EXECUTIVE DIRECTOR’S REPORT
TO THE SAN FRANCISCO ETHICS COMMISSION
For the Meeting of November 9, 2009
1. Staff Changes:
As I stated previously, the budget cutbacks mean that the Commission will be losing one of its permanent staff positions. In addition, due to civil service bumping rules, two members of our staff are also scheduled to lose their jobs. The date of these changes has been delayed until close of business November 29, 2009. It remains likely that combined with the changes in our enforcement and audit divisions, we will be working with several new staff in the coming months.
2. Investigation and enforcement program.
Since its last special meeting on October 19, 2009, the Commission has received one new complaint. There are currently 11 complaints pending in the Commission’s jurisdiction.
| Category | # of Complaints |
|---|---|
| Campaign Finance | 5 |
| Conflict of Interest | 3 |
| Governmental Ethics | 1 |
| Lobbyist Ordinance | 0 |
| Campaign Consultant Ordinance | 0 |
| Sunshine Ordinance | 2 |
| TOTAL | 11 |
3. Campaign finance disclosure program.
a. Filing deadline. The next filing deadline is February 1, 2010 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, 2009 through December 31, 2009. Several candidates have already expressed an interest in running for office in November 2010. Staff has been conducting outreach for such potential candidates. Outreach to potential candidates includes contacting and setting up a one-on-one appointment with the candidate and/or his or her treasurer to discuss campaign finance processes and requirements. The purpose of this outreach is to inform first-time candidates and treasurers of their filing obligations prior to them engaging in campaign finance activity.
b. Collection of late filing fees and contribution forfeitures. Campaign finance collections as of November 4 for FY 09-10 totaled $5,025, based on filings made during previous fiscal years and the current fiscal year. By comparison, campaign finance collections as of November 4 in prior fiscal years were as follows:
| Fiscal year | Collections by Nov. 4 | Total collections in FY |
|---|---|---|
| 02-03 | $10,451 | $49,322 |
| 03-04 | $16,128 | $51,607 |
| 04-05 | $21,445 | $199,524 |
| 05-06 | $15,112 | $85,390 |
| 06-07 | $24,979 | $119,814 |
| 07-08 | $41,067 | $65,035 |
| 08-09 | $9,639 | $48,673 |
The $5,025 amount is based on prior assessments as follows:
| FY when assessed | Amount collected in 09-10 |
|---|---|
| 06-07 | $480.00 |
| 07-08 | $1,178.35 |
| 08-09 | $3,121.28 |
| 09-10 | $245.00 |
| Total: | $5,024.63 |
FY 08-09 waivers, as well as waivers from past years provided for comparison, are as follows:
| FY when assessed | Amount assessed | Amount 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 | $40,247 | $18,682 |
To date, the outstanding balance of late fees assessed from the current and previous years, including $75,251 in fees that have been referred to the Bureau of Delinquent Revenues, is $160,049, down from $218,957 as last reported. Most of the recent drop in outstanding late fees is due to waivers issued regarding fee assessments made in FY 08-09.
The current outstanding balance of contribution forfeitures assessed as a result of the defective reporting of contributor information is $26,334, down from $70,918 as last reported. The $26,334 amount consists of forfeitures from the 2005-2006 filing periods and does not include forfeiture assessments from the 2008 filing period. The large drop in outstanding forfeitures is due to recently issued waivers. All 2005-2006 filers with outstanding forfeitures received at least a partial waiver. The individual late fees and forfeitures are listed below.
