N.D. Admin. Code Title 115 — North Dakota Ethics Commission

Article 115-02 Complaints

Chapter 115-02-01 Complaint Process

N.D. Admin. Code 115-02-01-01 Definitions

As used in this chapter, unless the context otherwise requires:

1."Alleged violation" means a formal written allegation issued by a majority vote of the commission, which alleges a respondent engaged in an ethical violation.

2."Anonymous complaint" means a complaint by an individual who does not provide the individual's name or contact information and who will not be considered a complainant for any

purpose.

3."Complaint" means a verbal or written allegation to the commission, which alleges:

a.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; or

b.A director, officer, commissioner, head, or other executive of an agency violated the commission's rules regarding quasi-judicial proceedings.

4."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.

5."Confidential complaint" means a complaint submitted through the confidential hotline or other methods designated by the commission as confidential.

6."Ethical violation" means 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.

7."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.

8."Respondent" means:

a.A lobbyist, public official, candidate for public office, political committee, or contributor who is alleged to have 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; or

b.A director, officer, commissioner, head, or other executive of an agency who is alleged to have violated the commission's rules regarding quasi-judicial proceedings.

History

• History: Effective June 17, 2020; amended effective July 28, 2021; April 1, 2024; April 1, 2026.

N.D. Admin. Code 115-02-01-02 Jurisdiction and limitation period

1.The commission has authority to investigate a complaint against a lobbyist, public official, candidate for statewide public office, candidate for state legislative assembly, political committee, contributor, an elected or appointed official of the state's executive or legislative branch, member of the ethics commission, member of the governor's cabinet, and employee of the legislative branch. The commission also has authority to investigate a complaint against a director, officer, commissioner, head, or other executive of an agency who is alleged to have violated the commission's rules regarding quasi-judicial proceedings.

2.A complaint must be filed within three years of the date of the allegations in the complaint.

3.The commission has jurisdiction over a respondent and complainant until the commission's final action on a complaint and the expiration of any appeal period.

History

• History: Effective June 17, 2020; amended effective July 28, 2021; April 1, 2026.

N.D. Admin. Code 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.

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 the complaint:

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

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 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 commission shall conduct an initial review of any complaint received.

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.

b.The commission may summarily dismiss the complaint if the commission determines the complaint:

(1)Does not fall within the commission's jurisdiction;

(2)Is insufficient to identify a possible violation;

(3)Fails to comply with the rules adopted by the commission; or (4)Was submitted in bad faith.

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

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.

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.

January 1, 2025; April 1, 2026.

History

• History: Effective June 17, 2020; amended effective July 28, 2021; June 23, 2022; April 1, 2024;

N.D. Admin. Code 115-02-01-04 Notice to respondents and motion to dismiss

1.The respondent over whom the commission has jurisdiction must be informed of any complaint the commission receives. The executive director shall prepare the notice which must include the identity of the complainant who submitted the complaint unless the complaint was submitted confidentially. The ethics commission may not release a confidential complainant's name and address to the respondent 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 respondent, the statement of the complainant may not be used as evidence of a violation. The notice must include the written complaint or written summary of the complaint. The respondent must receive a copy of all evidence and witness statements included with the complaint.

2.Notice to the respondent must 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 must include notice of the summary dismissal.

5.At any time, the respondent may request by motion the commission dismiss the complaint asserting the complaint:

a.Does not fall within the commission's jurisdiction;

b.Is insufficient to identify a possible violation;

c.Fails to comply with the rules adopted by the commission; or

d.Was submitted in bad faith.

April 1, 2026.

History

• History: Effective June 17, 2020; amended effective July 28, 2021; April 1, 2024; January 1, 2025;

N.D. Admin. Code 115-02-01-05 Informal resolution or settlement with the commission

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 must be conducted by the executive director in an informal manner with the goal of resolving the matter.

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 may not be further investigated and the complaint must be deemed closed.

6.If the informal resolution process is unsuccessful, the commission may work with the respondent to settle and close the complaint matter at any time pursuant to settlement guidelines adopted by the commission or the complaint may be investigated as provided in

section 115-02-01-06.

History

• History: Effective June 17, 2020; amended effective July 28, 2021; April 1, 2026.

N.D. Admin. Code 115-02-01-06 Complaint investigation

The executive director shall conduct the investigation of any complaint which is not summarily dismissed, informally resolved, or settled with the commission. 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 must be investigated. Investigations conducted by an outside attorney or investigator must 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 information;

4.Written interrogatories submitted to individuals or entities with knowledge or 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 information;

7.Interviews with the respondent; and

8.Any other information deemed relevant.

