Frequently Asked Questions
What is the Office of the Inspector General (OIG)?
The Office of the Inspector General (OIG) is a new state agency. It was created by an Executive Order issued by Governor Mitchell E. Daniels, Jr. on January 10, 2005. The Indiana Legislature ratified the office and defined the role of the OIG later that year in Indiana Code 4-2-7. The OIG staff is what was previously the State Ethics Commission staff. However, the State Ethics Commission remains the ultimate authority on interpreting the Indiana Code of Ethics and any litigation before it.
What does the OIG do? Does it do more than investigate?
The Office of the Inspector General (OIG) is most known for investigating criminal and ethics violations by state employees and contractors. In addition to its investigations, the OIG writes the Indiana Code of Ethics, staffs the State Ethics Commission, and educates and advises state workers on the Code of Ethics. The OIG also addresses waste in state government and makes recommendations to state agencies to improve efficiency.
What is the jurisdiction of the OIG?
The Office of the Inspector General (OIG) has jurisdiction in the Executive Branch of Indiana Government. The Executive Branch includes most state agencies and state offices.
The OIG does not have jurisdiction within the Indiana Judiciary (attorneys, judges and prosecutors), the Indiana Legislature, or with local government units in cities, counties, or school boards.
What types of issues does the OIG address?
The Office of the Inspector General (OIG) addresses three general issues: (1) criminal offenses against public administration (for example: bribery, official misconduct and conflicts of interest), (2) the Code of Ethics, and (3) efficiency matters involving waste, fraud or abuse.
What is the Code of Ethics or ethics rules?
The fifteen ethics rules for the Executive Branch of Indiana government are codified into the Code of Ethics in 42 IAC 1-5-1 through 15. These rules, along with their summaries, examples and State Ethics Commission interpretations, may also be found on the Office of the Inspector General website.
Am I required to take ethics training?
All state employees and special state appointees must take ethics training every two years. Newly hired state workers must complete ethics training within six weeks. OIG ethics training is now web-based. Your agency receives a schedule to take this training through the state PeopleSoft computer system. Contact your agency Ethics Officer for more information.
How do I get ethics advice?
You may view the ethics rules and their summaries, examples and interpretations on the OIG website.
The OIG also provides written advice through written Informal Advisory Opinions (IAO) from the OIG staff attorneys. An IAO is confidential to the state worker unless the state worker waives confidentiality by sharing the written opinion with another.
Alternatively, the OIG staff can help schedule you for a Formal Advisory Opinion from the State Ethics Commission at one of their monthly meetings. These opinions are the ultimate advice on the Code of Ethics.
A request for either form of advice may be made through the website.
What are the stages of an ethics complaint?
An investigation starts with a report to the Office of the Inspector General (OIG). This report or complaint is a request to investigate. In contrast, the term “complaint” in the OIG statute refers to the written document the OIG files with the State Ethics Commission (SEC) if a Code of Ethics violation is determined by the OIG after an investigation. Upon receiving a request to investigate, the following stages are followed.
- Investigation
The OIG investigates allegations that the Indiana Code of Ethics may have been violated. If it determines after an investigation that the facts constitute probable cause that can be shown by a preponderance of the evidence, it may file a written complaint with the SEC specifying the alleged violation.
- Filing of the complaint
An ethics complaint is a written document filed by the Inspector General with the SEC. This document cites the specific ethics rule which is alleged to have been violated along with the general supporting facts. This is a civil rather than a criminal proceeding. The person named as allegedly violating the rule is the “Respondent”.
If the SEC finds that probable cause exists to support the complaint, the state employee is notified in writing of this SEC finding and is given a hearing date. This determination by the SEC is made in executive rather than public session.
Under Indiana law, the written complaint filed with the SEC is a public document. The probable cause information and supporting investigatory records are not public documents.
- Discovery
A witness and exhibit list allegedly supporting the complaint are provided to the Respondent.
- Optional Negotiations
During the interim between the filing of the complaint and the hearing or trial on the complaint, the Inspector General may communicate with the Respondent in order to seek an agreed settlement to submit for approval or rejection by the SEC. The Respondent is entitled to communicate through an attorney he or she hires. If an agreed settlement is not reached, the case moves to the SEC for the hearing or trial on the complaint.
- Hearing on the complaint
The hearing is public and like in most state agency proceedings, the media is permitted to attend and record the proceedings.
The hearing is similar to a court proceeding. However, the SEC conducts the hearings informally so as to provide fairness to the Respondent. The SEC is the ultimate trier of fact. The SEC also controls the reception of evidence and the entire proceeding. Currently, the SEC consists of licensed attorneys in Indiana who have wide ranges of experience and geographic backgrounds. To learn more about the current SEC members, please visit our Commission page.
Generally, the procedure at the hearing is similar to a court trial. Both parties are entitled to present evidence in the form of witness testimony and exhibits. Cross-examination of the witnesses is permitted. The Inspector General usually presents evidence first and then rests. Then the Respondent is entitled to present evidence. After the Respondent rests, the Inspector General may be given the opportunity to present rebuttal evidence. Then the parties are usually given the opportunity to give final arguments or a summation to the SEC as to why each party believes the complaint has or has not been proved.
The SEC then deliberates in executive session much like a jury in a court proceeding. The announcement of their decision is often at a different date.
If the SEC rules that the Inspector General has not proven its complaint by a preponderance of the evidence, the case is dismissed by the SEC and is over. If the SEC finds that the Inspector General has proved its complaint by a preponderance of the evidence, the SEC issues its ruling in writing.
Penalties for a Code of Ethics violation by the SEC are addressed in Indiana Code 4-2-6 and may involve a monetary fine up to three times the financial impact of the unethical activity. In extreme cases, the SEC may issue a permanent bar from future state government employment.
- Inspector General Report
A separate report from the Inspector General is issued summarizing the investigation if the SEC issues findings of a violation of the Code of Ethics.
- Payment of fines
If the SEC imposes a fine, the Inspector General is charged to collect this fee and deposit the monies with the State Treasury.
What is the State Ethics Commission (SEC)?
The
State Ethics Commission is a bipartisan five-member group which meets monthly to issue Formal Advisory Opinions and preside over ethics complaint litigation. Currently all member are licensed attorneys in Indiana and come from a variety of backgrounds and experiences.
What is the relation of the SEC to the OIG?
The State Ethics Commission (SEC) is an independent Commission which gives the ultimate decisions on interpretations of the Indiana Code of Ethics. The SEC also controls ethics complaint litigation brought by the Inspector General. The Inspector General is also charged to provide staff and office space to the SEC.
How do I request an investigation by the OIG?
Persons may request an OIG investigation on our confidential
HOTLINE.
Persons without access to a computer may submit their request in writing to the OIG:
Office of the Inspector General
150 West Market Street, Room 414
Indianapolis, Indiana 46204
How do I know what the OIG is doing?
To see the actions of the OIG, you may access the following resources:
The
Indiana Code of Ethics written by the OIG, including summaries, examples, and annotated interpretations by the State Ethics Commission
Ethics training by the OIG
Ethics advice from the OIG or the State Ethics Commission
Reports of investigations by the OIG, including annual reports
Publications by the OIG
What does the OIG require from me as a state worker?
All state workers in the Executive Branch of Indiana Government must complete ethics training (see information above).
Certain state workers must file a Financial Disclosure form (see requirements below).
What is a Financial Disclosure Statement?
The Financial Disclosure Statement (FDS) is a document about certain state employee’s financial interests and must be filed annually (digitally or by hardcopy) with the OIG.
Only the following persons must make this filing:
- State officers and candidates for state offices
- Agency appointing authorities
- Division directors of the Department of Administration
- Any purchasing agent within the Procurement Division of the Department of Administration.
For more guidance, see our
OIG website.
How do I contact the OIG or SEC?
You may contact the OIG or SEC in a variety of ways:
Request ethics advice
Hotline request to investigate
Telephone: 317-232-3850
FAX: 317-232-0707
Office of the Inspector General and Ethics Commission
150 West Market Street, Room 414
Indianapolis, Indiana 46204
Our office is located in the ISTA building, which is the black glass building at the corner of Capital and Market Streets, and is just east of the Statehouse. Metered public parking is available on the north side of our building and along the public streets. Parking garages within our block are also available along Ohio and Market Streets.
