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2011 ETHICS TRAINING for Legislators

2011 ETHICS TRAINING for Legislators. Ethics codes don’t make people ethical. They don’t make bad people good. They don’t make people with bad judgment wise. Ethics codes would not have prevented most of the shocking behavior we’ve seen in recent years.

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2011 ETHICS TRAINING for Legislators

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  1. 2011ETHICSTRAININGforLegislators

  2. Ethics codes don’t make people ethical. • They don’t make bad people good. • They don’t make people with bad judgment wise. • Ethics codes would not have prevented most of the shocking behavior we’ve seen in recent years. Michael Josephson, Character Counts!, Summer 2007

  3. AN ETHICS CODE MUST: • REINFORCE AN ESTABLISHED ETHICAL CULTURE • RECEIVE SUPPORT FROM MANAGEMENT

  4. ETHICAL STANDARDS ARE BOTH • RULE BASED and • VALUE BASED

  5. SELECT COMMITTEE ON LEGISLATIVE ETHICS 2009 Committee Members: PUBLIC MEMBERS Dennis “Skip” Cook…………………………………….……..Fairbanks Antoinette “Toni” Mallott…………………….…….…………….Juneau H. Conner Thomas………….……………….………….….…… Nome Gary J. Turner, Chair…….……………………….…….……..Soldotna Herman G. Walker Jr……..…………………………....……Anchorage • Public members serve a three-year term. • Public members terms expiring in 2011 – None LEGISLATIVE MEMBERS for 2009-2010 term – new members will be confirmed on the first day of session Senator Gary Stevens Senator John Coghill Rep. Carl Gatto Rep. Berta Gardner • Alternate legislative members serve when a regular member is disqualified or must be recused due to a conflict. • Legislative members serve a two-year term

  6. The role of the Select Committee on Legislative Ethics is to: administer and interpret the laws passed by the Legislature.

  7. THREE TYPES OFRESPONSES Just Say No - Don’t Ask Caution – Stop, Think, and Ask OK – Go Ahead

  8. Office Ethics FileSet up a file in your office that contains: • Ethics advice • Disclosures filed • The ADVISOR newsletter • Ethics email alerts • Other ethics correspondence • Yearly “Log of Gifts” received related to legislative status (date received, description of item, from whom, value – actual or estimated)

  9. TWO KINDS OF GIFTS • Those connected to your legislative status • Those NOT connected to your legislative status NOTE: Keep in mind, the gift statute includes not only accepting or receiving a gift but soliciting one as well.

  10. GIFTSWhat are Gifts? MONEY/ LOAN TRAVEL SERVICES ENTERTAINMENT HOSPITALITY THINGS PROMISE OR OTHER FORM • NOTE: MUTUAL EXCHANGE is not considered a GIFT. No disclosure required. Exchange was equal or fairly close in value. EX: Babysitting for wallpapering a kitchen.

  11. GIFTS EXCEPTIONS & PROHIBITIONS • GIFTS from lobbyists • GIFTS with no $$ limit • GIFTS with a $250 cap • Some permissible & must be reported • Some prohibited

  12. GIFTSJust say NO! • Gifts from a registered lobbyist OR immediate family OR a person acting on behalf of a lobbyist are prohibited EXCEPTIONS: • Food and drink (for immediate consumption) • Lobbyist must report to APOC if $$ value of food and beverage exceeds $15

  13. Lobbyist EXCEPTIONS cont’d • Gifts from Immediate Family Member • (Spouse or domestic partner; or parent, child or sibling under certain circumstances) • Tickets to a pre-approved charity event during legislative session • Cumulative value of ticket(s) cannot exceed $250 • Cumulative value of gift(s) received cannot exceed $250 • Contributions on behalf of a charity or charity event • No dollar limit • Compassionate gift • Health-related emergency, catastrophe or tragedy • Approved by Legislative Council and Ethics Chair

  14. GIFTOK to accept – No Disclosure EXAMPLES: • Hospitality at a person’s primary residence (except from a lobbyist) • Hospitality at a social event or meal • Public discounts • Discounts that benefit the state • Culturally shared food • Gift from immediate family member • Welcome to Juneau gifts given to all (except from a lobbyist) • Gift of transportation from a Legislator or legislative employee to a Legislator or legislative employee NO RESTRICTIONS: • No dollar limit • Connected to legislative status or not connected

  15. GIFTSOK to Accept – Must Disclose EXAMPLES: • Travel/Hospitality for Legislative Matters • Family Member Gift due to Legislative Connection • Legal Services Related to Legislative Matters • Gift not Connected to Legislative Status • Gift from Another Government QUALIFICATIONS: • No dollar limit • Requires disclosure if value $250 or more • Cannot receive from a lobbyist

  16. GIFTS IMMEDIATE FAMILY MEMBERS • An immediate family member of a legislator or legislative employee may NOT receive a prohibited gift. • DEFINITION – immediate family member: • Spouse or domestic partner • Parent, child (including stepchild and adoptive child) or sibling IF financially dependent on the legislator or employee OR share a substantial financial interest.

