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How to meet SDG and climate goals: Eight lessons for scaling up development programs


To achieve the desired outcomes of the Sustainable Development Goals as well as the global targets from the Paris COP21 Climate Summit by 2030, governments will have to find ways to meet the top-down objectives with bottom-up approaches. A systematic focus on scaling up successful development interventions could serve to bridge this gap, or what’s been called the “missing middle.” However, the question remains how to actually address the challenge of scaling up.

When Arna Hartmann, adjunct professor of international development, and I first looked at the scaling up agenda in development work in the mid-2000s, we concluded that development agencies were insufficiently focused on supporting the scaling up of successful development interventions. The pervasive focus on one-off projects all too often resulted in what I’ve come to refer to as “pilots to nowhere.” As a first step to fix this, we recommended that each aid organization carry out a review to be sure to focus effectively on scaling up. 

The institutional dimension is critical, given their role in developing and implementing scaling up pathways. Of course, individuals serve as champions, designers, and implementers, but experience illustrates that if individuals lack a strong link to a supportive institution, scaling up is most likely to be short-lived and unsustainable. “Institutions” include many different types of organizations, such as government ministries and departments, private firms and social enterprises, civil society organizations, and both public and private external donors and financiers.

The Brookings book “Getting to Scale: How to Bring Development Solutions to Millions of Poor People” explores the opportunities and challenges that such organizations face, on their own or, better yet, partnering with each other, in scaling up the development impact of their successful interventions.

Eight lessons in scaling up

Over the past decade I have worked with 10 foreign aid institutions—multilateral and bilateral agencies, as well as big global non-governmental organizations—helping them to focus systematically on scaling up operational work and developing approaches to do so. There are common lessons that apply across the board to these agencies, with one salutary example being the International Fund for Agricultural Development (IFAD) which has tackled the scaling up agenda systematically and persistently.

Following are eight takeaway lessons I gleaned from my work with IFAD:

  1. Look into the “black box” of institutions. It is not enough to decide that an institution should focus on and support scaling up of successful development interventions. You actually need to look at how institutions function in terms of their mission statement and corporate strategy, their policies and processes, their operational instruments, their budgets, management and staff incentives, and their monitoring and evaluation practices. Check out the Brookings working paper that summarizes the results of a scaling up review of the IFAD.
  2. Scaling needs to be pursued institution-wide. Tasking one unit in an organization with innovation and scaling up, or creating special outside entities (like the Global Innovation Fund set up jointly by a number of donor agencies) is a good first step. But ultimately, a comprehensive approach must be mainstreamed so that all operational activities are geared toward scaling up.
  3. Scaling up must be championed from the top. The governing boards and leadership of the institutions need to commit to scaling up and persistently stay on message, since, like any fundamental institutional change, effectively scaling up takes time, perhaps a decade or more as with IFAD.
  4. The scaling up process must be grown within the institution. External analysis and advice from consultants can play an important role in institutional reviews. But for lasting institutional change, the leadership must come from within and involve broad participation from managers and staff in developing operational policies and processes that are tailored to an institution’s specific culture, tasks, and organizational structure.
  5. A well-articulated operational approach for scaling up needs to be put in place. For more on this, take a look at a recent paper by Larry Cooley and I that reviews two helpful operational approaches, which are also covered in Cooley’s blog. For the education sector, the Center for Universal Education at Brookings just published its report “Millions Learning,” which provides a useful scaling up approach specifically tailored to the education sector.
  6. Operational staffs need to receive practical guidance and training. It is not enough to tell staff that they have to focus on scaling up and then give them a general framework. They also need practical guidance and training, ideally tailored to the specific business lines they are engaged in. IFAD, for example, developed overall operational guidelines for scaling up, as well as guidance notes for specific area of engagement, including livestock development, agricultural value chains, land tenure security, etc.  This guidance and training ideally should also be extended to consultants working with the agency on project preparation, implementation, and evaluation, as well as to the agency’s local counterpart organizations.
  7. New approaches to monitoring and evaluation (M&E) have to be crafted. Typically the M&E for development projects is backward looking and focused on accountability, narrow issues of implementation, and short-term results. Scaling up requires continuous learning, structured experimentation, and innovation based on evidence, including whether the enabling conditions for scaling up are being established. And it is important to monitor and evaluate the institutional mainstreaming process of scaling up to ensure that it is effectively pursued. I’d recommend looking at how the German Agency for International Development (GIZ) carried out a corporate-wide evaluation of its scaling up experience.
  8. Scaling up helps aid organizations mobilize financial resources. Scaling up leverages limited institutional resources in two ways: First, an organization can multiply the impact of its own financial capacity by linking up with public and private agencies and building multi-stakeholder coalitions in support of scaling up. Second, when an organization demonstrates that it is pursuing not only one-off results but also scaled up impact, funders or shareholders of the organization tend to be more motivated to support the organization. This certainly was one of the drivers of IFAD’s successful financial replenishment consultation rounds over the last decade.

By adopting these lessons, development organizations can actually begin to scale up to the level necessary to bridge the missing middle. The key will be to assure that a focus on scaling up is not the exception but instead becomes ingrained in the institutional DNA. Simply put, in designing and implementing development programs and projects, the question needs to be answered, “What’s next, if this intervention works?”

      
 
 




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Scaling up social enterprise innovations: Approaches and lessons


In 2015 the international community agreed on a set of ambitious sustainable development goals (SDGs) for the global society, to be achieved by 2030. One of the lessons that the implementation of the Millennium Development Goals (MDG s) has highlighted is the importance of a systematic approach to identify and sequence development interventions—policies, programs, and projects—to achieve such goals at a meaningful scale. The Chinese approach to development, which consists of identifying a problem and long-term goal, testing alternative solutions, and then implementing those that are promising in a sustained manner, learning and adapting as one proceeds—Deng Xiaoping’s “crossing the river by feeling the stones”—is an approach that holds promise for successful achievement of the SDGs.

Having observed the Chinese way, then World Bank Group President James Wolfensohn in 2004, together with the Chinese government, convened a major international conference in Shanghai on scaling up successful development interventions, and in 2005 the World Bank Group (WBG ) published the results of the conference, including an assessment of the Chinese approach. (Moreno-Dodson 2005). Some ten years later, the WBG once again is addressing the question of how to support scaling up of successful development interventions, at a time when the challenge and opportunity of scaling up have become a widely recognized issue for many development institutions and experts.

Since traditional private and public service providers frequently do not reach the poorest people in developing countries, social enterprises can play an important role in providing key services to those at the “base of the pyramid.”

In parallel with the recognition that scaling up matters, the development community is now also focusing on social enterprises (SEs), a new set of actors falling between the traditionally recognized public and private sectors. We adopt here the World Bank’s definition of “social enterprises” as a social-mission-led organization that provides sustainable services to Base of the Pyramid (BoP) populations. This is broadly in line with other existing definitions for the sector and reflects the World Bank’s primary interest in social enterprises as a mechanism for supporting service delivery for the poor. Although social enterprises can adopt various organizational forms—business, nongovernmental organizations (NGOs), and community-based organizations are all forms commonly adopted by social enterprises—they differ from private providers principally by combining three features: operating with a social purpose, adhering to business principles, and aiming for financial sustainability. Since traditional private and public service providers frequently do not reach the poorest people in developing countries, social enterprises can play an important role in providing key services to those at the “base of the pyramid.” (Figure 1)

Figure 1. Role of SE sector in public service provision

Social enterprises often start at the initiative of a visionary entrepreneur who sees a significant social need, whether in education, health, sanitation, or microfinance, and who responds by developing an innovative way to address the perceived need, usually by setting up an NGO, or a for-profit enterprise. Social enterprises and their innovations generally start small. When successful, they face an important challenge: how to expand their operations and innovations to meet the social need at a larger scale. 

