Ethics Commission
City and County of San Francisco

Executive Director’s Report – November 9, 2009

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 Finance5
Conflict of Interest3
Governmental Ethics1
Lobbyist Ordinance0
Campaign Consultant Ordinance0
Sunshine Ordinance2
TOTAL11

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 yearCollections by Nov. 4Total 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 assessedAmount 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 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$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

#NameFiler IDCurrent balance ( in $)Status (blank = not yet past-due)
1Ahsha Safai for Supervisor1305708288.00Past-due ($120); $168 due by 11/12/09
2Alice B. Toklas Lesbian and Gay Democratic Club PAC842018680.43 
3Bayard Fong for Board of Education1290444276.00 
4Bayview Committee for Affordable Housing130390617.50 
5Bill Barnes For District 512659693,110.00Collections
6Bruce G. WindremPEN118830.00Past-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 Entities4903764,500.00 
11Coalition to Elect Chris Jackson to Community College Board1302351542.00 
12Coalition to Elect Kim-Shree Maufas 4 School Board12845676,603.89Waiver requested
13Coleman Action Fund for Children Committee13117666,265.00 
14Committee to Elect Claudine Cheng for District 3 Supervisor13022265,772.50 
15Committee to Elect Eli M. Horn1305634455.00Past-due ($80); $375 due by 11/12/09
16Committee to Elect M. Valle for Treasurer12789375,525.00Collections
17Committee to Elect Rebecca Silverberg122043021,086.00Collections
18Committee to Elect Vilma Guinto-Peoro Supervisor District #2129139410.00Collections
19Committee to Keep MUNI Accountable – No on P13099952,325.00 
20Committee to Re-Elect Dr. Anita Grier124385284.00 
21Dana WalshPEN124960.00Past-due
22DeNunzio for Supervisor13033365,985.00 
23Edgar "David" Parker, Jr.PEN608200.00Past-due
24Elect Anthony Carrasco SheriffPEN1395100.00Past-due
25Eric Mar for Supervisor13023942,932.50 
26Friends of Owen O'Donnell130789418.00 
27Housing Rights Association1245525100.00Settlement payment schedule since 2006
28James RyanPEN1293100.00Past-due
29Jane Kim for School Board128933298.00 
30Janet Reilly12760401,190.00 
31Jaynry Mak for School Board131113310.00 
32Jill Wynns for School Board96118930.00Past-due
33Johnnie Carter for Community College Board12262647,215.00Collections ($6,595); Past-due ($620)
34Josh H. WolfPEN1391180.00Past-due
35Joshua KrieselPEN1289100.00Past-due
36Mak 061287595490.00Past-due
37Micheas HermanPEN788100.00Collections
38Myrna Viray Lim for Supervisor12566973,855.00Collections
39Myrna Lim for District 11 Supervisor13068821,250.00Collections ($1,180); Past-due ($70)
40No on K, Committee Against Trafficking and Sexual Exploitation, Committee Against Proposition K131010125.00 
41No Military Recruitment in Our Schools – No on V13088562,807.60 
42Omar Khalif for School Board12870301,800.00Collections
43Pat  Lakey for Supervisor  District 712553572,225.00Waiver requested in 2004
44People for Tony Hall12984191,260.00Payment schedule
45Ramiro Maldonado, Jr.PEN1291100.00Past-due
46Re-Elect Milton Marks III1266541181.00 
47Re-Elect Public Defender Jeff Adachi12835381,000.00Waiver requested
48Rick HauptmanPEN1281100.00Past-due
49Rodney HaugePEN593100.00Past-due
50Rodney HaugePEN1084100.00Past-due
51San Franciscans for Fair & Honest Government12582094,659.22Collections
52San Francisco Coalition for Responsible Growth – Political Action Committee13060771,548.00 
53San Francisco Tenants UnionPEN13671,060.00Waiver requested
54San Francisco Women's Political Committee124371126,373.41 
55SF Forward sponsored by San Francisco Chamber of Commerce (formerly San Francisco Chamber of Commerce 21st Century Committee)891575980.00 
56SEIU Local 87PEN95114,350.00Collections
57Shawn WestcottPEN1102100.00Collections
58Steve FeinsteinPEN127950.00Past-due
59Thomas D'AmatoPEN735100.00Past-due
60Walter D. ArmerPEN1287100.00Past-due
61Yes on C, Alcatraz Conversion Project13020412,807.40Payment schedule
62Yes on K, Committee United for Safety and Protection1304971160.00Waiver requested
63Yes on Prop K1312067218.00 
64Yick Tsun Society, Inc.PEN10787,550.00Collections
  Total:160,049.45 

Forfeitures – Table 2 [1]

#NameFiler IDCurrent balance ( in $)Status (blank = not yet past-due)
1Alix Rosenthal for Supervisor1287650240.00 
2Bayard Fong for Board of Education1290444720.00 
3Daly 061284226550.00 
4Dudum for Supervisor 20061287197240.00 
5Hydra Mendoza for School Board1290372590.00 
6SF Forward sponsored by San Francisco Chamber of Commerce (formerly San Francisco Chamber of Commerce 21st Century Committee)8915758,624.00 
7Truth on Prop H – Concerned Citizens Against Prop H, Sponsored by: Small Property Owners of San Francisco12920845,130.00 
8Yes on Proposition A, Let's Rebuild San Francisco's Schools129021410,240.00 
  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 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$6,595.00$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$3,110$3,110
14Care Not Cash1244505Ronald Jin2/29/08$5,331$5,331$5,331
15Omar Khalif for Board of Educ.1287030Omar Khalif7/30/09$1,800$1,800$1,800
16Myrna Lim for District 11 Sup1306882Myrna Lim7/30/09$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

SourceBudgeted Amount FY 09-10Receipts
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.

FORMFILERSTOTAL # OF FILERS
Statement of Economic Interests (SEI)601620

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       

S:\ED Report\2009\11.9.09.doc

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

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