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

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

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

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

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

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

7. 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

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

9. 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

10. Conflict of Interests
Formal Opinions
Written Disclosure

11. 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

12. 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 response could be enough to trigger application

13. 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

14. Post-Employment Changes Effective July 1, 2015IC
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

15. Post-Employment Restrictions
Waivers of
Post-Employment Restrictions
Signatures
Supporting information
File with Commission for review and approval
Timing
Post-Employment IC

16. Questions? Holly Williams Cynthia Carrasco
Indiana Department of Insurance Telephone: Fax:
Cynthia Carrasco
Indiana Office of Inspector General Telephone: Fax: