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Article 6. Ethics Commission *

Sections:

3-6.1 Membership, term and appointment.

3-6.2 Rules--Meetings.

3-6.3 Powers, duties and functions.

3-6.4 Commission staff.

3-6.5 Requirements applicable to the rendering of opinions.

3-6.6 Request for opinions by officers or employees.

3-6.7 Requests by third parties.

3-6.8 Applicability.

3-6.9 Prohibiting political management or activity or candidacy to an elective political office.

3-6.10 Training of management or supervisory officer or employee on standards of conduct.

Sec. 3-6.1 Membership, term and appointment.

The number, term, and appointment of members of the ethics commission shall be subject to Section11-107 of the charter. (Sec. 3-2.1, R.O. 1978 (1983 Ed.); Am. Ord. 01-51)

Sec. 3-6.2 Rules--Meetings.

Meetings of the commission shall be held at the call of the chair and the affirmative vote of a majority of the entire membership shall be necessary to take any action. (Sec. 3-2.2, R.O. 1978 (1983 Ed.))

Sec. 3-6.3 Powers, duties and functions.

(a) The commission shall render advisory opinions at any time at the request of an officer or employee of the city involving the possible conflict of interest or unethical conduct on the part of or the solicitation, acceptance, or receipt of a gift by such officer or employee.

(b) The commission shall also render advisory opinions in circumstances where there is alleged to be a conflict of interest or unethical conduct on the part of any employee or officer of the city within the scope of the revised charter and Article 8 of this chapter.

(c) The commission shall have jurisdiction for purposes of investigation and taking appropriate action over a complaint or request for an advisory opinion alleging a violation of the standards of conduct established in Article XI of the revised charter or of Article 8 of this chapter by a current or former officer or employee that has been submitted to the ethics commission within six years after the alleged violation occurred. Any investigation commenced by the commission on its own initiative into an alleged violation of Article XI of the revised charter or of Article 8 of this chapter by a current or former officer or employee shall be commenced within six years after the alleged violation occurred.

(d) The commission shall recommend to the appointing authority or the council, in the case of a councilmember, appropriate disciplinary action against officers and employees found to have violated the standards of conduct established in Article XI of the revised charter or Article 8 of this chapter.

(e) The commission may impose civil fines as set forth in Section 3-8.5.

(f) The commission may submit to the mayor and council recommendations and reports which it deems advisable and which pertain to the standards of conduct contained in Article XI of the revised charter, to the administration of said Article XI or to any other matter relating to the fostering and maintenance of ethical conduct.

(g) The commission may initiate or make investigations and hold hearings.

(h) The commission may subpoena witnesses, administer oaths and take testimony relating to matters before the commission and issue subpoenas for the production for examination of any books, papers or other documents relative to any matter under investigation or in question before the commission. Before the commission shall exercise any of the powers authorized herein with respect to any investigation or hearings it shall be by formal resolution, supported by a vote of the majority of the members of the commission, defining the nature and scope of its inquiry.

(i) The commission may, from time to time adopt, amend and repeal such rules and regulations, not inconsistent with the provisions herein and of Article 8 of this chapter, as in the judgment of the commission seem appropriate for the carrying out of the provisions herein and of Article 8 of this chapter and for the efficient administration thereof, including every matter or thing required to be done or which may be done with the approval or consent or by order or under the direction or supervision of or as prescribed by the commission. The rules and regulations, when approved, promulgated and filed as provided in HRS Chapter 91 shall have the force and effect of law.

(j) Any commission member or commission staff, who divulges information concerning the allegation prior to the issuance of an advisory opinion by the commission, or if the investigation discloses that the advisory opinion should not be issued by the commission, any commission member or commission staff who, at any time, divulges any information concerning the original allegation, or divulges the contents of disclosures except as permitted by this article, shall, if found guilty, be subject to the applicable provisions of Section 11-106 of the revised charter.

(k) The commission may disclose the name of any officer or employee who has been determined by the commission, following investigation and a hearing or opportunity for a hearing, to have violated any of the provisions of Article 8 of this chapter or of Article XI of the revised charter in accordance with HRS Chapter 92F.

(l) The commission may submit information or records to another agency, an agency of the State of Hawaii, an agency of another state, or to an agency of the federal government, or a foreign law enforcement agency or authority as permitted under HRS Chapter 92F. (Sec. 3-2.3, R.O. 1978 (1983 Ed.); Am. Ord. 92-17, 93-113, 94-49, 02-15, 07-43)

Sec. 3-6.4 Commission staff.

(a) There shall be an executive director of the ethics commission who shall be an attorney licensed to practice law in the State of Hawaii. The executive director shall be referred to as the legal counsel to the commission. The salary of the legal counsel shall be set by the ethics commission, within the EM-7 range applicable to city and county civil service employees, payable semi-monthly out of the city treasury; provided, that the salary may fall below the EM-7 range if the position of legal counsel is less than a full-time position.

(b) The commission may appoint such additional staff and engage consultants as is necessary to assist it in the performance of its duties.

(c) The position of legal counsel and any other staff shall be exempt from the provisions of Chapter 11 of Article VI of the Revised Charter of Honolulu, as amended, but all positions except that of the legal counsel shall be included in the position classification plan. (Sec. 3-2.4, R.O. 1978 (1987 Supp. to 1983 Ed.))

