CHAPTER 6. ETHICS AND CONFLICTS OF INTEREST
IC 4-2-6
Chapter 6. Ethics and Conflicts of Interest
IC 4-2-6-1
Definitions
Sec. 1. (a) As used in this chapter, and unless the context clearlydenotes otherwise:
(1) "Advisory body" means an authority, a board, a commission,a committee, a task force, or other body designated by any nameof the executive department that is authorized only to makenonbinding recommendations.
(2) "Agency" means an authority, a board, a branch, a bureau,a commission, a committee, a council, a department, a division,an office, a service, or other instrumentality of the executive,including the administrative, department of state government.The term includes a body corporate and politic set up as aninstrumentality of the state and a private, nonprofit, governmentrelated corporation. The term does not include any of thefollowing:
(A) The judicial department of state government.
(B) The legislative department of state government.
(C) A state educational institution.
(D) A political subdivision.
(3) "Appointing authority" means the chief administrativeofficer of an agency. The term does not include a state officer.
(4) "Assist" means to:
(A) help;
(B) aid;
(C) advise; or
(D) furnish information to;
a person. The term includes an offer to do any of the actions inclauses (A) through (D).
(5) "Business relationship" includes the following:
(A) Dealings of a person with an agency seeking, obtaining,establishing, maintaining, or implementing:
(i) a pecuniary interest in a contract or purchase with theagency; or
(ii) a license or permit requiring the exercise of judgmentor discretion by the agency.
(B) The relationship a lobbyist has with an agency.
(C) The relationship an unregistered lobbyist has with anagency.
(6) "Commission" refers to the state ethics commission createdunder section 2 of this chapter.
(7) "Compensation" means any money, thing of value, orfinancial benefit conferred on, or received by, any person inreturn for services rendered, or for services to be rendered,whether by that person or another.
(8) "Employee" means an individual, other than a state officer,who is employed by an agency on a full-time, a part-time, a
temporary, an intermittent, or an hourly basis. The termincludes an individual who contracts with an agency forpersonal services.
(9) "Employer" means any person from whom a state officer oremployee or the officer's or employee's spouse receivedcompensation. For purposes of this chapter, a customer or clientof a self-employed individual in a sole proprietorship or aprofessional practice is not considered to be an employer.
(10) "Financial interest" means an interest:
(A) in a purchase, sale, lease, contract, option, or othertransaction between an agency and any person; or
(B) involving property or services.
The term includes an interest arising from employment orprospective employment for which negotiations have begun.The term does not include an interest of a state officer oremployee in the common stock of a corporation unless thecombined holdings in the corporation of the state officer or theemployee, that individual's spouse, and that individual'sunemancipated children are more than one percent (1%) of theoutstanding shares of the common stock of the corporation. Theterm does not include an interest that is not greater than theinterest of the general public or any state officer or any stateemployee.
(11) "Information of a confidential nature" means information:
(A) obtained by reason of the position or office held; and
(B) which:
(i) a public agency is prohibited from disclosing underIC 5-14-3-4(a);
(ii) a public agency has the discretion not to disclose underIC 5-14-3-4(b) and that the agency has not disclosed; or
(iii) is not in a public record, but if it were, would beconfidential.
(12) "Person" means any individual, proprietorship, partnership,unincorporated association, trust, business trust, group, limitedliability company, or corporation, whether or not operated forprofit, or a governmental agency or political subdivision.
(13) "Political subdivision" means a county, city, town,township, school district, municipal corporation, special taxingdistrict, or other local instrumentality. The term includes anofficer of a political subdivision.
(14) "Property" has the meaning set forth in IC 35-41-1-23.
(15) "Represent" means to do any of the following on behalf ofa person:
(A) Attend an agency proceeding.
(B) Write a letter.
(C) Communicate with an employee of an agency.
(16) "Special state appointee" means a person who is:
(A) not a state officer or employee; and
(B) elected or appointed to an authority, a board, acommission, a committee, a council, a task force, or other
body designated by any name that:
(i) is authorized by statute or executive order; and
(ii) functions in a policy or an advisory role in theexecutive (including the administrative) department ofstate government, including a separate body corporate andpolitic.
(17) "State officer" means any of the following:
(A) The governor.
(B) The lieutenant governor.
(C) The secretary of state.
(D) The auditor of state.
(E) The treasurer of state.
(F) The attorney general.
(G) The superintendent of public instruction.
