RULES OF PROCEDURE OF
THE ETHICS COMMISSION
CITY AND COUNTY OF HONOLULU

Rule 1. GENERAL PROVISIONS

1.1 Purpose
1.2 Authority
1.3 Effect of Rules
1.4 Penalty
1.5 Disqualification of Commissioners; 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 Commission Action
1.11 Staff Opinions
1.12 Confidentiality
1.13 Availability of Commission Documents
1.14 Operations

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 ORDERS

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 Order on Commission's Own Motion
3.6 Refusal to Issue Declaratory Order

Rule 4. ADVISORY OPINIONS

4.1 Requests by Officers or Employees
4.2 Requests by Third Parties
4.3 Requests by an Appointing Authority
4.4 On Commission's Own Initiative
4.5 Rejection of Request
4.6 Acknowledgement 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 Initiated, When
5.3 Who May Conduct
5.4 Investigatory Hearings
5.5 Advisory Opinions

Rule 6. FORMAL HEARINGS

6.1 Formal Hearings, When Conducted
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 Decisions, Rendering of
6.8 Record of Hearings

Rule 7. REQUESTS FOR RECONSIDERATION

7.1 Requests for Reconsideration
7.2 Grant or Denial of Requests

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

Rule 9. DISCLOSURE OF INTEREST REQUIRED UNDER SECTION 11-102, RCH

9.1 Disclosures Required of any Elected or Appointed Officer or Employee
9.2 Additional Disclosures Required of Members of the Council
9.3 Procedure Governing Processing of Disclosures
9.4 Requests for Declaratory Order

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 XI of the Revised Charter of the City and County of Honolulu 1973 (hereafter referred to as "RCH"), relating to Standards of Conduct, and Article 1 of Chapter 6 of the Revised Ordinances of Honolulu 1978 (hereafter referred to as "ROH"), relating to Additional Standards of Conduct.

1.2 Authority

a. These rules are promulgated pursuant to the authority granted to the Ethics Commission (hereafter referred to as "Commission") under Section 3-2.3(f), ROH; Section 4-105.4, RCH; and Chapter 91, Hawai'i Revised Statues (hereafter referred to as "HRS").

1.3 Effect of Rules

a. These rules and regulations shall have the effect of law.

1.4 Penalty

a. Any person violating these rules may be subject to the penalties prescribed in Section 1-3.2, ROH.

1.5 Disqualification of Commissioners; Bias or Prejudice

a. Any person, officer or employee may file an affidavit that one or more of the Commissioners has a personal bias or prejudice. Such affidavit may be filed on any matter before the Commission affecting or involving such person, officer or employee. The Commissioner against whom the affidavit is filed may answer the affidavit or may file a disqualifying certificate with the Commission. If the Commissioner chooses to answer the affidavit, the remaining Commissioners shall decide whether or not that Commissioner 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 file dat least ten working days before the date on which the matter will be considered by the Commission, or good cause shall be shown for the failure to do so. Commissioners may disqualify themselves by filing with the Commission a certificate that they deem themselves unable for any reason to participate with absolute impartiality in the pending proceeding.

1.6 Consolidation

a. The Commission, upon its own initiation or upon a motion, may consolidate for hearing or for other purposes or may contemporaneously consider tow 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.

1.7 Rules of Evidence

a. The Commission 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 tot he 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 Commission may appear before it unless the Commission determines by a vote of the majority of the Commission that the person, officer or employee, or his or her representative, is acting in a manner which prevents the orderly and peaceful conduct of its proceedings, The right to appear before the Commission may be reinstated upon the Commission's acceptance of a written statement that the person will abide by the Commission's rules and will not disrupt the orderly and peaceful conduct of its proceedings.

1.9 Maintenance and Custody of Files and Records

a. The legal counsel to the Commission shall have charge of the Commission's official records and shall be responsible for the maintenance and custody of the files and records of the Commission, including the papers, transcripts of testimonies and exhibits filed in proceedings, the minutes of all actions taken by the Commission, and all its decisions, advisory opinions, interim opinions, rules and approved forms. The legal counsel or delegate shall receive all documents required to be filed with the Commission and shall promptly stamp the time and date upon papers filed with the Commission. The legal counsel is responsible for the administration of the Commission.

1.10 Authentication of Commission Action

a. All decisions, advisory opinions and interim opinions of the Commission shall be signed by the Chairperson of the Commission or in accordance with authority delegated by the Commission.

1.11 Staff Opinions

a. The legal counsel may give opinions over the telephone or in writing at the direction of the Commission or where the opinion is on a matter which is established by precedent or is clear under the applicable provisions and the legal counsel determines that it is not likely that the Commission would render a different opinions. A record shall be kept of all advice given under this Rule and shall be available to the Commissioners at the Commission meeting following the date on which the advice is given

1.12 Confidentiality

a. Disclosures of financial interests and other matters deemed confidential by constitutional provisions, statues, ordinances or rules shall not be released or inspected.