Sec. 3-6.5 Requirements applicable to the rendering of opinions.

(a) Except in the case of a written request by the elected or appointed officer or employee concerned, the commission may for good cause refuse to entertain a request for an advisory opinion. Without limiting the generality of the foregoing, the commission may refuse to entertain a request where: (1) the request is speculative or purely hypothetical and does not involve an actual situation or (2) the request is frivolous. In no case, however, shall the commission entertain a request that is not in writing and not signed by the person making the request.

(b) The commission shall acknowledge the receipt of the request in writing to the person submitting the request. If the request involves an employee or officer and the request is made by a person other than such employee or officer, a copy of the request shall be sent to the employee or officer so involved with the name of the person making the request deleted so that such person's name will not be disclosed.

(c) All records, reports, writings, documents, exhibits and other evidence received by the commission shall be held in confidence and no information as to the contents thereof shall be disclosed unless such items are presented and received by the commission at a hearing or meeting that is open to the public.

(d) Within 30 days after a request for an opinion, or within 30 days after a hearing on any request shall have been concluded, whichever is later, the commission shall render its opinion in writing. All opinions rendered by the commission shall be published and shall be in such form and with such deletions as may be necessary to prevent the disclosure of the identity of the persons involved.

(e) After an opinion has been rendered, the commission shall notify the appointing authority of the officer or employee involved or the council in the case of elected officials, of its decision and shall recommend appropriate disciplinary action against officers and employees found to have violated standards of conduct established by the revised charter or by ordinance. The appointing authority or the council shall take whatever action is deemed necessary, and report the action taken to the commission within 15 days after receiving the decision and recommendation of the commission. The disclosures of conflicts of interests as provided in Revised Charter Section 11-103 shall be made matters of public record at any time that such conflict becomes apparent.

(Sec. 3-2.5, R.O. 1978 (1987 Supp. to 1983 Ed.); Am. Ord. 96-58)

Sec. 3-6.6 Request for opinions by officers or employees.

(a) Any officer or employee may request an opinion from the commission relating to any situation involving such officer or employee which may give rise to the possibility of a conflict of interest under Revised Charter, Article XI. Any officer or employee also may request an opinion from the commission on a situation which may give rise to the possibility of unethical conduct under this article. Any officer or employee also may request an opinion from the commission relating to the solicitation, acceptance, or receipt of a gift.

(b) The request shall be in writing, shall set forth the pertinent facts and shall be signed by the officer or employee making the request.

(c) The request shall be held in confidence and no disclosure thereof shall be made, except as provided herein. (Sec. 3-2.6, R.O. 1978 (1987 Supp. to 1983 Ed.); Am. Ord. 93-113, 94-49, 02-15)

Sec. 3-6.7 Requests by third parties.

(a) A request for an advisory opinion submitted by a person other than the officer or employee involved in the request shall be in writing and shall be signed by the person making the request; provided, that the name of the person making the request shall not be disclosed. Such request shall relate to an actual situation and shall set forth the pertinent facts, including the names of those involved.

(b) Where the employee or officer involved in the request is not the person making the request, such employee or officer shall have an opportunity to respond in writing within 15 days after receipt of a copy of the request. The response may include a request for a hearing before the commission.

(c) Where no hearing is requested by the officer or employee involved, the commission shall render its opinion on the basis of the information available; provided, that the commission may request for additional information when deemed necessary.

(d) The commission shall, upon receipt of a request for a hearing within the period above referred to by the officer or employee involved, set a time and place for the hearing for the purpose of determining the facts. The person making the allegation and the employee or officer involved shall have the opportunity to appear at the hearing, alone or by counsel, and to present any and all evidence, including testimony and exhibits, which are relevant to the issue involved. No testimony shall be excluded, except for irrelevancy.

(e) All hearings before the commission involving an alleged conflict of interest of any employee or officer shall be held in executive session, provided that a public hearing may be held where such officer or employee, alleged to have a conflict of interest, consents thereto. (Sec. 3-2.7, R.O. 1978 (1987 Supp. to 1983 Ed.)

Sec. 3-6.8 Applicability.

The provisions herein shall be applicable to officers and employees of the City and County of Honolulu and the terms "officers" and "employees" shall be given the meanings provided in Revised Charter Section 13-101.3, relative to "employees", and Revised Charter Section 13-101.4, relative to "officers"; provided, that the term "officers and employees" as used herein shall also include officers or employees under a personal service contract as prescribed in Revised Charter Sections 6-1103(f) and (g) and 6-1104(f), but excludes independent contractors. (Sec. 3-2.8, R.O. 1978 (1987 Supp. to 1983 Ed.); Am. Ord. 96-58)

Sec. 3-6.9 Prohibiting political management or activity or candidacy to an elective political office.

(a) Except for exercising the right to vote or making a campaign contribution to a candidate for elective public office, no member of the ethics commission shall support, advocate or aid in, or manage, the election or defeat of any candidate for public office. No member of the ethics commission shall be a candidate for any elective public office nor engage in campaigning for such office.

(b) Any member of the ethics commission who violates the provisions of this section shall be removed by the mayor forthwith since such person serves at the pleasure of the mayor. (Sec. 3-2.9, R.O. 1978 (1987 Supp. to 1983 Ed.); Am. Ord. 01-51)

Sec. 3-6.10 Training of management or supervisory officer or employee on standards of conduct.