(18) The masculine gender includes the masculine andfeminine.
(19) The singular form of any noun includes the plural whereverappropriate.
(b) The definitions in IC 4-2-7 apply throughout this chapter.
(Formerly: Acts 1974, P.L.4, SEC.2.) As amended by P.L.13-1987,SEC.4; P.L.5-1988, SEC.18; P.L.9-1990, SEC.1; P.L.15-1992,SEC.1; P.L.8-1993, SEC.7; P.L.22-1995, SEC.1; P.L.5-1996, SEC.1;P.L.44-2001, SEC.1; P.L.222-2005, SEC.1; P.L.89-2006, SEC.1;P.L.2-2007, SEC.19.
IC 4-2-6-2
Commission; creation; membership; vacancies
Sec. 2. (a) There is created a state ethics commission.
(b) The commission is composed of five (5) members appointedby the governor.
(c) No more than three (3) commission members shall be of thesame political party. A person who:
(1) holds an elected or appointed office of the state;
(2) is employed by the state; or
(3) is registered as a lobbyist under IC 4-2-7;
may not be a member of the commission. The governor shalldesignate one (1) member of the commission as the chairperson.Each appointment to the commission is for a period of four (4) years.A vacancy shall be filled by the governor for the unexpired term.
(d) The inspector general shall provide rooms and staff assistancefor the commission.
(Formerly: Acts 1974, P.L.4, SEC.2.) As amended by P.L.13-1987,SEC.5; P.L.222-2005, SEC.2; P.L.89-2006, SEC.2.
IC 4-2-6-2.1
Compensation of members
Sec. 2.1. Each member of the commission is entitled to theminimum salary per diem provided by IC 4-10-11-2.1(b). A memberis entitled to reimbursement for travel expenses and other expensesactually incurred in connection with the member's duties, as provided
in the state travel policies and procedures established by thedepartment of administration and approved by the budget agency.
As added by P.L.9-1990, SEC.2.
IC 4-2-6-2.5
Jurisdiction of commission
Sec. 2.5. The commission has jurisdiction over the followingpersons:
(1) A current or former state officer.
(2) A current or former employee.
(3) A person who has or had a business relationship with anagency.
(4) A current or former special state appointee.
As added by P.L.9-1990, SEC.3. Amended by P.L.15-1992, SEC.2;P.L.222-2005, SEC.3.
IC 4-2-6-3
Repealed
(Repealed by P.L.222-2005, SEC.50.)
IC 4-2-6-4
Commission; powers and duties; inspector general; complaintsopen to public inspection after finding probable cause; exceptions
Sec. 4. (a) The commission may do any of the following:
(1) Upon a vote of four (4) members, refer any matter within theinspector general's authority to the inspector general forinvestigation.
(2) Receive and hear any complaint filed with the commissionby the inspector general that alleges a violation of:
(A) this chapter;
(B) a rule adopted under this chapter;
(C) IC 4-2-7;
(D) a rule adopted under IC 4-2-7;
(E) IC 4-2-8; or
(F) a rule adopted under IC 4-2-8.
(3) Obtain information and, upon a vote of four (4) members,compel the attendance and testimony of witnesses and theproduction of pertinent books and papers by a subpoenaenforceable by the circuit or superior court of the county wherethe subpoena is to be issued.
(4) Recommend legislation to the general assembly relating tothe conduct and ethics of state officers, employees, special stateappointees, and persons who have business relationships withagencies.
(5) Adopt rules under IC 4-22-2 to implement this chapter.
(6) Accept and file information:
(A) voluntarily supplied; and
(B) that exceeds the requirements of this chapter.
(7) Conduct research.
(b) The commission shall do the following: (1) Act as an advisory body by issuing advisory opinions tointerpret this chapter, IC 4-2-7, or the rules adopted under thischapter or IC 4-2-7, upon:
(A) request of:
(i) a state officer or a former state officer;
(ii) an employee or a former employee;
(iii) a person who has or had a business relationship withan agency;
(iv) a special state appointee or former special stateappointee; or
(v) the inspector general; or
(B) motion of the commission.