Development partner organizations—donors, for short—have recognized the contribution that social enterprises can make to find and implement innovative ways to meet the social service needs of people at the base of the pyramid, and they have started to explore how they can support social enterprises in responding to these needs at a meaningful scale. 

The purpose of this paper is to present a menu of approaches for addressing the challenge of scaling up social enterprise innovations, based on a review of the literature on scaling up and on social enterprises. The paper does not aim to offer specific recommendations for entrepreneurs or blueprints and guidelines for the development agencies. The range of settings, problems, and solutions is too wide to permit that. Rather, the paper provides an overview of ways to think about and approach the scaling up of social enterprise innovations. Where possible, the paper also refers to specific tools that can be helpful in implementing the proposed approaches. 

Note that we talk about scaling up social enterprise innovations, not about social enterprises. This is because it is the innovations and how they are scaled up that matter. An innovation may be scaled up by the social enterprise where it originated, by handoff to a public agency for implementation at a larger scale, or by other private enterprises, small or large. 

This paper is structured in three parts: Part I presents a general approach to scaling up development interventions. This helps establish basic definitions and concepts. Part II considers approaches for the scaling up of social enterprise innovations. Part III provides a summary of the main conclusions and lessons from experience. A postscript draws out implications for external aid donors. Examples from actual practice are used to exemplify the approaches and are summarized in Annex boxes.

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World Leadership for an International Problem

Editor's Note: For Campaign 2012, Ted Gayer wrote a policy brief proposing ideas for the next president on climate change. The following paper is a response to Gayer’s piece from Katherine Sierra. Charles Ebinger and Govinda Avasarala also prepared a response identifying five critical challenges the next president must address to help secure the nation’s energy…

       




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Campaign 2012: Climate Change and Energy

As the struggling economy and demand for jobs consume the American public’s attention, climate policy has become a second-tier political issue. Although most economists advocate for putting a price on greenhouse gases through a carbon tax or cap-and-trade program, there is little political appetite to do so. Will the next president be able to make…

       




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Web Chat: Climate Change and the Presidential Election

As the nation’s economy continues a slow and difficult recovery, climate change has so far received little attention on the presidential campaign trail. With the world’s carbon footprint soaring and America approaching an energy crossroads, however, the next president will be forced to make critical decisions regarding clean energy and the future of fossil fuels…

       




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The Green Climate Fund’s Private Sector Facility: The Case for Private Sector Participation on the Board

EXECUTIVE SUMMARY The Green Climate Fund’s (GCF) Private Sector Facility can enhance the likelihood of achieving its’ goals of scale-up, transformation and leverage by including individual voting members in its board who bring private sector skills and experience. This would build on growing precedent in the boards of other global funds, as well as in…

       




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Green Growth Innovation: New Pathways for International Cooperation

INTRODUCTION We are at a key moment in the evolution of our global approach to the challenges of development, environment and the transition to a green economy. This year marked the 20th anniversary of the U.N. Conference on Environment and Development, also known as the Rio Earth Summit, and the 40th anniversary of the first…

       




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International Actions to Support Green Growth Innovation Goals

Achieving global goals for poverty reduction, economic growth and environmental health will require widespread innovation and implementation of new and appropriate “green growth” technologies. Establishing a sufficiently large suite of innovative technology options, suitable to diverse economies, and at the urgent pace required will involve unprecedented innovation activity not only from developed regions, but also…

       




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First Steps Toward a Quality of Climate Finance Scorecard (QUODA-CF): Creating a Comparative Index to Assess International Climate Finance Contributions

Executive Summary Are climate finance contributor countries, multilateral aid agencies and specialized funds using widely accepted best practices in foreign assistance? How is it possible to measure and compare international climate finance contributions when there are as yet no established metrics or agreed definitions of the quality of climate finance? As a subjective metric, quality…

       




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The Road to a New Global Climate Change Agreement: Challenges and Opportunities

With negotiations underway to agree on a new global climate change treaty by 2015, international leaders will meet this November, again next year, and in France in 2015 to build consensus on what such an agreement should look like. On October 11, Global Economy and Development at Brookings will host a discussion on the challenges…

       




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COP 21 at Paris: The issues, the actors, and the road ahead on climate change

At the end of the month, governments from nearly 200 nations will convene in Paris, France for the 21st annual U.N. climate conference (COP21). Expectations are high for COP21 as leaders aim to achieve a legally binding and universal agreement on limiting global temperature increases for the first time in over 20 years. Ahead of this…

       




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Moving to Access: Is the current transport model broken?

For several generations, urban transportation policymakers and practitioners around the world favored a “mobility” approach, aimed at moving people and vehicles as fast as possible by reducing congestion. The limits of such an approach, however, have become more apparent over time, as residents struggle to reach workplaces, schools, hospitals, shopping, and numerous other destinations in…

       




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Democracy, the China challenge, and the 2020 elections in Taiwan

The people of Taiwan should be proud of their success in consolidating democracy over recent decades. Taiwan enjoys a vibrant civil society, a flourishing media, individual liberties, and an independent judiciary that is capable of serving as a check on abuses of power. Taiwan voters have ushered in three peaceful transfers of power between major…

       




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How laws get made in China

       




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Ryan Hass speaks on a panel about China’s Belt and Road Initiative, hosted by the World Economic Forum in Amman, Jordan

On April 7, Ryan Hass spoke on a panel about China's Belt and Road Initiative and China's relations with the Middle East during a session of the "World Economic Forum on the Middle East and Africa," which was held in Amman, Jordan.

       




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Cross-Strait risks are rising and need to be managed

Taiwan’s political atmosphere is growing more fervid as the January 2020 election draws nearer. The roster of contenders includes candidates with experience governing and an understanding of the need for balance, and others who rely on charisma and offer promises without consideration of potential consequences.There also is growing momentum in Washington for judging that Beijing’s…

       




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20190502 CNN Ryan Hass

       




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US-China trade talks end without a deal: Why both sides feel they have the leverage

       




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How the downturn in US-China relations affects Taiwan

With so much news taking place inside Taiwan recently, one could be forgiven for not paying as close of attention to the seismic shifts taking place around Taiwan. The purpose of this column is to inject an outside perspective into public discourse in Taiwan, though, so I will just briefly congratulate Taiwan’s Legislative Yuan for…

       




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Is free trade still alive? Hong Kong’s perspective

Hong Kong has been heralded as the freest economy in the world, according to the Heritage Foundation’s 2019 Index of Economic Freedom. The city’s special administrative region status has underpinned its reputation as a center of commerce governed by the rule of law, enabling it to play a key role in international trade while serving as…

       




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Rightsizing fears about Taiwan’s future

In recent decades, China has been plowing a sizable share of its growing economic strength into developing advanced military capabilities. As Beijing’s military build-up progresses, concerns naturally mount in Taiwan about its continued security. A certain amount of concern is healthy. It disciplines voters to ask hard questions of their leaders about the appropriate balance…

       




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In Kissinger’s orbit: A conversation with Ambassador Winston Lord

Few people know that Winston Lord was one of only three American attendees at the historic Beijing summit between President Nixon and Chairman Mao in February 1972. Although Lord sat alongside his boss, Henry Kissinger, his presence was kept a secret within the administration for fear of embarrassing Secretary of State William Rogers. The episode…

       




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Helping close divisions in the US: Insights from the American Well-Being Project

Issues of despair in the United States are diverse, widespread, and politically fueled, ranging from concentrated poverty and crime in cities to the opioid crisis plaguing poor rural towns. Local leaders and actors in disconnected communities need public policy resources and inputs beyond what has traditionally been available. Scholars at Brookings and Washington University in…

       




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Do social protection programs improve life satisfaction? Lessons from Iraq

There is much debate now—in both developed and developing economies—on the merits or de-merits of universal basic income (UBI), with strong opinions on either side. Advocates clash with those who see targeted transfers to the poor—such as the conditional cash transfers first pioneered in Latin America—as better at providing incentives for long-term investments in health,…

       




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International migration: What happens to those left behind?

