City and County of San Francisco
Ethics Commission

Applicable Law(s)

SF C&GC Code § 1.106; Gov’t Code § 84102(a)

Specific Eligibility Guidelines

The committee name must be amended and comply with committee naming requirements on subsequent campaign communications, if applicable, and campaign statements.

Specific factors indicating potential for Warning Letter include

• Name included essentially all required elements and was not misleading.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Name was misleading or ambiguous.
• The committee had activity over $100,000 for the reporting period during which the committee name was incorrect.

Applicable Law(s)

SF C&GC Code § 1.106; Gov’t Code § 84105

Specific factors indicating potential for Warning Letter include

• The respondent recipient committee has been in existence less than one year.
• The respondent recipient committee has not previously been required to send out the major donor notification.
• The extent to which persons who would have received the notifications nevertheless timely filed as Major Donors, if required.

Applicable Law(s)

SF C&GC Code §§ 1.106 and 1.135

Specific Eligibility Guidelines

An individual or entity who failed to file a major donor campaign statement or report must file the statement or report with the Commission.

Specific factors indicating potential for Warning Letter include

• First-time major donor filer and the individual or entity who qualified as a major donor was not sent the major donor notification as required.
• Contributions for the calendar year were $30,000 or less.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Contributions for the calendar year exceeded $50,000.
• The contributions also required 24 Hour Reports to be filed within the last 16 days before the relevant election and the recipient of the contribution did not file a 24-Hour Report before the relevant election.

Applicable Law(s)

SF C&GC Code §§ 1.106, 1.113, 1.135, 1.160, 1.162, 1.163; Gov’t Code § 84200

Specific Eligibility Guidelines

An individual or entity who failed to file a campaign statement or report must file the statement or report with the Commission.

Specific factors indicating potential for Warning Letter include

• The committee had less than $5,000 of activity for the statement period.
• The committee disclosed the otherwise undisclosed activity on a separate, timely filed statement or report.
• The committee meets the requirements for administrative termination.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Omitted filing would have disclosed contributions combined with expenditures that totaled or exceeded $50,000.
• Omitted filing was part of a pattern of campaign statements or reports not timely filed.
• Omitted filing was a 24-Hour Report required to be filed by a committee as defined in Section 82013 subsections (a) and (b) during the San Francisco pre-election reporting period and not filed before the election unless (1) investigators determine that the amount required to be reported was de minimis in relation to the total campaign or (2) the contribution or expenditure was reported on another report or statement which the same committee filed before the election.
• Omitted filing would have reported activity that would have resulted in a change to the disclosure of the committees’ top contributors, as required by SF C&GC Code Section 1.161 or Government Code Section 84503.

Applicable Law(s)

SF C&GC Code § 1.106

Specific Eligibility Guidelines

The committee must file an amended campaign statement or report that includes all required information.

Specific factors indicating potential for Warning Letter include

• The committee independently amended its campaign statement prior to contact from the Enforcement Division.
• The activity the committee omitted amounted to less than $2,000 or 5% of overall contributions or expenditures reported in the reporting period.
• The committee reported the otherwise omitted activity on a different statement or report prior to any relevant election.
• The committee meets the requirements for administrative termination.

Specific exclusions from the Streamlined Administrative Resolution Program include

• The total amount the committee omitted was more than 20% of its total contributions or expenditures for the reporting period, or the total amount the committee omitted totaled or exceeded $25,000.

Applicable Law(s)

SF C&GC Code § 1.106; Gov’t Code § 84300

Specific Eligibility Guidelines

The committee must disclose the source of each improper cash contribution or recipient of each improper cash expenditure as an itemized contribution or expenditure on the appropriate campaign statement or report and, in the case of contributions, either (1) have refunded to the source of the improper contribution prior to contact by the Enforcement Division or (2) forfeit the contribution to the San Francisco General Fund if already contacted by the Enforcement Division.