(2) Conduct its proceedings in the following manner:
(A) When a complaint is filed with the commission, thecommission may:
(i) reject, without further proceedings, a complaint that thecommission considers frivolous or inconsequential;
(ii) reject, without further proceedings, a complaint thatthe commission is satisfied has been dealt withappropriately by an agency;
(iii) upon the vote of four (4) members, determine that thecomplaint does not allege facts sufficient to constitute aviolation of this chapter or the code of ethics and dismissthe complaint; or
(iv) forward a copy of the complaint to the attorneygeneral, the prosecuting attorney of the county in whichthe alleged violation occurred, the state board of accounts,a state officer, the appointing authority, or otherappropriate person for action, and stay the commission'sproceedings pending the other action.
(B) If a complaint is not disposed of under clause (A), acopy of the complaint shall be sent to the person alleged tohave committed the violation.
(C) If the complaint is not disposed of under clause (A), thecommission may promptly refer the alleged violation foradditional investigation by the inspector general. If thecommission finds by a majority vote that probable causeexists to support an alleged violation, it shall set a publichearing on the matter. The respondent shall be notifiedwithin fifteen (15) days of the commission's determination.Except as provided in this section, the commission'sevidence relating to an investigation is confidential.
(D) A complaint filed with the commission is open forpublic inspection after the commission finds that probablecause exists. However, a complaint filed by the inspectorgeneral that contains confidential information underIC 4-2-7-8 may be redacted to exclude the confidentialinformation. Every hearing and other proceeding in whichevidence is received by the commission is open to the public.Investigative reports by the inspector general that are not
filed with the commission may be kept confidential.
(E) A:
(i) complaint that is filed with; or
(ii) proceeding that is held by;
the commission before the commission has found probablecause is confidential unless the target of the investigationelects to have information disclosed, or the commissionelects to respond to public statements by the person whofiled the complaint.
(F) The commission may acknowledge:
(i) the existence and scope of an investigation before thefinding of probable cause; or
(ii) that the commission did not find probable cause tosupport an alleged violation.
(G) If a hearing is to be held, the respondent may examineand make copies of all evidence in the commission'spossession relating to the charges. At the hearing, thecharged party shall be afforded appropriate due processprotection consistent with IC 4-21.5, including the right tobe represented by counsel, the right to call and examinewitnesses, the right to introduce exhibits, and the right tocross-examine opposing witnesses.
(H) After the hearing, the commission shall state its findingsof fact. If the commission, based on a preponderance of theevidence, finds by a majority vote that the respondent hasviolated this chapter, IC 4-2-7, IC 4-2-8, or a rule adoptedunder this chapter, IC 4-2-7, or IC 4-2-8, it shall state itsfindings in writing in a report, which shall be supported andsigned by a majority of the commission members and shallbe made public.
(I) If the commission, based on a preponderance of theevidence, finds by a majority vote a violation of this chapter,IC 4-2-7, IC 4-2-8, or a rule adopted under this chapter,IC 4-2-7, or IC 4-2-8, the commission may also take any ofthe actions provided in section 12 of this chapter.
(J) The report required under clause (H) shall be presentedto:
(i) the respondent;
(ii) the appointing authority or state officer of theemployee, former employee, or special state appointee;
(iii) the appointing authority or state officer of an agencyor office that has a business relationship with the personsanctioned; and
(iv) the governor.
(K) The commission may also forward the report to any ofthe following:
(i) The prosecuting attorney of each county in which theviolation occurred.
(ii) The state board of accounts.
(iii) The state personnel director. (iv) The attorney general.
(v) A state officer.
(vi) The appointing authority of the state employee oragency that has a business relationship with the personsanctioned.
(vii) Any other appropriate person.
(L) If the commission finds the respondent has not violateda code or statutory provision or a rule adopted under thischapter, IC 4-2-7, or IC 4-2-8, it shall dismiss the charges.
(3) Review all conflict of interest disclosures received by thecommission under IC 35-44-1-3, maintain an index of thosedisclosures, and issue advisory opinions and screeningprocedures as set forth in section 9 of this chapter.
(c) Notwithstanding IC 5-14-3-4(b)(8)(C), the records of thecommission concerning the case of a respondent that are notconfidential under IC 5-14-3-4(b)(2)(C) shall be available forinspection and copying in accordance with IC 5-14-3.
(Formerly: Acts 1974, P.L.4, SEC.2.) As amended by P.L.12-1983,SEC.4; P.L.13-1987, SEC.7; P.L.5-1988, SEC.19; P.L.9-1990,SEC.4; P.L.15-1992, SEC.3; P.L.44-2001, SEC.2; P.L.222-2005,SEC.4; P.L.89-2006, SEC.3.
