City and County of San Francisco
Ethics Commission

English

April 13, 2009

EXECUTIVE DIRECTOR’S REPORT
TO THE SAN FRANCISCO ETHICS COMMISSION
For the Meeting of April 13, 2009

1.   FY 09-10 Budget. 
As reported previously, all City departments have been instructed to submit a budget with a 25% cut from current year levels.  If a 25 percent cut is mandated, the Commission will be looking at a cut of $401, 400.  Based on the Commission’s instructions, staff has instead submitted a budget based on FY 08-09 figures.

2.  Investigation and enforcement program.
Since its last regular meeting on March 9, 2009, the Commission has received three new complaints, including one staff-initiated complaint.  There are currently 20 complaints pending in the Commission’s jurisdiction.

Category	Number of Complaints
Campaign Finance	9
Conflict of Interest	4
Governmental Ethics	2
Lobbyist Ordinance	1
Campaign Consultant Ordinance	2
Sunshine Ordinance	2
TOTAL	20

3.   Campaign finance disclosure program.
a. Filing deadline.  The last filing deadline occurred on February 2, 2009 for the second semi-annual statement, which covers the reporting period beginning the day after the closing date of the last statement filed, or January 1, 2008 through December 31, 2008.  Staff sent Non-Specific Written Notices to candidates/committees on February 17, 2009.  As of March 2, 2009, because fifteen candidates/committees still had not filed their required statement, staff sent a Second Non-Specific Written Notice and posted these filers to the Commission’s website as non-responsive.  As of April 7, 2009, six of the fifteen candidates/committees are still non-responsive.

Staff conducted an initial analysis of campaign finance filings received during the period March 1 through April 7.  The analysis showed that by April 7, the Commission received 118 campaign finance filings (38 electronic filings and 80 paper filings). The table below details the forms processed by staff.

Electronic and Paper Filings Received from 3.1.09 through 4.7.09
Form Name	Number of Filings
FPPC 410 (Statement of Organization)	20
FPPC 460 (Consolidated Campaign Disclosure Report)	84
FPPC 465 (Supplemental Independent Expenditure Report)	7
Miscellaneous Forms (SFEC and FPPC)	7
Total =	118

b. Collection of late filing fees and contribution forfeitures.  Campaign finance collections as of April 8th for FY 08-09 totaled $32,758, based on filings made during current and previous fiscal years.  By comparison, campaign finance collections as of April 8th in prior fiscal years were as follows:

Fiscal year	Collections by April 8	Total collections in FY
02-03	$25,976	$49,322
03-04	$43,752	$51,607
04-05	$80,799	$199,524
05-06	$65,146	$85,390
06-07	$91,579	$119,814
07-08	$61,373	$65,035

The $32,758 amount is based on prior assessments as follows:

FY when assessed	Amount collected in 08-09
05-06	$1,722.38
06-07	$115.00
07-08	$8,524.95
08-09	$22,395.79
Total:	$32,758.12

FY 08-09 waivers, as well as waivers from past years provided for comparison, are as follows:

FY when assessed	Amount assessed	Amount waived in FY
04-05	$907,069	$683,086
05-06	$546,859	$342,901
06-07	$181,831	$50,347
07-08	$217,444	$159,880
08-09	$254,464	$106,206

To date, the outstanding balance of late fees assessed from the current and previous years, including $72,281 in fees that have been referred to the Bureau of Delinquent Revenues, is $191,472, down from $223,836 as last reported.  Staff continues to receive and process requests for waiver of late fees. 

The current outstanding balance of contribution forfeitures assessed as a result of the defective reporting of contributor information and contribution limit violations is $44,518, up from $42,617 as last reported.  The $44,518 amount does not include forfeiture assessments from the 2008 filing period.  Staff continues to process requests for reversal and waiver for most of the $44,518 amount of forfeitures.  The individual late fees and forfeitures are listed below.

