San Francisco Ethics Commission

Courtesy Notice - January 17, 2012 - Regarding the January 31, 2012 Semi-Annual Deadline, Information on Terminating Committees, Guidance on Preparing Campaign Statements

Thu, 26 Jan 2012 14:37:07 -0800

Date: January 17, 2012

To:

Recipient committees (Including Candidates and Officeholders)
Candidates for the June 5, 2012 and November 6, 2012 elections who do not have a committee
Major donor and independent expenditure committees

From: John St. Croix, Executive Director

Re:

Courtesy notice regarding the January 31, 2012 semi-annual filing deadline;
Information on terminating committees
Guidance on preparing campaign statements

Please review this memorandum carefully. It contains important information about your campaign disclosure filing obligations. If you have questions on any of the items discussed below, please call our office at 415-252-3100 during normal business hours from 8 a.m. to 5 p.m.

1. Courtesy notice regarding the January 31, 2012 filing deadline

This section provides important information about the upcoming January 31, 2012 filing deadline. Please review the information below to determine your filing obligation.

A. Who needs to file?

The following filers must file a semi-annual statement with the Ethics Commission:

Non-candidate recipient committees must file one of the following forms:
- FPPC Form 425 Semi-Annual Statement of No Activity,
- FPPC Form 450 Recipient Committee Campaign Statement-Short Form, or
- FPPC Form 460 Recipient Committee Campaign Statement.
- Committees that made independent expenditures of $1,000 or more to support or oppose a single candidate or measure must also file a Form 465 Supplemental Independent Expenditure Report.
Candidate/Officeholder committees must file:¹
- FPPC Form 460 Recipient Committee Campaign Statement.
Candidates for the June 2012 or November 2012 elections who do not have a committee but who, by 12/31/2011, have filed a Form 501 Candidate Intention Statement must file a Form 470 Officeholder and Candidate Campaign Statement-Short Form for the 2011 calendar year.
Major donor and independent expenditure committees must file:
- FPPC Form 461 Major Donor and Independent Expenditure Committee Campaign Statement if there was any activity during the reporting period covering through 12/31/2011. However, if you already filed a Pre-Election statement, you must file a Semi Annual statement covering through December 31, 2011 even if you did not have any activity after your Pre-Election filing.
- Committees that made independent expenditures of $1,000 or more to support or oppose a single candidate or measure must also file a Form 465 Supplemental Independent Expenditure Report.

B. What is the period covered by the Statement?

The statement covers the period between: either (a) the day after the closing date of the previous statement filed through December 31, 2011; or (b) if no statement was filed in 2011, January 1, 2011 through December 31, 2011.²

C. What records do you need to keep?

State law requires committees to keep all campaign records for a period of four years from the date the related campaign statement was filed. The candidate and treasurer are responsible for maintaining the records and for the accuracy of the records. In general, you must keep a record of all receipts and expenditures. For more detail on the types of records that you must maintain, please refer to the recordkeeping section of the relevant FPPC Campaign Disclosure Manual. FPPC Manuals may be obtained from the Commission’s office or from the FPPC’s website at www.fppc.ca.gov.

D. What form(s) do you need to file?

Depending on the filer, a Form 460 (Recipient Committee Campaign Statement), Form 450 (Recipient Committee Campaign Statement—Short Form), Form 425 (Semi-Annual Statement of No Activity), Form 470 (Officeholder and Candidate Campaign Statement – Short Form) or Form 461 (Major Donor and Independent Expenditure Committee Campaign Statement) must be filed. In addition to the forms listed above, committees that made independent expenditures of $1,000 or more to support a single candidate or measure must also file a Form 465 Supplemental Independent Expenditure Report.

The Commission requires an original and one copy of each statement signed and dated by the treasurer and candidate. You may obtain forms at the Fair Political Practices Commission (FPPC) web site: http://www.fppc.ca.gov.

E. Do you need to file electronically in addition to your paper filing?

In addition to paper reports, all major donor committees must also file FPPC forms 461 and 497 electronically and all recipient general purpose committees and independent expenditures committees that receive $5,000 or more in contributions or make $5,000 or more in independent expenditures in a calendar year must also file the following FPPC forms electronically: 460, 461, 465, 496 and 497. A committee that files electronic campaign statements must continue to file electronically until it terminates. There are two ways to comply with this requirement:

Internet Filing. Committees may use the Commission’s free San Francisco Electronic Disclosure System (SFEDS). A registration form and a user guide are available on the Commission’s web site at www.sfethics.org.
Political Reporting Services. Campaigns may wish to purchase political software or reporting services. You may obtain a list of qualified third-party software vendors at http://www.ss.ca.gov/prd/approved_vendors.htm. (Please note that these are listed for informational purposes and that the Commission does not endorse these services.)

F. What is the fee for the late filing of paper and/or electronic reports?

Filing deadlines will be strictly enforced. Late filings are subject to a $10-per-day late fee for paper reports and, if applicable, an additional $25-per-day late fee for electronic reports.

2. Information on terminating committees

If no funds are left in the campaign bank account and you will not raise additional funds, you should close the account and campaign committee by filing Form 460 (covering through 12/31/11) indicating a zero-ending cash balance and Form 410 (mark the termination box). Before terminating, you must have filed all required campaign statements, disclosing all reportable transactions, including the disposition of leftover funds and elimination of all debts.

If you do not terminate your committee, you must continue to file Form 460. Please call Commission staff at 415-252-3100 for information on your future filing obligations (if you do not terminate) and what you can do with the money remaining in your campaign bank account.

3. Guidance on preparing campaign statements

If you need guidance in preparing your campaign statements, you may schedule an appointment to meet with staff by calling 415-252-3100. Due to the high volume of filings received around the filing deadline, staff encourages you to address your filing concerns several days before the January 31 filing deadline.

S:\CAMPAIGN\2012\1.31.2012\Courtesy Notice\Courtesy Notice Template 1.31.2012 Deadline.doc

¹When a candidate or officeholder controls more than one committee for offices within the same jurisdiction, all committees of that candidate or officeholder must file statements each time any committee statement is due. When an elected officeholder in one jurisdiction runs for an office in another jurisdiction, the officeholder and all committees that he or she controls must file statements in both jurisdictions (see Cal. Code Regulation Section §18405).

