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 clearly
denotes otherwise:
(1) "Advisory body" means an authority, a board, a commission,
a committee, a task force, or other body designated by any name
of the executive department that is authorized only to make
nonbinding 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 an
instrumentality of the state and a private, nonprofit, government
related corporation. The term does not include any of the
following:
(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 administrative
officer 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 in
clauses (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 the
agency; or
(ii) a license or permit requiring the exercise of judgment
or discretion by the agency.
(B) The relationship a lobbyist has with an agency.
(C) The relationship an unregistered lobbyist has with an
agency.
(6) "Commission" refers to the state ethics commission created
under section 2 of this chapter.
(7) "Compensation" means any money, thing of value, or
financial benefit conferred on, or received by, any person in
return 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 term
includes an individual who contracts with an agency for
personal services.
(9) "Employer" means any person from whom a state officer or
employee or the officer's or employee's spouse received
compensation. For purposes of this chapter, a customer or client
of a self-employed individual in a sole proprietorship or a
professional practice is not considered to be an employer.
(10) "Financial interest" means an interest:
(A) in a purchase, sale, lease, contract, option, or other
transaction between an agency and any person; or
(B) involving property or services.
The term includes an interest arising from employment or
prospective employment for which negotiations have begun.
The term does not include an interest of a state officer or
employee in the common stock of a corporation unless the
combined holdings in the corporation of the state officer or the
employee, that individual's spouse, and that individual's
unemancipated children are more than one percent (1%) of the
outstanding shares of the common stock of the corporation. The
term does not include an interest that is not greater than the
interest of the general public or any state officer or any state
employee.
(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 under
IC 5-14-3-4(a);
(ii) a public agency has the discretion not to disclose under
IC 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 be
confidential.
(12) "Person" means any individual, proprietorship, partnership,
unincorporated association, trust, business trust, group, limited
liability company, or corporation, whether or not operated for
profit, or a governmental agency or political subdivision.
(13) "Political subdivision" means a county, city, town,
township, school district, municipal corporation, special taxing
district, or other local instrumentality. The term includes an
officer 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 of
a 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, a
commission, 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 the
executive (including the administrative) department of
state government, including a separate body corporate and
politic.
(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 and
feminine.
(19) The singular form of any noun includes the plural wherever
appropriate.
(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 appointed
by the governor.
(c) No more than three (3) commission members shall be of the
same 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 shall
designate 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 assistance
for 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 the
minimum salary per diem provided by IC 4-10-11-2.1(b). A member
is entitled to reimbursement for travel expenses and other expenses
actually incurred in connection with the member's duties, as provided
in the state travel policies and procedures established by the
department 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 following
persons:
(1) A current or former state officer.
(2) A current or former employee.
(3) A person who has or had a business relationship with an
agency.
(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; complaints
open 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 the
inspector general's authority to the inspector general for
investigation.
(2) Receive and hear any complaint filed with the commission
by 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 the
production of pertinent books and papers by a subpoena
enforceable by the circuit or superior court of the county where
the subpoena is to be issued.
(4) Recommend legislation to the general assembly relating to
the conduct and ethics of state officers, employees, special state
appointees, and persons who have business relationships with
agencies.
(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 to
interpret this chapter, IC 4-2-7, or the rules adopted under this
chapter 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 with
an agency;
(iv) a special state appointee or former special state
appointee; 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, the
commission may:
(i) reject, without further proceedings, a complaint that the
commission considers frivolous or inconsequential;
(ii) reject, without further proceedings, a complaint that
the commission is satisfied has been dealt with
appropriately by an agency;
(iii) upon the vote of four (4) members, determine that the
complaint does not allege facts sufficient to constitute a
violation of this chapter or the code of ethics and dismiss
the complaint; or
(iv) forward a copy of the complaint to the attorney
general, the prosecuting attorney of the county in which
the alleged violation occurred, the state board of accounts,
a state officer, the appointing authority, or other
appropriate person for action, and stay the commission's
proceedings pending the other action.
(B) If a complaint is not disposed of under clause (A), a
copy of the complaint shall be sent to the person alleged to
have committed the violation.
(C) If the complaint is not disposed of under clause (A), the
commission may promptly refer the alleged violation for
additional investigation by the inspector general. If the
commission finds by a majority vote that probable cause
exists to support an alleged violation, it shall set a public
hearing on the matter. The respondent shall be notified
within fifteen (15) days of the commission's determination.
Except as provided in this section, the commission's
evidence relating to an investigation is confidential.
(D) A complaint filed with the commission is open for
public inspection after the commission finds that probable
cause exists. However, a complaint filed by the inspector
general that contains confidential information under
IC 4-2-7-8 may be redacted to exclude the confidential
information. Every hearing and other proceeding in which
evidence 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 probable
cause is confidential unless the target of the investigation
elects to have information disclosed, or the commission
elects to respond to public statements by the person who
filed the complaint.
(F) The commission may acknowledge:
(i) the existence and scope of an investigation before the
finding of probable cause; or
(ii) that the commission did not find probable cause to
support an alleged violation.
(G) If a hearing is to be held, the respondent may examine
and make copies of all evidence in the commission's
possession relating to the charges. At the hearing, the
charged party shall be afforded appropriate due process
protection consistent with IC 4-21.5, including the right to
be represented by counsel, the right to call and examine
witnesses, the right to introduce exhibits, and the right to
cross-examine opposing witnesses.
(H) After the hearing, the commission shall state its findings
of fact. If the commission, based on a preponderance of the
evidence, finds by a majority vote that the respondent has
violated 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, it shall state its
findings in writing in a report, which shall be supported and
signed by a majority of the commission members and shall
be made public.
(I) If the commission, based on a preponderance of the
evidence, 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 of
the actions provided in section 12 of this chapter.
(J) The report required under clause (H) shall be presented
to:
(i) the respondent;
(ii) the appointing authority or state officer of the
employee, former employee, or special state appointee;
(iii) the appointing authority or state officer of an agency
or office that has a business relationship with the person
sanctioned; and
(iv) the governor.
(K) The commission may also forward the report to any of
the following:
(i) The prosecuting attorney of each county in which the
violation 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 or
agency that has a business relationship with the person
sanctioned.
(vii) Any other appropriate person.
(L) If the commission finds the respondent has not violated
a code or statutory provision or a rule adopted under this
chapter, IC 4-2-7, or IC 4-2-8, it shall dismiss the charges.
(3) Review all conflict of interest disclosures received by the
commission under IC 35-44-1-3, maintain an index of those
disclosures, and issue advisory opinions and screening
procedures as set forth in section 9 of this chapter.
(c) Notwithstanding IC 5-14-3-4(b)(8)(C), the records of the
commission concerning the case of a respondent that are not
confidential under IC 5-14-3-4(b)(2)(C) shall be available for
inspection 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 of
participation and votes
Sec. 4.3. (a) This section applies to a commission meeting at
which at least three (3) members of the commission are physically
present at the place where the meeting is being conducted. The
commission may not conduct a hearing under section 4(b)(2)(G) of
this chapter under this section.
(b) A commission member may participate in a commission
meeting 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 place
where the meeting is being conducted;
to communicate simultaneously with each other during the meeting.
(c) A commission member who participates in a meeting under
subsection (b) is considered to be present at the meeting.
(d) A commission member who participates in a meeting under
subsection (b) may act as a voting member on official action only if
at least two (2) commission members physically present at the place
where the meeting is being conducted concur in the official action.
(e) The memoranda of the meeting prepared under IC 5-14-1.5-4
must also state the name of each member who:
(1) was physically present at the place where the meeting was
conducted;
(2) participated in the meeting by using a means of
communication described in subsection (b); or
(3) was absent.