There are many sides to the vociferous debate over international migration. While much of it focuses on the economic costs and benefits of migration in both recipient and sending countries, much less is known about the human side of the migration story. Most of what we know is based on anecdotal stories, such as a…

       




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Progress paradoxes in China, India, and the US: A tale of growing but unhappy countries

What we know depends on what we measure. Traditional income-based metrics, such as GDP and poverty headcounts, tell a story of unprecedented economic development, as seen by improvements in longevity, health, and literacy. Yet, well-being metrics, which are based on large-scale surveys of individuals around the world and assess their daily moods, satisfaction with life,…

       




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Do social protection programs improve life satisfaction?

An extensive literature examines the link between social protection-related public spending and objective outcomes of well-being such as income, employment, education, and health (see Department for International Development [DFID], 2011; ILO, 2010; World Bank, 2012). Much less attention has been given to how government social protection policies influence individuals’ own sense of well-being, particularly in…

       




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Progress paradoxes and sustainable growth

The past century is full of progress paradoxes, with unprecedented economic development, as evidenced by improvements in longevity, health, and literacy. At the same time, we face daunting challenges such as climate change, persistent poverty in poor and fragile states, and increasing income inequality and unhappiness in many of the richest countries. Remarkably, some of…

       




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Men without work

The global economy is full of progress paradoxes. Progress in technological innovation, reducing poverty, and increasing life expectancy around the world continues to increase. Yet there is also persistent poverty in poor and fragile states and increasing inequality and anomie in some of the wealthiest ones. This latter trend is showing up in a resurgence…

       




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Why are out-of-work men so unhappy in the US?

We are in an era of progress paradoxes. Unprecedented gains in technological innovation, poverty reduction, and life expectancy around the world coexist with persistent poverty traps in the poorest countries and increasing inequality and anomie in some of the wealthiest ones. In the U.S., one of the wealthiest countries, we see booming stock markets and…

       




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Why nonworking men are unhappiest in America

In new research, Carol Graham and Sergio Pinto assesses the troublesome levels of ill-being among men who are out of the labor force (as distinct from unemployed men), and the challenges this poses to the future of work and the future of the middle class more generally. Carol Graham, the Leo Pasvolsky Senior Fellow and…

       




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How do we make America happy again? We start by studying well-being

To make America happy again, society has to figure out how to make our country whole. Understanding what divides Americans—and what gives them hope—could be critical to improving their well-being and the nation’s. By tracking patterns in well-being, and creating programs based on the results, we can take steps toward tackling the malaise that afflicts…

       




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Welcoming Czech Finance Minister Andrej Babis


Last Thursday was finance minister day at Brookings, with three separate visits from European finance ministers who were in town for the IMF meetings. Here in Governance Studies, we were delighted to have the opportunity to host Czech Finance Minister and Deputy Prime Minister Andrej Babis for a wide-ranging conversation with our scholars, including Darrell West, Bill Galston, John Hudak, and myself, as well as Bill Drozdiak of Brookings' Center on the United States and Europe and Jeff Gedmin of Georgetown University. Brookings has a long tradition of welcoming distinguished European visitors, and so contributing to the strengthening of transatlantic ties. That is particularly important now, as Europe confronts the destabilizing effects of Russia's aggression in Ukraine, the Greek debt crisis, be continuing after effects of the great recession, and multiple other challenges. We were honored to host Minister Babis and we look forward to many more visits here from leaders of our close U.S. ally, the Czech Republic.

(Photo credit: Embassy of the Czech Republic)

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Greece's financial trouble, and Europe's


I attended a fascinating dinner earlier this week with Greek Foreign Minister Nikos Kotzias as part of his whirlwind visit to Washington DC. I shared with the minister some reflections on challenges facing him and the new Greek government at home in Greece and in Europe. When I served in Prague, I often urged the Europeans to take a page from our U.S. approach in 2009-10 and to avoid excessive austerity. I reiterated that view to the minister, and in particular pointed out the need for Germany to do more to help (see, for example, my colleague Ben Bernanke's recent post on the German current account surplus in his Brookings blog.) Paul Krugman hit the nail on the head with his recent column as well. On a personal note, when my father found himself trapped in Poland in 1939 is the Nazis invaded, he made his way to Greece, which gave him shelter until he was able to escape to the United States in 1940. So I was able to thank the Foreign Minister for that as well (somewhat belatedly, but all the more heartfelt for that). I was impressed with the Minister's grasp of the Greek financial crisis and the many other important issues confronting Europe.

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Why Bridgegate proves we need fewer hacks, machines, and back room deals, not more


I had been mulling a rebuttal to my colleague and friend Jon Rauch’s interesting—but wrong—new Brookings paper praising the role of “hacks, machines, big money, and back room deals” in democracy. I thought the indictments of Chris Christie’s associates last week provided a perfect example of the dangers of all of that, and so of why Jon was incorrect. But in yesterday’s L.A. Times, he beat me to it, himself defending the political morality (if not the efficacy) of their actions, and in the process delivering a knockout blow to his own position.

Bridgegate is a perfect example of why we need fewer "hacks, machines, big money, and back room deals" in our politics, not more. There is no justification whatsoever for government officials abusing their powers, stopping emergency vehicles and risking lives, making kids late for school and parents late for their jobs to retaliate against a mayor who withholds an election endorsement. We vote in our democracy to make government work, not break. We expect that officials will serve the public, not their personal interests. This conduct weakens our democracy, not strengthens it.

It is also incorrect that, as Jon suggests, reformers and transparency advocates are, in part, to blame for the gridlock that sometimes afflicts our American government at every level. As my co-authors and I demonstrated at some length in our recent Brookings paper, “Why Critics of Transparency Are Wrong,” and in our follow-up Op-Ed in the Washington Post, reform and transparency efforts are no more responsible for the current dysfunction in our democracy than they were for the gridlock in Fort Lee. Indeed, in both cases, “hacks, machines, big money, and back room deals” are a major cause of the dysfunction. The vicious cycle of special interests, campaign contributions and secrecy too often freeze our system into stasis, both on a grand scale, when special interests block needed legislation, and on a petty scale, as in Fort Lee. The power of megadonors has, for example, made dysfunction within the House Republican Caucus worse, not better.

Others will undoubtedly address Jon’s new paper at length. But one other point is worth noting now. As in foreign policy discussions, I don’t think Jon’s position merits the mantle of political “realism,” as if those who want democracy to be more democratic and less corrupt are fluffy-headed dreamers. It is the reformers who are the true realists. My co-authors and I in our paper stressed the importance of striking realistic, hard-headed balances, e.g. in discussing our non-absolutist approach to transparency; alas, Jon gives that the back of his hand, acknowledging our approach but discarding the substance to criticize our rhetoric as “radiat[ing] uncompromising moralism.” As Bridgegate shows, the reform movement’s “moralism" correctly recognizes the corrupting nature of power, and accordingly advocates reasonable checks and balances. That is what I call realism. So I will race Jon to the trademark office for who really deserves the title of realist!

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Welcoming member of Knesset Erel Margalit to Brookings


One of the great parts of being at Brookings has been the many champions of government reform in the US and around the world who have reached out to visit us here, meet me and my colleagues, and talk about how best to transform government and make it work better for people. The latest was MK Erel Margalit, who before joining the Israeli Knesset started a leading venture capital firm in Israel (and was the first Israeli to make the Forbes Midas list of top tech investors globally). My Brookings colleagues, including Elaine Kamarck, Bill Galston, Natan Sachs and John Hudak talked with MK Margalit about the lessons he learned in the private sector, and about his efforts to bring those lessons to his work in government. 