²Candidates without committees file Form 470. The period covered by a Form 470 is the calendar year (i.e., 1/1/11-12/31/11).

Press Release - January 25, 2012 - San Francisco Ethics Commission Releases Fourth Quarter 2011 Report on Campaign Consultant Activity

Wed, 25 Jan 2012 09:08:37 -0800

Contact:
John St. Croix
(415) 252-3100

For release: January 25, 2012

SAN FRANCISCO ETHICS COMMISSION RELEASES FOURTH QUARTER 2011 REPORT ON CAMPAIGN CONSULTANT ACTIVITY

Pursuant to San Francisco’s Regulation of Campaign Consultants Ordinance, the San Francisco Ethics Commission has released its summary report of campaign consultant activity for the fourth quarter of 2011.

The summary report includes information disclosed in the fourth quarter activity reports, which were due on December 15, 2011, and covered the filing period beginning September 1, 2011 and ending November 30, 2011. Sixty-four campaign consultants were required to file quarterly reports with the Ethics Commission for this reporting period. As of today’s date, sixty-two consultants filed quarterly reports and two consultants failed to file.

Payments to Campaign Consultants. For the fourth quarter of 2011, active campaign consultants reported receiving $3,757,950 in payments from their clients. Of this amount, Stearns Consulting, Inc. reported receiving the highest total in payments, $821,734.

Political Contributions Made by Campaign Consultants. Political contributions by registered campaign consultants during the fourth quarter of 2011 totaled $3,551. Four consultants, Chariot LLC, Erwin & Muir, Ground Floor Public Affairs, and Anthony Winnicker, reported contributing the highest amount, $500 each.

The Commission reported that the level of campaign consultant activity has fluctuated since the first filing in June 1998 (the second quarter of 1998). Commission staff compiled data pertaining to campaign consultant activity since the implementation of the Ordinance as follows:

Quarter	Number of Consultants	Total Payments Promised	Total Payments Received	Total Contributions Made
First Quarter 2007	14	$115,761	$135,720	$1,200
Second Quarter 2007	16	$227,514	$163,333	$41,000
Third Quarter 2007	19	$479,895	$414,496	$69,137
Fourth Quarter 2007	19	$1,262,553	$1,324,139	$35,875
First Quarter 2008	21	$ 622,255	$830,920	$92,950
Second Quarter 2008	27	$718,486	$1,011,559	$3,750
Third Quarter 2008	40	$862,640	$811,954	$4,843
Fourth Quarter 2008	41	$1,985,420	$3,978,592	$4,830
First Quarter 2009	21	$490,230	$451,730	$1,560
Second Quarter 2009	20	$429,076	$447,804	$3,545
Third Quarter 2009	25	$519,855	$562,206	$2,250
Fourth Quarter 2009	27	$874,076	$880,721	$500
First Quarter 2010	26	$273,847	$348,578	$100
Second Quarter 2010	30	$449,666	$666,692	$3,900
Third Quarter 2010	41	$593,564	$635,782	$3,118
Fourth Quarter 2010	47	$1,575,846	$2,766,813	$1,600
First Quarter 2011	30	$228,264	$400,226	$2,100
Second Quarter 2011	29	$475,807	$399,184	$270
Third Quarter 2011	48	$757,556	$738,202	$1,950
Fourth Quarter 2011	64	$3,502,429	$3,757,950	$3,551

The Regulation of Campaign Consultants Ordinance (“Ordinance”), San Francisco Campaign and Governmental Conduct Code, Article I, Chapter 5, Sections 1.500 - 1.540, was approved by San Francisco voters in November 1997. The Ordinance requires persons who earn $1,000 or more per year for campaign consultant services to register with the Ethics Commission and file quarterly activity reports.

The reports include the following information: payments promised by or received from clients of campaign consultants, political contributions made by campaign consultants to local candidates and local ballot measure committees, gifts made by campaign consultants to local candidates, payments promised by or received from vendors or sub-vendors, employment by campaign consultants of local officeholders and City employees, and City contracts obtained by campaign consultants during a reporting period and appointment of campaign consultants to public office.

The registration and quarterly activity reports filed by campaign consultants are available for viewing at the Ethics Commission office, 25 Van Ness Avenue, Suite 220, San Francisco, CA 94102. The telephone number is (415) 252-3100. The Campaign Consultant Summary Report is also available at the Commission office and will be available on the Internet by accessing the Commission’s web site: www.sfethics.org.

The Ethics Commission was established through voter approval of a Charter Amendment in November 1993. The Commission serves the public, City employees and officials, and candidates for public office through education and enforcement of ethics laws. It also provides open access to public records in ethics-related matters. Its duties include: filing and auditing of campaign finance disclosure statements, campaign consultant and lobbyist registration and regulation, administration of the limited public finance and Whistleblower programs, conflict of interest reporting, investigations and enforcement, education and training, providing advice and conducting statistical reporting.

# # #

Press Release - January 24, 2012 - Summary of Actions Taken at January 23, 2012 Regular Meeting

Tue, 24 Jan 2012 14:09:16 -0800

Contact:
John St. Croix
(415) 252-3100

For release: January 24, 2012

SUMMARY OF ACTIONS TAKEN AT JANUARY 23, 2012 REGULAR MEETING

At its regular meeting on January 23, 2012, the San Francisco Ethics Commission took the following action:

Considered proposed amendments to delete certain provisions in the Statement of Incompatible Activities (SIA) for the San Francisco Public Library. The Commission asked staff to consider modifying rather than deleting certain provisions in the SIA.
Received testimony and by a vote of 4-0, approved amendments to the Campaign Finance Reform Ordinance (CFRO), San Francisco Campaign and Governmental Conduct Code section 1.100 et seq., related to the public financing programs for candidates for the Board of Supervisors and Mayor. The draft amendments, which were the product of work with members of the Board of Supervisors, will establish new qualification requirements for candidates, set the amount of public funds that may be disbursed, delay the disbursement date of public funds, change the qualifying and matching funds formula, and continue with an adjustable individual expenditure ceiling. Supervisor Jane Kim, who testified at the hearing, is expected to introduce the amendments at the Board. Under CFRO section 1.103, the Board may amend the CFRO if the amendment furthers the purposes of the CFRO, the Ethics Commission approves the proposed amendment in advance by at least a four-fifths vote of all its members, the proposed amendment is available for public review at least 30 days before it is considered by the Board or any of its committee; and the Board approves the proposed amendment by at least a two-thirds vote of all its members.
By a vote of 4-0, approved a draft budget for the Commission for FY 12-14.