IC 4-2-6-4.3
Commission meetings; remote participation by member; effect ofparticipation and votes
Sec. 4.3. (a) This section applies to a commission meeting atwhich at least three (3) members of the commission are physicallypresent at the place where the meeting is being conducted. Thecommission may not conduct a hearing under section 4(b)(2)(G) ofthis chapter under this section.
(b) A commission member may participate in a commissionmeeting by using a means of communication that permits:
(1) all other commission members participating in the meeting;and
(2) all members of the public physically present at the placewhere the meeting is being conducted;
to communicate simultaneously with each other during the meeting.
(c) A commission member who participates in a meeting undersubsection (b) is considered to be present at the meeting.
(d) A commission member who participates in a meeting undersubsection (b) may act as a voting member on official action only ifat least two (2) commission members physically present at the placewhere the meeting is being conducted concur in the official action.
(e) The memoranda of the meeting prepared under IC 5-14-1.5-4must also state the name of each member who:
(1) was physically present at the place where the meeting wasconducted;
(2) participated in the meeting by using a means ofcommunication described in subsection (b); or
(3) was absent. (f) A commission member who participates in a meeting undersubsection (b) may not cast the deciding vote on any official action.
As added by P.L.89-2006, SEC.4.
IC 4-2-6-4.5
Violations reported; report to commission of action taken
Sec. 4.5. Whenever an appointing authority or a state officerreceives a report under section 4(b)(2)(H) of this chapter, theappointing authority or state officer shall report to the commissionthe action taken in response to the report. The commission mayrequire in the report that the appointing authority or the state officersubmit the response required by this section in a reasonable,specified amount of time.
As added by P.L.13-1987, SEC.8. Amended by P.L.9-1990, SEC.5;P.L.89-2006, SEC.5.
IC 4-2-6-5
Repealed
(Repealed by P.L.222-2005, SEC.50.)
IC 4-2-6-5.5
Conflict of interest; advisory opinion by inspector general
Sec. 5.5. (a) A current state officer, employee, or special stateappointee shall not knowingly:
(1) accept other employment involving compensation ofsubstantial value if the responsibilities of that employment areinherently incompatible with the responsibilities of publicoffice or require the individual's recusal from matters so centralor critical to the performance of the individual's official dutiesthat the individual's ability to perform those duties would bematerially impaired;
(2) accept employment or engage in business or professionalactivity that would require the individual to discloseconfidential information that was gained in the course of stateemployment; or
(3) use or attempt to use the individual's official position tosecure unwarranted privileges or exemptions that are:
(A) of substantial value; and
(B) not properly available to similarly situated individualsoutside state government.
(b) A written advisory opinion issued by the commission or theindividual's appointing authority or agency ethics officer grantingapproval of outside employment is conclusive proof that anindividual is not in violation of subsection (a)(1) or (a)(2).
As added by P.L.222-2005, SEC.5. Amended by P.L.89-2006, SEC.6.
IC 4-2-6-6
Present or former state officers, employees, and special stateappointees; compensation resulting from confidential information
Sec. 6. No state officer or employee, former state officer or
employee, special state appointee, or former special state appointeeshall accept any compensation from any employment, transaction, orinvestment which was entered into or made as a result of materialinformation of a confidential nature.
(Formerly: Acts 1974, P.L.4, SEC.2.) As amended by P.L.15-1992,SEC.4; P.L.89-2006, SEC.7.
IC 4-2-6-7
State officers and employees; excess compensation for sale or lease;advisory body member exception
Sec. 7. (a) This section does not apply to a special state appointeewho serves only as a member of an advisory body.
(b) A state officer, employee, or special state appointee may notreceive compensation:
(1) for the sale or lease of any property or service whichsubstantially exceeds that which the state officer, employee, orspecial state appointee would charge in the ordinary course ofbusiness; and
(2) from any person whom the state officer, employee, orspecial state appointee knows or, in the exercise of reasonablecare and diligence should know, has a business relationshipwith the agency in which the state officer, employee, or specialstate appointee holds a position.
(Formerly: Acts 1974, P.L.4, SEC.2.) As amended by P.L.9-1990,SEC.6; P.L.89-2006, SEC.8.
IC 4-2-6-8
Financial disclosure; filing false statement; penalty
Sec. 8. (a) The following persons shall file a written financialdisclosure statement:
(1) The governor, lieutenant governor, secretary of state, auditorof state, treasurer of state, attorney general, and statesuperintendent of public instruction.
