded by Mr. Isemoto, and unanimously carried to defer Mr. McClure's application for licensure in the "B" General building classification pending the submittal of a revised project list which provides additional on -site supervision of "ground -up" projects verifying four years of experience which may date back beyond ten years. k. Dan L. Smith, RME Pacific Underwater Construction LLC "A" General engineering Executive Session: At 11:21 a.m., it was moved by Mr. Konishi, seconded by Mr. Isemoto, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 11:37 a.m., it was moved by Mr. Leong, seconded by Mr. Isemoto, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. It was moved by Mr. Leong, seconded by Mr. Isemoto, and unanimously carried to defer Mr. Smith's application for licensure in the "A" General engineering classification pending the submittal of a description of his specialty classification in American Samoa and a description of all the work he intends to do. Jiafa Pan (Individual) "B" General building Contractors License Board Minutes of the August 16, 2018 Meeting Page 10 Executive Session: At 11:38 a.m., it was moved by Mr. Konishi, seconded by Mr. Isemoto, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 11:47 a.m., it was moved by Mr. Isemoto, seconded by Mr. Konishi, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. It was moved by Mr. Leong, seconded by Mr. Isemoto, and unanimously carried to approve Mr. Pan's application for licensure in the "B" General building classification. Chanter 91, HRS Adiudicatory Matters: Chairperson Polischeck called for a recess from the Board's meeting at 11:48 a.m. to discuss and deliberate on the following adjudicatory matters pursuant to HRS chapter 91. 1. Settlement Agreements a. In the Matter of the Contractors Licenses of American Flooring. Inc.: James M. Kormos: CLB 2015-213-L RICO received a complaint alleging that American Flooring, Inc. and James M. Kormos ("Respondents") were contracted as a subcontractor to perform flooring work at the Prince Kuhio Plaza (the "Project") and did not have the RME in residence in the State of Hawaii. Respondents allege that Respondent Kormos made four trips to Hawaii during the seven months of work on the Project, Respondent Kormos' ability to be present in Hawaii was severely limited due to his spouse's serious medical operation and his own dental issues, and, when not present in Hawaii, Respondent Kormos was in constant contact with the project superintendent, and there was no complaint about the quality of work performed by Respondents. If proven at an administrative hearing, the allegations would constitute violations of HAR §§ 16-77-71(a)(4) (RME shall be in residence in Hawaii during the period a project is under construction); and 16-77-71(a)(5) (RME shall be held responsible for any violation of HAR). Respondents agree to pay an administrative fine in the amount of $8,000.00. Contractors License Board Minutes of the August 16, 2018 Meeting Page 11 b. In the Matter of the Contractors Licenses of Benlin Corp., doing business as Grand Construction: Benny Lee: CLB 2010-81-L & CLB 2010-394-L RICO received a complaint alleging that Benlin Corp., doing business as Grand Construction and Benny Lee ("Respondents") started work on the renovation of a residential kitchen and ceased work before the project was completed. RICO received a complaint that Respondents failed to complete and exhibited poor workmanship in the construction of the addition to a residence and could not account for the allowances for materials. The complainant and Respondents are in an on -going civil lawsuit regarding this project. RICO alleges that the Respondents failed to include all the required disclosures in the homeowner contracts for both requirements. If proven at an administrative hearing, the allegations would constitute violations of the following HRS §§444-17(3) (failure to complete), 444- 17(4) (failure to account for funds), and 444-25.5 (homeowner contract disclosures) and HAR §§ 16-77-71 (RME held responsible for any violations by contracting entity), 16-77-80 (homeowner contract requirements), and 16-77-97 (workmanship). Respondent Benlin agrees to the voluntary revocation of Respondent Benlin's license. Respondents agree to pay an administrative fine in the amount of $3,000.00. C. In the Matter of the Contractors' Licenses of CG Builders, LLC: Charles S. Gonzales; CLB 2013-139-L RICO received a complaint alleging that CG Builders, LLL and Charles S. Gonzales ("Respondent's") failed to complete the construction of an "Argue Package Model 1-1-2" home. Respondent alleges that the items were punch list items that he was willing to complete but the RICO complaint was filed before he had a chance to address the issues. RICO alleges that the Respondent's contract was missing required homeowner disclosures. If proven at an administrative hearing, the allegations would constitute violations of the following HRS § 444-25.5(b) (required homeowners disclosure in written contract) and HAR § 16-77-80 (required homeowner disclosures in contracts). Respondents agree to pay an administrative fine in the amount of $2,500.00. Contractors License Board Minutes of the August 16, 2018 Meeting Page 12 d. In the Matter of the Contractor's License of Philip A. Harris. dba P.A. Harris Electric; CLB 2017-378-L & CLB 2017-421-L RICO received complaints that Philip A. Harris, dba P.A. Harris Electric or P.A. Harris Electric, LLC ("Respondent") contracted to install residential photovoltaic systems in 2017 for two homeowners residing in Honolulu, Hawaii. P.A. Harris Electric, LLC is a limited liability company whose members were Bryon D. Harris and Edmund C. Harris. P.A. Harris Electric, LLC has never held a Hawaii contractor's license. On or about October 17, 2017, P.A. Harris Electric, LLC filed for Chapter 7 bankruptcy relief in the U.S. Bankruptcy Court for the District of Hawaii, Case No. 17-01082 ("the bankruptcy action"). The bankruptcy action is ongoing. The complainants are listed as creditors in the bankruptcy action. RICO investigated whether Respondent violated HRS §§ 444-17(13) (willful failure or refusal to prosecute a project or operation to completion with reasonable diligence), 444-25.5(b)(1) (written disclosure of information regarding bonding and liens) 444-25.5(b)(2) (failure to include notice of contractor's right to resolve alleged construction defects in accordance with HRS 672E-11), 444-25.5(b)(3) (failure of licensee to sign contract), HAR 16-77-79(a)(1) (disclosure of lien rights), 16-77-79(a)(4) (disclosure of bonding information), and 16-77-79 (a)(5) (failure to disclose contractor's classification). Respondent agrees to the voluntary revocation of Respondent's contractor's license. Respondent agrees not to renew or restore his Hawaii contractor's license or to seek a new contractor's license in the State of Hawaii in the future. After discussion, it was moved by Mr. Konishi, seconded by Mr. Isemoto, and unanimously carried to approve the Settlement Agreement Prior to Filing of Petition for Disciplinary Action and Board's Final Order in the above cases. 2. Board's Final Order None. Following the Board's review, deliberation and decisions in these matters, pursuant to HRS chapter 91, Chairperson Polischeck announced that the Board was reconvening to its open meeting at 12:00 p.m. Mr. Teves left the meeting at 12:01 p.m. Contractors License Board Minutes of the August 16, 2018 Meeting Page 13 Committee Reports: 2. Examination Committee: Danny T. Matsuoka, Chairperson The Contractors Examination Summary for July 2018 was distributed to the Board for their information. 3. Recovery/Education Fund Committee: Zale T. Okazaki, Esquire The Recovery Fund Litigation Report dated August 14, 2018 prepared by Ms. Okazaki, was distributed to the Board. Executive Session: At 12:03 a.m., it was moved by Mr. Isemoto, seconded by Mr. Lee, and unanimously carried to enter into executive session pursuant to HRS section 92-5(a)(1) to consider and evaluate personal information relating to individuals applying for professional or vocational licenses cited in HRS section 26-9, and to consult with Krishna F. Jayaram, deputy attorney general, on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities pursuant to HRS section 92-5(a)(4). At 12:05 a.m., it was moved by Mr. Isemoto, seconded by Mr. Lee, and unanimously carried to move out of executive session and to reconvene to the Board's regular order of business. 4. Conditional License Report: Charlene L.K. Tamanaha, Executive Officer a. Shane M. Cui (Individual) C-33 Painting and decorating It was moved by Mr. Lee, seconded by Mr. Isemoto, and unanimously carried to rescind the Board's prior approval of a conditional license with respect to Mr. Cui's application for licensure in the C-33 Painting and decorating classification for a conditional license and instead approved Mr. Cui's application for licensure. 