Minnesota Rules — Campaign Finance and Public Disclosure Board

Chapter 4501 GENERAL PROVISIONS

Minn. R. 4501.0010 Scope and Authority

This chapter and chapters 4503 to 4525 govern compliance with the Ethics in Government Act, Minnesota Statutes, chapter 10A. This chapter contains provisions and definitions of general application. This chapter and chapters 4503 to 4525 are adopted pursuant to Minnesota Statutes, section 10A.02, subdivision 13, paragraph (a).

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504; L 2015 c 73 s 26

Minn. R. 4501.0100 Definitions

Subpart 1. Scope.

The definitions in this part apply to this chapter and chapters 4503 to 4525 and Minnesota Statutes, chapter 10A. The definitions in Minnesota Statutes, chapter 10A, also apply to chapters 4503 to 4525.

Subp. 2. Address.

"Address" means the complete mailing address, including the zip code. An individual may use either the person's business address or home address. An association's address is the address from which the association conducts its business.

Subp. 2a. Audit trail.

"Audit trail" means documentation of submission of an electronic file or facsimile transmission to the board. The audit trail includes the date and time at which the facsimile transmission or electronic file submission was made and a copy of any verification report or message received from the board.

Subp. 3. Business day.

A "business day" is from 8:00 a.m. to 4:30 p.m., Monday through Friday, except for official state holidays.

Subp. 4. Compensation.

"Compensation" means every kind of payment for labor or personal services, including any amount withheld by an employer for the payment of income tax. Compensation does not include payments for Federal Insurance Contributions Act taxes; unemployment taxes, insurance, or benefits; workers' compensation insurance or benefits; disability insurance or benefits; life insurance; health care insurance or benefits; retirement benefits; or pension benefits.

Subp. 4a. Electronic file.

"Electronic file" means a report or statement required by Minnesota Statutes, chapter 10A, and submitted to the board using an electronic filing system.

Subp. 4b. Electronic filing system.

"Electronic filing system" means the computer-based systems developed by the board to transfer an electronic file of data that meets the filing and reporting requirements of Minnesota Statutes, chapter 10A.

Subp. 4c. Facsimile transmission.

"Facsimile transmission" means the use of a fax machine or email to submit an electronic image of a report or statement to the board.

Subp. 5. Honorarium.

"Honorarium" means anything of value given or received for services such as making speeches, writing articles, or making presentations when there is no obligation on the part of the giver to make payment.

Subp. 6. Money.

"Money" means cash and cash equivalents such as checks, money orders, travelers checks, negotiable instruments, and other paper commonly accepted by a bank as a deposit. A transfer of money includes an electronic transfer of funds.

Subp. 7. Occupation.

"Occupation" means a person's usual trade, profession, employment, or other similar endeavor, and includes categories for which there is no direct financial compensation, such as homemaker.

Subp. 7a.

[Renumbered subp 7c]

Subp. 7b. Original signature.

"Original signature" means:

A. a signature in the signer's handwriting or, if the signer is unable to write, the signer's mark or name written in the handwriting of another or applied by stamp at the request, and in the presence, of the signer;

B. an electronic signature consisting of the letters of the signer's name, applied using a cursive font or accompanied by text or symbols clearly indicating an intent to apply a signature, including but not limited to the letter S with a forward slash mark on one or both sides of the letter S or the placement of a forward slash mark before and after the signer's name; or

C. the signer's name on the signature line of an electronic file submitted using the filer's personal identification code.

Subp. 7c. Personal identification code.

"Personal identification code" is a confidential user name and password provided by the board and required to use an electronic filing system.

Subp. 8. Principal place of business.

"Principal place of business" means:

A. for an employed person, the name of the employer and the address from which the employee conducts the employer's business;

B. for a self-employed person or a person not employed, the address from which the person conducts business or personal matters; or

C. for an association, the name and business address of the association.

Subp. 9. Promptly.

"Promptly" means within ten business days after the event that gave rise to the requirement.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 20 SR 2504; 21 SR 1779; 30 SR 903; 49 SR 979

Minn. R. 4501.0200 Securities

Subpart 1.

[Repealed, L 2018 c 119 s 34]

Subp. 2.

[Repealed, L 2018 c 119 s 34]

Subp. 3. Holder of securities.

A "holder of securities" is an individual having an ownership interest in a security, or who is the trustee or beneficiary of a trust having an ownership in a security. An individual owning shares in a mutual fund does not have an ownership interest in underlying securities owned by the fund.

Subp. 4. Valuation of securities.

The value of a security is its fair market value. For securities traded on national exchanges, the fair market value is the closing bid price for the security on a given date. The value of a partial interest in a security is the value of the holder's proportionate share.

Subp. 5. Exception for charitable trusts.

Trustees of associations organized for charitable, philanthropic, religious, social service, educational, or other public use or purpose are not holders of securities owned by the associations.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504; L 2018 c 119 s 34

Minn. R. 4501.0300 Certification, Signatures, and Notarization

Subpart 1.

[Repealed, L 2005 c 156 art 6 s 68]

Subp. 1a. Signature required.

The original signature of the person responsible for preparation or filing of a report or other document is required to make the report or document complete. Only signed reports or documents may be filed with the board. A document filed by facsimile transmission meets the requirements of this part if the original document being transmitted bears the required signature. An electronic filing meets the requirement of this part if it is submitted with a personal identification code. The board must provisionally accept an initial registration submitted without a personal identification code pending a confirmation of the registration.

Subp. 2. Certification.

The signature of a person authorized to sign a report or form constitutes certification by that person of the truth and accuracy of the report or form.

Subp. 3.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 4.

[Repealed, L 2005 c 156 art 6 s 68]

History

• Statutory Authority: MS s 10A.02; 10A.025
• History: 20 SR 2504; L 2005 c 156 art 6 s 68; 30 SR 903; L 2017 1Sp4 art 3 s 18

Minn. R. 4501.0400 Determination of Local or Public Official Status

Subpart 1. Metropolitan governmental units to determine local official status.

Annually, each metropolitan governmental unit must determine which positions within the metropolitan governmental unit constitute its local officials and must provide the board with a list of those positions.

Subp. 2. Acting or part-time local or public official.

An individual who fills a local or public official position on an acting or part-time basis is a local or public official.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Minn. R. 4501.0500 Filings, Submissions, and Disclosures

Subpart 1. Format.

A report or statement required under Minnesota Statutes, section 10A.20, must be filed electronically in a format specified by the board, to the extent required by that section. Any other report or statement required under Minnesota Statutes, chapter 10A, must be filed electronically in a format specified by the board or on the forms provided by the board for that purpose. The board may provide alternative methods for submitting information, including other means for the electronic submission of data.

Subp. 1a.

[Repealed, L 2018 c 119 s 34]

Subp. 2.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 3. Filings on nonbusiness days.

If a scheduled filing date falls on a Saturday, Sunday, or state holiday, the filing is due on the next business day.

Subp. 4.

