Commissioners: Benjamin Kimberley (Chair), Eddie Tejeda (Vice-Chair), Monique Rivera, Stephen Shefler, Sonya Smith, Jenna Whitman, and Carol Wyatt

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1 CITY OF OAKLAND PUBLIC ETHICS COMMISSION One Frank Ogawa Plaza (City Hall) Regular Commission Meeting Monday, October 6, 2014 City Council Chambers 6:30 p.m. Commissioners: Benjamin Kimberley (Chair), Eddie Tejeda (Vice-Chair), Monique Rivera, Stephen Shefler, Sonya Smith, Jenna Whitman, and Carol Wyatt Commission Staff: City Attorney Staff: Whitney Barazoto, Executive Director Tricia Hynes, Deputy City Attorney MEETING AGENDA 1. Roll Call and Determination of Quorum. 2. Staff and Commission Announcements. 3. Open Forum. CONSENT ITEMS 1 4. Approval of Commission Draft Minutes. a. August 21, 2014, Special Meeting Minutes (Attachment 1) b. September 2, 2014, Regular Meeting Minutes (Attachment 2) ACTION ITEMS 5. Limited Public Financing Program Redistribution of Funds. The Commission will consider and potentially approve a redistribution of funds to candidates who continue to participate in the Limited Public Financing program following the September 19 deadline for submission of reimbursement requests. (Attachment 3 Memorandum) INFORMATION ITEMS 6. Complaint Form. Commission staff presents a revised complaint form to the Commission which aligns the form with the Commission s new complaint procedures that became effective in February The new form, which provides an explanation of the Commission s enforcement and complaint process and makes other changes, will be posted to the Commission s website beginning on October 7. (Attachment 4 Revised Complaint Form, Attachment 5 Prior Complaint Form) 7. Executive Director s Report. The Executive Director reports on significant activities of Commission staff since the Commission s last meeting. (Attachment 6 - Memorandum) 1 Consent items will be voted on all at once, unless a Commissioner requests removal of an item from consent prior to the vote. 1

2 CITY OF OAKLAND PUBLIC ETHICS COMMISSION One Frank Ogawa Plaza (City Hall) Regular Commission Meeting Monday, October 6, 2014 City Council Chambers 6:30 p.m. 8. Enforcement Program. An updated list of pending cases is attached. (Attachment 7 Enforcement Log) The meeting will adjourn upon the completion of the Commission s business. A member of the public may speak on any item appearing on the agenda. All speakers will be allotted a maximum of three minutes unless the Chairperson allocates additional time. In compliance with the Americans with Disabilities Act, if you need special assistance to participate in the meetings of the Public Ethics Commission or its Committees, please contact the Office of the City Clerk (510) Notification two full business days prior to the meeting will enable the City of Oakland to make reasonable arrangements to ensure accessibility. Should you have questions or concerns regarding this agenda, or wish to review any agenda-related materials, please contact the Public Ethics Commission at (510) or visit our webpage at Approved for Distribution 9/26/2014 Date 2

3 CITY OF OAKLAND PUBLIC ETHICS COMMISSION One Frank Ogawa Plaza (City Hall) Special Commission Meeting Thursday, August 21, th Floor Conference Room 6:30 p.m. DRAFT Commissioners: Benjamin Kimberley (Chair), Eddie Tejeda (Vice-Chair), Monique Rivera, Stephen Shefler, Sonya Smith, Jenna Whitman, and Carol Wyatt Commission Staff: City Attorney Staff: Whitney Barazoto, Executive Director Tricia Hynes, Deputy City Attorney SPECIAL MEETING MINUTES 1. Roll Call and Determination of Quorum The meeting was called to order at 6:30 p.m. Members present: Commissioners Kimberley, Tejeda, Shefler, and Smith Staff present: Whitney Barazoto 2. Staff and Commission Announcements 3. Open Forum ACTION ITEMS 4. Limited Public Financing Program. The Commission reviewed the available funds for the Oakland Limited Public Financing Program and discussed how the Commission will distribute funds to candidates for City Council district office. Staff recommended that the money in the Campaign Election Fund was not adequate to provide the maximum amount of money to eligible candidates and that the balance of $143,375 will be divided evenly among the eligible candidates who participate in the program. Staff further recommended that a second re-distribution of funds occur following a September 19 deadline for each candidate to submit one reimbursement claim. Commissioner Smith moved and Commissioner Shefler seconded to approve the staff recommendation, which passed with a vote of 4-0. The meeting adjourned at 7:04 p.m. 1

