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HomeMy WebLinkAboutRules of Practice and Procedure1/12/90 RULES OF PRACTICE AND PROCEDURE OF-THE BOARD OF ETHICS RULE 1. General Provisions. 1.1 Purpose. 1.2 Authority 1.3 Effect of rules. 1.4 Definitions. 1.5 Disqualification of Board Members; Bias or Prejudice. 1.6 Consolidation. 1.7 Rules of Evidence. 1.8 Right to Appear. 1.9 Maintenance and Custody of Files and Records. 1.10 Authentication of Board Action. 1.11 Staff Opinions. 1.12 Confidentiality. 1.13 Availability of Board Documents. 1.14 Operations. 1.15 Meetings. RULE 2. Petitions for Adoption, Amendment, or Repeal of Rules. 2.1 Who May File. 2.2 Form and Content of Petition: 2.3 Processing of Petition. 2.4 Rejection of Petition. 2.5 Consideration and Disposition of Petition. RULE 3. Declaratory Rulings. 3.1 Who May File. 3.2 Form and Content of Petition. 3.3 Rejection of Petition. 3.4 Notice, Consideration, and Disposition. 3.5 Declaratory Ruling on Board's Own Hotion. 3.6 Refusal to Issue Declaratory Ruling. RULE 4. Informal Advisory Opinions. 4.1 Requests by Officers or Employees. 4.2 Request by 'Third Parties. 4.3 Requests by An Appointing Authority. 4.4 On Board's Own initiative and Opinions Regarding Registration of Lobbyists. 4.5 Rejection of Request. 4.6 Acknowledgment of Request. 4.7 Opportunity to Respond. 4.8 Additional Information, Investigations, and Hearings, When Requested. 4.9 Advisory Opinions, Issuance of. 4.10 Disciplinary Action. 4.11 Concurring or Dissenting Opinions. 4.12 Publication of Advisory Opinions. 4.13 Confidentiality. 4.14 Interim Rulings. RULE 5. Investigations and Investigatory Hearings. 5.1 Power to Conduct. 5.2 When Initiated. 5.3 Who May Conduct. 5.4 Investigatory Hearings. 5.5 Advisory Opinions. -2- s RULE 6. Formal Opinions and Hearings. 6.1 Formal Opinions. 6.2 Formal Hearings, How Commenced. 6.3 Answer or Default. 6.4 Presentation of the Case. 6.5 Pre - hearing Conference. 6.6 Evidence. 6.7 Issuance of Formal Opinion. 6.8 Record of Hearing. RULE 7. Disposition after Issuance of Formal Opinion. 7.1 With respect to officers removable only by impeachment, if there is no compliance of a formal opinion issued against an officer removable only by impeachment, the board shall issue a complaint and refer the matter to the Council. 7.2 With respect to the 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. RULE 8. Financial Disclosures. 8.1 Who is Required to File. 8.2 Contents of Disclosures. 8.3 Form of Disclosures. 8.4 Filing of Disclosures. 8.5 Confidentiality of Disclosures. 8.6 Recordation and Review. 8.7 Penalties. -3- P Is RULE 9. Disclosures of Interest Required under Section 2- 91.1(g) , HCC. 9.1 Disclosures required of any Elected or Appointed Officer or Employee. 9.2 Additional Disclosures required of Members of the Council. Repeal. Effective Date. -4- 3 PROPOSED RULES OF PRACTICE ACND PROCEDURE OF THE BOARD OF ETHICS OF THE COUNTY OF HAWAII RULE 1. GENERAL PROVISIONS 1.1 Purpose a. These rules are intended to carry out and to provide for the efficient administration of the provisions of Article XIV of the Charter of the County of Hawaii 1980 (hereafter referred to as "Charter") and Article 15 of Chapter 2 of the Hawaii County Code 1983 (hereafter referred to as "HCC "). 1.2 Authority a. These rules are promulgated pursuant to the authority granted to the Board of Ethics (hereafter referred to as "Board ") under Article XIV, Section 14 -51 of the Charter and Chapter 91, Hawaii Revised Statutes (hereafter • referred to as "HRS"). 1.3 Effect of Rules a. These rules and regulations shall have the effect of law. 1.4 Definitions a. As used in the following rules: (1) "Board" means the Board of Ethics of the County of Hawaii. (2) "Chairman" means the chairperson or presiding officer of the Board of Ethics. (3) "Code" means the Code of Ethics of the County of Hawaii as provided in Article 15, Chapter 2, of the HCC, as amended. (4) "County" means the County of Hawaii. (5) "Employee" means any person, except an officer, employed by the County or any agency thereof, but the term shall not include an independent contractor. (6) "Officer" includes the following: (A) Mayor and members of the Council; (B) Any person elected or appointed as administrative heaa of any agency of the County or appointea as a member of any board of commission provided for in the Charter; (C) Any person appointed by a board or commission as the administrative head of any agency of the County; (D) Deputy, assistant or division chief appointed by the administrative head of any agency of the County; or (E) Assistant or deputies of the corporation counsel and prosecuting attorney. 