The purpose of this Chapter is to provide for those ordinances
regulating the conduct, powers, duties and compensation of County
officers and employees.
This Article shall be liberally construed to promote high standards
of ethical conduct in County government.
(Sec. 3-1.1, R.C.O. 1976)
This Article shall apply to every nominated, appointed, or elected
officer or employee of the County of Kaua'i, including members of
boards, commissions and committees.
(Sec. 3-1.2, R.C.O. 1976)
When used in this Article, the following words or phrases shall
have the meaning given in this Section unless it shall be apparent
from the context that a different meaning is intended:
"Business"
includes a corporation, a partnership, a sole proprietorship,
a trust or foundation, or any other individual or organization carrying
on a business, whether or not operated for profit.
"Compensation"
means any money, thing of value, or economic benefit conferred
on or received by any person in return for services rendered or to
be rendered by him or herself or another.
"Controlling interest"
means an interest which is sufficient in fact to control,
whether the interest be greater or less than 50%.
"County agency"
includes the County, the Council and its committees, all
executive departments, boards, commissions, committees, bureaus, offices
and all independent commissions and other establishments of County
government.
"Employee"
means any nominated, appointed or elected officer or employee
of the County including members of boards, commissions and committees
and employees under contract to the County, but excluding Councilmembers.
"Employment"
means any rendering of services for compensation.
"Financial interest"
means an interest held by an individual, his or her spouse
or his or her minor children. A divorce or separation between spouses
shall not terminate any relationship which is:
(1)
An ownership 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 other debtor interest.
(6)
A directorship or officership in a business.
"Official act" or "official action"
means a decision, recommendation, approval, disapproval,
or other action, including inaction, which involves the use of discretionary
authority.
"Official authority"
includes administrative or legislative powers of decision,
recommendation, approval, disapproval or other discretionary action.
"Regulatory employee"
means
(1)
Supervisors of inspectors employed by the Department of Public
Works;
(2)
Inspectors employed by the Department of Public Works;
(3)
Supervisors of liquor control investigators;
(4)
Liquor control investigators;
(5)
Buyers and purchasing agents;
(6)
Supervisors of real property tax appraisers;
(7)
Real property tax appraisers;
(8)
Supervisors of planners or inspectors employed by the Planning
Department;
(9)
Planners employed by the Planning Department;
(10)
Inspectors employed by the Planning Department;
(11)
Supervisors of fire prevention inspectors;
(12)
Fire prevention inspectors;
(13)
Supervisors of housing quality standards inspectors;
(14)
Housing quality standards inspectors;
(15)
Supervisors of motor vehicle inspectors;
(16)
Motor vehicle inspectors;
(17)
Supervisors of inspectors employed by the Department of Water;
(18)
Inspectors employed by the Department of Water;
(20)
Auditors employed by the County Auditor; and
(21)
Analysts employed by the County Auditor.
(Sec. 3-1.3, R.C.O. 1976; Ord. No. 1100, October 7, 2021)
(a) No Councilmember
or employee of the County shall solicit, accept, or receive directly
or indirectly any gift, whether in the form of money, service, loan,
travel, entertainment, hospitality, thing or promise, or in any other
form, under circumstances in which it can reasonably be inferred that
the gift is intended to influence him or her in the performance of
his or her official duties or is intended as a reward for any official
action on his or her part.
(b) The prohibition against gifts in Section
3-1.4(a) shall not apply to:
(1) An
occasional non-pecuniary gift, insignificant in value, or
(2) An
award publicly presented in recognition of public service, or
(3) Any
gift which would have been offered or given to the Councilmember or
employee if he or she were not an official or employee.
(Sec. 20.02, Art. XX, Charter; Sec. 25, C.O. 1971; Sec. 3-1.4, R.C.O.
1976; Ord. No. 956, August
28, 2013)
No Councilmember or employee of the County shall disclose information
which by law or practice is not available to the public and which
he or she acquires in the course of his or her official duties, or
use the information for his or her personal gain or for the benefit
of anyone.
(Sec. 20.02, Art. XX, Charter; Sec.
