EXECUTIVE DIRECTOR’S REPORT
TO THE SAN FRANCISCO ETHICS COMMISSION
For the Meeting of February 8, 2010
1. Budget.
As mentioned previously, the City has forecasted a $522 million general fund deficit for the next fiscal year. All departments have been instructed to identify a 20 percent cut in their budgets and an additional 10 percent contingency cut. For the Commission, this translates to a $431,322 cut, and an additional $215,661 contingency cut, for a possible total of $646,983 in cuts for Fiscal Year 2010-2011. Staff has met with the Mayor’s Office and will submit a budget by February 22. The budget will reflect the instructions approved by the Commission at its December 2009 meeting.
2. Investigation and enforcement program.
Since its last regular meeting on December 14, 2009, the Commission has received two new complaints. There are currently 13 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 | 4 |
| TOTAL | 13 |
3. Campaign finance disclosure program.
a. Filing deadline. The most recent filing deadline was February 1, 2010 for the Second Semi-Annual statement, which covers the reporting period ending December 31, 2009. As of February 2, there are 29 filers who have not filed their required campaign statements. However, staff continues to receive paper statements in the mail.
The Ethics Commission has begun to conduct candidate trainings for the November 2, 2010 election. The next training will be on May 12, 2010. A notice about the training dates has been emailed and mailed to all potential candidates. A list of training dates is available on the Commission’s website.
Staff continues to provide training to new staff who joined the Commission as a result of recent City-wide bumping.
b. Collection of late filing fees and contribution forfeitures. Campaign finance collections as of February 2 for FY 09-10 totaled $43,047, based on filings made during previous fiscal years and the current fiscal year. By comparison, campaign finance collections as of February 2 in prior fiscal years were as follows:
| Fiscal year | Collections by Feb. 2 | Total collections in FY |
|---|---|---|
| 02-03 | $18,706 | $49,322 |
| 03-04 | $32,300 | $51,607 |
| 04-05 | $55,070 | $199,524 |
| 05-06 | $40,665 | $85,390 |
| 06-07 | $50,159 | $119,814 |
| 07-08 | $53,100 | $65,035 |
| 08-09 | $19,562 | $47,776 [1] |
The $43,047 amount is based on prior assessments as follows:
| FY when assessed | Amount collected in 09-10 |
|---|---|
| 04-05 | $8,812.50 |
| 05-06 | $859.88 |
| 06-07 | $480.00 |
| 07-08 | $3,267.25 |
| 08-09 | $27,648.68 |
| 09-10 | $1,978.43 |
| Total: | $43,046.74 |
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 | $110,314 | $19,182 |
To date, the outstanding balance of late fees assessed from the current and previous years, including $64,876 in fees that have been referred to the Bureau of Delinquent Revenues, is $202,582, up from $136,931 as last reported.
The current outstanding balance of contribution forfeitures assessed as a result of the defective reporting of contributor information is $14,714, down from $19,834 as last reported. The $14,714 amount consists of forfeitures from the 2005-2006 filing periods and does not include forfeiture assessments from the 2008 filing period. The individual late fees and forfeitures are listed below.