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5 CITY OF OAKLAND PUBLIC ETHICS COMMISSION One Frank Ogawa Plaza (City Hall) Regular Commission Meeting Tuesday, September 2, 2014 City Council Chambers 6:30 p.m. DRAFT Commissioners: Benjamin Kimberley (Chair), Eddie Tejeda (Vice-Chair), Monique Rivera, Stephen Shefler, Sonya Smith, Jenna Whitman, and Carol Wyatt Commission Staff: City Attorney Staff: Whitney Barazoto, Executive Director Tricia Hynes, Deputy City Attorney REGULAR MEETING MINUTES 1. Roll Call and Determination of Quorum. The meeting was called to order at 6:35 p.m. Members present: Commissioners Kimberley, Tejeda, Rivera, Shefler, Smith, Whitman and Wyatt. Staff present: Whitney Barazoto, Lauren Angius and Jelani Killings City Attorney Staff: Tricia Hynes, Deputy City Attorney 2. Staff and Commission Announcements. Chair Kimberley announced that the order of the agenda might be augmented because the Open Disclosure launch presentation (agenda item number 9) will begin at 7:30 p.m. regardless of where the Commission is at in the agenda. Following the Open Disclosure presentation, the Commission will resume its place in the meeting agenda. 3. Open Forum. There were no speakers. CONSENT ITEMS 1 4. Approval of Commission Draft Minutes. Chair Kimberley announced that the Executive Director amended the June 9, 2014 Special Meeting Minutes to expand its description of Item 4 Proposed City Charter Amendment Relating to the Public Ethics Commission. 1 Consent items will be voted on all at once, unless a Commissioner requests removal of an item from consent prior to the vote. 1

6 CITY OF OAKLAND PUBLIC ETHICS COMMISSION One Frank Ogawa Plaza (City Hall) Regular Commission Meeting Tuesday, September 2, 2014 City Council Chambers 6:30 p.m. DRAFT Chair Kimberley moved and Commissioner Shefler seconded to approve the June 9, 2014, Special Meeting Minutes and the July 7, 2014, Regular Meeting Minutes, which passed with a 7-0 vote. There was one speaker: Ralph Kanz. ACTION ITEMS 5. Oakland Government Ethics Act.. The Commission s ad hoc Ethics subcommittee presented amendments made to the draft Oakland Government Ethics Act and the Commission discussed the provisions and language of the draft. Commissioner Rivera moved and Commissioner Whitman seconded to approve the Oakland Government Ethics Act, which passed with a 7-0 vote. There was one speaker: Councilmember Kalb. 6. Proposed Amendment to the Oakland Campaign Reform Act. The Commission discussed a proposed amendment to the Oakland Campaign Reform Act by Council President Kernighan that would expressly restrict candidates for City office from using ballot measure committee funds for campaign activities related to one s candidacy for elective office. Commissioner Kimberley moved and Commissioner Shefler seconded to approve the proposed amendment to the Oakland Campaign Reform Act, which passed with a 7-0 vote. There were two speakers: Council President Kernighan and Ralph Kanz. 7. Commissioner Recruitment Chair Kimberley appointed Commissioner Whitman, Tejeda, and Wyatt to serve on the Commissioner Recruitment subcommittee, which is tasked with reviewing and interviewing applicants in November. 8. Enforcement Program. Commissioner Wyatt moved and Commissioner Tejeda seconded to approve the closure with no violation of case (City Council), which passed with a 7-0 vote. 2

7 CITY OF OAKLAND PUBLIC ETHICS COMMISSION One Frank Ogawa Plaza (City Hall) Regular Commission Meeting Tuesday, September 2, 2014 City Council Chambers 6:30 p.m. DRAFT The Executive Director notified the Commission of case dismissals for two cases that are out of the Commission s enforcement jurisdiction: case (Larry Reid) and case (Oakland Board of Education). There were no speakers. INFORMATION ITEMS 9. Open Disclosure Launch. Commission staff and the Open Disclosure team of OpenOakland presented a new website portal that simplifies and visualizes campaign finance data for Oakland Mayoral candidates. There were seven speakers: Max Allstadt, Katherine Gavzy, Tom Dooner, John Osborn, Klein Lieu, Zennie Abraham, and Lauren Angius. 10. Executive Director s Report. The Executive Director introduced the new part-time PEC staff Program Analyst, Jelani Killings, to the Commission. The meeting adjourned at 9:08 p.m. 3