N.D. Admin. Code 115-02-01-07 Reports to the commission - Complaint record

1.Upon completion of the investigation, the executive director shall prepare a preliminary report and recommendation to the commission to close the matter or issue an alleged violation. The commission may issue an alleged violation, require additional investigation, or close the complaint matter.

2.If the commission issues an alleged violation, the executive director shall prepare a final report and recommendation. The final report and recommendation must include written findings from the investigation and the executive director's recommendation to the commission with respect to commission action on the complaint.

3.The investigation file, including relevant documents, interview transcripts or recordings, respondent written response to the final report and recommendation, and other evidence obtained during the investigation, must become the record for the complaint.

N.D. Admin. Code 115-02-01-08 Commission review and action on complaint

1.The final report and recommendation and the record for the complaint must be provided to the respondent at least ten days prior to any special or regular commission meeting at which the commission conducts a hearing on the complaint in executive session. The respondent may submit to the commission a written response to the final report and recommendation no later than five days prior to the special or regular commission meeting at which the commission conducts a hearing on the complaint. Any written response must be submitted to the executive director at the commission's office and not directly to the commissioners. The executive director shall provide copies to the commission and the written response must be included in the record for the complaint.

2.The respondent may provide an in-person response at the special or regular meeting of the commission at which the commission conducts a hearing on the complaint. At the special or regular meeting, at least a quorum of commissioners must be present.

3.During the special or regular meeting, the commission shall conduct a hearing on the complaint in executive session. The commission's chair or the chair's designee shall act as the hearing officer. The hearing officer shall determine the order of presentations and the time allotted for presentations by the executive director and the respondent. The hearing officer shall determine all procedural matters necessary for an orderly hearing. The hearing officer may administer an oath or affirmation to any witness providing testimony at the hearing.

4.The hearing on the complaint must be audio or video recorded or recorded by a certified court reporter. At the discretion of the hearing officer, the hearing may take place via reliable electronic means.

5.The respondent may be accompanied by legal counsel when appearing before the commission to provide an in-person response to the executive director's final report and recommendation.

6.Upon the completion of any in-person response to the commission, the commission shall deliberate on the complaint outside the presence of the executive director, commission staff assisting the executive director with the investigation, the respondent, and the respondent's attorney in executive session. The commission shall determine whether an ethical violation occurred. The commission shall determine what penalty, if any, authorized under North Dakota law may 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.

7.Following the commission's deliberation, the commission shall issue an order with its decision on the complaint. The respondent must be provided a copy of the commission's order. The complainant and others must be provided information regarding the commission's decision only as permitted under applicable North Dakota law.

History

• History: Effective June 17, 2020; amended effective January 1, 2025; April 1, 2026.

N.D. Admin. Code 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

• History: Effective June 17, 2020; amended effective January 1, 2025.

N.D. Admin. Code 115-02-01-10 Rules of evidence and procedure

The commission and its investigators are not bound by the rules of evidence or procedure under North Dakota or federal law. Any oral or documentary evidence which is relevant to the complaint before the commission may be admitted and considered. Effect must be given to the rules of privilege recognized by North Dakota and federal law.

N.D. Admin. Code 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

• History: Effective January 1, 2025.

N.D. Admin. Code 115-02-01-12 Complaint management time standards

1.A goal of the commission is to avoid unnecessary delay and promote efficient and timely disposition of complaints. Deviation from these standards does not cause the dismissal of any complaint. A complaint may not remain open in excess of the guidelines set forth without prompt review by the commission.

2.If the commission determines it does not have jurisdiction concerning a complaint, the commission shall dismiss the complaint within sixty calendar days.

3.The executive director shall report on the status of each complaint that has been pending for more than one hundred eighty calendar days at the regular commission meetings in March, June, September, and December.

4.The executive director shall report on the status of each complaint that has been pending for more than three hundred sixty-five calendar days at each regular commission meeting.

History

• History: Effective April 1, 2026.

N.D. Admin. Code 115-02-01-13 Complaints submitted in bad faith

1.If the executive director or a commissioner determines a complainant may have filed a complaint to harass or impugn the reputation of the respondent or has otherwise filed a complaint in bad faith, the executive director shall notify the commission.

2.The commission may order the complainant to show cause why the complainant has not submitted a complaint in bad faith. The complainant may respond in writing or request a hearing before the commission.