Late fees & Forfeitures – 11.4.09 quarterly update
Late fees – Table 1
| # | Name | Filer ID | Current balance ( in $) | Status (blank = not yet past-due) |
|---|---|---|---|---|
| 1 | Ahsha Safai for Supervisor | 1305708 | 288.00 | Past-due ($120); $168 due by 11/12/09 |
| 2 | Alice B. Toklas Lesbian and Gay Democratic Club PAC | 842018 | 680.43 | |
| 3 | Bayard Fong for Board of Education | 1290444 | 276.00 | |
| 4 | Bayview Committee for Affordable Housing | 1303906 | 17.50 | |
| 5 | Bill Barnes For District 5 | 1265969 | 3,110.00 | Collections |
| 6 | Bruce G. Windrem | PEN1188 | 30.00 | Past-due |
| 7 | California Nurses Association PAC | 780657 | 3,370.00 | Waiver requested |
| 8 | Calvin Louie for Community College Board | 1228806 | 10.00 | Past-due |
| 9 | Care Not Cash | 1244505 | 5,331.00 | Collections |
| 10 | Clinton T. Reilly & Affiliated Entities | 490376 | 4,500.00 | |
| 11 | Coalition to Elect Chris Jackson to Community College Board | 1302351 | 542.00 | |
| 12 | Coalition to Elect Kim-Shree Maufas 4 School Board | 1284567 | 6,603.89 | Waiver requested |
| 13 | Coleman Action Fund for Children Committee | 1311766 | 6,265.00 | |
| 14 | Committee to Elect Claudine Cheng for District 3 Supervisor | 1302226 | 5,772.50 | |
| 15 | Committee to Elect Eli M. Horn | 1305634 | 455.00 | Past-due ($80); $375 due by 11/12/09 |
| 16 | Committee to Elect M. Valle for Treasurer | 1278937 | 5,525.00 | Collections |
| 17 | Committee to Elect Rebecca Silverberg | 1220430 | 21,086.00 | Collections |
| 18 | Committee to Elect Vilma Guinto-Peoro Supervisor District #2 | 1291394 | 10.00 | Collections |
| 19 | Committee to Keep MUNI Accountable – No on P | 1309995 | 2,325.00 | |
| 20 | Committee to Re-Elect Dr. Anita Grier | 1243852 | 84.00 | |
| 21 | Dana Walsh | PEN1249 | 60.00 | Past-due |
| 22 | DeNunzio for Supervisor | 1303336 | 5,985.00 | |
| 23 | Edgar "David" Parker, Jr. | PEN608 | 200.00 | Past-due |
| 24 | Elect Anthony Carrasco Sheriff | PEN1395 | 100.00 | Past-due |
| 25 | Eric Mar for Supervisor | 1302394 | 2,932.50 | |
| 26 | Friends of Owen O'Donnell | 1307894 | 18.00 | |
| 27 | Housing Rights Association | 1245525 | 100.00 | Settlement payment schedule since 2006 |
| 28 | James Ryan | PEN1293 | 100.00 | Past-due |
| 29 | Jane Kim for School Board | 1289332 | 98.00 | |
| 30 | Janet Reilly | 1276040 | 1,190.00 | |
| 31 | Jaynry Mak for School Board | 1311133 | 10.00 | |
| 32 | Jill Wynns for School Board | 961189 | 30.00 | Past-due |
| 33 | Johnnie Carter for Community College Board | 1226264 | 7,215.00 | Collections ($6,595); Past-due ($620) |
| 34 | Josh H. Wolf | PEN1391 | 180.00 | Past-due |
| 35 | Joshua Kriesel | PEN1289 | 100.00 | Past-due |
| 36 | Mak 06 | 1287595 | 490.00 | Past-due |
| 37 | Micheas Herman | PEN788 | 100.00 | Collections |
| 38 | Myrna Viray Lim for Supervisor | 1256697 | 3,855.00 | Collections |
| 39 | Myrna Lim for District 11 Supervisor | 1306882 | 1,250.00 | Collections ($1,180); Past-due ($70) |
| 40 | No on K, Committee Against Trafficking and Sexual Exploitation, Committee Against Proposition K | 1310101 | 25.00 | |
| 41 | No Military Recruitment in Our Schools – No on V | 1308856 | 2,807.60 | |
| 42 | Omar Khalif for School Board | 1287030 | 1,800.00 | Collections |
