1. WEST VIRGINIA ETHICS COMMISSION
An Overview of the West Virginia Ethics Act
Presented By:
Kimberly B. Weber
General Counsel

2. HISTORICAL BACKGROUND
The West Virginia Ethics Commission was enacted in 1989, during a special session of the Legislature.
That session:
Created the Ethics Commission
Passed the West Virginia Ethics Act, W. Va. Code § 6B-1-1 et seq.

3. BACKGROUND In 2005, Gov. Manchin called a Special Session
Extended Statute of Limitations to 2 years
Amended Complaint process and procedure
Commission may initiate complaints
Created Probable Cause Review Board
W. Va. Code § 6B-2-2a

4. JURISDICTION Ethics Act (W.Va. Code § 6B-1-1 et seq.)
Open Meetings Act (W. Va. Code 6-9A-1 et seq.)
School Board eligibility (W. Va. Code § a)
Administrative Law Judge Code of Conduct
Lobbyists
Financial Disclosure Statements

5. GOVERNMENTAL ETHICS GENERAL PRINCIPLES
Maintain confidence in integrity and impartiality of the governmental process
Public employees should avoid conflicts between their personal interests and their public responsibilities.
W. Va. Code § 6B-1-2

6. THE ETHICS ACT Applies to:
Public servants in state, county & municipal government
Executive, legislative & judicial branches
Elected and appointed officials, full & part-time employees
Does not apply to contractors or private organizations receiving government funds

7. WV ETHICS COMMISSION Agency Mission Advise
Informally, by telephone, , fax or mail
Formally, by issuance of Advisory Opinions
Train and Educate
Investigate & Prosecute Complaints

8. TOPICS COVERED BY THE ETHICS ACT
Private Gain
Solicitation and Gifts
Public Contracts
Confidential Information
Appearance and Representation
Employment
Voting
Revolving Door

9. USE OF OFFICE FOR PRIVATE GAIN
W. Va. Code § 6B-2-5(b)
May not use public resources, including title or subordinate staff, for personal benefit
Ethics Act prohibits more than a de minimis use for personal purposes

10. NEPOTISM
158 W. Va. C.S.R. § 6.3
Independent third party should make employment-related decisions regarding relatives, close friends, business partners or members of the governing body
Advisory Opinion extends rule to “close friends.”
If a public body knows in advance that:
One of its preferred candidates falls into one of these categories, or
Is concerned about the appearance of impropriety,
Must follow the Commission’s nepotism guidelines at 158 W. Va. C.S.R. § 6.3.

11. NEPOTISM
158 W. Va. C.S.R. § 6.3
The Private Gain Rule governs the hiring of immediate family members. Ethics Commission has guidelines.
General rule – independent third party should make decision.
There are stricter limitations for County Officials; see W.Va. Code §

12. NEPOTISM
158 W. Va. C.S.R. § 6.3
When hiring a relative, cohabiting sexual partner, or close friend:
The public should be given reasonable advance notice.
Notice should include a description of the job responsibilities, the qualifications required, the pay and the method of application.
The notice must give interested parties the timely chance to apply.
If possible, the public official or employee should stay out of the process.
If he or she is one of several people with hiring authority, others should make the selection.
An independent person should take part in the selection.
He or she should avoid using a subordinate as an “independent person.”
If he or she must share in the decision, he or she should use his or her best objective judgment in making the selection, and be prepared to justify the selection.

13. GENERAL GIFT RULES Solicitation of gifts is prohibited.
W. Va. Code § 6B-2-5(c)
Solicitation of gifts is prohibited.
Don’t accept a gift with a fair market value over $25 per year from an interested party.
No limitation on food and beverages if the person providing it is present.

14. WHO IS AN INTERESTED PERSON?
W. Va. Code § 6B-2-5(c)
One who:
Seeks or does business with the public servant’s agency;
Is engaged in activities regulated or controlled by the agency; or,
Has financial interests which may be substantially & materially affected, in a manner distinguishable from the public generally, by the performance or non performance of official duties.