1.13 Availability of Commission Documents

a. The public may obtain information n matters relating to Article 2, Chapter 3 and Article 1, Chapter 6 of the ROH and Article XI of the RCH by inquiring during regular business hours at the offices of the Commission or by submitting a written request to the Commission.

b. The rules of the Commission are available for public inspection during regular business hours at the Commission offices or the Office of the City Clerk, City Hall, Honolulu, Hawai'i 96813.

c. After information deemed confidential under the RCH and ROH has been deleted, the minutes of Commission meetings shall be available for public inspection at the Commission officer during regular business hours.

d. Advisory opinions and decisions of the Commission with all confidential material deleted shall be available for public inspection at the Commission offices during regular business hours.

e. Disclosures filed in accordance with Rule 9 herein shall be available for public inspection during regular business hours a the commission offices or at the Office of the City Clerk, City Hall.

f. Public financial disclosures which are filed with the Office of the City Clerk in accordance with Rule 8 herein shall be available for public inspection during regular business hours at the Office of the City Clerk, City Hall.

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.

1.14 Operations

a. The offices of the Commission are in City Hall, c/o Department of the Corporation Counsel, Honolulu, Hawai'i 96813, or such other address where the Commission may be located from time to time. All communications to the Commission shall be addressed to the City Ethics Commission at its offices, unless otherwise specifically directed.

b. The offices of the Commission shall be open from 7:45 a.m. to 4:30 p.m., Monday through Friday, except for State holidays.

c. The Commission usually meets once per month. Special meetings may be called by the Chairperson or by two or more Commissioners upon notice to the staff and other Commissioners. Except when considering matters made confidential by law or matters considered in executive session, meetings are open to the public.

2.1 Who May File

a. Any person, officer or employee may petition the Commission 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 Commission.

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 Commission shall notify the petitioner of the date, time and place where the Commission 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 Commission may reject any petition which does not conform to the requirements of these rules.

2.5 Consideration and Disposition of Petition

a. Within thirty working days, which period shall commence on the next day following the Commission's monthly meeting during which the Commission considers the petition, the Commission shall:

(1) Deny the potion 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.

3.1 Who May File

a. Any person, officer or employee may petition the Commission for a declaratory order as to the applicability of any statue, ordinance, rule or order of the Commission.

3.2 Form and Content of Petition

a. One original and seven copies of the petition shall be submitted to the Commission. 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 statue, ordinance, rule or order in 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.

3.3 Refection of Petition

a. The Commission may reject any petition which does not conform to the requirements of theses rules.

3.4 Notice, Consideration and Disposition

a. The Commission shall notify the petitioner of the date, time and place where the Commission 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 fo the petition, the Commission shall render its order in writing.

3.5 Declaratory Order on Commission's Own Motion

a. Notwithstanding the other provisions of this rule, the Commission on its own motion or upon request but without notice or hearing may issue a declaratory order to resolve a controversy or answer a question.

3.6 Refusal to Issue Declaratory Order

a. The Commission may for good cause refuse to issue a declaratory order.

4.1 Requests 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 Article XI of the RCH or Article 1, Chapter 6 of the ROH.

b. All requests shall:

(1) Be in writing;

(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 Requests 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 int eh request.

b. Such request shall:

(1) Be in writing;

(2) Be signed by the third party or his representative;

(3) Describe an actual situation;

(4) Set forth all pertinent facts; and

(5) Include the name(s) of the officer(s) or employee(s) involved.

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 Commission 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 Commission.

4.4 On Commission's Own Initiative

a. The Commission may render advisory opinions on its own initiative.

4. 5 Rejection of Request

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.

b. 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.

c. In no case shall the Commission entertain a request that is not in writing and not signed by the person making the request or his representative.

4.6 Acknowledgement of Request

a. The Commission shall acknowledge the receipt of the request in writing to the person submitting the request.

b. If the request was made by a third party, a copy of the request shall be sent to the officer or employee involved with the name of the person making the request deleted.

4.7 Opportunity to Respond

a. When an officer or employee receives a copy of a third party request sent to him in accordance with Rule 4.6(b), he shall have an opportunity to respond in writing within fifteen days after receipt of the copy of the request.

b. In the response, the officer or employee may include a request for a hearing before the Commission. Such request will be deemed to be a request for an investigatory hearing.

