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HomeMy WebLinkAboutAgenda Report - April 5, 2017 C-14TM CITY OF LODI COUNCIL COMMUNICATION AGENDA ITEM C- 14 AGENDA TITLE: Adopt Resolution Repealing Resolution No. 98-22 and Approving Policy and Guidelines for Waiving Fines Associated with Filings as Required by the Fair Political Practices Commission for Statements of Economic Interests MEETING DATE: April 5, 2017 PREPARED BY: City Clerk RECOMMENDED ACTION: Adopt resolution repealing Resolution No. 98-22 and approving policy and guidelines for waiving fines associated with filings as required by the Fair Political Practices Commission for Statements of Economic Interests. BACKGROUND INFORMATION: Pursuant to requirements of the Fair Political Practices Commission (FPPC), the City Clerk acts as the Filing Officer for those who are subject to file Conflict of Interest and Campaign Statements. The exception to this is for original filings that are retained by FPPC, including Conflict of Interest Statements for Council Members, Planning Commissioners, City Manager, City Attorney, and Finance Director. One of the responsibilities as Filing Officer is to impose or waive fines for late filings. FPPC strongly suggests that each City adopt a standard policy to follow for waiving fines. The City Council adopted such a policy in 1998 (Exhibit A); however, FPPC has since updated its policy and guidelines, making Lodi's policy outdated. The proposed policy and guidelines (Exhibit B) mirrors FPPC's with the exception of the fine guidelines on page two, which outline fine levels to guide the City Clerk when imposing fines or partially waiving a fine if the circumstance warrants. It is recommended the City Council adopt the attached resolution rescinding the previous policy, Resolution No. 98-22, and approving the updated policy and guidelines for waiving fines. FISCAL IMPACT: Very minimal revenue — on average fines are assessed once or twice every year or two. FUNDING AVAILABLE: Not applicable. JMF Attachments APPROVED: er, City Manager RESOLUTION NO. 98-22 A RESOLUTION OF THE LODI CITY COUNCIL APPROVING THE POLICY AND GUIDELINES FOR IMPOSING AND WAIVING FINES FOR THE FAIR POLITICAL PRACTICES COMMISSION FILINGS BE IT RESOLVED, that the Lodi City Council does hereby approve the Policy and Guidelines for imposing and waiving fines associated with financial and campaign statement filings as required by the Fair Political Practices Commission; and Dated: February 4, 1998 I hereby certify that Resolution No. 98-22 was passed and adopted by the City Council of the City of Lodi in a regular meeting held February 4, 1998 by the following vote: AYES: Council Members — Land, Mann, Pennino, Warner and Sieglock (Mayor) NOES: Council Members - None ABSENT: Council Members - None ABSTAIN: Council Members - None ALICE M. REIMCHE City Clerk 98-22 Policy and Guidelines for Imposing and Waiving Fines Associated With Filings As Required by the Fair Politica! Practices Commission (FPPC) Fines issued pursuant to these guidelines shall not exceed $10 per day up to a maximum of $100. a. Full fines will be imposed upon the following: (1) Persons who do not otherwise qualify for a waiver and who fail to file a statement within 30 days after receiving adequate notice that their statement is late. (2) Persons who fail to file a statement within 30 days after specific written notice is sent. (3) Persons who fail to respond within 30 days after receiving the filing officer's certified letter requesting a justification for the late filing. (4) Persons who do not qualify for a waiver pursuant to subsections b. and c, below. b. Partial or full waivers may be issued to the persons described below. A stricter standard may be applied to persons who filed late statements within the two years prior to the late filing in question. (1) Persons who, because of illness, injury, personal tragedy or similar reasons, found it extremely difficult to file on or before their filing deadline but filed as soon as possible thereafter. Full details of the emergency must be provided in writing. (2) Persons who were necessarily out of town immediately prior to and on the filing deadline but who filed as soon as possible thereafter. Full details concerning the absence must be provided in writing. (3) Persons who received inadequate or erroneous notification of their filing requirement but who filed within 30 days after receiving adequate notice. Full details concerning the type of notice received or lack thereof must be provided in writing. (4) Persons serving in an acting officeholder capacity who filed within 30 days of the first