Late fees & Forfeitures – 2.2.10 quarterly update
Late fees – Table 1
| # | Name | Filer ID | Current balance ( in $) | Status (blank = not yet past-due) |
|---|---|---|---|---|
| 1 | Asian Pacific Democratic Club PAC | 931558 | 14,416.98 | Waiver requested |
| 2 | Bill Barnes For District 5 | 1265969 | 3,110.00 | Collections |
| 3 | Bruce G. Windrem | PEN1188 | 30.00 | Past-due |
| 4 | California Nurses Association PAC | 780657 | 3,370.00 | Waiver requested |
| 5 | Calvin Louie for Community College Board | 1228806 | 10.00 | Past-due |
| 6 | Care Not Cash | 1244505 | 5,331.00 | Collections |
| 7 | Coalition to Elect Chris Jackson to Community College Board | 1302351 | 883.60 | Payment schedule ($433.60); Past-due ($450) |
| 8 | Coalition to Elect Kim-Shree Maufas 4 School Board | 1284567 | 6,603.89 | Waiver requested |
| 9 | Coleman Action Fund for Children Committee | 1311766 | 6,265.00 | Waiver requested |
| 10 | Committee to Elect Claudine Cheng for District 3 Supervisor | 1302226 | 5,772.50 | Waiver requested |
| 11 | Committee to Elect M. Valle for Treasurer | 1278937 | 5,525.00 | Collections |
| 12 | Committee to Elect Rebecca Silverberg | 1220430 | 21,086.00 | Collections |
| 13 | Committee to Elect Vilma Guinto-Peoro Supervisor District #2 | 1291394 | 10.00 | Collections |
| 14 | Committee to Re-Elect Dr. Anita Grier | 1243852 | 350.00 | Waiver requested |
| 15 | Committee to Re-Elect Mirkarimi ‘08 | 1304606 | 565.00 | Waiver requested |
| 16 | Cooperation | PEN916 | 420.00 | Collections |
| 17 | Dana Walsh | PEN1249 | 60.00 | Past-due |
| 18 | Debra Walker for Supervisor – 2010 | 1318110 | 670.00 | Waiver requested |
| 19 | DeNunzio for Supervisor | 1303336 | 5,985.00 | Waiver requested |
| 20 | Edgar "David" Parker, Jr. | PEN608 | 200.00 | Past-due |
| 21 | Elect Anthony Carrasco Sheriff | PEN1395 | 100.00 | Past-due |
| 22 | Friends of Phil Ting | 1286818 | 30.00 | Past-due |
| 23 | Housing Rights Association | 1245525 | 100.00 | Settlement payment schedule since 2006 |
| 24 | James Ryan | PEN1293 | 100.00 | Past-due |
| 25 | Jill Wynns for School Board | 961189 | 380.00 | Past-due |
| 26 | Jim Meko for District 6 Supervisor 2010 | 1318471 | 380.00 | Waiver requested |
| 27 | Johnnie Carter for Community College Board | 1226264 | 7,215.00 | Collections ($6,595); Past-due ($620) |
| 28 | Josh H. Wolf | PEN1391 | 180.00 | Past-due |
| 29 | Joshua Kriesel | PEN1289 | 100.00 | Past-due |
| 30 | Mak 06 | 1287595 | 490.00 | Past-due |
| 31 | Mandelman for Supervisor 2010 | 1318949 | 420.00 | Waiver requested |
| 32 | Micheas Herman | PEN788 | 100.00 | Collections |
| 33 | Myrna Viray Lim for Supervisor | 1256697 | 3,855.00 | Collections |
| 34 | Myrna Lim for District 11 Supervisor | 1306882 | 1,425.00 | Collections ($1,180); Past-due ($245) |
| 35 | No Military Recruitment in Our Schools – No on V | 1308856 | 2,807.60 | Waiver requested |
| 36 | Noe Valley Democratic Club | 963103 | 945.00 | Waiver requested |
| 37 | Omar Khalif for School Board | 1287030 | 1,800.00 | Collections |
| 38 | Pat Lakey for Supervisor District 7 | 1255357 | 2,225.00 | Waiver requested in 2004 |
| 39 | People for Tony Hall | 1298419 | 945.00 | Payment schedule |
| 40 | Ramiro Maldonado, Jr. | PEN1291 | 100.00 | Past-due |
| 41 | Re-Elect City Attorney Dennis Herrera, 2009 | 1314475 | 80.00 | Past-due |
| 42 | Rick Hauptman | PEN1281 | 100.00 | Past-due |
| 43 | Rodney Hauge | PEN593 | 100.00 | Past-due |
| 44 | Rodney Hauge | PEN1084 | 100.00 | Past-due |
| 45 | San Franciscans for Fair & Honest Government | 1258209 | 4,659.22 | Collections |
| 46 | San Francisco Housing Fund – Yes on B | 1306922 | 105.00 | Past-due |
| 47 | San Francisco Labor Council – Labor & Neighbor | 941562 | 7,847.43 | Waiver requested |
| 48 | San Francisco Labor & Neighbor Member Education/Political Issues Committee | 970630 | 17,377.38 | Waiver requested |
| 49 | San Francisco Small Business Advocates | 1226595 | 7,500.00 | Waiver requested |
| 50 | San Francisco Taxpayers Union Political Action Committee | 1280589 | 4,200.00 | Waiver requested |