Late fees & Forfeitures – 4.8.09 quarterly update

Late fees – Table 1

#	Name	Filer ID	Current balance ( in $)	Status (blank = not yet past-due)
1	Ahsha Safai for Supervisor	1305708	120.00	Past-due
2	Asian Americans for Prop. L	1270299	480.00	Past-due
3	Asian Pacific Democratic Club PAC	931558	632.56
4	Bayard Fong for Board of Education	1290444	350.00	Past-due
5	Bill Barnes For District 5	1265969	3,120.00	Collections
6	Bruce G. Windrem	PEN1188	30.00	Past-due
7	Calvin Louie for Community College Board	1228806	10.00	Past-due
8	Care Not Cash	1244505	5,331.00	Collections
9	Choice for Students	1307181	998.00
10	Citizens United for Reform – Yes on B; A coalition of healthcare advocates, taxpayers, labor, realtors and neighborhood business	1305007	668.00
11	Clinton T. Reilly & Affiliated Entities	490376	9,000.00	Waiver requested
12	Committee for Quality Teachers and Education, Yes on Proposition A	1305506	4,390.00
13	Coalition to Elect Chris Jackson to Community College Board	1302351	2,355.00	Past-due ($40); Waiver requested ($2,315)
14	Coalition to Elect Kim-Shree 4 School Board	1284567	45.00	Payment schedule
15	Coleman Action Fund for Children Committee	1311766	6,685.00	Waiver requested
16	Committee to Elect Eli M. Horn	1305634	230.00	Past-due ($80); Waiver requested ($150)
17	Committee to Elect Emily Murase for School Board	1304864	50.00	Past-due
18	Committee to Elect Lynn Jefferson	1303409	30.00	Past-due
19	Committee to Elect M. Valle for Treasurer	1278937	5,525.00	Collections
20	Committee to Elect Rebecca Silverberg	1220430	21,086.00	Collections
21	Committee to Elect Vilma Guinto-Peoro Supervisor District #2	1291394	10.00	Collections
22	Dana Walsh	PEN1249	60.00	Past-due
23	Edgar "David" Parker, Jr.	PEN608	200.00	Past-due
24	Elect Anthony Carrasco Sheriff	PEN1395	100.00	Past-due
25	Friends of Lonnie Holmes	1298429	12.50
26	Housing Rights Association	1245525	100.00	Settlement payment schedule since 2006
27	James Ryan	PEN1293	100.00	Past-due
28	Janet Reilly	1276040	850.00
29	Jaynry Mak for School Board	1311133	10.00	Waiver requested
30	Jill Wynns for School Board	961189	730.00	Past-due
31	Johnnie Carter for Community College Board	1226264	7,215.00	Collections ($6,595); Past-due ($620)
32	Josh H. Wolf	PEN1391	180.00	Past-due
33	Joshua Kriesel	PEN1289	100.00	Past-due
34	Mak 06	1287595	490.00	Past-due
35	Micheas Herman	PEN788	100.00	Collections
36	Milton Marks 2008	1306913	235.00	Payment pending
37	Myrna Viray Lim for Supervisor	1256697	3,855.00	Collections
38	Myrna Lim for District 11 Supervisor	1306882	1,180.00	Past-due
39	Neighbors Against Traffic & Pollution – No on H	1300072	2,752.58
40	No on K, Committee Against Trafficking and Sexual Exploitation, Committee Against Proposition K	1310101	55.00	Waiver requested
41	Omar Khalif for School Board	1287030	1,800.00	Past-due
42	Pat  Lakey for Supervisor  District 7	1255357	2,225.00	Waiver requested in 2004
43	People for Tony Hall	1298419	1,890.00
44	Ramiro Maldonado, Jr.	PEN1291	100.00	Past-due
45	Ratepayers and Residents for PUC Reform – Yes on E	1306682	477.50
46	Re-Elect Milton Marks III	1266541	235.00	Waiver requested
47	Rick Hauptman	PEN1281	100.00	Past-due
48	Rodney Hauge	PEN593	100.00	Past-due
49	Rodney Hauge	PEN1084	100.00	Past-due
50	San Franciscans for Fair & Honest Government	1258209	4,659.22	Collections
51	San Franciscans for Yes on Proposition J	1249109	100.00	Past-due
52	San Francisco Chamber of Commerce 21st Century Committee	891575	980.00
53	San Francisco Democratic Club	1312198	120.00	Past-due
54	San Francisco Housing Fund – Yes on B	1306922	32.00
55	San Francisco Labor & Neighbor Member Education/Political Issues Committee	970630	504.00
56	San Francisco Labor Council – Labor & Neighbor	941562	504.00
57	San Francisco Labor Council Labor and Neighbor Independent Expenditure Political Action Committee	991525	630.00
58	San Francisco Women's Political Committee	1243711	69,616.26	Waiver requested
59	SEIU Local 87	PEN951	14,350.00	Collections
60	Shawn Westcott	PEN1102	100.00	Collections
61	Steve Feinstein	PEN1279	50.00	Past-due
62	Sunset Community Democratic Club	901749	350.00	Waiver requested
63	Thomas D'Amato	PEN735	100.00	Past-due
64	Walter D. Armer	PEN1287	100.00	Past-due
65	Yes on C, Alcatraz Conversion Project	1302041	3,848.75	Payment schedule
66	Yes on K, Committee United for Safety and Protection	1304971	340.00
67	Yes on Measure B for Safer San Francisco Streets – San Francisco Police Officers Association	1302887	1,000.00
68	Yick Tsun Society, Inc.	PEN1078	7,550.00	Collections
		Total:	191,472.37