adequate notice provided by an agency official or the FPPC. (5) Persons who left office without receiving adequate notice of their filing requirement but who filed within 30 days of receiving such notice from an agency official or the FPPC. (6) Persons who wrote their agency prior to the filing deadline, or who had someone write on their behalf, indicating that the filing would be late for a justifiable reason and who filed as soon as possible. Policy a nd Guidelines for imposing and Waiving Fines Associa fed Wiry Frlirtgs As itcgtnredbythe Fair Political Practices Commission (FPPC) Page Two c. In cases in which persons do not have sufficient reason to justify the late filing, the following guidelines will apply: (1) Persons who received adequate notice of the filling requirement prior to the filing deadline and nevertheless filed late, but did so prior to receiving a post -deadline reminder from an agency official or the FPPC shall be assessed fines of between $10 and 525. (2) Persons who received adequate notice of their filing requirement prior to the filing deadline and nevertheless filed late, but who filed within 30 days after receiving a post -filing deadline notification by an agency official or the FPPC shall be assessed fines of between 525 and 5100. d. In cases in which persons filed within five days of the due date, the following guidelines will apply: (1) Persons who filed within five days of the filing deadline with no prior history of late filing will be granted automatic waivers. (2) Persons who filed within five days of the filing deadline, but who have a history of filing late the prior two years will be subject to guidelines a. through c. on waiving and imposing fines. \\Pw\prime21ADMIN',CLERK\COUNCIL\COUNCOM,FINEPOL.DOC EXHIBIT B POLICY AND GUIDELINES Waiving Fines Associated with Filings Required by the Fair Political Practices Commission (FPPC) Statements of Economic Interests (Form 700) Employees and officeholders at local government agencies, as well as candidates for public office, are required to file Statements of Economic Interests (Form 700) to disclose their personal financial interests. Once filed, the form is a public document and must be made available to the public on request (GC Section 81008). The forms alert public officials about their own economic interests and potential areas of conflict in relation to their duties, and provide information to members of the public who may monitor official actions for any conflicts. Any person who files a Statement of Economic Interests (Form 700) after the deadline imposed by the Political Reform Act is liable for a late fine pursuant to Government Code Section 91013. Fines issued pursuant to this section shall not exceed $10 per day to a maximum of $100. The City of Lodi will consider a request to waive the full or partial payment of a late fine if the request is based on "good cause." Waiver Request A written request for waiver of a late fine must be submitted to the City Clerk. The waiver request must be signed by the person required to file the particular statement upon which the late filing fine was assessed. Good Cause 1. Incapacitation for Medical Reasons Adequate documentation consists of a doctor's, psychologist's, therapist's, chiropractor's, or other medical provider's statement giving the nature of the incapacitation, the date(s) therefore, and the individual's name. This information may also be provided for an immediate family member's illness. 2. Hospitalization Adequate documentation consists of a copy of the hospital bill or doctor's statement showing the patient's name and the date(s) of the hospitalization. 3. Accident Involvement If medical attention is provided and results in the late filing, a copy of the hospital bill, emergency room service, or doctor's statement, showing the patient's name and date(s) and time(s) of medical attention, is adequate documentation. If the accident involvement results in delay or vehicle disablement which causes the late filing, adequate documentation consists of a police report showing the individual's name, the date and time of the accident, and, if applicable, whether or not the vehicle was disabled. 4. Loss or Unavailability of Records The Toss or unavailability of records due to a fire, flood, theft, or similar reason. Adequate documentation shall consist of a police, fire, or insurance report, containing the date of the occurrence and the extent of the loss or damage. 