[Repealed, L 2005 c 156 art 6 s 68]

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 20 SR 2504; 21 SR 1779; L 2005 c 156 art 6 s 68; 30 SR 903; L 2017 1Sp4 art 3 s 18; L 2018 c 119 s 34; 49 SR 979

Minn. R. 4501.0600 [Repealed, L 2005 c 156 art 6 s 68]

[Repealed, L 2005 c 156 art 6 s 68]

Minn. R. 4501.0700 Assessment of Late Filing Fees

Late filing fees are not assessed for Saturdays, Sundays, or state holidays.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Chapter 4503 CAMPAIGN FINANCE ACTIVITIES

Minn. R. 4503.0010 Scope

This chapter applies to the campaign finance activities of candidates and their principal campaign committees, political party units, political committees, and political funds regulated by Minnesota Statutes, sections 10A.11 to 10A.335.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Minn. R. 4503.0100 Definitions

Subpart 1. Scope.

The definitions in this part apply to this chapter and Minnesota Statutes, chapter 10A, except that the definition in subpart 4a applies to Minnesota Statutes, section 211B.15. The definitions in chapter 4501 and Minnesota Statutes, chapter 10A, also apply to this chapter.

Subp. 2. Adjournment sine die.

"Adjournment sine die" means final adjournment by the legislature in the second year of a biennium.

Subp. 3. Anonymous contribution.

"Anonymous contribution" means a contribution for which the name and address of the donor cannot be determined.

Subp. 3a.

[Renumbered subp 3c]

Subp. 3b. County office.

"County office" means the offices specified in Minnesota Statutes, chapter 382, and does not include the office of Three Rivers Park District commissioner.

Subp. 3c. Fair market value.

"Fair market value" means the amount that an individual would pay to purchase the same or similar service or item on the open market.

Subp. 4. Fundraising event.

"Fundraising event" means a meal, party, entertainment event, rally, or similar gathering of three or more individuals where contributions are solicited or received.

Subp. 4a. Headquarters.

For the purpose of Minnesota Statutes, section 211B.15, subdivision 8, "headquarters" means a building or other structure that is used for all or part of the year as the primary location where the party's business is conducted.

Subp. 4b. Legislative caucus.

"Legislative caucus" means an organization whose members consist solely of legislators belonging to the same house of the legislature and the same political party, and is not limited to a majority or minority caucus described in Minnesota Statutes, chapter 3, but does not include a legislative party unit.

Subp. 4c. Legislative caucus leader.

"Legislative caucus leader" means a legislator elected or appointed by a legislative caucus to lead that caucus, and is not limited to leaders designated pursuant to Minnesota Statutes, section 3.099.

Subp. 4d. Legislative party unit.

"Legislative party unit" means a political party unit established by the party organization within a house of the legislature.

Subp. 4e. Nomination.

Except as used in Minnesota Statutes, sections 10A.09 and 10A.201, "nomination" means the placement of a candidate or a local candidate's name on a general election or special general election ballot.

Subp. 5. Receipted bill.

"Receipted bill" means an invoice marked paid by the vendor or a canceled check with a corresponding invoice indicating the purpose of the expenditure.

Subp. 6.

[Repealed, L 2018 c 119 s 34]

Subp. 7. Statewide election.

"Statewide election" means an election for a statewide constitutional office, appeals court, or supreme court office, or an election in which a question or proposition on the ballot can be voted on by all voters of the state.

Subp. 8. Unpaid bill.

"Unpaid bill" means an advance of credit for which payment has not been made. An advance of credit is an unpaid bill from the time it is incurred, regardless of when an actual invoice is received.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 20 SR 2504; 21 SR 1779; 30 SR 903; L 2018 c 119 s 34; 49 SR 979

Minn. R. 4503.0200 Organization of Political Committees and Political Funds

Subpart 1. Organizational information to be provided by a political party.

The statement of organization of a political party must include a list of the names of the party units organized in each house of the legislature and in congressional districts, counties, legislative districts, municipalities, and precincts, along with the name and address of the treasurer and chair of each unit, and must be updated annually.

Subp. 2. Officers of principal campaign committee.

A candidate may be chair, treasurer, or both, of the candidate's own principal campaign committee. The candidate is ultimately responsible for the principal campaign committee's compliance with Minnesota Statutes, chapter 10A.

Subp. 3. When registration is not required.

When a person or group merely solicits contributions with the approval of a candidate or the treasurer, deputy treasurer, or agent of a political committee or political fund and when those contributions are made directly to the reporting committee or fund, that person or group need not establish a separate political committee or political fund.

Subp. 4.

[Repealed, L 2005 c 156 art 6 s 68]

Subp. 5. Termination of responsibility of former treasurer.

A former treasurer who transfers political committee or political fund records and receipts to a new treasurer or to the chair of the committee or fund is relieved of future responsibilities when the former treasurer notifies the board in writing of the change.

Subp. 6.

[Repealed, L 2017 1Sp4 art 3 s 18]

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 20 SR 2504; 21 SR 1779; L 2005 c 156 art 6 s 68; L 2017 1Sp4 art 3 s 18; 49 SR 979

Minn. R. 4503.0300 Termination of Political Committee or Political Fund

Subpart 1. Termination report.

A termination report must cover the period from the closing date of the last report filed through the date of termination.

Subp. 2.

[Repealed, L 2005 c 156 art 6 s 68]

Subp. 3. Transfer of debts.

An agreement to transfer debts upon the termination of a candidate's principal committee for one office under Minnesota Statutes, section 10A.241, must be made in writing, signed by the candidate and the committee treasurers, and preserved in the records of each committee.

Subp. 4.

[Repealed, L 2017 1Sp4 art 3 s 18]

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504; L 2005 c 156 art 6 s 68; L 2017 1Sp4 art 3 s 18

Minn. R. 4503.0400 Repealed by subpart

Subpart 1.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 2.

[Repealed, L 2005 c 156 art 6 s 68]

Minn. R. 4503.0450 Joint Purchases

Subpart 1. General requirement.

Principal campaign committees, political party units, and political committees and funds may jointly purchase goods or services without making or receiving a donation in kind. If each purchaser pays the vendor for their share of the fair market value of the purchase, each purchaser must report that amount to the board as an expenditure or noncampaign disbursement as required by Minnesota Statutes, section 10A.20. If a purchaser pays the vendor for the total amount of the purchase and obtains payment from another purchaser for that purchaser's share of the fair market value of the purchase, each purchaser must use the same reporting method under Minnesota Statutes, section 10A.20, subdivision 13.

Subp. 2. Proportionate shares of joint purchase.

If a purchaser pays a vendor for the total amount of a joint purchase and each joint purchaser receives goods or services of equal value, each joint purchaser must pay the purchaser that paid the vendor an amount equal to the total amount paid to the vendor divided by the number of joint purchasers in order to prevent the occurrence of a donation in kind. If a purchaser pays a vendor for the total amount of a joint purchase and joint purchasers receive goods or services of differing value, each joint purchaser must pay the purchaser that paid the vendor in proportion to the value of the goods or services received in order to prevent the occurrence of a donation in kind. If a joint purchaser pays the purchaser that paid the vendor less than its proportionate share of the fair market value of the joint purchase, the difference must be reported as a donation in kind from the purchaser that paid the vendor to the joint purchaser as required by Minnesota Statutes, section 10A.20.