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9 CITY OF OAKLAND Public Ethics Commission Benjamin Kimberley, Chair Eddie Tejeda, Vice Chair Monique Rivera Stephen Shefler Sonia Smith Jenna Whitman Carol Wyatt Whitney Barazoto, Executive Director TO: Public Ethics Commission FROM: Whitney Barazoto, Executive Director DATE: September 26, 2014 RE: Limited Public Financing Act Program 2014; Re-Distribution of Funds The Public Ethics Commission will review the status of implementation of the Limited Public Financing Program for the 2014 election and will consider re-distributing funds that are not being used by candidates who opted into the program in early September. Background The Limited Public Financing Act (LPF Act) provides District City Council candidates with some public funds to be used for campaign expenses, with the goal of helping ensure that all individuals have a fair and equal opportunity to participate in the elective and governmental process. The process for applying for LPF funds began in late August after the City Clerk certified the names of all of the November 2014 candidates for City office. PEC staff conducted mandatory LPF trainings for candidates to inform them of the process and guidelines for receiving public funds. At a special meeting on August 21, 2014, the Commission approved 1) the equal distribution of LPF funds to all candidates who opt into the program by September 2, 2014, and 2) PEC staff s recommendation that LPF funds would be re-assessed for redistribution after the September 19 th deadline for submission of a candidate s first claim for reimbursement. The purpose of the re-distribution to occur in early October is to maximize the use of all of the money available in the fund by pooling money left unused by non-participating candidates and reallocating it to candidates who are using the funds. This memorandum provides background information and a recommendation to assist in the Commission s determination. Phase I Initial Distribution of Funds The combined total amount in the Limited Public Financing Election Campaign Fund for fiscal years and is $155,000, available for the November 2014 election. The Commission is authorized to receive 7.5%, or $11,625 to cover the costs of administering the provisions of the Act. Therefore, the remaining balance of $143,375 is available for distribution to the candidates who participate in the program. One Frank Ogawa Plaza, 11 th Floor, Oakland, CA (510) Fax: (510)

10 As of August 18, 2014, the City Clerk s final certification list included 12 candidates running for election to the office of District City Councilmember in districts 2, 4, and of the 12 certified candidates elected to opt in to the LPF program by submitting LPF Form 1 by the September 2 nd deadline. The funds were distributed equally among the candidates who elected to opt in, resulting in a total amount of $13,034 for each candidate for Phase I. The chart below shows the breakdown of the number of candidates that opted in per district race, the voluntary expenditure ceiling and maximum potential LPF amount per candidate for each district, and the total amount of allocated funds that are available to participating candidates in Phase I. District Number Number of Candidates that Opted-In Expenditure Ceiling Maximum Potential LPF Amount for Each Candidate Under the Law 2 4 $127,000 $38, $121,000 $36, $121,000 $36,300 Total Amount Allocated to Each Candidate in Phase I $13,034 Phase II Re-Distribution of Funds The intent of staff in administering the LPFA program is to distribute the full amount allocated in the general election fund of $143,375. In each prior election cycle, substantial funds have gone undistributed, which in turn could have doubled a participating candidate s subsidy in some cases and funding participating candidates closer to the maximum amount at 30% of the voluntary expenditure ceiling. This issue results from candidates opting to participate in the LPFA program but never requesting reimbursement. In 2012, 14 candidates stated they would accept public dollars, but only 6 submitted and received reimbursements. During the required LPF training, participants were informed that there would be a Phase II redistribution of funds following a September 19 deadline. Participants were instructed to submit LPF Form 2 application and their first LPF Form 3 claim for reimbursement by September 19, in order to continue to participate and receive any LPF reimbursement. They were also advised and that there would be a redistribution of funds that could potentially increase their allocated amount, depending on how many candidates submit their initial reimbursement by that deadline. Eight out of the 11 candidates who opted in also timely filed LPF Forms 2 and 3 by the Phase II September 19 deadline and are situated to continue to participate in the LPF program. Three candidates did not meet the Phase II deadline. One candidate had not raised any money from donors and has used only his own money of less than $1,000. Another candidate had contributed his own money and exceeded the 10% limit on personal funds. An additional 2