Coming not long after our meeting with Czech Deputy Prime Minister and Finance Minister Andre Babis, who enjoyed similar success in business and has ambitious reform goals of his own informed by his business career, it was fascinating to talk about what does and does not translate to the government sector. MK Margalit’s focus includes supporting peace and economic development by developing enterprise zones in and around Israel that encourage economic partnerships between Jewish and Arab Israelis and their businesses, and that include Palestinians as well. It was an impressive melding of business and government methodologies. The meeting built on similar ones we have had with other innovators including CFPB Director Rich Cordray, former Mayor and Governor Martin O’Malley, and of course DPM Babis, all of whom have in common innovating to make government function more effectively.

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The six keys to securing ethical government: A U.S. view


Editor's Note: On Thursday Brookings Visiting Fellow, Amb. Norm Eisen addressed the Italian Parliament to discuss ethics in government, highlighting efforts in the US to improve transparency and accountability. In the speech, Amb. Eisen argues that while ethics reform can be difficult, it is an absolutely essentially part of any democratic system.


As Prepared For Delivery

Signora Presidente Boldrini, Madam President Brasseur, honorevoli Parlamentari, fellow panelists and distinguished guests, buon pomerigo. Thanks for inviting me to address the urgent subject of ethical standards in political life. It is an honor to be here in the Italian Chamber of Deputies, in this beautiful and ancient city, to which we Americans owe so many elements of our system of government. And in my town of Washington, DC we also borrowed a lot of your architecture, so we owe you for that as well.

In exchange for all that, as a small form of repayment, I would like to offer some perspectives from the U.S. as you consider the adoption of a code of ethical conduct for the Italian Parliament.

Since we are in the Chamber of Deputies, the equivalent of our U.S. Congress’ House of Representatives, I will start with best practices in that body, based on years of my professional life—too many—spent addressing alleged violations of its codes of conduct, including as a defense lawyer and later as the co-founder of a government watchdog group.

And I think there are also important lessons to be drawn from the new, innovative code of conduct for White House officials we established while I served as the "Ethics Czar" of President Obama. At his direction I helped write that new code, the Obama "ethics pledge," and although I am biased I think it has been effective so far, knock wood, there have been no major White House scandals. So I will talk about the lessons of that code of conduct a bit as well. My reflections are those of a friend and partner nation with plenty of challenges of our own. So I approach the issue with genuine humility in sharing our successes and failures.

I. Government ethics while standing on one leg

So—what is our U.S. view of best practices for the contents of government codes of ethics? In the U.S. and dare I say internationally, there is a pretty well developed set of best practices. In our House of Representatives, for example, our equivalent of this Chamber of Deputies, Rule XXIII is the Code of Official Conduct. It provides rules in four core areas;

  • one, for regulating conflicts of interest, that is, situations where personal interests or financial holdings may conflict with official parliamentary duties;
  • two, for gifts, particularly those from lobbyists and other persons interested in parliamentary decisions;
  • three, for outside employment of parliamentarians before, during and after government service, particularly with lobbyists, a situation which we call in the US the revolving door; and
  • four, for parliamentarians’ proper use of official resources, that is, hiring, staff, budget, travel and such.

There is much more detail in our code of conduct, and a few other rules as well, but those four items—conflicts, gifts, employment and resources—are the key. These same four key areas are also at the center of our codes of conduct for employees of our executive branch, as codified in our statutes and regulations, as well as in the Obama ethics pledge.

I emphasize these four key items because, having helped draft one code of conduct, and having often delved into many other codes, I sometimes find that I lose the forest for the trees when working with these codes, that the priorities at least for me sometimes get lost in the detail. So I try to keep the core always in mind, though I should add that the content of any such code must of course be particularized for the circumstances of particular government bodies and jurisdictions. Thus our U.S. House code is five pages long, elaborating on those four core items, and the House Ethics Manual of official guidance for the code is 456 pages long. Our Obama ethics pledge we got onto one page, we were proud of that. And we made everyone read and sign that page. To be fair, we could do that because we built on and added to other rules which already existed, and we did have several pages of definitions and references attached to the pledge.

II. Enforcement and transparency

But a good code is only the beginning. In our U.S. experience, just as important as the code, maybe even more important, is its enforcement. And here is where I want to share some lessons drawn from U.S. challenges in recent years, and how we responded. I am going to add two more items to our check list: enforcement and transparency.

Candidly, even with our parliamentary code of conduct in the U.S., our enforcement has sometime lagged. That is in part because under our Constitution, the ultimate enforcers are the parliamentarians themselves, and so they can at times be understandably reluctant to sanction their colleagues and friends. It's human nature.

For example, from about 1998 to 2004, there was a seven-year truce in filing complaints in our House of Representatives. The government watchdog organization I co-founded helped end that in 2004 by writing a complaint together with a brave but lonely member of Congress who was willing to file it with the House Ethics Committee. The resulting investigation resulted in the discipline of the member investigated, and ultimately helped lead to his party losing majority control of the body.

Out of all of that came a new enforcement tool in 2008, in our House of Representatives, that I strongly recommend to you: the creation of a new, independent entity, the Office of Congressional Ethics (OCE). This is a nonpartisan fact-finding body that investigates allegations from any source, including whistleblowers who might otherwise be afraid to step forward. OCE then recommends action to the parliamentarians who constitutionally maintain the ultimate decision-making power. Most importantly, the OCE referrals become public, allowing press, civil society and voter accountability. As a result, I believe, since the creation of the OCE for our House in 2008, there have been a significantly higher number of meritorious investigations there than in our Senate, which does not have a comparable body. The total is about 46 OCE referrals and about 20 House disciplinary actions versus just four letters of admonition by our Senate in that period. To be fair the Senate is a smaller body—but not that much smaller!

That last aspect of OCE enforcement—transparency, and the accountability it brings from media, NGOs and the public—is the sixth and final point I want to emphasize. In our U.S. parliamentary ethics system we have many transparency mechanisms: asset disclosures that our parliamentarians file, disclosures that lobbyists must make about their activities, information in campaign finance filings, and more.

To explain the value of transparency, I would like to close by turning to one of our Obama White House ethics transparency innovations. Starting in 2009, we for the first time put on the Internet virtually all visitor records of those coming to the White House. It used to be that just to get a handful of these records you had to file litigation and wait for years to know who was coming to the White House, who they were meeting with and what the subject of the meeting was. Now millions of Obama White House visitor records are online, each with a dozen or so basic categories of information: the name of the visitor, the person visited, the subject of the meeting and so on.

Why is that important? I began by referencing the Obama White House's record in avoiding major scandal. I think there are a number of reasons for that, including the President's own integrity and the new code of conduct we put into place. But an important part of that success story has also been the fact that records of White House meetings go on the Internet for everyone to see. That transparency brings accountability from the press, civil society and the public. That transparency and accountability has in turn powerfully reinforced the code of conduct: it has discouraged people from having meetings they shouldn't have, and if you don't have the meeting, you can't get in trouble for it.

So the U.S. view in one sentence: regulate conflicts, gifts, employment, and resource use, with strong enforcement and above all transparency. Thanks again for inviting me to share the U.S. perspective. Grazie!

Authors

      




academic and careers

The great debate: Is political realism realistic?