The Commission’s next scheduled meeting will be held on Monday, February 27, 2012, at 5:30 p.m. in Room 400 City Hall.

The Ethics Commission, established in November 1993, serves the public, City employees and officials and candidates for public office through education and enforcement of ethics laws. Its duties include: filing and auditing of campaign finance disclosure statements, lobbyist and campaign consultant registration and regulation, administration of the public financing program, whistleblower program, conflict of interest reporting, investigations and enforcement, education and training, advice giving and statistical reporting.

S:\Commission\Meeting Summaries\2012\1.23.12.doc

Lobbyist Database API

Thu, 19 Jan 2012 13:53:41 -0800

Since January 2010, lobbyists registered with the Ethics Commission have been required to file monthly electronic disclosure statements that include contact information, client lists, activity expenses, contacts of public officials, political contributions, and payments promised by clients. The contents of the disclosure statements are accessible on the Ethics Commission's lobbyist web site.

The Ethics Commission is now making the disclosure statements accessible to application developers via a Lobbyist Database Application Programming Interface (API). The API returns Javascript Object Notation (JSON) from GET requests. The following methods are accessible from the API:

Insert the required variable in the URL where { } are provided below. The { } should be removed from the URL after inserting a variable.

All Filers by Year

This method returns all lobbyists that have filed at least one statement in the calendar year and includes contact information, filer ID, and current status.

http://system.netfile.com/Sunlight/Api/Lobbyist/Sf/v10/Filers/{year}

All Filings by Filer

This method returns a list of all filings filed by a lobbyist filer with the Commission. The lookup filer ID is obtained using the prior method.

http://system.netfile.com/Sunlight/Api/Lobbyist/Sf/v10/Filers/{filerId}/Filings

All Clients and Entities Reported on a Filing

These methods return all clients or entities reported on a particular filing. The filing ID is obtained using the prior method. A "Full Name" is the name of the client or entity as reported by the lobbyist. The "Mapped Name" is the name of the client or entity as corrected by Commission staff for the purposes of consistent spelling or mapping Aides to the correct member of the Board of Supervisors.

http://system.netfile.com/Sunlight/Api/Lobbyist/Sf/v10/Filings/{filingId}/Clients
http://system.netfile.com/Sunlight/Api/Lobbyist/Sf/v10/Filings/{filingId}/Entities

All Contacts of a Public Official, Political Contributions, Activity Expenses, and Payments Promised by Clients Reported on a Filing

These methods return all Contacts of a Public Official, Political Contributions, Activity Expenses, and Payments Promised by Clients reported on a particular filing. The filing ID is obtained using the "All Filings by Filer" method.

http://system.netfile.com/Sunlight/Api/Lobbyist/Sf/v10/Filings/{filingId}/ContactsOfPublicOfficials
http://system.netfile.com/Sunlight/Api/Lobbyist/Sf/v10/Filings/{filingId}/PoliticalContributions
http://system.netfile.com/Sunlight/Api/Lobbyist/Sf/v10/Filings/{filingId}/ActivityExpenses
http://system.netfile.com/Sunlight/Api/Lobbyist/Sf/v10/Filings/{filingId}/PaymentsPromisedByClients

Lobbyist Photos

At the time of registration with the Ethics Commission, lobbyists must supply a digital color photograph of the lobbyist's head and shoulders. All photos are stored in JPEG format at 130 x 150 pixels. Lobbyist photographs are stored using the following URL format:

http://system.netfile.com/Sunlight/sf/lobbyist/picture/{year}/1/{filerId}

Monitor New Lobbyist Filings

New lobbyist filings can also be tracked by monitoring the following RSS feed. The feed is updated when a new filing is accessible in the database.

http://system.netfile.com/Sunlight/sf/Lobbyist/FilingRSSFeed

Assistance with the API

For additional assistance, please contact the Ethics Commission at ethics.commission@sfgov.org or at 415-252-3100.

Executive Director's Report - January 23, 2012

Thu, 19 Jan 2012 13:36:41 -0800

EXECUTIVE DIRECTOR’S REPORT
TO THE SAN FRANCISCO ETHICS COMMISSION
For the Meeting of January 23, 2012

1. Televised Meetings.

The Commission’s next regular meeting will be held on January 23, 2012, the fourth Monday of the month, in Room 400 City Hall, in order to accommodate televising of the meeting.

2. Public finance program for the November 6, 2012 election.

Staff has not yet prepared manuals or updated forms for the November 6, 2012 election because of uncertainty over rules that govern the public finance program. Instead, staff has informed potential candidates that they should review manuals that were prepared for the November 2010 election. Staff stands ready to provide updated materials and training as soon as it is becomes clear what changes will be enacted in the CFRO regarding the public finance program.

3. Investigation and enforcement program.

As of January 13, 2012, there are 16 pending complaints alleging violations within the Ethics Commission’s jurisdiction.

Category	# of Complaints
Campaign Finance	7
Conflict of Interest	2
Governmental Ethics	1
Lobbyist Ordinance	1
Campaign Consultant Ordinance	2
Sunshine Ordinance	3
TOTAL	16

4. Campaign finance disclosure program.

a. Filing deadline. The next filing deadline falls on January 31, 2012 for the Second Semi Annual statement, which covers the reporting period ending December 31, 2011. In the interim, staff continues to receive and process campaign statements for other filing deadlines. Staff also continues to answer questions from and conduct outreach to candidates and other committee representatives about campaign finance filing obligations.

b. Collection of late filing fees and contribution forfeitures. In the FY 11-12, as of December 31, the Commission collected a total of $12,262 in campaign finance late fees and forfeitures. Outstanding late fees and forfeitures total $165,399 of which waiver requests are pending for $132,335; and $25,197 is pending at the Bureau of Delinquent Revenues.