11 candidate had neither raised nor spent enough to meet the 5% threshold requirements for contributions or expenditures and was not close to meeting either threshold. The remaining funds from the three candidates who will not go on to Phase II totals $39,102. This gives each participating candidate an additional $4,887 to add to their original allotment of $13,034, for a total of $17,921. The table below reflects the LPFA fund allocation after the initial Phase I based upon candidates who filed LPFA Form 1 to accept public financing, the number of candidates that have actually filed LPFA Form 3 for reimbursement, and how funds would be re-allocated to participating candidates upon a re-distribution. District Maximum Potential LPFA Amount for Each Candidate (if fully funded) Number of Candidates that Filed Form 1 Number of Candidates that Filed Form 3 Total Amount Available to Each Candidate after Initial Phase I Allocation Total Amount Participating Candidate would receive upon Phase II Redistribution 2 $38, $36, $36, $13,034 $17,921 Recommendation Staff recommends that the Commission approve a redistribution of LPF funds as outlined above, and that each participating candidate s portion be augmented by an additional $4,887. Funds will continue to be distributed through the Commission s existing process at these revised amounts for each candidate. 3

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13 City of Oakland Public Ethics Commission Complaint Form For PEC Staff Use Only Date Received: PEC Staff Initials: Complaint #: The Public Ethics Commission can investigate complaints of violations of laws related to campaign finance, lobbyist registration, public records, open meetings, and governmental ethics laws. The Commission has limited authority to enforce public records, open meetings, and governmental ethics laws but may be able to issue findings and recommendations, or to take limited action, such as mediation, on these issues. If you would like to submit a complaint that is within the Commission s jurisdiction, please complete this form, which becomes a public record available for inspection and copying by the public, along with any documents submitted with this form. A copy of this complaint will be made available to the persons identified in the allegations below. For more information about the Commission s complaint process, see the Commission s Complaint Procedures, available on the Commission s website at A Formal Complaint requires that you complete all of the information on this form, including your name, address, phone number, and signature verifying under penalty of perjury the information you provide in this complaint. The Commission must review and take action on the complaint and notify the complainant about the Commission s final action. An Informal Complaint is a complaint that does not meet all the requirements of a Formal Complaint. Informal Complaints, such as anonymous complaints and complaints without all of the information required above, do not require action or notification to the complainant upon final action. Commission staff reviews informal complaints and can determine whether the complaint should move forward to investigation. Informal tips can be submitted to Commission staff by phone, , or fax. Contact Information of Person Making Complaint (This information will be available to the public.) Name: Street Address: City: State: Zip Code: Phone: Type of Alleged Violation. Please select from below which law you allege has been violated: The Oakland Sunshine Ordinance, California Public Records Act or Ralph M. Brown (open meetings) Act Oakland Campaign Reform Act Oakland Limited Public Financing Act Oakland Lobbyist Registration Act Oakland False Endorsement in Campaign Literature Act Not sure which specific law, ordinance or regulations apply

14 Description of Violation. Please complete the lines below or attach a handwritten or typed attachment that provides the following details: Name of the person or persons you are alleging committed a violation. Please include any known address, phone number, address, title, employment address, etc: The facts of the alleged violation. Please include the date and location of the alleged violation, if known: The names, addresses, and phone numbers of any witnesses who were involved and/or can provide additional information, if known: Additional information or documentation that might aid in the investigation of the alleged violation. Please include copies of such documentation and list them here. Verification. I certify under penalty of perjury under the laws of the State of California that my attached statements are true and correct. Executed on (Date) at (City, State) (Signature) Complaint Submission. Please complete and submit this form and any attachments by , mail or fax: EthicsCommission@oaklandnet.com Mail: Public Ethics Commission 1 Frank H. Ogawa Plaza, 11 th Floor Oakland, CA Phone: (510) Fax: (510)