3-1.5, R.C.O. 1976)
(a) No Councilmember
or employee of the County shall use or attempt to use his or her official
position to secure or grant unwarranted privileges, exemptions, advantages,
contracts, or treatment for him or herself or others, including but
not limited to the following:
(1) Seeking
other employment or contract for services for him or herself by the
use or attempted use of his or her office or position.
(2) Accepting,
receiving, or soliciting compensation or other consideration for the
performance of his or her official duties or responsibilities except
as provided by law.
(3) Using
County time, equipment or other facilities for private business purposes.
(4) Soliciting,
selling, or otherwise engaging in a substantial financial transaction
with a subordinate or person or business whom he or she inspects or
supervises in his or her official capacity.
(b) Nothing in this Article shall be construed to prohibit a Councilmember from introducing bills and resolutions, serving on committees or from making statements or taking action in the exercise of his or her legislative functions. Every Councilmember shall file a full and complete public disclosure of the nature and extent of the interest or transaction which he or she believes may be affected by legislative action in compliance with the disclosure requirements of Section
3-1.9.
(Sec. 20.01, Art. XX, Charter; Sec.
25, C.O. 1971; Sec. 3-1.6, R.C.O. 1976)
(a) No employee
shall take any official action directly affecting:
(1) A
business or other undertaking in which he or she has a substantial
financial interest; or
(2) A
private undertaking in which he or she is engaged as legal counsel,
advisor, consultant, representative, or other agency capacity.
(A) Except that a department head who is unable to disqualify him or herself on any matter described in Paragraphs (1) and (2) of this Subsection, will not be in violation of this Subsection if he or she has complied with the disclosure requirements of Section
3-1.9; and
(B) Except that a member of a board, commission or committee, whose participation is necessary in order to constitute a quorum to conduct official business on any matter described in Paragraphs (1) and (2) of this Subsection, will not be in violation of this Subsection if he or she has complied with the disclosure requirements of Sec.
3-1.9.
(b) No Councilmember
or employee shall acquire financial interests in any business or other
undertaking which he or she has reason to believe may be directly
involved in official action to be taken by him or her.
(c) No Councilmember
or employee shall assist any person or business or act in a representative
capacity before any County agency for a contingent compensation in
any transaction involving the County.
(d) No Councilmember
or employee shall assist any person or business or act in a representative
capacity for a fee or other compensation to secure passage of a bill
or to obtain a contract, claim, or other transaction or proposal in
which he or she has participated or will participate as a Councilmember
or employee, nor shall he or she assist any person or business or
act in a representative capacity for a fee or other compensation on
a bill, contract, claim or other transaction or proposal before the
Council or agency of which he or she is an employee or Councilmember.
(e) No employee shall assist any person or business or act in a representative capacity before a County agency for a fee or other consideration on any bill, contract, claim, or other transaction or proposal involving official action by the agency if he or she has official authority over that County agency unless he or she has complied with the disclosure requirements of Section
3-1.9.
(Sec. 20.01, Art. XX, Charter; Sec.
25, C.O. 1971; Sec. 3-1.7, R.C.O. 1976)
(a) A County
agency shall not enter into any contract with an officer or an employee
or with a business in which an officer or an employee has a substantial
interest, involving services or property of a value in excess of $1,000,
unless the contract is made after competitive bidding.
(b) A County
agency shall not enter into a contract with a person or business which
is represented or assisted personally in the matter by a person who
has been an employee of the agency within the preceding one year and
who participated while in County office or employment in the matter
with which the contract is directly concerned.
(c) This
Section shall not apply to a personal contract of employment with
the County.
(Sec. 20.03, Art. XX, Charter; Sec. 3-1.8, R.C.O. 1976; Ord.
No. 956, August 28, 2013)
(a) The
Mayor, Councilpersons, Managing Director, heads and deputies of all
departments, agencies, and divisions, members of boards and commissions,
the purchasing administrator, and regulatory employees shall, within
30 days of assuming office, file with the Board of Ethics a list of
all real property within the County in which he or she has any right,
title or interest; a list of all business firms which contract for
County business in which he or she has interest; all places of employment,
including part-time employment; and all sources and amounts of income,
business ownership, officer and director positions, debts, creditor
interests in insolvent businesses and the names of persons represented
before government agencies. Amendments to the list, including additions,
deletions or changes in title, interest in property or of employment,
shall be made within 30 days of the occurrence of the amendment. The
list shall be a matter of public record; provided that the lists of
regulatory employees shall not be open to public inspection.
