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 must be summarily dismissed 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 a complaint. A complaint may be submitted to the commission through the hotline or through any other medium, including written, oral, or electronic.

4. A specific format is not required for complaints. To ensure the commission has the necessary information to process a complaint, the commission may direct a complainant to use the designated complaint form.

1. 5. A complaint is considered filed with the commission upon receipt of the complaint by the office of the commission.

2. 6. To enable the commission to more effectively evaluate and investigate a complaint, it is strongly recommended the complaint:

1. a. Provide the name and contact information for the individual submitting the complaint;

2. b. Clearly identify each person, entity, committee, or group that is alleged to have committed a violation;

3. 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 should be as specific as possible as it relates to dates, times, and individuals involved;

4. 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

5. e. Include any and all documentation supporting the allegations, if available.

3. 7. The commission shall conduct an initial review of any complaint received.

1. a. If the commission determines 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.

2. b. The commission may summarily dismiss the complaint if the commission determines the complaint: 1. (1) Does not fall within the commission's jurisdiction; 2. (2) Is insufficient to identify a possible violation; 3. (3) Fails to comply with the rules adopted by the commission; or 4. (4) Was submitted in bad faith.

3. c. If the commission determines the matter falls within the jurisdiction of another agency, the commission may refer the complainant to the relevant agency.

4. d. If the matter contains allegations of criminal conduct, the matter may 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 may not take further action on the complaint until the criminal referral is resolved, except as otherwise provided in this section. If the law enforcement agency declines a referral for prosecution, the commission shall proceed with the complaint process. If the law enforcement agency takes no action on the referral for prosecution within sixty days, the commission may resume its review of the complaint. Unless the agency accepting the referral objects, the executive director shall inform the complainant and respondent as soon as reasonably possible of a referral and the nature of the referred allegations.

5. e. 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.

History: Effective June 17, 2020; amended effective July 28, 2021; June 23, 2022; April 1, 2024; January 1, 2025; April 1, 2026.