The Vermont Statutes Online

Title 3: Executive

Chapter 031: Governmental Ethics

• Subchapter 001: General Provisions; State Code of Ethics

• § 1201. Definitions

  As used in this chapter:

  (1) “Candidate” and “candidate’s committee” have the same meanings as in 17 V.S.A. § 2901.

  (2) “Commission” means the State Ethics Commission established under subchapter 3 of this chapter.

  (3) “Confidential information” means information that is exempt from public inspection and copying under 1 V.S.A. § 315 et seq. or is otherwise designated by law as confidential.

  (4) “Domestic partner” means an individual in an enduring domestic relationship of a spousal nature with the Executive officer or the public servant, provided the individual and Executive officer or public servant:

  (A) have shared a residence for at least six consecutive months;

  (B) are at least 18 years of age;

  (C) are not married to or considered a domestic partner of another individual;

  (D) are not related by blood closer than would bar marriage under State law; and

  (E) have agreed between themselves to be responsible for each other’s welfare.

  (5) “Executive officer” means:

  (A) a State officer; or

  (B) under the Office of the Governor, an agency secretary or deputy or a department commissioner or deputy.

  (6) “Governmental conduct regulated by law” means conduct by an individual in regard to the operation of State government that is restricted or prohibited by law and includes:

  (A) bribery pursuant to 13 V.S.A. § 1102;

  (B) neglect of duty by public officers pursuant to 13 V.S.A. § 3006 and by members of boards and commissions pursuant to 13 V.S.A. § 3007;

  (C) taking illegal fees pursuant to 13 V.S.A. § 3010;

  (D) false claims against government pursuant to 13 V.S.A. § 3016;

  (E) owning or being financially interested in an entity subject to a department’s supervision pursuant to section 204 of this title;

  (F) failing to devote time to duties of office pursuant to section 205 of this title;

  (G) engaging in retaliatory action due to a State employee’s involvement in a protected activity pursuant to chapter 27, subchapter 4A of this title;

  (H) a former legislator or former Executive officer serving as a lobbyist pursuant to 2 V.S.A. § 266(b); and

  (I) a former Executive officer serving as an advocate pursuant to section 267 of this title.

  (7) “Immediate family” means an individual’s spouse, domestic partner, or civil union partner; child or foster child; sibling; parent; or such relations by marriage or by civil union or domestic partnership; or an individual claimed as a dependent for federal income tax purposes.

  (8) “Lobbyist” and “lobbying firm” have the same meanings as in 2 V.S.A. § 261.

  (9) “Person” means any individual, group, business entity, association, or organization.

  (10) “Political committee” and “political party” have the same meanings as in 17 V.S.A. § 2901.

  (11) “State officer” means the Governor, Lieutenant Governor, Treasurer, Secretary of State, Auditor of Accounts, or Attorney General. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1202. State Code of Ethics; applicability

  (a) Unless excluded under this section, the Code of Ethics applies to all individuals elected or appointed to serve as officers of the State, all individuals elected or appointed to serve as members of the General Assembly, all State employees, all individuals appointed to serve on State boards and commissions, and individuals who in any other way are authorized to act or speak on behalf of the State. This code refers to them all as “public servants.”

  (b) The Code of Ethics established by this section does not prohibit branches of State government, agencies, or departments from adopting additional personnel policies regarding ethical conduct not covered by this Code of Ethics or provisions that exceed the requirements of this Code of Ethics. Nothing herein shall be interpreted to require a lawyer or judicial officer to violate their respective professional codes of conduct.

  (c) The application of this Code of Ethics does not in any way abrogate or alter the sole authority of each house of the General Assembly to judge the elections and qualifications of its own members under Chapter II, Sections 14 and 19 of the Vermont Constitution.

  (d) The application of this Code of Ethics does not in any way abrogate or alter the Vermont Supreme Court’s constitutional authority under Chapter II, § 30 of the Vermont Constitution. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022; 2023, No. 6, § 4, eff. July 1, 2023.)

• § 1203. Conflict of interest; appearance of conflict of interest

  (a) Conflict of interest; appearance of conflict of interest.

  (1) In the public servant’s official capacity, the public servant shall avoid any conflict of interest or the appearance of a conflict of interest. The appearance of a conflict shall be determined from the perspective of a reasonable individual with knowledge of the relevant facts.