1.5 Disqualification of Board Members; Bias or Prejudice a. Any person, officer, or employee may file an affidavit that one or more of the Board members has a personal bias or prejudice. Such affidavit may be filed on any matter before the Board affecting or involving such person, officer, or- employee. The Board member against whom the affidavit is filed may answer the affidavit or may file a disqualifying certificate with the Board. If the Board member chooses to answer the affidavit, the remaining Board members shall decide whether or not that Board member should be disqualified from proceeding therein. Every affidavit shall state the facts and reasons for the belief that bias or prejudice exists and shall be filed at least ten working days before the date on which the matter will be considered by the Board, or good cause shall be shown for the failure to do so. Board members may disqualify themselves by filing with the Board a certificate that they deem themselves unable for any reason to participate with absolute impartiality in the pending proceeding. 1.6 Consolidation a. The Board, upon its own initiation or upon a motion, may consolidate for hearing or for other purposes or may contemporaneously consider two or more proceedings which involve substantially the same parties or issues which are the same or closely related, if it finds that such consolidation or contemporaneous hearing will be conducive to the proper dispatch of its business and to the ends of justice and will not unduly delay the proceedings. -2- 1.7 Rules of Evidence a. The Board shall not be bound by the strict rules of evidence. Any evidence which is relevant and material to the complaint may be admitted. Effect shall be given to the rules of privilege recognized by law. 1.8 Right to Appear a. Any person, officer, or employee, or his or her authorized representative, having business with the Board may appear before it unless the Board determines by a vote of the majority of the Board that the person, officer, or employee, or his or her representative, is acting in a manner which prevents and compromises the orderly and peaceful conduct of its proceedings. 1.9 Maintenance and Custody of Files and Records a. The legal counsel to the Board shall have charge of the Board's official records and shall be responsible for the maintenance and custody of the files and records of the Board, including the papers, transcripts of testimonies, and exhibits filed in proceedings, the minutes of all actions taken by the Board, and all its decisions, informal advisory opinions, interim opinions, formal opinions, rules, and approved forms. The legal counsel or delegate shall receive all documents required to be filed with the Board and shall promptly stamp the time and date upon papers filed with the Board. The legal counsel is responsible for the administration of the Board. 1.10 Authentication of Board Action a. All decisions, advisory opinions, and interim opinions of the Board shall be signed by the Chairman of the Board or in accordance with authority delegated by the Board. 1.11 Staff Opinions a. The legal counsel may give opinions over the telephone or in writing at the direction of the Board. A record shall be kept of all advice given under this rule and shall be available to the Board members at the Board meeting following the date on which the advice is given. -3- 1.12 1.13 1.14 Confidentiality a. Disclosures of financial interests ana deemed confidential by constitutional statutes, ordinances, the Charter, or released or inspected. Availability of Board Documents other matters provisions, rules shall not be a. The public may obtain information on matters relating to Article 15, Chapter 2, of the HCC, and Article XIv of the Charter by inquiring during regular business hours at the offices of the Board or by submitting a written request to the Board. b. The rules of the Board are available for public inspection during regular business hours at the Board offices or the Office of the County Clerk, Hawaii County Building, 25 Aupuni Street, Hilo, Hawaii 96720. c. After information deemed confidential under the HCC, statutes, Charter, constitution, and rules has been deleted, the minutes of Board meetings shall be available for public inspection at the Board offices during regular business hours. d. Opinions and decisions of the Board with all confidential material deleted shall be available for public inspection at the Board offices during regular business hours. e. Disclosures filed in accordance with Rule 9 herein shall be available for public inspection during regular business hours at the Office of the County Clerk, Hawaii County Building, 25 Aupuni Street, Hilo, Hawaii 96720. f. Public Office herein regular Clerk, Hawaii financial disclosures which are filed with the of the County Clerk in accordance with Rule 8 shall be available for public inspection during business hours at the Office of the County Hawaii County Building, 25 Aupuni Street, Hilo, 96720. g. Copies of public records will be furnished to any person upon request and upon payment of a fee set in accordance with Section 92E -7, HRS. Operations a. The offices of the Board are i,n the Hawaii County Building, 25 Aupuni Street, Hilo, Hawaii 96720, -4- 1.15 "-.� � �� -eta- •.