Subp. 3. No impact on prohibited contributions.

Nothing in this part permits an independent expenditure or ballot question political committee or fund to make a contribution, including an approved expenditure, that is prohibited by Minnesota Statutes, section 10A.121, or alters what constitutes a coordinated expenditure.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 49 SR 979

Minn. R. 4503.0500 Contributions

Subpart 1. All receipts are contributions.

Any donation of money, goods, or services received by a principal campaign committee, political party unit, political committee, or political fund is considered a contribution at the time the item is received.

Subp. 2.

[Repealed, L 2018 c 119 s 34]

Subp. 2a. Contribution processors and professional fundraisers.

A vendor may solicit, process, collect, or otherwise facilitate the accumulation of contributions made to a principal campaign committee, political party unit, political committee, or political fund, and may temporarily retain or control any contributions collected, without thereby making a contribution to the intended recipient of the contributions, if the vendor is paid the fair market value of the services provided. Contributions collected must be transmitted to the intended recipient, minus any fees withheld by the vendor. A vendor that is paid the fair market value of any goods or services provided is not a political committee or a political fund by virtue of providing those goods or services. A vendor that determines which principal campaign committee, political party unit, political committee, or political fund receives the contributions collected is a political committee or political fund as provided in Minnesota Statutes, section 10A.01, even if the recipient of the contributions pays the vendor the fair market value of the services provided to collect the contributions.

Subp. 3. Transmission of contributions.

Promptly after receipt of any contribution intended for a principal campaign committee, political party unit, political committee, or political fund, or on demand of the treasurer, any individual, association, or vendor retaining or controlling the contribution must transmit the contribution together with any required record to the treasurer.

Subp. 4. Identification of contributor.

An individual or association that pays for or provides goods or services, or makes goods or services available, with the knowledge that they will be used for the benefit of a principal campaign committee, political party unit, political committee, or political fund, is the contributor of those goods or services.

Subp. 5.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 6. Contributions by joint check.

A contribution given by a check written on a joint account is considered to be a contribution by the persons who signed the check in equal proportions unless the candidate or treasurer of the committee or fund has personal knowledge or affirmatively ascertains from any account holder who did not sign the check that the person is a joint contributor. In such cases, a written notation of the basis for considering the contribution to be a joint contribution must be made at the time the contribution is deposited and kept with the committee's or fund's official records.

Subp. 7. Forwarding anonymous contributions.

An anonymous contribution in excess of $20 must be forwarded to the board in its entirety within 14 days after its receipt by the treasurer along with a statement of the amount of the contribution and the date on which it was received.

Subp. 8.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 9.

[Repealed, L 2005 c 156 art 6 s 68]

Subp. 10. Underlying sources of funding of unregistered associations.

A principal campaign committee, party unit, or political committee or fund that is not an independent expenditure or ballot question political committee or fund, must consider an association's sources of funding in determining whether a contribution may be accepted from an association that is not registered with the board as a principal campaign committee, a party unit, a political committee, or the supporting association of a political fund. A contribution from an unregistered association is prohibited if any of that association's sources of funding would be prohibited from making the contribution directly under Minnesota Statutes, section 211B.15, subdivision 2.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 20 SR 2504; 17 SR 1779; L 2005 c 156 art 6 s 68; 30 SR 903; L 2017 1Sp4 art 3 s 18; L 2018 c 119 s 34; 49 SR 979

Minn. R. 4503.0600 Use of Credit Cards

Subpart 1. Contributions.

A candidate or treasurer of a political committee or political fund may approve the solicitation and collection of campaign contributions through the use of credit cards. An organization that issues credit cards, when acting in the ordinary course of business by collecting and disbursing funds designated by the card holders for contributions to a committee or fund, is not required to register or report.

Subp. 2. Expenditures; disbursements.

A treasurer who reimburses a credit card company for campaign expenditures or noncampaign disbursements that require itemization on a report of receipts and expenditures under Minnesota Statutes, section 10A.20, must disclose the purpose and the name and address of the vendor supplying the good or service for which payment is made.

History

• Statutory Authority: MS s 10A.02
• History: 15 SR 1512; 20 SR 2504

Minn. R. 4503.0700 Contribution Limits

Subpart 1. Loans included in aggregation of contributions.

Contribution limits apply to the aggregation of:

A. money;

B. donations in kind;

C. outstanding loans from the contributor; and

D. proceeds of outstanding loans endorsed by the contributor.

Subp. 2.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 3.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 4. Commercial vendors not subject to bundling limitation.

A vendor retained by a principal campaign committee, political party unit, political committee, or political fund for the accumulation of contributions, and paid by that committee, party unit, or fund the fair market value of the services provided, as described in part 4503.0500, subpart 2a, is not subject to the bundling limitation in Minnesota Statutes, section 10A.27, subdivision 1.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 20 SR 2504; L 2017 1Sp4 art 3 s 18; 49 SR 979

Minn. R. 4503.0800 Donations in Kind and Approved Expenditures

Subpart 1.

[Repealed, L 2005 c 156 art 6 s 68]

Subp. 1a. Contributor payment of processing fee.

If a contributor pays a processing fee when making a contribution and the fee would otherwise have been billed to the recipient of the contribution or withheld from the amount transmitted to the recipient, the amount of the fee is a donation in kind to the recipient of the contribution. If the donation in kind exceeds the amount specified in Minnesota Statutes, section 10A.13, subdivision 1, the recipient's treasurer must keep an account of the contribution and must include the contribution within campaign reports as required by Minnesota Statutes, section 10A.20. If the donation in kind does not exceed the amount specified in Minnesota Statutes, section 10A.13, subdivision 1, the recipient's treasurer is not required to keep an account of the contribution or to include it within campaign reports filed under Minnesota Statutes, section 10A.20.

Subp. 2. Multicandidate materials.

An approved expenditure made on behalf of multiple candidates or local candidates must be allocated between the candidates or the local candidates on a reasonable basis if the cost exceeds $20 per candidate or local candidate.

Subp. 3. Multipurpose materials.

A reasonable portion of the fair market value of preparation and distribution of association newsletters or similar materials which, in part, advocate the nomination or election of a candidate or a local candidate is a donation in kind which must be approved by the candidate or the local candidate if the value exceeds $20, unless an independent expenditure is being made.

Subp. 4. Office facilities.

The fair market value of shared office space or services provided to a candidate or a local candidate without reimbursement is a donation in kind.

Subp. 5. Campaign expenditures for constituent services paid with personal funds.

Costs of providing constituent services that are campaign expenditures and paid with the personal funds of the candidate are a donation in kind to the principal campaign committee of the candidate.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 20 SR 2504; L 2005 c 156 art 6 s 68; 49 SR 979

Minn. R. 4503.0900 Noncampaign Disbursements

Subpart 1. Additional definitions.