3.If after notice to the complainant and a reasonable opportunity for the complainant to respond, the commission determines the complainant has submitted a complaint in bad faith, the commission may impose an appropriate sanction on the complainant.

4.A sanction imposed under this rule must be limited to what suffices to deter repetition of the conduct or comparable conduct by others similarly situated.

History

• History: Effective April 1, 2026.

Article 115-03 Gifts

Chapter 115-03-01 Gifts between Lobbyists and Public Officials

N.D. Admin. Code 115-03-01-01 Definitions

1."Immediate family" means a parent; sibling; child by blood, adoption, or marriage; spouse; grandparent; or grandchild.

2."Gift" means any item, service, or thing of value not given in exchange for fair market consideration, including gifts of travel or recreation.

3."Informal social and educational event" is any meeting, session, or interaction occurring within the state between a public official and a state resident, including but not limited to a registered lobbyist who is a state resident, for the purpose of informing or educating the public official on a matter of interest or concern.

4."Lobby" means:

a.Attempts to secure the passage, amendment, or defeat of any legislation by the legislative assembly or the approval or veto of any legislation by the governor of the state.

b.Attempts to influence decisions made by the legislative management or by an interim committee of the legislative management.

c.Attempts to secure passage, amendment, or defeat of any administrative rule or

regulation by any department, agency, or body of the state's executive branch.

d.Attempts to otherwise influence public official action or decision.

5."Lobbyist" means a person who engages in activity that falls within the definition of the term "lobby" as defined in this rule but does not include:

a.A legislator.

b.A private citizen appearing on the citizen's own behalf.

c.An employee, officer, board member, volunteer, or agent of the state or its political subdivisions whether elected or appointed and, whether or not compensated, who is acting in that person's official capacity.

d.Invited by the chairman of the legislative management, an interim committee of the legislative management, standing committee of the legislative assembly, or an official of any department, agency, or body of the state's executive branch to appear before the legislative management, interim committee, or standing committee for the purpose of providing information.

e.A person who appears before a legislative committee for the sole purpose of presenting testimony on behalf of a trade or professional organization or a business or industry if the person is introduced to the committee by the lobbyist for the trade or professional organization or the business or industry.

f.These rules are not intended to expand the definition of who should be required to be registered as a lobbyist under North Dakota century code section 54-05.1-03.

6."Person" means an individual, partnership, entity, political committee, association, corporation, cooperative corporation, limited liability company, or other organization or group of persons.

7."Private social and educational event" is any social and educational event that is held within the state and attendance is by invitation to state residents and others who are members, employees, or affiliated with a sponsoring public or private organization, entity, or association.

The event must include an educational component and not be limited to a social event. The lobbyist required to register under North Dakota century code chapter 54-05.1, and public officials may not be the only state residents in attendance.

8."Public official" means any elected or appointed official of the state's executive or legislative branch, including members of the ethics commission, members of the governor's cabinet, and employees of the legislative branch.

9."Public social and educational event" is any social and educational event that is held within the state and attendance is open to any state residents and others. The event must include an educational component and not be limited to a social event. The lobbyist required to register under North Dakota century code chapter 54-05.1, and public officials may not be the only state residents in attendance.

N.D. Admin. Code 115-03-01-02 Gift prohibitions and penalties

1.A lobbyist may not knowingly give, offer, solicit, initiate, or facilitate a gift to a public official in conjunction with any effort by the lobbyist to lobby the public official. A public official may not knowingly accept a gift from a lobbyist offered in conjunction with the lobbyist efforts to lobby the public official.

2.If a prohibited gift is received by a public official the gift will not be considered a violation if:

a.The gift is not used and is returned within ten days after receipt of the gift or ten days after learning that the gift is prohibited; or

b.The public official pays market value for the gift within ten days after receipt of the gift or ten days after learning that the gift is prohibited.

3.The commission shall assess a civil penalty upon any individual who violates this section. If the gift has a value of five hundred dollars or more, the civil penalty may be up to two times the value of the gift. If the gift has a value of less than five hundred dollars, the civil penalty may be up to two times the value of the gift and may be up to one thousand dollars.

N.D. Admin. Code 115-03-01-03 Exceptions to gift prohibitions

This rule does not preclude or apply to the following:

1.A gift by a lobbyist who is a member of the public official's immediate family.

2.Any item given where the public official is paying fair market value for the item.

3.Purely informational material.

4.A campaign contribution that is given in accordance with all applicable state laws, rules, and regulations governing campaign contributions.