� c/o Office of the Corporation Counsel, or such other address where the Board may be located from time to time. b. The offices 4:30 p.m., holidays. Meetings of the Board shall be open from 7:45 a.m. to Monday through Friday, except for State a. The Board shall hold its regular meeting on the second Wednesday of each month in the meeting room of the Hawaii County Council, unless a special meeting is called and the chairman has.announced the time,. date, or place of such special meeting prior to the adjournment of a regular meeting; otherwise, a special meeting can be called only as provided in Section 13 -20(c) of the Charter. b. The meetings of the Board shall be open to the public except where personal matters affecting the privacy of an individual are involved as provided in Rule 4.13, or where the Board finds it necessary to consult with its attorney on questions and issues pertaining to the Board's powers, duties, privileges, immunities, and liabilities as provided in Section 92 -3, HRS; however, any official action resulting from such deliberation shall be acted upon in an open meeting. c. Notices of meeting together with an agenda listing all of the items to be considered shall be filed with the Office of the County Clerk at least six calendar' days prior to the meeting, and when any closed or executive session is anticipated in advance, such notice shall include the purpose therefor. d. The Board shall afford all interested persons an opportunity to submit data, views, or arguments in writing on any agenda item of its meeting. All interested persons shall be afforded an opportunity to present oral testimony on any agenda item, prior to the Board taking action on any agenda item, provided that the Boara may impose time limits on such oral presentation when necessary to meet the demands of time or to accommodate the numbers of persons wishing to give oral testimony, in the orderly and expeditious conduct of its business. -5- 4 RULE 2. PETITIONS FOR ADOPTION, AMENDMENT, OR REPEAL OF RULES 2.1 Who May File a. Any person, officer, or employee may petition the Board requesting the adoption of new rules, or the amendment or repeal of any existing rules. b. One original and seven copies of the petition shall be submitted to the Board. 2.2 Form and Content of Petition a. The petition need not be in any special form, but it shall contain: (1) The petitioner's name, address, and telephone number, if any. (2) A statement of the nature of the petitioner's interest. (3) A draft or statement of the substance of the proposed rule or amendment or a designation of the provision or provisions sought to be repealed; or both. (4) A statement of the reasons in support of the proposed rule, amendment, or repeal. (5) Any other information relevant to the petition. (6) The signature of the petitioner or his representative. 2.3 Processing of Petition a. The petition shall be dated upon receipt. the Board shall notify the petitioner of the date, time, and place where the Board shall consider the petition, the petitioner's privilege of personal appearance with or without counsel and the privilege of presenting evidence and argument in support of the petition. 2.4 Rejection of Petition a. The Board may reject any petition which does not conform to the requirements of these rules. -6- 2.5 Consideration and Disposition of Petition a. Within thirty working days, which period shall commence on the next day following the Board's monthly meeting during which the Board considers the petition, the Board shall: (1) Deny the petition in writing, stating its reasons for denial; or (2) Initiate proceedings in accordance with law for the adoption, amendment, or repeal of the rule, as the case may be. RULE 3. DECLARATORY RULINGS 3.1 Who May File a. Any person, officer, or employee may petition the Board for a declaratory order as to the applicability of any statute, ordinance, rule, or order of the Board. 3.2 Form and Content of Petition a. One original and seven copies of the petition shall be submitted to the Board. It shall contain: (1) The name, address, and telephone number of the petitioner. (2) A statement of the nature of petitioner's interest, including reasons for the submission of the petition. (3) A designation of the specific statute, ordinance, rule, or order in the question. (4) A complete statement of facts. (5) A statement of the position or contention of the petitioner. (6) A memorandum of authorities, containing a full discussion of the reasons, including any legal authorities, in support of such position or contention. (7) The signature of the petitioner or his personal representative. -7- 3.3 Rejection of Petition a. The Board may reject any petition which does not conform to the requirements of these rules. 3.4 Notice, Consideration, and Disposition a. The Board shall notify the petitioner of the date, time, and place where the Board shall consider the petition, the petitioner's privilege of personal appearance with or without counsel, and the privilege of presenting evidence and argument in support of the petition. b. Within a reasonable time after the receipt of the petition, the Board shall render its order in writing. 