4.8 Additional Information, Investigations and Hearings, When Requested

a. Upon receipt of a request for an advisory opinion, the Commission may render its opinion on the basis. of the information available, or the Commission 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 Commission may authorize its staff to request additional information on its behalf.

c. When the Commission deems it necessary in order to render an advisory opinion, the Commission may initiate or make investigations and hold hearings. Such investigations and hearings shall be held in accordance with Rules 5 and 6 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 Commission shall render its opinion in writing.

b. When a request for an 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 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 advisory 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 RCH or by ordinance.

b. The appointing authority or the Council shall take whatever action that is deemed necessary and report the action taken to the Commission within fifteen days after receiving the recommendations of the Commission.

4.11 Concurring Or Dissenting Opinions

a. Any Commissioner who agrees with the Commission'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 Commissioner who disagrees with the Commission'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 Commission shall publish its advisory opinions with such deletions as may be necessary to prevent disclosure of the identity of the persons involved.

4.13 Confidentiality

a. All records, reports, 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.

b. All hearings before the Commission shall be held in executive session; provided that a public hearing may be held where the officer or employee alleged to have the conflict of interest requests or consents to a public hearing.

c. Pursuant to Section 3-2.3(g), ROH:

(g) Any individual, except as hereinafter provided, including the individual making the allegation, 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, at any time divulges any information concerning the original allegation, or divulges the contents of disclosures except as permitted by this ordinance, shall, if found guilty, be punishable by a fine of not more than $1,000.00 or imprisonment of not more than one year, or both, except that an officer or employee shall be subject to the provisions of Section 11-106 of the Revised Charter.

4.14 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 Commission may, in its discretion, issue an interim ruling approved by four or more Commissioners, which ruling briefly states the Commission's opinion and which will be followed by an advisory opinion.

5.1 Power To Conduct

a. In accordance with Section 3-2.3(e), ROH, and Section 13-114, RCH, the Commission may subpoena witnesses, administer oaths and take testimony relating to matters before the Commission and require the production for examination of any books or papers relative to any matter under investigation or in question before the Commission.

5.2 Initiated, When

a. Before the Commission shall exercise any of the powers authorized in the RCH and ordinances 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 Commission and shall define the nature and scope of the inquiry to be made.

5.3 Who May Conduct

a. The Commission in the resolution may authorize a three-member committee, the Commission as a whole, a single member of the Commission or the Commission's staff, to conduct all or part of an investigation or hold an investigatory hearing.

5.4 Investigatory Hearings

a. The Commissioner or staff member in charge of the investigation shall conduct the hearing.

b. The hearing will be conducted in an informal but orderly manner.

c. The Commission may request that any officer, employee, or third party involved in a case or any officer or employee of the City with information relevant to the matter before the Commission appear before the Commission at an informal hearing for the purpose of answering questions posed by the Commissioners.

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 Commission of the names of the witnesses and shall submit copies of the documentary evidence to the Commission. The Commission will consider all relevant evidence.

5.5 Advisory Opinions

a. At the conclusion of the investigation or the investigatory hearing, whichever is later, the Commission will render an advisory opinion in accordance with Rule 4.9, unless the Commission finds it necessary to conduct a formal hearing before rendering an advisory opinion.

6.1 Formal Hearings, When Conducted

a. A formal hearing may be conducted:

(1) When the Commission finds that the officer or employee involved has failed to comply with the Commission's advisory opinion; or

(2) When the Commission determines after investigation, or at any time, that charges should be brought against the officer or employee involved for a violation of the standards of conduct set forth in the RCH and ordinances.

6.2 Formal Hearings, How Commenced

a. When the Commission determines that a formal hearing is necessary, the Commission shall designate the party alleging the violation of the standards of conduct as the "complainant" and the officer or employee involved as the "respondent." In the Commission's discretion, the Commission itself or its legal counsel may be the complainant or may become a co-complainant.

b. Notice shall be given to all parties in accordance with Sections 91-9 and 91-9.5, HRS.

6.3 Answer Or Default

a. 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.

b. Failure to file an answer will constitute default, whereupon the Commission shall notify the appointing authority having power to discipline of the decision in default.

6.4 Presentation Of The Case

a. The Commission 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 Commission or a special counsel to present the case for the complainant.

6.5 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 Commission.

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 Commission 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 be received by the Commission which would determine whether or not the respondent had violated any Standards of Conduct 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. Section 91-10, HRS, shall apply as to the rules of evidence.

6.7 Decisions, Rendering of

a. Within a reasonable time after the close of the hearing, the Commission shall render its decision in accordance with Sections 91-12 and 91-11, HRS.

6.8 Record Of Hearing

a. A record of the hearing shall be compiled in conformance with Section 91-9(e), HRS.

7.1 Requests For Reconsideration

a. Within twenty days after receipt of an adverse ruling by the Commission, any officer or employee or a third party may submit a request for reconsideration to the Commission; provided that the request:

(1) Shall be in writing;

(2) Shall set forth the reasons for the request; and

(3) Shall set forth new evidence, including the appropriate allegation of and offer of proof which was not submitted to or considered by the Commission prior to rendering its decision.