(b) All
candidates for elective office shall, within seven days of filing
nomination papers, file with the Board of Ethics a list of all real
property within the County in which he or she has any right, title
or interest; a list of all business firms which contract for County
business in which he or she has any interest; all places of employment,
including part-time employment; and all sources and amounts of income,
business ownership, officer and director positions, debts, creditor
interests in insolvent businesses and the names of persons represented
before government agencies. Amendments to the list, including additions,
deletions or changes in title, interest in property or of employment
shall be made within seven days of the occurrence of the amendment.
The list shall be a matter of public record.
(c) The
Board of Ethics shall prescribe the form or forms to be executed and
shall fix the date when the initial disclosure must be filed.
(d) Any
Councilmember who has a financial interest in any proposed legislation
before the Council shall disclose on the record of the Council the
nature and extent of the interest.
(e) Any
employee who has a financial interest in any proposed legislative
action of the Council and who participates in discussion with or gives
an official opinion or recommendation to the Council shall disclose
on the record of the Council the nature and extent of the interests.
(f) In addition
to the non-compulsory meetings that can be called by the chairman
or by a majority of the Board of Ethics there shall be one compulsory
meeting of the Board of Ethics that shall be held annually on a date
designated by the Board of Ethics for the purpose of reviewing and
verifying all disclosure forms to insure that they have been kept
current and that any modifications thereon have been duly recorded.
(g) Any
violation of any of the provisions of this Section shall, at the option
of the Director of Finance, render forfeit and void the contract,
work, business, sale or transaction affected. Any violation of any
of the provisions of this Section shall constitute cause for fine,
suspension or removal from office or employment.
(Ord. No. 142, May 7, 1969; Sec. 25, C.O. 1971; Sec. 3-1.9, R.C.O. 1976; Ord.
No. 387, June 26, 1980; Ord. No. 956, August 28, 2013; Ord. No. 1100, October
7, 2021)
(a) No
former officer or employee shall, within one year after termination
of his or her employment, assist any person or business or act in
a representative capacity for a fee or other consideration, on matters
in which he or she participated as an officer or employee.
(b) No
former officer or employee shall, within one year after termination
of his or her employment, assist any person or business or act in
a representative capacity for a fee or other consideration, on matters
involving official action by the particular County agency or subdivision
thereof with which he or she had actually served.
(c) This
Section shall not prohibit any agency from contracting with a former
officer or employee to act on a matter on behalf of the County within
the period of limitations stated herein, and shall not prevent that
officer or employee from appearing before any agency in relation to
that employment.
(Sec. 3-1.10, R.C.O. 1976; Ord. No. 956, August 28, 2013)
(a) In
addition to any other penalty provided by law, any contract entered
into by the County in violation of this Article is voidable on behalf
of the County at the option of the Director of Finance, provided that
in any action to void a contract pursuant to this Section the interests
of third parties who may be damaged thereby shall be taken into account,
and the action to void the transaction is initiated within 60 days
after the determination of a violation under this Article. The County
Attorney shall have the authority to enforce this provision.
(b) Any
favorable County action obtained in violation of any of the standards
for Councilmembers or employees is voidable in the same manner as
voidable contracts as provided for under Sec. 3-1.11(a); and the County
by the County Attorney may pursue all legal and equitable remedies
available to it.
(c) The
County Attorney may recover any fee, compensation, gift or profit
received by any person as a result of a violation of these standards
by a Councilmember or employee or former Councilmember or employee.
Action to recover under this Subsection shall be brought within two
years of the violation under this Article.
(d) Any
violation of any of the provisions of this Article shall constitute
cause for fine, suspension or removal from office or employment.
(Ord. No. 142, May 7, 1969; Sec. 25, C.O. 1971; Sec. 3-1.11,
R.C.O. 1976)