I this week had the pleasure of doing a podcast debate with my Brookings colleague Jonathan Rauch on the question of whether we need stronger machines and weaker transparency in American government, or the opposite. Guess which side I took! This has been a long-running water cooler and cafeteria discussion between Jon and myself since I arrived at Brookings almost a year ago. While we find some areas of agreement in the podcast (more than you might think),I remain unconvinced by the so-called “political realist” school that Jonathan is a leader of. As I have previously written and blogged (here, here and here), I think the realists are fantasists, disconnected from the actual reality of politics, including its risks. We need more transparency, not less to deal with, for example, things like corruption risk, particularly in the post-Citizens United era. Indeed, that decision itself embraces the value of a vigorous transparency regime when other safeguards are relaxed. My belief is that Washington works both more efficiently and more ethically under the scrutinizing gaze of the American media, ngo's and public. As former White House ethics czar, I often facilitated administration openness efforts, including as a means of accountability, for example helping put the White House visitor logs online.

Jon and my lively debate covers not only issues of transparency itself but also applies them to other current topics—the Affordable Care Act, Trade Promotion Authority, and much more. The debate was silently moderated by our colleague Ben Wittes as part of his “Chess Clock Debates” series. With only ten minutes on the chess clock each to make our points, it was a concise discussion that hit the fundamentals briskly. Thanks to Ben for inviting us and giving us a public forum to discuss this critical policy issue.

Authors

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academic and careers

The Iran deal and the Prague Agenda


Editor's Note: : We’re hosting a conversation on Markaz on the Iranian nuclear talks, debating the merits of a deal, as well as the broader issues at stake for the United States and the region. This piece originally appeared in The Huffington Post.

As we near what may be the endgame of the current negotiations with Iran, I am reminded of the place where President Obama announced the overarching strategy that helped produce this moment: Prague. After stating his readiness to speak to Iran in a Democratic primary debate in 2007, and following that up postelection in 2009 with a series of initial statements directed to the Iranians, the president chose the Czech capital to lay out his vision of dealing with the dangers of nuclear weapons in April 2009. That included emphasizing that Iran would not be permitted to obtain a nuclear weapon on his watch: "Rules must be binding. Violations must be punished. Words must mean something. The world must stand together to prevent the spread of these weapons."

As a result of that 2009 speech, the president's nuclear strategy became known as the Prague Agenda. I had the privilege to travel with President Obama back to Prague in April 2010 to witness the signing of a major accomplishment in another area under the Prague Agenda, namely the New START treaty. By the following year, April 2011, I was in Prague as U.S. ambassador. That year, and in the each year that followed, we held an annual Prague Agenda conference to assess the steps that had been taken and the challenges that lay ahead.

In the years since, there has been steady progress in each of the four main areas the president laid out on that spring day in Prague in 2009. New START was a step forward on his first objective, to reduce the risks posed by existing nuclear weapons. Another goal, preventing nuclear terror by safeguarding materials and improving safety, has since been the subject of a series of successful Nuclear Security Summits in Washington, Seoul, and The Hague.

I saw first-hand the president's personal commitment to a third objective articulated in Prague: to promote the peaceful use of nuclear energy. I was, for example, present in the Oval Office in October 2011 when the president and the Czech prime minister met. President Obama advocated for the use of civil nuclear power as a part of the Czech energy mix (and also to achieve energy independence from Russia). That approach has been replicated in administration policy supporting civil nuclear energy in the United States and around the world.

Now, with the possible Iran deal, progress under the Prague Agenda's final prong is in reach: holding to account a state which had violated its nuclear obligations under international treaties. I am not of the school that believes the president needs to secure an Iran deal to build his legacy. That was never the case; having known him for almost a quarter of a century, since we were law students together, and having worked for him for six years, first in the White House and then as ambassador, I can attest that those kinds of considerations do not enter into critical decisions like this one. Even the president's strongest critics have to admit that legacy is, as a matter of logic, much less of a consideration after the recent breakthroughs on the Affordable Care Act and on Trade Promotion Authority.

Instead, as the comprehensive nature of the Prague Agenda itself suggests, President Obama is pursuing a deal out of principle. He is acting from his conviction that a good agreement with Iran represents another step toward making the U.S., our allies, and the world safe from nuclear terror. It is that ambition that has driven the president's formulation and consistent pursuit of each of the four elements of the Prague Agenda, the obscure aspects just as much as the headline-making ones.

Of course, as the president himself has repeatedly emphasized, the deal must be a good one. That is why I recently joined a bipartisan group of experts convened by the Washington Institute for Near East Policy in signing a statement laying out criteria for what any deal with Iran must at a minimum contain in five core areas: monitoring and verification; possible military dimensions; advanced centrifuges; sanctions relief; and consequences of violations. We also agreed on the importance of complementing any agreement with a strong deterrence policy and a comprehensive regional strategy. I have been encouraged by the warm reception for our statement from all corners, and by the strong tone struck by the American negotiators in Vienna this week. They recognize that willingness to walk away is the surest path to securing a good deal. If such a deal can be struck that meets the criteria in our bipartisan statement, that will be another stride forward under the Prague Agenda — perhaps the biggest yet.

Authors

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academic and careers

Transition 2016: It’s never too early to start planning


With just over six months to go until the Iowa caucuses, news organizations are already speculating about what the Bush or Clinton or Trump Sanders administrations might look like. Though it might seem premature, their impulse is the right one. After the winner of the 2016 presidential race is announced in November of that year, the new President-elect will have just under three months to build his or her new government. From choosing cabinet members and key White House staff to setting the policy agenda and dealing with unanticipated crises, the presidential transition process is a huge undertaking, and one that requires much more advance planning than it is usually given.

Acknowledging the short timetable that surrounds the presidential transition process, on July 31 the Senate passed the “Edward ‘Ted’ Kaufman and Michael Leavitt Presidential Transitions Improvements Act of 2015.” If passed by the House and signed into law, this bill would require the president to establish a “White House Transition Coordinating Council” six months prior to the presidential election. This council would work with transition representatives for both candidates to prepare for the challenges that will lie ahead.

Under the new bill, the President would also be tasked to create an “Agency Transition Director’s Council.” This council would ensure that federal agencies function effectively through the transition. Again, transition representatives for each candidate would work with a group of senior representatives from the agencies, planning leadership changes and identifying potential obstacles.

Additionally, agency directors would designate “acting officers” for all essential non-career positions. In the event that these positions become vacant during the transition, a career civil servant from the agency will take over as “acting officer” until a replacement is appointed.

The Bush to Obama transition was one of the smoothest in history, and this bill reflects the best practices learned from that experience. (Full disclosure: one of the co-authors of this blog, Eisen, was the deputy general counsel of the Obama transition.) The Bush administration was ready early to work with the transition teams for both major party candidates. It offered a model of organization and cooperation with both campaigns well before Election Day. Once the election was decided, that engagement intensified, with constant contact and seamless teamwork between President-elect and his team and President Bush and his. Indeed, even after Election Day, many Bush appointees were asked to and did stay on longer in order to give the administration more time to find suitable replacements (See, e.g. Burke, p.594).

The Obama administration will undoubtedly "pay it forward" and meet those same high standards in addressing the upcoming transition. Nevertheless, codifying recent best practices as law makes eminent sense now, while we are all paying attention to the upcoming election—and knowing a future administration may not be as cooperative unless required by law. Although Inauguration Day 2017 may seem far off, there is actually not a moment to spare for this important legislation to proceed.

Authors

Image Source: © Brian Snyder / Reuters
      




academic and careers

Q & A with Ambassador Norman Eisen


Editor's Note: In September of this year Visiting Fellow Norman Eisen was featured in the Council on Government Ethics Law (COGEL) members-only magazine, The Guardian. An abbreviated version of his interview is featured below.

Interview conducted by Wesley Bizzell, Assistant General Counsel, Altria Client Services LLC.

Recently, you addressed the Italian Parliament to discuss ethics in government, as that legislative body considers adopting its own code of ethical conduct. In that speech, you noted you believe there are four key concepts at the center of Federal U.S. ethics laws. What are those four concepts and why they are important?