3.5 Declaratory Ruling on Board's Own Motion a. Notwithstanding the other provisions of this rule, the Board, on its own motion or upon request but without notice or hearing, may issue a declaratory ruling to resolve a controversy or answer a question. 3.6 Refusal to Issue Declaratory Ruling a. The Board may, for good cause, refuse to issue a declaratory ruling. RULE 4. INFORMAL ADVISORY OPINIONS 4.1 Requests by Officers or Employees a. Any officer or employee may request an informal opinion from the Board relating to any situation involving such officer or employee or his conduct with respect to the Code of Ethics as set forth under Article 15, Chapter 2, ,of the HCC or Article XIV of the Charter. b. Any former officer or employee may request an informal opinion from the Board involving their own Post-employment conduct with respect to the Code of Ethics as set out in Section 2 -91.2 of the HCC. Such requests shall be treated in the same manner as a request made pursuant to Rule 4.1.a above. C. All requests shall be submitted to the Board in duplicate and shall further: (1) Be in writing, legible, and on paper 8 -1/2 inches by 11 inches in size; -8- (2) Be signed by the officer or employee or the representative of the officer or employee; and (3) Set forth all pertinent facts. 4.2 Request by Third Parties a. A request for an advisory opinion may be submitted by a person (hereafter "third party ") other than the officer or employee involved in the request. b. Such request shall be submitted to the Board in duplicate and shall further: (1) Be in writing, legible, and on paper 8 -1/2 inches by 11 inches in size; (2) Include the requestor's name, address, and telephone number; (3) Be signed by the third party or his representative; (4) Describe an actual situation; (S) Set forth all pertinent facts; (6) Include the name (s) of the officer (s) or employee (s) involved; and (7) State the specific provision of the Code of Ethics in question. 4.3 Requests by An Appointing Authority a. An appointing authority may make a request as a third party, in which case the request will be treated as in Rule 4.2; or b. An appointing authority may forward to the Board requests made by officers or employees in accordance with Rule 4.1' in which case the appointing authority is merely a conduit between the officer or employee and the Board. 4.4 On Board's Own Initiative and Opinions Regarding Registration of Lobbyists a. The Board may render advisory opinions on its own initiative. -9- 1 b. The Board may render advisory opinions with respect to the application of Section 2 -91.3 of the HCC relating to lobbyist registration. 4.5 Rejection of Request a. Except in the case of a written request by the elected or appointed officer or employee, former officer or former employee concerned, the Board may, for good cause, refuse to entertain a request for an advisory opinion. b. Without limiting the generality of the foregoing, the Board may refuse to entertain a request where: (1) The request is speculative or purely hypothetical and does not involve an actual situation; (2) The request is frivolous; or (3) The request does not substantially comply with requirements set out above. C. In no case shall the Board entertain a request that is not in writing and not signed by the person making the request or his representative. 4.6 Acknowledgment of Request a. The Board shall acknowledge writing to the the receipt of the request in person submitting the request. b. If the request was made by a request shall be sent to the third party, a copy of the with the name of the person officer or employee involved making the request deleted. 4.7 Opportunity to Respond a. When an officer or employee party request sent to him in receives a copy of a third he shall have an opportunity twenty days accordance with Rule 4.6(b), to respond in writing after receipt of within the copy of the request. b. In the response, the officer request for a hearing before or employee may include a the Board. Such request will be deemed to be a request for an investigatory hearing. -10- 4.8 Additional Information, Investigations, and Hearings, When Requested a. Upon receipt of a request for an advisory opinion, the Board may render its opinion on the basis of the information available, or the Board may request additional information when deemed necessary; provided that where the officer or employee involved requests a hearing in accordance with Rule 4.7, one will be held. b. The Board may authorize its staff to request additional information on its behalf. c. When the Board deems it necessary in order to render an advisory opinion, the Board may initiate or make investigations and hold hearings. Such investigations and hearings shall be held in accordance with Rule 5 herein. 