Specific factors indicating potential for Warning Letter include

• The aggregate amount received or spent in cash is $500 or less.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Failure to timely and accurately disclose cash contribution or expenditure on campaign statement or report.
• Cash contributions and expenditures of $100 or more in aggregate exceed either $1,000 or 10% of total campaign contributions or expenditures of the committee for the reporting period.
• The committee made impermissible personal use of campaign funds.
• The campaign records may have been insufficient to determine if use of cash concealed other violations.

Applicable Law(s)

SF C&GC Code § 1.106; Gov’t Code § 84308

Specific Eligibility Guidelines

The committee must have refunded the unlawful contribution to the source of the contribution prior to contact by the Enforcement Division or forfeit the contribution to the San Francisco General Fund if already contacted by the Enforcement Division.

Specific factors indicating potential for Warning Letter include

• The aggregate amount accepted, solicited, or directed is $500 or less.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Evidence demonstrates that the contributor, committee, or Officer tried to conceal unlawful contributions.
• Aggregate contributions accepted, solicited, or directed exceeded the contribution limit to a single committee by $5,000 or to multiple committees by $10,000.
• The Officer knew that the contributor had a financial interest in a proceeding before the Officer’s agency.

Applicable Law(s)

SF C&GC Code § 1.106; Gov’t Code § 85701.5

Specific Eligibility Guidelines

The committee must have refunded the unlawful contribution to the source of the contribution prior to contact by the Enforcement Division or forfeit the contribution to the San Francisco General Fund if already contacted by the Enforcement Division.

Specific factors indicating potential for Warning Letter include

• The aggregate amount accepted, solicited, or directed is $500 or less.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Evidence demonstrates that the committee tried to conceal unlawful contributions.
• Aggregate contributions exceeded the contribution limit to a single committee by $5,000 or to multiple committees by $10,000.

Applicable Law(s)

SF C&GC Code § 1.107

Specific Eligibility Guidelines

An individual who did not complete candidate or treasurer training must provide documentation of having subsequently completed the training.

Specific factors indicating potential for Warning Letter include

• Must be the individual’s first offense.

Applicable Law(s)

SF C&GC Code § 1.108

Specific Eligibility Guidelines

The committee must disclose all contributions or expenditures on the appropriate campaign statement or report.

Specific factors indicating potential for Warning Letter include

• Disclosure of each improper contribution or expenditure was reported timely on the correct campaign statement or report of the committee.
• The candidate or his or her wholly owned business is the source of 50% or more of the committee funds for the election.
• The activity was isolated to the period before the committee raised $2,000.

Specific exclusions from the Streamlined Administrative Resolution Program include

• The total amount of all contributions not deposited into a campaign bank account during the statement period exceeds $10,000 or 10% of the total contributions received for that period.
• The total amount of all campaign expenditures not from the campaign bank account during the statement period exceeds $10,000 or 10% of the total amount of all campaign expenditures for that period.
• The respondent made personal use of campaign funds.

Applicable Law(s)

SF C&GC Code § 1.109; Gov’t Code § 84104

Specific factors indicating potential for Warning Letter include

• The missing records do not rise to the level to be considered a material finding, such that the committee will have been found to have substantially complied with the recordkeeping obligation.

Specific exclusions from the Streamlined Administrative Resolution Program include

• The lack of recordkeeping inhibited audit efforts.
• The lack of recordkeeping made it impracticable to determine if an individual substantially complied with mandatory campaign reporting requirements.
• The lack of recordkeeping may have inhibited discovery of other violations.

Applicable Law(s)

SF C&GC Code § 1.114

Specific Eligibility Guidelines

The committee must have refunded the amount in excess of the limit to the source of the contribution prior to contact by the Enforcement Division or must forfeit the amount in excess of the limit to the San Francisco General Fund if already contacted by the Enforcement Division.

Specific factors indicating potential for Warning Letter include

• The total amount received in excess of the contribution limit is $500 or less in the aggregate.
• Must be a contributor’s first offense.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Committee knew or should have known that the contribution came from a corporation, limited liability company, or limited liability partnership.
• Staff has reason to believe the contribution was made to influence official action.
• The aggregate amount received over the limit is $2,000 or more.
• Staff has reason to believe that the contributor tried to conceal excess contributions.
• Candidate contributions by individual contributor exceeded contribution limit by $1,000, in the aggregate.