In addition to those listed in Minnesota Statutes, section 10A.01, subdivision 26, the following expenses are noncampaign disbursements:

A. transportation, meals, and lodging paid to attend a campaign school;

B. costs of campaigning incurred by a person with a disability, as defined in Minnesota Statutes, section 363A.03, subdivision 12, and which are made necessary by the disability;

C. the cost to an incumbent or a winning candidate of providing services to residents in the district after the general election in an election year for the office held;

D. payment of advances of credit in a year after the year in which the advance was reported as an expenditure;

E. payment of fines assessed by the board; and

F. costs to maintain a bank account that is required by law, including service fees, the cost of ordering checks, and check processing fees.

Subp. 2.

[Repealed, 21 SR 1779]

Subp. 2a. Expenses incurred by leaders of a legislative caucus.

Expenses incurred by a legislative caucus leader in carrying out their leadership responsibilities may be paid by their principal campaign committee and classified as a noncampaign disbursement for expenses incurred by leaders of a legislative caucus. These expenses must be incurred for the operation of the caucus and include but are not limited to expenses related to operating a website, social media accounts, a telephone system, similar means of communication, travel expenses, and legal expenses.

Subp. 2b. Signage and supplies for office holders.

Expenses incurred by an office holder for signage outside their official office and for basic office supplies purchased to aid the office holder in performing the tasks of their office may be paid by their principal campaign committee and classified as a noncampaign disbursement for expenses for serving in public office. These expenses may include signage, stationery, or other means of communication that identify the office holder as a member of a legislative caucus.

Subp. 2c. Equipment purchases.

The cost of durable equipment purchased by a principal campaign committee, including but not limited to computers, cell phones, and other electronic devices, must be classified as a campaign expenditure unless the equipment is purchased to replace equipment that was lost, stolen, or damaged to such a degree that it no longer serves its intended purpose, or the equipment will be used solely:

A. by a member of the legislature or a constitutional officer in the executive branch to provide services for constituents during the period from the beginning of the term of office to adjournment sine die of the legislature in the election year for the office held;

B. by a winning candidate to provide services to residents in the district in accordance with subpart 1;

C. for campaigning by a person with a disability in accordance with subpart 1;

D. for running a transition office in accordance with Minnesota Statutes, section 10A.174; or

E. as home security hardware.

Subp. 3. Reporting purpose of noncampaign disbursements.

Itemization of an expense which is classified as a noncampaign disbursement must include sufficient information to justify the classification.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025; L 2025 c 39 art 7 s 22
• History: 20 SR 2504; 21 SR 1779; L 1999 c 220 s 50; 30 SR 903; 49 SR 979; 50 SR 680

Minn. R. 4503.0950 Costs of Constituent Services and Services to Residents of Candidate's District Which Do Not Require Reporting

Subpart 1. Services paid with personal funds of candidate.

A. Constituent services which a principal campaign committee would report as noncampaign disbursements under Minnesota Statutes, section 10A.01, subdivision 26, clause (6), and which are paid for with the personal funds of an incumbent are not reportable.

B. Services for a resident in the candidate's district after a general election, through the end of the year, paid for with the personal funds of an incumbent or the winning candidate are not reportable.

Subp. 2. Constituent services provided as part of official duties and paid through legislative appropriation.

Constituent services provided by an incumbent as a part of the duties of serving in office and paid for with state funds designated for that use are not reportable under Minnesota Statutes, chapter 10A.

History

• Statutory Authority: MS s 10A.02
• History: 21 SR 1779; L 1999 c 220 s 50

Minn. R. 4503.1000 Campaign Materials Including Other Candidates

Subpart 1. Inclusion of others without attempt to influence nomination or election.

Campaign materials, including media advertisements, produced and distributed on behalf of one candidate which contain images of, appearances by, or references to another candidate or local candidate, but which do not mention the candidacy of the other candidate or local candidate or make a direct or indirect appeal for support of the other candidate or local candidate, are not contributions to, or expenditures on behalf of that candidate or local candidate.

Subp. 2. Multicandidate materials prepared by a candidate.

A candidate who produces and distributes campaign materials, including media advertisements, which include images of, appearances by, or references to one or more other candidates or local candidates, and which mention the candidacy of the other candidates or local candidates or include a direct or indirect appeal for the support of the other candidates or local candidates must collect from each of the other candidates or local candidates a reasonable proportion of the production and distribution costs.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 20 SR 2504; 49 SR 979

Minn. R. 4503.1100 Carryforward of Campaign Funds; Unpaid Advances of Credit

Subpart 1. Retention for unpaid advances of credit.

In addition to the carryforward permitted under Minnesota Statutes, section 10A.257, subdivision 1, the treasurer of a principal campaign committee may retain into the next election cycle an amount equal to the sum of all unpaid advances of credit on the last day of the previous election cycle.

Subp. 2. Forgiveness and payment of advances of credit.

When an advance of credit for which funds were retained under subpart 1 is later forgiven or paid by an individual or association other than the principal campaign committee, funds retained under subpart 1 based on the advance of credit must be disposed of pursuant to Minnesota Statutes, section 10A.257, subdivision 1.

Subp. 3. Carryforward applies at end of special election cycle.

The limitations on carryforward of funds imposed by Minnesota Statutes, section 10A.257, subdivision 1, apply at the end of a special election cycle as well as the end of a general election cycle. The limitations at the end of a special or general election cycle apply to all candidates for the office which was the subject of the election regardless of whether the candidate actually ran in the election.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504; 21 SR 1779; L 1999 c 220 s 50

Minn. R. 4503.1200 Joint Fundraising Events by Principal Campaign Committees

Subpart 1. General requirement.

Proceeds and costs of joint fundraising events held by two or more principal campaign committees must be allocated in such a way as to avoid earmarking and prohibited transfers or contributions from one principal campaign committee to another.

Subp. 2. Elective procedures to assure compliance.

Principal campaign committees may be certain that allocation of proceeds and costs of a joint fundraising event will not result in earmarking or a prohibited transfer or contribution if:

A. contributions are made individually to each committee by check payable to the committee, by cash given in a separate collection for the committee, or by cash with a record kept of each contributor and recipient;

B. expenses of the event are allocated among the participating committees in direct proportion to the contributions received by each committee; and

C. campaign expenditures and noncampaign disbursements are allocated separately and in the same proportion.

Subp. 3. Record keeping and reconciliation of expenses.

The treasurers of principal campaign committees conducting a joint fundraising event must maintain records of all costs associated with the event. After the conclusion of the event, the treasurers shall complete a reconciliation and allocation of the costs of the event pursuant to this part, and shall make any transfers of funds between the committees necessary to properly allocate the expenses.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Minn. R. 4503.1300 Governor and Lieutenant Governor

Subpart 1. Seeking endorsement as lieutenant governor.

Raising and spending funds to seek endorsement as lieutenant governor may be done either through a separate principal campaign committee established by the lieutenant governor candidate or through a joint principal campaign committee of the governor and lieutenant governor candidates.

Subp. 2. Separate records for seeking endorsement.

A principal campaign committee that makes expenditures and authorizes approved expenditures to seek endorsement for the office of lieutenant governor at the convention of a political party and intends those expenditures to be in addition to the expenditure limit established by Minnesota Statutes, section 10A.25, subdivision 2, shall maintain a separate record of those expenditures.