(f) A commission member who participates in a meeting under
subsection (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 officer
receives a report under section 4(b)(2)(H) of this chapter, the
appointing authority or state officer shall report to the commission
the action taken in response to the report. The commission may
require in the report that the appointing authority or the state officer
submit 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 state
appointee shall not knowingly:
(1) accept other employment involving compensation of
substantial value if the responsibilities of that employment are
inherently incompatible with the responsibilities of public
office or require the individual's recusal from matters so central
or critical to the performance of the individual's official duties
that the individual's ability to perform those duties would be
materially impaired;
(2) accept employment or engage in business or professional
activity that would require the individual to disclose
confidential information that was gained in the course of state
employment; or
(3) use or attempt to use the individual's official position to
secure unwarranted privileges or exemptions that are:
(A) of substantial value; and
(B) not properly available to similarly situated individuals
outside state government.
(b) A written advisory opinion issued by the commission or the
individual's appointing authority or agency ethics officer granting
approval of outside employment is conclusive proof that an
individual 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 state
appointees; compensation resulting from confidential information
Sec. 6. No state officer or employee, former state officer or
employee, special state appointee, or former special state appointee
shall accept any compensation from any employment, transaction, or
investment which was entered into or made as a result of material
information 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 appointee
who serves only as a member of an advisory body.
(b) A state officer, employee, or special state appointee may not
receive compensation:
(1) for the sale or lease of any property or service which
substantially exceeds that which the state officer, employee, or
special state appointee would charge in the ordinary course of
business; and
(2) from any person whom the state officer, employee, or
special state appointee knows or, in the exercise of reasonable
care and diligence should know, has a business relationship
with the agency in which the state officer, employee, or special
state 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 financial
disclosure statement:
(1) The governor, lieutenant governor, secretary of state, auditor
of state, treasurer of state, attorney general, and state
superintendent 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 of
administration.
(5) Any purchasing agent within the procurement division of
the department of administration.
(6) Any agency employee, special state appointee, former
agency employee, or former special state appointee with final
purchasing authority.
(7) An employee required to do so by rule adopted by the
inspector general.
(b) The statement shall be filed with the inspector general as
follows:
(1) Not later than February 1 of every year, in the case of the
state 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 candidate
for a state office listed in subsection (a)(1), before filing a
declaration of candidacy under IC 3-8-2 or IC 3-8-4-11, petition
of nomination under IC 3-8-6, or declaration of intent to be a
write-in candidate under IC 3-8-2-2.5, or before a certificate of
nomination is filed under IC 3-8-7-8, in the case of a candidate
for one (1) of the state offices (unless the statement has already
been filed when required under IC 3-8-4-11).
(3) Not later than sixty (60) days after employment or taking
office, unless the previous employment or office required the
filing of a statement under this section.
(4) Not later than thirty (30) days after leaving employment or
office, unless the subsequent employment or office requires the
filing of a statement under this section.
The statement must be made under affirmation.
(c) The statement shall set forth the following information for the
preceding calendar year or, in the case of a state officer or employee
who leaves office or employment, the period since a previous
statement was filed:
(1) The name and address of any person known:
(A) to have a business relationship with the agency of the
state officer or employee or the office sought by the
candidate; and
(B) from whom the state officer, candidate, or the employee,
or that individual's spouse or unemancipated children
received a gift or gifts having a total fair market value in
excess 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 or
unemancipated children has an equitable or legal interest either
amounting to five thousand dollars ($5,000) or more or
comprising ten percent (10%) of the state officer's, candidate's,
or the employee's net worth or the net worth of that individual's
spouse or unemancipated children. An individual's primary
personal residence need not be listed, unless it also serves as
income property.
(3) The names and the nature of the business of the employers
of the state officer, candidate, or the employee and that
individual's spouse.
(4) The following information about any sole proprietorship
owned 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 professional
practice.
(B) The nature of the business.
(C) Whether any clients are known to have had a business
relationship with the agency of the state officer or employee
or the office sought by the candidate.
(D) The name of any client or customer from whom the state
officer, candidate, employee, or that individual's spouse
received more than thirty-three percent (33%) of the state
officer's, candidate's, employee's, or that individual's
spouse'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 a
member and the nature of the partnership's business.
(6) The name of any corporation (other than a church) of which
the state officer, candidate, or the employee or that individual's
spouse is an officer or a director and the nature of the
corporation's business.
(7) The name of any corporation in which the state officer,
candidate, or the employee or that individual's spouse or
unemancipated children own stock or stock options having a
fair market value in excess of ten thousand dollars ($10,000).
However, if the stock is held in a blind trust, the name of the
administrator of the trust must be disclosed on the statement
instead of the name of the corporation. A time or demand
deposit in a financial institution or insurance policy need not be
listed.
(8) The name and address of the most recent former employer.
(9) Additional information that the person making the
disclosure chooses to include.
Any such state officer, candidate, or employee may file an amended
statement upon discovery of additional information required to be
reported.
(d) A person who:
(1) fails to file a statement required by rule or this section in a
timely manner; or
(2) files a deficient statement;
upon a majority vote of the commission, is subject to a civil penalty
at a rate of not more than ten dollars ($10) for each day the statement
remains delinquent or deficient. The maximum penalty under this
subsection is one thousand dollars ($1,000).
(e) A person who intentionally or knowingly files a false
statement 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 state
appointee may not participate in any decision or vote if the state
officer, employee, or special state appointee has knowledge that any
of 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, a
director, 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 an
arrangement concerning prospective employment.
(b) A state officer, an employee, or a special state appointee who
identifies a potential conflict of interest shall notify the person's
appointing authority and seek an advisory opinion from the
commission by filing a written description detailing the nature and
circumstances of the particular matter and making full disclosure of
any related financial interest in the matter. The commission shall:
(1) with the approval of the appointing authority, assign the
particular matter to another person and implement all necessary
procedures to screen the state officer, employee, or special state
appointee seeking an advisory opinion from involvement in the
matter; or
(2) make a written determination that the interest is not so
substantial that the commission considers it likely to affect the
integrity of the services that the state expects from the state
officer, employee, or special state appointee.
(c) A written determination under subsection (b)(2) constitutes
conclusive proof that it is not a violation for the state officer,
employee, or special state appointee who sought an advisory opinion
under this section to participate in the particular matter. A written
determination under subsection (b)(2) shall be filed with the
appointing 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, an
employee, or a special state appointee may not knowingly have a
financial 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 who
does not participate in or have official responsibility for any of
the activities of the contracting agency, if:
(A) the contract is made after public notice or, where
applicable, through competitive bidding;
(B) the state officer, employee, or special state appointee
files with the commission a statement making full disclosure
of all related financial interests in the contract;
(C) the contract can be performed without compromising the
performance 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, the
appointing authority of the contracting agency makes and
files a written certification with the commission that no
other state officer, employee, or special state appointee of
that agency is available to perform those services as part of
the regular duties of the state officer, employee, or special
state appointee; or
(2) a state officer, an employee, or a special state appointee
who, acting in good faith, learns of an actual or prospective
violation of the prohibition in subsection (a), if, not later than
thirty (30) days after learning of the actual or prospective
violation, the state officer, employee, or special state appointee:
(A) makes a full written disclosure of any financial interests
to 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 a
legislative matter or the proposal, consideration, adoption, or
implementation of a rule or an administrative policy or practice of
general application.
(b) This subsection applies only to a person who served as a state
officer, employee, or special state appointee after January 10, 2005.
A former state officer, employee, or special state appointee may not
accept employment or receive compensation:
(1) as a lobbyist;
(2) from an employer if the former state officer, employee, or
special state appointee was:
(A) engaged in the negotiation or the administration of one
(1) or more contracts with that employer on behalf of the
state or an agency; and
(B) in a position to make a discretionary decision affecting
the:
(i) outcome of the negotiation; or
(ii) nature of the administration; or
(3) from an employer if the former state officer, employee, or
special state appointee made a regulatory or licensing decision
that directly applied to the employer or to a parent or subsidiary
of the employer;
before the elapse of at least three hundred sixty-five (365) days after
the date on which the former state officer, employee, or special state
appointee ceases to be a state officer, employee, or special state
appointee.