(2) Any candidate for one (1) of the offices in subdivision (1)who is not the holder of one (1) of those offices.
(3) Any person who is the appointing authority of an agency.
(4) The director of each division of the department ofadministration.
(5) Any purchasing agent within the procurement division ofthe department of administration.
(6) Any agency employee, special state appointee, formeragency employee, or former special state appointee with finalpurchasing authority.
(7) An employee required to do so by rule adopted by theinspector general.
(b) The statement shall be filed with the inspector general asfollows:
(1) Not later than February 1 of every year, in the case of thestate officers and employees enumerated in subsection (a).
(2) If the individual has not previously filed under subdivision
(1) during the present calendar year and is filing as a candidatefor a state office listed in subsection (a)(1), before filing adeclaration of candidacy under IC 3-8-2 or IC 3-8-4-11, petitionof nomination under IC 3-8-6, or declaration of intent to be awrite-in candidate under IC 3-8-2-2.5, or before a certificate ofnomination is filed under IC 3-8-7-8, in the case of a candidatefor one (1) of the state offices (unless the statement has alreadybeen filed when required under IC 3-8-4-11).
(3) Not later than sixty (60) days after employment or takingoffice, unless the previous employment or office required thefiling of a statement under this section.
(4) Not later than thirty (30) days after leaving employment oroffice, unless the subsequent employment or office requires thefiling of a statement under this section.
The statement must be made under affirmation.
(c) The statement shall set forth the following information for thepreceding calendar year or, in the case of a state officer or employeewho leaves office or employment, the period since a previousstatement was filed:
(1) The name and address of any person known:
(A) to have a business relationship with the agency of thestate officer or employee or the office sought by thecandidate; and
(B) from whom the state officer, candidate, or the employee,or that individual's spouse or unemancipated childrenreceived a gift or gifts having a total fair market value inexcess of one hundred dollars ($100).
(2) The location of all real property in which the state officer,candidate, or the employee or that individual's spouse orunemancipated children has an equitable or legal interest eitheramounting to five thousand dollars ($5,000) or more orcomprising ten percent (10%) of the state officer's, candidate's,or the employee's net worth or the net worth of that individual'sspouse or unemancipated children. An individual's primarypersonal residence need not be listed, unless it also serves asincome property.
(3) The names and the nature of the business of the employersof the state officer, candidate, or the employee and thatindividual's spouse.
(4) The following information about any sole proprietorshipowned or professional practice operated by the state officer,candidate, or the employee or that individual's spouse:
(A) The name of the sole proprietorship or professionalpractice.
(B) The nature of the business.
(C) Whether any clients are known to have had a businessrelationship with the agency of the state officer or employeeor the office sought by the candidate.
(D) The name of any client or customer from whom the stateofficer, candidate, employee, or that individual's spouse
received more than thirty-three percent (33%) of the stateofficer's, candidate's, employee's, or that individual'sspouse's nonstate income in a year.
(5) The name of any partnership of which the state officer,candidate, or the employee or that individual's spouse is amember and the nature of the partnership's business.
(6) The name of any corporation (other than a church) of whichthe state officer, candidate, or the employee or that individual'sspouse is an officer or a director and the nature of thecorporation's business.
(7) The name of any corporation in which the state officer,candidate, or the employee or that individual's spouse orunemancipated children own stock or stock options having afair market value in excess of ten thousand dollars ($10,000).However, if the stock is held in a blind trust, the name of theadministrator of the trust must be disclosed on the statementinstead of the name of the corporation. A time or demanddeposit in a financial institution or insurance policy need not belisted.
(8) The name and address of the most recent former employer.
(9) Additional information that the person making thedisclosure chooses to include.
Any such state officer, candidate, or employee may file an amendedstatement upon discovery of additional information required to bereported.
(d) A person who:
(1) fails to file a statement required by rule or this section in atimely manner; or
(2) files a deficient statement;
upon a majority vote of the commission, is subject to a civil penaltyat a rate of not more than ten dollars ($10) for each day the statementremains delinquent or deficient. The maximum penalty under thissubsection is one thousand dollars ($1,000).
(e) A person who intentionally or knowingly files a falsestatement commits a Class A infraction.