Subp. 3. Merger of committees.

Separate committees of a candidate for governor and lieutenant governor must be merged not later than five business days after the joint endorsement or filing for office by the candidates for governor and lieutenant governor. The merger must be accomplished by amending the statement of organization of one of the committees making it a joint committee and by terminating the remaining committee. All funds, assets, and debt of the terminated committee must be transferred to the joint committee at the time of the merger. The transfer of debt must be by means of an agreement meeting the requirements of part 4503.0300, subpart 3.

Subp. 4.

[Repealed, L 2018 c 119 s 34]

Subp. 5.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 6. Public subsidy agreement.

A public subsidy agreement signed by a candidate for governor or lieutenant governor is binding on both candidates and on the surviving principal campaign committee after a merger accomplished under this part.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504; 21 SR 1779; L 2017 1Sp4 art 3 s 18; L 2018 c 119 s 34

Minn. R. 4503.1400 Public Subsidy Agreements

Subpart 1.

[Repealed, 21 SR 1779]

Subp. 2. Period covered by agreement.

A public subsidy agreement is effective for the entire election cycle regardless of when the agreement is signed.

Subp. 3. Effect of signing public subsidy agreement after first year of election cycle.

By signing a public subsidy agreement after the first year of an election cycle, a candidate agrees to abide by spending and contribution limits for candidates with public subsidy agreements for the entire election cycle. The candidate is subject to the same remedies for prior violations of contribution and spending limits as a candidate who signed a public subsidy agreement during the first year of the election cycle.

Subp. 4. Effect on right to participate in political contribution refund program.

The right to issue receipts under the political contribution refund program established in Minnesota Statutes, section 290.06, subdivision 23, arises only when the public subsidy agreement is actually signed.

Subp. 5. Expiration at end of special election cycle.

Public subsidy agreements for all candidates in a district in which a special election is held expire at the end of the special election cycle regardless of whether the candidate actually ran in the special election.

Subp. 6. Return of public subsidy.

If a candidate who has received public subsidy money fails to file a year-end report of receipts and expenditures in an election year, the board may determine the amount of public subsidy which must be returned based on the last report filed by the candidate.

Subp. 7. Nonreceipt of public subsidy funds.

A public subsidy agreement is binding regardless of whether the candidate actually receives funds from the state elections campaign fund.

Subp. 8.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 9.

[Repealed, L 2017 1Sp4 art 3 s 18]

History

• Statutory Authority: MS s 10A.02; 10A.025
• History: 20 SR 2504; 21 SR 1779; 30 SR 903; L 2017 1Sp4 art 3 s 18

Minn. R. 4503.1450 Distribution of General Account Public Subsidy Funds

Subpart 1.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 2. Failure to repay.

A candidate who fails to repay money required by the agreement cannot be paid additional general account public subsidy funds during the current or future election cycles until the entirety of the unexpended general account funds, and any associated collection fees, are either repaid to the board or discharged by a court action.

Subp. 3.

[Repealed, L 2017 1Sp4 art 3 s 18]

History

• Statutory Authority: MS s 10A.02
• History: 26 SR 1363; L 2017 1Sp4 art 3 s 18

Minn. R. 4503.1500 Loans

Subpart 1. Loan agreement requirements.

An agreement to make a loan to a principal campaign committee or political committee or fund must be made in writing and signed by the borrower and endorsers.

Subp. 2.

[Repealed, L 2015 c 73 s 27]

Subp. 3. Unpaid reimbursements.

A principal campaign committee that does not reimburse an individual or candidate for an expenditure made on behalf of the committee within 18 months of the date on which the expenditure occurred shall convert the unpaid reimbursement into a loan from the individual or candidate to the committee. The unpaid balance of the loan counts against the contribution limit of the individual or candidate for the year in which the expenditure occurred.

History

• Statutory Authority: MS s 10A.02; 10A.025
• History: 20 SR 2504; 30 SR 903; L 2015 c 73 s 27

Minn. R. 4503.1600 [Repealed, L 2017 1Sp4 art 3 s 18]

[Repealed, L 2017 1Sp4 art 3 s 18]

Minn. R. 4503.1700 [Repealed, L 2017 1Sp4 art 3 s 18]

[Repealed, L 2017 1Sp4 art 3 s 18]

Minn. R. 4503.1800 [Repealed, L 2017 1Sp4 art 3 s 18]

[Repealed, L 2017 1Sp4 art 3 s 18]

Minn. R. 4503.1900 Aggregated Expenditures

Expenditures and noncampaign disbursements may be aggregated and reported as lump sums when itemized within a report filed under Minnesota Statutes, section 10A.20, if:

A. each expenditure or noncampaign disbursement was made to the same vendor;

B. each expenditure or noncampaign disbursement was made for the same type of goods or services;

C. each lump sum consists solely of aggregated expenditures or solely of aggregated noncampaign disbursements;

D. each lump sum consists solely of aggregated expenditures or noncampaign disbursements that are paid, are unpaid, or represent the dollar value of a donation in kind;

E. the expenditures and noncampaign disbursements are aggregated over a period of no more than 31 days; and

F. all expenditures and noncampaign disbursements made prior to the end of a reporting period are included within the report covering that period. Lump sums must be dated based on the last date within the period over which the expenditures or noncampaign disbursements are aggregated. This subpart does not alter the date an expenditure is made for purposes of the registration requirements provided in Minnesota Statutes, section 10A.14.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 49 SR 979

Minn. R. 4503.2000 Disclaimers

Subpart 1. Additional definitions.

The following definitions apply to this part and Minnesota Statutes, section 211B.04:

A. "broadcast media" means a television station, radio station, cable television system, or satellite system; and

B. "social media platform" means a website or application that allows multiple users to create, share, and view user-generated content, excluding a website controlled primarily by the association or individual that caused the communication to be prepared or disseminated.

Subp. 2. Material linked to a disclaimer.

Minnesota Statutes, section 211B.04, does not apply to the following communications that link directly to an online page that includes a disclaimer in the form required by that section if the communication is made by or on behalf of a candidate, principal campaign committee, political committee, political fund, political party unit, or person who has made an electioneering communication, as those terms are defined in Minnesota Statutes, chapter 10A:

A. text, images, video, or audio disseminated via a social media platform;

B. a text or multimedia message disseminated only to telephone numbers;

C. text, images, video, or audio disseminated using an application accessed primarily via mobile phone, excluding email messages, telephone calls, and voicemail messages; and

D. paid electronic advertisements disseminated via the internet by a third party, including but not limited to online banner advertisements and advertisements appearing within the electronic version of a newspaper, periodical, or magazine. The link must be conspicuous and when selected must result in the display of an online page that prominently includes the required disclaimer.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 49 SR 979

Chapter 4505 ECONOMIC INTEREST DISCLOSURE

Minn. R. 4505.0010 [Repealed, L 2018 c 119 s 34]

[Repealed, L 2018 c 119 s 34]

Minn. R. 4505.0100 Repealed by subpart

Subpart 1.