(c) A former state officer, employee, or special state appointee
may not represent or assist a person in a particular matter involving
the state if the former state officer, employee, or special state
appointee personally and substantially participated in the matter as
a state officer, employee, or special state appointee, even if the
former state officer, employee, or special state appointee receives no
compensation for the representation or assistance.
(d) A former state officer, employee, or special state appointee
may not accept employment or compensation from an employer if the
circumstances surrounding the employment or compensation would
lead a reasonable person to believe that:
(1) employment; or
(2) compensation;
is given or had been offered for the purpose of influencing the former
state officer, employee, or special state appointee in the performance
of his or her duties or responsibilities while a state officer, an
employee, or a special state appointee.
(e) A written advisory opinion issued by the commission
certifying that:
(1) employment of;
(2) representation by; or
(3) assistance from;
the former state officer, employee, or special state appointee does not
violate this section is conclusive proof that a former state officer,
employee, or special state appointee is not in violation of this
section.
(f) Subsection (b) does not apply to a special state appointee who
serves only as a member of an advisory body.
(g) An employee's or a special state appointee's state officer or
appointing authority may waive application of subsection (b) or (c)
in individual cases when consistent with the public interest. Waivers
must be in writing and filed with the commission. The inspector
general may adopt rules under IC 4-22-2 to establish criteria for post
employment 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 appointee
appointed after January 10, 2005.
(b) Except as provided in subsection (c), a lobbyist may not serve
as 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, the
commission 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 or
a state officer for a period specified by the commission.
(4) Order restitution or disgorgement.
(5) Reprimand, suspend, or terminate an employee or a special
state appointee.
(6) Reprimand or recommend the impeachment of a state
officer.
(7) Bar a person from future state employment as an employee
or 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 an
agency.
(10) Revoke the registration of a person registered as a lobbyist
under IC 4-2-8.
(11) Bar a person from future lobbying activity with a state
officer 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 filing
complaint 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 or
threaten to retaliate against an employee, a former employee, a
special state appointee, or a former special state appointee because
the employee, former employee, special state appointee, or former
special state appointee did any of the following:
(1) Filed a complaint with the commission or the inspector
general.
(2) Provided information to the commission or the inspector
general.
(3) Testified at a commission proceeding.
(b) A state officer, an employee, or a special state appointee may
take appropriate action against an employee who took any of the
actions listed in subsection (a) if the employee or special state
appointee:
(1) did not act in good faith; or
(2) knowingly or recklessly provided false information or
testimony to the commission.
(c) A person who violates this section is subject to action under
section 12 of this chapter.
(d) A person who knowingly or intentionally violates this section
commits a Class A misdemeanor. In addition to any criminal penalty
imposed under IC 35-50-3, a person who commits a misdemeanor
under this section is subject to action under section 12 of this
chapter. 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, by
threat, coercion, suggestion, or false statement, a witness or
informant in a commission proceeding or investigation
conducted by the inspector general to do any of the following:
(A) Withhold or unreasonably delay the production of any
testimony, information, document, or thing.
(B) Avoid legal process summoning the person to testify or
supply evidence.
(C) Fail to appear at a proceeding or investigation to which
the person has been summoned.
(D) Make, present, or use a false record, document, or thing
with the intent that the record, document, or thing appear in
a commission proceeding or investigation to mislead a
commissioner or commission employee.
(2) Alter, damage, or remove a record, document, or thing
except as permitted or required by law, with the intent to
prevent the record, document, or thing from being produced or
used in a commission proceeding or investigation conducted by
the inspector general.
(3) Make, present, or use a false record, document, or thing with
the intent that the record, document, or thing appear in a
commission proceeding or investigation to mislead a
commissioner 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 certain
communications paid from appropriations made by general
assembly; exceptions
Note: This version of section effective until 3-24-2010. See also
following 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 the
public health or safety.
(2) A communication:
(A) that a compelling public policy reason justifies the state
officer to make; and
(B) the expenditure for which is approved by the budget
agency after an advisory recommendation from the budget
committee.
(b) This section does not prohibit a state officer from using in a
communication the title of the office the state officer holds.
(c) As used in this section, "communication" refers only to the
following:
(1) An audio communication.
(2) A video communication.
(3) A print communication in a newspaper (as defined in
IC 5-3-1-0.4).
(d) A state officer may not use the state officer's name or likeness
in a communication paid for entirely or in part with appropriations
made 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 securities
division enforcement account; use of state officer's name or
likeness prohibited; exceptions
Note: This version of section effective 3-24-2010. See also
preceding 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 the
public health or safety.
(2) A communication:
(A) that a compelling public policy reason justifies the state
officer to make; and
(B) the expenditure for which is approved by the budget
agency after an advisory recommendation from the budget
committee.
(b) This section does not prohibit a state officer from using in a
communication the title of the office the state officer holds.
(c) As used in this section, "communication" refers only to the
following:
(1) An audio communication.
(2) A video communication.
(3) A print communication in a newspaper (as defined in
IC 5-3-1-0.4).
(d) A state officer may not use the state officer's name or likeness
in a communication paid for entirely or in part with appropriations
made by the general assembly, regardless of the source of the money.
(e) A state officer may not use the state officer's name or likeness
in a communication paid for entirely or in part with:
(1) money from the securities division enforcement account
established under IC 23-19-6-1(f); or
(2) appropriations from the state general fund made under
IC 23-19-6-1(f). As added by P.L.58-2010, SEC.33. Amended by P.L.114-2010,
SEC.1.
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 clearly
denotes otherwise:
(1) "Advisory body" means an authority, a board, a commission,
a committee, a task force, or other body designated by any name
of the executive department that is authorized only to make
nonbinding 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 an
instrumentality of the state and a private, nonprofit, government
related corporation. The term does not include any of the
following:
(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 administrative
officer 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 in
clauses (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 the
agency; or
(ii) a license or permit requiring the exercise of judgment
or discretion by the agency.
(B) The relationship a lobbyist has with an agency.
(C) The relationship an unregistered lobbyist has with an
agency.
(6) "Commission" refers to the state ethics commission created
under section 2 of this chapter.
(7) "Compensation" means any money, thing of value, or
financial benefit conferred on, or received by, any person in
return 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 term
includes an individual who contracts with an agency for
personal services.
(9) "Employer" means any person from whom a state officer or
employee or the officer's or employee's spouse received
compensation. For purposes of this chapter, a customer or client
of a self-employed individual in a sole proprietorship or a
professional practice is not considered to be an employer.
(10) "Financial interest" means an interest:
(A) in a purchase, sale, lease, contract, option, or other
transaction between an agency and any person; or
(B) involving property or services.
The term includes an interest arising from employment or
prospective employment for which negotiations have begun.
The term does not include an interest of a state officer or
employee in the common stock of a corporation unless the
combined holdings in the corporation of the state officer or the
employee, that individual's spouse, and that individual's
unemancipated children are more than one percent (1%) of the
outstanding shares of the common stock of the corporation. The
term does not include an interest that is not greater than the
interest of the general public or any state officer or any state
employee.
(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 under
IC 5-14-3-4(a);
(ii) a public agency has the discretion not to disclose under
IC 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 be
confidential.
(12) "Person" means any individual, proprietorship, partnership,
unincorporated association, trust, business trust, group, limited
liability company, or corporation, whether or not operated for
profit, or a governmental agency or political subdivision.
(13) "Political subdivision" means a county, city, town,
township, school district, municipal corporation, special taxing
district, or other local instrumentality. The term includes an
officer 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 of
a 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, a
commission, 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 the
executive (including the administrative) department of
state government, including a separate body corporate and
politic.
(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 and
feminine.
(19) The singular form of any noun includes the plural wherever
appropriate.
(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 appointed
by the governor.
(c) No more than three (3) commission members shall be of the
same 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 shall
designate 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 assistance
for 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 the
minimum salary per diem provided by IC 4-10-11-2.1(b). A member
is entitled to reimbursement for travel expenses and other expenses
actually incurred in connection with the member's duties, as provided
in the state travel policies and procedures established by the
department 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 following
persons:
(1) A current or former state officer.
(2) A current or former employee.
