# Title 115 — North Dakota Ethics Commission

## Article 115-02 — Complaints

## Chapter 115-02-01 — Complaint Process

### § 115-02-01-01. Definitions.

1. "Complaint" means a verbal or written allegation to the commission that a lobbyist, public
official, candidate for public office, political committee, or contributor has violated article XIV of
the Constitution of North Dakota, North Dakota Century Code chapter 54-66, or another law or
rule regarding transparency, corruption, elections, or lobbying.
2. "Complainant" means an individual who, verbally or in writing, submits a complaint to the
commission and is:
a. A North Dakota resident;
b. Subject to licensing by a state agency or other public official subject to the jurisdiction of
the ethics commission; or
c. A party to a quasi-judicial proceeding before a state agency or other public official subject
to the jurisdiction of the ethics commission.
3. "Confidential complaint" means a complaint submitted through the confidential hotline or other
methods designated by the commission as confidential.
4. "Anonymous complaint" means a complaint by a person who does not provide their name or
contact information will not be considered a complainant for any purpose.
5. "Executive director" is the individual appointed by the ethics commission as the executive
director and authorized to carry out the duties and functions delegated by the ethics
commission in these rules.
6. "Respondent" means the individual or entity as defined by subsection 1 of North Dakota
Century Code section 54-66-01 who is the subject of the complaint.
History: Effective June 17, 2020; amended effective July 28, 2021; April 1, 2024.

### § 115-02-01-02. Jurisdiction.

1. The commission has authority to investigate complaints against a lobbyist, public officials,
candidate for statewide public office, candidate for state legislative assembly, an elected or
appointed official of the state's executive or legislative branch, members of the ethics
commission, members of the governor's cabinet, or employees of the legislative branch.
2. The commission has no authority to investigate personnel matters or matters for which other
remedies exist. These matters include, but are not limited to, grievances, appointments,
promotions, reprimands, suspensions, dismissals, harassment, discrimination, open meetings
violations, and open records violations.
3. The commission has no authority over city, county, or other political subdivision or local
officials, employees of the state's executive branch, or members or employees of the state's
judicial branch.
4. A complaint must be filed within three years of the date of the alleged violation. Violations
occurring prior to January 5, 2019, the effective date of article XIV of the Constitution of North
Dakota, will not be considered.
History: Effective June 17, 2020; amended effective July 28, 2021.
### § 115-02-01-03. Submission of a complaint.

1. Any individual may submit information to the North Dakota ethics commission alleging a
violation of article XIV of the Constitution of North Dakota, related North Dakota laws, and
rules or regulations adopted by the commission.
2. A complaint will be denied if there is not sufficient information to create a reasonable belief
that a violation within the jurisdiction of the commission has occurred. Mere speculation is
insufficient to proceed with a complaint.
3. The commission maintains a confidential whistleblower hotline for the submission of relevant
information. Complaints and relevant information may be submitted to the commission through
the hotline or through any other medium, i.e. written, oral, or electronic.
4. No specific format is required for complaints and relevant information.
5. A complaint is considered filed with the commission upon receipt of the complaint by the office
of the commission.
6. To enable the commission to more effectively evaluate and investigate a complaint, it is
strongly recommended that the following information be provided:
a. Name and contact information for the individual submitting the complaint or information
must be provided;
b. Clearly identify each person, entity, committee, or group that is alleged to have
committed a violation;
c. Clearly recite the facts that show specific violations under the commission's jurisdiction.
Citations to the constitution, North Dakota law, or rules or regulations are not required but
helpful. The individual submitting the complaint or information should be as specific as
possible as it relates to dates, times, and individuals involved;
d. Differentiate between statements based on the individual's personal knowledge and
those based on information and belief. Statements not based on the individual's personal
knowledge should identify the source of the information, if known; and

e. Include any and all documentation supporting the allegations, if available.
7. The executive director shall conduct an initial review of any complaint or information received
by the commission.
a. If the executive director determines that the matter falls within the jurisdiction of the
commission and contains sufficient information to believe a violation has occurred, the
executive director shall prepare a written summary of the complaint along with a notice to
the respondent.
b. The executive director may summarily dismiss the complaint if the alleged violation:
(1) Does not fall within the commission's jurisdiction;
(2) Is insufficient to identify a possible violation; or
(3) Fails to comply with the rules adopted by the commission.
c. The complainant may appeal the decision to summarily dismiss a complaint to the
commission by appealing in writing within thirty days of the notice by the executive
director.
(1) A complainant may submit materials in writing in support of the complainant's
appeal of the summary dismissal.
(2) The commission shall provide the respondent the materials the complainant submits
in support of the appeal. The respondent may respond in writing within thirty days.
(3) The complainant shall receive any response submitted by the respondent.
(4) If the documents on appeal from a summary dismissal relate to the grounds for the
summary dismissal, the commission shall consider the documents.
(5) The complainant and respondent may not orally address the commission regarding
the appeal from summary dismissal.
d. If the executive director determines that the matter falls within the jurisdiction of another
agency, the executive director may refer the complainant to the relevant agency.
e. If the matter contains allegations of criminal conduct, the matter shall be coordinated with
the appropriate law enforcement agency with jurisdiction over the offense. If the law
enforcement agency agrees to accept a referral for possible criminal prosecution the
commission will take no further action on the complaint until resolved. If the law
enforcement agency declines a referral for prosecution the commission will proceed with
the complaint process. Absent rejection by the referring entity, the executive director shall
inform the complainant and respondent as soon as reasonably possible by registered
mail of a referral and the nature of the referred allegations.
f. If the commission receives an anonymous complaint that contains documentary or real
evidence of possible criminal conduct, the commission may refer the matter to the
appropriate law enforcement agency as provided under North Dakota Century Code
section 54-66-08, and may not otherwise divulge the documentary or real evidence.
8. The executive director shall report all summarily dismissed or referred complaints and report
to the commission at the commission's next regular meeting. The commission shall consider
any appeals of a summarily dismissed complaint and vote to either reopen or deny the appeal.
The commission shall ratify or direct reopening the actions of the executive director.

History: Effective June 17, 2020; amended effective July 28, 2021; June 23, 2022; April 1, 2024;
January 1, 2025.
### § 115-02-01-04. Notice to respondents.

1. The respondent over whom the commission has jurisdiction shall be informed of any complaint
that the commission receives. The executive director shall prepare the notice which shall
include the identity of the complainant who submitted the complaint unless the complaint or
information was submitted confidentially. The ethics commission may not release a
confidential complainant's name and address to the accused individual without the
authorization of the complainant. If the confidential complainant is a witness to an alleged
offense and does not authorize release of the complainant's name and address to the
accused individual, the statement of the complainant may not be used as evidence of a
violation. The notice shall include the written complaint or written summary of the complaint.
The respondent will receive a copy of all evidence and witness statements included with the
complaint.
2. Notice to the respondent shall be provided as soon as reasonably possible but no later than
thirty days after the complaint was received by the commission.
3. The respondent may respond to the complaint within thirty days of notice of the complaint or
after the commission requests a response. In the executive director's discretion, the
respondent may be granted an extension of time to provide any written response to the
complaint or summary of the complaint.
4. If a complaint is summarily dismissed prior to the executive director notifying the respondent of
a complaint, notice to the respondent shall include notice of the summary dismissal.
History: Effective June 17, 2020; amended effective July 28, 2021; April 1, 2024; January 1, 2025.
### § 115-02-01-05. Informal resolution of complaint.

1. Prior to any investigation of a complaint, the executive director shall afford the complainant
and respondent the opportunity to informally negotiate or mediate a resolution of the
complaint. The negotiation or mediation shall be conducted by the executive director in an
informal manner with the goal of resolving the matter without further investigation.
2. The commission may engage outside counsel or mediator to conduct the informal negotiation
or mediation.
3. If the complaint is resolved through informal negotiation or mediation, the executive director
shall document the resolution and report the resolution to the commission at a special or
regular meeting during executive session.
4. The complainant and respondent may be accompanied by legal counsel in any informal
negotiation or mediation.
5. Complaints resolved through informal negotiation or mediation shall not be further investigated
and the complaint shall be deemed closed.
6. If the complaint is not resolved through informal negotiation or mediation, the complaint shall
be investigated as provided in section 115-02-01-06.
History: Effective June 17, 2020; amended effective July 28, 2021.