4.9 Advisory Opinions, Issuance of a. Within thirty days after a request for an opinion, or within thirty days after a final hearing on any request shall have been concluded, whichever is later, the Board shall render its opinion in writing. b. When a request for an informal advisory opinion is submitted in accordance with Rules 4.1 or 4.3(b), the advisory opinion, if one is issued, will be sent to the officer or employee who requested it. c. When a request for an informal advisory opinion is submitted in accordance with Rules 4.2 or 4.3(a), the advisory opinion, if one is issued, will be sent to the third party who requested the opinion with a copy to the officer or employee concerned. d. An opinion will be considered rendered when it is signed and placed in the mail, postage prepaid, and addressed to the person requesting the opinion at the address furnished by the person, or upon personal delivery. 4.10 Disciplinary Action a. After an informal advisory opinion has been rendered, the Board shall notify the appointing authority of the officer or employee involved or the Council, in the case of elected officials, of its informal advisory opinion. -11- 1 ' b. The appointing authority or the Council shall take whatever action that is deemed necessary and report the action taken to the Board within thirty days after - receiving the informal advisory opinion, provided where a request is made for a formal opinion by the officer or employee or instituted by the Board pursuant to Rule 6, the appointing authority or the Council shall report the action taken, if any, to the Board within thirty days after issuance and of such formal opinion and refusal for disposition as provided in Rule 7. 4.11 Concurring or Dissenting Opinions a. Any Board member who agrees with the Board's opinion, but for different reasons from those stated, may file a concurring opinion which will be placed at the end of the majority opinion. b. Any Board member who disagrees with the Board's opinion may file a dissenting opinion, which will be placed at the end of the concurring opinion, if any, or, if not, at the end of the majority opinion. 4.12 Publication of Advisory Opinions a. The Board shall publish its advisory opinions with such deletions as may be necessary to prevent disclosure of the identity of the persons involved where such opinions are rendered pursuant to Rules 4.1 and 4.3(b). 4.13 Confidentiality a. All records, reports, documents, exhibits, and other evidence received by the Board 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 Board at a hearing or meeting that is open to the public. b. All Board meetings and hearings before the Board shall be open to the public, that a hearing may be held in closed session where necessary to consult with the Board's attorney on matters concerning the Board's powers, duties, privileges, immunities, and liabilities, or where the Board makes an affirmative finding upon request by the officer or employee involved that such hearing concerns personal matters affecting the privacy of an individual will be considered as provided hereinbelow. -12- 4.14 5.1 5.2 5.3 5.4 c. In closing a meeting or hearing to the public, there shall be required an affirmative vote taken at an open meeting, of two - thirds of the members present, provided the affirmative vote constitutes a majority of the members to which the Board is entitled. The reason for holding such closed sessions shall be publicly announced, and the vote of each member shall be recorded and entered into the minutes of the meeting. Interim Rulings a. In a case where a person requesting an opinion indicates that due to circumstances, that person must have an immediate decision, the Board may, in its discretion, issue an interim ruling approved by four or more Board members which ruling .briefly states the Board's opinion and which will be followed by an advisory opinion. RULE 5. INVESTIGATIONS AND INVESTIGATORY HEARINGS Power to Conduct a. In accordance with Article 15, Chapter 20 HCC, the Board may subpoena witnesses, administer oaths,. and take testimony relating to matters before the Board and require the production for examination of any books or papers relative to any matter under investigation or in question before the Board. When Initiated a. Before the Board shall exercise any of the powers authorized in the Charter or HCC with respect to any investigation or hearings, it shall make a formal resolution to conduct such hearing or investigation. b. The resolution shall be supported by a majority of the members of the Board and shall define the nature and scope of the inquiry to be made. Who May Conduct a. The Board in the resolution may authorize a three - member committee, the Board as a whole, a single member of the Board or the Board's staff, to conduct all or part of an investigation or hold an investigatory hearing. Investigatory Hearings a. The Board member or staff member in charge of the investigation shall conduct the hearing. -13- b. The hearing will be conducted in an informal but orderly manner. c. The Board may request that any third party involved in a case of the County with information before the Board appear before hearing for the purpose of ans the Board members. officer, employee, or or any officer or employee relevant to the matter the Board at an informal veering questions posed by d. If the person whose appearance is requested does not consent to appear, the appropriate subpoenas may be issued. e. The person whose appearance is requested may be represented by counsel or a member of an employee organization if the person is a member of such an organization. f. If the officer or employee involved wishes to present any witnesses or documentary evidence, he /she shall notify the Board of the names of the witnesses giving testimony and shall submit copies of the documentary evidence to the Board. The Board. will consider all relevant evidence. 