| 43 | Pat Lakey for Supervisor District 7 | 1255357 | 2,225.00 | Waiver requested in 2004 |
| 44 | People for Tony Hall | 1298419 | 1,260.00 | Payment schedule |
| 45 | Ramiro Maldonado, Jr. | PEN1291 | 100.00 | Past-due |
| 46 | Re-Elect Milton Marks III | 1266541 | 181.00 | |
| 47 | Re-Elect Public Defender Jeff Adachi | 1283538 | 1,000.00 | Waiver requested |
| 48 | Rick Hauptman | PEN1281 | 100.00 | Past-due |
| 49 | Rodney Hauge | PEN593 | 100.00 | Past-due |
| 50 | Rodney Hauge | PEN1084 | 100.00 | Past-due |
| 51 | San Franciscans for Fair & Honest Government | 1258209 | 4,659.22 | Collections |
| 52 | San Francisco Coalition for Responsible Growth – Political Action Committee | 1306077 | 1,548.00 | |
| 53 | San Francisco Tenants Union | PEN1367 | 1,060.00 | Waiver requested |
| 54 | San Francisco Women's Political Committee | 1243711 | 26,373.41 | |
| 55 | SF Forward sponsored by San Francisco Chamber of Commerce (formerly San Francisco Chamber of Commerce 21st Century Committee) | 891575 | 980.00 | |
| 56 | SEIU Local 87 | PEN951 | 14,350.00 | Collections |
| 57 | Shawn Westcott | PEN1102 | 100.00 | Collections |
| 58 | Steve Feinstein | PEN1279 | 50.00 | Past-due |
| 59 | Thomas D'Amato | PEN735 | 100.00 | Past-due |
| 60 | Walter D. Armer | PEN1287 | 100.00 | Past-due |
| 61 | Yes on C, Alcatraz Conversion Project | 1302041 | 2,807.40 | Payment schedule |
| 62 | Yes on K, Committee United for Safety and Protection | 1304971 | 160.00 | Waiver requested |
| 63 | Yes on Prop K | 1312067 | 218.00 | |
| 64 | Yick Tsun Society, Inc. | PEN1078 | 7,550.00 | Collections |
| Total: | 160,049.45 |
Forfeitures – Table 2 [1]
| # | Name | Filer ID | Current balance ( in $) | Status (blank = not yet past-due) |
|---|---|---|---|---|
| 1 | Alix Rosenthal for Supervisor | 1287650 | 240.00 | |
| 2 | Bayard Fong for Board of Education | 1290444 | 720.00 | |
| 3 | Daly 06 | 1284226 | 550.00 | |
| 4 | Dudum for Supervisor 2006 | 1287197 | 240.00 | |
| 5 | Hydra Mendoza for School Board | 1290372 | 590.00 | |
| 6 | SF Forward sponsored by San Francisco Chamber of Commerce (formerly San Francisco Chamber of Commerce 21st Century Committee) | 891575 | 8,624.00 | |
| 7 | Truth on Prop H – Concerned Citizens Against Prop H, Sponsored by: Small Property Owners of San Francisco | 1292084 | 5,130.00 | |
| 8 | Yes on Proposition A, Let's Rebuild San Francisco's Schools | 1290214 | 10,240.00 | |
| Total: | 26,334.00 |
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 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 |
| 5 | Johnnie Carter for Community College Board | 1226264 | Johnnie Carter | 6/16/06 | $9,520.00 | $6,595.00 | $6,595.00 |
| 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 | $3,110 | $3,110 |
| 14 | Care Not Cash | 1244505 | Ronald Jin | 2/29/08 | $5,331 | $5,331 | $5,331 |
| 15 | Omar Khalif for Board of Educ. | 1287030 | Omar Khalif | 7/30/09 | $1,800 | $1,800 | $1,800 |
| 16 | Myrna Lim for District 11 Sup | 1306882 | Myrna Lim | 7/30/09 | $1,180 | $1,180 | $1,180 |
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 is budgeted to generate $50,000 in revenues. As of November
4, 2009, the Commission received $13,382 as summarized below. The figure represents collection of approximately 26 percent of expected revenues for FY 09-10.