(3) A person who has or had a business relationship with an
agency.
(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; complaints
open 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 the
inspector general's authority to the inspector general for
investigation.
(2) Receive and hear any complaint filed with the commission
by 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 the
production of pertinent books and papers by a subpoena
enforceable by the circuit or superior court of the county where
the subpoena is to be issued.
(4) Recommend legislation to the general assembly relating to
the conduct and ethics of state officers, employees, special state
appointees, and persons who have business relationships with
agencies.
(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 to
interpret this chapter, IC 4-2-7, or the rules adopted under this
chapter 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 with
an agency;
(iv) a special state appointee or former special state
appointee; 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, the
commission may:
(i) reject, without further proceedings, a complaint that the
commission considers frivolous or inconsequential;
(ii) reject, without further proceedings, a complaint that
the commission is satisfied has been dealt with
appropriately by an agency;
(iii) upon the vote of four (4) members, determine that the
complaint does not allege facts sufficient to constitute a
violation of this chapter or the code of ethics and dismiss
the complaint; or
(iv) forward a copy of the complaint to the attorney
general, the prosecuting attorney of the county in which
the alleged violation occurred, the state board of accounts,
a state officer, the appointing authority, or other
appropriate person for action, and stay the commission's
proceedings pending the other action.
(B) If a complaint is not disposed of under clause (A), a
copy of the complaint shall be sent to the person alleged to
have committed the violation.
(C) If the complaint is not disposed of under clause (A), the
commission may promptly refer the alleged violation for
additional investigation by the inspector general. If the
commission finds by a majority vote that probable cause
exists to support an alleged violation, it shall set a public
hearing on the matter. The respondent shall be notified
within fifteen (15) days of the commission's determination.
Except as provided in this section, the commission's
evidence relating to an investigation is confidential.
(D) A complaint filed with the commission is open for
public inspection after the commission finds that probable
cause exists. However, a complaint filed by the inspector
general that contains confidential information under
IC 4-2-7-8 may be redacted to exclude the confidential
information. Every hearing and other proceeding in which
evidence 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 probable
cause is confidential unless the target of the investigation
elects to have information disclosed, or the commission
elects to respond to public statements by the person who
filed the complaint.
(F) The commission may acknowledge:
(i) the existence and scope of an investigation before the
finding of probable cause; or
(ii) that the commission did not find probable cause to
support an alleged violation.
(G) If a hearing is to be held, the respondent may examine
and make copies of all evidence in the commission's
possession relating to the charges. At the hearing, the
charged party shall be afforded appropriate due process
protection consistent with IC 4-21.5, including the right to
be represented by counsel, the right to call and examine
witnesses, the right to introduce exhibits, and the right to
cross-examine opposing witnesses.
(H) After the hearing, the commission shall state its findings
of fact. If the commission, based on a preponderance of the
evidence, finds by a majority vote that the respondent has
violated 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, it shall state its
findings in writing in a report, which shall be supported and
signed by a majority of the commission members and shall
be made public.
(I) If the commission, based on a preponderance of the
evidence, 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 of
the actions provided in section 12 of this chapter.
(J) The report required under clause (H) shall be presented
to:
(i) the respondent;
(ii) the appointing authority or state officer of the
employee, former employee, or special state appointee;
(iii) the appointing authority or state officer of an agency
or office that has a business relationship with the person
sanctioned; and
(iv) the governor.
(K) The commission may also forward the report to any of
the following:
(i) The prosecuting attorney of each county in which the
violation 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 or
agency that has a business relationship with the person
sanctioned.
(vii) Any other appropriate person.
(L) If the commission finds the respondent has not violated
a code or statutory provision or a rule adopted under this
chapter, IC 4-2-7, or IC 4-2-8, it shall dismiss the charges.
(3) Review all conflict of interest disclosures received by the
commission under IC 35-44-1-3, maintain an index of those
disclosures, and issue advisory opinions and screening
procedures as set forth in section 9 of this chapter.
(c) Notwithstanding IC 5-14-3-4(b)(8)(C), the records of the
commission concerning the case of a respondent that are not
confidential under IC 5-14-3-4(b)(2)(C) shall be available for
inspection 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 of
participation and votes
Sec. 4.3. (a) This section applies to a commission meeting at
which at least three (3) members of the commission are physically
present at the place where the meeting is being conducted. The
commission may not conduct a hearing under section 4(b)(2)(G) of
this chapter under this section.
(b) A commission member may participate in a commission
meeting 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 place
where the meeting is being conducted;
to communicate simultaneously with each other during the meeting.
(c) A commission member who participates in a meeting under
subsection (b) is considered to be present at the meeting.
(d) A commission member who participates in a meeting under
subsection (b) may act as a voting member on official action only if
at least two (2) commission members physically present at the place
where the meeting is being conducted concur in the official action.
(e) The memoranda of the meeting prepared under IC 5-14-1.5-4
must also state the name of each member who:
(1) was physically present at the place where the meeting was
conducted;
(2) participated in the meeting by using a means of
communication described in subsection (b); or
(3) was absent.
(f) A commission member who participates in a meeting under
subsection (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 officer
receives a report under section 4(b)(2)(H) of this chapter, the
appointing authority or state officer shall report to the commission
the action taken in response to the report. The commission may
require in the report that the appointing authority or the state officer
submit 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 state
appointee shall not knowingly:
(1) accept other employment involving compensation of
substantial value if the responsibilities of that employment are
inherently incompatible with the responsibilities of public
office or require the individual's recusal from matters so central
or critical to the performance of the individual's official duties
that the individual's ability to perform those duties would be
materially impaired;
(2) accept employment or engage in business or professional
activity that would require the individual to disclose
confidential information that was gained in the course of state
employment; or
(3) use or attempt to use the individual's official position to
secure unwarranted privileges or exemptions that are:
(A) of substantial value; and
(B) not properly available to similarly situated individuals
outside state government.
(b) A written advisory opinion issued by the commission or the
individual's appointing authority or agency ethics officer granting
approval of outside employment is conclusive proof that an
individual 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 state
appointees; compensation resulting from confidential information
Sec. 6. No state officer or employee, former state officer or
employee, special state appointee, or former special state appointee
shall accept any compensation from any employment, transaction, or
investment which was entered into or made as a result of material
information 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 appointee
who serves only as a member of an advisory body.
(b) A state officer, employee, or special state appointee may not
receive compensation:
(1) for the sale or lease of any property or service which
substantially exceeds that which the state officer, employee, or
special state appointee would charge in the ordinary course of
business; and
(2) from any person whom the state officer, employee, or
special state appointee knows or, in the exercise of reasonable
care and diligence should know, has a business relationship
with the agency in which the state officer, employee, or special
state 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 financial
disclosure statement:
(1) The governor, lieutenant governor, secretary of state, auditor
of state, treasurer of state, attorney general, and state
superintendent 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 of
administration.
(5) Any purchasing agent within the procurement division of
the department of administration.
(6) Any agency employee, special state appointee, former
agency employee, or former special state appointee with final
purchasing authority.
(7) An employee required to do so by rule adopted by the
inspector general.
(b) The statement shall be filed with the inspector general as
follows:
(1) Not later than February 1 of every year, in the case of the
state 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 candidate
for a state office listed in subsection (a)(1), before filing a
declaration of candidacy under IC 3-8-2 or IC 3-8-4-11, petition
of nomination under IC 3-8-6, or declaration of intent to be a
write-in candidate under IC 3-8-2-2.5, or before a certificate of
nomination is filed under IC 3-8-7-8, in the case of a candidate
for one (1) of the state offices (unless the statement has already
been filed when required under IC 3-8-4-11).
(3) Not later than sixty (60) days after employment or taking
office, unless the previous employment or office required the
filing of a statement under this section.
(4) Not later than thirty (30) days after leaving employment or
office, unless the subsequent employment or office requires the
filing of a statement under this section.
The statement must be made under affirmation.