15. ZIGGY KNOWS!

16. CHARITABLE SOLICITATIONS
Gifts may only be solicited for a charitable purpose, such as the United Way. Government employees may not solicit contributions from a subordinate.
W. Va. Code § 6B-2-5(c)

17. PUBLIC EMPLOYEE RECOGNITION GUIDELINE
May use public funds to recognize public employees if it serves a public purpose of promoting employee morale through recognition of achievement
Responsibility for deciding whether it is an appropriate use of public funds lies with agency head

18. PUBLIC EMPLOYEE RECOGNITION GUIDELINE
Public funds may be used to purchase:
Light refreshments
Meals
Mementos of appreciation
May spend up to $25 per employee per fiscal year
For example, if there are 10 employees, then the office may spend $250 in public funds
May be allocated between employee recognition events
May spend up to $100 on one employee and less than $25 on others

19. RETIREMENT GIFTS AND EVENTS GUIDELINE
Applies to public servants who are:
Retiring from public service,
transferring to another public agency,
resigning to return to private sector, or
completing their last term of office
General Rule: May spend up to $100 of public funds to purchase plaque or other commemorative item
May not give money (or gift card) as gift

20. RETIREMENT GIFTS AND EVENTS GUIDELINE
It is permissible to use public funds to recognize public employees if it serves a public purpose of promoting employee morale through recognition of achievement
Responsibility for deciding whether it is an appropriate use of public funds lies with the Agency head.

21. RETIREMENT GIFTS AND EVENTS GUIDELINE
Absent specific legislative authority, may not spend public funds to pay for meals, food, or beverages at an event recognizing a departing public servant
Any meals, food or beverages must be purchased using private funds collected in accordance with guideline
May not use public funds to underwrite any rental or related fees associated with event held at an off-site location

22. DOOR PRIZES, GIFTS, AND CONFERENCE GIVEAWAYS
A public agency may not use public funds to purchase door prizes, gifts, or giveaways.
A public agency may use a reasonable amount of public funds to purchase:
items such as tote bags, pens, pencils or sticky notes to provide to conference attendees; and
Incentives and items to encourage audience participation
Fair market value of all such items provided to each participant may not exceed $25

23. DOOR PRIZES, GIFTS AND CONFERENCE GIVEAWAYS
PUBLIC SERVANTS
May only accept items valued at $25 or less
Prizes valued above $25 must be:
Returned,
Donated to charity, or
Donated to the agency.
$25 limit applies to all gifts from a single source in a calendar year.

24. DOOR PRIZES, GIFTS, AND CONFERENCE GIVEAWAYS
Attendees may bring gifts to conferences planned by public servants if:
You make it clear that participation is voluntary;
You inform the attendees that they must use personal, not public, funds;
Neither you nor the conference participants (public servants) may solicit anyone, e.g. local businesses or persons for any gifts; and,
Fair market value of gift may not exceed $25.

25. DOOR PRIZES, GIFTS, AND CONFERENCE GIVEAWAYS
VENDORS
You may ask vendors or conference sponsors to donate items of nominal value (usually with a company logo) so long as they derive some commercial value from it.
You and/or the conference participants/public servants may not solicit any gift or door prize from a vendor or conference sponsor; and,
Fair market value of any item may not exceed $25.

26. PANELIST OR SPEAKER May accept travel, food and lodging expenses
May also accept costs for one guest
Overnight stay must be based on business necessity
Similar to the requirements for Federal tax write-offs

27. EDUCATIONAL SEMINAR
May accept reduced rate or have third party pay for it if:
The seminar meets 5 part test which establish that ultimate benefit is to agency (158 W. Va. C.S.R. § 7.3)
Public employees need permission from head of agency
Appointed public officials permission from governing body
Beware of receiving perks which are not part of standard hotel package
Third party may not pay cost of guests, e.g., your wife and children

28. FREE TICKETS Sporting events – stricter limits
Ticket must be $25.00 or less
May not take guest if total value of all tickets exceeds $25.00
Sporting events – ceremonial role
$25.00 limit does not apply
May accept a ticket for a guest
Very limited exception-call us first

29. FREE TICKETS Charitable, cultural or political events
$25.00 limit does not apply if:
Public officials are customarily invited AND
The tickets come from the event sponsor
Also, may accept a ticket for one guest

30. PROHIBITED INTEREST IN PUBLIC CONTRACTS
W.Va. Code § 6B-2-5(d)
Elected public officials and full-time employees may not have a financial interest in a public contract under their authority or control ($1,000 threshold).
This means almost all financial transactions (e.g. purchases, leases, sales) except employment contracts
Ethics Commission has discretion to grant exemption to public entity based upon undue hardship or excessive cost

31. PROHIBITED INTEREST IN PUBLIC CONTRACTS
Members of Legislature may contract with any government agency, but may not use prestige of position to secure contract.
Part-time appointed officials are not subject to prohibition, but must recuse themselves if a conflict arises.
W.Va. Code § 6B-2-5(d)

32. CONFIDENTIAL INFORMATION
W.Va. Code § 6B-2-5(e)
No present or former public official or employee may disclose confidential information acquired in the course of his or her official duties, or use that information to further his or her personal interests or the interests of another person.
Improper disclosure of confidential information is a criminal misdemeanor.