  (2) Except as otherwise provided in subsections (b) and (c) of this section, when confronted with a conflict of interest, a public servant shall recuse themselves from the matter and not take further action.

  (3) As used in this section, “conflict of interest” means a direct or indirect interest of a public servant or such an interest, known to the public servant, of a member of the public servant’s immediate family or household, or of a business associate, in the outcome of a particular matter pending before the public servant or the public servant’s public body, or that is in conflict with the proper discharge of the public servant’s duties. “Conflict of interest” does not include any interest that is not greater than that of other individuals generally affected by the outcome of a matter.

  (b) Course of action.

  (1) Legislative Branch. A member of the General Assembly shall comply with Legislative Branch rules and policies regarding the course of action a public servant may take when confronted with a conflict of interest, or the appearance of a conflict of interest, that is related to core legislative functions or duties.

  (2) Judicial Branch. A judicial officer shall comply with the Vermont Code of Judicial Conduct regarding the course of action a judicial officer may take when confronted with a conflict of interest, or the appearance of a conflict of interest, that falls under the Code of Judicial Conduct, including in situations where a conflict of interest, or the appearance of a conflict of interest, falls under both the Vermont Code of Judicial Conduct and the Code of Ethics.

  (3) Government attorneys. A public servant who is a licensed attorney shall comply with the Vermont Rules of Professional Conduct regarding the course of action the attorney may take when confronted with a conflict of interest, or the appearance of a conflict of interest, that falls under the Vermont Rules of Professional Conduct, including situations where a conflict of interest, or the appearance of a conflict of interest, falls under both the Vermont Rules of Professional Conduct and the Code of Ethics.

  (4) Public servants; other. Any public servant facing a conflict of interest not covered by subdivisions (1)–(3) of this subsection shall comply with requirements prescribed in this subdivision. Each time a public servant is confronted with a conflict of interest, other than that for which the public servant’s action is solely ministerial or clerical, the public servant shall either make a public statement, which may consist of a statement made to the public servant’s immediate supervisor, recusing themselves from the matter or, if the public servant chooses to proceed with the matter, prepare a written statement regarding the nature of the conflict. A public servant may request either guidance or an advisory opinion from the State Ethics Commission in making an initial determination whether a conflict of interest exists, or whether good cause to proceed exists as set forth in subsection (c) of this section. Once recused, a public servant shall not in any way participate in or act to influence a decision regarding the matter. If the public servant chooses to proceed with the matter, the public servant’s prepared written statement shall:

  (A) describe the matter requiring action;

  (B) disclose the nature of the potential conflict or actual conflict of interest;

  (C) explain why good cause, as set forth in subsection (c) of this section, exists so that the public servant can take action in the matter fairly, objectively, and in the public interest;

  (D) include sufficient detail so that the matter may be understood by the public; and

  (E) be filed in accordance with the policies and procedures set forth by the agency or entity governing the matter in question, including any requirement that the statement be made public.

  (c) Good cause. As used in this section, “good cause to proceed” may include any of the following:

  (1) the identified conflict or potential conflict is de minimis in nature;

  (2) the conflict is amorphous, intangible, or otherwise speculative; or

  (3) the public servant cannot legally or practically delegate the matter.

  (d) Confidential information. Nothing in this section shall require a public servant to disclose confidential information or information that is otherwise privileged under law. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203a. Directing unethical conduct

  A public servant shall not direct another person to act in a manner that would be unethical for the public servant or the other person to act. A public servant who has a conflict of interest shall not direct others to act to the public servant’s benefit where such action would be a violation of the Code of Ethics if the public servant were to perform the act. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203b. Appearance of unethical conduct

  A public servant shall avoid any actions creating the appearance that the public servant is violating the Code of Ethics. Whether particular circumstances create an appearance that the Code of Ethics have been violated shall be determined from the perspective of a reasonable individual with knowledge of the relevant facts. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203c. Preferential treatment

  A public servant in the course of conducting State business shall act impartially, showing no favor toward or prejudice against any person. A public servant shall not give or represent an ability to give preference or special treatment to any person because of the person’s wealth, position, or status or because of any personal relationship with the public servant. When permitted by law and written policy or rule, a public servant may give preference to designated persons. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203d. Misuse of position

  A public servant shall not use the public servant’s official position for personal or financial gain. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203e. Misuse of information

  A public servant shall not use nonpublic government information or confidential information acquired during the course of State service for personal or financial gain or for the personal or financial gain of any other person. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203f. Misuse of government resources