(a) Each management or supervisory officer or employee shall complete a training program on the standards of conduct established under Article XI of the charter and Article 8 of this chapter. For this section only, "management officer" includes a person who is an "officer" due to membership on a board or commission. The term does not include a member of an advisory committee established under the executive branch pursuant to Section 4-103 of the charter or under the council pursuant to council rule or resolution. The program shall provide training and information which gives the management or supervisory officer or employee knowledge of at least the following:

(1) The various standards of conduct applicable to the management or supervisory officer or employee, subordinate officers or employees, and former officers or employees who appear before the management or supervisory officer's or employee's agency;

(2) Actions which the management or supervisory officer or employee or a subordinate officer or employee must or may take to avoid a violation of a standard of conduct;

(3) Actions which the management or supervisory officer or employee may take when ordered or requested by a superior officer or employee to violate a standard of conduct;

(4) Remedies which may be sought by the management or supervisory officer or employee when knowing or suspecting that another person has violated a standard of conduct; and

(5) Requirements concerning the filing of financial disclosures by the management or supervisory officer or employee and subordinate officers or employees.

(b) The management or supervisory officers or employees required to complete the training program of this section shall be the same as those required to complete the sexual harassment training program pursuant to Section 1-17.11 and board and commission members who are "management officers" under subsection (a).

(c) The ethics commission shall formulate the training program and provide it to management or supervisory officers or employees according to the following timetable:

(1) For a management or supervisory officer or employee who occupies the management or supervisory position on July 1, 2001, the ethics commission shall provide the training program within two years of that date; and

(2) For a management or supervisory officer or employee who is elected or appointed to the management or supervisory position after July 1, 2001, the ethics commission shall provide the training program within six months of the election or appointment to the position. The ethics commission, however, may exempt such a management or supervisory officer or employee from the training program if the officer or employee previously completed the program while occupying a former management or supervisory position.

(d) The ethics commission shall determine the time interval at which the management or supervisory officers or employees shall receive retraining on the standards of conduct.

(e) The ethics commission may request the department of human resources to assist in formulating, providing, and scheduling the training program. The department may provide the assistance if able and willing to do so.

(Added by Ord. 01-35; Am. Ord. 02-15)

Article 8. Additional Standards of Conduct *

Sections:

3-8.1 Definitions.

3-8.2 Additional standards of conduct.

3-8.3 Restrictions relative to post employment.

3-8.4 Financial disclosures.

3-8.5 Violation--Penalty.

3-8.6 Additional standards of conduct concerning campaign contributions and campaign assistance.

3-8.7 Gifts to mayor, prosecuting attorney, and appointed officer or employee�Prohibition under certain circumstances.

3-8.8 Gifts to councilmember--Prohibition under certain circumstances.

3-8.9 Additional standards of conduct concerning campaign contributions and campaign assistance from lobbyists.

Sec. 3-8.1 Definitions.

Unless the context of this article otherwise clearly requires, for purposes of this article the terms defined in this section shall have the respective meanings hereinafter set forth:

"Agency" means and includes (1) the City and County of Honolulu; (2) the council and its committees; (3) all departments, offices, boards, commissions, committees; (4) all independent commissions and other similar establishments of the city government; and (5) any other governmental unit of the city.

"Business" means and includes (1) a corporation; (2) a partnership; (3) a sole proprietorship; (4) institutions; (5) trusts; (6) foundations; or (7) any other individual or organization carrying on a business, whether or not operated for profit.

"City" means the City and County of Honolulu.

"Compensation" means (1) any money; (2) thing of value; and (3) economic benefit conferred on or received by any person in return for services rendered or to be rendered by such person or another.

"Controlling interest" means an interest which is sufficient in fact to control, whether the interest be greater or less than 50 percent.

"Financial interest" means an interest held by an individual, the individual's spouse or minor children which is: (1) an ownership interest in a business; (2) a creditor interest in an insolvent business; (3) an employment, or prospective employment for which negotiations have begun; (4) an ownership interest in real or personal property; (5) a loan or debtor interest; or (6) a directorship or officership in a business.

"Former employee" means any person who has served the city in a position involving the taking of official action, as hereinafter defined.

"Official act" or "official action" means a decision, recommendation, approval, disapproval or other action, including inaction, which involves the use of discretionary authority.

"Officers and employees" shall be given the meaning as prescribed in subsections 3 and 4 of Revised Charter Section 13-101; provided, that the term "officers and employees" shall also include officers and employees under a personal services contract with the executive branch of the city as prescribed in subsections (f) and (g) of Revised Charter Section 6-1103, or under equivalent contracts with the legislative branch of the city as prescribed in subsection (f) of Revised Charter Section 6-1104, but excluding independent contractors; and provided further, that an individual shall not be deemed an officer or employee solely by reason of such person's receipt of a pension, disability payments, or other payments not made for current services. (Sec. 6-1.1, R.O. 1978 (1987 Supp. to 1983 Ed.); Am. Ord. 94-49)

Sec. 3-8.2 Additional standards of conduct.

No officer or employee of the city, except as hereinafter provided, shall:

(a) Participate, as an agent or representative of a city agency, in any official action directly affecting a business or matter in which (1) such person has a substantial financial interest; or (2) by or for which a firm of which such person is a member, an associate or an employee has been engaged as a legal counsel or advisor or consultant or representative in a matter directly related to such action; provided, that a councilmember is not precluded from voting on such matter before the council so long as a written disclosure has been made in the event there is a conflict of interest involving this subsection and relating to such matter.