5.Reimbursement or payment for transportation, lodging costs, and meal costs not to exceed rates as authorized under North Dakota century code section 44-08-04 and office of management and budget Fiscal Policy #505 to facilitate attendance to a public or private educational and social event within the state, if the public official meaningfully participates in the event as a speaker or panel participant, presenter, or ceremonial event appropriate to the position, or if attendance is appropriate to the performance of official duties.

6.Gifts or other things of value shared as a cultural or social norm as part of a public or private social and educational event.

7.Food and beverage served for immediate consumption at any private or public social and educational event.

8.Food or beverage with a value of ten dollars or less, excluding gratuity, purchased for a public official in conjunction with an informal social and educational event. The purchased food and beverage must be consumed during the event. A state resident must be present but is not required to be the purchaser of the food or beverage.

N.D. Admin. Code 115-03-01-04 Public or private event notice

1.Prior to a public or private social and educational event, the sponsor shall file notice with the ethics commission providing details regarding the planned event. Notice does not constitute approval of the event by the ethics commission. If the sponsor is concerned with compliance with North Dakota law and these rules, the sponsor may request an advisory opinion from the ethics commission.

2.No specific format of notice is required; however, it should include the event date, place, sponsor, educational purpose, estimated attendance, and estimated cost per attendee.

History

• History: Effective October 6, 2020.

Article 115-04 Conflict of Interest

Chapter 115-04-01 Conflict of Interest

N.D. Admin. Code 115-04-01-01 Definitions

1."Disqualifying conflict of interest" means one of the following:

a.A potential conflict of interest disclosed pursuant to this rule which the public official has determined requires recusal and abstention from further action in the matter; or

b.A potential conflict of interest disclosed pursuant to this rule which the neutral reviewer has determined requires the public official to recuse and abstain from further action in the matter.

2."Potential conflict of interest" means a public official as part of the public official's duties must make a decision or take action in a matter in which the public official has:

a.Received a gift from one of the parties;

b.A significant financial interest in one of the parties or in the outcome of the proceeding; or

c.A relationship in private capacity with one of the parties.

3."Gift" means a gift not otherwise permitted under article XIV of the Constitution of North Dakota, North Dakota Century Code chapter 54-66, or North Dakota Administrative Code

chapter 115-03-01.

4."Immediate family" means a public official's parent, sibling, spouse, grandparent, grandchild, stepchild, or child by blood or adoption.

5."Neutral reviewer" means the individual or committee designated by an agency, legislative body, board, commission, or committee to receive disclosures of potential conflicts of interest and determine whether the potential conflict of interest is a disqualifying conflict of interest. In the absence of a rule or policy designating a neutral reviewer, the following shall apply:

a.If a public official with a potential conflict of interest is a member of a legislative body, board, commission, or committee the remaining individuals who are members of the legislative body, board, commission, or committee shall be considered as the neutral reviewer;

b.If a public official with a potential conflict of interest is an employee of the legislature, the public official's supervisor may be considered as the neutral reviewer;

c.If a public official with a potential conflict of interest is a member of the governor's cabinet, the governor's designated ethics officer shall be considered as the neutral reviewer;

d.If the public official with a potential conflict of interest is an appointed public official, the appointing official shall be considered as the neutral reviewer; or

e.If none of the above apply, the public official shall make the determination but must report the disclosure and decision in the manner set forth in section 115-04-01-04 within seven calendar days.

6."Public official" means any elected or appointed official of the North Dakota executive or legislative branches, including members of the ethics commission, members of the governor's cabinet, and employees of the legislative branch.

7."Relationship in a private capacity" means a past or present commitment, interest or relationship of the public official in a matter involving the public official's immediate family, individual's residing in the public official's household, the public official's employer, or employer of the public official's immediate family, or individuals with whom the public official has a substantial and continuous business relationship.

8."Significant financial interest" means a direct and substantial in-kind or monetary interest, or its equivalent, not shared by the general public; however, does not include investments in a widely held investment fund, such as mutual funds, exchange-traded funds, participation in a public employee benefits plan, or lawful campaign contributions.

N.D. Admin. Code 115-04-01-02 Disclosure of potential conflict of interests

1.Subject to the requirements of section 115-04-01-05, this section shall only apply if an agency, board, or commission does not have a current conflicts of interest statute or rule. In any assessment of a possible conflict of interest the matter will be reported to the ethics commission in accordance with section 115-04-01-04.

2.When a matter comes before a public official and the public official has a known potential conflict of interest, the public official must disclose the potential conflict of interest.