5.5 Advisory Opinions a. At the conclusion of the investigation or the investigatory hearing, whichever is later, the Board will render an advisory opinion in accordance with Rule 4.9, unless the Board finds it necessary to conduct a formal hearing before rendering an advisory opinion. RULE 6. FORMAL OPINIONS AND HEARINGS 6.1 Formal Opinions a. If the informal advisory opinion indicates a probable violation of the Code of Ethics, the person charged shall request a formal opinion within a reasonable time, or comply with the informal advisory opinion subject to whatever disciplinary action deemed necessary and taken by the Council or appointing authority in accordance with Rule 4.10. b. - If the person charged fails to comply with such informal advisory opinion within a reasonable time without requesting a formal opinion, or if a majority of the Board members to which the Board is entitled determine that there exists probable cause for belief that a -14- violation of the Code of Ethics might have occurred, it may institute proceedings for a formal opinion upon formal hearings. 6.2 Formal Hearings, How Commenced a. When the Board, in its discretion, determines that a formal hearing is necessary, or if a formal opinion is requested by the person charged, the Board shall designate the party alleging the violation as the "complainant" and the officer or employee involved as the "respondent." In the Board's discretion, the Board itself or its legal counsel may be the complainant or may become a co- complainant. b. The Board shall set the time and place for a hearing, and all parties shall have an opportunity: (1) To be heard; (2) To subpoena witnesses and require the production of any books or papers relative to the proceedings; (3) To be represented by counsel; and (4) To have the right of cross - examination. c. Notice of hearing shall be given to all parties by registered or certified mail with return receipt requested at least fifteen days before the hearing. 6.3 Answer or Default a. A copy of the charge and a further statement of the alleged violation shall be served upon the alleged violator by certified or registered mail with return receipt requested. b. The respondent shall have twenty working days after service of the notice to file a written answer. The answer shall specifically admit, deny, or explain any charges filed against the respondent and shall set forth any other matter constituting an avoidance or affirmative defense. C. Failure to file an answer will constitute default whereupon the Board shall notify the Council or the appointing authority having power to discipline of the decision in default. -is- 6.4 CW Presentation of the Case a. The Board in its discretion may allow the complainant or his/her counsel to present the case for the complainant or may designate the legal counsel to the Board to present the case where the Board itself is the complainant as provided in Rule 6.2(a). Pre - Hearing Conference a. For the purpose of reducing issues in the case and to expedite the hearing, either the complainant or the respondent may file a written request for a pre- hearing conference. The movant shall transmit a copy of the request to the opposing party upon filing of the original with the Board. b. Upon filing for a pre- hearing conference, both parties shall file a pre- hearing plan which shall contain all of the elements which are permitted in the pre -trial brief for a civil suit, including, but not limited to, the following: (1) Each party shall disclose the theory of that party's case, including the basic facts each party intends to prove and the names and addresses of all. witnesses which each party intends to call. (2) Each party shall disclose to all others and permit examination of all exhibits which are in that party's possession or under that party's control and which that party intends to offer in evidence at the hearing. (3) Unless so disclosed, no exhibits required to be disclosed under this rule shall be received in evidence at the hearing over objection unless the Board finds that there was reasonable ground for failing to disclose such exhibits prior to hearing. (4) All exhibits required to be disclosed under this rule and any other exhibits as may be requested by counsel presenting the same, shall be marked for - identification at least one day prior to the hearing and shall be listed in any pre- hearing order. C. At the pre- hearing conference, the conferees may agree to stipulate to the facts or issues to which there is no dispute. The conferees may also stipulate to the single issue upon which testimony will be heard or evidence will -16- be received by the Board which would determine whether or not the respondent had violated any section of the Code of Ethics or failed to file a disclosure. d. After the pre- hearing conference, there shall be a pre- hearing order executed by all conferees. The pre- hearing order shall supersede the pleadings where there is any conflict and shall supplement the pleadings in all other respects. 