(b) Acquire financial interest in business enterprises which such person has reason to believe may be directly involved in official action to be taken by such person.

(c) Appear in behalf of private interests before any agency other than a court of law, nor shall such person represent private interests in any action or proceeding against the interests of the city in any litigation to which the city is a party; provided, however, that a member of any board, commission or committee may appear in behalf of private interests before agencies other than the board, commission or committee on which such person serves; provided further, that no officer or employee shall be denied the right to appear before any agency to petition for redress of grievances caused by any official act or action affecting such person's personal rights, privileges or property, including real property. This prohibition shall not apply to any architect, landscape architect, surveyor or engineer registered as such under the provisions of HRS Chapter 464, who is a city employee or officer, with respect to the affixing by such registered professional of such person's registered stamp to any plans, specifications, drawings, etc., to be submitted to the city for permits for such person's principal residence or that of members of such person's immediate family; provided, that the stamp is accompanied by a signed statement that the work was prepared by the person stamping the document or under such person's supervision; and provided further, that the registered professional may not, in the capacity of a city employee or officer, review, approve or otherwise act upon the plans, specifications, drawings, etc., such person has stamped. For the purposes of this section, "immediate family" means the employee's or officer's spouse, siblings, children or parents; spouse's children or parents; or children's spouses.

(d) Accept a retainer, compensation, or election campaign contribution that is contingent upon action by an agency.

(e) Enter into any contract in behalf of the city with an officer or employee or with a business in which an officer or employee has a controlling or substantial financial interest, involving the furnishing of services, materials, supplies and equipment unless the contract is made after competitive bidding; provided, that this subsection shall not apply to personal contracts of employment with the executive branch of the city as prescribed in Revised Charter Section 6-1103(f) and (g) or equivalent contracts with the legislative branch of the city as prescribed in Revised Charter Section 6-1104(f).

(f) Order any person to violate, or aid or abet any person in the violation of the provisions of Revised Charter Section 6-1112.2 relating to prohibition on political activities of persons in the civil service.

(Sec. 6-1.2, R.O. 1978 (1987 Supp. to 1983 Ed.); Am. Ord. 96-58, 02-11)

Sec. 3-8.3 Restrictions relative to post employment.

(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 the 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.

(f) Any former officer or employee who falls within the scope of this section and who makes a false statement in the person's sworn 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. 6-1.3, 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 who are exempt from civil service pursuant to Revised Charter Sections 6-1103 and

6-1104, but excluding all persons hired 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.

(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 31st 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 31st 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 need 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 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 tax map key number and street address, 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.

(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. 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.

(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 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.

(f) Penalty.

(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 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:

(i) 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 fails 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.

(B) 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. 3-8.5 Violation--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 charger and "exempt employee" means all employees of the executive and legislative branches of the City and County of Honolulu who are exempt from civil service pursuant to revised charter Sections 6-1103(a) -- (d) and (i) and 6-1104(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;

(D) The presence or absence of any intention to conceal, deceive or mislead;

(E) Whether the violation was 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;

(I) The value of anything received or sought in the violation;

(J) The costs incurred in enforcement, including reasonable investigative costs and attorneys' fees;

(K) Whether the officer or exempt employee was 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. 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 6-1112(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

(4) The activities of a political party or campaign committee by:

(A) Serving as a member;

(B) Soliciting members;

(D) Raising funds;

(E) Campaigning for the political party's or campaign committee's candidate or position on an issue; or

(F) Volunteering on a campaign or campaign committee.

"Campaign committee" means a "committee" as defined under HRS Section 11-191.

"Campaign contribution" means a "contribution" as defined under HRS Section 11-191.

"Exempt officer or employee" means an officer or employee exempt from the civil service pursuant to Section 6-1103, Section 6-1104, or any other provision of the revised charter.

"Officer or employee" means:

(1) An officer or employee within the definition of "officers and employees" under Section 3-8.1; and

(2) For the purpose of this section, an independent contractor with the city, whether or not contracted pursuant to competitive bidding procedures, and including, without limitation, a municipal bond dealer.

"Political party" means the same as defined under HRS Section 11-61.

(1) Coerce, demand, or otherwise require a campaign contribution or campaign assistance from another officer or employee;

(2) Deny employment to a person who will not agree, as a condition of the employment, to:

(A) Make a campaign contribution or request a campaign contribution from another person; or

(B) Render campaign assistance or request another person to render campaign assistance;

(3) Discharge, demote, decrease the compensation of, harass, or otherwise punish another officer or employee because that officer or employee:

(A) Refused to make a campaign contribution or render campaign assistance when requested or demanded by the exempt officer or employee or a third person;

(B) Sought or received an advisory opinion from the ethics commission on a possible violation of this subsection; or

(4) Promise or threaten to discharge, demote, decrease the compensation of, harass, or otherwise punish another officer or employee unless that officer or employee:

(A) Makes a campaign contribution or renders campaign assistance as requested or demanded by the exempt officer or employee or a third person;

(B) Refrains from seeking an advisory opinion from the ethics commission on a possible violation of this subsection; or

(5) Promote or increase the compensation of another officer or employee because that officer or employee made a campaign contribution or rendered campaign assistance when requested or demanded by the exempt officer or employee or a third person;

(6) Solicit or request a specified or minimum campaign contribution amount from another officer or employee;

(7) Request another officer or employee to provide a specified or minimum amount of campaign assistance; or

(8) Solicit or receive any campaign contribution from a person, including another officer or employee, in a building or facility during its use for official city functions. An exempt officer or employee also shall not request or direct another exempt officer or employee to engage in an activity prohibited under this subsection.

