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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?
Click icon to add picture
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
Department of Insurance
317-232-2403
v
Cynthia Carrasco Meggan Brumbaugh