Ethics Commission
City and County of San Francisco

Executive Director’s Report – August 10, 2009

EXECUTIVE DIRECTOR’S REPORT
TO THE SAN FRANCISCO ETHICS COMMISSION
For the Meeting of August 10, 2009

1.   FY 09-10 Budget. 

The final numbers for the Ethics Commission for this year appear to be an overall budget of $4,025,406, which includes the operating budget and the annual contribution to the Election Campaign Fund.  The operating budget portion is $2,277,668.  This is slightly more than a 3% increase over last year.  Please note that these numbers are based on office calculations; the final printed budget numbers may be slightly different.

During final consideration of the budget, the Board of Supervisors took two actions that impacted the balance of the Public Finance Fund.  First, they restored $1,283,858 of the funds that had previously been de-appropriated by the Mayor’s office.  Next, they placed $1,043,160 of funding into a reserve, which can be used either by the Public Finance Fund or by the City’s Convention Facilities managers (either would require a supplemental appropriation).  The Mayor signed the budget on Tuesday, August 04, 2009.

2.  Investigation and enforcement program.

Since its last regular meeting on July 13, 2009, the Commission has received zero new complaints.  There are currently 13 complaints pending in the Commission’s jurisdiction.  Staff member Paul Solis has accepted a position as Investigative Counsel with the Office of Congressional Ethics in Washington, D.C. and he will be leaving the Commission in August.  Mr. Solis has been a dedicated and diligent colleague, and we wish him the very best.

Category# of Complaints
Campaign Finance5
Conflict of Interest3
Governmental Ethics1
Lobbyist Ordinance2
Campaign Consultant Ordinance0
Sunshine Ordinance2
TOTAL13

3.   Campaign finance disclosure program.

a. Filing deadline.  The most recent filing deadline was July 31, 2009 for the First Semi-Annual statements, which covers the reporting period beginning the day after the closing date of the last statement filed, or January 1, 2009 through June 30, 2009.  Staff sent a courtesy notice, as well made phone calls, to filers to remind them of the upcoming filing deadline and to inform them about recent updates to FPPC rules and regulations.

Staff has conducted an initial analysis of campaign finance filings received for this deadline.  As of August 4, staff has identified 24 filers who have not yet turned in their required statements.  The analysis showed that from July 1 through August 4, the Commission received 410 campaign finance filings (141 electronic filings and 269 paper filings). Staff continues to process campaign statements.  The next filing deadline is September 24, 2009 for the First Pre-Election statement.

b. Collection of late filing fees and contribution forfeitures.  Campaign finance collections as of August 4th for FY 09-10 totaled $3,038, based on filings made during previous fiscal years.  By comparison, campaign finance collections as of August 4th in prior fiscal years were as follows:

Fiscal yearCollections by Aug. 4Total collections in FY
02-03$20$49,322
03-04$1,812$51,607
04-05$2,870$199,524
05-06$7,304$85,390
06-07$14,443$119,814
07-08$30,917$65,035
08-09$3,773$48,673

The $3,038 amount is based on prior assessments as follows:

FY when assessedAmount collected in 09-10
06-07$480.00
07-08$253.75
08-09$2,303.76
Total:$3,037.51

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

FY when assessedAmount assessedAmount waived during 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$322,529$107,176
09-10$1,060$0

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 $214,097, down from $214,839 as last reported. 

The current outstanding balance of contribution forfeitures assessed as a result of the defective reporting of contributor information and contribution limit violations is $71,218, as was last reported.  The $71,218 amount consists of forfeitures from the 2005-2006 filing periods and does not include forfeiture assessments from the 2008 filing period.  Staff continues to process requests for waiver of late fees and forfeitures. The individual late fees and forfeitures are listed below.