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	Johnnie Carter for Community College Board	1226264	Johnnie Carter	6/16/06	$9,520	$6,595	$6,595
2	Committee to Elect M. Valle for Treasurer	1278937	Manuel B. Valle	6/14/07	$5,525	$5,525	$5,525
3	Bill Barnes for District 5	1265969	Alix Rosenthal	1/3/08	$3,120	$113	$113
4	Omar Khalif for Board of Educ.	1287030	Omar Khalif	7/30/09	$1,800	$1,775	$1,775
5	Myrna Lim for District 11 Sup	1306882	Myrna Lim	7/30/09	$1,180	$1,180	$1,180
6	Myrna Lim for District 11 Sup	1256697	Jia Jun Chen	8/20/07	$3,855	$2,775	$2,775
7	San Francisco Women’s Political Committee	1243711	Giselle Barry	5/16/06	$1,906	$50	$50
8	Johnny K. Wang JKW Political Consulting	100716	Johnny K. Wang	4/19/11	$4,000	$4,000	$4,000
9	Coalition to Elect Chris Jackson to Community College Board	1302351	Chris Jackson	6/17/11	2,658.90	$2,658.90	2,658.90
10	Reelect Dr. Anita Grier Community College Board 2010	1243852	Dr. Anita Grier	11/4/11	525.00	New Referral	$525.00
						TOTAL	$25,197

5. Revenues report.

For FY 11-12, the Commission is budgeted to generate $100,000 in revenues. As of January 18, 2012, the Commission received and deposited $46,597, as summarized below. The figure represents collection of approximately 47 percent of expected revenues for FY 11-12.

Revenues received and deposited as of January 18, 2012:

Source	Budgeted Amount FY 11-12	Receipts
Lobbyist Fees	$27,000	$13,150
Other Ethics General	$1,000	$210
Campaign Finance Fines	$50,000	$12,262
Campaign Consultant Fees	$18,000	$17,650
Lobbyist Fines	$1,000	$150
Statements of Economic Interests Fines	$1,000	$325
Other Ethics Fines	$1,000	$0
Campaign Consultant Fines	$1,000	$2,850
Total	$100,000	$46,597

6. Status of legislative proposals endorsed by Ethics Commission.

On November 22, 2011, Supervisor Scott Wiener introduced proposed amendments to the CFRO that were approved by the Commission at its October and November 2012 meetings. The legislation, File No. 111275, was assigned to the Rules Committee. If approved by a supermajority of the Board of Supervisors, the amendments would 1) modify and streamline disclaimer and reporting requirements for candidates and third parties raising and spending funds in local elections; 2) require the Ethics Commission to provide public notice when thresholds are met; 3) eliminate the overall contribution limit on contributions to all candidates on the ballot in a single election; and 4) make various reporting and disclaimer requirements parallel to requirements in State law.

On the same day, Supervisor Malia Cohen introduced proposed amendments to the CFRO that were approved by the Commission at its November 2012 meeting. The legislation, File No. 11277, was assigned to the Government Oversight and Audit Committee but later reassigned to the Rules Committee. If approved by a supermajority of the Board of Supervisors, the legislation would delay the certification of 2012 supervisorial candidates seeking public financing until the Redistricting Task Force completes its revision of supervisorial district boundaries.

7. Lobbyist program.

As of January 13, 2012, 78 individual lobbyists were registered with the Commission. In FY 11-12, total revenues collected to date amount to $13,150, which consist of $13,000 in lobbyist registration fees and $150 in late fines. The December 2011 reporting period deadline is January 17, 2012, and the annual registration deadline is February 1, 2012.

8. Campaign Consultant program.

As of January 17, 2012, 24 campaign consultants are active and registered with the Commission. Two campaign consultants failed to re-register for 2012 or terminate their status as a campaign consultant. $17,650 in registration fees and $2,850 in late fines have been collected so far during the 2011-2012 fiscal year. The next campaign consultant quarterly report deadline is Thursday, March 15, 2012. Staff will mail and e-mail reminder notices to all active campaign consultants two weeks before the deadline.

9. Statement of Economic Interests program.

On January 6, 2012, staff sent a memo to City departments, boards, and commissions to notify members and designated employees of their SEI-related filing obligations.

10. Outreach and Education.

The Commission continues to offer trainings on Statements of Incompatible Activities to City departments.

The following trainings are upcoming trainings scheduled for 2012:

One-on-one SEI Trainings for Filing Officers: February 27 and 28, and March 1

The following are web video trainings available on the Commission website:

Department of Building Inspection SIA Training
Candidates’ Training
Controller’s Office SIA Training
Department on the Environment SIA Training
Governmental Ethics Ordinance Training for City Employees
Lobbyist Ordinance Training
Medical Examiner’s Office SIA Training
Non-Candidate Recipient Committee Training
Public Utilities Commission SIA Training
SIA Template Language Training

Respectfully submitted,

_________________________
John St. Croix
Executive Director

S:\ED Report\2012\1.23.12.doc

Press Release - December 13, 2011 - Summary of Actions Taken at December 12, 2011 Regular Meeting

Tue, 13 Dec 2011 13:53:05 -0800

Contact:
John St. Croix
(415) 252-3100

For release: December 13, 2011

SUMMARY OF ACTIONS TAKEN AT DECEMBER 12, 2011 REGULAR MEETING

At its regular meeting on December 12, 2011, the San Francisco Ethics Commission took the following action:

Considered and approved by a vote of 4-0 proposed amendments to the Statement of Incompatible Activities (SIA) for the Department of Human Resources (DHR). The DHR has asked that its SIA be amended so that it better aligns with the department’s confidentiality policy.
Began consideration of possible amendments to the Campaign Finance Reform Ordinance (CFRO), San Francisco Campaign and Governmental Conduct Code section 1.100 et seq., related to the public financing programs for candidates for the Board of Supervisors and Mayor. Proposed changes are in light of the Supreme Court’s decision finding that Arizona’s matching public funds program burdens political speech as well as feedback about the public financing program in the past year. The Commission considered staff’s recommendations and directed staff to craft legislation to establish new qualification requirements for candidates, set the amount of public funds that may be disbursed, delay the disbursement date of public funds, change the qualifying and matching funds formula, and provide separate proposals:1) that will continue with an adjustable individual expenditure ceiling, and 2) place a “hard” cap on the amount of public funds that may be disbursed to each certified candidate.
Found probable cause Patrick Collum violated seven provisions of the San Francisco Campaign and Governmental Conduct Code as applies to the regulation of Campaign Consultants.