(Formerly: Acts 1974, P.L.4, SEC.2.) As amended by P.L.12-1983,SEC.5; P.L.13-1987, SEC.9; P.L.9-1990, SEC.7; P.L.3-1993,SEC.237; P.L.44-2001, SEC.3; P.L.14-2004, SEC.180;P.L.222-2005, SEC.6; P.L.89-2006, SEC.9.
IC 4-2-6-9
Conflict of economic interests
Sec. 9. (a) A state officer, an employee, or a special stateappointee may not participate in any decision or vote if the stateofficer, employee, or special state appointee has knowledge that anyof the following has a financial interest in the outcome of the matter:
(1) The state officer, employee, or special state appointee.
(2) A member of the immediate family of the state officer,employee, or special state appointee.
(3) A business organization in which the state officer,
employee, or special state appointee is serving as an officer, adirector, a trustee, a partner, or an employee.
(4) Any person or organization with whom the state officer,employee, or special state appointee is negotiating or has anarrangement concerning prospective employment.
(b) A state officer, an employee, or a special state appointee whoidentifies a potential conflict of interest shall notify the person'sappointing authority and seek an advisory opinion from thecommission by filing a written description detailing the nature andcircumstances of the particular matter and making full disclosure ofany related financial interest in the matter. The commission shall:
(1) with the approval of the appointing authority, assign theparticular matter to another person and implement all necessaryprocedures to screen the state officer, employee, or special stateappointee seeking an advisory opinion from involvement in thematter; or
(2) make a written determination that the interest is not sosubstantial that the commission considers it likely to affect theintegrity of the services that the state expects from the stateofficer, employee, or special state appointee.
(c) A written determination under subsection (b)(2) constitutesconclusive proof that it is not a violation for the state officer,employee, or special state appointee who sought an advisory opinionunder this section to participate in the particular matter. A writtendetermination under subsection (b)(2) shall be filed with theappointing authority.
(Formerly: Acts 1974, P.L.4, SEC.2.) As amended by P.L.9-1990,SEC.8; P.L.15-1992, SEC.5; P.L.22-1995, SEC.2; P.L.222-2005,SEC.7.
IC 4-2-6-10
Repealed
(Repealed by Acts 1978, P.L.2, SEC.428.)
IC 4-2-6-10.5
Prohibition against financial interest in contract; exceptions
Sec. 10.5. (a) Subject to subsection (b), a state officer, anemployee, or a special state appointee may not knowingly have afinancial interest in a contract made by an agency.
(b) The prohibition in subsection (a) does not apply to:
(1) a state officer, an employee, or a special state appointee whodoes not participate in or have official responsibility for any ofthe activities of the contracting agency, if:
(A) the contract is made after public notice or, whereapplicable, through competitive bidding;
(B) the state officer, employee, or special state appointeefiles with the commission a statement making full disclosureof all related financial interests in the contract;
(C) the contract can be performed without compromising theperformance of the official duties and responsibilities of the
state officer, employee, or special state appointee; and
(D) in the case of a contract for professional services, theappointing authority of the contracting agency makes andfiles a written certification with the commission that noother state officer, employee, or special state appointee ofthat agency is available to perform those services as part ofthe regular duties of the state officer, employee, or specialstate appointee; or
(2) a state officer, an employee, or a special state appointeewho, acting in good faith, learns of an actual or prospectiveviolation of the prohibition in subsection (a), if, not later thanthirty (30) days after learning of the actual or prospectiveviolation, the state officer, employee, or special state appointee:
(A) makes a full written disclosure of any financial intereststo the contracting agency and the commission; and
(B) terminates or disposes of the financial interest.
As added by P.L.222-2005, SEC.8.
IC 4-2-6-11
One year restriction on certain employment or representation;advisory opinion; exceptions
Sec. 11. (a) As used in this section, "particular matter" means:
(1) an application;
(2) a business transaction;
(3) a claim;
(4) a contract;
(5) a determination;
(6) an enforcement proceeding;
(7) an investigation;
(8) a judicial proceeding;
(9) a lawsuit;
(10) a license;
(11) an economic development project; or
(12) a public works project.
The term does not include the proposal or consideration of alegislative matter or the proposal, consideration, adoption, orimplementation of a rule or an administrative policy or practice ofgeneral application.