33. PROHIBITED REPRESENTATION
W.Va. Code § 6B-2-5(f)
Original “revolving door” provision
No present or former public official or public employee shall:
Represent a client
With or without compensation
On behalf of any person
In a contested case, rate-making proceeding, license or permit application, regulatory filing or any other matter involving a specific party which:
Arose during his or her period of public service, and
He or she personally participated in a decision-making, advisory or staff support capacity, unless
The agency in question consents

34. PROHIBITED REPRESENTATION
W.Va. Code § 6B-2-5(f)
A staff attorney, accountant, or other professional employee who has represented a government agency in a matter shall not represent another client in the matter:
If that client’s interests are materially adverse to the agency
Does not apply if the client is involved only as a member of a class

35. EMPLOYMENT RESTRICTIONS
W.Va. Code § 6B-2-5(g)
No elected or appointed public official, and no full- time staff attorney or accountant, shall:
During his or her public service, or for a period of one year after the termination of that service, appear in a representative capacity before the entity he or she serves or served in:
Contested cases involving administrative sanction,
To support or oppose a proposed rule,
To support or oppose issuance of a license or permit,
Rate-making proceedings, or
To influence the expenditure of public funds
Can always appear on behalf of your old agency
Can apply to the Ethics Commission for a hardship exemption.

36. EMPLOYMENT RESTRICTIONS
W.Va. Code § 6B-2-5(h)
State employees may not seek employment with any person who:
Had a matter on which they or their subordinate took regulatory action within the past 12 months; or
Currently has a matter before their agency on which they or a subordinate is working.

37. OUTSIDE EMPLOYMENT May not conflict with your current employment.
Must work on your own time.
May not get paid for something that is part of your public job duties.
Consult with your supervisor to ensure compliance with agency rules.
May not work for someone you regulate or a vendor.

38. LIMITATIONS ON COMPENSATION
A public employee may not receive additional compensation from another publicly- funded state, county or municipal office or employer for working the same hours.
W.Va. Code § 6B-2-5(l)

39. EMPLOYMENT
Legislators may not receive outside compensation for performing Legislative duties
May receive pay for private work performed during regular Legislative session. For example, work on a Saturday for your private employer.
Advisory Opinion

40. LIMITATIONS ON EXPENSES
W. Va. Code § 6B-2-5(m)
No public official or public employee shall knowingly request or accept from any governmental entity compensation or reimbursement for any expenses actually paid by … any other person.

41. VOTING
General Rules
Do not vote if you or someone you know has a financial interest in the result
Class Exception – five is fine!
If or more similarly situated, then Public Official may vote under Ethics Act
Rules of Legislature – presiding officer decides if class exception applies. No specific number.
W.Va. Code § 6B-2-5(j)

42. VOTING
Public servants may not vote to award a contract to a business with which they, or an immediate family member, is associated.
The definition of “immediate family” is the same as the definition under the nepotism rules.
W.Va. Code § 6B-2-5(j)

43. VOTING Public servants may not vote on the employment of a relative.
W.Va. Code § 6B-2-5(l)
Public servants may not vote on the employment of a relative.
“Relative” includes:
Spouse
Children
In-laws
Grandparents
Grandchildren

44. PROPER RECUSAL
W.Va. Code § 6B-2-5(j)
A public servant who is required to recuse himself or herself must:
Fully disclose his or her interest
Leave the room during both the discussion of, and the vote on, the issue
Minutes must reflect that recusal

45. FINANCIAL DISCLOSURE
W.Va. Code § 6B-2-6
There is an annual filing requirement for elected and appointed officials in state government and elected County officials
Heads of agencies and deputies must also file
Candidates must also file within 10 days after filing their candidacy papers
Filed statements are public records

46. NEW FINANCIAL DISCLOSURE REQUIREMENTS
H. B – requires the disclosure of information relating to spouses.
Exception for part-time appointed board members:
Provided that their spouses have no financial interests affected by the work of the board.