The Commission’s next scheduled meeting will be held on Monday, January 23, 2011, at 5:30 p.m. in Room 400 City Hall.

S:\Commission\Meeting Summaries\2011\12.12.11.doc

SFEDS Maintenance Notice - December 22, 2011 to December 23, 2011

Tue, 13 Dec 2011 09:47:57 -0800

The San Francisco Electronic Disclosure System (SFEDS) will be down for maintenance from Thursday, December 22nd, 2011 at 5:00 P.M. until Friday, December 23rd, 2011 at 11:59 P.M. The campaign finance, Statement of Economic Interests (Form 700), and lobbyist filing and public web sites will be inaccessible during the maintenance period. We apologize for the inconvenience.

Executive Director's Report - December 12, 2011

Thu, 08 Dec 2011 09:00:00 -0800

EXECUTIVE DIRECTOR’S REPORT
TO THE SAN FRANCISCO ETHICS COMMISSION
For the Meeting of December 12, 2011

1. Televised Meetings.

The Commission’s next regular meeting will be held on January 23, 2012, the fourth Monday of the month, in Room 400 City Hall, in order to accommodate televising of the meeting.

2. November 8, 2011 November 6, 2012 Elections.

As of December 6, the Commission disbursed a total of $4,659,289 in public funds to nine eligible candidates. The last day for eligible candidates to submit a claim to receive public funds is December 8, 2011.

Staff has notified potential candidates running for the Board of Supervisors in November 2012 about possible changes to the public financing program and other provisions of the Campaign Finance Reform Ordinance. After any modifications to the public financing program are adopted into law, staff will provide trainings and update manuals that explain the rules governing the November 6, 2012 election. These manuals include the Candidates’ Guide for City Elective Office (manual that applies to all candidates for City elective office) and the Supplement for Candidates for the Board of Supervisors (manual for Board of Supervisors candidates only). In the meantime, staff has advised candidates for the 2012 election to refer to the manuals that were created for the November 2010 election.

3. Investigation and enforcement program.

As of December 1, 2011, there are 15 pending complaints alleging violations within the Ethics Commission’s jurisdiction.

Category	# of Complaints
Campaign Finance	7
Conflict of Interest	2
Governmental Ethics	1
Lobbyist Ordinance	1
Campaign Consultant Ordinance	2
Sunshine Ordinance	2
TOTAL	15

4. Campaign finance disclosure program.

a. Filing deadline. The most recent filing deadline occurred on October 27, 2011 for the Second Pre-Election statement, which covers the reporting period ending October 22, 2011. As of November 7, 2011, two candidates/committees remain delinquent in filing the Second Pre-Election statement; they were sent a Non-Specific Written notice. Staff continues to receive and process campaign statements and will notify non-filers about their past due statements.

The next filing deadline falls on January 31, 2012 for the Second Semi Annual statement, which covers the reporting period ending December 31, 2011. In the interim, staff continues to receive and process campaign statements for other filing deadlines. Staff also continues to answer questions from and conduct outreach to candidates and other committee representatives about campaign finance filing obligations.

b. Collection of late filing fees and contribution forfeitures. In the FY 11-12, as of November 30, the Commission collected a total of $10,875 in campaign finance late fees and forfeitures. Outstanding late fees and forfeitures total $169,220 of which waiver requests are pending for $132,335; and $24,672 is pending at the Bureau of Delinquent Revenues.

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	Johnnie Carter for Community College Board	1226264	Johnnie Carter	6/16/06	$9,520	$6,595	$6,595
2	Committee to Elect M. Valle for Treasurer	1278937	Manuel B. Valle	6/14/07	$5,525	$5,525	$5,525
3	Bill Barnes for District 5	1265969	Alix Rosenthal	1/3/08	$3,120	$113	$113
4	Care Not Cash	1244505	Ronald Jin	2/29/08	$5,331	$356	$0
5	Omar Khalif for Board of Educ.	1287030	Omar Khalif	7/30/09	$1,800	$1,775	$1,775
6	Myrna Lim for District 11 Sup	1306882	Myrna Lim	7/30/09	$1,180	$1,180	$1,180
7	Myrna Lim for District 11 Sup	1256697	Jia Jun Chen	8/20/07	$3,855	$2,775	$2,775
8	San Francisco Women’s Political Committee	1243711	Giselle Barry	5/16/06	$1,906	$50	$50
9	Johnny K. Wang JKW Political Consulting	100716	Johnny K. Wang	4/19/11	$4,000	$4,000	$4,000
10	Coalition to Elect Chris Jackson to Community College Board	1302351	Chris Jackson	6/17/11	2,658.90	$2,658.90	2,658.90
11	Reelect Dr. Anita Grier Community College Board 2010	1243852	Dr. Anita Grier	11/4/11	525.00	New Referral	$525.00
						TOTAL	$25,197

5. Revenues report.

For FY 11-12, the Commission is budgeted to generate $100,000 in revenues. As of December 1, 2011, the Commission received and deposited $37,321 as summarized below. The figure represents collection of approximately 37 percent of expected revenues for FY 11-12.

