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Fox and henhouse
Public Forum letter
March 09, 2010 (Salt Lake Tribune)The Legislature’s effort to craft its own ethics bill in the face of the competing initiative put forth by Utahns for Ethical Government seems to be a classic case of the fox guarding the henhouse (“Lawmakers working to win ethics reform war,” Tribune, Mar. 2). The fox says he is closest to the situation, understands the problems and has the best plan for guarding the henhouse. Does giving this fox the job make us feel comfortable at night?
We need a guard independent of the fox, like the initiative by Utahns for Ethical Government. Go to http://www.utahnsforethicalgovernment.org and sign the petition.
Dave Stolfa
Moab
Former Governor Olene Walker’s Remarks
Her spoken remarks were an extension of these written remarks
November 24, 2009It is with some degree of personal conflict that I am here today, because I realize that in doing so, I will be on the opposite side of the ethics question from some of my friends in the legislature. I do want the citizens of Utah to know that the vast majority of legislators have a high degree of integrity and are giving invaluable service to the state of Utah. However, I find that many citizens of the state feel that the members of the legislature receive many gifts and privileges from lobbyists. Having served in the legislative and executive branch of Utah government for twenty-five years, I realize that the majority of the items are relatively small such as meals, tickets or travel. I have come to realize that such small items are not worth the impression that the public has of the negative aspects of lobbyists’ influencing legislators. As a result, I have determined it is time that the legislature finally pass laws that are meaningful regarding ethics and integrity. It is because I love Utah and value our democracy process that I am here today.
For thirty years I have watched ethics legislation, campaign reform and legislation limiting lobbyist activities die in the rules committee, or the few that have passed often contain loopholes that lobbyists can work around. Because Utah is often recognized as the best managed state in the nation, we have rationalized that it doesn’t matter that the Center for Public Integrity gives Utah an F for its financial disclosures. The truth is that any organization needs rules and standards to function in an ethical manner. It is ironical that so many of our laws contain specific guidelines, but we have not been willing to impose guidelines and rules regarding ethical conduct by the legislature. Basically, the current law governing ethical action by legislators is so vague that it is extremely difficult for any action to be taken by fellow legislators. I know that when I served in the House, I would not have chosen to question any other legislator’s action even though it may have been questionable.
When I first ran for the legislature in 1980, I ran as a Republican in an area that was known as a democratic district. I spent only $4,000 of my own money. In the eight years it increased to over $20,000. In many contested areas today the cost can be near $100,000 and the Senate Districts significantly higher. We have always said that reporting was sufficient and that any citizen could get the reports in the election office or on line, but the truth is that few do. Usually it is only the more visible legislators that have those reports scrutinized by reporters. Utah is one of only five states that have no limits on contributions. Also, in Utah contributions can be given to candidates by corporations. This is prohibited in most states. The result of not having any caps on contributions or not having rules governing contributions is that 81% of the contributions given to candidates for the legislature are given by special interest groups. This is unacceptable in our great state of Utah.
When I was responsible for the election office from 1992-2002 I watched the number of lobbyists double and triple until today there are 481 lobbyists registered with the Lt. Governor’s office. With that number of lobbyists, it seems to me that it is critical that we have specific laws governing their relations with legislators. I also think it is unacceptable to have legislators immediately become lobbyists when they leave the legislature. It also should be unacceptable for lobbyists to simultaneously serve in the legislature.
For these reasons Utahns for Ethical Government studied this problem and determined that it was time that we as citizens of Utah be given the opportunity to do several things including:
1. To establish standards for contributions to candidates.
2. To establish an ethics commission of five individuals drawn from a list of twenty individuals who are agreed on by leadership of the House and Senate. The commission would operate on a non-partisan basis and would review complaints for validity prior to holding hearings and referral for legislative action.
3. To establish a standard of conduct for legislators
It is essential that all citizens realize that this calls for legislation and not a constitutional change. It also means that the legislation can be amended in the future, although any amendments should not gut the initiative.
It is my earnest hope that as citizens and legislators we can pass this initiative so that in future we will have ethics legislation we can all be proud of.
Karen Shepherd
November 24, 2009It’s an honor to be here today and follow Governor Walker’s clear and detailed outline of the specifics of this proposition. I want to follow-up in a more general way. I want to talk about common sense. One of the oldest clichés in the language is the one that says the fox should not guard the henhouse. The fox cannot guard the henhouse because he has an obvious and compelling conflict of interest. After Enron and several other ethical business failures, corporations recognized this and revised their standards for “best practice,” determining that 75 percent of each board of directors should be made up of people independent of the company and that the chair of the boards should be independent as well. Legislators, just like interested directors of companies and just like the fox guarding the henhouse, have a conflict of interest when they manage, behind closed doors, all the ethical issues which inevitably arise during the course of the legislative process.