| 51 | San Francisco Tenants Union | PEN1367 | 1,060.00 | Waiver requested |
| 52 | San Francisco Women's Political Committee | 1243711 | 27,328.41 | Payment schedule requested ($26,373.41); Collections ($955) |
| 53 | SF Forward sponsored by San Francisco Chamber of Commerce (formerly San Francisco Chamber of Commerce 21st Century Committee) | 891575 | 980.00 | |
| 54 | SEIU Local 87 | PEN951 | 7,600.00 | Collections |
| 55 | SEIU United Healthcare Workers West PAC | 747285 | 3,540.00 | Waiver requested |
| 56 | Shawn Westcott | PEN1102 | 100.00 | Collections |
| 57 | Steve Feinstein | PEN1279 | 50.00 | Past-due |
| 58 | Thomas D'Amato | PEN735 | 100.00 | Past-due |
| 59 | United Educators of San Francisco Committee on Political Education | 822448 | 10,400.00 | Waiver requested |
| 60 | Walter D. Armer | PEN1287 | 100.00 | Past-due |
| 61 | Yes on C, Alcatraz Conversion Project | 1302041 | 2,182.50 | Payment schedule |
| 62 | Yes on K, Committee United for Safety and Protection | 1304971 | 160.00 | Waiver requested |
| 63 | Yick Tsun Society, Inc. | PEN1078 | 2,550.00 | Collections |
| Total: | 202,581.51 |
Forfeitures – Table 2 [2]
| # | Name | Filer ID | Current balance ( in $) | Status (blank = not yet past-due) |
|---|---|---|---|---|
| 1 | Bayard Fong for Board of Education | 1290444 | 720.00 | Waiver requested |
| 2 | Dudum for Supervisor 2006 | 1287197 | 240.00 | Waiver requested |
| 3 | SF Forward sponsored by San Francisco Chamber of Commerce (formerly San Francisco Chamber of Commerce 21st Century Committee) | 891575 | 8,624.00 | |
| 4 | Truth on Prop H – Concerned Citizens Against Prop H, Sponsored by: Small Property Owners of San Francisco | 1292084 | 5,130.00 | |
| Total: | 14,714.00 |
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 | $2,550.00 |
| 3 | SEIU Local 87 | PEN951 | Mike Garcia & Michael Baratz | 8/25/05 | $14,350.00 | $7,600.00 | $7,600.00 |
| 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 |
| 17 | Gregory Stephens | PEN196 | Gregory Stephens | 3/31/05 | $420 | $420 | $420 |
| 18 | San Francisco Women’s Political Committee | 1243711 | Giselle Barry | 5/16/06 | $1,906 | $50 | $50 |
| 19 | San Francisco Women’s Political Committee | 1243711 | Giselle Barry | 8/24/07 | $905 | $905 | $905 |
| TOTAL | $64,876.22 |
d. Electronic filing. On April 30, 2009 staff provided notice to committees subject to the electronic filing requirements under section 1.112(b) that they were 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 are made available to the public on the Ethics Commission’s web site. The 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 February
2, 2010, the Commission received $68,588 as summarized below. The figure represents collection of approximately 137 percent of expected revenues for FY 09-10.
Revenues Received as of February 2, 2010
| Source | Budgeted Amount FY 09-10 | Receipts |
|---|---|---|
| Lobbyist Fees | $8,000 | $14,662 |
| Other Ethics General | $1,000 | $95 |
| Campaign Finance Fines | $22,000 | $39,290 |
| Campaign Consultant Fees | $15,000 | $11,450 |
| Lobbyist Fines | $1,000 | $400 |
| Statements of Economic Interests Fines | $1,000 | $1,380 |
| Other Ethics Fines | $1,000 | $1210 |
| Campaign Consultant Fines | $1,000 | $100 |
| Total | $50,000 | $68,588 |
5. Public financing/Campaign finance audit program.
Staff conducted a workshop in January for candidates running for office in November 2010. Approximately 40 candidates, treasurers and other interested persons attended the workshop. Staff continues to provide outreach to candidates and their representatives through email notices.
As of January 27, 2010, 53 candidates declared an intent to run for office in November 2010. Staff has been busy answering questions about campaign finance requirements and about the public financing program. The first day on which candidates for the Board of Supervisors could submit an application for public funds was February 2. On that date, three candidates submitted an application for public funds.