Applicable Law(s)

SF C&GC Code § 1.114.5

Specific Eligibility Guidelines

The committee must disclose the contributor information on an amendment to the appropriate campaign statement or report.

Specific factors indicating potential for Warning Letter include

• The total contributions of $100 or more without contributor information does not exceed 5% of total campaign contributions received by the committee or $2,000 for the reporting period.
• Must be a committee’s first offense.

Specific exclusions from the Streamlined Administrative Resolution Program include

• The percentage of contributions without contributor information for contributions of $100 or more exceeds 25% of total campaign contributions of the committee for the reporting period.
• The total amount of contributions of $100 or more without contributor information exceeds $10,000 for the reporting period.
• Staff has reason to believe that the campaign records may have been insufficient to determine if lack of contributor information concealed other violations.

Applicable Law(s)

SF C&GC Code § 1.116

Specific Eligibility Guidelines

The committee must either have reported the loan activity accurately on its filings or file an amended campaign statement or report that includes all required information.

Specific factors indicating potential for Warning Letter include

• The loan exceeded the limit by no more than 15% of the applicable loan limit.

Specific exclusions from the Streamlined Administrative Resolution Program include

• The loan exceeded the limit by more than 50% of the applicable loan limit.

Applicable Law(s)

SF C&GC Code § 1.118

Specific Eligibility Guidelines

The committee must have properly disclosed the accrued expenses.

Specific factors indicating potential for Warning Letter include

• The aggregate amount of in-kind contribution(s) received, or accrued expenses forgiven or paid beyond the deadline, is less than $1,500 or 5% of overall contributions or expenditures reported in the reporting period.
• The committee meets the requirements for administrative termination.

Specific exclusions from the Streamlined Administrative Resolution Program include

• The aggregate amount of in-kind contribution(s) received, or accrued expenses forgiven or paid beyond the deadline, is at least $10,000 or 20% of overall contributions or expenditures reported in the reporting period.

Applicable Law(s)

SF C&GC Code § 1.120

Specific Eligibility Guidelines

The committee must forfeit the amount it received in excess of the limit to the San Francisco General Fund.

Specific factors indicating potential for Warning Letter include

• The aggregate amount received is $500 or less.
• The committee meets the requirements for administrative termination.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Staff has reason to believe that the contribution was made to influence official action.
• The aggregate amount received over the limit is $2000 or more.

Applicable Law(s)

SF C&GC Code § 1.122(a)

Specific Eligibility Guidelines

The candidate or committee must file the required campaign statements or reports that include all required information.

Specific factors indicating potential for Warning Letter include

• The committee had less than $2,000 of pre-candidacy fundraising activity.
• The committee made no pre-candidacy expenditures.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Evidence demonstrates that the person tried to conceal pre-candidacy contributions.
• Evidence demonstrates that the person made $5,000 or more in expenditures with pre-candidacy contributions.

Applicable Law(s)

SF C&GC Code §§ 1.122(b), 1.148(a)

Specific factors indicating potential for Warning Letter include

• The expenditure amount was less than $1,500 or 5% of expenditures during the reporting period and disclosure of the expenditure was reported timely on the correct campaign statement or report of the committee.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Evidence demonstrates that the committee tried to conceal unlawful expenditures.
• The total amount of unlawful expenditures was more than 20% of the total expenditures for the committee for the reporting period or the total amount of unlawful expenditures totaled or exceeded $25,000 for the election cycle.

Applicable Law(s)

SF C&GC Code § 1.124

Specific Eligibility Guidelines

The committee must disclose the contributor information on an amendment to the appropriate campaign statement or report.

Specific factors indicating potential for Warning Letter include

• The total contributions of $10,000 or more without contributor information does not exceed 5% of total campaign contributions received by the committee or $50,000 for the reporting period.