15 City of Oakland Public Ethics Commission For Official Use Only Stamp Date/Time Received: COMPLAINT FORM Complaint Number: Please Type or Print in Ink and Complete Both Sides of this Form. This complaint concerns a possible violation of: (please check all that apply) [ ] The Oakland Sunshine Ordinance, California Public Records Act or Brown Act (Access to public meetings or documents.) [ ] Oakland Campaign Reform Act [ ] Oakland City Council's Rules of Procedure/Code of Ethics [ ] Oakland Limited Public Financing Act [ ] Oakland Conflict of Interest regulations [ ] Oakland Lobbyist Registration Act [ ] Oakland False Endorsement In Campaign Literature Act [ ] I am/we are not sure which specific law, ordinance or regulations apply. However I am/we are requesting that the Ethics Commission determine if my/our complaint is within its jurisdiction. The alleged violation occurred on or about the following date(s): The alleged violation occurred at the following place: Please provide specific facts describing your complaint. (Or attach additional pages as necessary.) (Continued on Reverse Side)

16 Please provide specific facts describing your complaint. (If additional space is needed.) -2- The persons you allege to be responsible for the violation(s) are: Any witnesses who were involved and/or who can provide additional information are: (Please indicate names and phone numbers, if available.) PLEASE NOTE: There may be other laws that apply to the violation(s) you are alleging. The time limit to commence a legal proceeding to enforce those laws may not be extended by filing this complaint. You should contact an attorney immediately to protect any rights available to you under the law. By filing this complaint with the Public Ethics Commission it, and all other materials submitted with it, becomes a public record available for inspection and copying by the public. NAME: PHONE NO. (Day) ( ) ADDRESS: PHONE NO. (Eve) ( ) CITY: STATE: ZIP: FAX NO. ( ) PLEASE RETURN THIS FORM TO: Public Ethics Commission Phone: (510) One Frank Ogawa Plaza, 11 th Floor FAX: (510) Oakland, CA

17 CITY OF OAKLAND Public Ethics Commission Benjamin Kimberley, Chair Eddie Tejeda, Vice-Chair Monique Rivera Stephen Shefler Sonya Smith Jenna Whitman Carol Wyatt Whitney Barazoto, Executive Director TO: Public Ethics Commission FROM: Whitney Barazoto, Executive Director DATE: September 25, 2014 RE: Executive Director s Report This report shares additional activities of Public Ethics Commission (PEC) staff in that are not reflected on the meeting agenda. Campaign Finance Compliance Commission staff have been in communication with many candidates regarding campaign form compliance with state and local laws. Issues come to our attention in a variety of ways, including the Open Disclosure application as observers inquire about the numbers and information that appears on that website, as well as through the PEC s work with candidates around the Limited Public Financing program. As very minor violations are discovered, PEC staff works with committees to make sure they comply with state and local law on issues such as ensuring that candidate committees are properly named and identified as committees for the 2014 election, that committees were accurately reporting contributions from individuals rather than jointly as spouses, and that committees were filling out the proper campaign forms to report all of their contributions and expenditures according to the law. Advice Requests PEC staff field advice calls from candidates, City staff, and others regarding campaign finance, lobbyist reporting, and ethics rules. Staff typically receive about 2-3 calls per week; however, during campaign season this year, advice calls have doubled and currently amount to roughly 4-6 calls per week. Political Reform Act 40 th Anniversary The Fair Political Practices Commission and the Pacific McGeorge School of Law Capital Center hosted a conference on September 17 th to celebrate the 40 th Anniversary of the Political Reform Act. The PEC Executive Director attended the event, which focused on the past, present, and future of political reform. Most notable was the focus on technology as a key tool to ensure effective and timely disclosure and presentation of campaign finance data in the future. In particular, the Chair and the Executive Director of the Fair Political Practices Commission One Frank Ogawa Plaza, 11 th Floor, Oakland, CA (510) Fax: (510)