5. Applications Committee: Tyrus Kagawa, Chairperson It was moved by Mr. Lee, seconded by Mr, Isemoto, and unanimously carried to approve, defer, deny or withdraw the license application s as indicated on the Applications Committee Statement in the following categories listed under item 5 a through c as attached to the meeting minutes. a. Request for Change in Business Status b. Request for Waiver of Bond Requirement Contractors License Board Minutes of the August 16, 2018 Meeting Page 14 C. Applications for Licensure Other Business: None. Open Forum: None. Next Meeting: Friday, September 21, 2018 Adjournment: There being no further business to discuss, the meeting was adjourned at 12:15 p.m, Reviewed and approved by: Taken and recorded by: /s/ Candace Ito Candace Ito Executive Officer 9/14/18 /s/ Faith Nishimura Faith Nishimura Secretary [X] Minutes approved as is. [ ] Minutes approved with changes. See minutes of COUNTY OF KAUA'I Su M Tu W Th F Sa 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 F 22 23 24 25 26 27 29 30 31 BOARD OF ETHICS 2019 MEETING SCHEDULE Su M Tu W Th I F I Sa 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 191 201 211 22 23 24 25 261 271 281 291 301 31 Su M November Tu W Th F Sa 1 2 3 4 5 6 7 89 10 11 1213 14 15 16 17 18 19 20 21 22 25 26 27 28 29 d2324 HOLIDAYS: Jan 01 New Year's Day Jan 21 Dr. Martin Luther King, Jr. Day Feb 18 Presidents' Day Mar 26 Prince Jonah Kuhi6 Kalanianaole Day Apr 19 Good Friday May 27 Memorial Day Jun 11 King Kamehameha I Day Jul 04 Independence Day Aug 16 Statehood Day Sep 02 Labor Day Nov 11 Veterans' Day Nov 28 Thanksgiving Day Dec 25 Christmas Day ME QO I b-- 1,9 Kauai County Board of Ethics c/o Office of Boards and Commissions 444 Rice Street, Suite 150 Lihue, Kauai, Hawaii 96766 Dear Honorable Board Members, ,} act - 9 2018 ' BE ohs a coa�si��ssion�s October 9, 2018 Mahalo for your continuing work on behalf of Kauai's citizens. In accordance with your previous opinion related to my employment with the County, my general contractors license, and my affiliation with Kaua'i Veterans Express, I formally request a favorable ethical opinion to act as a responsible employee (RME) for a local general contracting firm. I make the request given the following: 1. 1 am the Acting County Engineer as the sworn Deputy County Engineer. 2. 1 have previously granted approval via Advisory Opinion RAO 13-006 by the County of Kauai Board of Ethics via letter dated September 20, 2013. 3. My position with Kaua'i Veterans Express is that of RME for the Construction section of the company only and not part of any of the other functions of the Company. I have attached the corporate structure of Kaua'i Veterans Express confirming that I am neither an officer, owner, nor shareholder of the company, and do not hold any responsibility any part but for construction work which falls under the classifications of my contractor license CT ABC 29696. 4. 1 would be of the understanding, if permitted to work as an RME outside of the county the company where I am an RME could not bid for construction work offered by County of Kauai. Further no permits for construction work would be submitted by the company where I serve as an RME to the County of Kaua'i. 5. The role that I play in the Department is that of an administrative role and do not directly supervise anyone in the Building Division regulatory plans review section inspection and Engineering regulatory plans and inspection sections. I agree if an issue arises beyond the supervising Division chiefs that could involve the company where I serve as an RME, I will recuse myself from any discussion or decision -making. As a licensed contractor there is also a code of ethics which I must uphold. I would not place my client in jeopardy or threaten my professional ethic and my General Contractor's license. Mahalo for your consideration of this request. I will gladly make myself available to answer any questions you may have. 1zA-0 IS- 004 KAUAI VETERANS' EXPRESS COMPANY P.O. BOX 3329 LIHUE, HI 96766 OFFICE (808) 245-3553 FAX (808) 245-5807 Email: kvet@hawaiiantel.net October 9, 2018 To whom it may concern: Listing of officers for Kauai Veterans' Express Company: President: Stanley Morinaka, Sr. Vice-President/Secretary: Coleen S. Morinaka LyLe Tabata is not an owner, officer, shareholder of Kauai Veterans' Express Company. but is the RME for the construction section of Kauai Veterans' Express Company. Best Regards, Co Staple orina a, r. Michael Curtis Chair Maureen Tabura Vice Chair Mia Shiraishi Secretary COUNTY