Specific exclusions from the Streamlined Administrative Resolution Program include

• The percentage of contributions without contributor information for contributions of $10,000 or more exceeds 25% of total campaign contributions of the committee for the reporting period.
• The total amount of contributions of $10,000 or more without contributor information exceeds $125,000 for the reporting period.
• Staff has reason to believe that the campaign records may have been insufficient to determine if lack of contributor information concealed other violations.

Applicable Law(s)

SF C&GC Code § 1.125

Specific Eligibility Guidelines

The committee must file the relevant (or amend a prior) report that includes all information required pursuant to SF C&GC Code section 1.125(b).

Specific factors indicating potential for Warning Letter include

• The committee came into compliance prior to contact by the Enforcement Division.
• The total value of bundled contributions required to have been reported for that reporting period was less than $5,000.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Evidence demonstrates that the committee tried to conceal bundled contributions.
• The total value of bundled contributions required to have been reported for that reporting period was $15,000 or more.
• The bundler of the contributions is a named party in, or the subject of, a governmental decision before the respondent or the respondent’s agency or before the agency to which the respondent is seeking office.

Applicable Law(s)

SF C&GC Code § 1.126

Specific Eligibility Guidelines

The committee must have refunded the unlawful contractor contribution to the source of the contribution prior to contact by the Enforcement Division or forfeit the contribution to the San Francisco General Fund if already contacted by the Enforcement Division.

Specific factors indicating potential for Warning Letter include

• The aggregate amount received is $500 or less.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Evidence demonstrates that the contributor tried to conceal unlawful contributions.
• Aggregate contributions by contributor and affiliated entities exceeded contribution limit to a single committee by $1,000 or to multiple committees by $2,000.

Applicable Law(s)

SF C&GC Code § 1.127

Specific Eligibility Guidelines

The committee must have refunded the unlawful contribution to the source of the contribution prior to contact by the Enforcement Division or forfeit the contribution to the San Francisco General Fund if already contacted by the Enforcement Division.

Specific factors indicating potential for Warning Letter include

• The aggregate amount received is $500 or less.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Evidence demonstrates that the contributor, committee, Officer, or candidate tried to conceal unlawful contributions.
• Aggregate contributions made or accepted exceeded the contribution limit to a single committee by $5,000 or to multiple committees by $10,000.
• The Officer or candidate knew that the contributor has a financial interest in a pending land use matter before the relevant agency.

Applicable Law(s)

SF C&GC Code § 1.148(c)

Specific Eligibility Guidelines

The committee must return the unlawfully used funds.

Specific factors indicating potential for Warning Letter include

• The aggregate amount of funds unlawfully used is $500 or less.

Specific exclusions from the Streamlined Administrative Resolution Program include

• The aggregate amount of funds unlawfully used is more than $5,000.

Applicable Law(s)

SF C&GC Code § 1.152

Specific Eligibility Guidelines

The candidate or committee must file the required threshold report.

Specific factors indicating potential for Warning Letter include

• The Report was filed within five calendar days of having met the applicable threshold.

Applicable Law(s)

SF C&GC Code §§ 1.161, 1.162

Specific Eligibility Guidelines

The committee must have corrected the advertisement or mass mailing, if the committee knew or should have known that the disclaimer was incorrect, including by contact from the Enforcement Division.

Specific factors indicating potential for Warning Letter include

The degree to which the communication substantially complied with the disclaimer requirements, including by consideration of the following:

• The advertisement included the “paid for by” requirement but not in the same manner and immediately adjacent to the committee name;
• The advertisement included the required disclaimers but in a font type, color, position, or size that does not comply with a requirement but is nevertheless legible;
• Disclaimer included a committee name that does not match the name as stated in the statement of organization but clearly identifies the source of the advertisement;
• Disclaimer failed to include a street address but other identifying information, such as a website address, is included;
• Disclaimer included top contributors as required but inadvertently listed them in incorrect order;
• Required size (if written) or duration (if spoken) of disclaimer is incorrect, but the required information is nevertheless identifiable, and the remainder of the disclaimer is correct;
• Disclaimer failed to use the precise disclaimer language but is substantially correct.