Forfeitures – Table 2 [1]

#	Name	Filer ID	Current balance ( in $)	Status (blank = not yet past-due)
1	Alix Rosenthal for Supervisor	1287650	950.07	Waiver requested
2	Bayard Fong for Board of Education	1290444	1,900.29
3	Campaign for Paid Sick Days, Yes on Prop F	1289546	276.73	Waiver requested
4	Committee to Elect Dwayne Jusino Supervisor	1286609	600.00	Payment schedule
5	Committee to Re-Elect Dr. Dan Kelly	1289595	150.02	Waiver requested
6	Daly 06	1284226	1,850.08	Waiver requested
7	Dudum for Supervisor 2006	1287197	800.02	Waiver requested
8	Herrera 2005	1272195	1,200.00	Waiver requested
9	Hydra Mendoza for School Board	1290372	2,300.18	Waiver requested
10	San Francisco Chamber of Commerce 21st Century Committee	891575	9,440.03	Waiver requested
11	Truth on Prop H – Concerned Citizens Against Prop H, Sponsored by: Small Property Owners of San Francisco	1292084	25,050.12	Waiver requested
		Total:	44,517.54

c. Status of accounts to San Francisco Bureau of Delinquent Revenues (BDR).  The following chart provides details on pending accounts referred to BDR:

This table does not include forfeitures assessed from the 2008 reporting period.

#	Committee/ Filer	ID #	Treasurer or Responsible Officer	Date referral effective	Original amount referred	Last month’s balance	Current balance (Changes are in bold)
1	Committee to Elect Rebecca Silverberg	1220430	Lucia Paulazzo	5/6/05	$21,086.00	$21,086.00	$21,086.00
2	Yick Tsun Society, Inc.	PEN1078	Florence Fang	8/16/05	$7,550.00	$7,550.00	$7,550.00
3	SEIU Local 87	PEN951	Mike Garcia & Michael Baratz	8/25/05	$14,350.00	$14,350.00	$14,350.00
4	San Francisco Women’s Political Committee	1243711	Giselle Barry	5/25/06 & 9/18/06	$1,906.50	$905.00	$0
5	Johnnie Carter for Community College Board	1226264	Johnnie Carter	6/16/06	$9,520.00	$7,095.00	$6,595.00
6	John Kosinski 2004	1262487	John Kosinski	6/26/06	$200.00	$100.00	$0 [2]
7	Micheas Herman	PEN788	Micheas Herman	6/26/06	$100.00	$100.00	$100.00
8	San Franciscans for Fair & Honest Government	1258209	Erik Howell	10/20/06	$4,659.22	$4,659.22	$4,659.22
9	Myrna Viray Lim for District 11 Supervisor	1256697	Jia Jun Chen	4/27/07	$3,855.00	$3,855.00	$3,855.00
10	Committee to Elect M. Valle for Treasurer	1278937	Manuel B. Valle	6/14/07	$5,525.00	$5,525.00	$5,525.00
11	Shawn Westcott	PEN1102	Shawn Westcott	6/18/07	$100.00	$100.00	$100.00
12	Committee to Elect Vilma Guinto-Peoro Supervisor District #2	1291394	Vilma Guinto-Peoro	6/18/07	$10.00	$10.00	$10.00
13	Bill Barnes for District 5	1265969	Alix Rosenthal	1/3/08	$3,120	$3,120	$3,120
14	Care Not Cash	1244505	Ronald Jin	2/29/08	$5,331	$5,331	$5,331

4.  Revenues report. 
For FY 08-09, the Commission is budgeted to generate $175,000 in revenues.  As of April 7, 2009, the Commission received $91,274.15 as summarized below.  The figure represents collection of 52 percent of expected revenues for FY 08-09. 