(c) The statement shall set forth the following information for the
preceding calendar year or, in the case of a state officer or employee
who leaves office or employment, the period since a previous
statement was filed:
(1) The name and address of any person known:
(A) to have a business relationship with the agency of the
state officer or employee or the office sought by the
candidate; and
(B) from whom the state officer, candidate, or the employee,
or that individual's spouse or unemancipated children
received a gift or gifts having a total fair market value in
excess 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 or
unemancipated children has an equitable or legal interest either
amounting to five thousand dollars ($5,000) or more or
comprising ten percent (10%) of the state officer's, candidate's,
or the employee's net worth or the net worth of that individual's
spouse or unemancipated children. An individual's primary
personal residence need not be listed, unless it also serves as
income property.
(3) The names and the nature of the business of the employers
of the state officer, candidate, or the employee and that
individual's spouse.
(4) The following information about any sole proprietorship
owned 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 professional
practice.
(B) The nature of the business.
(C) Whether any clients are known to have had a business
relationship with the agency of the state officer or employee
or the office sought by the candidate.
(D) The name of any client or customer from whom the state
officer, candidate, employee, or that individual's spouse
received more than thirty-three percent (33%) of the state
officer's, candidate's, employee's, or that individual's
spouse'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 a
member and the nature of the partnership's business.
(6) The name of any corporation (other than a church) of which
the state officer, candidate, or the employee or that individual's
spouse is an officer or a director and the nature of the
corporation's business.
(7) The name of any corporation in which the state officer,
candidate, or the employee or that individual's spouse or
unemancipated children own stock or stock options having a
fair market value in excess of ten thousand dollars ($10,000).
However, if the stock is held in a blind trust, the name of the
administrator of the trust must be disclosed on the statement
instead of the name of the corporation. A time or demand
deposit in a financial institution or insurance policy need not be
listed.
(8) The name and address of the most recent former employer.
(9) Additional information that the person making the
disclosure chooses to include.
Any such state officer, candidate, or employee may file an amended
statement upon discovery of additional information required to be
reported.
(d) A person who:
(1) fails to file a statement required by rule or this section in a
timely manner; or
(2) files a deficient statement;
upon a majority vote of the commission, is subject to a civil penalty
at a rate of not more than ten dollars ($10) for each day the statement
remains delinquent or deficient. The maximum penalty under this
subsection is one thousand dollars ($1,000).
(e) A person who intentionally or knowingly files a false
statement 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 state
appointee may not participate in any decision or vote if the state
officer, employee, or special state appointee has knowledge that any
of 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, a
director, 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 an
arrangement concerning prospective employment.
(b) A state officer, an employee, or a special state appointee who
identifies a potential conflict of interest shall notify the person's
appointing authority and seek an advisory opinion from the
commission by filing a written description detailing the nature and
circumstances of the particular matter and making full disclosure of
any related financial interest in the matter. The commission shall:
(1) with the approval of the appointing authority, assign the
particular matter to another person and implement all necessary
procedures to screen the state officer, employee, or special state
appointee seeking an advisory opinion from involvement in the
matter; or
(2) make a written determination that the interest is not so
substantial that the commission considers it likely to affect the
integrity of the services that the state expects from the state
officer, employee, or special state appointee.
(c) A written determination under subsection (b)(2) constitutes
conclusive proof that it is not a violation for the state officer,
employee, or special state appointee who sought an advisory opinion
under this section to participate in the particular matter. A written
determination under subsection (b)(2) shall be filed with the
appointing 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, an
employee, or a special state appointee may not knowingly have a
financial 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 who
does not participate in or have official responsibility for any of
the activities of the contracting agency, if:
(A) the contract is made after public notice or, where
applicable, through competitive bidding;
(B) the state officer, employee, or special state appointee
files with the commission a statement making full disclosure
of all related financial interests in the contract;
(C) the contract can be performed without compromising the
performance 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, the
appointing authority of the contracting agency makes and
files a written certification with the commission that no
other state officer, employee, or special state appointee of
that agency is available to perform those services as part of
the regular duties of the state officer, employee, or special
state appointee; or
(2) a state officer, an employee, or a special state appointee
who, acting in good faith, learns of an actual or prospective
violation of the prohibition in subsection (a), if, not later than
thirty (30) days after learning of the actual or prospective
violation, the state officer, employee, or special state appointee:
(A) makes a full written disclosure of any financial interests
to 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 a
legislative matter or the proposal, consideration, adoption, or
implementation of a rule or an administrative policy or practice of
general application.
(b) This subsection applies only to a person who served as a state
officer, employee, or special state appointee after January 10, 2005.
A former state officer, employee, or special state appointee may not
accept employment or receive compensation:
(1) as a lobbyist;
(2) from an employer if the former state officer, employee, or
special state appointee was:
(A) engaged in the negotiation or the administration of one
(1) or more contracts with that employer on behalf of the
state or an agency; and
(B) in a position to make a discretionary decision affecting
the:
(i) outcome of the negotiation; or
(ii) nature of the administration; or
(3) from an employer if the former state officer, employee, or
special state appointee made a regulatory or licensing decision
that directly applied to the employer or to a parent or subsidiary
of the employer;
before the elapse of at least three hundred sixty-five (365) days after
the date on which the former state officer, employee, or special state
appointee ceases to be a state officer, employee, or special state
appointee.
(c) A former state officer, employee, or special state appointee
may not represent or assist a person in a particular matter involving
the state if the former state officer, employee, or special state
appointee personally and substantially participated in the matter as
a state officer, employee, or special state appointee, even if the
former state officer, employee, or special state appointee receives no
compensation for the representation or assistance.
(d) A former state officer, employee, or special state appointee
may not accept employment or compensation from an employer if the
circumstances surrounding the employment or compensation would
lead a reasonable person to believe that:
(1) employment; or
(2) compensation;
is given or had been offered for the purpose of influencing the former
state officer, employee, or special state appointee in the performance
of his or her duties or responsibilities while a state officer, an
employee, or a special state appointee.
(e) A written advisory opinion issued by the commission
certifying that:
(1) employment of;
(2) representation by; or
(3) assistance from;
the former state officer, employee, or special state appointee does not
violate this section is conclusive proof that a former state officer,
employee, or special state appointee is not in violation of this
section.
(f) Subsection (b) does not apply to a special state appointee who
serves only as a member of an advisory body.
(g) An employee's or a special state appointee's state officer or
appointing authority may waive application of subsection (b) or (c)
in individual cases when consistent with the public interest. Waivers
must be in writing and filed with the commission. The inspector
general may adopt rules under IC 4-22-2 to establish criteria for post
employment 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 appointee
appointed after January 10, 2005.
(b) Except as provided in subsection (c), a lobbyist may not serve
as 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, the
commission 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 or
a state officer for a period specified by the commission.
(4) Order restitution or disgorgement.
(5) Reprimand, suspend, or terminate an employee or a special
state appointee.
(6) Reprimand or recommend the impeachment of a state
officer.
(7) Bar a person from future state employment as an employee
or 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 an
agency.
(10) Revoke the registration of a person registered as a lobbyist
under IC 4-2-8.
(11) Bar a person from future lobbying activity with a state
officer 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 filing
complaint 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 or
threaten to retaliate against an employee, a former employee, a
special state appointee, or a former special state appointee because
the employee, former employee, special state appointee, or former
special state appointee did any of the following:
(1) Filed a complaint with the commission or the inspector
general.
(2) Provided information to the commission or the inspector
general.
(3) Testified at a commission proceeding.
(b) A state officer, an employee, or a special state appointee may
take appropriate action against an employee who took any of the
actions listed in subsection (a) if the employee or special state
appointee:
(1) did not act in good faith; or
(2) knowingly or recklessly provided false information or
testimony to the commission.
(c) A person who violates this section is subject to action under
section 12 of this chapter.
(d) A person who knowingly or intentionally violates this section
commits a Class A misdemeanor. In addition to any criminal penalty
imposed under IC 35-50-3, a person who commits a misdemeanor
under this section is subject to action under section 12 of this
chapter. 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, by
threat, coercion, suggestion, or false statement, a witness or
informant in a commission proceeding or investigation
conducted by the inspector general to do any of the following:
(A) Withhold or unreasonably delay the production of any
testimony, information, document, or thing.
(B) Avoid legal process summoning the person to testify or
supply evidence.
(C) Fail to appear at a proceeding or investigation to which
the person has been summoned.
(D) Make, present, or use a false record, document, or thing
with the intent that the record, document, or thing appear in
a commission proceeding or investigation to mislead a
commissioner or commission employee.
(2) Alter, damage, or remove a record, document, or thing
except as permitted or required by law, with the intent to
prevent the record, document, or thing from being produced or
used in a commission proceeding or investigation conducted by
the inspector general.
(3) Make, present, or use a false record, document, or thing with
the intent that the record, document, or thing appear in a
commission proceeding or investigation to mislead a
commissioner 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 certain
communications paid from appropriations made by general
assembly; exceptions
Note: This version of section effective until 3-24-2010. See also
following 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 the
public health or safety.
(2) A communication:
(A) that a compelling public policy reason justifies the state
officer to make; and
(B) the expenditure for which is approved by the budget
agency after an advisory recommendation from the budget
committee.
(b) This section does not prohibit a state officer from using in a
communication the title of the office the state officer holds.
(c) As used in this section, "communication" refers only to the
following:
(1) An audio communication.
(2) A video communication.
(3) A print communication in a newspaper (as defined in
IC 5-3-1-0.4).
(d) A state officer may not use the state officer's name or likeness
in a communication paid for entirely or in part with appropriations
made 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 securities
division enforcement account; use of state officer's name or
likeness prohibited; exceptions
Note: This version of section effective 3-24-2010. See also
preceding 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 the
public health or safety.
(2) A communication:
(A) that a compelling public policy reason justifies the state
officer to make; and
(B) the expenditure for which is approved by the budget
agency after an advisory recommendation from the budget
committee.
(b) This section does not prohibit a state officer from using in a
communication the title of the office the state officer holds.
(c) As used in this section, "communication" refers only to the
following:
(1) An audio communication.
(2) A video communication.
(3) A print communication in a newspaper (as defined in
IC 5-3-1-0.4).
(d) A state officer may not use the state officer's name or likeness
in a communication paid for entirely or in part with appropriations
made by the general assembly, regardless of the source of the money.
(e) A state officer may not use the state officer's name or likeness
in a communication paid for entirely or in part with:
(1) money from the securities division enforcement account
established under IC 23-19-6-1(f); or
(2) appropriations from the state general fund made under
IC 23-19-6-1(f). As added by P.L.58-2010, SEC.33. Amended by P.L.114-2010,
SEC.1.
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 clearly
denotes otherwise:
(1) "Advisory body" means an authority, a board, a commission,
a committee, a task force, or other body designated by any name
of the executive department that is authorized only to make
nonbinding 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 an
instrumentality of the state and a private, nonprofit, government
related corporation. The term does not include any of the
following:
(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 administrative
officer 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 in
clauses (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 the
agency; or
(ii) a license or permit requiring the exercise of judgment
or discretion by the agency.
(B) The relationship a lobbyist has with an agency.
(C) The relationship an unregistered lobbyist has with an
agency.
(6) "Commission" refers to the state ethics commission created
under section 2 of this chapter.
(7) "Compensation" means any money, thing of value, or
financial benefit conferred on, or received by, any person in
return 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 term
includes an individual who contracts with an agency for
personal services.
(9) "Employer" means any person from whom a state officer or
employee or the officer's or employee's spouse received
compensation. For purposes of this chapter, a customer or client
of a self-employed individual in a sole proprietorship or a
professional practice is not considered to be an employer.
(10) "Financial interest" means an interest:
(A) in a purchase, sale, lease, contract, option, or other
transaction between an agency and any person; or
(B) involving property or services.
The term includes an interest arising from employment or
prospective employment for which negotiations have begun.
The term does not include an interest of a state officer or
employee in the common stock of a corporation unless the
combined holdings in the corporation of the state officer or the
employee, that individual's spouse, and that individual's
unemancipated children are more than one percent (1%) of the
outstanding shares of the common stock of the corporation. The
term does not include an interest that is not greater than the
interest of the general public or any state officer or any state
employee.
(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 under
IC 5-14-3-4(a);
(ii) a public agency has the discretion not to disclose under
IC 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 be
confidential.
(12) "Person" means any individual, proprietorship, partnership,
unincorporated association, trust, business trust, group, limited
liability company, or corporation, whether or not operated for
profit, or a governmental agency or political subdivision.
(13) "Political subdivision" means a county, city, town,
township, school district, municipal corporation, special taxing
district, or other local instrumentality. The term includes an
officer 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 of
a 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, a
commission, 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 the
executive (including the administrative) department of
state government, including a separate body corporate and
politic.
(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 and
feminine.
(19) The singular form of any noun includes the plural wherever
appropriate.
(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 appointed
by the governor.
(c) No more than three (3) commission members shall be of the
same 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 shall
designate 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 assistance
for 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 the
minimum salary per diem provided by IC 4-10-11-2.1(b). A member
is entitled to reimbursement for travel expenses and other expenses
actually incurred in connection with the member's duties, as provided
in the state travel policies and procedures established by the
department 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 following
persons:
(1) A current or former state officer.
(2) A current or former employee.
(3) A person who has or had a business relationship with an
agency.
(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; complaints
open 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 the
inspector general's authority to the inspector general for
investigation.
(2) Receive and hear any complaint filed with the commission
by 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 the
production of pertinent books and papers by a subpoena
enforceable by the circuit or superior court of the county where
the subpoena is to be issued.
(4) Recommend legislation to the general assembly relating to
the conduct and ethics of state officers, employees, special state
appointees, and persons who have business relationships with
agencies.
(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 to
interpret this chapter, IC 4-2-7, or the rules adopted under this
chapter 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 with
an agency;
(iv) a special state appointee or former special state
appointee; 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, the
commission may:
(i) reject, without further proceedings, a complaint that the
commission considers frivolous or inconsequential;
(ii) reject, without further proceedings, a complaint that
the commission is satisfied has been dealt with
appropriately by an agency;
(iii) upon the vote of four (4) members, determine that the
complaint does not allege facts sufficient to constitute a
violation of this chapter or the code of ethics and dismiss
the complaint; or
(iv) forward a copy of the complaint to the attorney
general, the prosecuting attorney of the county in which
the alleged violation occurred, the state board of accounts,
a state officer, the appointing authority, or other
appropriate person for action, and stay the commission's
proceedings pending the other action.
(B) If a complaint is not disposed of under clause (A), a
copy of the complaint shall be sent to the person alleged to
have committed the violation.
(C) If the complaint is not disposed of under clause (A), the
commission may promptly refer the alleged violation for
additional investigation by the inspector general. If the
commission finds by a majority vote that probable cause
exists to support an alleged violation, it shall set a public
hearing on the matter. The respondent shall be notified
within fifteen (15) days of the commission's determination.
Except as provided in this section, the commission's
evidence relating to an investigation is confidential.
(D) A complaint filed with the commission is open for
public inspection after the commission finds that probable
cause exists. However, a complaint filed by the inspector
general that contains confidential information under
IC 4-2-7-8 may be redacted to exclude the confidential
information. Every hearing and other proceeding in which
evidence 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 probable
cause is confidential unless the target of the investigation
elects to have information disclosed, or the commission
elects to respond to public statements by the person who
filed the complaint.
(F) The commission may acknowledge:
(i) the existence and scope of an investigation before the
finding of probable cause; or
(ii) that the commission did not find probable cause to
support an alleged violation.
(G) If a hearing is to be held, the respondent may examine
and make copies of all evidence in the commission's
possession relating to the charges. At the hearing, the
charged party shall be afforded appropriate due process
protection consistent with IC 4-21.5, including the right to
be represented by counsel, the right to call and examine
witnesses, the right to introduce exhibits, and the right to
cross-examine opposing witnesses.
(H) After the hearing, the commission shall state its findings
of fact. If the commission, based on a preponderance of the
evidence, finds by a majority vote that the respondent has
violated 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, it shall state its
findings in writing in a report, which shall be supported and
signed by a majority of the commission members and shall
be made public.
(I) If the commission, based on a preponderance of the
evidence, 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 of
the actions provided in section 12 of this chapter.
(J) The report required under clause (H) shall be presented
to:
(i) the respondent;
(ii) the appointing authority or state officer of the
employee, former employee, or special state appointee;
(iii) the appointing authority or state officer of an agency
or office that has a business relationship with the person
sanctioned; and
(iv) the governor.
(K) The commission may also forward the report to any of
the following:
(i) The prosecuting attorney of each county in which the
violation 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 or
agency that has a business relationship with the person
sanctioned.
(vii) Any other appropriate person.
(L) If the commission finds the respondent has not violated
a code or statutory provision or a rule adopted under this
chapter, IC 4-2-7, or IC 4-2-8, it shall dismiss the charges.
(3) Review all conflict of interest disclosures received by the
commission under IC 35-44-1-3, maintain an index of those
disclosures, and issue advisory opinions and screening
procedures as set forth in section 9 of this chapter.
(c) Notwithstanding IC 5-14-3-4(b)(8)(C), the records of the
commission concerning the case of a respondent that are not
confidential under IC 5-14-3-4(b)(2)(C) shall be available for
inspection 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 of
participation and votes
Sec. 4.3. (a) This section applies to a commission meeting at
which at least three (3) members of the commission are physically
present at the place where the meeting is being conducted. The
commission may not conduct a hearing under section 4(b)(2)(G) of
this chapter under this section.
(b) A commission member may participate in a commission
meeting 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 place
where the meeting is being conducted;
to communicate simultaneously with each other during the meeting.
(c) A commission member who participates in a meeting under
subsection (b) is considered to be present at the meeting.
(d) A commission member who participates in a meeting under
subsection (b) may act as a voting member on official action only if
at least two (2) commission members physically present at the place
where the meeting is being conducted concur in the official action.
(e) The memoranda of the meeting prepared under IC 5-14-1.5-4
must also state the name of each member who:
(1) was physically present at the place where the meeting was
conducted;
(2) participated in the meeting by using a means of
communication described in subsection (b); or
(3) was absent.
(f) A commission member who participates in a meeting under
subsection (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 officer
receives a report under section 4(b)(2)(H) of this chapter, the
appointing authority or state officer shall report to the commission
the action taken in response to the report. The commission may
require in the report that the appointing authority or the state officer
submit 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 state
appointee shall not knowingly:
(1) accept other employment involving compensation of
substantial value if the responsibilities of that employment are
inherently incompatible with the responsibilities of public
office or require the individual's recusal from matters so central
or critical to the performance of the individual's official duties
that the individual's ability to perform those duties would be
materially impaired;
(2) accept employment or engage in business or professional
activity that would require the individual to disclose
confidential information that was gained in the course of state
employment; or
(3) use or attempt to use the individual's official position to
secure unwarranted privileges or exemptions that are:
(A) of substantial value; and
(B) not properly available to similarly situated individuals
outside state government.
(b) A written advisory opinion issued by the commission or the
individual's appointing authority or agency ethics officer granting
approval of outside employment is conclusive proof that an
individual 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 state
appointees; compensation resulting from confidential information
Sec. 6. No state officer or employee, former state officer or
employee, special state appointee, or former special state appointee
shall accept any compensation from any employment, transaction, or
investment which was entered into or made as a result of material
information 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 appointee
who serves only as a member of an advisory body.
(b) A state officer, employee, or special state appointee may not
receive compensation:
(1) for the sale or lease of any property or service which
substantially exceeds that which the state officer, employee, or
special state appointee would charge in the ordinary course of
business; and
(2) from any person whom the state officer, employee, or
special state appointee knows or, in the exercise of reasonable
care and diligence should know, has a business relationship
with the agency in which the state officer, employee, or special
state 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 financial
disclosure statement:
(1) The governor, lieutenant governor, secretary of state, auditor
of state, treasurer of state, attorney general, and state
superintendent 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 of
administration.
(5) Any purchasing agent within the procurement division of
the department of administration.
(6) Any agency employee, special state appointee, former
agency employee, or former special state appointee with final
purchasing authority.
(7) An employee required to do so by rule adopted by the
inspector general.
(b) The statement shall be filed with the inspector general as
follows:
(1) Not later than February 1 of every year, in the case of the
state 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 candidate
for a state office listed in subsection (a)(1), before filing a
declaration of candidacy under IC 3-8-2 or IC 3-8-4-11, petition
of nomination under IC 3-8-6, or declaration of intent to be a
write-in candidate under IC 3-8-2-2.5, or before a certificate of
nomination is filed under IC 3-8-7-8, in the case of a candidate
for one (1) of the state offices (unless the statement has already
been filed when required under IC 3-8-4-11).
(3) Not later than sixty (60) days after employment or taking
office, unless the previous employment or office required the
filing of a statement under this section.
(4) Not later than thirty (30) days after leaving employment or
office, unless the subsequent employment or office requires the
filing of a statement under this section.
The statement must be made under affirmation.
(c) The statement shall set forth the following information for the
preceding calendar year or, in the case of a state officer or employee
who leaves office or employment, the period since a previous
statement was filed:
(1) The name and address of any person known:
(A) to have a business relationship with the agency of the
state officer or employee or the office sought by the
candidate; and
(B) from whom the state officer, candidate, or the employee,
or that individual's spouse or unemancipated children
received a gift or gifts having a total fair market value in
excess 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 or
unemancipated children has an equitable or legal interest either
amounting to five thousand dollars ($5,000) or more or
comprising ten percent (10%) of the state officer's, candidate's,
or the employee's net worth or the net worth of that individual's
spouse or unemancipated children. An individual's primary
personal residence need not be listed, unless it also serves as
income property.
(3) The names and the nature of the business of the employers
of the state officer, candidate, or the employee and that
individual's spouse.
(4) The following information about any sole proprietorship
owned 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 professional
practice.
(B) The nature of the business.
(C) Whether any clients are known to have had a business
relationship with the agency of the state officer or employee
or the office sought by the candidate.
(D) The name of any client or customer from whom the state
officer, candidate, employee, or that individual's spouse
received more than thirty-three percent (33%) of the state
officer's, candidate's, employee's, or that individual's
spouse'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 a
member and the nature of the partnership's business.
(6) The name of any corporation (other than a church) of which
the state officer, candidate, or the employee or that individual's
spouse is an officer or a director and the nature of the
corporation's business.
(7) The name of any corporation in which the state officer,
candidate, or the employee or that individual's spouse or
unemancipated children own stock or stock options having a
fair market value in excess of ten thousand dollars ($10,000).
However, if the stock is held in a blind trust, the name of the
administrator of the trust must be disclosed on the statement
instead of the name of the corporation. A time or demand
deposit in a financial institution or insurance policy need not be
listed.
(8) The name and address of the most recent former employer.
(9) Additional information that the person making the
disclosure chooses to include.
Any such state officer, candidate, or employee may file an amended
statement upon discovery of additional information required to be
reported.
(d) A person who:
(1) fails to file a statement required by rule or this section in a
timely manner; or
(2) files a deficient statement;
upon a majority vote of the commission, is subject to a civil penalty
at a rate of not more than ten dollars ($10) for each day the statement
remains delinquent or deficient. The maximum penalty under this
subsection is one thousand dollars ($1,000).
(e) A person who intentionally or knowingly files a false
statement 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 state
appointee may not participate in any decision or vote if the state
officer, employee, or special state appointee has knowledge that any
of 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, a
director, 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 an
arrangement concerning prospective employment.