Revenues received and deposited as of December 1, 2011:

Source	Budgeted Amount FY 11-12	Receipts
Lobbyist Fees	$27,000	$5,500
Other Ethics General	$1,000	$210
Campaign Finance Fines	$50,000	$10,875
Campaign Consultant Fees	$18,000	$12,550
Lobbyist Fines	$1,000	$100
Statements of Economic Interests Fines	$1,000	$325
Other Ethics Fines	$1,000	$5,961
Campaign Consultant Fines	$1,000	$1,800
Total	$100,000	$37,321

6. Status of legislative proposals endorsed by Ethics Commission.

On the same day, Supervisor Malia Cohen introduced proposed amendments to the CFRO that were approved by the Commission at its November 2012 meeting. The legislation, File No. 11277, was assigned to the Government Oversight and Audit Committee. If approved by a supermajority of the Board of Supervisors, the legislation would delay the certification of 2012 supervisorial candidates seeking public financing until the Redistricting Task Force completes its revision of supervisorial district boundaries.

7. Lobbyist program.

As of December 1, 2011, 79 individual lobbyists were registered with the Commission. In FY 11-12, total revenues collected to date amount to $5,600, which consist of $5,500 in lobbyist registration fees and $100 in late fines. The November 2011 reporting period deadline is December 15, 2011.

8. Campaign Consultant program.

As of December 1, 2011, sixty campaign consultants are active and registered with the Commission. $12,750 in registration fees and $1,900 in late fines have been collected so far during the 2011-2012 fiscal year. The next campaign consultant quarterly report deadline is Thursday, December 15, 2011. Staff has mailed and e-mailed reminder notices to all active campaign consultants two weeks before the deadline.

9. Outreach and Education.

On November 30, staff met with managers of the Inspection Office of the City of Kobe, Japan, to discuss anti-corruption measures governing local officers and employees.

The Commission continues to offer trainings on Statements of Incompatible Activities to City departments.

The following are web video trainings available on the Commission website:

Department of Building Inspection SIA Training
Candidates’ Training
Controller’s Office SIA Training
Department on the Environment SIA Training
Governmental Ethics Ordinance Training for City Employees
Lobbyist Ordinance Training
Medical Examiner’s Office SIA Training
Non-Candidate Recipient Committee Training
Public Utilities Commission SIA Training
SIA Template Language Training

Respectfully submitted,

______________________
John St. Croix
Executive Director

S:\ED Report\2011\12.12.11.doc

Interested Persons Meeting to Discuss Possible Changes to the Campaign Finance Reform Ordinance Related to Public Financing Program - December 6, 2011

Thu, 01 Dec 2011 16:09:11 -0800

Tuesday, December 6, 2011
4:30 PM to 6:30 PM
Room 421 City Hall

This is the second Interested Persons meeting scheduled by Ethics Commission staff to discuss and solicit comments about possible changes to the public financing program for candidates for the Board of Supervisors and the Mayor. Based on the insightful and helpful comments received at the November 16, 2011 Interested Persons meeting, staff plans to recommend several modifications for the Commission’s consideration when it meets on December 12, 2011 at 5:30 PM in Room 408 City Hall. These possible changes are set forth below.

Staff welcomes your suggestions and comments at the upcoming Interested Persons meeting about any or all of the proposed changes set forth below. The list of changes is not an exhaustive one – staff welcomes your input. If you are unable to attend, please submit your comments to the Ethics Commission at 25 Van Ness Avenue, Suite 220, San Francisco, CA 94102, or by email to ethics.commission@sfgov.org.

*****

Many of the comments received at the first Interested Persons meeting were based on the experience of the November 2011 mayoral election, where nine candidates for Mayor received (as of 11/17/11) $4,607,726; and where five of those candidates, whose public funds totaled $2,365,722, each received less than five percent of the first-choice votes cast.

There was general agreement that candidates must do more to show viability before receiving public funds.
There was sentiment that the disbursement of public funds should begin at a later date and that the matching formula should be changed.
There was discussion that the last date for filing nomination papers (now the 88th day before the election) could be moved up to earlier in the campaign season so that there is more stability and predictability in an election before the City disburses significant amounts of public funding to candidates. Staff recommends that the City Attorney look into whether this can be accomplished by amending the Municipal Elections Code or the Charter.
With respect to whether there should be an adjustable or hard expenditure ceiling, there was expression that an adjustable expenditure ceiling has the practical effect of creating no ceiling at all; hence, a hard cap may be appropriate.

Proposals and Questions

For Board of Supervisors:

Candidates must show that they have sufficient support in the district in order to be eligible to receive public funds. There was concern that eligibility thresholds were too low and the 4-1 match meant too much funds were released to candidates who really didn’t have widespread support.

Current Scheme (adjustable IEC initially set at $143,000)

	Private	Public
Initial	$5,000	$10,000
1:4	$10,000	$40,000
1:1	$39,000	$39,000
Total	$54,000	$89,000
IEC	$143,000 The Individual Expenditure Ceiling (IEC) may be adjusted based on total supportive funds and opposition spending, which allows candidates to raise private funds that are matched with public dollars.

1. Ethics Staff's Proposals and Questions Regarding Qualification Criteria

Raise qualifying threshold from $5,000 to $10,000—thus, candidates must raise $10,000 in contributions from City residents ranging from $10 to $500 (of which only up to $100 of the contribution will be counted as a qualifying contribution). Currently, a candidate must have raised at least $5,000 in qualifying contributions from at least 75 contributors before the 70th day of the election. Under the proposed scheme, should the number of contributors be 100? Or more?
Add a requirement that some of this qualifying threshold must be raised from within the district to demonstrate that the candidate has support within the district. But contributors in some districts are much more likely to make campaign contributions than in other districts. Should this new requirement mean that at least one-quarter or one-half of the $10,000 be raised in the district? Or should it mean that at least 25 or 50 contributors must come from the district?
Add a requirement that candidates must obtain signatures from at least 200 residents in the district to show that they have support within the district for their receipt of public funds for their candidacy.

