Filings by Donors and Recipients of Behested Payments
On January 1, 2019, new local laws went into effect that established new requirements for behested payment reports. If behested payments are made at a City officer’s behest, the donors and recipients of such payments may be required to file public disclosures regarding the payments.
If a donor makes a payment, or series of payments, totaling $10,000 or more in a calendar year to a third party at the behest of a City officer, and the donor is an “interested party” or participant to a proceeding(s) before the officer who solicited the payment, the donor must disclose information regarding the payment(s) on Form SFEC-3.620. The donor must also notify the recipient of the behested payment of the name and title of the official who behested the payment.
Additionally, local law requires any person who receives behested payments, or a series of behested payments, totaling $100,000 at the behest of a City officer, to disclose information pertaining to the payment(s) on Form SFEC-3.630.
These filing requirements are explained below.
Please note: Under City law, these donor and recipient filing requirements apply to donors and recipients of payments behested by elected officials and board and commission members only. Mayoral Executive Directive 20-02 does not apply a donor or recipient filing requirement for payments behested and reported by Department Heads, therefore donors and recipients are not required to file a Form 3620 for a payment behested by a Department Head.
“At the behest of” means under the control or at the direction of, in cooperation, consultation, coordination, or concert with, at the request or suggestion of, or with the express, prior consent of. However, a contribution is not made at the behest of a public official solely because the official requested the contribution via television, radio, billboard, a public message on an online platform, the distribution of 200 or more identical pieces of printed material, the distribution of a single email to 200 or more recipients, or a speech to a group of 20 or more individuals.
The Mayor, City Attorney, District Attorney, Treasurer, Sheriff, Assessor-Recorder, Public Defender, a Member of the Board of Supervisors, or any member of a board or commission who is required to file a Statement of Economic Interests, including all persons holding positions listed in Section 3.1-103(a)(1) of the Campaign and Governmental Conduct Code are considered City officers.
An “interested party” is a person who is a party, participant or agent of a party or participant to certain types of proceedings before the official in question. Those proceedings are limited to administrative enforcement proceedings and proceedings regarding permits, licenses, or other entitlements for use. A party to such a proceeding is someone who files an application for a license, permit, or entitlement for use or is the subject of the administrative enforcement. A participant in such a proceeding is someone who is not a party to the proceeding but who actively supports or opposes a particular decision in the proceeding and has a financial interest in the decision. An agent is someone who represents a party or a participant in such a proceeding.
A payment is a monetary payment or the delivery of goods or services.
When to file
A donor must file Form SFEC-3620 if he or she makes a behested payment, or series of behested payments in a single calendar year of $10,000 or more at the behest of an officer. The donor only needs to make this disclosure if the donor is an “interested party” in a proceeding involving the officer that solicited the payment(s).
If a donor has previously filed a Form SFEC-3.620 and during the same calendar year, subsequently makes an additional behested payment at the behest of the same officer, the donor must file an additional Form SFEC-3.620 only if the donor has become involved in additional proceedings or made additional contacts that were not disclosed pursuant to section 3.620(a)(1)-(3) on the initial Form SFEC-3.620.
An individual or organization must file Form SFEC-3630 if it receives a behested payment, or series of behested payments in a single calendar year, of $100,000 or more that was made at the behest of any officer.
Form SFEC-3.620 must be filed within thirty days of the payment being made. If there is a series of behested payments, the form is due within 30 days of the payment that makes the total $10,000 or more.
Form SFEC-3.630 must be filed within 30 days following the date on which the payments received total $100,000 or more. For example, if the behested payments received total $100,000 on June 12, 2019, you must submit file this form on July 12, 2019. You must notify the Ethics Commission that the recipient has received such payment(s) and specify the date on which the payment(s) equaled or exceeded $100,000.
Additionally, if you filed this report to notify the Ethics Commission that you received behested payments totaling $100,000 or more, you must file this form again between 12 and 13 months following the date on which the payment(s) or payments totaled $100,000 or more and submit Schedule A. For example, if your behested payments total $100,000 on June 12, 2019, you must submit Schedule A between June 12, 2020 and July 12, 2020. Filers must disclose all payments made that were funded in whole or in part by the behested payment(s) made at the behest of the City officer and if the person was an interested party in any City decision(s) involving the officer in the 12 months following the date on which the payment(s) were made.
How to File
To file forms described above, select the applicable form number below to access the electronic form. If you run out of space on the form and are unable to include all of the information that you are required to disclose, you must file a supplemental form that includes the remaining information. Be sure to include the same identifying information on the supplemental form as in the original to allow the Ethics Commission to connect the two forms.
- File Form SFEC-3620 Donors of Behested Payments Report
- File Form SFEC-3630 Recipients of Major Behested Payments Report