  A public servant shall not make use of State materials, funds, property, personnel, facilities, or equipment, or permit another person to do so, for any purpose other than for official State business unless the use is expressly permitted or required by law or by a written agency, departmental, or institutional policy or rule. A public servant shall not engage in or direct another person to engage in work other than the performance of official duties during working hours, except as permitted or required by law or by written agency, departmental, or institutional policy or rule. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203g. Gifts

  (a) Gift limitations and exceptions. A public servant shall not solicit or accept a gift unless permitted under this section. For purposes of this subchapter, “gift” means anything of value, tangible or intangible, that is given for less than adequate consideration. A public servant may accept:

  (1) A devise or inheritance. A public servant may accept a devise or inheritance.

  (2) Gifts to the State. A public servant may accept goods or services that are provided to a State agency for use on State agency property or for use by the public servant while serving in an official capacity.

  (3) Ceremonial awards. A public servant may accept a certificate, plaque, or other ceremonial award, provided the cost does not exceed the limit established pursuant to subsection (b) of this section.

  (4) Rebates, discounts, and promotions. A public servant may accept a rebate, discount, or promotional item that is available to the general public or to a definable subset of the general public.

  (5) Printed or recorded material. A public servant may accept printed or recorded informational or educational material germane to State action or functions.

  (6) Food or beverages. A public servant may accept food or beverages, or both, under the following circumstances:

  (A) The food or beverage, or both, is consumed on an occasion or occasions at which the person paying, directly or indirectly, for the food or beverage or the person’s representative is in attendance, provided the cost does not exceed the limit established pursuant to subsection (b) of this section.

  (B) The food or beverage, or both, is incidental to the performance of a legitimate State function.

  (C) The food or beverage, or both, is provided at a charitable, cultural, political, or civic event at which the public servant participates in the public servant’s official capacity.

  (7) Admission fees and tickets. A public servant may accept free attendance to a widely attended charitable, cultural, political, or civic event at which a public servant participates in the public servant’s official capacity, provided such tickets or admission is provided by the primary sponsoring entity. Free attendance may include all or part of the cost of admission; transportation to and from the event; and food, refreshments, entertainment, and instructional materials provided to all event attendees.

  (8) Private employment gifts. A public servant may accept anything of value provided by an employer of the public servant, provided such benefits are customarily and ordinarily provided to others in similar circumstances.

  (9) Public-servant-to-public-servant gifts. A public servant may accept a gift from another public servant under the following circumstances:

  (A) If the recipient is not in a supervisor-supervisee relationship with the giver, the public servant may accept a gift for a holiday or occasion of significance.

  (B) If the recipient is in a supervisor-supervisee relationship, the public servant may accept a gift for a holiday or occasion of significance, provided the value does not exceed the limit established pursuant to subsection (b) of this section.

  (10) Training or education. A public servant may accept attendance to training or similar events determined to be in the interest of the public servant’s agency or department.

  (11) Gifts of de minimis value. A public servant may accept an unsolicited gift having a de minimis market value as established pursuant to subsection (b) of this section.

  (12) Personal gifts. A public servant may accept gifts clearly motivated by an outside relationship, family relationship, or personal friendship rather than the position of the public servant. Relevant factors in making such a determination include the history and nature of the relationship and whether the individual, family member, or a friend personally pays for the gift.

  (13) Loans. A public servant may accept a commercially reasonable loan made on terms not more favorable than loans made in the ordinary course of business.

  (14) Gifts otherwise permitted and legal. A public servant may accept a gift that is otherwise expressly permitted under State law.

  (b) Gift valuation. For purposes of this subchapter, the value or cost limit for gifts described in subsection (a) of this section shall be:

  (1) Beginning on July 1, 2022:

  (A) Ceremonial awards: Less than $100.00.

  (B) Food or beverages, or both: Less than $100.00 in the aggregate per recipient, per source, in a calendar year.

  (C) A supervisor-supervisee relationship gift: Less than $100.00 for any single gift, and the value of all gifts does not exceed $200.00 in the aggregate per year.

  (D) De minimis gift: $50.00 or less per source per occasion, provided that the aggregate market value of individual gifts received from any one person does not exceed $150.00 in a calendar year.

