Revised Ordinances of Honolulu(Link to original Word Processing Version)
RELATING TO CIVIL FINES FOR VIOLATIONS OF THE ETHICS LAWS.
BE IT ORDAINED by the People of the City and County of Honolulu:
SECTION 1. The council finds that certain elected and appointed officers and employees
who are exempt from civil service should be subject to civil fines for
violations of the standards of conduct. In addition, the council finds that certain
elected and appointed officers and exempt employees have significant discretionary or fiscal power
and should be subject to civil penalties for ethical misconduct.
Article XI of the Revised Charter of the City and County of Honolulu
1973, as amended ("Revised Charter") requires, and the public relies upon, city officials
to conform their conduct to the highest ethical standards. In addition, officers and
employees exempt from the civil service may be exposed to opportunities to abuse
their power. As a result, a breach of the standards of conduct by
an officer or employee exempt from civil service may cause financial harm to
the city and its citizens or may undermine the public's trust in government.
Furthermore, authorizing the city Ethics Commission to impose civil fines against officers and
employees exempt from civil service is intended to deter unethical conduct by public
officials. It should also encourage officials to seek advice from the Ethics Commission
before they act. Consequently, unethical conduct should be reduced, thereby fostering the public's
faith in city officials.
Procedural safeguards ensure fair treatment for those accused of a violation that may
result in a civil fine. First, no fine may be imposed without examining
the aggravating and mitigating circumstances surrounding the violation. Second, the rights of an
officer or employee who is accused of an ethics law violation will be
protected by following the procedures described in the Hawaii Administrative Procedures Act, Chapter
91, Hawaii Revised Statutes.
The purpose of this ordinance is to implement the amendments to Sections 11-106
and 11-107, Revised Charter, as ratified by the voters in the 2008 general
election, that authorize the city Ethics Commission to impose civil fines on certain
city officers and employees who have significant discretionary or fiscal power, as determined
by ordinance, for violations of the standards of conduct.
SECTION 2. Section 3-8.4, Revised Ordinances of Honolulu 1990 ("Financial disclosures"), is amended
by amending subsection (f) to read as follows:
"(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 [elected officer,] 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)." SECTION 3. Section 3-8.5, Revised Ordinances of Honolulu 1990 ("Violation—Penalty") is amended by
amending subsection (d) to read as follows:
"(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 [elected]
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, ["elected
officer" means a member of the council, the mayor and the prosecuting attorney.]
"officer" has the same meaning as in Section 13-101.4 of the revised charter
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.
(A) The nature and seriousness of the violation;
(B) The duration of the violation;
(C) The effort taken by the [elected] officer or exempt employee to correct 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 [elected] officer or exempt employee demonstrated good faith by consulting the
ethics commission staff or another government agency or an attorney;
(G) Whether the [elected] 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 [elected] officer or exempt employee was truthful and cooperative in the
investigation; and
(L) Any other relevant circumstance.
(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." SECTION 4. Ordinance material to be repealed is bracketed. New ordinance material is
underscored. When revising, compiling or printing this ordinance for inclusion in the Revised
Ordinances of Honolulu, the revisor of ordinances need not include the brackets, bracketed
material, or the underscoring. SECTION 5. This ordinance shall take effect 30 days after its approval.
INTRODUCED BY:
APPROVED AS TO FORM AND LEGALITY:
APPROVED this day of , 20 .
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