(b) This subsection applies only to a person who served as a stateofficer, employee, or special state appointee after January 10, 2005.A former state officer, employee, or special state appointee may notaccept employment or receive compensation:
(1) as a lobbyist;
(2) from an employer if the former state officer, employee, orspecial state appointee was:
(A) engaged in the negotiation or the administration of one(1) or more contracts with that employer on behalf of thestate or an agency; and
(B) in a position to make a discretionary decision affectingthe: (i) outcome of the negotiation; or
(ii) nature of the administration; or
(3) from an employer if the former state officer, employee, orspecial state appointee made a regulatory or licensing decisionthat directly applied to the employer or to a parent or subsidiaryof the employer;
before the elapse of at least three hundred sixty-five (365) days afterthe date on which the former state officer, employee, or special stateappointee ceases to be a state officer, employee, or special stateappointee.
(c) A former state officer, employee, or special state appointeemay not represent or assist a person in a particular matter involvingthe state if the former state officer, employee, or special stateappointee personally and substantially participated in the matter asa state officer, employee, or special state appointee, even if theformer state officer, employee, or special state appointee receives nocompensation for the representation or assistance.
(d) A former state officer, employee, or special state appointeemay not accept employment or compensation from an employer if thecircumstances surrounding the employment or compensation wouldlead a reasonable person to believe that:
(1) employment; or
(2) compensation;
is given or had been offered for the purpose of influencing the formerstate officer, employee, or special state appointee in the performanceof his or her duties or responsibilities while a state officer, anemployee, or a special state appointee.
(e) A written advisory opinion issued by the commissioncertifying that:
(1) employment of;
(2) representation by; or
(3) assistance from;
the former state officer, employee, or special state appointee does notviolate this section is conclusive proof that a former state officer,employee, or special state appointee is not in violation of thissection.
(f) Subsection (b) does not apply to a special state appointee whoserves only as a member of an advisory body.
(g) An employee's or a special state appointee's state officer orappointing authority may waive application of subsection (b) or (c)in individual cases when consistent with the public interest. Waiversmust be in writing and filed with the commission. The inspectorgeneral may adopt rules under IC 4-22-2 to establish criteria for postemployment waivers.
As added by P.L.9-1990, SEC.9. Amended by P.L.15-1992, SEC.6;P.L.222-2005, SEC.9; P.L.89-2006, SEC.10; P.L.1-2007, SEC.3.
IC 4-2-6-11.5
Lobbyists prohibited from serving on executive branch boards,commissions, authorities, or task forces; exception for advisory
bodies
Sec. 11.5. (a) This section applies only to a special state appointeeappointed after January 10, 2005.
(b) Except as provided in subsection (c), a lobbyist may not serveas a special state appointee.
(c) A lobbyist may serve as a member of an advisory body.
As added by P.L.222-2005, SEC.10. Amended by P.L.89-2006,SEC.11.
IC 4-2-6-12
Violations; penalties; sanctions
Sec. 12. If the commission finds a violation of this chapter,IC 4-2-7, or IC 4-2-8, or a rule adopted under this chapter IC 4-2-7,or IC 4-2-8, in a proceeding under section 4 of this chapter, thecommission may take any of the following actions:
(1) Impose a civil penalty upon a respondent not to exceed three(3) times the value of any benefit received from the violation.
(2) Cancel a contract.
(3) Bar a person from entering into a contract with an agency ora state officer for a period specified by the commission.
(4) Order restitution or disgorgement.
(5) Reprimand, suspend, or terminate an employee or a specialstate appointee.
(6) Reprimand or recommend the impeachment of a stateofficer.
(7) Bar a person from future state employment as an employeeor future appointment as a special state appointee.
(8) Revoke a license or permit issued by an agency.
(9) Bar a person from obtaining a license or permit issued by anagency.
(10) Revoke the registration of a person registered as a lobbyistunder IC 4-2-8.
(11) Bar a person from future lobbying activity with a stateofficer or agency.
As added by P.L.9-1990, SEC.10. Amended by P.L.15-1992, SEC.7;P.L.222-2005, SEC.11; P.L.89-2006, SEC.12.
IC 4-2-6-13
Retaliation against employee or former employee for filingcomplaint or furnishing information or testimony
Sec. 13. (a) Except as provided in subsection (b), a state officer,an employee, or a special state appointee shall not retaliate orthreaten to retaliate against an employee, a former employee, aspecial state appointee, or a former special state appointee becausethe employee, former employee, special state appointee, or formerspecial state appointee did any of the following:
(1) Filed a complaint with the commission or the inspectorgeneral.