6.6 Evidence a. All witnesses shall testify under oath or affirmation. b. All evidence shall conform to the rules of evidence as provided by Section 91 -10, HRS. 6.7 Issuance of Formal Opinion a. Within a reasonable time after the close of the hearing, the Board shall issue its formal opinion on the alleged conduct which shall be based upon competent and substantial evidence. b. Such formal opinion shall be in writing and signed by three or more members of the Board and shall be given to the complainant and the alleged violator. 6.8 Record of Hearing a. All testimony and other evidence taken at the hearing shall be recorded. b. Copies of transcripts of such record shall be available to the complainant or the alleged violator at their own expense and the fees therefor shall be deposited in the County's general fund. RULE 7. DISPOSITION AFTER ISSUANCE OF FORMAL OPINION 7.1 With respect to officers removable only by impeachment, if there is no compliance of a formal opinion issued' against an officer removable only by impeachment, the board shall issue a complaint and refer the matter to the Council. a. The complaint must contain a statement of the facts alleged to constitute the violation. b. If within thirty days after the referral the Council has neither formally declared that the charges contained in -17- the complaint are not substantial nor instituted hearings on the complaint, the Board shall make public the nature of the charges but it shall make clear that the merits of the charges have never been formally determined. 7.2 With respect to the 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. a. The complaint must contain a statement of the facts alleged to constitute the violation. b. The appointing.authority may institute hearings thereon as provided by Section 2- 88(b), HCC, and such hearings shall be in accordance with Chapter 91, HRS. RULE 8. FINANCIAL DISCLOSURES 8.1 Who is Required to File a. the following officers are required to file financial disclosure forms: (1) Members of the Council, the mayor, and all other elected officials of the County. (2) Any person appointed as administrative head of any agency of the County, or appointed a member of any board or commission specifically provided for in the Charter. (3) Any person appointed a member of any board or commission not specifically provided for in the Charter but not including such boards and commissions having only advisory powers and functions. (4) Managing director and deputy managing director. (5) The first deputy or first assistant to any administrative head of any agency of the County. b. All regulatory employees of the County of Hawaii as defined and described in Section 2- 91.1(7), HCC. c. All candidates, as defined by Section 11- 101(3), HRS, for elective office for the County of Hawaii. -18- 8.2 Contents of Disclosures a. The disclosure of financial interests shall state the financial interest of the person disclosing, whether held in his name or by any other person for his use and benefit, and shall include all information required by Section 2- 91.1(c), HCC. 8.3 Form of Disclosures a. The form of confidential disclosures shall be as prescribed by the Board. The form of public disclosures shall be as prescribed by the County Clerk. b. Forms can be obtained from the Office of the County Clerk, Hawaii County Building, 25 Aupuni Street, Hilo, Hawaii 96720, during regular business hours. 8.4 Filing of Disclosures a. Financial disclosures shall be filed in accordance with Section 2-91.1(b) ,r HCC. b. All public financial disclosures shall be filed with the Office of the County Clerk. All confidential disclosures shall be filed with the Board of Ethics. 8.5 Confidentiality of Disclosures a. 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. b. All other financial disclosure statements required to be filed under Section 2 -91.1, HCC, shall be confidential and accessible only by action of the Board of Ethics. 