### § 115-02-01-06. Complaint investigation.

The executive director shall conduct the investigation of any complaint which is not summarily
dismissed or resolved through informal negotiation or mediation. With the approval of the commission,
the executive director may refer the matter to an outside attorney or investigator in lieu of the executive
director completing the investigation. The executive director shall determine the manner in which the
complaint will be investigated. Investigations conducted by an outside attorney or investigator shall be
supervised and under the direction of the executive director. The investigation may include the
following:
1. Review of any documents provided to the commission by the complainant or respondent;
2. Review of publicly available documents or documents maintained by the state;
3. Request for documents from individuals or entities with knowledge or relevant information;
4. Written interrogatories submitted to individuals or entities with knowledge or relevant
information;
5. Interviews with legislators, employees, or other appointed or elected officials;
6. Interviews with the complainant and individuals identified by the complainant as having
knowledge or relevant information;
7. Interviews with the respondent; and
8. Any other information deemed relevant.
History: Effective June 17, 2020.
### § 115-02-01-07. Investigation report.

Upon completion of the investigation, the executive director or outside investigator shall prepare
written findings. The findings shall include relevant documents, interview transcripts or summaries,
respondent written response, and other relevant information necessary for the commission to be fully
informed on the matter. The executive director shall prepare the investigation report for presentation to
the commission. The report shall include the written findings of any outside counsel or investigator who
conducted the investigation. The executive director shall include the executive director's
recommendation to the commission with respect to commission action on the complaint.
History: Effective June 17, 2020.
### § 115-02-01-08. Commission review and action on complaint.

1. The executive director's investigation report shall be provided to the respondent at least ten
days prior to any special or regular commission meeting at which the report and
recommendation will be considered by the commission in executive session. The respondent
may submit to the commission a written response to the executive director's report and
recommendation no later than five days prior to the special or regular commission meeting in
which the commission will take action on the matter. Any written response must be submitted
to the executive director at the commission's office and not directly to the commissioners. The
executive director will provide copies to the commission. The commission chair may grant an
extension of any time periods required by these rules.
2. In lieu of a written response to the executive director's investigation report and
recommendation, respondent may provide an in-person response at the special or regular
meeting of the commission at which the commission will take action on the complaint. At the
commission meeting, at least a quorum of commissioners must be present. The commissioner

chairing the meeting shall determine the order of presentations and the time allotted to the
respondent. The commissioner chairing the meeting shall also determine any other procedural
matters necessary for an orderly conduct of the commission meeting. The respondent shall
meet separately with the commission in closed executive sessions to present their in-person
responses to the executive director's report and recommendation. The respondent may be
accompanied by legal counsel when appearing before the commission to provide an in-person
response to the executive director's report and recommendation.
3. Upon the completion of any in-person response to the commission, the commission shall
deliberate on the complaint in executive session. The commission shall determine whether a
violation of article XIV of the Constitution of North Dakota, North Dakota Century Code chapter
54-66, or another law or rule regarding transparency, corruption, elections, or lobbying
occurred. The commission shall determine what penalty, if any, authorized under North Dakota
law will be imposed upon the respondent. In lieu of a penalty authorized under North Dakota
law, the commission may refer the matter to another agency with enforcement authority over
the violation.
4. The respondent shall be informed of the commission's decision. The complainant and others
shall be provided information regarding the commission's decision only as permitted under
applicable North Dakota law.
History: Effective June 17, 2020; amended effective January 1, 2025.
### § 115-02-01-09. Appeal to district court.

The respondent may appeal a finding of the commission to the district court of the county where the
respondent resides within thirty days after notice of the finding.
History: Effective June 17, 2020; amended effective January 1, 2025.
### § 115-02-01-10. Rules of evidence and procedure.

The commission and its investigators shall not be bound by the rules of evidence or procedure
under North Dakota or federal law. Any oral or documentary evidence which is relevant to the case
before the commission may be admitted and considered. Effect shall be given to the rules of privilege
recognized by North Dakota and federal law.
History: Effective June 17, 2020.
### § 115-02-01-11. Computing time.

1. If the period is stated in days or a longer unit of time:
a. Exclude the day of the event that triggers the period;
b. Count every day, including intermediate Saturdays, Sundays, and legal holidays; and
c. Include the last day of the period. But if the last day is a Saturday, Sunday, or legal
holiday, the period continues to run until the end of the next day that is not a Saturday,
Sunday, or legal holiday.
2. As used in this article:
a. "Last day" means, unless a different time is set by statute or the commission's rules, the
last day until midnight in the central time zone.
b. "Legal holiday" means a day set aside as a holiday under North Dakota Century Code
sections 1-03-01, 1-03-02, and 1-03-02.1.

c. "Next day" means the day determined by continuing to count forward if the period is
measured after an event and backward if measured before an event.
History: Effective January 1, 2025.