3.The disclosure of potential conflict of interest must be made prior to the public official taking any action or making any decision in the matter and must provide sufficient information concerning the matter and the public official's potential conflict of interest. Disclosure shall be on the written form approved by the ethics commission as set forth in section 115-04-01-04.

4.In emergency or other exigent circumstances where time is of the essence, and a public official is not permitted or is otherwise unable to abstain from action in connection with the matter, the public official must disclose the potential conflict of interest and the action with the neutral reviewer in the manner requested by the neutral reviewer. The disclosure must occur within seven calendar days of the public official's action in the matter.

5.Upon the completion of the required disclosure of a potential conflict of interest, the public official may voluntarily recuse himself and abstain from further action in the matter.

N.D. Admin. Code 115-04-01-03 Neutral reviewer evaluation of potential conflict disclosures, decision, and action

1.Subject to section 115-04-01-05, this section shall only apply if an agency, board, or commission does not have a current conflict of interest statute or rule. In any assessment of a possible conflict of interest the matter will be reported to the ethics commission in accordance with section 115-04-01-04.

2.If a public official elects not to recuse themself from the matter, the public official may consult with or defer to the neutral reviewer. The neutral reviewer, if utilized, shall evaluate the disclosure, may request further information from the public official regarding the disclosure, and shall determine if the disclosed potential conflict of interest constitutes a disqualifying conflict of interest.

3.Upon completion of the review of the potential conflict of interest, the neutral reviewer should communicate to the public official one of the following:

a.The potential conflict of interest does not constitute a disqualifying conflict of interest, and the public official may participate in the matter; or

b.The potential conflict of interest does constitute a disqualifying conflict of interest, and the public official shall recuse himself and abstain from participating in the matter.

4.A violation of article XIV of the Constitution of North Dakota or these rules will not be found if:

a.The public official consults with and adheres to the neutral reviewer's suggested course of action;

b.The public official acts in good faith; and

c.The disclosed material facts surrounding the potential conflict of interest are substantially the same as the facts presented in the complaint.

5.If applicable the neutral reviewer shall comply with the requirements of North Dakota Century Code chapter 44-04 in its consideration and review of the potential conflict of interest. During any discussion of a potential conflict of interest, upon request by the neutral reviewer, the public official may provide additional information regarding the potential conflict of interest and the matter in question. Where North Dakota Century Code chapter 44-04 applies, the public official may not be asked to leave the discussion of the potential conflict of interest; however, the disclosing public official may voluntarily leave the meeting at which the discussion occurs.

6.If the neutral reviewer is a group of individuals in which the public official is a member, the public official may not vote on the issue of whether a potential conflict of interest constitutes a disqualifying conflict of interest. The public official may not be counted for purposes of determining whether a quorum is present. Any quorum requirement established under statute or rule shall be reduced as though the public official were not a member of the group of individuals that constitutes the neutral reviewer.

7.The following standards shall guide the review and decision of either a public official or the neutral reviewer with respect to any public official's potential conflict of interest:

a.Appropriate weight and proper deference must be given to the requirement that a public official perform the duties of elected or appointed office, including the duty to vote or otherwise act upon a matter, provided the public official has properly disclosed the potential conflict of interest as required by this rule.

b.A decision that requires a public official to recuse or abstain from further action or decision in a matter should only occur in cases where the independence of judgment of a reasonable person in the public official's situation would be materially affected by the disclosed potential conflict of interest.

c.The review of a potential conflict of interest and any decision that would require a public official to recuse themself or abstain from further involvement in a matter shall consider any applicable North Dakota law which precludes the public official from recusal or abstention in the matter.

d.It is presumed that a public official does not have a disqualifying conflict of interest if the public official would not derive any personal benefit which is greater than that accruing to any other member of the general public or any general business, profession, occupation, or group affected by the matter.

e.Any guidance issued by the ethics commission, including informal guidance, advisory opinions, rules, standards, and precedent.

N.D. Admin. Code 115-04-01-04 Disclosure form and documentation

1.Disclosure required under these rules shall be made using the form approved by the ethics commission and available on the ethics commission website. The form will allow public officials and directors, officers, commissioners, heads, or other executives of agencies to input information and attach relevant documentation.

2.The neutral reviewer or public official shall document the decision regarding any disclosures on the approved form. Upon completion, the neutral reviewer or public official shall provide a copy of the completed form to the relevant department, agency, board, body, commission, or committee, and the ethics commission. The public official may retain a copy of the completed form.