  (2) On or after July 1, 2026, the State Ethics Commission may increase the value or cost limit set in subdivision (1) of this subsection, provided:

  (A) the State Ethics Commission presents its proposed increase to the House Committee on Government Operations and Military Affairs and the Senate Committee on Government Operations at least 180 days prior to proposed implementation and after consultation with the Department of Human Resources and the Judicial Branch;

  (B) the cost or value limit is not increased more than once in a five- year period; and

  (C) the increased cost or value limit is posted on the State Ethics Commission website and the Commission sends a notice of increase to public servants not less than 60 days prior to the increase’s effective date. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203h. Unauthorized commitments

  A public servant shall not make unauthorized commitments or promises of any kind purporting to bind State government. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203i. Employment restrictions

  (a) Outside employment. A public servant shall not seek or engage in outside employment or activities that are inconsistent, incompatible, or in conflict with the public servant’s official duties.

  (b) Post-government employment.

  (1) Executive officers. Executive officers shall comply with the post- government employment restrictions prescribed in section 267 of this title and 2 V.S.A. § 266(b) and (c).

  (2) Legislators. Legislators shall comply with the post-government employment restrictions prescribed in 2 V.S.A. § 266(b).

  (3) Legislative Branch employees. Except as permitted in subdivision (4) of this subsection, for one year after leaving office, a former Legislative Branch employee may not, for compensation, appear before the General Assembly or its subparts, or the office in which the employee served in at the time of leaving service, to advocate for anyone other than the State, concerning any matter in which the State has a direct and substantial interest.

  (4) Contracting exception. The limitations in subdivisions (1) through (3) of this subsection do not apply to individuals providing information or services to the State pursuant to contracts of the State unless the public servant is otherwise prohibited from doing so by State or federal law.

  (5) Representation restrictions. After leaving State service or employment, a public servant shall not knowingly, with the intent to advocate for an outcome of an investigation, application, ruling, license, contract, claim, rulemaking, charge, arrest, or quasi-judicial or judicial proceeding, communicate with or appear before the State on matters involving specific parties in which the employee participated personally and substantially during government service and in which the State is a party or has a direct and substantial interest. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1203j. Compliance with laws, rules, and policies

  A public servant shall comply with applicable State and federal laws and regulations, including anti-discrimination and equal opportunity laws, and comply with applicable governmental codes of conduct. A public servant shall comply with any other applicable rules or policies established by executive order, agency rule, or policy. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1204. Whistleblower protections for ethics complaints

  Consistent with sections 971–978 of this title, a public servant shall be free to disclose waste, fraud, abuse of authority, violations of law, or violations of this or other applicable codes regarding ethical conduct to the State Ethics Commission without fear of reprisal, intimidation, or retaliation. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• § 1205. Mandatory code of ethics education and training

  Within the first 120 days of public service, a public servant shall engage in State Code of Ethics training, which may be in person or online. Completion of State Code of Ethics training shall be documented by the department where the public servant is employed. A public servant shall participate in continuing State Code of Ethics education, which may be in person or online, at least once every three years thereafter. Approved continuing State Code of Ethics education providers are the State Ethics Commission, the Department of Human Resources – Center for Achievement in Public Service (CAPS), the Vermont House of Representatives Ethics Panel for the House of Representatives, the Vermont Senate Ethics Panel for the Senate, the Vermont Supreme Court and the Court Administrator’s Office for the Vermont Judiciary, and any education providers approved by the State Ethics Commission. Copies of State Code of Ethics training materials by ethics education providers shall be provided to the State Ethics Commission in advance of the training. On request, the State Ethics Commission may collaborate with or assist State Code of Ethics education providers. (Added 2021, No. 102 (Adj. Sess.), § 1, eff. July 1, 2022.)

• Subchapter 002: Disclosures

• § 1211. Executive officers; annual disclosure

  (a) Annually, each Executive officer shall file with the State Ethics Commission a disclosure form that contains the following information in regard to the previous 12 months:

  (1) Each source, but not amount, of personal income of the officer and of his or her spouse or domestic partner, and of the officer together with his or her spouse or domestic partner, that totals more than $5,000.00, including any of the sources meeting that total described as follows:

  (A) employment, including the employer or business name and address and, if self-employed, a description of the nature of the self-employment without needing to disclose any individual clients; and

  (B) investments, described generally as “investment income.”

  (2) Any board, commission, or other entity that is regulated by law or that receives funding from the State on which the officer served and the officer’s position on that entity.

