Revolving Door Restrictions: State Level

Revolving Door Restrictions: State Level

Ethics Claire Szpara, Attorney and Ethics Officer, IDOI Heidi Adair, Staff Attorney, OIG Lets Get Ethical! Introduction to the OIG & State Ethics Commission Adjudicate Complaints

Investigate Complaints Advice Mevo Creative Presentation 3 Establi sh Code of

Ethics Law Enforcem ent Agency Advise Educat e

Investiga te WHO we are and WHAT we do: Office of Inspector General Mevo Creative Presentation 4 WHO we are and WHAT we do: State Ethics Commission

5 membe rs Mevo Creative Presentation Monthl y Meetin gs

Advise Adjudic ate 5 WHERE? Executive State

Agencies Mevo Creative Presentation Boards & Commissions Contractors 6 WHY was the

Office of Inspector General created? Hoosiers deserve to know that government decisions are being made in the public interest, not because of gifts, political contributions, or undue influence; ... It is imperative that clear ethics guidelines be developed and rigorously enforced to ensure that

all state employees meet the highest standards of conduct; - Executive Order 05-03 Why focus on Executive Branch? Majority are appointed Executive Branch has by far the greatest number of employees and budgeted dollars of any of the three branches of government

Employees in the Executive Branch are entrusted to make many discretionary decisions affecting all levels of government operations HOW? Executive Order 0503 Gov. Daniels vision IC 4-2-7

Creation of OIG IC 4-26 Mevo Creative Presentation Serve as public watchdog Root out fraud and ethical misconduct Responsible for addressing fraud, abuse, and wrongdoing in agencies

Creation of State Ethics Commission Ethics Statutes for Code of Ethics (42 IAC 1) 9 OIG Tools Law Enforcement Office with subpoena and arrest powers Confidentiality for reporting parties and investigations Protections against retaliation

for reporting parties Ability to prosecute cases if local prosecutor wont accept OIG/SEC Tools Informal Advisory Opinions 300 + per year Formal Advisory Opinions Educational offerings voluntary and mandatory

Indiana Code of Ethics 42 IAC 1-5-1 Gifts; Travel Expenses; Waivers 42 IAC 1-5-2 Donor Restrictions 42 IAC 1-5-3 Honoraria 42 IAC 1-5-4 Political Activity 42 IAC 1-5-5 Moonlighting 42 IAC 1-5-6 Conflicts Of Interests; Decisions And Voting 42 IAC 1-5-7 Conflicts Of Interests; Contracts 42 IAC 1-5-8 Additional Compensation 42 IAC 1-5-9 Bribery 42 IAC 1-5-10

Benefiting From Confidential Information 42 IAC 1-5-11 Divulging Confidential Information 42 IAC 1-5-12 Use Of State Property 42 IAC 1-5-13 Ghost Employment 42 IAC 1-5-14 Post-employment Restrictions 42 IAC 1-5-15 Nepotism

42 IAC 1-5-16 Communications by State Officers Who does Ethics Code apply to? 1)State employees 2)State officers 3)Special state appointees 4)Persons who have a business relationship with the State

What does this mean to a regulated entity? Executive branch lobbyists may not serve as special state appointees, except on advisory bodies. If you have a business relationship with an agency, you are subject to the nepotism and gift rules. If you profited by virtue of an employee, state official or special state appointee violation, the commission may revoke your license or permit, revoke the registration of a person registered as a lobbyist or bar you from obtaining a license, permit or lobbying activity with a state officer or agency. Indiana Code of Ethics

Gifts State workers: Do not accept a gift from a person who has a business relationship with your agency (42 IAC 1-5-1) Those outside of state government: Do not offer a gift to a state employee or special state appointee if you have a business relationship with the employees/special state appointees agency (42 IAC 1-5-2)

Business Relationship? Definition: Dealings of a person Seeking, obtaining, establishing, maintaining or implementing A pecuniary interest in a contract or purchase A license or permit requiring the exercise of judgment or discretion The relationship of a lobbyist, including an unregistered lobbyist What does this mean to a regulated entity?