This principle is widely accepted across the nation. Why would Utah want to be one of 10 states that do not have an independent ethics commission? Why would Utah want to be one of only 5 states that do not set limits on contributions and gifts given to the people who make its laws? Why would Utah turn a blind eye to the obvious and inevitable connection between money and law-making? Why would Utah want to rank at nearly the bottom when it comes to the financial and conflict of interest disclosures of its lawmakers? Utah should be first, not last, in this respect.
During my time spent in the Utah State Legislature, where Republicans were a majority, and in the U.S. House of Representatives, where the Democrats were a majority, I worked on ethics reform and learned this: Members of legislative bodies do not want outside interference in their processes. They do not want to lose control of their power to decide ethics issues internally. This is going to be a hard fight because no one ever gives up power without a fight. But it is an important fight and it can be won. If you can imagine, even the U.S. House of Representatives now has a fully funded and fully staffed independent ethics commission. They didn’t want to do it but ultimately they bowed to the pressure of millions of Americans who demanded it. I can’t imagine anyone arguing that that is not an important milestone in the political process of national government, and I can’t imagine the Utah Legislature wanting to turn away from a higher ethical standard.
For all these reasons I am joining with many of my colleagues who also once served as legislators and urging the passage of this initiative.
Karen Shepherd
Former Senator, District 1
Former Member, U.S. House of Representatives, District 2
Karl N. Snow
November 24, 2009The proposed Ethics Initiative is designed to establish a playing field and environment that will allow the legislature to focus on the public interest without the undue influence of the special interests. The initiative is not a harness, but a liberating guide post. It might well be labeled a return to the Citizen Legislature.
It was hoped that key members of the legislature would respond with an invitation for open dialogue on an issue that has plagued the Legislature for the past decade. Instead, they have expended their time meeting with Republican party women’s groups, party central committees, and other government organizations attacking the initiative and poisoning the water with misinformation. In so doing, they have missed their opportunity as elected officials to gather input as to what voters want from their elected officials.
One might well ask; what is it that makes some legislators so reluctant to yield their individual interests for the common good of the people? This reluctance is evident when examining the proposed legislative interim committee’s bill calling for an “independent commission,” where it is extremely difficult for citizens to file a complaint; a commission where a super-majority vote is required to pass on a recommendation to the legislature that doesn‘t have to act.
As former Republican state senate leader, I urge all citizens of varying political persuasions to step up and sign the Ethics Initiative? We need to keep the legislature’s feet to the fire of ethics reform.
Kim Burningham
August 12, 2009Utah has been served by many capable and unselfish legislators. Unfortunately, that is not true of all who serve, and our system is riddled with laws or the absence of laws which not only allow but encourage unethical behavior in our Legislature:
Ethical abuse in the Utah Legislature
For example,
* Utah is one of only ten states that have no independent ethics commission. The only oversight to legislative ethics comes from the legislature itself. (Michael E. Christensen, Office of Legislative Research, 2009, Scott Bell, March 2009, Weber State University Student Ethics Committee, 2009)
* The Center for Public Integrity graded Utah an “F” for its legislative financial disclosure laws, the 47th worst in the nation. (Center for Public Integrity web site, 2009.)
* According to the National Conference of State Legislatures, Utah is only one of six states that have no limits on contributions to political candidates. (SL Tribune, June 27, 2009)
* A Deseret News analysis showed that 81 percent of money contributed in all legislative contests came from “special interest” groups. (Deseret News, June 22, 2009)
* Federal requirements ban donations from corporations, but in Utah there is no limitation and 1/3 of all 2009 donations (approximately $2.5 million) came from such corporations. (Deseret News, June 22, 2009)
* According to one representative, because Utah laws are so lax, legislators can spend their campaign funds for digital cameras, car repairs, travel for their family members, even additional salaries for themselves. (Representative Kraig Powell web site, “Legislative Ethics”)
* Although Utah did finally pass a partial bill that prohibited former legislators from serving as certain types of lobbyists for a year, we still have registered lobbyists serving as legislators. (Deseret News, February 16, 2006)
The list could go on.