2. Ethics Staff's Proposals and Questions Regarding Matching Funds

Replace the 1:4 matching formula with a 1:2 matching formula.
Raise the maximum amount of public funds available from the current $89,000 to $100,000, $125,000 or $150,000. In the discussion at the first Interested Persons meeting regarding what the public funds maximum should be, there was disagreement whether it should be $100,000, $125,000 or $150,000. While some persons said that $100,000 was an appropriate amount, another said that $100,000 is only $11,000 more than the current $89,000 amount and would not be sufficient to meet the challenges of third party or non-publicly financed candidate spending. One person advocated for $150,000 so that a candidate may be able to mount a sufficient defense against opposition spending. Staff recommends $150,000 for this same reason. In the November 2010 election, three candidates (all from District 8) received more than $100,000 in public funds ($104,764, $121,406, and $140,572), and one candidate in District 6 received more than the initial $89,000 amount ($90,817). In the November 2008 election, two candidates received more than $100,000 in public funds ($123,445 in D3 and $105,033 in D11), and one candidate in District 11 received more than the initial $89,000 amount ($92,058). Based on these figures, staff recommends that the amount of available public funds be set at $150,000; but staff also believes that the $150,000 public funds amount will not be reached by most candidates. Nonetheless, having this amount available at the outset would tend to encourage rather than discourage participation in the program.
Adopt a hard spending cap of $300,000 or $250,000. In 2008, average spending by winning candidates was $198,239. In 2008, in races where there was no incumbent, the winner spent $181,847 (D1), $329,499 (D3), $136,611 (D9), and $173,625 (D11), or an average of $205,396. In 2010, the average spent by winning candidates was $213,447; in races where there was no incumbent, the winner spent $260,467 (D2), $249,969 (D6), $246,666 (D8), and $172,117 (D10), or an average of $232,305. Based on these figures, and factoring in an anticipated increase in third party spending in upcoming elections, staff recommends that the expenditure ceiling be set at $300,000. Not every candidate will reach this level of spending, which staff believes is sufficiently high to enable non-incumbents to mount a successful candidacy. Staff recommends dispensing with an adjustable individual expenditure ceiling, which, in effect, means that there is no spending limit.
Do not disburse any public funds until the second Tuesday of June of the election year. This four-month delay (from nine months before the election, or February, currently) in releasing public funds would address comments raised that public funds are too easily accessible too soon, even before it’s clear that the candidate is a viable candidate. A June start date would provide some time for candidates to organize their campaigns and assess their opposition, and yet it would still be timely enough for candidates to utilize public funds to mount an effective campaign.
Adopt a 1:2 matching ratio to certified candidates after the initial disbursement of funds. This change would address concerns that public funds are disbursed too easily and too soon under the current system. A 1:2 match also enables certified candidates to mount effective campaigns without having to focus too heavily on fundraising.

The following charts set forth several proposals that vary based on the amount of public funds available ($150,000, $125,000 or $100,000) and the expenditure ceiling ($300,000 or $250,000). All of them adopt a hard expenditure cap that may not be adjusted, and all of them follow a matching formula of an initial 1:2 match, a subsequent 1:2 match and a 1:1 match.

Proposal A for BoS (Staff’s Recommendation)

$150,000 public funds available; Expenditure Ceiling ("EC") = $300,000	Private	Public
Initial	$10,000	$20,000
1:2	$40,000	$80,000
1:1	$70,000	$70,000
Total	$120,000	$150,000
Non-matching	$30,000	$0
Expenditure Ceiling	$300,000

Proposal B for BoS

$125,000 public funds available; EC = $300,000	Private	Public
Initial	$10,000	$20,000
1:2	$40,000	$80,000
1:1	$25,000	$50,000
Total	$75,000	$125,000
Non-matching	$100,000	$0
Expenditure Ceiling	$300,000

Proposal C for BoS

$100,000 public funds available; EC = $300,000	Private	Public
Initial	$10,000	$20,000
1:2	$30,000	$60,000
1:1	$20,000	$20,000
Total	$60,000	$100,000
Non-matching	$140,000	$0
Expenditure Ceiling	$300,000

Proposal D for BoS

$150,000 public funds available; EC = $250,000	Private	Public
Initial	$10,000	$20,000
1:2	$40,000	$80,000
1:1	$50,000	$50,000
Total	$100,000	$150,000
Non-matching	$0	$0
Expenditure Ceiling	$250,000

Proposal E for BoS

$125,000 public funds available; EC = $250,000	Private	Public
Initial	$10,000	$20,000
1:2	$40,000	$80,000
1:1	$25,000	$25,000
Total	$75,000	$125,000
Non-matching	$50,000	$0
Expenditure Ceiling	$250,000

Proposal F for BoS

$100,000 public funds available; EC = $250,000	Private	Public
Initial	$10,000	$20,000
1:2	$30,000	$60,000
1:1	$20,000	$20,000
Total	$60,000	$100,000
Non-matching	$90,000	$0
Expenditure Ceiling	$250,000

For Mayor:

Current Scheme (adjustable IEC initially set at $1,475,000)

	Private	Public
Initial	$25,000	$50,000
1:4	$100,000	$400,000
1:1	$450,000	$450,000
Total	$575,000	$900,000
IEC	$1,475,000 The Individual Expenditure Ceiling (IEC) may be adjusted based on total supportive funds and opposition spending, which allows candidates to raise private funds that are matched with public dollars.

The November 16, 2011 Interested Persons meeting did not address the Mayoral public financing program. However, staff believes that the proposed general rules governing the Supervisorial program could apply similarly to the Mayoral program. Thus, staff might consider the following proposal:

$900,000 public funds available; EC = $,750,000	Private	Public
Initial	$50,000	$100,000
1:2	$200,000	$400,000
1:1	$400,000	$400,000
Total	$650,000	$900,000
Non-matching	$200,000	$0
Expenditure Ceiling	$1,750,000

In the November 2003 election, the Newsom 2003 Mayoral Committee spent $5,151,623; in 2007, the Newsom Mayoral Committee spent approximately $1.6 million. Based on reports filed at the Ethics Commission during the November 2011 election, the five highest spending candidates spent $6,688,984, or an average of $1,337,797; the winner spent $1,722,714. Third party spending to support candidates totaled $2,109,460; third party spending to oppose candidates totaled $443,078. Based on this data, staff recommends that the expenditure ceiling be increased to $1,750,000.