(d) The activities prohibited under subsection (c) shall not preclude an exempt officer or employee from:

(1) Voting as the exempt officer or employee chooses;

(2) Voluntarily expressing an opinion on any political candidate, question, or issue;

(3) Voluntarily serving as a member of a political party, campaign committee, or other political organization;

(4) Voluntarily making a campaign contribution or rendering campaign assistance; or

(5) Voluntarily soliciting or requesting a campaign contribution or campaign assistance from another person, so long as the solicitation or request does not violate subsection (c).

(e) An exempt officer or employee who violates any provision of subsection (c) shall be guilty of a petty misdemeanor.

The prosecution of a violation pursuant to this subsection shall be commenced within two years after commitment of the violation. No violation shall be prosecuted after the expiration of the two-year period.

The prosecuting attorney shall be responsible for prosecution of a violation. If the prosecuting attorney becomes disqualified, the state attorney general shall have the responsibility for prosecution.

The penalty of this subsection shall be in addition to the penalty provided under Section 3-8.5(a). Both penalties may be imposed for the same violation.

(Added by Ord. 93-113; Am. Ord. 94-54)

Sec. 3-8.7 Gifts to mayor, prosecuting attorney, and appointed officer or employee--Prohibition under certain circumstances.

(a) For the purpose of this section:

"Appointed officer or employee" means an officer or employee, as defined under Section 3-8.1, other than an elected officer. "Appointed officer" includes a member of a board or commission.

"Gift" means any gift, whether in the form of money, goods, service, loan, travel, entertainment, hospitality, thing, or promise or in any other form.

(b) Neither the mayor, the prosecuting attorney, nor any appointed officer or employee shall solicit, accept, or receive, directly or indirectly, any gift under circumstances in which it can be reasonably inferred that the gift is intended:

(1) To influence the solicitor or recipient in the performance of an official duty; or

(2) As a reward for any official action on the solicitor's or recipient's part.

(c) During each one-year period beginning on July 1st and ending on June 30th, neither the mayor, the prosecuting attorney, nor any appointed officer or employee shall solicit, accept, or receive, directly or indirectly, from any one source any gift or gifts, not exempted by subsection (d), valued singly or in the aggregate in excess of $200.00.

(d) Exempted from the prohibition of subsection (c) are the following:

(1) Gifts received by will or intestate succession;

(2) Gifts received by way of distribution of any inter vivos or testamentary trust established by a spouse or ancestor;

(3) Gifts from a spouse, fianc�, fianc�e, any relative within four degrees of consanguinity or the spouse, fianc�, or fianc�e of such a relative. A gift from any such person shall not be exempt from subsection (c) if the person is acting as an agent or intermediary for any person not covered by this subdivision;

(4) Political campaign contributions that comply with state law;

(5) Anything available or distributed to the public generally without regard to the official status of the recipient;

(6) Gifts that, within 30 days after receipt, are returned to the giver or donated to a public body or to a bona fide educational or charitable organization without the donation being claimed by the mayor, the prosecuting attorney, or an appointed officer or employee as a charitable contribution for tax purposes. In the event the gift is donated to a public body or to a bona fide educational or charitable organization, the donor shall send, along with the gift, documentation acknowledging the initial giver of the gift; and

(7) Exchanges of approximately equal value on holidays, birthdays, or special occasions.

(e) A violation of this section by the mayor, the prosecuting attorney, or an appointed officer or employee shall be punishable in accordance with Section 3-8.5.

(Added by Ord. 94-49; Am. Ord. 02-15)

Sec. 3-8.8 Gifts to councilmember--Prohibition under certain circumstances.

(a) No councilmember shall solicit, accept or receive, directly or indirectly, any gift, whether in the form of money, goods, service, loan, travel, entertainment, hospitality, thing or promise, or in any other form, under circumstances in which it can be reasonably inferred that the gift is intended to influence the councilmember in the performance of the councilmember's official duties or is intended as a reward for any official action on the councilmember's part.

(b) During each one-year period beginning on July 1st and ending on June 30th, no councilmember shall solicit, accept, or receive, directly or indirectly, from any one source any gift or gifts, not exempted by subsection (c), valued singly or in the aggregate in excess of $200.00.

(1) Gifts received by will or intestate succession;

(2) Gifts received by way of distribution of any inter vivos or testamentary trust established by a spouse or ancestor;

(3) Gifts from a spouse, fianc�, fianc�e, any relative within four degrees of consanguinity of the councilmember or the spouse, fianc�, or fianc�e of such a relative. A gift from any such person shall not be exempt from subsection (b) if the person is acting as an agent or intermediary for any person not covered by this subdivision;

(4) Political campaign contributions that comply with state law;

(5) Anything available or distributed to the public generally without regard to the official status of the recipient;

(6) Gifts that, within 30 days after receipt, are returned to the giver or donated to a public body or to a bona fide educational or charitable organization without the donation being claimed by the councilmember as a charitable contribution for tax purposes. In the event the gift is donated to a public body or bona fide educational or charitable organization, the councilmember shall send, along with the gift, documentation acknowledging the initial giver of the gift; and

(7) Exchanges of approximately equal value on holidays, birthdays, or special occasions.

