ETHICAL CONSIDERATIONS

September 18, 2015

Ethics in State Government

Ethics Code

Inspector General

EstablishCode of Ethics

Educate&

Advise

Investigate

State Ethics Commission

Interpret Code of Ethics

Adjudicate Complaints

Risks Assessment

Gifts & Donor RestrictionsConflict of Interests

Post-Employment

42 IAC 1-5-1 & 42 IAC 1-5-2

Gifts & Donor Restrictions

“Business Relationship”

IC 4-2-6-1(a)(5)

Dealings of a person with an agency seeking, obtaining, establishing, maintaining, or implementing:

(i) a pecuniary interest in a contract or purchase with the agency; or

(ii) a license or permit requiring the exercise of judgment or discretion by the agency.

The relationship a lobbyist has with an agency.

The relationship an unregistered lobbyist has with an agency.

Donor Restrictions

Gifts Favors Services Entertainment Food Drink Travel Expenses Registration Fees

Exceptions to Donor Restrictions Rule

Food or drink consumed at a public meeting to which at least twenty-five (25) individuals are invited

Mementos or souvenirs of nominal value Gifts, favors, services, entertainment, food, or

drinks from relatives, or a person with whom the employee or special state appointee has an ongoing social relationship, under certain circumstances

Nominal refreshments offered to a state employee or a special state appointee conducting official state business

What happens if IDOI receives an impermissible gift?

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Decisions and VotesIC 4-2-6-9

Conflicts of Interest

Changes Effective July 1, 2015

In addition to participating in decisions or votes themselves, officers, employees, and special state appointees are now also prohibited from participating in any matter related to that decision or vote.

A state officer, employee, or special state appointee has a financial interest in a business organization in which he or she serves as a member.

Written Disclosure

Conflicts of Interest

Formal Advisory Opinion

Disclosure Requirements (IC 4-2-6-9(b)(2))

Provide details of the conflict of interest Describe and affirm implementation of a screen

established by the ethics officer Be signed by both employee/special state

appointee/state officer AND ethics officer Include a copy of the disclosure provided to the

appointing authority Be filed no later than seven (7) days after the

conduct that gives rise to the conflict

The disclosure will be posted on the OIG’s website

Employment Negotiations

Negotiations commence as soon as parties begin discussing potential employment, regardless of who initiates contact

Merely submitting a resume does not amount to negotiating, but a formal submission is not a required element

One telephone call or email response could be enough to trigger application

IDOI Ethical Screens

Identify areas where contact outside of employment negotiations could occur

Notify IDOI Chiefs and employee’s supervisor and co-workers of the parameters of the screen

Identify a contact person so that notification can be sent to the prospective employer

Ask for acknowledgement of the terms of the ethical screen.

Seek guidance from the OIG and SEC

IC 4-2-6-11

Post Employment

Changes Effective July 1, 2015

1. Two-year exception to the contracting provision of the cooling off period

2. Application of cooling off period to ALJs

3. Sole Proprietorship / Professional Practice Disclosure Requirement

4. Waiver Requirements

Waivers of Post-Employment Restrictions

1. Signatures2. Supporting information3. File with Commission for review and

approval4. Timing

Questions?

Office of the Inspector

General

317-232-3850

ccarrasco@ig.IN.gov

Department of Insurance

317-232-2403

mbrumbaugh@idoi.IN.go

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Cynthia Carrasco Meggan Brumbaugh