3.Departments, agencies, boards, commissions, or public entities shall document in the official minutes of a proceeding information, if applicable, that a public official or director, officer, commissioner, head, or other executive has been recused from any further involvement in the matter.

N.D. Admin. Code 115-04-01-05 Adoption of more restrictive rules

Any agency, office, commission, board, or entity subject to these rules may adopt conflict of interest rules that are more restrictive than these rules but may not adopt conflict of interest rules that are less restrictive.

Article 115-05 Quasi-Judicial Proceedings

Chapter 115-05-01 Quasi-Judicial Proceedings

N.D. Admin. Code 115-05-01-01 Applicability

Subsection 5 of section 2 of article XIV of the Constitution of North Dakota establishes a requirement that public officials who are directors, officers, commissioners, heads, or other executives of agencies avoid the appearance of bias in any quasi-judicial proceeding. This section is only applicable to directors, officers, commissioners, heads, or other executives of agencies who are involved in quasi-judicial proceedings.

N.D. Admin. Code 115-05-01-02 Definitions

1."Appearance of bias to a reasonable person" means that the interest in question would create in reasonable minds a perception that the director, officer, commissioner, head, or other executive's ability to carry out quasi-judicial responsibilities impartially and without bias is impaired.

2."Campaign monetary or in-kind support" means all campaign contributions from a party to a proceeding of every kind and type whatsoever, whether in the form of cash, goods, services, or other form of contribution, and whether donated directly to the director, officer, commissioner, head, or other executive's campaign or donated to any other person or entity for the purpose of supporting the director, officer, commissioner, head, or other executive's election to any office within the current or immediately preceding election cycle which are known to the director, officer, commissioner, head, or other executive. No campaign contribution of any kind received prior to January 5, 2022, shall be included in this definition.

No campaign contribution or in-kind support that is below the reporting level set forth in North Dakota Century Code chapter 16.1-08.1 shall be included in this definition.

3."Gift" means a gift not otherwise permitted under article XIV of the Constitution of North Dakota, North Dakota Century Code chapter 54-66, or chapter 115-03-01.

4."Neutral reviewer" means the individual or committee designated by an agency, legislative body, board, commission, or committee to receive disclosures of potential conflicts of interest and determine whether the potential conflict of interest is a disqualifying conflict of interest. In the absence of a rule or policy designating a neutral reviewer, the following shall apply:

a.If the director, officer, commissioner, head, or other executive with a potential conflict of interest or campaign monetary or in-kind support is a member of a legislative body, board, commission, or committee the remaining individuals who are members of the legislative body, board, commission, or committee which the matter is before shall be considered as the neutral reviewer;

b.If the director, officer, commissioner, head, or other executive with a potential conflict of interest or campaign monetary or in-kind support is an employee of the legislature, the director, officer, commissioner, head, or other executive's supervisor may be considered as the neutral reviewer;

c.If the director, officer, commissioner, head, or other executive with a potential conflict of interest or campaign monetary or in-kind support is a member of the governor's cabinet, the governor's designated ethics officer shall be considered as the neutral reviewer;

d.If the director, officer, commissioner, head, or other executive with a potential conflict of interest or campaign monetary or in-kind support is an appointed public official, the appointing official shall be considered as the neutral reviewer; or

e.If none of the above apply, the director, officer, commissioner, head, or other executive shall make the determination but must report the disclosure and decision in the manner set forth in section 115-05-01-06 within seven calendar days.

5."Potential conflict of interest" means a director, officer, commissioner, head, or other executive as part of his duties must make a decision or take action in a matter in which the director, officer, commissioner, head, or other executive has:

a.Received a gift from one of the parties;

b.A significant financial interest in one of the parties or in the outcome of the proceeding; or

c.A relationship in private capacity with one of the parties.

6."Quasi-judicial" means the directors, officers, commissioners, heads, or other executives of agencies are called upon to perform a judicial act when the directors, officers, commissioners, heads, or other executives of agencies are not members of the North Dakota judiciary. This includes adversarial administrative hearings, but does not include the portion of a public hearing where:

a.There are not pre-identified parties;

b.Only public input or comment is being received; or

c.The hearing is for quasi-legislative purposes, such as administrative rulemaking.

7."Relationship in a private capacity" means a past or present commitment, interest or relationship of the director, officer, commissioner, head, or other executive in a matter involving the director, officer, commissioner, head, or other executive's employer, or individuals with whom the director, officer, commissioner, head, or other executive has a substantial and continuous business relationship.