5. Other Good Cause as Shown The City Clerk may waive any late fine for other good cause as shown. N AAdministration\CLERK\Conflict\TEM PLATES\FinePolicy.docx Late fines will NOT be waived for reasons such as • Vacation • Filer's busy season • Spouse/assistant failed to file the form on behalf of the filer • Filer needed additional time to gather information in order to file • Filer is waiting for professional assistance from financial advisor/CPA/FPPC before filing • Filer asserts that he or she has not been late before, but promises to file on time in the future • Form was accidentally misplaced on desk, home, or in vehicle • Filer did not receive a reminder to file his or her statement Fine Guidelines In cases in which individuals filed within five days of the due date, the following guidelines will apply: • Those who filed within five days of the filing deadline with no prior history of late filing will be granted automatic waivers. • Those who filed within five days of the filing deadline, but who have a history of filing late the prior two years, will be subject to guidelines 1 through 5 under Good Cause on waiving or imposing fines. In cases in which individuals do not have sufficient reason to justify the late filing, the following guidelines will apply. Any reduced or partial fee waiver will be assessed at the low-end amount of the range. • Those who received adequate notice of the filing requirement prior to the filing deadline and nevertheless filed late, but did so prior to receiving a post -deadline reminder from the City Clerk shall be assessed fines of between $10 and $50. • Those who received adequate notice of their filing requirement prior to the filing deadline and nevertheless filed late, but who filed within 30 days after receiving a post -filing deadline notification by the City Clerk shall be assessed fines of between $50 and $100. N:\Administration\CLERK\Conflict\TEMPLATES\FinePolicy.docx RESOLUTION NO. 2017-, A RESOLUTION OF THE LODI CITY COUNCIL REPEALING RESOLUTION 98-22 IN ITS ENTIRETY AND APPROVING POLICY AND GUIDELINES FOR WAIVING FINES ASSOCIATED WITH FILINGS AS REQUIRED BY THE FAIR POLITICAL PRACTICES COMMISSION — STATEMENTS OF ECONOMIC INTERESTS (FORM 700) WHEREAS, in 1988, the City Council adopted Resolution 98-22 approving the Policy and Guidelines for Imposing and Waiving Fines for the Fair Political Practices Commission (FPPC) Filings; and WHEREAS, the FPPC has since updated its policy and guidelines, making the 1998 policy outdated; and WHEREAS, it is requested Council approve the revised, updated policy on the waiving of fines associated with Statements of Economic Interests (Form 700). NOW, THEREFORE, BE IT RESOLVED by the Lodi City Council that it does hereby repeal Resolution 98-22 in its entirety and approve the attached policy and guidelines, marked Exhibit A, for waiving fines associated with the Fair Political Practices Commission for Statements of Economic Interests (Form 700). Date: April 5, 2017 I hereby certify that Resolution No. 2017-_ was passed and adopted by the Lodi City Council in a regular meeting held April 5, 2017, by the following vote: AYES: COUNCIL MEMBERS — NOES: COUNCIL MEMBERS — ABSENT: COUNCIL MEMBERS — ABSTAIN: COUNCIL MEMBERS — JENNIFER M. FERRAIOLO City Clerk 2017- gi-1;BIT A� POLICY AND GUIDELINES Waiving Fines Associated with Filings Required by the Fair Political Practices Commission (FPPC) Statements of Economic Interests (Form 700) Employees and officeholders at local government agencies, as well as candidates for public office, are required to file Statements of Economic Interests (Form 700) to disclose their personal financial interests. Once filed, the form is a public document and must be made available to the public on request (GC Section 81008). The forms alert public officials about their own economic interests and potential areas of conflict in relation to their duties, and provide information to members of the public who may monitor official actions for any conflicts. Any person who files a Statement of Economic Interests (Form 700) after the deadline imposed by the Political Reform Act is liable for a late fine pursuant to Government Code Section 91013. Fines issued pursuant to this section shall not exceed $10 per day to a maximum of $100. The City of Lodi will consider a request to waive the full or partial payment of a late fine if the request is based on "good cause." Waiver Request A written request for waiver of a late fine must be submitted to the City Clerk. The waiver request must be signed by the person required to file the particular statement upon which the late filing fine was assessed. Good Cause 1. Incapacitation for Medical Reasons Adequate documentation consists of a doctor's, psychologist's, therapist's, chiropractor's, or other medical provider's statement giving the nature of the incapacitation, the date(s) therefore, and the individual's name. This information may also be provided for an immediate family member's illness. 