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Ethics: The High Risk Areas

Learn how to establish and enforce a code of ethics in law enforcement to address high-risk areas like gifts, conflicts, and post-employment issues. Get expert advice from the Office of Inspector General and State Ethics Commission. Understand the regulations, disclosure requirements, and procedures to navigate ethical challenges effectively. Contact the professionals listed for more information and guidance.

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Ethics: The High Risk Areas

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  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 Advise 5 members Adjudicate

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

  5. Gifts & Donor Restrictions 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.

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

  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? Gifts & Donor Restrictions

  9. 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

  10. Formal Opinions Written Disclosure Conflict of Interests

  11. 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

  12. Employment Negotiations Conflict of Interests • 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

  13. 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

  14. Changes Effective July 1, 2015 Post-Employment IC 4-2-6-11 • 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. Waivers of Post-Employment Restrictions • Signatures • Supporting information • File with Commission for review and approval • Timing Post-Employment IC 4-2-6-11

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

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