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lAM IE N N ES .S TU DLE Y
C H A IR P E R S O N
D ate:
T o:
E T H IC S C O M M IS S IO N
C IT Y A N D C O U N T Y O F SA N F R A N C IS C O
M ay8, 2009
M em bers, E thics C om m ission
SU SA N
J. HA R R IM AN
C O M M IS S IO N ER
F rom :
J o h nS t.C r o ix , E x e c u tiv eD ir e c to r
E MIGU SU KUM A
COM MISS IO N E R
EI L E E N
H A N SEN
COM MISS IO N ER
C H A R L E SL .W
AR D
COM MIS S ION ER
R e:
B y:
R ich ard M o,C h ie fE nforcem ent O fficer
Proposed C hanges to Investigations and E nforcem ent R egulations
I .I n tr o d u c tio n
JO H N
S T .C R O IX
T he E thics C om m ission's R e g u la tio n s fo r In v e s tig a tio n s and E nforcem entP ro c e e d in g s
EX ECU T IV E
D IR E C TO R
(" R e g u la tio n s " ) w ere last a m e n d e d in N ovem ber 2006.
T h o s e c h a n g e st o th e
R e g u la tio n sf o c u s e d o n s tre a m lin in gth e in v e s tig a tio n s a n d enforcem ent p ro c e s s .
A t
th a t tim e , enforcem ent s ta f f h a d n o t yet advanced a c o m p la in t beyond a p ro b a b le c a u s e
h e a rin g .
R e c e n tly, th e C o m m is s io n c o m p le te d a fu ll c o m p la in t c y c le , w h ic h in c lu d e d a
p ro b a b le c a u s e h e a rin g , a fo u r-d a y h e a rin go n th e m e rits , n u m e ro u sb rie fs a n d o rd e rs,
and several hundred pageso fe x h ib its .
T h is process took place over the courseo f over
1 4m o n th s .
A sa resulto fa d v a n c in ga c o m p la in t th ro u g h th e fu lla d m in is tra tiv e h e a rin g p ro c e ss fo r
th e firs t tim e , enforcem ent s ta f f re c o m m e n d ss e v e r a l c h a n g e s to th e R e g u la tio n s .
T he

p ro p o s e dc h a n g e s w o u ld fu rth e r s tre a m lin e th e in v e s tig a tio n s and enforcem ent p ro c e s s , in c lu d in gth e h e a rin g p ro c e d u re s , a n d p ro v id e c la rity a n d u n ifo rm ity in th e R e g u la tio n s . T h is m e m od i s c u s s e s a llo fthe proposed substantive changes.

W h ile it d o e s n o t d is c u s s
p ro p o s e d te c h n ic a l c h a n g e s , s ta ff w illb ep le a s e d to a n s w e ra n y q u e s tio n sfro m
th e
C om m issionersd u rin g th e M ay1 1m e e tin g .
II. Proposed Substantive C hanges
1 ).C larify in gE ffe ctiv e M e a n so f D eliv ery-S e c tio n sI I .F ,M ; X III.J.
E x is tin g p r a c tic e :
U n d e r th ec u r r e n t R e g u la tio n s , th e term s" d e liv e ry " a n d
" s e rv ic e"a re u s e din te rc h a n g e a b ly, a n d th eR e g u la tio nsd o n o tallo w fo r th e u s e
o fe -m a il fo r p u rp o s e so f d e liv e ry .
A lso, for d e liv e ryt o re s p on d e n t( s ) , th e
R e g u la tio n s re q u ire th e C o m m issio nt oe ffe c tu a te s u c h d e liv e ryvi aU .S .
c e rtifie d m ail.
2 5 V an N es sA v e n u e, S u ite 2 2 0 \u2022 San Francis c o ,CA
9 4 1 0 2 -6 0 5 3 \u2022 Phone (415) 252 -3100 \u2022 Fax (415) 2 5 2 - 3 1 1 2
E -M ail A ddre s s :e th ic s .c o m m ission@ sfgov.org
Web s ite :
h ttp: / /s f g o v .o rg /e th ics
P roposed change:
E lim in a tin g th ete n n " s e rv ic e " fro m

th e R e g u la tio n 's d e fin itio n s a n d u s in g" d e liv e ry " in s te a d w ill e lim in a te p a s t d iffic u ltie s e n c o u n te re d b y s ta f f w h e n try in g to d e liv e r d o c u m e n ts to a n u n w illin g re c ip ie n t.