In the 2011 election, no publicly financed candidate was able to achieve the maximum $900,000 in public funds. For this reason, staff proposes to keep the public funds level at $900,000.

A member of the public has proposed the following scheme:

	Private	Public
Initial	$50,000	$100,000
1:2	$425,000	$850,000
1:1	$275,000	$275,000
Total	$750,000	$1,225,000
Non-matching	$0	$0
Expenditure Ceiling	$1,975,000

Rules Governing the Public Financing Program for the November 6, 2012 Election

Thu, 01 Dec 2011 11:36:27 -0800

Date: December 1, 2011

To: Potential Candidates running for the Board of Supervisors in the November 6, 2012 Election

From: John St. Croix, Executive Director

Re: Rules Governing the Public Financing Program for the November 6, 2012 Election

As you may know, both the Ethics Commission and the Board of Supervisors will be considering legislation to modify the public financing program for candidates running for the Board of Supervisors and Mayor. Changes resulting from this process will apply to the Board of Supervisors races in the November 6, 2012 election. Possible changes include modifications to: move the date on which disbursement of public funds begins closer to the election date; change the amount of public funds that each qualified candidate may receive; raise the qualification threshold, including the amount and number of contributions required and adding a signature requirement; change the disbursement formula; and change the amount of the expenditure ceiling.

After any modifications to the public financing program are adopted into law, the Ethics Commission will provide trainings and update manuals that explain the rules governing the November 6, 2012 election. These manuals include the Candidates’ Guide for City Elective Office (manual that applies to all candidates for City elective office) and the Supplement for Candidates for the Board of Supervisors (manual for Board of Supervisors candidates only). In the meantime, please refer to the manuals that were created for the November 2010 election, which are available at the Ethics Commission office and are posted to the Commission’s website at: http://www.sfethics.org/ethics/2009/05/candidates-and-officeholders.html.

You are welcome to provide input about the possible changes to the public financing program. The Ethics Commission will be holding an interested persons meeting regarding possible changes on Tuesday, December 6, 2011, at 4:30 p.m. in Room 421 at City Hall. Thereafter, the Ethics Commission will consider proposed amendments at its meeting of December 12, 2011 at 5:30 p.m. in Room 408 at City Hall. After the Ethics Commission’s consideration of possible changes, the Board of Supervisors will consider the proposed amendments.

If you have any questions about your filing obligations, please call the Ethics Commission at 415-252-3100.

San Francisco Ethics Commission

Courtesy Notice - January 17, 2012 - Regarding the January 31, 2012 Semi-Annual Deadline, Information on Terminating Committees, Guidance on Preparing Campaign Statements

1. Courtesy notice regarding the January 31, 2012 filing deadline

A. Who needs to file?

B. What is the period covered by the Statement?

C. What records do you need to keep?

D. What form(s) do you need to file?

E. Do you need to file electronically in addition to your paper filing?

F. What is the fee for the late filing of paper and/or electronic reports?

2. Information on terminating committees

3. Guidance on preparing campaign statements

Press Release - January 25, 2012 - San Francisco Ethics Commission Releases Fourth Quarter 2011 Report on Campaign Consultant Activity

SAN FRANCISCO ETHICS COMMISSION RELEASES FOURTH QUARTER 2011 REPORT ON CAMPAIGN CONSULTANT ACTIVITY

Press Release - January 24, 2012 - Summary of Actions Taken at January 23, 2012 Regular Meeting

SUMMARY OF ACTIONS TAKEN AT JANUARY 23, 2012 REGULAR MEETING

Lobbyist Database API

All Filers by Year

All Filings by Filer

All Clients and Entities Reported on a Filing

All Contacts of a Public Official, Political Contributions, Activity Expenses, and Payments Promised by Clients Reported on a Filing

Lobbyist Photos

Monitor New Lobbyist Filings

Assistance with the API

Executive Director's Report - January 23, 2012

EXECUTIVE DIRECTOR’S REPORT TO THE SAN FRANCISCO ETHICS COMMISSION For the Meeting of January 23, 2012

1. Televised Meetings.

2. Public finance program for the November 6, 2012 election.

3. Investigation and enforcement program.

4. Campaign finance disclosure program.

5. Revenues report.

6. Status of legislative proposals endorsed by Ethics Commission.

7. Lobbyist program.

8. Campaign Consultant program.

9. Statement of Economic Interests program.

10. Outreach and Education.

Press Release - December 13, 2011 - Summary of Actions Taken at December 12, 2011 Regular Meeting

SUMMARY OF ACTIONS TAKEN AT DECEMBER 12, 2011 REGULAR MEETING

SFEDS Maintenance Notice - December 22, 2011 to December 23, 2011

Executive Director's Report - December 12, 2011

EXECUTIVE DIRECTOR’S REPORT TO THE SAN FRANCISCO ETHICS COMMISSION For the Meeting of December 12, 2011

1. Televised Meetings.

2. November 8, 2011 November 6, 2012 Elections.

3. Investigation and enforcement program.

4. Campaign finance disclosure program.

5. Revenues report.

6. Status of legislative proposals endorsed by Ethics Commission.

7. Lobbyist program.

8. Campaign Consultant program.

9. Outreach and Education.

Interested Persons Meeting to Discuss Possible Changes to the Campaign Finance Reform Ordinance Related to Public Financing Program - December 6, 2011

Proposals and Questions

Current Scheme (adjustable IEC initially set at $143,000)

Proposal A for BoS (Staff’s Recommendation)

Proposal B for BoS

Proposal C for BoS

Proposal D for BoS

Proposal E for BoS

Proposal F for BoS

Current Scheme (adjustable IEC initially set at $1,475,000)

Rules Governing the Public Financing Program for the November 6, 2012 Election

EXECUTIVE DIRECTOR’S REPORT
TO THE SAN FRANCISCO ETHICS COMMISSION
For the Meeting of January 23, 2012

EXECUTIVE DIRECTOR’S REPORT
TO THE SAN FRANCISCO ETHICS COMMISSION
For the Meeting of December 12, 2011