  (3) Any company of which the officer or his or her spouse or domestic partner, or the officer together with his or her spouse or domestic partner, owned more than 10 percent.

  (4) Any lease or contract with the State held or entered into by:

  (A) the officer or his or her spouse or domestic partner; or

  (B) a company of which the officer or his or her spouse or domestic partner, or the officer together with his or her spouse or domestic partner, owned more than 10 percent.

  (b) In addition, if an Executive officer’s spouse or domestic partner is a lobbyist, the officer shall disclose that fact and provide the name of his or her spouse or domestic partner and, if applicable, the name of his or her lobbying firm.

  (c)(1) Disclosure forms shall contain the statement, “I certify that the information provided on all pages of this disclosure form is true to the best of my knowledge, information, and belief.”

  (2) Each Executive officer shall sign his or her disclosure form in order to certify it in accordance with this subsection.

  (d)(1) An officer shall file his or her disclosure on or before January 15 of each year or, if he or she is appointed after January 15, within 10 days after that appointment.

  (2) An officer who filed this disclosure form as a candidate in accordance with 17 V.S.A. § 2414 in the preceding year and whose disclosure information has not changed since that filing may update that filing to indicate that there has been no change.

  (e) [Repealed.] (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 44, § 1, eff. June 1, 2021; 2021, No. 102 (Adj. Sess.), § 2, eff. July 1, 2022.)

• § 1212. Commission members and Executive Director; annual disclosure

  (a) Annually, each member of the Commission and the Executive Director of the Commission shall file with the Executive Director a disclosure form that meets the requirements of and contains the information that Executive officers are required to disclose under section 1211 of this subchapter.

  (b) A member and the Executive Director shall file their disclosures on or before January 15 of each year or, if the member or Executive Director is appointed after January 15, within 10 days after that appointment. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 44, § 1, eff. June 1, 2021.)

• § 1213. Disclosures; generally

  (a) The Executive Director of the Commission shall prepare on behalf of the Commission any disclosure form required to be filed with it and the candidate disclosure form described in 17 V.S.A. § 2414 and shall make forms to be filed with the Commission available on the Commission’s website.

  (b) The Executive Director shall post on the Commission’s website a copy of any disclosure form the Commission receives. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 44, § 1, eff. June 1, 2021.)

• Subchapter 003: State Ethics Commission

• § 1221. State Ethics Commission

  (a) Creation. There is created within the Executive Branch an independent commission named the State Ethics Commission to accept, review, make referrals regarding, and track complaints of alleged violations of governmental conduct regulated by law, of the Department of Human Resources Personnel Policy and Procedure Manual, and of the State’s campaign finance law set forth in 17 V.S.A. chapter 61; to provide ethics training; and to issue guidance and advisory opinions regarding ethical conduct.

  (b) Membership.

  (1) The Commission shall be composed of the following five members:

  (A) one member appointed by the Chief Justice of the Supreme Court;

  (B) one member appointed by the League of Women Voters of Vermont, who shall be a member of the League;

  (C) one member appointed by the Board of Directors of the Vermont Society of Certified Public Accountants, who shall be a member of the Society;

  (D) one member appointed by the Board of Managers of the Vermont Bar Association, who shall be a member of the Association; and

  (E) one member appointed by the Board of Directors of the SHRM (Society for Human Resource Management) Vermont State Council, who shall be a member of the Council.

  (2) The Commission shall elect the Chair of the Commission from among its membership.

  (3) A member shall not:

  (A) hold any office in the Legislative, Executive, or Judicial Branch of State government or otherwise be employed by the State;

  (B) hold or enter into any lease or contract with the State, or have a controlling interest in a company that holds or enters into a lease or contract with the State;

  (C) be a lobbyist;

  (D) be a candidate for State, legislative, or elected judicial office; or

  (E) hold any office in a State, legislative, or elected judicial office candidate’s committee, a political committee, or a political party.

  (4) A member may be removed for cause by the remaining members of the Commission in accordance with the Vermont Administrative Procedure Act.

  (5)(A) A member shall serve a term of five years and until a successor is appointed. A term shall begin on January 1 of the year of appointment and run through December 31 of the last year of the term. Terms of members shall be staggered so that no two terms expire at the same time.

  (B) A vacancy created before the expiration of a term shall be filled in the same manner as the original appointment for the unexpired portion of the term.