8."Significant financial interest" means a direct and substantial in-kind or monetary interest, or its equivalent, not shared by the general public; however, does not include investments in a widely held investment fund, such as mutual funds, exchange-traded funds, participation in a public employee benefits plan, or lawful campaign contributions.

N.D. Admin. Code 115-05-01-03 Disclosure

When a matter comes before a director, officer, commissioner, head, or other executive as part of a quasi-judicial proceeding, the director, officer, commissioner, head, or other executive must disclose any potential conflict of interest and campaign monetary or in-kind support. The disclosure must:

1.Be made in the manner set forth in section 115-05-01-06;

2.Be made to the parties to the quasi-judicial proceeding;

3.Be made prior to the hearing and prior to the agency, board, or commission making any substantive ruling in the matter; and

4.Provide sufficient information concerning the potential conflict of interest or campaign monetary or in-kind support to put the public on notice of the material facts of the matter.

N.D. Admin. Code 115-05-01-04 Review, decision, and action

1.As provided in subsection 6 of section 115-04-01-02, the director, officer, commissioner, head, or other executive shall voluntarily recuse themself from any further involvement in a quasijudicial proceeding where the potential conflict of interest or campaign monetary in-kind support creates an appearance of bias to a reasonable person.

2.The following factors should be considered to determine whether a potential conflict of interest or campaign monetary or in-kind support creates an appearance of bias to a reasonable person:

a.Whether the potential conflict of interest or campaign monetary or in-kind support involves a party to the proceeding;

b.The issues involved in the quasi-judicial proceeding;

c.Other factors known to the director, officer, commissioner, head, or other executive that create an appearance of bias to a reasonable person; and

d.For campaign monetary or in-kind support, the following factors also should be considered:

(1)The size of the potential conflict of interest or campaign monetary or in-kind support;

(2)The degree of involvement in the campaign; and (3)Whether the campaign monetary or in-kind support is within the current or immediately preceding election cycle.

3.The director, officer, commissioner, head, or other executive may consult with or defer to the neutral reviewer in determination of whether a potential conflict of interest or campaign monetary or in-kind support creates an appearance of bias to a reasonable person.

4.A violation of subsection 5 of section 2 of article XIV of the Constitution of North Dakota or these rules will not be found if:

a.The director, officer, commissioner, head, or other executive consults with and adheres to the neutral reviewer's suggested course of action;

b.The director, officer, commissioner, head, or other executive acts in good faith; and

c.The disclosed material facts surrounding the potential conflict of interest or campaign contribution or in-kind support are substantially the same as the facts presented in the complaint.

5.After disclosure to the parties involved in a quasi-judicial proceeding of a director, officer, commissioner, head, or other executive's potential conflict of interest or campaign monetary or in-kind support, all parties to the quasi-judicial proceeding may voluntarily consent, in writing, to the director, officer, commissioner, head, or other executive's continued involvement in the quasi-judicial proceeding.

N.D. Admin. Code 115-05-01-05 Substitution

In quasi-judicial proceedings in which a director, officer, commissioner, head, or other executive recuses themselves from further involvement in the proceeding, the department, agency, board, commission, or other public entity involved in the quasi-judicial proceeding shall determine whether a substitute is required to act in the place of the director, officer, commissioner, head, or other executive.

The procedure to assign a substitute for the director, officer, commissioner, head, or other executive shall be determined by North Dakota law or rule. In the absence of applicable North Dakota law or rule, the department, agency, board, commission, or public entity may adopt policies consistent with this rule to address vacancies caused by a director, officer, commissioner, head, or other executive's recusal or abstention in any quasi-judicial proceeding.

N.D. Admin. Code 115-05-01-06 Disclosure form and documentation

1.Disclosure required under these rules shall be made using the form approved by the ethics commission and available on the ethics commission website. The form will allow directors, officers, commissioners, heads, or other executives of agencies to input information and attach relevant documentation.

2.The neutral reviewer or director, officer, commissioner, head, or other executive shall document the decision regarding any disclosures on the approved form. Upon completion, the neutral reviewer or director, officer, commissioner, head, or other executive shall provide a copy of the completed form to the disclosing director, officer, commissioner, head, or other executive; the relevant department, agency, board, body, commission or committee; and to the ethics commission.

3.Departments, agencies, boards, commissions, or public entities shall document in the official minutes of a proceeding information, if applicable, that a director, officer, commissioner, head, or other executive has been recused from any further involvement in the matter.

Article 115-06 Travel Disclosure Rules

Chapter 115-06-01 Travel Disclosure Rules

N.D. Admin. Code 115-06-01-01 Definitions

1."Commission" means the North Dakota ethics commission established by article XIV of the Constitution of North Dakota.