47. REVOLVING DOOR LOBBYING LIMITATIONS
W.Va. Code § 6B-3-1
Some public officials must wait a year before becoming a lobbyist:
Members of the Legislature; 
Members of the Board of Public Works; 
Members of the Supreme Court of Appeals; 
Will and pleasure professional employees working under the direct supervision of a Member of the Legislature; 
Will and pleasure professional employees of Members of the Board of Public Works who:
are under their direct supervision; and,
regularly, personally and substantially participate in a decision-making or advisory capacity. 
Secretaries of Executive Branch Departments; and, 
Heads of any state departments or agencies

48. REVOLVING DOOR
W.Va. Code § 6B-3-1
Public servants may not appear in a representative capacity before their current or former agency on a matter in which they were personally and substantially involved.

49. REVOLVING DOOR 1 year waiting period for:
W.Va. Code § 6B-3-1
1 year waiting period for:
Elected and Appointed Officials
Full-time attorneys and accountants
May not appear before agency during this period.

50. LOBBYISTS Must register if: Compensated to lobby OR
W.Va. Code § 6B-3-1
Must register if:
Compensated to lobby OR
Spend over $150 annually entertaining Legislators and/or public officials

51. LOBBYISTS Lobbyists must report their expenses on: Legislators
W.Va. Code § 6B-3-1
Lobbyists must report their expenses on:
Legislators
Public officials

52. SOLICITING FROM LOBBYISTS
REMINDER
Public officials may not solicit lobbyists for food, beverages, or other gifts.

53. ENFORCEMENT
The Ethics Commission enforces the Ethics Act through the complaint process.

54. COMPLAINTS & SANCTIONS
Any citizen may file a complaint.
Complaints must be verified.
Complaint must be filed within 2 years of the last act of misconduct.
Ethics Commission may initiate a complaint based on credible evidence that a material violation has occurred.
Complaints must allege violation(s) of the Ethics Act.
W.Va. Code § 6B-2-3(a)

55. COMPLAINTS & SANCTIONS
Complaints are brought before the Probable Cause Review Board (PCRB) within 30 days to determine if:
There is probable cause to issue a Notice of Investigation; or
The complaint should be dismissed
Once the Notice is issued, the Ethics Commission staff investigates the allegation
If the allegation has merit, the PCRB issues a Statement of Charges to the Respondent.
W.Va. Code § 6B-2-3(a)

56. COMPLAINTS & SANCTIONS
Potential sanctions include:
Public reprimand;
Cease and desist orders;
Orders of restitution for money, things of value, or services taken;
Fines not to exceed five thousand dollars per violation;
Reimbursement to the Commission for costs of investigation and prosecution; and
Recommendation that a Respondent be terminated from employment or removed from office.
W.Va. Code § 6B-2-3(a)

57. ADVISORY OPINIONS Issued by the Commission
W.Va. Code § 6B-2-3
Issued by the Commission
Discussed and approved in a public meeting
Identity of requester/agency confidential
Immunity for conduct in good faith reliance on advisory opinion

58. ADVISORY OPINIONS
Copies and Index of most advisory opinions are located on the Ethics Commission website:

59. Consider the Following Scenarios….
From actual requests for advisory opinions :
What advice would you give the requester?

60. What do you think?
May a state regulatory agency spend public funds for meals during agency meetings:
for board members?
for staff?
A.O

61. What do you think?
May a State Employee accept a door prize of two nights lodging at a hotel in Myrtle Beach?
The entity that provided the prize is a State vendor.
Employee has little to no influence over her employer’s contract with vendor.
Door prize drawing was random. AO

62. What do you think?
May a State employee, whose agency is responsible for housing the State’s historical documents, contract with the State to compile the official papers of a former Governor?
What if he or she exercises influence or control over the contract? AO

63. What do you think?
May a municipality’s elected officials or employees solicit donations of gift certificates from local restaurants to present as gifts to private citizen volunteers? AO

64. What do you think?
May a public servant redeem rewards points earned by the use of the agency’s credit card for the benefit of agency employees?
May they redeem them for their own benefit? AO

65. What do you think?
May a Public Agency give unused or out-of-service property to its employees? AO

66. WEST VIRGINIA ETHICS COMMISSION
210 Brooks Street, Suite 300
Charleston WV 25301
(304) Toll-Free (866)