Firstly, I’d like to note the importance of focusing on four concepts. The House of Representatives Ethics manual is 456 pages long; too long to be of any real use in creating an ethics system. Instead, these four principles serve as a foundation upon which different governments can build their own sets of rules based on their own unique needs.

I focused on just four to make a point about priorities. The first is “conflicts”—that is, problems that arise when an individual’s personal interests and parliamentary duties may be at odds with one another. The second is “gifts”. Even if there isn’t an explicit quid-pro-quo style agreement involved, when a political figure accepts a gift from someone with a demonstrated interest in government decision-making, the suspicion of misconduct will always be there. “Revolving door” is the third core concept. When individuals rotate from the private sector to the public sector over and over again, they are naturally going to form relationships that tempt them toward unethical behavior. Finally, “use official resources.” Officials must be careful to use official resources only for official purposes, being particularly careful not to conduct any campaign activity on the taxpayer’s dime. The goal with these four priorities is not only to keep people from behaving unethically, but also to make sure it doesn’t seem like anyone is doing anything unethical either.

In that speech, you said that focusing on these four areas keeps you from losing the forest for the trees when working with ethics codes. Can you elaborate on that?

There’s always a danger for members of the executive branch, because the system of rules and regulations that governs ethical behavior is itself so complex. When it’s imbedded in equally complicated and overlapping sets of statute you risk creating rules so specific that they’re practically useless. The same is true in the legislative branch and I dare say in the federal judicial branch, as well as at the state and local levels. You’re always on the edge of being lost in the minutiae.

In fact, you can often make wrong decisions if you focus in too much on the specifics, because you lose sight of the larger picture that guides the rules. There are always options in ethical dilemmas, and the big picture needs to be kept in focus.

While at the White House serving as Special Counsel to the President for Ethics and Government Reform you oversaw numerous significant changes in the area of open government—including helping craft and implement President Obama’s Open Government Directive; publishing White House visitor logs on the internet; and generally improving the Freedom of Information Act (FOIA) process. What change in the area of open government are you most proud?

I was struck when we began the interview by the list of topics—campaign finance, lobbying, ethics, elections, and FOIA issues—because all of those were part of my portfolio as Special Counsel to the President for Ethics and Government Reform during the first two years of the Obama administration. I would have to say that I’m most proud of my role in the President’s decision to put all of the White House visitor records on the internet.

Remember, in previous administrations, Democratic and Republican alike, plaintiffs had to litigate for years just to get a handful of visitor records. To have all of the visitor records on the internet, categorized into various types, opens access to the White House to an unprecedented degree. There are now over four-and-a-half million visitor records available on the White House website, with more added every month. I think that that is remarkable.

Truthfully, I was torn between that accomplishment and a second one, which is that the President and his staff in the White House have had the longest run in presidential history (knock on wood) without a major ethics scandal or a grand jury investigation, indictment, or conviction. I was tempted to list that second fact as the accomplishment of which I was most proud. But it occurred to me that the death of White House scandal is actually a function of the exceptional level of transparency that the visitor records represent. Transparency helps ensure people don’t have meetings they shouldn’t be having, which keeps them out of trouble. So I’ll offer that second accomplishment as a part of the first one.

In your view, what was the most significant lobbying and ethics reform during your tenure at the White House?

No doubt about it: reversing the revolving door. Craig Holman of Public Citizen, who studies these issues, says we were the first in the world to create a reverse revolving door. I think it is absolutely critical to slow the revolving door in both directions—both coming out of government and going in.

I should also note that the comprehensive nature of the ethics system we put into place in the Obama administration bears a responsibility for the good results. The first rule, of course, of any ethics system is “tone at the top.” The president exemplifies that. He has the highest standards of ethics himself, and as a result everyone around him feels he will be personally let down if they don’t embrace the ethics system. Good results flow from that. Looking back, we can identify certain aspects that have more and less successful, but it’s important to recognize that the positive results are owed to the gestalt. Our transparency and ethics system was one of the most through and transparent that I’ve seen in any government, and the result speak for themselves.

Authors

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academic and careers

Five questions about the VW scandal


Now that that the initial revelations regarding the VW scandal have sunk in it’s time to begin assessing the larger significance of those revelations. While the case and, we predict, VW, will continue for years (we are only at the end of the beginning, and far from the beginning of the end), we are far enough along to see five large questions emerging. These questions will tell us much about the economic, corporate and cultural future of VW and German enterprise. 

1) VW was an integral component of Germany's industrial reputation in Europe, across the Atlantic in the United States, and around the world. Now, that hard-won reputation is at risk. How broad will the damage be to German businesses' reputation not just for quality, but for "premium quality?"

2) Turning from the German business sector to the German economy as a whole, the VW scandal has many ironies, not least of which is that the company was a key driver (so to speak) of the famous German Wirthschaftswunder. Economic health propelled a vanquished Germany to the forefront of Europe’s post-WWII recovery and then made post-Cold War reunification a success. Does the VW scandal have the potential to slow down the overall growth of the German economy, and what are the European and global implications of that at a time when the Chinese economy is also sputtering?

3) From a corporate governance perspective, the scandal represents some of the most boneheaded thinking ever. Following disclosure of the fraud, €14bn (£10bn; $15.6bn) was wiped off VW's stock market value. Whoever knew/orchestrated the scheme thought they would get away with it, but did they really not foresee the consequences or even the likelihood of getting caught? We will long be studying the abnormal “fraud psychology" of this case.

4) Germany ranks among the top ten countries for low corruption according to Transparency International. Yet VW is not alone among German companies in making major headlines with massive ethics failures in recent years, joining Siemens, Bayer, Deutsche Bank, and many others. What does this mean for the future of Germany’s role as a force for anti-corruption at home and internationally?

5) Former VW CEO Winterkorn resigned but claimed he knew nothing about the scandal. What does this say about the structure and management culture of Germany’s largest companies? How widespread is “plausible deniability” in German business culture--and in all business culture everywhere? If so, what are the dangers of this going forward, and what should be done to address them?

Authors

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academic and careers

More Czech governance leaders visit Brookings


I had the pleasure earlier this month of welcoming my friend, Czech Republic Foreign Minister Lubomir Zaoralek, here to Brookings for a discussion of critical issues confronting the Europe-U.S. alliance. Foreign Minister Zaoralek was appointed to his current position in January 2014 after serving as a leading figure in the Czech Parliament for many years. He was accompanied by a distinguished delegation that included Dr. Petr Drulak of the Foreign Ministry, and Czech Ambassador Petr Gandalovic. I was fortunate enough to be joined in the discussion by colleagues from Brookings including Fiona Hill, Shadi Hamid, Steve Pifer, and others, as well as representatives of other D.C. think tanks. Our discussion spanned the globe, from how to respond to the Syrian conflict, to addressing Russia’s conduct in Ukraine, to the thaw in U.S.-Cuba relations, to dealing with the refugee crisis in Europe. The conversation was so fascinating that the sixty minutes we had allotted flew by and we ended up talking for two hours—and we still just scratched the surface.

Amb. Eisen and FM Zaoralek, October 2, 2015

Yesterday, we had a visit from Czech State Secretary Tomas Prouza, accompanied by Ambassador Martin Povejsil, the Czech Permanent Envoy to the EU. We also talked about world affairs. In this case, that included perhaps the most important governance matter now confronting the U.S.: the exceptionally entertaining (if not enlightening) presidential primary season. I expressed my opinion that Vice President Biden would not enter the race, only to have him prove me right in his Rose Garden remarks a few hours later. If only all my predictions came true (and as quickly). We at Brookings benefited greatly from the insights of both of these October delegations, and we look forward to welcoming many more from every part of the Czech political spectrum in the months ahead.