(d) A violation of this section by a councilmember shall be punishable in accordance with Section 3-8.5.

(Added by Ord. 94-48; Am. Ord. 02-15)

Sec. 3-8.9 Additional standards of conduct concerning campaign contributions and campaign assistance from lobbyists.*[ * Editor's Note: In Civil No. 96-2844-07 in the First Circuit Court, State of Hawaii, Section 3-8.9(c) and (d) were held to conflict with and be preempted by HRS Chapter 11. The final judgment was entered on August 4, 1998 and was not appealed.]

(a) For the purpose of this section:

"Campaign assistance," "campaign committee," "campaign contribution," "exempt officer or employee" and "political party" mean the same as defined under Section 3-8.6.

"Candidate for city office" means any person who:

(1) Falls within the definition of a candidate contained in HRS Section 11-191;

(2) Files nomination papers in accordance with the provisions of HRS Chapter 12, Part I; or

(3) Makes any public statement concerning the person's intention to be a candidate for a city office within two years preceding the next special election, coinciding with a general election, for that city office.

"Lobbyist" means any person:

(1) Seeking, or having sought within two years preceding any activity prohibited under this section, any type of discretionary approval, whether legislative, administrative, or quasi-judicial, from the city, including, without limitation, a landowner, developer, architect, engineer, planner, or agent of the foregoing; or

(2) Qualifying as a "lobbyist" under Section 4-1.2.

(3) Excluded from the provisions of (1) and (2) above are activities conducted by neighborhood boards, community associations, coalitions, and individuals not employed by those specified in subdivision (1), unless they engage the services of a paid lobbyist.

(b) An exempt officer or employee shall not:

(1) Coerce, demand, or otherwise require a campaign contribution or campaign assistance from a lobbyist;

(2) Disapprove the application of or otherwise punish a lobbyist because that lobbyist:

(A) Refused to make a campaign contribution or render campaign assistance when requested or demanded by the exempt officer or employee or a third person;

(B) Sought or received an advisory opinion from the ethics commission on a possible violation of this section; or

(3) Promise or threaten to disapprove the application of or otherwise punish a lobbyist, unless that lobbyist:

(A) Makes a campaign contribution or renders campaign assistance as requested or demanded by the exempt officer or employee or a third person;

(B) Refrains from seeking an advisory opinion from the ethics commission on a possible violation of this section; or

(4) Approve the application of a lobbyist because that lobbyist made a campaign contribution or rendered campaign assistance when requested or demanded by the exempt officer or employee or third person;

(5) Solicit or request a specified or minimum campaign contribution amount from a lobbyist;

(6) Request a lobbyist to provide a specified or minimum amount of campaign assistance;

(7) Solicit or receive any campaign contribution from a person, including a lobbyist, in a building or facility during its use for official city functions; or

(8) Request or direct another exempt officer or employee to engage in an activity prohibited under this subsection.

An exempt officer or employee shall not be prohibited from soliciting or requesting a campaign contribution or campaign assistance from a lobbyist, so long as the solicitation or request does not violate this subsection.

(c) A lobbyist shall not make a campaign contribution or render campaign assistance to any candidate for city office within two years after receipt of a discretionary approval, whether legislative, administrative, or quasi-judicial, from the city.

(d) A candidate for city office shall not accept a campaign contribution from a lobbyist within two years after the lobbyist receives a discretionary approval, whether legislative, administrative, or quasijudicial, from the city.

A candidate for city office shall not accept or use campaign assistance from a lobbyist within two years after the lobbyist receives a discretionary approval, whether legislative, administrative, or quasijudicial, from the city.

(e) Any lobbyist, as defined under this section, who cannot make a campaign contribution to a candidate for city office shall register with the clerk. A lobbyist receiving a discretionary approval shall register within 10 days of receipt of the approval.

A lobbyist who is not seeking a discretionary approval shall register simultaneously with registration as a lobbyist under Chapter 4.

(f) An exempt officer or employee, candidate for city office, or lobbyist who violates any provision of this section shall be guilty of a petty misdemeanor.

The penalty of this subsection shall be in addition to the penalty provided under Section 3-8.5(a) if applicable to the violator. Both penalties may be imposed for the same conduct.

(Added by Ord. 94-54)

Article 13. Registration of Lobbyists

Sections:

3- 13.1 Declaration of intent.

3- 13 .2 Definitions.

3- 13 .3 Registration and reporting.

3- 13 .4 Registration and report forms to conform to law and truth.

3-13.5 Certification of registration.

3-13.6 Prohibition.

3-13.7 Additional duties of the ethics commission.

3-13.8 Penalties.

3-13.9 Severability.

Sec. 3-13.1 Declaration of intent.