18 communicated their goal of improving the state electronic campaign finance filing system housed by the California Secretary of State. Open Disclosure Commission staff Lauren Angius and the Open Disclosure team presented the Open Disclosure application during the civic application fair at the annual Code for America summit in San Francisco on Tuesday, September 23. The team has received a great deal of feedback from the community, and at the Code for America event, and continues to work to improve the application. Interaction among candidates, the public, and the Open Disclosure team about the application and its data has led to instances where Commission staff became aware of campaign reporting issues and worked to obtain compliance by the committee, as mentioned above. Campaign Form Non-Filers Commission staff is working on the list of non-filers provided by the City Clerk s office to determine if any of the committees should be fined for failing to file campaign statements. Because there are many committees that continue to show up on the list due to the committee s failure to terminate, staff is developing a method for administrative termination in coordination with the Fair Political Practices Commission and the City Clerk s office to remove old committees from the list of non-filers. Lobbyist Registration Information Commission staff Jelani Killings updated lobbyist registration data on the Commission s website and conducted outreach related to registration and lobbyist activity reporting. 2

19 Date Rec d Case # Complainant Respondents 9/22/ M. Sacks City Councilmember Lynette McElhaney, Casey Farmer Date of Alleged Viol Public Ethics Commission List of Pending Complaints Alleged Violation Status/Phase * Priority Alleges that Ms. Farmer is the campaign manager for Measure Z and performing Measure Z campaign work while on paid City time and using City resources. Intake 9/3/ PEC-initiated Desley Brooks, Friends of Desley Brooks 8/1/13 7/20/14 Alleges failure to file OCRA Form 301 before accepting higher contributions at the limit allowable for candidates who accept the voluntary expenditure ceilings per Form 301. Investigation 1 8/28/ G. Hazzard Michael V. Johnson 06/20/2014 Alleges that the Committee to elect Michael V. Johnson for City Council committed several acts in violation of Title 3 of Oakland Campaign Reform Act,,i.e. Sections , et. Al. Preliminary Review 1 7/17/ Robin Raveneau John Bailey, ED of Workforce Investment Board 6/19/14 Alleges the respondent made it difficult for complainant to record the audio of a public meeting by forcing her to move her recording device to a less favorable location. Intake 7/14/ Ralph Kanz Councilmembers Dan Kalb and Libby Schaaf 6/5/14 and 7/1/14 Alleges a violation of OMC Section by respondent s not submitting a Council meeting item regarding a redistricting commission to the Public Ethics Commission Intake 7/14/ Ralph Kanz City Councilmember Pat Kernighan 6/12/14 Alleges failure to obtain recommendation from PEC on Rules Committee Item violated OMC Intake 7/14/ Ralph Kanz City Councilmember Dan Kalb 6/19/14 Alleges failure to file agenda related material on Rules Committee Agenda violated OMC Intake 7/14/ Ralph Kanz City Council 6/23/14 through 7/3/14 Alleges failure to notice closed session meeting agendas in violation of the Sunshine Act; Alleges serial council meetings held to discuss Coliseum/Oakland A s also in violation of the Sunshine Act Intake * Status aligns with the Commission s complaint procedures: Intake, Preliminary Review, Investigation, Resolution, or Administrative Hearing. Priority code (1-3, with 1 being the first priority) is assigned based on the following factors: Commission authority to issue penalties, impact of Commission decision, public interest, timing, and relevancy, and Commission resources. 9/25/14 1

