Ethics: The High Risk Areas Holly Williams, IDOI Deputy General Counsel & Ethics officer Cynthia Carrasco, Inspector General September 13, 2016

Establish Code of Ethics Advise Law Enforcement Agency Investigate Educate Who we are and What we do: Office of Inspector General

Who we are and What we do: State Ethics Commission Monthly Meetings 5 members Advise Adjudicate

Gifts Conflict of Interests Conflict of Interests Post-Employment Highest Risk Areas Gifts Conflict of Interests Conflict of Interests Post-Employment

Gifts & Donor Restrictions “Business Relationship” 42 IAC 1-5-1 42 IAC 1-5-2 “Business Relationship” 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.

Code of Ethics - Contractors Donor Restrictions Code of Ethics - Contractors Gifts Favors Services Entertainment Food Drink Travel Expenses Registration Fees

Donor Restrictions Rule 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? Gifts & Donor Restrictions What happens if IDOI receives an impermissible gift?

Conflict of Interests 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. Conflict of Interests IC 4-2-6-9

Conflict of Interests Formal Opinions Written Disclosure

Conflict of Interests 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 Conflict of Interests IC 4-2-6-9

Employment Negotiations Conflict of Interests 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

Conflict of Interests 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 Conflict of Interests IC 4-2-6-9

Post-Employment Changes Effective July 1, 2015 IC 4-2-6-11 Changes Effective July 1, 2015 Two-year exception to the contracting provision of the cooling off period Application of cooling off period to ALJs Sole Proprietorship / Professional Practice Disclosure Requirement Waiver Requirements

Post-Employment Restrictions Waivers of Post-Employment Restrictions Signatures Supporting information File with Commission for review and approval Timing Post-Employment IC 4-2-6-11

Questions? Holly Williams Cynthia Carrasco Indiana Department of Insurance Telephone: 317-232-2404 Fax: 317-234-2102 Email: HoWilliams@idoi.in.gov Cynthia Carrasco Indiana Office of Inspector General Telephone: 317-232-3850 Fax: 317-232-0707 Email: info@ig.in.gov