The council declares that the operation of responsible democratic government requires that the fullest opportunity be afforded to the people to petition their government for the redress of grievances and to express freely to individual members of the council, to committees of the council, and to officers of the executive branch their opinions on pending legislation and rules involved in the city's policy making process. However, the preservation and maintenance of the integrity of the policy making process require the identification in certain instances of persons and groups who engage in efforts to persuade members of the city council or officers of the executive branch to take specific action. It is the purpose of this article to require registration of lobbyists in order to make available to the council, the executive branch, and the public information relating to the activities of such persons and groups. (Added by Ord. 05-033)

Sec. 3-13.2 Definitions.

As used in this article, unless the context requires otherwise:

"Agency" means any "agency" as defined in Section 13-101 of the Revised Charter.

"Contribution" means a gift, subscription, loan, advance or deposit of money or anything of value and includes a contract, promise or agreement, whether or not legally enforceable, to make a contribution.

"Lobbying" means certain activities of a person who is included in the definition of a "lobbyist" as defined in this section and not specifically excluded under Section 3-13.3(e). "Lobbying" shall be deemed to include the representation, by any person, whether or not compensated, of an association, corporation or organization that accepts membership dues or contributions with the understanding that a portion of the funds so received will be used to influence the policy making process of the City and County of Honolulu.

"Lobbyist" means any person who engages oneself for pay or other consideration for the purpose of influencing, directly or indirectly, and whether by such person or through any agent or employee or other person in any manner whatsoever, the policy making process of the City and County of Honolulu. A person who accepts membership dues or contributions made, or a fee or salary paid, with the understanding that the person accepting the same intends to devote a portion of the funds contributed or the time for which the salary is paid to lobbying activities shall be deemed to have "engaged oneself" to conduct such activities.

"Officer or employee of the City and County of Honolulu" means any "officer" or "employee" as defined in Section 13-101 of the Revised Charter.

"Person" means an individual, partnership, committee, association, corporation, and any other organization or group of individuals.

"The policy making process" means any action taken by an officer or employee of the City and County of Honolulu with respect to any bill, resolution or other measure in the city council, or with respect to any rule, regulation, standard, rate or other regulatory enactment of any city agency.

(Added by Ord. 05-033)

Sec. 3-13.3 Registration and reporting.

(a) Each lobbyist shall, not later than five days after engaging himself or herself to conduct lobbying activities or receiving contributions, membership dues or a fee or salary as set forth in Section 3-13.2, file a registration form with the ethics commission.

(b) Such registration form shall be developed by the ethics commission and shall include the registrant's full name and address; place of business; the full name and complete address of each person, whether or not an employee, who will lobby on behalf of the registrant; the full name of each person by whom the registrant is retained or employed or on whose behalf the registrant lobbies; duration of such person's employment; and a description of the matters on which the registrant expects to lobby. If the registrant lobbies or purports to lobby on behalf of members, such registration form shall include a statement of the number of members, and a full and complete description of the methods by which the members develop and make decisions about positions on policy. In addition thereto, each registration form shall be accompanied by a written authorization from each person (as defined in Section 3-13.2) by whom the registrant is employed or authorized to lobby. In a situation where the "person" is other than a natural person, i.e., a corporation, association, partnership or any organization consisting of groups of individuals, written authorization shall be executed by the president or an officer delegated such power by the president or the organization's board of directors.

(c) Each lobbyist shall file with the ethics commission an annual report concerning the lobbyist's activities during the preceding calendar year ending December 31st by January 10th of each year, or, if the aforesaid date falls on a Saturday, Sunday or holiday, the next business day, as long as such lobbyist continues to engage in the activity described in Section 3-13.2. The annual report form shall be developed by the ethics commission and shall include, in addition to an up-to-date statement of the information required to be supplied in the registration form, such information for the preceding calendar year concerning (1) contributions, membership fees and other receipts relating to lobbying activities of the lobbyist, (2) amounts expended for lobbying by the lobbyist, and (3) each decision of the policy making process the reporting lobbyist sought to influence, as the ethics commission deems necessary to effectuate the purposes of this article.

(d) Each lobbyist shall file a supplementary registration form with the ethics commission no later than 10 days after any change in the information supplied in the lobbyist's last registration form under subsection (b). Such supplementary registration form shall include a complete description of the information that has changed.

(e) The registration and reporting requirements set forth herein shall not apply to:

(1) Any person who merely appears at a public hearing before the council, its committees or city agencies to express such person's opinion on pending legislation and/or rules and regulations involved in the city's policy making process;

(2) Any federal, state or county official or employee acting in such person's official capacity;

(3) Any elected public official acting in such person's official capacity;

(4) Any newspaper or other regularly published periodical, radio or television station (including any individual who owns, publishes or is employed by a newspaper or periodical or radio or television station) which in the ordinary course of business publishes news items, editorials or other comments, or paid advertisements, which directly or indirectly urge the taking of legislative or executive action, if the newspaper, periodical, radio or television station or individual engages in no further or other activities in connection with influencing decisions in the policy making process of the City and County of Honolulu;

(5) Any person representing a bona fide church solely for the purpose of protecting the public right to practice the doctrines of the church;

(6) Any unpaid volunteer representing a nonprofit organization, association or corporation; provided, that the organization, association or corporation:

(A) Is registered in accordance with the provisions of this section, and

(B) Files a written authorization with the ethics commission specifically designating such person to represent it; and such persons may engage in the activities described in this subsection without being holders of a certificate of registration.

(Added by Ord. 05-033)

Sec. 3-13.4 Registration and report forms to conform to law and truth.