20 Date Rec d Case # Complainant Respondents 7/14/ Ralph Kanz Public Ethics Commission Date of Alleged Viol Alleged Violation Status/Phase * Priority 7/7/14 Alleges failure to file draft Ethics ordinance with City Clerk (OMC ) Intake 6/23/ Jeffrey Cash Rebecca Kaplan, Coalition for Safe Streets and Local Jobs 2010 and ongoing 5/6/ Cyrus Farivar OPD & Amber Fuller Request made on 2/9/14 Alleges candidate used ballot measure funds to pay for expenses associated with her candidacy for City elective office in violation of the Oakland Campaign Reform Act. Alleges violation of the Sunshine Ordinance and California Public Records Act by the Oakland Police Department in responding to a public records request. Investigation 1 Preliminary Review 2 2/11/ PEC-initiated Michael Johnson for Council /25/13 and ongoing Alleges failure to file OCRA Form 301 before accepting higher contributions at the limit allowable for candidates who accept the voluntary expenditure ceilings per Form 301. Resolution 1 9/11/ Rashidah Grinage Mayor Jean Quan City Administrator Deanna Santana Ongoing City Attorney Barbara Parker 7/23/ John Klein Office of the Mayor 6/25/13 to present Alleges a violation of the Ralph M. Brown Act and Oakland Sunshine Ordinance by holding private meetings to re-legislate through labor negotiations what was public policy decided in Open Session under the Ralph M. Brown Act. (Related to decisions being made about whether to place intake positions within the Oakland Police Department or the Citizens Police Review Board.) Alleges a violation of the California Public Records Act by the Office of the Mayor in not responding to a public records request. Investigation 2 Investigation 2 7/15/ Retired Oakland Police Officers Association Police & Fire Retirement System Board 6/10/ Ralph Kanz City Council Members: Brooks, Reid, Gallo, Kalb & Gibson-McElhaney 6/19/13 Alleges a violation of the Oakland Sunshine Ordinance and the Ralph M. Brown Act by holding a closed session meeting on June 19, /10/13 Alleges a violation of the Oakland Sunshine Ordinance and the Ralph M. Brown Act by five Councilmembers meeting to agree to hold a special meeting on June 13, Investigation 2 Investigation 2 11/1/ Judith Cox and Pamela Drake Ignacio De La Fuente 9/28/12 Alleges respondent violated Oakland's Campaign Reform Act by accepting campaign contributions in violation of the $700 contribution limit. Investigation 2 9/25/14 2

21 Date Rec d Case # Complainant Respondents 10/18/ Scott Alonso Ignacio De La Fuente Date of Alleged Viol Alleged Violation Status/Phase * Priority 7/26/12 Alleges respondent used his Councilman elected position and City resources for a campaign press conference. Resolution 2 4/26/ City Auditor/ Anonymous Ignacio De La Fuente Alleges respondent failed to report $37,500 in payments from a campaign group tied to a lobbyist for a group competing for the Coliseum mgmt contract (alleges failure to report payment and a COI issue) Investigation 2 4/4/ City Auditor/ Anonymous Downtown Oakland Association and Lake Merritt/Uptown District Assoc. 12/09 and annually thereafter Alleges respondents failed to provide adequate public notice about discussions and decisions related to the payment of holiday bonuses, adds that discussion of bonuses was never put on open session agenda Investigation 2/3 8/23/ City Auditor/ Anonymous City Council Member Ignacio De La Fuente 6/11 Complaint expresses concerns about the source of concert tickets allegedly in the possession of respondent Preliminary Review 2/3 4/4/ PEC initiated ABC Security and/or Ana Chretien; Marina Security and/or Sam Tadesse 11/1/ Ralph Kanz Ala. Demo. Central Comm.; OakPAC Various; approx. betw 3/1/10 and 7/27/10 Complaint alleges two contractors made impermissible campaign contributions to candidates in the Nov 2010 election (OCRA; ) 10/29/10 OCRA; Alleges 1) failure to include written disclosure required by OCRA and 2) failure to file late contribution and independent expenditure reports Investigation 2 Investigation 2 10/13/ Ralph Kanz Jean Quan Floyd Huen 6/30/10 and ongoing OCRA; ; Alleges failure to report and include information regarding respondent s loans to own campaign Investigation 3 10/13/ Ralph Kanz Don Perata 6/30/10 and ongoing OCRA; (A)(D) Alleges campaign was given extension of credit of over $1500 for more than 90 days Investigation 3 9/14/ Jean Quan Don Perata, Paul Kinney; CA Correctional POA; Ronald T. Dreisback; T. Gary Rogers; Ed DeSilva; Richard Lee Ongoing OCRA violations Alleges respondent campaign exceeded the voluntary expenditure limit during the November 2010 election Investigation 3 9/25/14 3

22 Date Rec d Case # Complainant Respondents 3/23/ Sanjiv Handa Victor Uno, Joseph Haraburda, Scott Peterson, Sharon Cornu, Barry Luboviski, Phil Tagami 3/3/ David Mix Oakland City Council Date of Alleged Viol 1/1/07 to present Alleged Violation Status/Phase * Priority Lobbyist Registration Act Alleges respondents failed to register as lobbyists 3/2/10 Oakland Sunshine Ordinance Alleges City Council Rules Committee failed to make an urgency finding to schedule a decision (per Section ) Investigation 3 Investigation 3 9/25/14 4