  (C) A member shall not serve more than two consecutive terms. A member appointed to fill a vacancy created before the expiration of a term shall not be deemed to have served a term for the purpose of this subdivision (C).

  (c) Executive Director.

  (1) The Commission shall be staffed by an Executive Director who shall be appointed by and serve at the pleasure of the Commission and who shall be a part-time exempt State employee.

  (2) The Executive Director shall maintain the records of the Commission and shall provide administrative support as requested by the Commission, in addition to any other duties required by this chapter.

  (d) Confidentiality. The Commission and the Executive Director shall maintain the confidentiality required by this chapter.

  (e) Meetings. Meetings of the Commission:

  (1) shall be held at least quarterly for the purpose of the Executive Director updating the Commission on his or her work;

  (2) may be called by the Chair and shall be called upon the request of any other two Commission members; and

  (3) shall be conducted in accordance with 1 V.S.A. § 172.

  (f) Reimbursement. Each member of the Commission shall be entitled to per diem compensation and reimbursement of expenses pursuant to 32 V.S.A. § 1010. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 44, § 1, eff. June 1, 2021; 2023, No. 6, § 5, eff. July 1, 2023.)

• § 1222. Commission member duties and prohibited conduct

  (a) Conflicts of interest.

  (1) Prohibition; recusal.

  (A) A Commission member shall not participate in any Commission matter in which he or she has a conflict of interest and shall recuse himself or herself from participation in that matter.

  (B) The failure of a Commission member to recuse himself or herself as described in subdivision (A) of this subdivision (1) may be grounds for the Commission to discipline or remove that member.

  (2) Disclosure of conflict of interest.

  (A) A Commission member who has reason to believe he or she has a conflict of interest in a Commission matter shall disclose that he or she has that belief and disclose the nature of the conflict of interest. Alternatively, a Commission member may request that another Commission member recuse himself or herself from a Commission matter due to a conflict of interest.

  (B) Once there has been a disclosure of a member’s conflict of interest, members of the Commission shall be afforded the opportunity to ask questions or make comments about the situation to address the conflict.

  (C) A Commission member may be prohibited from participating in a Commission matter by at least three other members of the Commission.

  (3) Postrecusal or -prohibition procedure. A Commission member who has recused himself or herself or was prohibited from participating in a Commission matter shall not sit or deliberate with the Commission or otherwise act as a Commission member on that matter.

  (4) Definition. As used in this subsection, “conflict of interest” means an interest of a member that is in conflict with the proper discharge of his or her official duties due to a significant personal or financial interest of the member, of a person within the member’s immediate family, or of the member’s business associate. “Conflict of interest” does not include any interest that is not greater than that of any other persons generally affected by the outcome of a matter.

  (b) Gifts. A Commission member shall not accept a gift given by virtue of his or her membership on the Commission. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018.)

• § 1223. Procedure for handling complaints

  (a) Accepting complaints.

  (1) On behalf of the Commission, the Executive Director shall accept complaints from any source regarding governmental ethics in any of the three branches of State government or of the State’s campaign finance law set forth in 17 V.S.A. chapter 61.

  (2) Complaints shall be in writing and shall include the identity of the complainant.

  (b) Preliminary review by Executive Director. The Executive Director shall conduct a preliminary review of complaints made to the Commission in order to take action as set forth in this subsection, which shall include referring complaints to all relevant entities.

  (1) Governmental conduct regulated by law.

  (A) If the complaint alleges a violation of governmental conduct regulated by law, the Executive Director shall refer the complaint to the Attorney General or to the State’s Attorney of jurisdiction, as appropriate.

  (B) The Attorney General or State’s Attorney shall file a report with the Executive Director regarding his or her decision as to whether to bring an enforcement action as a result of a complaint referred under subdivision (A) of this subdivision (1) within 10 days of that decision.

  (2) Department of Human Resources, Personnel Policy and Procedure Manual.

  (A) If the complaint alleges a violation of the Department of Human Resources Personnel Policy and Procedure Manual, the Executive Director shall refer the complaint to the Commissioner of Human Resources.

  (B) The Commissioner shall report back to the Executive Director regarding the final disposition of a complaint referred under subdivision (A) of this subdivision (2) within 10 days of that final disposition.

  (3) Campaign finance.

  (A) If the complaint alleges a violation of campaign finance law, the Executive Director shall refer the complaint to the Attorney General or to the State’s Attorney of jurisdiction, as appropriate.

