1. ETHICAL CONSIDERATIONS September 18, 2015

2. Ethics in State Government Ethics CodeInspector General Establish Code of Ethics Educate & Advise Investigate State Ethics Commission Interpret Code of Ethics Adjudicate Complaints

3. Risks Assessment Gifts & Donor Restrictions Conflict of Interests Post-Employment

4. 42 IAC 1-5-1 & 42 IAC 1-5-2 Gifts & Donor Restrictions

5. “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.

6. Donor Restrictions  Gifts  Favors  Services  Entertainment  Food  Drink  Travel Expenses  Registration Fees

7. 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?

9. Decisions and Votes IC 4-2-6-9 Conflicts of Interest

10. 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.

11.  Written Disclosure Conflicts of Interest  Formal Advisory Opinion

12. 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

13. 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

14. 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

15. IC 4-2-6-11 Post Employment

16. 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

17. Waivers of Post-Employment Restrictions 1. Signatures 2. Supporting information 3. File with Commission for review and approval 4. Timing

18. Questions? Office of the Inspector General 317-232-3850 ccarrasco@ig.IN.gov Department of Insurance 317-232-2403 mbrumbaugh@idoi.IN.gov Cynthia CarrascoMeggan Brumbaugh