ethics &
DESCRIPTION
Ethics &. CONTRACTS. RISK ASSESSMENT ARRA INVESTIGATIONS. Judicial. Executive. Disciplinary Code. Disciplinary Code. Code of Ethics. Rules of Professional Conduct. Ethics. Judicial. Executive. 42 IAC 1-5-11 – Divulging Confidential Information. - PowerPoint PPT PresentationTRANSCRIPT
Ethics &
RISK ASSESSMENT
ARRA
INVESTIGATIONS
Play
Judicial
Disciplinary Code
Executive
Disciplinary Code
Code of EthicsRules of
Professional Conduct
JudicialExecutive•42 IAC 1-5-11 – Divulging Confidential Information
•RPC 1.6 – Confidentiality of Information
•42 IAC 1-5-6 – Conflicts of Interest; Decisions & Voting
•RPC 1.7 – Conflict of Interest; Current Clients
•42 IAC 1-5-7 – Conflict of Interest; Contracts
•RPC 1.8 – Conflict of Interest; Specific Rules•42 IAC 1-5-2 –
Donor Restriction
Ethics
IC 4-2-7-3(16)
Investigative
Legal
Audit
Forensics
Office of Inspector General
The Ethics Rules on the Webwww.in.gov/ig/2336.htm
Summary of the rule
Examples
SEC Advisory OpinionsInterpreting the rule
The full rule
1st Term
• 64 criminal arrests
• 27 ethics complaints
• 33 efficiency reports (>30 recomms)
• > 1,500 advisory opinions
• $10 million savings & captures
I
RISK ASSESSMENT
A
Conflicts of Interest
Conflicts in Contracting
42 IAC 1-5-7 – Conflict of Interest; Contracts
Applies to contracts with ANY agency.
IC 35-44-1-3 – Conflict of Interest
Applies to contracts with your own agency.
OIG Disclosure
DisclosuresState Board of
Accounts Disclosure
B
SBOA Findings
Contracts Gone Bad:SBOA Top Findings• Amendments not
timely• Contract payments
continued though lapsed
• No contract before payment• Overpayment:
payments not tracked
C
Itemization
Itemization
Itemization Required: IC 5-11-10-1(b)
Itemization: Expenditure of Appropriations, IC 4-10-12-1
D
Monster Contracts
E
Uniform Government Code
UGC
UGC: Uniform Government Codewww.in.gov/ig/2332.htm
II
ARRA
ARRA:Stimulus Money
The Act
Public Law 111-5
www.recovery.gov
www.in.gov/gov/INvest.htm
Contract provision:
Add this Provision to Contracts and Grants: American Recovery and Reinvestment Act Funding: Funds supporting this Grant/Contract/Loan have been provided through the “American Recovery and Reinvestment Act of 2009” (“ARRA”) and are subject to the reporting and operational requirements of ARRA. The State makes no representations/guarantees about funding beyond the grant/contract period as this is being funded with one time dollars from the ARRA. The recipient of these funds is responsible for record keeping and reporting requirements under ARRA. Reports required by Federal agencies and the State of Indiana shall include, but are not limited to, performance indicators of program deliverables, information on costs and progress against timelines. Additionally, each contract and grant subject to ARRA, including subcontractors and subgrantees, is subject to audit by appropriate federal or state entities. Failure to comply with the terms, conditions and requirements of ARRA may result in the recapture of the balance of funds awarded. Add this Provision into RFPs: American Recovery and Reinvestment Act Funding: This procurement will result in a Grant/Contract paid for by funds provided through the “American Recovery and Reinvestment Act of 2009” (“ARRA”) and are subject to the reporting and operational requirements of ARRA. The State makes no representations/guarantees about funding beyond the grant/contract period as this is being funded with one time dollars from the ARRA. Respondents to this solicitation must acknowledge their ability to comply with all report requirements defined by the Federal Government for ARRA funds. The recipient of these funds is responsible for record keeping and reporting requirements under ARRA. Reports required by Federal agencies and the State of Indiana shall include, but are not limited to, performance indicators of program deliverables, information on costs and progress against timelines. Additionally, each contract and grant subject to ARRA, including subcontractors and subgrantees, is subject to audit by appropriate federal or state entities. Failure to comply with the terms, conditions and requirements of ARRA may result in the recapture of the balance of funds awarded.
ARRA penalties:
Reporting 10 days after CY quarter
Public report (on website)
Federal IG “shall” review “any” concerns raised by public
Recovery Accountability Transparency Board (and Recovery Independent Advisory Panel)
And…
III
INVESTIGATIONS
Types of contract ethics violations:
MECCA (overbilling)
Paragon Labs (gifts from contractor)
SBDC Forgery (fraud)
Evansville (identity theft)
Looper: First Steps
Vocational Rehabilitation
Nurse Overbilling
DNR Bribe
PLA Manicurist Test Proctor Bribes
Change-Orders
Bogus daycare center
IMPACT job training: $40,000
Contracts Gone Bad
Fictitious IMPACT job training (Catch the Fire)
Paragon
Examples of Contracts Gone Bad
In summary:
• Keep contracts in order
• Screen contracts for COIs
• Beware of monster contracts & demand itemizations
• ARRA Stimulus reports timely
Advisory Opinionswww.in.gov/ig/2334.htm
Office of Inspector General
315 W. Ohio St., Room 104
Indianapolis, IN 46202
www.in.gov/[email protected]