2. Hospitalization Adequate documentation consists of a copy of the hospital bill or doctor's statement showing the patient's name and the date(s) of the hospitalization. 3. Accident Involvement If medical attention is provided and results in the late filing, a copy of the hospital bill, emergency room service, or doctor's statement, showing the patient's name and date(s) and time(s) of medical attention, is adequate documentation. If the accident involvement results in delay or vehicle disablement which causes the late filing, adequate documentation consists of a police report showing the individual's name, the date and time of the accident, and, if applicable, whether or not the vehicle was disabled. 4. Loss or Unavailability of Records The loss or unavailability of records due to a fire, flood, theft, or similar reason. Adequate documentation shall consist of a police, fire, or insurance report, containing the date of the occurrence and the extent of the loss or damage. 5. Other Good Cause as Shown The City Clerk may waive any late fine for other good cause as shown. N:\Administration\CLERK\Conflict\TEMPLATES\FinePolicy.docx Late fines will NOT be waived for reasons such as: • Vacation • Filer's busy season • Spouse/assistant failed to file the form on behalf of the filer • Filer needed additional time to gather information in order to file • Filer is waiting for professional assistance from financial advisor/CPA/FPPC before filing • Filer asserts that he or she has not been late before, but promises to file on time in the future • Form was accidentally misplaced on desk, home, or in vehicle • Filer did not receive a reminder to file his or her statement Fine Guidelines In cases in which individuals filed within five days of the due date, the following guidelines will apply: • Those who filed within five days of the filing deadline with no prior history of late filing will be granted automatic waivers. • Those who filed within five days of the filing deadline, but who have a history of filing late the prior two years, will be subject to guidelines 1 through 5 under Good Cause on waiving or imposing fines. In cases in which individuals do not have sufficient reason to justify the late filing, the following guidelines will apply. Any reduced or partial fee waiver will be assessed at the low-end amount of the range. • Those who received adequate notice of the filing requirement prior to the filing deadline and nevertheless filed late, but did so prior to receiving a post -deadline reminder from the City Clerk shall be assessed fines of between $10 and $50. • Those who received adequate notice of their filing requirement prior to the filing deadline and nevertheless filed late, but who filed within 30 days after receiving a post -filing deadline notification by the City Clerk shall be assessed fines of between $50 and $100. N:\Administration\CLERK\Conflict\TEMPLATES\FinePolicy.docx RESOLUTION NO. 2017-56 A RESOLUTION OF THE LODI CITY COUNCIL REPEALING RESOLUTION NO. 98-22 IN ITS ENTIRETY AND APPROVING POLICY AND GUIDELINES FOR WAIVING FINES ASSOCIATED WITH FILINGS AS REQUIRED BY THE FAIR POLITICAL PRACTICES COMMISSION — STATEMENTS OF ECONOMIC INTERESTS (FORM 700) WHEREAS, in 1988, the City Council adopted Resolution No. 98-22 approving the Policy and Guidelines for Imposing and Waiving Fines for the Fair Political Practices Commission (FPPC) Filings; and WHEREAS, the FPPC has since updated its policy and guidelines, making the 1998 policy outdated; and WHEREAS, staff requests that the City Council approve the revised, updated policy on waiving fines associated with Statements of Economic Interests (Form 700). NOW, THEREFORE, BE IT RESOLVED that the Lodi City Council does hereby repeal Resolution No. 98-22 in its entirety, and approves the attached policy and guidelines, marked Exhibit A, for waiving fines associated with the Fair Political Practices Commission for Statements of Economic Interests (Form 700). Date: April 5, 2017 I hereby certify that Resolution No. 2017-56 was passed and adopted by the Lodi City Council in a regular meeting held April 5, 2017, by the following vote: AYES: COUNCIL MEMBERS — Chandler, Johnson, Mounce, and Mayor Kuehne NOES: COUNCIL MEMBERS — None ABSENT: COUNCIL MEMBERS — Nakanishi ABSTAIN: COUNCIL MEMBERS — None 12,1)w-teA NNIFE'JVI. FERRAIOLO City Clerk 2017-56 EXHIBIT A POLICY AND GUIDELINES Waiving Fines Associated with Filings Required by