Revenues Received as of November 4, 2009
| Source | Budgeted Amount FY 09-10 | Receipts |
|---|---|---|
| Lobbyist Fees | $8,000 | $1,781 |
| Other Ethics General | $1,000 | $43 |
| Campaign Finance Fines | $22,000 | $5,623 |
| Campaign Consultant Fees | $15,000 | $3,300 |
| Lobbyist Fines | $1,000 | $400 |
| Statements of Economic Interests Fines | $1,000 | $1,380 |
| Other Ethics Fines | $1,000 | $855 |
| Campaign Consultant Fines | $1,000 | |
| Total | $50,000 | $13,382 |
5. Public financing/Campaign finance audit program.
Staff is working on audits of candidates who received public financing in 2008. Staff has provided training to candidates and treasurers involved in the 2009 election.
6. Lobbyist program.
As of October 29, 2009, there are 39 lobbyists registered with the Commission. In the 2009-2010 fiscal year, $1,781.25 in lobbyist fees and $400.00 in fines have been collected, for a total of $2,181.25. The third quarter 2009 filing deadline was October 15, 2009. All registered lobbyists filed; and staff released the Third Quarter Summary of Lobbyist Activity on October 29, 2009.
The next filing deadline for lobbyists on behalf of the City is November 15, 2009, for the third quarter 2009 reporting period.
7. Campaign Consultant program.
As of November 4, 2009, twenty-five campaign consultants are active and registered with the Commission. $3,300.00 in registration fees have been collected in the 2009-2010 fiscal year.
The next quarterly report is due December 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 November 4, 2009.
| FORM | FILERS | TOTAL # OF FILERS |
|---|---|---|
| Statement of Economic Interests (SEI) | 601 | 620 |
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 November 4, 2009, 93 non-filers informed the Commission that they left office, 27 non-filers filed their annual SEIs, five stated that they hold a position that is not required to file with the Commission, one stated that the Annual SEI requirement does not apply to because the filer recently assumed office, and 10 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 Thursday, October 22, 2009, staff met the Amabat Erdenebat, Head of the Investigation Department and Commissioner of the Independent Authority Against Corruption of Mongolia. Mr. Amarbat was sponsored by the Institute of International Education, which designs and implements professional programs and provides cultural activities and home hospitality opportunities for foreign leaders, specialists and international scholars participating in the Department of State’s International Visitor Leadership Program.
On November 2, staff met with a delegation of representatives of governmental and non-governmental organizations in Tanzania and Uganda. The delegation of 10 visitors, along with two translators, was invited to the United States under the Department of State’s International Visitor Leadership Program to explore the U.S. election system and government. The meeting was an opportunity for them to observe the activities of grassroots citizen action groups that interact with elected officials to influence political, social and economic change at the municipal, state and national level; and to obtain information about the role and structure of ethics in government in the U.S. and the principles underlying transparency and accountability.
On November 3, 2009, staff met with the managing editor and reporters from Mission Local, a project of the Ford Foundation and UC Berkeley School of Journalism. The group was interested in gathering information about the City’s departments, boards and commissions.
Ethics staff continues to offer trainings on conflict of interest laws and the Statements of Incompatible Activities (SIA) to City departments including the Department of Children, Youth, and Their Families.
In addition to in person trainings, the staff has produced and posted the various web trainings on the Ethics Commission website under “Education.” The following are trainings are currently available on the website:
- Training for Treasurers of Non-Candidate Recipient Committees
- Building Inspection Commission, Access Appeals Commission, Board of Examiners and Unreinforced Masonry Building Appeals Board SIA Training
- Ethics Training for City Employees
Respectfully submitted,
_________________________
John St. Croix
Executive Director
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