8.6 Recordation and Review a. on rece t of a confidential financial disclosure req ed o be filed with the Board, it shall be -19- IN t 6 m i 8.6 Recordation and Review a. Upon receipt of a confidential financial disclosure required to be filed with the Board, it shall be received, time - stamped, and acknowledged by the secretary of the Board. b. The disclosure (may] will be reviewed by the Board for conflict of interests or discrepancies. If there is ng gonflict or discrepancy, the Board will acknowle -dQe rp,ceipt of disclosure and file without further action. C. If a discrepancy is found, the Board will advise the officer or employee of the discrepancy, and it is the officer's or employee's responsibility to correct the discrepancy. d. If a conflict is found, the Board will advise the officer or employee of the conflict and proceed to treat the matter as though the matter were a request for an informal advisory opinion. Under scoc.d�ateria1 to be added and bracke d m terial t deleted. Dated:' Hilo, jHawa ADOPTED: November 8, 1989 - r 7 y 7 1 I BARNES, Act ng Chairman oar of Ethics, C urn y of Hawaii I re eived, time - stamped, and acknowledged by the retary of he Board. �-b. The dis osure may be reviewed by a Board for conflict of interes or discrepancies c. If a discrepancy fo n6-, the Board will advise the officer or employe the discrepancy, and it is the officer's or em oyee's esponsibility 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(8), 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- (1) To the officer's or employee's appointing authority or to the Council, in the case of a member of the Council; and (2) To the Board of Ethics. d. Such disclosure statements shall be made a matter of public record and be filed with the County Clerk. 9.2 Additional Disclosures Required of Members of the Council a. Any member of the Council who knows he /she has a personal or private interest, direct or indirect, in any proposal before the Council, shall disclose such interest. b. Such disclosure shall be made to the Council. c. Such disclosure shall be made a matter of public record prior to the taking of any vote on any proposal affected by the disclosure. d. The Council may request an advisory opinion regarding any disclosure made under Rule 9.2. Such a request will be treated in the same manner as requests for informal advisory opinions under Rule 4. REPEAL Any rules of procedure and any amendments thereto which were in effect prior to the effective date of these rules are hereby repealed. EFFECTIVE DATE These rules shall take effect ten days after filing with the County Clerk. AP90VED (S- TO FORM: Corporation Counsel ADOPTED this 29th day of October , 1985. -21- DONALD CHANG, Chairma Board of Ethics County of Hawaii APPROVED this � day of 1985. DANTE CA E ER, Mayor County o Ha ii -22- . C 1. CERTIFICATION I, DONALD CHANG, Chairman of the Board of Ethics, do hereby certify that attached hereto is a copy of a document entitled "Rules of Practice and Procedure of the Board of Ethics of the County of Hawaii," the original of which is on file with the Board, and that the requirements as prescribed in Section 91 -3 of the HRS has been followed. RECEIVED this 12 day of /Ji2gell3-ee , 1985. RUDY B. EGASPI County Jerk _ J �gS DONALD CHANG, Chairman Board of Ethics County of Hawaii -23- t G',i �-•��, : G QTR CC&AN Cant _ V_A January 16, 1990 OFFICE OF THE COUNTY CLERK County of Hawaii Hawaii County Building 25 Aupuni Street Hilo, Hawaii 96720 Honorable Benjamin Cayetano Lieutenant Governor State of Hawaii State Capitol Honolulu, HI 96813 Robert S. Shicji DVTvty County C�*i XtUYA. TAKAXASW Lqulativt .1Ydt:x CC V/1 AC AK.., CA �..�� CHU, K kM_ 1 --.. KEN Pursuant to HRS 91 -4, enclosed are one original and one copy of Amendment of Rule 8.6 of the Rules of Practice and Procedure of the Board of Ethics of the County of Hawaii. We trust that this submission is in order. ohn A. Wagner COLTNTY CLERK Encls. - 2 xc: Ombudsman corporation Counsel Board of Ethics AMENDMENT OF RULE 5.6 OF THE RULES OF PRACTICE AND ERQCEDURE OF THE BOARD OF ETHICS OF THE COUNTY OF HAWAII 8.6 Recordation and Review a. Upon receipt of a confidential financial disclosure required to be filed with the Board, it shall be received, time - stamped, and acknowledged by the secretary of the Board. b. The disclosure [may] will be reviewed by the Board for conflict of interests or discrepancies. If there is no conflict or discrepancy, the Board will acknowledge receipt of disclosure and file without further action. C. If a discrepancy is found, the Board will advise the officer or employee of the discrepancy, and it is the officer's or employee's responsibility to correct the discrepancy. d. If a conflict is found, the Board will advise the officer or employee of the conflict and proceed to treat the matter as though the matter were a request for an informal advisory opinion. Underscored material to be added and bracketed material to be deleted. Dated: Hi lo, H a w a ANIEL BARNES, Acting Chairman Board of Ethics, County of Hawaii ADOPTED: November 8, 1989 Notice of Public Hearing Hawaii Tribune - Herald: July 27, 1989 Date and Place of Public Hearing: August 16, 1989 Hawaii County Councilroom, 25 Aupuni Street, Hilo, Hawaii APPROVE,9: FXOR, County of Hawaii / /ate: APPROVED AS TO FORM: Deputy orporation Counsel Date: ,Iy 3 1q 90 I herby certify that the foregoing amendment was received and filed in my office this 12th day of January 1990 -2- County C rk