Specific exclusions from the Streamlined Administrative Resolution Program include

The extent to which the communication is likely to result in confusion regarding the identity of the candidate or committee responsible for the advertisement, or confusion regarding the identity of a top contributor, sponsor, controlling candidate, or ballot measure supported or opposed.

Applicable Law(s)

SF C&GC Code § 1.163

Specific Eligibility Guidelines

The respondent must file the required member communication disclosure.

Specific factors indicating potential for Warning Letter include

• The respondent came into compliance prior to contact by the Enforcement Division.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Evidence demonstrates that the respondent tried to conceal the member communications.

Applicable Law(s)

SF C&GC Code § 1.515(a)-(d)

Specific Eligibility Guidelines

An individual who failed to file a Campaign Consultant registration report or client authorization statement must file the late report or statement with the Commission.

Specific factors indicating potential for Warning Letter include

• The consultant can demonstrate that he or she provided the report or statement to his or her employer or firm which did not file the report.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Staff has reason to believe that the filer may have tried to conceal consultant activity.
• The consultant failed to file multiple reports.

Applicable Law(s)

SF C&GC Code § 1.515(e)

Specific Eligibility Guidelines

An individual who failed to file a Campaign Consultant quarterly report must file the late report with the Commission.

Specific factors indicating potential for Warning Letter include

• The consultant can demonstrate that he or she provided the report to his or her employer or firm which did not file the report.
• The total activity the consultant was required to have reported for that reporting period was less than $1,250.
• No history of failing to file registration reports.

Specific exclusions from the Streamlined Administrative Resolution Program include

• The total activity the consultant was required to have reported for that reporting period is greater than $10,000.
• Staff has reason to believe that the filer tried to conceal consultant activity.
• The consultant failed to file multiple reports.
• The undisclosed activity included campaign contributions, gifts, City contracts, or appointments to public office received.

Applicable Law(s)

SF C&GC Code § 2.117

Specific Eligibility Guidelines

Specific factors indicating potential for Warning Letter include

• Must be campaign consultant’s first unlawful lobbying offense.

Specific exclusions from the Streamlined Administrative Resolution Program include

• Staff has reason to believe that the campaign consultant tried to conceal lobbying activity.

Applicable Law(s)

SF C&GC Code § 2.110(a), (b), (d)

Specific Eligibility Guidelines

An individual who failed to register must file a registration.

Specific Factors indicating potential for Warning Letter include

• The lobbyist can demonstrate they provided the report to the employer or firm who did not file the report.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• Staff has reason to believe that the lobbyist tried to conceal lobbying activity.
• Multiple reports not filed or properly amended within the last five years.

Applicable Law(s)

SF C&GC Code § 2.110(c)

Specific Eligibility Guidelines

An individual who failed to file a monthly Lobbyist Report must file the late report with the Ethics Commission.

Specific Factors indicating potential for Warning Letter include

• The lobbyist can demonstrate they provided the report to the employer or firm who did not file the report.
• The lobbyist ceased employment with the Lobbyist Employer or Lobbying Firm and the late report was for the calendar quarter corresponding to the month the lobbyist’s employment ended.
• The total required activity to be reported for that reporting period was less than $5,000.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• The total required activity to be reported by the lobbyist, lobbying firm, lobbyist employer, or person for that reporting period is greater than $50,000.
• Staff has reason to believe that the filer tried to conceal lobbying activity.
• Multiple monthly reports not filed within the last three years.
• Evidence demonstrated the lobbyist did not disclose a substantial amount of lobbying activity during the period.
• The undisclosed activity included campaign contributions.

Applicable Law(s)

SF C&GC Code § 2.110(c)–(d)

Specific Eligibility Guidelines

The lobbyist must file an amended lobbyist monthly report that includes all required information.

Specific Factors indicating potential for Warning Letter include

• The lobbyist, lobbying firm, lobbyist employer, or person had less than $5,000 of activity not reported.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• The total unreported activity to be reported for that reporting period is greater than 20% of the activity required to be reported for that reporting period or is greater than $50,000.