Prouza, Eisen, Povejsil, October 21, 2015

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Image Source: © Gary Hershorn / Reuters
       




academic and careers

ReFormers Caucus kicks off its fight for meaningful campaign finance reform


I was honored today to speak at the kick off meeting of the new ReFormers Caucus. This group of over 100 former members of the U.S. Senate, the House, and governors of both parties, has come together to fight for meaningful campaign finance reform. In the bipartisan spirit of the caucus, I shared speaking duties with Professor Richard Painter, who was the Bush administration ethics czar and my predecessor before I had a similar role in the Obama White House. 

As I told the distinguished audience of ReFormers (get the pun?) gathered over lunch on Capitol Hill, I wish they had existed when in my Obama administration role I was working for the passage of the Disclose Act. That bill would have brought true transparency to the post-Citizens United campaign finance system, yet it failed by just one vote in Congress.  But it is not too late for Americans, working together, to secure enhanced transparency and other campaign finance changes that are desperately needed.  Momentum is building, with increasing levels of public outrage, as reflected in state and local referenda passing in Maine, Seattle and San Francisco just this week, and much more to come at the federal, state and local level.

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The campaign finance crisis in America and how to fix it: A solutions summit


Event Information

January 21, 2016
12:00 PM - 6:00 PM EST

Falk Auditorium
Brookings Institution
1775 Massachusetts Avenue NW
Washington, DC 20036

Register for the Event

As the sixth anniversary of Citizens United v. FEC approaches on January 21, both experts and ordinary citizens believe the United States is confronting a campaign finance crisis. Citizens United and related court cases have unleashed a flood of dark money that many believe could drown our democracy. It is estimated that over $5 billion will be spent on the 2016 presidential race—more than 3 times the amount spent in 2008 (already the most expensive election cycle in history). A comprehensive poll conducted by the New York Times and CBS News in the spring of 2015 showed that 84 percent of adults—including 90 percent of Democrats and 80 percent of Republicans—believe that money has too much influence in American political campaigns. Even the richest Americans agreed: 85 percent of adults making $100,000 or more share that same belief.

There has been much handwringing about this state of affairs. But there has been too little public attention paid to finding solutions. On the sixth anniversary of Citizens United, the Governance Studies program at Brookings hosted current and former government officials, lobbyists, donors, advocates, and other experts to discuss how to resolve the campaign finance crisis. They focused on innovative reform efforts at the federal, state, and local levels which offer the hope of addressing the problem of big money in politics.

Panelists will included:

Cheri Beasley, Associate Justice, North Carolina Supreme Court
Daniel Berger, Partner, Berger & Montague, P.C.
John Bonifaz, Co-Founder and President, Free Speech for People
Norman L. Eisen, U.S. Ambassador to the Czech Republic (2011-2014); Special Assistant and Special Counsel to the President (2009-2011); Visiting Fellow, The Brookings Institution
Bruce Freed, Founder and President, Center for Political Accountability
Steve Israel, Member, U.S. House of Representatives (D-NY)
Roger Katz, Chair, Government Oversight Committee, Maine State Senate (R)
Allen Loughry, Justice, Supreme Court of Appeals of West Virginia
Chuck Merin, Executive Vice President, Prime Policy Group; Lobbyist
Connie Morella, Ambassador to OECD (2003-2007); Member, U.S. House of Representatives (R-Md., 1987-2003)
Jeffrey Peck, Principal, Peck Madigan Jones; Lobbyist
Nick Penniman, Executive Director, Issue One
Trevor Potter, Commissioner, Federal Election Commission (1991-1995; Chairman,1994)
John Pudner, Executive Director, Take Back Our Republic
Ann Ravel, Commissioner, Federal Election Commission (Chairwoman, 2015)
Timothy Roemer, Ambassador to India (2009-2011); Member, U.S. House of Representatives (D-Ind., 1991-2003); member 9/11 Commission; Senior Strategic Advisor to Issue One
John Sarbanes, Member, U.S. House of Representatives (D-Md.)
Claudine Schneider, Member, U.S. House of Representatives (R-R.I.,1981-1991)
Peter Schweizer, President, Government Accountability Institute
Zephyr Teachout, CEO, Mayday PAC
Lucas Welch, Executive Director, The Pluribus Project
Fred Wertheimer, Founder and President, Democracy 21
Tim Wirth, Member, U.S. Senate (D-Colo.,1987-1993); Member, U.S. House of Representatives (D-Colo.,1975-1987)
Dan Wolf, Chair, Committee on Steering and Policy, Massachusetts State Senate (D)

Click here for a full agenda.

Video

Audio

Transcript

Event Materials

       




academic and careers

Finding solutions to the campaign finance crisis


Last week, over 100 experts from across the U.S. came together at the Brookings Institution on the sixth anniversary of the Citizens United decision to analyze its disastrous consequences and how to repair them. The room was as diverse as it was packed. Two dozen current and former members of Congress, representatives of the executive and judicial branches, both state and federal, attended. They sat side-by-side with business leaders and lobbyists, activists and scholars. Conservatives and Tea Party leaders mingled with liberals and progressives. All were united by their agreement that the current system is broken—and their determination to fix it.

Several points of consensus emerged from the half day event.

First, we are facing a crisis due to the flood of money that is drowning American democracy. For example, Congressman Steve Israel expanded on his recent New York Times op-ed describing why he his quitting Congress. He related his experience of calling potential campaign donors from a small cubicle off the Capitol grounds—a practice referred to as “call time.” Invoking images from The Wolf of Wall Street, Congressman Israel compared the practice to “selling penny stocks, only it’s shares of democracy that are being traded.” The result is voter disillusionment– voters increasingly feeling like their voices are not heard because they cannot make large political contributions. Author Peter Schweizer, President of the Government Accountability Institute, argued that businesses suffer under this system as well. From his perspective, “Businesses … are targeted by politicians in the search for cash,” in a type of extortion by which politicians use their influence to benefit only those who can pay up. The Executive Director of Take Back our Republic, John Pudner, argued that the campaign finance system is the single greatest threat to national security—if domestic interests can purchase influence in our system, international interests can figure out a way to do so as well.

Ambassador Eisen with Congressman Steve Israel (D-NY 3) 

Second, there is hope for a fix. There are a wide range of innovative solutions at hand, many of which have already been successfully deployed at the state and local levels. Commissioner and outgoing Chair Ann Ravel of the Federal Election Commission laid out a reform agenda for that organization. John Bonifaz of Free Speech for People advocated for a 28th amendment allowing for campaign spending limits, reminding the audience, “We have done this before in our nation’s history; 27 times before. Seven of those times to overturn egregious Supreme Court rulings.” Fred Wertheimer urged strategies to capitalize on the small donor revolution that technology has ushered in, as well as a renewed push for public finance. Judges and legislators from states across the union discussed how public finance and other remedies are working at the state and local levels. Still others advocated solutions including a pledge that would commit politicians to ethical fundraising standards and campaign finance reform agendas when in office; reform in the Federal Election Commission to allow greater enforcement authority; corporate governance policies that require publically held companies to openly disclose political contributions and be accountable to their shareholders; and many, many more specific solutions to tackle the problem from all sides.

Third, and perhaps the most important takeaway from the event, was that those fixes are in political reach. Expert after expert, all from vastly different backgrounds and political orientations, argued that we are much closer to achieving these solutions than we think. The entire program was evidence of that—the size, diversity, and passion of the attendees mirroring a nation of voters who are demanding their representatives do what’s necessary to fix our broken campaign finance system. In the concluding panel, Congressman John Sarbanes predicted, “I think the public is going to demand this. That’s why the time is now. The broad public has arrived at a moment where they are demanding a response to the way they feel. If they don’t get it from some of the solutions we’re proposing, because we don’t educate them that those solutions are there, they’re going to grab a pitchfork and they’re going to go somewhere else. But there’s plenty of evidence that the public will not be denied some remedy to the way they feel.”