  17. DISCLOSURES(Due within 30 days of association and annually within 30 days of the beginning of the legislative session) Membership on a Board of Directors – AS 24.60.030(f) • Officer or board member of any organization Note: Must report on LFD to APOC as well. Legislator or legislative employee may not serve on a governor appointed board which requires legislative confirmation. Article II, Section 5 of the State Constitution and AS 24.60.030(f)

  18. State Benefit and Loan Programs – AS 24.60.050 State Contracts and Grants – AS 24.60.040 NOTE: Both require reporting on LFD to APOC as well. Close Economic Association – AS 24.60.070 NOTE: Must be reported on LFD to APOC as well. Representation Before a State Agency - AS 24.60.100

  19. CONSIDER • Do more than the law requires • Do less than the law allows

  20. LEGISLATIVE PURPOSE Test What is the LEGISLATIVE PURPOSE of my action? • There is no definition of ‘legislative purpose” in the ethics statute. • ASK YOURSELF: Is the action you are contemplating necessary to perform your official duties? • Each situation must be determined on a case-by case basis. • Several statutes provide guidance.

  21. Example: Legislative Newsletterand Legislative Purpose • Three factors must be considered when looking at Legislative Purpose • Timing • Content • To Whom

  22. NEWSLETTERS – GEN INFO • Do not include “re-elect me” statements • “I have filed for another term.” • “I plan to pursue a solution to this problem in the next legislative session.” (If you are up for re-election that year.) • Violation of AS 24.60.030(a)(2), AS 24.60.030(a)(5) and AS 24.60.030(a)(2)(J). • Do not include only select businesses on a reference card or in a section of your newsletter. • Including only select businesses provides a private benefit to those businesses. Violation of AS 24.60.0309(a)(2).

  23. Just say NO! Legislative employees ARE “Government Resources” Per AS 24.60.030 *************************************************** Legislative employees are -NOT- to be used for non-legislative purposes or private purposes. Employees -CANNOT BE REQUIRED- to perform services for the private benefit of the Legislator.

  24. DON’T ASK!LEGISLATIVE EMPLOYEESTO DO ANYOF THE FOLLOWING ACTIVITIES • Baby sit • Make vacation travel arrangements • Respond to non-legislative correspondence • Buy gifts for family members • Promote private business • Pick up kids from school • Pick up dry cleaning • Address personal (or campaign) related seasonal greeting cards (NOTE: The person asking could be a Legislator - or - another legislative employee)

  25. Just say NO!USE OF STATE RESOURCESFOR CAMPAIGN PURPOSESAS 24.60.030(a)(5) and (b)Advisory Opinion 07-06 and 07-07 Ask yourself: Is this a candidate, campaign or political party activity? If YES, do NOT perform. =============================

  26. Legislative Travel and Collateral Campaign Activity • Use of state resources are prohibited for fund raising, campaigning, or involvement in or support of or opposition to partisan political activity. AS 24.60.030(a)(2) and AS 24.60.030(a)(5) If you are on a state paid trip you must ask yourself this question: “Is this an activity that can be performed only because you are on the state paid trip?”

  27. EXAMPLES • Prohibited: Campaign door knocking; dropping off campaign fliers at businesses and residences; attending a campaign fund raiser or a campaign appearance at a function to name a few. • Permitted: Returning a call, fax or email from a campaign worker; responding to a call from the media; working on the details of a future campaign fund raiser to be held in another town to name a few.

  28. Incidental Campaign ActivitiesWritten Office Policy RequiredAdvisory Opinion 07-07 • Permissible if the activities are part of the normal legislative duties of the employee - AS 24.60.030(h) • Answering telephone calls of a campaign nature • (refer the caller to campaign headquarters or the legislator’s home) • Handling incoming campaign correspondence • (give the correspondence to the legislator for processing/action)

  29. EXCEPTIONSTO THE USE OFGOVERNMENT RESOURCESAS 24.60.030(a)(2)(A) and AS 24.60.030(a)(5)(A)*********************************************************** Limited use of government resources for personal purposes is allowed: IF the use doesn’t interfere with performance of public duties AND the cost is nominal or promptly reimbursed.