(2) Provided information to the commission or the inspectorgeneral. (3) Testified at a commission proceeding.
(b) A state officer, an employee, or a special state appointee maytake appropriate action against an employee who took any of theactions listed in subsection (a) if the employee or special stateappointee:
(1) did not act in good faith; or
(2) knowingly or recklessly provided false information ortestimony to the commission.
(c) A person who violates this section is subject to action undersection 12 of this chapter.
(d) A person who knowingly or intentionally violates this sectioncommits a Class A misdemeanor. In addition to any criminal penaltyimposed under IC 35-50-3, a person who commits a misdemeanorunder this section is subject to action under section 12 of thischapter.
As added by P.L.15-1992, SEC.8. Amended by P.L.44-2001, SEC.4;P.L.222-2005, SEC.12; P.L.89-2006, SEC.13.
IC 4-2-6-14
Prohibitions; criminal penalty
Sec. 14. (a) A person may not do any of the following:
(1) Knowingly or intentionally induce or attempt to induce, bythreat, coercion, suggestion, or false statement, a witness orinformant in a commission proceeding or investigationconducted by the inspector general to do any of the following:
(A) Withhold or unreasonably delay the production of anytestimony, information, document, or thing.
(B) Avoid legal process summoning the person to testify orsupply evidence.
(C) Fail to appear at a proceeding or investigation to whichthe person has been summoned.
(D) Make, present, or use a false record, document, or thingwith the intent that the record, document, or thing appear ina commission proceeding or investigation to mislead acommissioner or commission employee.
(2) Alter, damage, or remove a record, document, or thingexcept as permitted or required by law, with the intent toprevent the record, document, or thing from being produced orused in a commission proceeding or investigation conducted bythe inspector general.
(3) Make, present, or use a false record, document, or thing withthe intent that the record, document, or thing appear in acommission proceeding or investigation to mislead acommissioner or commission employee.
(b) A person who knowingly or intentionally violates subsection(a) commits a Class A misdemeanor.
As added by P.L.44-2001, SEC.5. Amended by P.L.222-2005,SEC.13.
IC 4-2-6-15 Version a Prohibition on use of state officer's name or likeness in certaincommunications paid from appropriations made by generalassembly; exceptions
Note: This version of section effective until 3-24-2010. See alsofollowing version of this section, effective 3-24-2010.
Sec. 15. (a) This section does not apply to the following:
(1) A communication made by the governor concerning thepublic health or safety.
(2) A communication:
(A) that a compelling public policy reason justifies the stateofficer to make; and
(B) the expenditure for which is approved by the budgetagency after an advisory recommendation from the budgetcommittee.
(b) This section does not prohibit a state officer from using in acommunication the title of the office the state officer holds.
(c) As used in this section, "communication" refers only to thefollowing:
(1) An audio communication.
(2) A video communication.
(3) A print communication in a newspaper (as defined inIC 5-3-1-0.4).
(d) A state officer may not use the state officer's name or likenessin a communication paid for entirely or in part with appropriationsmade by the general assembly, regardless of the source of the money.
As added by P.L.58-2010, SEC.33.
IC 4-2-6-15 Version b
Communications paid for with appropriations or from securitiesdivision enforcement account; use of state officer's name orlikeness prohibited; exceptions
Note: This version of section effective 3-24-2010. See alsopreceding version of this section, effective until 3-24-2010.
Sec. 15. (a) This section does not apply to the following:
(1) A communication made by the governor concerning thepublic health or safety.
(2) A communication:
(A) that a compelling public policy reason justifies the stateofficer to make; and
(B) the expenditure for which is approved by the budgetagency after an advisory recommendation from the budgetcommittee.
(b) This section does not prohibit a state officer from using in acommunication the title of the office the state officer holds.
(c) As used in this section, "communication" refers only to thefollowing:
(1) An audio communication.
(2) A video communication.
(3) A print communication in a newspaper (as defined inIC 5-3-1-0.4). (d) A state officer may not use the state officer's name or likenessin a communication paid for entirely or in part with appropriationsmade by the general assembly, regardless of the source of the money.
(e) A state officer may not use the state officer's name or likenessin a communication paid for entirely or in part with:
(1) money from the securities division enforcement accountestablished under IC 23-19-6-1(f); or
(2) appropriations from the state general fund made underIC 23-19-6-1(f).
As added by P.L.58-2010, SEC.33. Amended by P.L.114-2010,SEC.1.