Such appallingly weak ethics measures have led to strong indictments. The Salt Lake Tribune suggested that Utah lawmakers were “for sale” (June 28, 2009) “and that the gravy train was still chugging along.” (July 16, 2009)
Failure of the Legislature to act
The 2009 Legislative session began with promises of ethics reform. With the exception of a few very modest steps, the promise was unfulfilled. (Deseret News, April 17, 2009)
At the end of the session, The Ogden Standard Examiner described legislators as “experts at excusing bad ethics,” grading their efforts with a “D.” (March 16, 22, 2009)
The City Weekly (April 1, 2009) presented an award to the Legislature for the “best toothless reform.”
The Salt Lake Tribune (March 16, 2009) lamented, “Lawmakers took baby steps…No way do the minor revisions to legislative ethics laws resemble the comprehensive reform…promised.”
Honorable legislators have tried to change the system. In the last session over thirty bills for improving ethics were proposed. (Utah policy.com, July 7, 2009, WSC Student Ethics Committee, 2009) Only a few survived. Many never emerged from the rules committee!
Governor Huntsman starts to address the problem, but stops
Recognizing the problem Governor Jon Huntsman appointed a commission to make recommendations. (Deseret News, January 23, 2009) A few months later, however, he withdrew the subject of “legislative ethics” from the commission’s charge. (Deseret News, April 23, 2009) Why? Some observe that heavy pressure from legislative leaders may have contributed to that decision.
The answer is public action
Clearly, the answer to this problem is to arouse the public, resulting in the necessary pressure for change. Thus, the initiative we are proposing today.
Earlier today on these same Capitol steps, another initiative effort regarding redistricting began signing petitions. One of their initial signers, Peter Corroon has championed the need for “an open, honest, and ethical” system of representative government. It is in that same spirit that we launch another Initiative which focuses specifically on legislative ethics.
State law requires five people to file an initiative petition. Momentarily, we will be filing the initiative with the backing of a “Committee of 100.” In fact, the number far exceeds that. A list of the supporters who are endorsing this effort is being distributed to the press today: the list has reached 302 as of 9:30 p.m. last night. And the number of supporters is growing daily!
Many people have been involved in bringing this Initiative to you. Some have given, without any pay, hundreds of hours to the cause. I wish to thank these willing volunteers.
This is not the effort of one or two malcontents; it is a ground swell rising up from frustrations of Utah citizens. We need more clear ethical guidelines for our Legislature. Elected officials must never seek to profit personally from their positions, but rather strive to bring about the public good.
Although at least 19 former legislators are included among the endorsers, we have not asked current legislators to sign the initial list, but we are sure many of them will be privately supportive and some will likely step forward to sign on.
Good ethical guidelines will help keep honest people honest! Failure to provide such guidelines invites and has invited shoddy, unethical practices.
Undoubtedly, you want more information. The Utahns for Ethical Government web site is being opened as we speak. You may go online and read about the effort. Within hours you will be able to examine the entire initiative yourself. That web site is: http://www.utahethics.org.
The need is clear.
The opportunity for change is available.
The time is now.
David R. Irvine
WHAT THE INITIATIVE DOES
August 12, 2009*[To honor time limits, the material in italics was omitted from verbal remarks]
As with any significant piece of legislation, this initiative has been the product of careful consideration and compromise. It does not go as far as some would like, and it does not address every ethical issue. There may be better ways to deal with this or that; but whatever its flaws, when passed by the voters of Utah, it will bring a huge cultural shift to our state’s legislative process. The motto over the House Speaker’s dais reads “Vox Populi” – the voice of the people. The voice of the people, however, has too often been drowned out.
The initiative does four things: (1) it establishes a 5-member independent ethics commission which will function in an advisory capacity to the legislature; (2) it establishes a specific and comprehensive Code of Official Conduct for legislators; (3) it establishes a substantive, fair, and transparent process for the commission to follow in evaluating complaints of unethical conduct; and (4) it requires the House or the Senate to either adopt or reject the commission’s findings and recommendations in a recorded yea or nay vote.
THE COMMISSION
Commissioners may not have been elected officers, or candidates, or lobbyists for 5 years preceding appointment.
The Senate President and Senate Minority Leader, House Speaker, and House Minority Leader, must unanimously agree on 20 qualified names, and the first five drawn from a hat shall constitute the commission. If the legislative leadership cannot reach unanimous agreement, then the first five Initiative Sponsors shall make the selection through a similar process. This process of appointment is unusual and slightly cumbersome, but we believe it is a reasonable way of using random selection to guard against political cronyism.
Commissioners will serve staggered 5-year terms, and they will meet on an as needed basis.
The commission will appoint an executive director, who must be a licensed Utah attorney, necessary staff, and they will elect their own Chair. We see this as a small office which could be augmented by staff support from the Office of Legislative General Counsel or other legislative staff where requested.
The commission will have authority to issue administrative rules and advisory opinions.