(b) A state officer, an employee, or a special state appointee who
identifies a potential conflict of interest shall notify the person's
appointing authority and seek an advisory opinion from the
commission by filing a written description detailing the nature and
circumstances of the particular matter and making full disclosure of
any related financial interest in the matter. The commission shall:
(1) with the approval of the appointing authority, assign the
particular matter to another person and implement all necessary
procedures to screen the state officer, employee, or special state
appointee seeking an advisory opinion from involvement in the
matter; or
(2) make a written determination that the interest is not so
substantial that the commission considers it likely to affect the
integrity of the services that the state expects from the state
officer, employee, or special state appointee.
(c) A written determination under subsection (b)(2) constitutes
conclusive proof that it is not a violation for the state officer,
employee, or special state appointee who sought an advisory opinion
under this section to participate in the particular matter. A written
determination under subsection (b)(2) shall be filed with the
appointing 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, an
employee, or a special state appointee may not knowingly have a
financial 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 who
does not participate in or have official responsibility for any of
the activities of the contracting agency, if:
(A) the contract is made after public notice or, where
applicable, through competitive bidding;
(B) the state officer, employee, or special state appointee
files with the commission a statement making full disclosure
of all related financial interests in the contract;
(C) the contract can be performed without compromising the
performance 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, the
appointing authority of the contracting agency makes and
files a written certification with the commission that no
other state officer, employee, or special state appointee of
that agency is available to perform those services as part of
the regular duties of the state officer, employee, or special
state appointee; or
(2) a state officer, an employee, or a special state appointee
who, acting in good faith, learns of an actual or prospective
violation of the prohibition in subsection (a), if, not later than
thirty (30) days after learning of the actual or prospective
violation, the state officer, employee, or special state appointee:
(A) makes a full written disclosure of any financial interests
to 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 a
legislative matter or the proposal, consideration, adoption, or
implementation of a rule or an administrative policy or practice of
general application.
(b) This subsection applies only to a person who served as a state
officer, employee, or special state appointee after January 10, 2005.
A former state officer, employee, or special state appointee may not
accept employment or receive compensation:
(1) as a lobbyist;
(2) from an employer if the former state officer, employee, or
special state appointee was:
(A) engaged in the negotiation or the administration of one
(1) or more contracts with that employer on behalf of the
state or an agency; and
(B) in a position to make a discretionary decision affecting
the:
(i) outcome of the negotiation; or
(ii) nature of the administration; or
(3) from an employer if the former state officer, employee, or
special state appointee made a regulatory or licensing decision
that directly applied to the employer or to a parent or subsidiary
of the employer;
before the elapse of at least three hundred sixty-five (365) days after
the date on which the former state officer, employee, or special state
appointee ceases to be a state officer, employee, or special state
appointee.
(c) A former state officer, employee, or special state appointee
may not represent or assist a person in a particular matter involving
the state if the former state officer, employee, or special state
appointee personally and substantially participated in the matter as
a state officer, employee, or special state appointee, even if the
former state officer, employee, or special state appointee receives no
compensation for the representation or assistance.
(d) A former state officer, employee, or special state appointee
may not accept employment or compensation from an employer if the
circumstances surrounding the employment or compensation would
lead a reasonable person to believe that:
(1) employment; or
(2) compensation;
is given or had been offered for the purpose of influencing the former
state officer, employee, or special state appointee in the performance
of his or her duties or responsibilities while a state officer, an
employee, or a special state appointee.
(e) A written advisory opinion issued by the commission
certifying that:
(1) employment of;
(2) representation by; or
(3) assistance from;
the former state officer, employee, or special state appointee does not
violate this section is conclusive proof that a former state officer,
employee, or special state appointee is not in violation of this
section.
(f) Subsection (b) does not apply to a special state appointee who
serves only as a member of an advisory body.
(g) An employee's or a special state appointee's state officer or
appointing authority may waive application of subsection (b) or (c)
in individual cases when consistent with the public interest. Waivers
must be in writing and filed with the commission. The inspector
general may adopt rules under IC 4-22-2 to establish criteria for post
employment 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 appointee
appointed after January 10, 2005.
(b) Except as provided in subsection (c), a lobbyist may not serve
as 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, the
commission 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 or
a state officer for a period specified by the commission.
(4) Order restitution or disgorgement.
(5) Reprimand, suspend, or terminate an employee or a special
state appointee.
(6) Reprimand or recommend the impeachment of a state
officer.
(7) Bar a person from future state employment as an employee
or 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 an
agency.
(10) Revoke the registration of a person registered as a lobbyist
under IC 4-2-8.
(11) Bar a person from future lobbying activity with a state
officer 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 filing
complaint 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 or
threaten to retaliate against an employee, a former employee, a
special state appointee, or a former special state appointee because
the employee, former employee, special state appointee, or former
special state appointee did any of the following:
(1) Filed a complaint with the commission or the inspector
general.
(2) Provided information to the commission or the inspector
general.
(3) Testified at a commission proceeding.
(b) A state officer, an employee, or a special state appointee may
take appropriate action against an employee who took any of the
actions listed in subsection (a) if the employee or special state
appointee:
(1) did not act in good faith; or
(2) knowingly or recklessly provided false information or
testimony to the commission.
(c) A person who violates this section is subject to action under
section 12 of this chapter.
(d) A person who knowingly or intentionally violates this section
commits a Class A misdemeanor. In addition to any criminal penalty
imposed under IC 35-50-3, a person who commits a misdemeanor
under this section is subject to action under section 12 of this
chapter. 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, by
threat, coercion, suggestion, or false statement, a witness or
informant in a commission proceeding or investigation
conducted by the inspector general to do any of the following:
(A) Withhold or unreasonably delay the production of any
testimony, information, document, or thing.
(B) Avoid legal process summoning the person to testify or
supply evidence.
(C) Fail to appear at a proceeding or investigation to which
the person has been summoned.
(D) Make, present, or use a false record, document, or thing
with the intent that the record, document, or thing appear in
a commission proceeding or investigation to mislead a
commissioner or commission employee.
(2) Alter, damage, or remove a record, document, or thing
except as permitted or required by law, with the intent to
prevent the record, document, or thing from being produced or
used in a commission proceeding or investigation conducted by
the inspector general.
(3) Make, present, or use a false record, document, or thing with
the intent that the record, document, or thing appear in a
commission proceeding or investigation to mislead a
commissioner 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 certain
communications paid from appropriations made by general
assembly; exceptions
Note: This version of section effective until 3-24-2010. See also
following 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 the
public health or safety.
(2) A communication:
(A) that a compelling public policy reason justifies the state
officer to make; and
(B) the expenditure for which is approved by the budget
agency after an advisory recommendation from the budget
committee.
(b) This section does not prohibit a state officer from using in a
communication the title of the office the state officer holds.
(c) As used in this section, "communication" refers only to the
following:
(1) An audio communication.
(2) A video communication.
(3) A print communication in a newspaper (as defined in
IC 5-3-1-0.4).
(d) A state officer may not use the state officer's name or likeness
in a communication paid for entirely or in part with appropriations
made 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 securities
division enforcement account; use of state officer's name or
likeness prohibited; exceptions
Note: This version of section effective 3-24-2010. See also
preceding 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 the
public health or safety.
(2) A communication:
(A) that a compelling public policy reason justifies the state
officer to make; and
(B) the expenditure for which is approved by the budget
agency after an advisory recommendation from the budget
committee.
(b) This section does not prohibit a state officer from using in a
communication the title of the office the state officer holds.
(c) As used in this section, "communication" refers only to the
following:
(1) An audio communication.
(2) A video communication.
(3) A print communication in a newspaper (as defined in
IC 5-3-1-0.4).
(d) A state officer may not use the state officer's name or likeness
in a communication paid for entirely or in part with appropriations
made by the general assembly, regardless of the source of the money.
(e) A state officer may not use the state officer's name or likeness
in a communication paid for entirely or in part with:
(1) money from the securities division enforcement account
established under IC 23-19-6-1(f); or
(2) appropriations from the state general fund made under
IC 23-19-6-1(f). As added by P.L.58-2010, SEC.33. Amended by P.L.114-2010,
SEC.1.