2."Expenses" means money spent on transportation, lodging, and, while traveling, meals.

3."Immediate family" means a parent; sibling; child by blood, adoption, or marriage; spouse; grandparent; or grandchild.

4."Policy-monitored travel" means travel for which expenses are reported within the state's enterprise resource planning system or on the legislative assembly's report on out-of-state meeting form.

5."Public official" means an elected or appointed official of the state's executive or legislative branch, including members of the commission, members of the governor's cabinet, and employees of the legislative branch.

6."Third-party-funded travel" means travel, whether within or outside the state, undertaken by a public official, or the public official's immediate family, in relation to the public official's status as a public official, including travel paid with federal, state, tribal, or local public funds. It does not include:

a.Travel paid with a public official's personal or campaign finances;

b.Policy-monitored travel;

c.Travel, the details of which are confidential under state law as defined in North Dakota Century Code section 44-04-17.1; or

d.Travel actively to support or oppose a candidate or political party.

N.D. Admin. Code 115-06-01-02 Travel disclosure statement

A public official shall file a travel disclosure statement for third-party-funded travel with the commission within fifteen days following the conclusion of third-party-funded travel. The travel disclosure statement required to be filed under this section must include:

1.The purpose of the travel;

2.The destinations visited;

3.The dates of travel;

4.The sources of funds used to finance all travel-related expenses;

5.An estimate of the amount expended or, if known, the actual amount expended;

6.Whether the expenses were for air transportation, ground transportation, lodging, meals, entertainment, or other activities; and

7.The number of accompanying immediate family members, if any.

N.D. Admin. Code 115-06-01-03 Filing and format

1.The commission shall establish a standardized form for filing a travel disclosure statement.

2.The public official shall file the travel disclosure statement in electronic format through the commission's official website using the standardized form.

3.The public official shall certify in writing the travel disclosure statement is true, complete, accurate, and of the public official's own personal knowledge.

N.D. Admin. Code 115-06-01-04 Public access and retention

The travel disclosure statement must be made publicly accessible through the commission's website. The commission shall maintain all travel disclosure statements for a complete calendar year for a period of three years.

N.D. Admin. Code 115-06-01-05 Sanctions

1.If, after notice and a reasonable opportunity to respond, the commission determines a rule under this chapter has been violated, the commission may sanction a public official who violated the rule or is responsible for the violation. A sanction imposed under this rule must be limited to what suffices to deter repetition of the conduct or comparable conduct by others similarly situated. The sanction may include nonmonetary directives or an order to pay a penalty.

2.The commission may collect a monetary sanction arising out of this section through processes that provide the public official with notice of the monetary sanction and a reasonable opportunity to respond. These processes include chapter 115-02-01, civil action, or assignment to a collection agency, with any costs of collection added to the amount owed and to be paid by the public official. Before assigning a payment obligation to a collection agency, the commission shall provide the public official a thirty-day written notice and an opportunity to respond to the transfer of debt.

3.Monetary sanctions for violations of these rules may not exceed the following amounts.

a.If the travel disclosure statement is not filed within the prescribed time or is voluntarily amended after the prescribed time, the commission may collect a monetary sanction from the public official as follows:

(1)Within six days after the prescribed time, twenty-five dollars;

(2)Within eleven days after the prescribed time, fifty dollars; and (3)After eleven days, one hundred dollars.

b.The commission may require an amendment to be filed for any travel disclosure statement that is incorrect or incomplete. The amendment must be filed with the commission within ten business days after the amendment has been requested in writing. If an amendment is not filed within the prescribed time, the commission may collect a monetary sanction from the public official as follows:

(1)Within six days after the date the amendment was due, fifty dollars;

(2)Within eleven days after the date the amendment was due, one hundred dollars; and (3)After eleven days, two hundred dollars.

c.If a public official knowingly fails to file a travel disclosure statement or knowingly falsifies information on the travel disclosure statement, the commission may collect up to a five hundred dollar monetary sanction from the public official. For a second and subsequent violation of this subdivision, the commission may collect up to a one thousand dollar monetary sanction from the public official. If warranted for effective deterrence, the commission also may collect from the public official all expenses it incurred in investigating a knowing violation under this subdivision.

4.A monetary sanction collected by the commission must be paid to the state treasurer and placed to the credit of the general fund.

Chapter 115-01

N.D. Admin. Code 115-01

ARTICLE 115-01 [Reserved]