OF KAUA'I BOARD OF ETHICS c/o Office of Boards & Commissions 4444 Rice Street, Suite 150 Lihu'e, HI 96766 October 10, 2018 Lyle Tabata c/o Department of Public Works 4444 Rice Street, Suite 275 L-ihu`e, Hawaii 96766 RE: Request for Opinion Dear Mr. Tabata: Members: Susan Burriss Ryan de la Pena Mary Tudela Dean Toyofuku VIA E-MAIL Itabata@kauai.gov The Board of Ethics received your request for an Advisory Opinion dated October 9, 2018, relating to your employment with the County, your general contractor's license, and your affiliation with Kauai Veterans Express. The next Board of Ethics meeting is scheduled for Friday, October 19, 2018. Your request will be reviewed by the Board at that time and you may expect a response shortly thereafter. It is advisable that you are in attendance to answer any questions the Board members may have. If you should have any questions or concerns, please feel free to contact me at (808) 241-4881, or via email at dagaran@kauai.gov. Sincerely, A�arcie Agaran Commission Support Clerk An Equal Opportunity Employer Bernard P. Carvalho Jr. Mayor Wallace G. Rezentes Jr. Managing Director DEPARTMENT OF PUBLIC WORKS County of Kauali, State of Hawaili 4444 Rice Street, Suite 275, Lihu'e, Hawai'i 96766 TEL (808) 241-4992 FAX (808) 241-6604 October 9, 2018 Board of Ethics c/o Office of Boards & Commissions 4444 Rice Street, Suite 150 Lihu`e, HI 96766 Subject: Ethics Inquiry to Attend Conference Board of Ethics, Lyle Tabata Acting County Engineer FOCT - 9 2018 J R v A: The Italian Exhibition Group, in collaboration with the Italian Trade Agency, the Italian Trade Commission Trade Promotion Office of the Italian Embassy is putting on an international trade fair, ECOMONDO (www.ecoinondo.com) from November 6-9, 2018. The conference is widely attended, approximately 115,000 people, and is a great opportunity to learn from technical sessions and meet vendors. This conference will provide a unique ability to provide some insight into worldwide issues and solutions in the wide ranging environmental industry including water and wastewater. The items that would be of particular interest to me include new and emerging technologies especially as it relates to applications with limited available land; innovative ways to use recycled water and technologies; and programs to implement a biosolids reuse. The Italian Trade Commission is offering to pay for my expenses for the duration of the conference. This includes airfare, hotel, transportation, meals and the conference fee. As part of the offer, I will be required to attend meetings with Italian companies at their booths. There is no obligation to purchase anything from any of the companies. It seems that it's a way for the Italian Trade Commission to feel comfortable that invitees actually attend the conference and get introduced to Italian companies and make sure that it is not paying for attendees who do not actually attend the conference. The invitation was just passed along today and since the conference is in less than a month it does not leave much time. I'd appreciate your review and recommendation on whether attending the conference where my expenses are covered by the Italian Trade Commission is an ethics violation. Feel free to let me know if you have any questions. ours truly, J Ka im o, hief Wastewater Management Division An Equal Opportunity Employer RA-0 l$ - 009 Michael Curtis Chair Maureen Tabura Vice Chair Mia Shiraishi Secretary COUNTY OF KAUA'I BOARD OF ETHICS c/o Office of Boards & Commissions 4444 Rice Street, Suite 150 Lihu'e, HI 96766 October 10, 2018 Jason Kagimoto c/o Department of Public Works Wastewater Management Division 4444 Rice Street, Suite 275 L-1hu`e, Hawaii 96766 RE: Request for Opinion Dear Mr. Kagimoto: Members: Susan Burriss Ryan de la Pena Mary Tudela Dean Toyofuku VIA E-MAIL LgimotoQkauai.gov The Board of Ethics received your request for an Advisory Opinion dated October 9, 2018, relating to your attendance at an international trade fair, ECOMONDO. The next Board of Ethics meeting is scheduled for Friday, October 19, 2018. Your request will be reviewed by the Board at that time and you may expect a response shortly thereafter. It is advisable that you are in attendance to answer any questions the Board members may have. If you should have any questions or concerns, please feel free to contact me at (808) 241-4881, or via email at dagaran@kauai.gov. Sincerely, Parcie Agar Commission Support Clerk An Equal Opportunity Employer f I la ■ Ed