Late fees & Forfeitures – 8.4.09 quarterly update

Late fees – Table 1

#NameFiler IDCurrent balance ( in $)Status (blank = not yet past-due)
1Ahsha Safai for Supervisor1305708400.00Past-due ($120); Waiver requested ($280)
2Bayard Fong for Board of Education1290444460.00Waiver requested
3Bayview Committee for Affordable Housing1303906175.00Waiver requested
4Bill Barnes For District 512659693,120.00Collections
5Bruce G. WindremPEN118830.00Past-due
6Bruce Wolfe for SF Community College130737250.00Past-due
7California Nurses Association PAC7806573,370.00Waiver requested
8Calvin Louie for Community College Board122880610.00Past-due
9Care Not Cash12445055,331.00Collections
10Clinton T. Reilly & Affiliated Entities4903769,000.00Waiver requested
11Coalition to Elect Chris Jackson to Community College Board13023513,050.00Waiver requested
12Coleman Action Fund for Children Committee13117666,685.00Waiver requested
13Committee to Elect Eli M. Horn1305634760.00Past-due ($80); Waiver requested ($680)
14Committee to Elect M. Valle for Treasurer12789375,525.00Collections
15Committee to Elect Rebecca Silverberg122043021,086.00Collections
16Committee to Elect Vilma Guinto-Peoro Supervisor District #2129139410.00Collections
17Committee to Keep MUNI Accountable – No on P13099954,650.00Waiver requested
18Committee to Re-Elect Dr. Anita Grier1243852140.00Waiver requested
19Dana WalshPEN124960.00Past-due
20Edgar "David" Parker, Jr.PEN608200.00Past-due
21Elect Anthony Carrasco SheriffPEN1395100.00Past-due
22Eric Mar for Supervisor13023945,865.00Waiver requested
23Friends of Owen O'Donnell130789445.00Waiver requested
24Housing Rights Association1245525100.00Settlement payment schedule since 2006
25James RyanPEN1293100.00Past-due
26Jane Kim for School Board1289332245.00Waiver requested
27Janet Reilly12760401,190.00Waiver requested
28Jaynry Mak for School Board131113310.00Waiver requested
29Jill Wynns for School Board96118930.00Past-due
30Johnnie Carter for Community College Board12262647,215.00Collections ($6,595); Past-due ($620)
31Josh H. WolfPEN1391180.00Past-due
32Joshua KrieselPEN1289100.00Past-due
33Mak 061287595490.00Past-due
34Micheas HermanPEN788100.00Collections
35Myrna Viray Lim for Supervisor12566973,855.00Collections
36Myrna Lim for District 11 Supervisor13068821,250.00Past-due
37Neighbors Against Traffic & Pollution – No on H1300072917.52Payment schedule
38No on K, Committee Against Trafficking and Sexual Exploitation, Committee Against Proposition K131010155.00Waiver requested
39No Military Recruitment in Our Schools – No on V13088565,649.80Waiver requested
40Noe Valley Democratic Club9631033,625.00Waiver requested
41Omar Khalif for School Board12870301,800.00Past-due
42Pat  Lakey for Supervisor  District 712553572,225.00Waiver requested in 2004
43People for Tony Hall12984191,575.00Payment schedule
44Ramiro Maldonado, Jr.PEN1291100.00Past-due
45Re-Elect Milton Marks III1266541235.00Waiver requested
46Richmond District Democratic Club8823905,000.00Waiver requested
47Rick HauptmanPEN1281100.00Past-due
48Rodney HaugePEN593100.00Past-due
49Rodney HaugePEN1084100.00Past-due
50San Franciscans for Fair & Honest Government12582094,659.22Collections
51San Francisco Coalition for Responsible Growth – Political Action Committee13060772,880.00Waiver requested
52SF Forward sponsored by San Francisco Chamber of Commerce (formerly San Francisco Chamber of Commerce 21st Century Committee)891575980.00Waiver requested
53San Francisco Tenants UnionPEN13671,060.00 
54San Francisco Women's Political Committee124371169,616.26Waiver requested
55SEIU Local 87PEN95114,350.00Collections
56Shawn WestcottPEN1102100.00Collections
57Steve FeinsteinPEN127950.00Past-due
58Sunset Community Democratic Club901749350.00Waiver requested
 The Committee to End the War in Iraq13090752,000.00Waiver requested
59Thomas D'AmatoPEN735100.00Past-due
60Trevor McNeil for SFDCCC1285604100.00Past-due
61Walter D. ArmerPEN1287100.00Past-due
62Yes on C, Alcatraz Conversion Project13020413,432.00Payment schedule
63Yes on K, Committee United for Safety and Protection1304971160.00Waiver requested
64Yes on Proposition G San Francisco1311102140.00Past-due
65Yick Tsun Society, Inc.PEN10787,550.00Collections
  Total:214,096.80 

Forfeitures – Table 2 [1]

#NameFiler IDCurrent balance ( in $)Status (blank = not yet past-due)
1Alix Rosenthal for Supervisor1287650950.07Waiver requested
2Bayard Fong for Board of Education12904441,900.29Waiver requested
3Campaign for Paid Sick Days, Yes on Prop F1289546276.73Waiver requested
4Committee to Elect Dwayne Jusino Supervisor1286609300.00Payment schedule
5Committee to Re-Elect Dr. Dan Kelly1289595150.02Waiver requested
6Daly 0612842261,850.08Waiver requested
7Dudum for Supervisor 20061287197800.02Waiver requested
8Herrera 200512721951,200.00Waiver requested
9Hydra Mendoza for School Board12903722,300.18Waiver requested
10SF Forward sponsored by San Francisco Chamber of Commerce (formerly San Francisco Chamber of Commerce 21st Century Committee)8915759,440.03Waiver requested
11Truth on Prop H – Concerned Citizens Against Prop H, Sponsored by: Small Property Owners of San Francisco129208425,050.12Waiver requested
12Yes on Proposition A, Let's Rebuild San Francisco's Schools129021427,000.05Waiver requested
  Total:71,217.59 

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

#Committee/
Filer
ID #Treasurer or Responsible OfficerDate referral effectiveOriginal amount referredLast month’s balanceCurrent balance (Changes are in bold)
1Committee to Elect Rebecca Silverberg1220430Lucia Paulazzo5/6/05$21,086.00$21,086.00$21,086.00
2Yick Tsun Society, Inc.PEN1078Florence Fang8/16/05$7,550.00$7,550.00$7,550.00
3SEIU Local 87PEN951Mike Garcia & Michael Baratz8/25/05$14,350.00$14,350.00$14,350.00
5Johnnie Carter for Community College Board1226264Johnnie Carter6/16/06$9,520.00$7,095.00$6,595.00
7Micheas HermanPEN788Micheas Herman6/26/06$100.00$100.00$100.00
8San Franciscans for Fair & Honest Government1258209Erik Howell10/20/06$4,659.22$4,659.22$4,659.22
9Myrna Viray Lim for District 11 Supervisor1256697Jia Jun Chen4/27/07$3,855.00$3,855.00$3,855.00
10Committee to Elect M. Valle for Treasurer1278937Manuel B. Valle6/14/07$5,525.00$5,525.00$5,525.00
11Shawn WestcottPEN1102Shawn Westcott6/18/07$100.00$100.00$100.00
12Committee to Elect Vilma Guinto-Peoro Supervisor District #21291394Vilma Guinto-Peoro6/18/07$10.00$10.00$10.00
13Bill Barnes for District 51265969Alix Rosenthal1/3/08$3,120$3,120$3,120
14Care Not Cash1244505Ronald Jin2/29/08$5,331$5,331$5,331

d.  Electronic filing.  On April 30, 2009 staff provided 60 days’ notice that committees subject to the electronic filing requirements under section 1.112(b) will be required to file FPPC Forms 461 (Independent Expenditure Committee and Major Donor Committee Campaign Statement) and 465 (Supplemental Independent Expenditure Report) in electronic format starting July 1, 2009.  Electronically filed forms and data will be made available to the public on the Ethics Commission’s web site.  This new electronic filing requirement is in addition to the paper filing requirement.  Forms 461 and 465 were added to the San Francisco Electronic Disclosure System (SFEDS) through the Commission’s contract with Netfile. 

4.  Revenues report. 

For FY 09-10, the Commission was budgeted to generate $50,000 in revenues.  As of August 3, 2009, the Commission received $5,111 as summarized below.  The figure represents collection of approximately 10 percent of expected revenues for FY 09-10. 

Revenues Received as of August 3, 2009

SourceBudgeted Amount FY 09-10Receipts
Lobbyist Fees$8,000$1,050
Other Ethics General$1,000$2
Campaign Finance Fines$22,000$2,399
Campaign Consultant Fees$15,000$600
Lobbyist Fines$1,000
Statements of Economic Interests Fines$1,000$1060
Other Ethics Fines$1,000
Campaign Consultant Fines$1,000
Total$50,000$5,111

5.  Public financing/Campaign finance audit program.

Staff is working on audits of candidates who received public financing in 2008.  Staff is also preparing candidate and recipient committee training materials for the 2009 election season.

6.  Lobbyist program. 

As of August 1, 2009, there are 39 lobbyists registered with the Commission.  Lobbyist revenues received in the 2008-2009 fiscal year totaled $36,392:  $33,892 in lobbyist fees and $2,500 in fines.  In the 2009-2010 fiscal year, $1,050 in lobbyist fees and $150 in fines were collected, for a total of $1,200.  All registered lobbyist filed quarterly reports for the second quarter 2009 reporting period.  The next filing deadline is October 15, 2009, for the third quarter 2009 reporting period.