B e c a u s e th eU .S . P o s ta l S e rv ic e re q u ire s
a n in d iv id u a l to s ig n fo r c e rtifie d m a il o r p ic k u p th e m a ilin g a t a p o s t o ffic e , th is
re q u ire m e n t h a s le d to d e la y s in th e h a n d lin go fc o m p la in ts .
In a d d itio n , c e rtifie d m a ili s
c o s tly .
E lim in a tin g th e re q u ire m e n to f d e liv e ry b y c e rtifie d m a il w ill a lle v ia te a n
unnecessary im pedim ent to the efficient processingo fc o m p la in ts .
A llo w in g th e p a rtie s
to a g re e to a n a lte rn a te m e th o do fd e liv e ry , s u c h a s e -m a iL w ill p ro v id e fo r q u ic k e r
d e liv e ry a s w e ll a s h e lp th e C o m m is s io n s a v e c o s ts a n d m a te ria ls .
2 )
C la rify in g th e P re lim in a ry R e v ie w P ro c e s s a n d S e ttin g F o rth P o s s ib le R e a s o n s
th a t th e
E x e c u tiv e D ire c to r M a y D is m is s a C o m p la in t
S e c tio n IV .A -B .
E x is tin g p r a c tic e :
U n d e r th e c u rre n t R e g u la tio n s , a n y c o m p la in t s u b m itte d o n a

C o m m issio n fo n nth a t is s ig n e d u n d e r p e n a ltyo f p e rju ry b y th e c o m p la in a n t a n d a lle g e s a v io la tio no flaw under the C om m ission's jurisdiction m ust be processed and review ed by th e E x e c u tiv e D ire c to r.

T h e E x e c u tiv e D ire c to r m a y d is m is s th e c o m p la in ti fth e rei sn o
re a s o n to b e lie v e th a t a v io la tio no f la w o c c u rre d .
H o w e v e r, th e R e g u la tio n s d o n o t
specify the grounds upon w hich the dism issal can be based, nor do they specify w hat
c o n s titu te s a p re lim in a ry re v ie wo fth e c o m p la in t.
P roposed change:
T h e p ro p o s e d c h a n g e s p e c ifie s th e a c tio n s th a t th e E x e c u tiv e D ire c to r
m a y ta k e d u rin g th e p re lim in a ry re v ie wo fa c o m p la in t.

T h e E x e c u tiv e D ire c to r w o u ld h a v e th e a b ility to c o n d u c t a p re lim in a ry re v ie wo fe a c h c o m p la in t, w h ic h m a y in c lu d e re v ie w in g re le v a n t d o c u m e n ts , s p e a k in g w ith th e c o m p la in a n t a n d /o r re s p o n d e n t, a n d m a k in g a n y o th e r in q u iryt oa s c e rta ini f a fu ll in v e s tig a tio n is w a rra n te d .

T h e p r o p o s e d c h a n g e a ls o p ro v id e s re a s o n s fo r w h ic h th e E x e c u tiv e D ire c to r m a y d is m is s
a c o m p la in t.
A lth o u g h th e lis t is n o t e x h a u s tiv e , it p ro v id e s a b a s ic fra m e w o rk a n d s e ts
fo rth th e p a ra m e te rs fo r d is m is s in g a c o m p la in t a t th is sta g e .
A fte r in itial rev iew , th e
E x e c u tiv e D ire c to r m a y d is m is s th e c o m p la in t w h e n , fo r e x a m p le :
1 ) th e e v id e n c e d o e s
n o t s u p p o rt th e a lle g a tio n s ; 2 ) th e a lle g a tio n s ,i ftru e , d o n o t c o n s titu te a v io la tio no f la w
w ith in th e C o m m is s io n 's ju ris d ic tio n ; 3 ) th e c o m p la in t c o n ta in s a n e x p re s s io no f
o p in io n s , ra th e r th a n s p e c ific a lle g a tio n s ; o r 4 ) th e a lle g a tio n s a re a lre a d y u n d e r
in v e s tig a tio n b y e n fo rc e m e n t s ta ff, o r h a v e a lre a d y b e e n re s o lv e d b y th e C o m m is s io n o r
another governm ental or law enforcem ent agency.
3 )
In c re a s in g th e A m o u n to fT im e fo r a R e s p o n d e n t to F ile a R e s p o n s e to th e P ro b a b le
Cause R eport~
\ue000S e c tio n V IL B .-C .
E x is tin g p r a c tic e :
U n d e r th e c u rre n t R e g u la tio n s , th e E x e c u tiv e D ire c to r m u s t d e liv e r th e
probable cause report to the respondent at least30 days before the hearing date.
I fth e
respondent chooses to prepare a response, the respondent m ust deliver the response
w ith in1 5d a y so f th e h e a rin g .
2
P roposed change:
U nder the current R egulations, the respondent m ay have only1 5 days
to review the probable cause report, prepare a response and effectuate delivery.
S ta ff
b e lie v e s th a t th e re s p o n d e n t s h o u ld b e p ro v id e d a lo n g e r tim e p e rio d in w h ic h to p re p a re
his or her response.
B y c h a n g in g th e d e a d lin e ss o that the probable cause report is due at
le a s t
d a y s b e fo re th e h e a rin g a n d th e re s p o n s e is d u e n o la te r th a n 20 days before the
h e a rin g , th e re s p o n d e n t re c e iv e s a n e x tra te n d a y s , fo r a to ta lo f
days, to prepare and
deliver his or her response.
4 )
M a k in gP u b lic P ro b a b le C a u s e H e a rin g s R e g a rd in g A lle g e d W illfu l V io la tio n so f
S u n s h in e O rd in a n c e
S e c tio n V III.A .2 .
E x is tin g p r a c tic e :
U n d e r th e c u r r e n t R e g u la tio n s , a ll p r o b a b le c a u s e h e a rin g s a re h e ld in
c lo s e d s e s s io n , u n le s s th e r e s p o n d e n t re q u e s ts th a t th e h e a rin g b e h e ld in p u b lic .
T h e re
a re n o re g u la tio n s th a t s p e c ific a lly a d d re s s c o m p la in ts a lle g in g v io la tio n so fth e S u n s h in e
O rdinance.
P roposed change:

P ro b a b le c a u s e h e a rin g s re g a rd in g a lle g e d w illfu l v io la tio n so f th e S u n s h in e O rd in a n c e w ill b e h e ld in p u b lic , u n le s s o th e rw is e p r o v id e d b y s ta te o r lo c a l la w .

The C om m ission routinely receives referrals from
th e S u n s h in e O rd in a n c e T a s k
F o rc e (" S O T F " ) th a t a lle g e a w illfu l v io la tio no f th e S u n s h in e O rd in a n c e .
These referrals
c o n ta inO rd e rso f D e te rm in a tio n s is s u e d b y th e S O T F , a s w e ll a s u n d e rly in g
d o c u m e n ta tio n re g a rd in g th e a lle g e d v io la tio no fth e S u n s h in e O rd in a n c e .
B e c a u s e a llo f
th e m a te ria ls fo rw a rd e d fro m
th e S O T F to th e C o m m is s io n a re a lre a d y p u b lic d o c u m e n ts ,
s ta f f b e lie v e s th a t a n y p ro b a b le c a u s e h e a rin g w h e re th e a lle g a tio n c o n c e rn s a w illfu l
v io la tio no fthe O rdinance should be held in open session.
U n d e r S e c tio n X III.B .3 , th e

p ro p o s e d re g u la tio n sc la rifY th a t th e h a n d lin go f c o m p la in ts a lle g in g a w illfu l v io la tio no f th e S u n s h in e O rd in a n c e w ill b e h a n d le d lik e o th e r c o m p la in ts , b u t in te rn a l n o te s b y s ta f f m a y n o t b e d is c lo s e d u n til a fte r th e c o m p la in t is d is m is s e d o r th e C o m m is s io n h a s is s u e d its d e c is io n fo llo w in g th e h e a rin g o n th e m e rits .

F o r a ll o th e r c o m p la in ts , th e p ro b a b le c a u s e h e a rin g w ill c o n tin u e to b e h e ld in c lo s e d
session, unless the respondent requests that the hearing bep U b lic .
5 )
E lim in a tin g th e P o s s ib ilityo f L iv e W itn e s s T e s tim o n y a t th e P ro b a b le C a u s e H e a rin g
S e c tio n V IlL A .3 .
E x is tin g p r a c tic e :
T h e c u rre n t R e g u la tio n sd o n o t a d d re s s w h e th e r e ith e r p a rty m a y
p re s e n t liv e w itn e s s te s tim o n y d u rin g a p ro b a b le c a u s e h e a rin g .

In p ra c tic e , a tto rn e y s fo r respondents have som etim es requested and received perm ission to speak on behalfo fth e respondent during the probable cause hearing.

P roposed change:
D uring a probable cause hearing, the C om m ission has already
re c e iv e d a n d re v ie w e d b rie fs fro m
both parties.
S ta f f b e lie v e s th a t th e a d d itio n a l
p ro b a tiv e v a lu eo fa n y te s tim o n yb y liv e w itn e s s e s w o u ld b e o u tw e ig h e d b y th e e x tra
c o n s u m p tio no ftim e.
A d o p tin g a p ro v is io n th a t n e ith e r p a rty w ill b e a llo w e d to p ro v id e
3
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