Applicable Law(s)

SF C&GC Code § 2.115(e)

Specific Eligibility Guidelines

If the committee received the contribution pursuant to section 1.114(g), it must forfeit the contribution to the San Francisco General Fund.

Specific Factors indicating potential for Warning Letter include

• Must be lobbyist’s first unlawful contribution offense.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• Staff has reason to believe that the contributor tried to conceal prohibited contributions.
• Contributions by contributor exceeded contribution limit by $1,000 in the aggregate.

Applicable Law(s)

SF C&GC Code § 2.115(f)

Specific Eligibility Guidelines

If the committee received the contribution pursuant to section 1.114(g), it must forfeit the amount of unlawfully bundled contributions and Respondent must pay the amount of the total unlawfully bundled contributions.

Specific Factors indicating potential for Warning Letter include

• Must be lobbyist’s first unlawful bundling offense.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• Staff has reason to believe that the lobbyist tried to conceal unlawfully bundled contributions.
• Unlawfully bundled contributions by the lobbyist equaled or exceeded $2,500.

Applicable Law(s)

SF C&GC Code § 2.116

Specific Eligibility Guidelines

An individual who did not complete the lobbyist training must subsequently complete the training.

Specific Factors indicating potential for Warning Letter include

• Lobbyist completed the training not less than six months after the deadline.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• Evidence of additional violations that in the aggregate are more than de minimis.

Applicable Law(s)

SF C&GC Code § 2.120(a)

Specific Eligibility Guidelines

The lobbyist must file a statement that includes all required information.

Specific Factors indicating potential for Warning Letter include

• The statement was filed after 10 days from the date of employment or appointments, but before first contact by the Enforcement Division.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• Evidence of additional violations that in the aggregate are more than de minimis.

Applicable Law(s)

SF C&GC Code § 2.120(b)

Specific Eligibility Guidelines

The lobbyist must file a statement that includes all required information.

Specific Factors indicating potential for Warning Letter include

• The statement was filed after 10 days from the date of appointment, but before first contact by the Enforcement Division.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• Evidence of additional violations that in the aggregate are more than de minimis.

Applicable Law(s)

SF C&GC Code § 2.135

Specific Factors indicating potential for Warning Letter include

• Degree to which scope of missing records are considered material.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• The lack of recordkeeping made it impracticable to determine if a person substantially complied with the Act’s lobbyist reporting requirements.
• The lack of recordkeeping inhibited discovery of other violations.

Applicable Law(s)

SF C&GC Code §§ 3.102, 3.242

Specific Eligibility Guidelines

An individual who failed to timely file a Statement of Economic Interests must file the missing statement with the Commission or their filing officer.

Specific Factors indicating potential for Warning Letter include

• The non- or late-filed Statement of Economic Interests is a Leaving Office Statement.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• Filer had a conflict of interest violation under Sections 1090 or 87100 involving an economic interest required to be disclosed on the Statement.
• Filer is a board or commission member and acted on agendized items in violation of SF C&GC Code section 3.1-102.5(c).

Applicable Law(s)

SF C&GC Code §§ 3.102, 3.242

Specific Eligibility Guidelines

The filer must file an amended Statement of Economic Interests disclosing the previously undisclosed economic interest.

Specific Factors indicating potential for Warning Letter include

• The omitted interest was a gift of $200 or less or a source of income of $1,000 or less.
• The filer’s board or commission did not meet during the reporting period.
• The filer has not performed the duties of the office or position for six months or more due to illness or otherwise.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• The omitted interest was a gift or source of income from a source that was regulated by or qualified as a restricted source as to the filer’s agency.
• The undisclosed economic interest caused a conflict of interest violation under Sections 1090 or 87100.

Applicable Law(s)

SF C&GC Code §§ 3.102, 3.205

Specific Eligibility Guidelines

The individual must complete the trainings and file the Ethics Training Certificate and Sunshine Ordinance Declaration.