Revenues Received as of April 7, 2009

Source	Budgeted Amount FY 08-09	Receipts
Lobbyist Fees	$40,000	$30,858.00
Other Ethics General	$1,000	$612.85
Campaign Finance Fines	$105,000	$31,094.51
Campaign Consultant Fees	$5,000	$19,821.50
Lobbyist Fines	$1,000	$1,700.00
Statements of Economic Interests Fines	$1,000	$1,330.00
Other Ethics Fines	$20,000	$5,807.29
Campaign Consultant Fines	$2,000	$50.00
Total	$175,000	$91,274.15

5.  Public financing/Campaign finance audit program.
Staff has completed the remaining 2006 audits and is finishing 2007 audits.  After designing new audit templates, staff is ready to begin 2008 public finance audits.  Staff has completed most of the analyses for the public financing report, which should be available for review at the May Commission meeting. 

6.  Lobbyist program. 
There are currently 41 lobbyists registered with the Commission.  In the 2008-2009 fiscal year, $32,493.75 in registration fees and $1,700 in fines have been collected, for a total of $34,193.75.  The next quarterly lobbyist filing is due April 15, 2009.  

7.  Campaign Consultant program. 
As of April 6, 2009, there are 19 registered campaign consultants.  In the 2008-2009 fiscal year, $16,400 in registration fees and $100 in fines have been collected, for a total of $16,500.  The deadline for the first quarter 2009 report was March 16, 2009.  Staff received 21 quarterly reports, all of which were timely filed.  The next quarterly report is due June 15, 2009.  Staff will send reminder notices to all active campaign consultants two weeks prior to the deadline.

8. Statements of Economic Interests.
April 1 was the deadline for designated officers and employees to file their annual Statements of Economic Interests (“SEIs”).  Staff is processing the SEIs and Sunshine Declarations that have been filed, by logging them into a database and scanning them for upload to the Commission’s website.

Enforcement staff continues to audit departments for SEI filing compliance.  Since the Commission’s last meeting, staff has audited the following departments, each of which had a 100% compliance rate:  1) Rent Board; 2) Landmarks Preservation Advisory Board; 3) District Attorney’s Office; and 4) War Memorial.  The Airport Commission had 145 designated employees required to file SEIs in 2007.  144 employees filed; one employee, who retired and has since left the Bay area, did not file a leaving office report.   The Airport Commission had 155 designated employees required to file SEIs in 2008.  154 employees filed; one employee, who retired and has since left the Bay area, did not file a leaving office report. The Redevelopment Agency was not in full compliance but has since filed the required SEIs.

9.  Outreach and Education.
On March 3 and March 10, 2009, staff conducted a Statement of Economic Interests (SEI) Training for Filing Officers and Commission secretaries covering roles and responsibilities, how to conduct a facial audit of the SEI, and how to manage the filings of designated employees, department heads, and members of boards and commissions.

On March 18 and March 26, 2009, staff conducted SEI trainings for members of boards and commissions and department heads, covering and responding to questions about their filing requirements.

On March 16, 2009, staff provided a Lobbyist Ordinance Training for lobbyists, their representatives, elected officials, the media, department heads, and other interested persons.

Ethics staff continues to provide trainings on conflict of interest laws and the Statements of Incompatible Activities (SIA) to City departments.  Recent trainings have included the Department of Building Inspection and the Port of San Francisco.  The following trainings are the currently scheduled for 2009:

Board of Supervisors SIA Training:  April 13
Port of San Francisco SIA Training:  April 16 and 21
General Services Agency SIA Training:  April 28
Department of Public Health SIA Training:  June 23
Public Utilities Commission SIA Training:  June 24, July 16, and July 27
Department of Children Youth and their Families SIA Training:  July 28

Respectfully submitted,

_________________________
John St. Croix
Executive Director       

[1] This table does not include forfeitures assessed from the 2008 reporting period.

[2] BDR cancelled the $100 remaining balance.