Lobbyists on Behalf of the City

The San Francisco Sunshine Ordinance, S.F. Admin. Code Section 67.29-4, requires lobbyists who contract for economic consideration with the City to represent the City in matters before any local, regional, state or federal administrative or legislative body to file quarterly activity reports with the Ethics Commission.  These persons and entities are referred to as "Lobbyists on Behalf of the City."  Section 67.29-4 does not provide for any fine or monetary penalty for non-filers.  

Staff discovered that no lobbyist had filed a report with the Commission since the first quarter of 2005.  Staff contacted the lobbyist currently contracted by the Mayor’s Office to advise them of their reporting requirements.  Staff requested that the lobbyist complete all retrospective filings to bring them into compliance with the law.  The lobbyist was unaware of the Sunshine Ordinance requirement but expressed willingness to fully comply with law.  All filings will be due at the Commission by 5.00 p.m., August 17, 2009, which is the next filing deadline.  The lobbyist has filed all State and Federal reports that are required by law.

Staff responsible for the oversight of the regular lobbyist program will administer this program.  Further, staff requested that all other City departments advise the Commission if they independently contract with a lobbyist. 

7.  Campaign Consultant program. 

As of August 4, 2009, twenty-one campaign consultants are active and registered with the Commission.  $650 in registration fees have been collected in the 2009-2010 fiscal year.

The next quarterly report is due September 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 Statement of Economic Interests (“SEIs”).  Staff continues to process incoming SEIs and Sunshine Ordinance Declarations, by logging them into a database and scanning them for upload to the Commission’s website.  A list of filers is viewable on the Commission’s website.

The following table reflects annual statements filed as of August 4, 2009.

FORMFILERSTOTAL # OF FILERS
Statement of Economic Interests (SEI)596621

Upon review, the total number of filers dropped from 690 to 621 because staff determined that 69 annual filers left office in 2008 or earlier and are required to file Leaving Office SEIs instead of Annual SEIs.

On May 6, 2009, staff issued 136 non-filer notices.  On June 8, 2009, staff issued 48 second non-filer notices to those who were unresponsive to the first notice.  On July 8, 2009 staff issued third non-filer notices to 33 non-filers who were unresponsive to the past two notices.  As of August 4, 2009, 83 non-filers informed us that they left office, 24 non-filers filed their annual SEIs, five informed us that they hold a position that is not required to file with the Ethics Commission, one filed at the wrong location and is in the process of forwarding the original to us, one informed us that the Annual SEI requirement does not apply because the filer recently assumed office, and 22 non-filers remain nonresponsive. 

Enforcement staff continues to audit departments for SEI filing compliance for both 2007 and 2008 calendar years.  Staff is also reviewing all SEIs filed with the Commission.

9.  Outreach and Education.

On July 17 and 28, 2009, staff held interested persons meetings on possible changes to the Campaign Finance Reform Ordinance.  The Commission will consider the proposals at its August 10, 2009 meeting.

Ethics staff continues to provide trainings on conflict of interest laws and the Statements of Incompatible Activities (SIA) to City departments.  The following trainings are currently scheduled for 2009:

  • Candidates’ Training (Web Training Video):  August 2009
  • Non-Candidate Recipient Committee Training (Web Training Video):  August 2009
  • Building Inspection Commission, Access Appeals Commission, Board of Examiners and Unreinforced Masonry Building Appeals Board SIA Training:  September 30

10.  Statements of Incompatible Activities.

In response to both the May 26, 2009 and July 10, 2009 memos to all departments, boards and commissions requesting that they provide copies of advance written determinations (AWDs) and summaries of complaints filed under the 53 respective Statements of Incompatible Activities, the Commission received 47 replies.  No complaints were reported; 36 AWDs were reported, with disposition as follows:

DepartmentNumber of AWDs ReceivedNumber grantedNumber denied
Public Health110
Office of Citizen Complaints202
Child Support Services110
Planning541
Municipal Transportation Agency110
Public Utilities Commission330
District Attorney’s Office651
City Attorney’s Office660
Public Defender’s Office330
Office of the City Administrator550
Port of San Francisco110
Planning110
Arts Commission110

Respectfully submitted,

_________________________
John St. Croix
Executive Director       

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

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