7.2 Grant Or Denial Of Requests

a. The Commission may deny or grant a request for reconsideration.

b. If the request for reconsideration follows a contested hearing, and the Commission denies the request, the Commission shall render its decision in accordance with Section 91-12, HRS.

c. If the Motion for Reconsideration is granted, the same rules that are applicable to the rendering of advisory opinions shall be observed.

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 the Managing Director.

(2) Any person appointed as administrative head of any agency of the City or as a member of any board or commission.

(3) Any person appointed by a board or commission as the administrative head of such agency.

(4) The First Deputy or a division chief appointed by the administrative head of any agency of the City.

(5) Deputies of the Corporation Counsel and the Prosecuting Attorney. [S 13-101.4, RCH]

b. The following employees are required to file financial disclosure forms:

(1) 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 Sections 6-303 and 6-304 of the .Revised Charter, but excluding all persons hired under the Comprehensive Employment and Training Act and under subsections (f), (g), (h) and (i) of Section 6-303 of the Revised Charter. [§ 6-1.4(4), ROH]

8.2 Contents Of Disclosures

a. 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 all information set out in Section 6-1.4(c), ROH.

8.3 Form of Disclosures

a. The form of confidential disclosures shall be as prescribed by the Commission. The form of public disclosures shall be as prescribed by the City Clerk.

b. Forms can be obtained from the Commission offices or the Office of the City Clerk, City Hall, during regular business hours.

8.4 Filing Of Disclosures

a. Financial disclosures shall be filed in accordance with Section 6-1.4(d), ROH.

b. Any officer or employee who is required to file any long or short form may be granted an extension of ten working days by the Commission; provided that such request is submitted in writing to the Commission before the statutory deadline for the filing of either the long or short form. The Commission or its legal counsel may grant such extension for good cause.

8.5 Confidentiality Of Disclosures

a. The confidentiality of disclosures shall be as set forth in Section 6-1.4(e), ROH.

8.6 Recordation And Review

a. Upon receipt of a disclosure, it shall be time-stamped by the secretary of the Commission.

b. The disclosure will be reviewed by the Commission for conflict of interests or discrepancies. If there is no conflict or discrepancy, the Commission will acknowledge receipt of the disclosure and file it without further action.

c. If a discrepancy is found, the Commission will acknowledge the receipt of the disclosure, advise the officer or employee of the discrepancy and the officer's or employee's responsibility to correct the discrepancy.

d. If a conflict is found, the Commission will acknowledge receipt of the disclosure advising the officer or employee of the conflict and proceed to treat the matter as though the matter were a request for an advisory opinion.

8.7 Penalties

a. Any officer or employee who fails to file a financial disclosure as required by Section 6-1.4, ROH, and these rules, shall be subject to the penalty provisions set forth in Sections 6-1.4(f) and 6-1.5, ROH.

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 interests as might reasonably tend to create a conflict with the public interest 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:

(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 Ethics Commission.

d. Such disclosure statements shall be made a matter of public record and be filed with the City 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 in writing.

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 advisory opinions under Rule 4.

9.3 Procedure Governing Processing Of Disclosures

a. The Commission will acknowledge receipt of disclosures under Rule 9.1 in writing.

b. The Commission will review all disclosures made under Rule 9.1 to determine whether a conflict of interest exists.

c. in making its determination, the Commission will use the procedures set forth in Rules 4 through 7.

9.4 Requests For Declaratory Order

a. Any elected or appointed officer or employee may request a declaratory order regarding the applicability of Section 11-103, RCH, to a particular situation.

b. Such request shall be submitted in accordance with Rule 4.

Any rules of procedure and any amendments thereto which were in effect prior to the effective date of these rules, are hereby repealed.

These rules shall take effect ten days after filing with the City Clerk.

ADOPTED this 3rd day of December, 1984.

GILBERT A. GIMA, Chairperson
Ethics Commission
City and County of Honolulu

APPROVED AS TO FORM:
CHARLOTTE K. STRETCH
Deputy Corporation Counsel

APPROVED this 11^th day of December, 1984.

EILEEN R. ANDERSON, Mayor
City and County of Honolulu

I, GILBERT A. GIMA, Chairperson of the Ethics Commission, do hereby certify that attached hereto is a copy of a document entitled, "Rules of Procedure of the Ethics Commission of the City and County of Honolulu," the original of which is on file with the Commission, and that the requirements as prescribed in Section 91-3 of the Hawai'i Revised Statutes and Section 3-2.3(f) of the 1978 Revised Ordinances of Honolulu have been followed.

GILBERT A. GIMA, Chairperson
Ethics Commission
City and County of Honolulu

RECEIVED this 17^th day of December, 1984.

RAYMOND K. PUA, City Clerk