Each registration and report form required to be filed under this article shall conform to law and truth and shall be signed and certified under oath as true and correct by the registrant, or, if the registrant is a person other than an individual, by an appropriate officer of such registrant. (Added by Ord. 05-033)

Sec. 3-13.5 Certificate of registration.

(a) Within 10 working days after receipt of a registration form completed as provided in Section 3-13.3 (b) and certified under oath as true and correct as provided in Section 3-13.4, the ethics commission shall either issue a certificate of registration to the registrant or notify the registrant that the form lacks relevant information or is improperly filled out, and no certificate of registration will be issued unless the omission is rectified or the form properly filled out.

(b) Within 10 working days after receipt of the annual report form prescribed by Section 3-13.3(c), the ethics commission shall renew the registrant's certificate of registration or shall, upon notice to the registrant, suspend the certificate until such time as the registrant's annual report form has been brought into compliance with the requirements of this article.

(c) The initial certificate and any renewed certificate shall remain in force until 10 working days following the next succeeding annual reporting date as set forth in Section 3-13.3(c), except that a certificate may be suspended or revoked as set forth in subsections (d) and (e).

(d) If, either prior or subsequent to the issuance or renewal of a certificate of registration, the ethics commission obtains information leading it to believe that the registration or report form under consideration or on which issuance or renewal of a certificate has been based contains a material misstatement of fact, the ethics commission, after notice and a hearing, may suspend or revoke, for a period of up to one year following hearing on the misstatement, any effective certificate and may decline to issue or renew a certificate for a period of up to one year following the hearing. In exercising its discretion with respect to suspending or revoking or declining to issue or renew certificates of registration, the ethics commission shall grant a hearing to the aggrieved registrant at which it shall consider the nature of the material misstatement of fact, whether it was made intentionally or inadvertently, and any other circumstances surrounding the making of the material misstatement of fact.

(e) In the event that, subsequent to filing of the registration form and issuance of the certificate, the ethics commission obtains information leading it to believe that a change in the information set forth in the registration form occurred and was not reflected in a supplementary registration form filed as required by Section 3-13.3(d), the ethics commission may, upon notice to the registrant, suspend the certificate of registration until a supplementary report containing the appropriate information is on file. (Added by Ord. 05-033)

Sec. 3-13.6 Prohibition.

No person who is not the holder of a current certificate of registration issued by the ethics commission under this article shall engage in lobbying activities. (Added by Ord. 05-033)

Sec. 3-13.7 Additional duties of the ethics commission.

In addition to other duties prescribed by law, it shall be the duty of the ethics commission:

(a) To prescribe registration and report forms required to be filed under this article, and to furnish and make available such forms to city agencies affected by, and persons required to register and report under, this article;

(b) To accept and file any information voluntarily supplied that exceeds the requirements of this article;

(c) To make registration and report forms filed with it available for public inspection and copying during regular office hours; a reasonable charge for reproducing copies may be assessed for the reimbursement of costs thereof;

(d) To preserve such registration and report forms for a period of five years from the date of receipt;

(e) To report suspected violations of law to the appropriate law enforcement authorities;

(f) To establish procedures for the orderly processing of lobbyist registration; and

(g) To adopt rules, if needed, in accordance with HRS Chapter 91, for the implementation, administration and enforcement of this article.

(Added by Ord. 05-033)

Sec. 3-13.8 Penalties.

Except as otherwise provided in this article, the ethics commission may suspend or revoke the certificate of registration of a lobbyist who has been found to have violated any provision of this article. No certificate shall be suspended or revoked except after a notice has been issued to the violator and a hearing held. The suspension or revocation shall not exceed one year from the date of the hearing. (Added by Ord. 05-033)

Sec. 3-13.9 Severability.

If any provision of this article, or the application thereof to any person or circumstance, is held invalid, the validity of the remainder of this article and the application of such provisions to other persons and circumstances shall not be affected thereby. (Added by Ord. 05-033)

Article 14. Ethics Board of Appeals

Sections:

3- 14 .1 Establishment of ethics board of appeals.

3- 14 .2 Restrictions on conduct.

3- 14 .3 Appeals to the board.

Sec. 3- 14 .1 Establishment of ethics board of appeals.

There shall be an ethics board of appeals that shall consist of five members. The ethics board of appeals shall be governed by the provisions of Section 13-103 of the charter and the applicable provisions of HRS Chapter 91. (Added by Ord. 07-43)

Sec. 3- 14 .2 Restrictions on conduct.

(a) Except for exercising the right to vote or making a campaign contribution to a candidate for elective public office, no member of the ethics board of appeals shall support, advocate or aid in, or manage, the election or defeat of any candidate for public office. No member of the ethics board of appeals shall be a candidate for any elective public office nor engage in campaigning for such office.

(b) Any member of the ethics board of appeals who violates the provisions of this section shall be removed by the mayor forthwith, since such person serves at the pleasure of the mayor. (Added by Ord. 07-43)

Sec. 3- 14 .3 Appeals to the board.

Any person aggrieved by a civil fine imposed by the ethics commission may appeal the civil fine to the ethics board of appeals within 30 days of the mailing or service of the decision by the ethics commission. (Added by Ord. 07-43)

Last Reviewed: Friday, July 24, 2009

Friday, July 24, 2009