HAVE a business relationship SEEK a business relationship SEEK to influence an employee, state official or special state appointee in official capacity What is a gift? Gift Favor Service Entertainment

Food/Drink Travel expenses Registration Fees When is something not a gift? Multiple exceptions Nominal value Reimbursement to Treasurer of State

Additional Compensation State workers cannot accept any additional compensation for doing their job. This includes any money, thing of value, or financial benefit.

Conflicts of Interests COI: Decisions and Votes IC 4-2-6-9 COI: Contracts IC 4-2-6-10.5 COI: Outside employment/moonlighting IC 4-2-6-5.5 Conflicts of Interests State Workers:

Do not participate in decisions/votes, or related matters, if you know that you, an immediate family member, a business organization you serve (as employee, director, officer, member, etc.), or any person/organization with whom you are negotiating employment has a financial interest in the outcome. COI: Areas of Concern

Relationships Boards and Commissions Employment Negotiations Outside employment/moonlighting Outside employment State workers: do not take a second job that would

conflict with your state job; do not use confidential information; do not use your state position for personal gain Regulated entities: though tempting to hire an expert in the field for contract work, consulting, etc. be careful that the state worker will not have any conflicts of interests Post-employment Cooling off requirement - IC 4-2-6-11(b) revolving door

executive branch lobbying negotiation/administration of state contract regulatory/licensing decisions Post-employment Particular Matters IC 4-2-6-11(a) (1) an application (8) a judicial proceeding

(2) a business transaction (3) a claim (9) a lawsuit (10) a license (4) a contract (11) an economic development project (5) a determination

(12) a public works project (6) an enforcement proceeding (7) an investigation Post-employment Particular Matters Restriction - IC 4-2-6-11(c) Life of the matter (not limited to one-year) Personal and substantial participation as state worker

Nepotism Nepotism - IC 4-2-6-16 Do not hire/supervise a relative Do not contract with a relative Applied Ethics Scenarios Scenario

State agency with independent contactors Independent contractor hosts paid luncheon for agency employees Independent contractor sends $20 gift cards to agency employees Is there an ethics violation? Scenario Employee of regulated entity is working closely with an IDOI attorney/ employee on a project Become friends Invited to IDOI employees wedding Attend the wedding and bring a gift

Is there an ethics violation? Scenario Agency employee applying for scholarship Scholarship offered by an agency vendor Agency employee would not receive direct payments from vendor Is there an ethics violation? Scenario Agency employee very helpful on project Want to maintain this relationship, let them know they did a really

great job Send thank you note and $20 gift card to the employee Is there an ethics violation? Scenario Full-time agency employee looking for part-time position Part-time employer has contract with agency Part-time position has interaction with agency employees Is there an ethics violation? Scenario

Agency employee applied for outside position Agency has regulatory authority over outside entity Agency employee involved in pending investigation involving subsidiary of entity Agency proposed screening procedure Is there an ethics violation? Scenario Agency employee with consultant side job Did not obtain approval for outside employment from supervisors Agency employee created self-monitored screen and limited clients to

those unrelated to agency position Is there an ethics violation? Scenario Agency employee sells handmade items on Etsy Tells you about this side business when at your place of business discussing a contract/claim She leaves her card with you Holidays roll around, you buy your significant other something from the state employees Etsy store Is there an ethics violation?

Scenario Family members are all insurance professionals You just started a new job at an insurance firm and one of your first assignments is submitting a claim to IDOI You find out your brother is in charge of the group at IDOI who will approve/deny the claim Is there an ethics violation? Scenario Wife is chief of staff of state agency

Looking to contract with PR firm to deal with some bad publicity Need to move very quickly, Husband is executive at PR firm Wife hires this firm Is there an ethics violation?

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