Specific Factors indicating potential for Warning Letter include

• Filer fulfilled the training and filing defect prior to first contact by the Enforcement Division or within 30 days of contact by Enforcement.

Specific Exclusions from the Streamlined Administrative Resolution Program include

Applicable Law(s)

SF C&GC Code § 3.1-102.5(c)

Specific Eligibility Guidelines

Specific Factors indicating potential for Warning Letter include

• Filer cured the filing defect prior to first contact by the Enforcement Division or within 30 days of contact by Enforcement.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• The member had a financial interest in any of the matters.

Applicable Law(s)

SF C&GC Code § 3.209(a)

Specific Eligibility Guidelines

The individual must have properly identified a potential conflict of interest regarding the governmental decision and actually recused him or herself from discussing or acting on the matter.

Specific Factors indicating potential for Warning Letter include

• In publicly identifying the conflict of interest, the individual failed to provide sufficient detail to be understood by the public, as provided in Regulation 18707, subdivision (a).

Specific Exclusions from the Streamlined Administrative Resolution Program include

• The individual did not properly absent themselves from the meeting until after the discussion, vote, or any other disposition of the matter was concluded.

Applicable Law(s)

SF C&GC Code § 3.209(b)

Specific Eligibility Guidelines

The individual who failed to timely file a Recusal Notification must have properly disclosed a potential conflict of interest regarding the governmental decision and actually recused him- or herself at the time of the applicable agenda item and must subsequently file the outstanding Recusal Notification.

Specific Factors indicating potential for Warning Letter include

• The non-filing was the individual’s first offense.

Applicable Law(s)

SF C&GC Code § 3.216(b)

Specific Eligibility Guidelines

Following contact by the Enforcement Division, the person must return, donate, or reimburse the gift pursuant to 2 C.C.R. § 18941(c).

Specific Factors indicating potential for Warning Letter include

• Staff has no reason to believe that the respondent made, participated in making, or sought to influence governmental decisions for which the gift giver was a named party in, or the subject of.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• The gift giver is a named party in, or the subject of, a governmental decision before the respondent or the respondent’s agency or otherwise a restricted source.
• The fair market value of the gift is more than $2,500 over the gift limit.

Applicable Law(s)

SF C&GC Code § 3.216(d)

Specific Eligibility Guidelines

An individual who failed to timely file a gifts of travel report must file the report with the Commission.

Specific Factors indicating potential for Warning Letter include

• No evidence that the filer had a conflict of interest violation under Sections 1090 or 87100.
• The gift of travel was reported on the relevant Statement of Economic Interests.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• The gift giver is a named party in, or the subject of, a governmental decision before the respondent or the respondent’s agency or otherwise a restricted source.
• The filer failed to report the gift of travel on a Statement of Economic Interests, if required.
• Evidence demonstrates that the filer tried to conceal the true value of the gift.
• Multiple prior gift of travel reports were not filed.

Applicable Law(s)

SF C&GC Code § 3.410(b) or (c)

Specific Eligibility Guidelines

An individual who failed to timely file a permit consultant registration or quarterly report must file with the Ethics Commission the report or amend a report that had omissions.

Specific Factors indicating potential for Warning Letter include

• In the case of quarterly reports, the total activity the consultant was required to have reported for that reporting period was less than $5,000.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• Multiple reports not timely filed or substantial material information omitted within a one-year period.
• Staff has reason to believe that the filer tried to conceal consultant activity.

Applicable Law(s)

SF C&GC Code § 3.520

Specific Eligibility Guidelines

An individual who failed to timely file a Major Developer report must file the report with the Commission.

Specific Factors indicating potential for Warning Letter include

• The total required activity to be reported for that reporting period was less than $15,000.

Specific Exclusions from the Streamlined Administrative Resolution Program include

• The total activity the developer was required to have reported for that reporting period is greater than $30,000 in donations.
• Staff has reason to believe that the filer tried to conceal charitable contributions.
• Multiple reports not timely filed within a one-year period.