TrustVoting Atlas

68B.32B Complaint procedures.
1. Any person may file a complaint alleging that a candidate, committee, person holding a
state office in the executive branch of state government, employee of the executive branch of
state government, or other person has committed a violation of chapter 68A or rules adopted
by the board. Any person may file a complaint alleging that a person holding a state office
in the executive branch of state government, an employee of the executive branch of state
government, or a lobbyist or a client of a lobbyist of the executive branch of state government
has committed a violation of this chapter or rules adopted by the board. Any person may file
a complaint alleging a violation of section 68B.22A or rules adopted by the board. The board
shall prescribe and provide forms for purposes of this subsection. A complaint must include
the name and address of the complainant, a statement of the facts believed to be true that
form the basis of the complaint, including the sources of information and approximate dates
of the acts alleged, and a certification by the complainant under penalty of perjury that the
facts stated to be true are true to the best of the complainant’s knowledge.
2. The board staff shall review the complaint to determine if the complaint is sufficient
as to form. If the complaint is deficient as to form, the complaint shall be returned to the
complainant with a statement of the deficiency and an explanation describing how the
deficiency may be cured. If the complaint is sufficient as to form, the complaint shall be
referred for legal review.
3. Unless the chairperson of the board concludes that immediate notification would
prejudice a preliminary investigation or subject the complainant to an unreasonable risk, the
board shall mail a copy of the complaint to the subject of the complaint within three working
days of the acceptance of the complaint. If a determination is made by the chairperson not
to mail a copy of the complaint to the subject of the complaint within the three working days
time period, the board shall approve and establish the time and conditions under which the
subject will be informed of the filing and contents of the complaint.
4. Upon completion of legal review, the chairperson of the board shall be advised whether,
in the opinion of the legal advisor, the complaint states an allegation which is legally sufficient.
A legally sufficient allegation must allege all of the following:
a. Facts that would establish a violation of a provision of this chapter, chapter 68A, or
rules adopted by the board.
b. Facts that would establish that the conduct providing the basis for the complaint
occurred within three years of the complaint.
c. Facts that would establish that the subject of the complaint is a party subject to the
jurisdiction of the board.
5. After receiving an evaluation of the legal sufficiency of the complaint, the chairperson
shall refer the complaint to the board for a formal determination by the board of the legal
sufficiency of the allegations contained in the complaint.
6. If the board determines that none of the allegations contained in the complaint are
legally sufficient, the complaint shall be dismissed. The complainant shall be sent a notice
of dismissal stating the reason or reasons for the dismissal. If a copy of the complaint was
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Iowa Code 2026, Chapter 68B (42, 1)
§68B.32B, GOVERNMENT ETHICS AND LOBBYING
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sent to the subject of the complaint, a copy of the notice shall be sent to the subject of the
complaint. If the board determines that any allegation contained in the complaint is legally
sufficient, the complaint shall be referred to the board staff for investigation of any legally
sufficient allegations.
7. Notwithstanding subsections 1 through 6, the board may, on its own motion and without
the filing of a complaint by another person, initiate investigations into matters that the board
believes may be subject to the board’s jurisdiction. This section does not preclude persons
from providing information to the board for possible board-initiated investigation instead of
filing a complaint.
8. The purpose of an investigation by the board’s staff is to determine whether there is
probable cause to believe that there has been a violation of this chapter, chapter 68A, or of
rules adopted by the board. To facilitate the conduct of investigations, the board may issue
and seek enforcement of subpoenas requiring the attendance and testimony of witnesses
and subpoenas requiring the production of books, papers, records, and other real evidence
relating to the matter under investigation. Upon the request of the board, an appropriate
county attorney or the attorney general shall assist the staff of the board in its investigation.
9. If the board determines on the basis of an investigation by board staff that there is
probable cause to believe the existence of facts that would establish a violation of this chapter,
chapter 68A, or of rules adopted by the board, the board may issue a statement of charges
and notice of a contested case proceeding to the complainant and to the person who is the
subject of the complaint, in the manner provided for the issuance of statements of charges
under chapter 17A. If the board determines on the basis of an investigation by staff that
there is no probable cause to believe that a violation has occurred, the board shall close the
investigation, dismiss any related complaint, and the subject of the complaint shall be notified
of the dismissal. If the investigation originated from a complaint filed by a person other than
the board, the person making the complaint shall also be notified of the dismissal.
10. At any stage during the investigation or after the initiation of a contested case
proceeding, the board may approve a settlement regarding an alleged violation. Terms of a
settlement shall be reduced to writing and be available for public inspection. An informal
settlement may provide for any remedy specified in section 68B.32D. However, the board
shall not approve a settlement unless the board determines that the terms of the settlement
are in the public interest and are consistent with the purposes of this chapter and rules
of the board. In addition, the board may authorize board staff to seek informal voluntary
compliance in routine matters brought to the attention of the board or its staff.
11. A complaint shall be a public record, but some or all of the contents may be treated
as confidential under section 22.7, subsection 18, to the extent necessary under subsection
3 of this section. Information informally reported to the board and board staff which
results in a board-initiated investigation shall be a public record but may be treated as
confidential information consistent with the provisions of section 22.7, subsection 18. If the
complainant, the person who provides information to the board, or the person who is the
subject of an investigation publicly discloses the existence of an investigation, the board
may publicly confirm the existence of the disclosed formal complaint or investigation and,
in the board’s discretion, make the complaint or the informal referral public, as well as any
other documents that were issued by the board to any party to the investigation. However,
investigative materials may be furnished to the appropriate law enforcement authorities
by the board at any time. Upon the commencement of a contested case proceeding by the
board, all investigative material relating to that proceeding shall be made available to the
subject of the proceeding. The entire record of any contested case proceeding initiated
under this section shall be a public record.
12. Board records used to achieve voluntary compliance to resolve discrepancies and
deficiencies shall not be confidential unless otherwise required by law.