  (B) The Attorney General or State’s Attorney shall file a report with the Executive Director regarding his or her decision as to whether to bring an enforcement action as a result of a complaint referred under subdivision (A) of this subdivision (3) as set forth in 17 V.S.A. § 2904a.

  (4) Legislative and Judicial Branches; attorneys.

  (A) If the complaint is in regard to conduct committed by a State Senator, the Executive Director shall refer the complaint to the Senate Ethics Panel and shall request a report back from the Panel regarding the final disposition of the complaint.

  (B) If the complaint is in regard to conduct committed by a State Representative, the Executive Director shall refer the complaint to the House Ethics Panel and shall request a report back from the Panel regarding the final disposition of the complaint.

  (C) If the complaint is in regard to conduct committed by a judicial officer, the Executive Director shall refer the complaint to the Judicial Conduct Board and shall request a report back from the Board regarding the final disposition of the complaint.

  (D) If the complaint is in regard to an attorney employed by the State, the Executive Director shall refer the complaint to the Professional Responsibility Board and shall request a report back from the Board regarding the final disposition of the complaint.

  (E) If any of the complaints described in subdivisions (A)-(D) of this subdivision (4) also allege that a crime has been committed, the Executive Director shall also refer the complaint to the Attorney General and the State’s Attorney of jurisdiction.

  (5) Closures. The Executive Director shall close any complaint that he or she does not refer as set forth in subdivisions (1)-(4) of this subsection.

  (c) Confidentiality. Complaints and related documents in the custody of the Commission shall be exempt from public inspection and copying under the Public Records Act and kept confidential. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 44, § 1, eff. June 1, 2021.)

• § 1224. Commission ethics training

  At least annually, in collaboration with the Department of Human Resources, the Commission shall make available to legislators, State officers, and State employees training on issues related to governmental ethics. The training shall include topics related to those covered in any guidance provided or advisory opinion issued under section 1225 of this subchapter. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 44, § 1, eff. June 1, 2021.)

• § 1225. Executive Director guidance and advisory opinions

  (a) Guidance.

  (1) The Executive Director may provide guidance only to a person who is or will be subject to the provisions of this chapter, upon his or her request, with respect to that person’s duties regarding any provision of this chapter or regarding any other issue related to governmental ethics.

  (2) The Executive Director may consult with members of the Commission and the Department of Human Resources in preparing this guidance.

  (3) Guidance provided under this subsection shall be exempt from public inspection and copying under the Public Records Act and shall be kept confidential unless the receiving entity has publicly disclosed it.

  (b) Advisory opinions.

  (1) On the written request of a person who is or will be subject to the provisions of this chapter, the Executive Director may issue an advisory opinion to that person that provides general advice or interpretation with respect to that person’s duties regarding any provision of this chapter or regarding any other issue related to governmental ethics.

  (2) The Executive Director may consult with members of the Commission and the Department of Human Resources in preparing these advisory opinions.

  (3) The Executive Director may seek comment from persons interested in the subject of an advisory opinion under consideration.

  (4) The Executive Director shall post on the Commission’s website any advisory opinions that he or she issues. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 44, § 1, eff. June 1, 2021.)

• § 1226. Commission reports

  Annually, on or before January 15, the Commission shall report to the General Assembly regarding the following issues:

  (1) Complaints. The number and a summary of the complaints made to it, separating the complaints by topic, and the disposition of those complaints, including any prosecution, enforcement action, or dismissal. This summary of complaints shall not include any personal identifying information.

  (2) Guidance and training.

  (A) Guidance. The number of requests for and a summary of the guidance the Executive Director provided, separating the guidance by topic. This summary of guidance shall not include any personal identifying information.

  (B) Training. An estimate of the number of Code of Ethics trainings conducted by each branch of government, a summary of the training activities undertaken by the Ethics Commission, and a summary of any recommendations the Commission or the Executive Director made to any branch of State government regarding additional training or more in-depth training for particular provisions of the Code of Ethics.

  (3) Recommendations. Any recommendations for legislative action to address State governmental ethics or provisions of campaign finance law. (Added 2017, No. 79, § 7, eff. Jan. 1, 2018; amended 2021, No. 44, § 1, eff. June 1, 2021; 2021, No. 102 (Adj. Sess.), § 2a, eff. July 1, 2022.)