[Repealed, L 2018 c 119 s 34]

Subp. 1a.

[Repealed, 20 SR 2504]

Subp. 2.

[Repealed, 20 SR 2504]

Subp. 3.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 4.

[Repealed, L 2018 c 119 s 34]

Subp. 5.

[Repealed, 14 SR 2583]

Subp. 6.

[Repealed, L 2018 c 119 s 34]

Minn. R. 4505.0200 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4505.0300 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4505.0400 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4505.0500 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4505.0600 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4505.0700 [Repealed, L 2018 c 119 s 34]

[Repealed, L 2018 c 119 s 34]

Minn. R. 4505.0800 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4505.0900 Repealed by subpart

Subpart 1.

[Repealed, 20 SR 2504]

Subp. 2.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 3.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 4.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 5.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 6.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 7.

[Repealed, L 2017 1Sp4 art 3 s 18]

Minn. R. 4505.1000 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Chapter 4511 LOBBYIST REGISTRATION AND REPORTING

Minn. R. 4511.0010 Scope

This chapter implements the lobbyist registration and reporting requirements of Minnesota Statutes, chapter 10A.

History

• Statutory Authority: MS s 10A.02
• History: 21 SR 1779

Minn. R. 4511.0100 Definitions

Subpart 1. Scope.

The definitions in this part apply to this chapter and Minnesota Statutes, chapter 10A. The definitions in chapter 4501 and in Minnesota Statutes, chapter 10A, also apply to this chapter.

Subp. 1a.

[Repealed, L 2023 c 62 art 5 s 44]

Subp. 1b. Administrative overhead expenses.

"Administrative overhead expenses" means costs incurred by the principal for office space, transportation costs, and website operations that are used to support lobbying in Minnesota.

Subp. 1c. Development of prospective legislation.

"Development of prospective legislation" means communications that request support for legislation that has not been introduced as a bill, communications that provide language, or comments on language, used in draft legislation that has not been introduced as a bill, or communications that are intended to facilitate the drafting of language, or comments on language, used in draft legislation that has not been introduced as a bill. The following actions do not constitute development of prospective legislation:

A. responding to a request for information by a public official;

B. requesting that a public official respond to a survey on the official's support or opposition for an issue;

C. providing information to public officials in order to raise awareness and educate on an issue or topic; or

D. advocating for an issue without requesting action by the public official.

Subp. 2. Gift.

"Gift" has the meaning given in chapter 4512 and Minnesota Statutes, section 10A.071.

Subp. 3. Lobbying.

"Lobbying" means attempting to influence legislative action, administrative action, or the official action of a political subdivision by communicating with or urging others to communicate with public officials or local officials. Any activity that directly supports this communication is considered a part of lobbying. Payment of an application fee, or processing charge, for a government service, permit, or license is not lobbying or an activity that directly supports lobbying.

Subp. 4. Lobbyist's disbursements.

"Lobbyist's disbursements" include disbursements for each gift given by the lobbyist, the lobbyist's employer, or any person or association represented by the lobbyist.

Subp. 5. Original source of funds.

"Original source of funds" means a source of funds, provided by an individual or association other than the entity for which a lobbyist is registered, paid to the lobbyist, the lobbyist's employer, the entity represented by the lobbyist, or the lobbyist's principal, for lobbying purposes.

Subp. 5a. Pay or consideration for lobbying.

"Pay or consideration for lobbying" means the compensation paid to an individual for lobbying. An individual whose job responsibilities do not include lobbying, and who has not been directed or requested to lobby on an issue by their employer, does not receive pay or consideration for lobbying they undertake on their own initiative.

Subp. 6. Public higher education system.

"Public higher education system" includes the University of Minnesota and the Minnesota State Colleges and Universities governed by Minnesota Statutes, chapter 136F. The board may issue advisory opinions at the request of other entities with respect to whether or not they are also included within this definition.

Subp. 7. Reporting lobbyist.

"Reporting lobbyist" means a lobbyist responsible for reporting lobbying activity of two or more lobbyists representing the same entity. Lobbying activity on behalf of an entity may be reported by each individual lobbyist that represents an entity, or by one or more reporting lobbyists, or a combination of individual reports and reports from a reporting lobbyist.

Subp. 8. State agency.

"State agency" means any office, officer, department, division, bureau, board, commission, authority, district, or agency of the state of Minnesota.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 21 SR 1779; 26 SR 1363; 49 SR 979

Minn. R. 4511.0200 Registration

Subpart 1. Separate registration required for each entity.

A lobbyist who lobbies on behalf of more than one individual, association, political subdivision, or public higher education system shall register separately for each separate entity. Members or affiliates of an association represented by a lobbyist are not separate entities for the purposes of this requirement.

Subp. 2. Separate registration for each lobbyist.

Multiple lobbyists representing the same individual, association, political subdivision, or higher education system must each register separately. A lobbyist who reports lobbying activity to the board through a reporting lobbyist must list the name and registration number of the reporting lobbyist on a lobbyist registration. If the reporting lobbyist changes, or if the lobbyist ceases to report through a reporting lobbyist, the lobbyist must amend the registration within ten days.

Subp. 2a. Registration threshold.

An individual must register as a lobbyist with the board upon the earlier of when:

A. the individual receives total pay or consideration from all sources that exceeds $3,000 in a calendar year for the purpose of lobbying or from a business whose primary source of revenue is derived from facilitating government relations or government affairs services if the individual's job duties include offering direct or indirect consulting or advice that helps the business provide those services to clients. The pay or consideration for lobbying for an individual whose job duties include both lobbying and functions unrelated to lobbying is determined by multiplying the compensation of the individual by the percentage of the individual's work time spent lobbying in the calendar year; or

B. the individual spends more than $3,000 of their own funds in a calendar year for the purpose of lobbying. Membership dues paid by the individual, and expenses for transportation, lodging, and meals used to support lobbying by the individual, are not costs that count toward the $3,000 expenditure threshold that requires registration.

Subp. 2b. Registration not required.

An individual is not required to register as a lobbyist with the board:

A. to represent the lobbyist's own interests if the lobbyist is already registered to represent one or more principals, unless the lobbyist spends over $3,000 in personal funds in a calendar year for the purpose of lobbying; or

B. as a result of serving on the board or governing body of an association that is a principal, unless the individual receives pay or other consideration to lobby on behalf of the association, and the aggregate pay or consideration for lobbying from all sources exceeds $3,000 in a calendar year.

Subp. 3. Registration of designated lobbyist.

A designated lobbyist must indicate on the lobbyist registration form that the lobbyist will be reporting disbursements for the entity the lobbyist represents. An entity that employs lobbyists may have only one designated lobbyist. A designated lobbyist who ceases to be responsible for reporting the lobbying disbursements of an entity must amend the lobbyist's registration with the board within ten days.

Subp. 4. Registration of reporting lobbyist.