the Fair Political Practices Commission (FPPC) Statements of Economic Interests (Form 700) Employees and officeholders at local government agencies, as well as candidates for public office, are required to file Statements of Economic Interests (Form 700) to disclose their personal financial interests. Once filed, the form is a public document and must be made available to the public on request (GC Section 81008). The forms alert public officials about their own economic interests and potential areas of conflict in relation to their duties, and provide information to members of the public who may monitor official actions for any conflicts. Any person who files a Statement of Economic Interests (Form 700) after the deadline imposed by the Political Reform Act is liable for a late fine pursuant to Government Code Section 91013. Fines issued pursuant to this section shall not exceed $10 per day to a maximum of $100. The City of Lodi will consider a request to waive the full or partial payment of a late fine if the request is based on "good cause." Waiver Request A written request for waiver of a late fine must be submitted to the City Clerk. The waiver request must be signed by the person required to file the particular statement upon which the late filing fine was assessed. Good Cause 1. Incapacitation for Medical Reasons Adequate documentation consists of a doctor's, psychologist's, therapist's, chiropractor's, or other medical provider's statement giving the nature of the incapacitation, the date(s) therefore, and the individual's name. This information may also be provided for an immediate family member's illness. 2. Hospitalization Adequate documentation consists of a copy of the hospital bill or doctor's statement showing the patient's name and the date(s) of the hospitalization. 3. Accident Involvement If medical attention is provided and results in the late filing, a copy of the hospital bill, emergency room service, or doctor's statement, showing the patient's name and date(s) and time(s) of medical attention, is adequate documentation. If the accident involvement results in delay or vehicle disablement which causes the late filing, adequate documentation consists of a police report showing the individual's name, the date and time of the accident, and, if applicable, whether or not the vehicle was disabled. 4. Loss or Unavailability of Records The loss or unavailability of records due to a fire, flood, theft, or similar reason. Adequate documentation shall consist of a police, fire, or insurance report, containing the date of the occurrence and the extent of the loss or damage. 5. Other Good Cause as Shown The City Clerk may waive any late fine for other good cause as shown. C:\Users\pnicolini\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\U7URE6SG\FinePolicy.docx Late fines will NOT be waived for reasons such as • Vacation • Filer's busy season • Spouse/assistant failed to file the form on behalf of the filer • Filer needed additional time to gather information in order to file • Filer is waiting for professional assistance from financial advisor/CPA/FPPC before filing • Filer asserts that he or she has not been late before, but promises to file on time in the future • Form was accidentally misplaced on desk, home, or in vehicle • Filer did not receive a reminder to file his or her statement Fine Guidelines In cases in which individuals filed within five days of the due date, the following guidelines will apply: • Those who filed within five days of the filing deadline with no prior history of late filing will be granted automatic waivers. • Those who filed within five days of the filing deadline, but who have a history of filing late the prior two years, will be subject to guidelines 1 through 5 under Good Cause on waiving or imposing fines. In cases in which individuals do not have sufficient reason to justify the late filing, the following guidelines will apply. Any reduced or partial fee waiver will be assessed at the low-end amount of the range. • Those who received adequate notice of the filing requirement prior to the filing deadline and nevertheless filed late, but did so prior to receiving a post -deadline reminder from the City Clerk shall be assessed fines of between $10 and $50. • Those who received adequate notice of their filing requirement prior to the filing deadline and nevertheless filed late, but who filed within 30 days after receiving a post -filing deadline notification by the City Clerk shall be assessed fines of between $50 and $100. C:\Users\pnicolini\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\U7URE6SG\FinePolicy.docx