  30. Legislator’s Calendar • Staff may record non-legislative appointments for the Legislator • Personal • Campaign related • Staff may NOT make the non-legislative appointment for the Legislator

  31. LEGISLATOR ONLY PRIVATE OFFICE EXCEPTION Legislator, NOT staff, may use his/her private office, in Juneau ONLY, session ONLY and during the ten days before and after session, for non-legislative purposes. Use must NOT interfere with performance of public duties AND there is no cost for the use of space and equipment or cost is promptly reimbursed.

  32. Miscellaneous ItemsLegislator or legislative employee may not disclose confidential information deemed confidential by statute. AS 24.60.060Note: Legislators may have an internal policy concerning confidentiality of information within the office.Legislator or legislative employee may not request or accept compensation greater than the value of the services performed. AS 24.60.085(a)(1)

  33. Legislative employee cannot supervise other immediate family members. Other nepotism restrictions apply as well to legislators and legislative employees. AS 24.60.090

  34. CONSTITUENT SERVICESAdvisory Opinion 08-04 • It is an established legislative practice for legislative aides to advocate for a constituent’s private interest. • PFD appeal • Child support/custody issue • DMV issues • Student Loan

  35. Advisory Opinion 08-03defines “performing constituent service” • Assisting constituents in navigating state bureaucracy and fully accessing their options • Developing a communication line between the state agency and the constituent Legislative intent: • Move the constituents concerns forward • Make sure everyone involved knows what they need to know • Urge the government agency to take timely action

  36. Difference between: - performing constituent services versus - advocating for a constituents’ private interest EXAMPLES OF PROHIBITED ACTIVITIES: - serve as a personal representative - negotiate a settlement with a state agency - pursue an appeal for a constituent - convince a state department to repeal a denial or drop a case - perform activities related to picking up records, preparing or transcribing documents

  37. LEGISLATIVE CONTACT withADMINISTRATIVE DECISION MAKERAdvisory Opinion 05-01 • A legislator/legislative employee seeking information on administrative matters which have progressed to the hearing stage should not attempt to contact the decision maker. • The intent of AS 24.60.030(i) is to avoid influencing the outcome of a hearing.

  38. Contact with a decision maker is allowed IF: Made in the presence of all parties to the Adjudication; AND - Made a part of the record OR Fact and substance of communication is Promptly disclosed to all parties; AND - Made a part of the record

  39. CONFLICT OF INTERESTAdvisory Opinion 07-01 and 04-02 • AS 24.60.030(g) • Unless required by the Uniform Rules, a legislator may not vote on a question if she/he has a substantial interest in an enterprise and the interest is different or more substantial than that of a large class of persons to which s/he belongs. • AS 24.60.030(a) • Legislator may not accept any benefit other than official compensation for performing legislative duties. • AS 24.60.030(e)(1) • Legislator may not take legislative action, such as support for or opposition to a bill in exchange for a ‘thing of value.’

  40. INFORMAL ADVICEAS 24.60.158 WHO MAY REQUEST: • Legislators • Legislative staff • Members of the public • FORMAT OF RESPONSE: • Verbal • Written Informal advice is cleansed of all identifying information and reviewed by the Committee at their next meeting. Not binding on Ethics Committee AS 24.60.158 Although advice is given in good faith, it does not necessarily reflect the opinions of the committee.

  41. FORMAL ADVISORY OPINIONAS 24.60.160 to 165 Binding interpretation of the Ethics Code Staff may recommend obtaining a Formal Advisory Opinion from the committee. Searchable Advisory Opinion database can be found at http://www.legis.state.ak.us/ethics/

  42. HEADS UP CALL The Ethics office intermittently receives calls or information describing alleged violations of the legislative Ethics Code. Many callers indicate they are not inclined to file a complaint but “just want something done.” The Ethics Committee, in an effort to be proactive, has developed a “Heads Up Call” procedure.

  43. Confidential If the complainant reveals a complaint has been filed or any of the contents of the complaint, the complaint shall be immediately dismissed ETHICS COMPLAINTAS 24.60.170 • WHO MAY REQUEST: • Anyone who believes the ethics law has been violated • First hand knowledge not necessary/required • Ethic Committee may initiate a complaint • HOW TO REQUEST: • In writing (complaint form provided upon request) • Signed and notarized

  44. FILED AGAINST WHOM • Legislators (cannot file against all legislators or all members of one body) • Legislative Staff • Nonpartisan Staff (LAA, Budget, Finance, etc.) • Office of the Ombudsman • Office of Victims’ Rights WHEN TO FILE • Within 5 years from date of alleged violation • Legislative employee – must be filed prior to leaving employment – can be reinstated if re-employed • Not during campaign period unless waived by subject

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