A reporting lobbyist must indicate on the lobbyist registration form that the lobbyist will be reporting lobbying activity for additional lobbyists representing the same entity. The registration must list the name and registration number of each lobbyist that will be included in reports to the board made by the reporting lobbyist. Changes to the list of lobbyists represented by a reporting lobbyist must be amended on the reporting lobbyist registration within ten days, or provided to the board at the time of filing a report required by Minnesota Statutes, section 10A.04, subdivision 2.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 21 SR 1779; 26 SR 1363; 49 SR 979

Minn. R. 4511.0300 Principals

Individuals or associations represented by lobbyists are presumed to be principals until they establish that they do not fall within the statutory definition of a principal. A political subdivision; public higher education system; or any office, department, division, bureau, board, commission, authority, district, or agency of the state of Minnesota is not an association under Minnesota Statutes, section 10A.01, and is not a principal.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 21 SR 1779; 49 SR 979

Minn. R. 4511.0400 Termination

Subpart 1. Lobbyist termination.

A lobbyist who has ceased lobbying for a particular entity may terminate registration by filing a lobbyist termination form and a lobbyist report covering the period from the last report filed through the date of termination. If the lobbying activity of the lobbyist is reported by a reporting lobbyist, the nonreporting lobbyist may terminate by filing a lobbyist termination form and notifying the reporting lobbyist of all lobbying activity by the lobbyist during the period from the last report filed through the date of termination.

Subp. 2. Reporting lobbyist termination.

A reporting lobbyist who has ceased lobbying for a particular entity may terminate registration by filing a lobbyist termination form and a lobbyist report covering the period from the last report filed through the date of termination. The termination of a reporting lobbyist reverts the reporting responsibility back to each lobbyist listed on the registration of the reporting lobbyist.

Subp. 3. Designated lobbyist termination.

A designated lobbyist who has ceased lobbying for a particular entity may terminate their registration using the procedure provided in subpart 1. When the designated lobbyist of a lobbying entity terminates, the entity is responsible to assign the responsibility to report the entity's lobbying disbursements to another lobbyist.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 21 SR 1779; 26 SR 1363; 49 SR 979

Minn. R. 4511.0500 Lobbyist Reporting Requirements

Subpart 1. Separate reporting required for each entity.

A lobbyist must report separately for each entity for which the lobbyist is registered, unless their activity is reported in the manner provided in Minnesota Statutes, section 10A.04, subdivision 9.

Subp. 2.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 3. Report of designated lobbyist.

With each report of lobbyist activity, a designated lobbyist must report:

A. the name and address of each person, if any, by whom the lobbyist is retained or employed or on whose behalf the lobbyist appears;

B. if the lobbyist represents an association, a current list of the names and addresses of each officer and director of the association;

C. each original source of money in excess of $500 provided to the individual or association that the lobbyist represents; and

D. each gift to a public or local official given by or on behalf of a principal or a lobbyist registered for the principal.

Subp. 4. Limitation on reporting of loans.

A lobbyist is not required to report loans to a public official or a local official in a metropolitan governmental unit if:

A. the lobbyist's employer, principal, or association represented which made the loan is a financial institution; and

B. the loan was made in the ordinary course of business on substantially the same terms as those prevailing for comparable transactions with other persons.

Subp. 5.

[Repealed, 49 SR 979]

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 21 SR 1779; 26 SR 1363; 30 SR 903; L 2017 1Sp4 art 3 s 18; 49 SR 979

Minn. R. 4511.0600 Reporting Disbursements

Subpart 1. Determination of actual costs required.

To the extent that actual costs of lobbying activities or administrative overhead expenses incurred by the principal to support lobbying can be obtained or calculated by reasonable means, those actual costs must be determined, recorded, and used for reporting purposes.

Subp. 2. Approximation of costs.

If the actual cost of a lobbying activity or administrative overhead expenses incurred by the principal to support lobbying cannot be obtained or calculated through reasonable means, those costs must be reasonably approximated.

Subp. 3. Disbursements allocated between multiple entities.

A disbursement for lobbying purposes that benefits more than one entity for which a lobbyist is separately registered must be allocated between the entities benefited on a reasonable basis and reported based on that allocation.

Subp. 4. Disbursements which are only partially in support of lobbying.

A disbursement that is partially in support of lobbying and partially for a nonlobbying purpose must be allocated on a reasonable basis between the two purposes and the portion which is for lobbying activities must be reported.

Subp. 5.

[Repealed, L 2023 c 62 art 5 s 44]

Subp. 6. Effect of gift prohibition.

The reporting requirements in this part do not change the scope of the statutory prohibition under Minnesota Statutes, section 10A.071, nor do they create additional exceptions to that prohibition.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 21 SR 1779; 30 SR 903; 49 SR 979

Minn. R. 4511.0700 Reporting Compensation Paid to Lobbyist

Subpart 1. Reporting by lobbyist.

Compensation paid to a lobbyist for lobbying is not reportable by the lobbyist.

Subp. 2. Reporting by principal.

Compensation for lobbying paid by a lobbyist principal to a lobbyist or to the employer of a lobbyist must be included when determining the spending level categories for reporting by the lobbyist principal.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 21 SR 1779; 49 SR 979

Minn. R. 4511.0800 Administrative Action

Subpart 1. Commencement.

An administrative action to adopt, amend, or repeal rules pursuant to Minnesota Statutes, chapter 14, begins on publication of the notice required under Minnesota Statutes, section 14.101, subdivision 1, or at an earlier time when the official, board, commission, or agency undertaking the rulemaking takes the first formal action required by law to begin the rulemaking process. An administrative action for a purpose other than rulemaking begins when the commission or agency undertaking the action takes the first formal action required by statute to begin the action or as otherwise defined by statute.

Subp. 2. Advisory committees.

Participation on an administrative rulemaking advisory committee established under Minnesota Statutes, section 14.101, subdivision 2, is not lobbying.

History

• Statutory Authority: MS s 10A.02
• History: 21 SR 1779

Minn. R. 4511.0900 Lobbyist Reporting for Political Subdivision Membership Organizations

Subpart 1. Required reporting.

An association whose membership consists of political subdivisions within Minnesota and which is a principal that provides lobbyist representation on issues as directed by its membership must report:

A. attempts to influence administrative action on behalf of the organization's membership;

B. attempts to influence legislative action on behalf of the organization's membership; and

C. attempts to influence the official action of a political subdivision on behalf of the organization's membership, unless the political subdivision is a member of the association.

Subp. 2. Communication with membership.

A membership association described in subpart 1 is not lobbying political subdivisions when the association communicates with its membership regarding lobbying efforts made on the members' behalf, or when the association recommends actions by its membership to support a lobbying effort.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 49 SR 979

Minn. R. 4511.1000 Actions and Approval of Elected Local Officials

Subpart 1. An action that requires a vote of the governing body.

Attempting to influence the vote of an elected local official while acting in their official capacity is lobbying of that official's political subdivision.

Subp. 2. Approval by an elected local official.