We have estimated the cost of this operation to be less than $500,000 per year, and the Fiscal Analyst’s office has already prepared fiscal notes for several ethics commission bills which come in at $250,000 or less.
CODE OF CONDUCT
The various provisions of the Code of Conduct are highlighted in the Executive Summary, but a few deserve special note.
1. Legislative candidates shall not accept contributions from corporations. Utah law has already prohibited union contributions, but it is wide open to corporate giving, and corporations walked through that door in 2008 to the tune of more than $2.5 million for state legislative races.
2. Utah is one of only six states with no limitations on candidate contributions. The initiative limits contributions to $2,500 per individual and $5,000 per PAC every two years.
3. For most candidates, the most distasteful part of running for office is going out and asking people for money. However, a culture has developed in Utah where some legislators go to special interests over and over– a process that develops a subtle but powerful sense of quid pro quo. So, the bill restricts legislators and candidates from soliciting contributions from lobbyists to anything but their own personal campaign committee. It also prohibits campaign committee transfers between candidates. We believe this will end the market trade in legislative leadership elections. This is not an indictment of legislative leaders; it’s a simple acknowledgment that good people are trapped in a bad system.
4. The legislature is a co-equal branch of state government. Lawmakers are not in charge of implementing or enforcing the law. There have been too many instances where legislators have tried to use their positions as legislators to browbeat agency heads and judges into dispensing special treatment to special friends. The Code prohibits that.
5. The Code requires more comprehensive disclosure of potential conflicts of interest than ever before in Utah. Current rules allow the broadest possible obscurity, such as “I’m in the construction business.”
6. Every year, the legislature goes through an awkward drill of determining how much money lobbyists shall be allowed to spend on meals and entertainment. The bill has a simple standard: it allows anyone to provide legislators with light refreshments of negligible value. That’s it. The bill doesn’t prohibit lobbyists and legislators from going to a pricey restaurant, but it DOES require legislators to pay their own wy – and 87% of Utahns agree that this is how it should be.
COMMISSION ENFORCEMENT
Any three people may file an initial complaint. The executive director may use subpoena power to conduct a preliminary, confidential investigation of the complaint. If the commission finds the complaint to be frivolous or without merit, it may dismiss. If it finds reasonable cause to believe there may have been a violation, the complainants prepare a formal complaint which is then heard in a public hearing, in which the complainants and the charged legislator may fully participate. A majority of three is required to either dismiss or recommend formal sanction by either the Senate or the House, and the commission’s findings are a public record. The legislative house may then either adopt or reject the recommendation upon a recorded vote in a public session.
The bill also provides that a legislator may seek an advance opinion from the commission as to any particular issue. If the commission approves, no complaint as to that issue may go forward as to the legislator.
SUMMARY
We have carefully drafted the bill to assure constitutionality. That will not deter opponents from claiming that it isn’t constitutional. No one, of course, wants to be seen to be opposed to high ethical standards. So the opposition will be over technical–this or technical-that. But the key question should always be this: who benefits from opposing this bill? The voice of the people? Or the voices of special interests?
Rob Ence
August 12, 2009AARP is a nonprofit, nonpartisan organization that represents over 220,000 members in the state of Utah. AARP does not have a political action committee that funds or contributes to individuals running for office. The Utahns for Ethical Government initiative clearly aligns with our public policy and the interests of our members.
* Political advocacy is a cornerstone of democracy, and organizations such as AARP serve an essential function in bringing information and expertise to the legislative process. We believe that influence should come by the voice of the people and through the ballot box.
* Trust in government is extremely low. Government officials and processes are often viewed as more responsive to the concerns of moneyed special interests than those of the general public.
* All Utahns have a vital stake in ensuring the integrity of our democratic processes and government institutions. The ability of government to respond to the concerns of citizens, promote the public interest, and retain public confidence in its fairness, competence, and relevance is dependent in large measure on adhering to policies that promote and sustain integrity.
* Without needed reforms in campaign finance, lobbying, ethics and accountability, the public’s voice in government is likely to be diminished and the health and vitality of our democracy threatened. Older citizens vote and they are vitally interested in making certain that their votes and views are given appropriate consideration in the deliberations of government.
* Government officials and institutions must avoid conflicts of interest and the undue influence of special interests in the performance of their responsibilities. Ethical standards and safeguards must be in place and enforced to ensure the integrity of government decision making.
AARP supports Utahns for Ethical Government and will work hard to see that this initiative is brought to a vote of the people to assure better government for all of Utah’s citizens including our members, our children, and our grandchildren.Your browser may not support display of this image.