The full audio of the event, which includes further discussion of many solutions and the reasons why they are so necessary, can be found on the event page. By clicking there, you can see all the featured speakers, and many more experts participated from the audience floor. Give a listen and you will see why it was such a remarkable day, and why change is nearer that you may think.

Authors

Image Source: © Jonathan Ernst / Reuters
       




academic and careers

More solutions from the campaign finance summit


We have received many emails and calls in response to our blog last week about our campaign finance reform “Solutions Summit," so we thought we would share some pictures and quotes from the event. Also, Issue One’s Nick Penniman and I just co-authored an op-ed highlighting the themes of the event, which you can find here.

Ann Ravel, Commissioner of the Federal Election Commission and the outgoing Chairwoman kicked us off as our luncheon speaker. She noted that, “campaign finance issues [will] only be addressed when there is a scandal. The truth is, that campaign finance today is a scandal.”

    

(L-R, Ann Ravel, Trevor Potter, Peter Schweizer, Timothy Roemer)

Commenting on Ann’s remarks from a conservative perspective, Peter Schweizer, the President of the Government Accountability Institute, noted that, “increasingly today the problem is more one of extortion, that the challenge not so much from businesses that are trying to influence politicians, although that certainly happens, but that businesses feel and are targeted by politicians in the search for cash.” That’s Trevor Potter, who introduced Ann, to Peter’s left.

Kicking off the first panel, a deep dive into the elements of the campaign finance crisis, was Tim Roemer, former Ambassador to India (2009-2011), Member of the U.S. House of Representatives, (D-IN, 1991-2003) Member of the 9/11 Commission and Senior Strategic Advisor to Issue One. He explained that “This is not a red state problem. It’s not a blue state problem. Across the heartland, across America, the Left, the Right, the Democrats, the Republicans, Independents, we all need to work together to fix this.”

(L-R, Fred Wertheimer, John Bonifaz, Dan Wolf, Roger Katz, Allen Loughry, Cheri Beasley, Norman Eisen)

Our second panel addressed solutions at the federal and state level.  Here, Fred Wertheimer, the founder and President of Democracy 21 is saying that, “We are going to have major scandals again and we are going to have opportunities for major reforms. With this corrupt campaign finance system it is only a matter of time before the scandals really break out. The American people are clearly ready for a change. The largest national reform movement in decades now exists and it’s growing rapidly.”

Our third and final panel explained why the time for reform is now. John Sarbanes, Member of the U.S. House of Representatives (D-MD) argued that fixes are in political reach. He explains, “If we can build on the way people feel about [what] they’re passionate on and lead them that way to this need for reform, then we’re going to build the kind of broad, deep coalition that will achieve success ultimately.”

 

(L-R in each photo, John Sarbanes, Claudine Schneider, Zephyr Teachout)

Reinforcing John’s remarks, Claudine Schneider, Member of the U.S. House of Representatives (R-RI, 1981-1991) pointed out that “we need to keep pounding the media with letters to the editor, with editorial press conferences, with broad spectrum of media strategies where we can get the attention of the masses. Because once the masses rise up, I believe that’s when were really going to get the change, from the bottom up and the top down.”

Grace Abiera contributed to this post.

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academic and careers

Five reasons for (cautious) optimism about the EU’s future


The European Union (EU) is confronting a series of potentially existential threats, including the refugee crisis, ISIS terror, Russian adventurism, and Brexit (the potential exit of the U.K. from the EU).  I hosted Czech Prime Minister Bohuslav Sobotka at Brookings to get his fundamentally (but carefully) optimistic take on how he and his fellow EU leaders can meet those challenges. Here are five reasons for optimism that emerged from our conversation: 

  1. Take the Fight to Daesh.  The PM made clear Europe’s determination to take on the terror and refugee issues at their source in Iraq, Syria, and Libya.  Just this week, the Czech Republic upped its commitment to the international coalition, announcing that it will send a team to train Iraqis using U.S. made L-159 fighter jets (also sold to Iraq by Prague).  With transatlantic leadership, these efforts are starting to bear fruit in the decay of ISIS.
  2. Never Let a Good Crisis Go to Waste. As part of addressing today’s refugee crisis, Europe is exploring multi-lateral efforts to construct a common European border service, integrate refugee populations, and promote internal security.  The process is painful, but filling these gaps will make the European Union stronger.
  3. Stand Strong With Ukraine.  Some predicted that European unity against Putin’s expansionism would not hold.  Instead, the EU and the United States have maintained their resolve in enacting sanctions.  That has strengthened the EU, but as the PM pointed out, now Ukraine and its supporters must make sure that state moves towards good governance and functionality. 
  4. Taking the Exit Out of Brexit.  The PM predicted that the U.K. would not exit the EU.  When I pressed him on why, he acknowledged that there were elements of wishing and hoping in that forecast, and that the vote comes at a tough moment.  But I share the PM’s hopes—the U.K. is not one to leave friends when times get tough.
  5. Never Forget to Remember.  The PM and I spent a lot of time discussing the ups and downs of Central Europe’s experiment with democracy over the past century.  He and his Czech colleagues—of all mainstream political parties—are acutely aware of that history, and that too gives me hope that it will not be repeated.

Immense challenges can destabilize and divide—but they also present opportunities for new collaboration and cohesion. If addressed in partnership, Europe’s current trials can ultimately strengthen the ties that bind the EU together.  

Watch the full discussion here.

Andrew Kenealy contributed to this post. 

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Image Source: Paul Morigi
       




academic and careers

Challenges to the future of the EU: A Central European perspective


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March 31, 2016
10:00 AM - 11:00 AM EDT

Falk Auditorium
Brookings Institution
1775 Massachusetts Avenue, N.W.
Washington, DC 20036

A conversation with Prime Minister of the Czech Republic Bohuslav Sobotka



Today, the European Union faces critical risks to its stability. The possibility of a Brexit. The ongoing Ukraine/Russia conflict. The strain of mass migration. ISIL and other terrorism threats. The lingering financial crisis in Greece and beyond. These issues pose distinct challenges for the EU, its 28 member countries, and their 500 million citizens. How will these developing problems affect Europe?          

On March 31, Governance Studies at Brookings hosted Czech Prime Minister Bohuslav Sobotka to discuss the current status of the EU as seen through the lens of a Central European nation, close U.S. NATO ally and current Chair of the Visegrad Group. Prime Minister Sobotka offered insight into how the EU will address these issues, and where its future lies.

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academic and careers

Can the Department of Veterans Affairs be modernized?


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June 20, 2016
2:00 PM - 3:00 PM EDT

Falk Auditorium
Brookings Institution
1775 Massachusetts Avenue NW
Washington, DC 20036

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A conversation with VA Secretary Robert McDonald

This program was aired live on CSPAN.org » 



With the demand for its services constantly evolving, the Department of Veterans Affairs (VA) faces complex challenges in providing accessible care to America’s veterans. Amidst a history of long patient wait times, cost overruns, and management concerns, the VA recently conducted a sweeping internal review of its operations.  The result was the new MyVA program.

How will MyVA improve the VA’s care of veterans? What will it do restore public confidence in its efforts? What changes is the VA undergoing to address both internal concerns and modern challenges in veteran care? 

On June 20, Governance Studies at Brookings hosted VA Secretary Robert McDonald. Secretary McDonald described the VA’s transformation strategy and explained how the reforms within MyVA will impact veterans, taxpayers and other stakeholders. He addressed lessons learned not just for the VA but for all government agencies that strive to achieve transformation and improve service delivery.

This event was broadcast live on C-SPAN.

Join the conversation on Twitter at #VASec and @BrookingsGov

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