Staff is also preparing for the June 2010 election. Staff has prepared material for a workshop to be held in early March for candidates running for county central committee seats in June 2010.
6. Lobbyist program.
As of January 15, 2010, 40 lobbyists were registered with the Commission under the old Lobbyist Ordinance. In the 2009-2010 fiscal year, $14,662.50 in lobbyist fees and $400.00 in fines have been collected, for a total of $15,062.50. The fourth quarter 2009 filing deadline was January 15, 2010. All 40 registered lobbyists filed their reports and the 4th Quarter 2009 Summary was published on February 1, 2010.
As of January 1, 2010, individuals who meet the lobbyist definition under the new Ordinance are required to register and submit reports on a monthly basis, with the first report due by February 15, 2010, covering the period January 1-31, 2010. As of now, 11 individuals have completed their registration; the registrations of another 25 are in process. Lobbyists will be required to submit reports electronically on the 15th of each month. The Commission and Netfile activated the new lobbyist electronic filing system on January 4, 2010.
Commission staff offered training to lobbyists on January 13, 2010 and began disseminating login and password information to registered lobbyists after the training. At the training, lobbyists raised some issues with reporting and requested a dialog with Commission staff to develop solutions. Commission staff disseminated proposed solutions via e-mail and on the Commission’s web site and solicited feedback from the lobbyists. Commission staff received input from lobbyists via e-mail and held an interested persons meeting on January 25, 2010 to obtain feedback. On January 29, 2010, Commission staff posted the solutions to the Commission’s web site.
7. Campaign Consultant program.
As of February 2, 2010, 24 campaign consultants are active and registered with the Commission. The annual re-registration deadline was on Monday, January 4, 2010. Two consultants filed one day late; all others filed on time. Two consultants have failed to re-register or terminate. $11,450 in registration fees and $100 in late fines have been collected in the 2009-2010 fiscal year.
The next quarterly report is due March 15, 2010. Staff will send reminder notices to the campaign consultants two weeks prior to the deadline.
8. Statements of Economic Interests.
April 1 is the deadline for designated officers and employees to file their annual Statement of Economic Interests (“SEIs”). Staff has issued notices to department heads and commission secretaries about their filing officer duties. Staff will be giving trainings on the SEI, the first of which is tentatively planned for February 23 in Room 421 City Hall. April 1 is also the deadline for department heads and members of boards and commissions to file their annual Sunshine Ordinance declaration.
On Tuesday, March 2, 2010, at 5:30 p.m., the City Attorney’s Office will be providing a Sunshine Ordinance/ethics training workshop at the Koret Auditorium in the Main Library (100 Larkin and Grove). Attendance at the event will satisfy the annual Sunshine training requirement as well as the biannual AB1234 ethics training requirement. Commission staff will provide forms for attendees to fill out.
9. Outreach and Education.
The Ethics Commission staff posted three interactive checklists to help the following filers keep track of SEI related information, deadlines, and filings; and provides direct links to trainings, legal citations, and pertinent forms.
Checklist for Elected Officials, Department Heads, & Members of Boards & Commissions | |
Checklist for Filing Officers (Department Heads and Commission/Department Secretaries) | |
Checklist for Designated Employees (SEI Filers who file with their department.) | https://www.sfethics.org/ethics/2010/01/checklist-for-designated-city-employees.html |
On January 12, 2010, staff provided a Candidates’ Training.
On January 13, staff provided a Lobbyist Ordinance Training.
On January 25, staff facilitated a Interested Persons Meeting to address follow up questions from the Lobbyist Ordinance Training.
The Ethics Commission will continue to offer trainings on Statements of Incompatible Activities to City departments, the latest of which occurred on December 4.
The following trainings are the currently scheduled in-person trainings for 2010:
- Candidates’ Training: January 12, May 12, July 15, and August 19,
- Lobbyist Ordinance Training: January 13
- Understanding Expenditure Ceilings: September 21
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 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
The following web trainings will be posted on the website in 2010:
- Candidates’ Training
- County Central Committee Candidates’ Training
- Lobbyist Ordinance Training
- SIA Template Language Training
- SEI Training
Respectfully submitted,
_________________________
John St. Croix
Executive Director
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[1] This amount was previously incorrectly reported as $48,673.
[2] This table does not include forfeitures assessed from the 2008 reporting period.