Attempting to influence a decision of an elected local official that does not require a vote by the elected local official is lobbying if the elected local official has discretion in their official capacity to either approve or deny a government service or action. Approval by an elected local official does not include:

A. issuing a government license, permit, or variance that is routinely provided when the applicant has complied with the requirements of existing state code or local ordinances;

B. any action which is performed by the office of the elected local official and which does not require personal approval by an elected local official;

C. prosecutorial discretion exercised by a county attorney; or

D. participating in discussions with a party or a party's representative regarding litigation between the party and the political subdivision of the elected local official.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 49 SR 979

Minn. R. 4511.1100 [Repealed, L 2025 1Sp11 s 3]

[Repealed, L 2025 1Sp11 s 3]

Chapter 4512 GIFT PROHIBITION

Minn. R. 4512.0010 Scope

This chapter applies to the prohibition of certain gifts pursuant to Minnesota Statutes, section 10A.071.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Minn. R. 4512.0100 Definitions

Subpart 1. Scope.

The definitions in this part apply to this chapter and Minnesota Statutes, section 10A.071. The definitions in chapter 4501 and in Minnesota Statutes, chapter 10A, apply to this chapter.

Subp. 2.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 3. Gift.

In addition to those categories specified in Minnesota Statutes, section 10A.071, subdivision 1, the following are included within the definition of gift:

A. meals and entertainment;

B. loans of personal property for less than payment of fair market value;

C. giving preferential treatment for purchases;

D. honoraria; and

E. payment of loans or other obligations.

Subp. 4.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 5.

[Repealed, L 2017 1Sp4 art 3 s 18]

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504; L 2017 1Sp4 art 3 s 18

Minn. R. 4512.0200 Gifts Which May Not Be Accepted

Subpart 1. Acceptance.

An official may not accept a gift given by a lobbyist or lobbyist principal or given as the result of a request by a lobbyist or lobbyist principal unless the gift satisfies an exception under this part or Minnesota Statutes, section 10A.071.

Subp. 2. Use of gift to a political subdivision.

An official may not use a gift given by a lobbyist or lobbyist principal to a political subdivision until the gift has been formally accepted by an official action of the governing body of the political subdivision.

Subp. 3. Exception.

A gift is not prohibited if it consists of informational material given by a lobbyist or principal to assist an official in the performance of official duties and the lobbyist or principal had a significant role in the creation, development, or production of that material.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 20 SR 2504; 30 SR 903; 49 SR 979

Minn. R. 4512.0300 Gifts Paid for by Third Parties

A gift is given by the individual or association paying for the gift or reimbursing another for the gift.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Minn. R. 4512.0400 Gifts Partially Paid for by Lobbyist or Lobbyist Principal

An official must contemporaneously reimburse the lobbyist or lobbyist principal for the fair market value of any part of a gift paid for by the lobbyist or lobbyist principal.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Minn. R. 4512.0500 When a Gift Is Requested by Lobbyist or Lobbyist Principal

A gift is requested by a lobbyist or lobbyist principal if it is the direct result of a request, suggestion, or other affirmative effort by the lobbyist or lobbyist principal.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Minn. R. 4512.0600 Specific Exclusions from Gift Definition

Subpart 1. Payment for goods and services.

Payment of the regular price for goods or services provided by an official or an official's business is not a gift to the official.

Subp. 2. Employment compensation.

A salary increase, promotion, or change from part-time to full-time status for an official who is an employee is not a gift to the official.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Chapter 4515 CONFLICTS OF INTEREST

Minn. R. 4515.0010 [Repealed, L 2018 c 119 s 34]

[Repealed, L 2018 c 119 s 34]

Minn. R. 4515.0100 Repealed by subpart

Subpart 1.

[Repealed, L 2018 c 119 s 34]

Subp. 2.

[Repealed, 20 SR 2504]

Subp. 3.

[Repealed, 10 SR 1266]

Subp. 4.

[Repealed, 20 SR 2504]

Subp. 5.

[Repealed, L 2018 c 119 s 34]

Subp. 6.

[Repealed, 20 SR 2504]

Subp. 7.

[Repealed, 20 SR 2504]

Minn. R. 4515.0200 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4515.0300 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4515.0400 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4515.0500 Repealed by subpart

Subpart 1.

[Repealed, L 2018 c 119 s 34]

Subp. 2.

[Repealed, 20 SR 2504]

Minn. R. 4515.0600 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4515.0700 [Repealed, 26 SR 1363]

[Repealed, 26 SR 1363]

Minn. R. 4515.0800 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Chapter 4520 REPRESENTATION DISCLOSURE

Minn. R. 4520.0010 [Repealed, L 2018 c 119 s 34]

[Repealed, L 2018 c 119 s 34]

Minn. R. 4520.0100 Repealed by subpart

Subpart 1.

[Repealed, L 2018 c 119 s 34]

Subp. 2.

[Repealed, 20 SR 2504]

Subp. 3.

[Repealed, 10 SR 1266]

Subp. 4.

[Repealed, L 2018 c 119 s 34]

Subp. 5.

[Repealed, 20 SR 2504]

Subp. 6.

[Repealed, L 2018 c 119 s 34]

Subp. 7.

[Repealed, 20 SR 2504]

Minn. R. 4520.0200 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4520.0300 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4520.0400 [Repealed, L 2018 c 119 s 34]

[Repealed, L 2018 c 119 s 34]

Minn. R. 4520.0500 [Repealed, L 2018 c 119 s 34]

[Repealed, L 2018 c 119 s 34]

Minn. R. 4520.0600 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Minn. R. 4520.0700 [Repealed, 26 SR 1363]

[Repealed, 26 SR 1363]

Minn. R. 4520.0800 [Repealed, 20 SR 2504]

[Repealed, 20 SR 2504]

Chapter 4525 HEARINGS, AUDITS, AND INVESTIGATIONS

Minn. R. 4525.0010 Scope

This chapter applies to the conduct of hearings, audits, and investigations by the board.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504

Minn. R. 4525.0100 Definitions

Subpart 1. Scope.

The definitions in this part apply to this chapter and Minnesota Statutes, chapter 10A. The definitions in chapter 4501 and in Minnesota Statutes, chapter 10A, apply to this chapter.

Subp. 1a.

[Repealed, 20 SR 2504]

Subp. 2.

[Repealed, 20 SR 2504]

Subp. 2a. Complaint.

"Complaint" means a written statement, including any attachments, that:

A. alleges that the subject named in the complaint has violated Minnesota Statutes, chapter 10A, or another law under the board's jurisdiction; and

B. complies with the requirements in part 4525.0200, subpart 2.

Subp. 2b. Complainant.

"Complainant" means the filer of a complaint.

Subp. 3. Contested case.

"Contested case" means a proceeding conducted under Minnesota Statutes, chapter 14, in which the legal rights, duties, or privileges of specific parties are required by law or constitutional right to be determined after a board hearing. "Contested case" includes a proceeding pursuant to a request for exemption from campaign reporting requirements under Minnesota Statutes, section 10A.20, subdivisions 8 and 10; a hearing ordered by the board under part 4525.0900, subpart 2, concerning a complaint, investigation, or audit; and any other hearing which may be ordered by the board under parts 4525.0100 to 4525.1000 or which may be required by law.

"Contested case" does not include a board investigation or audit conducted under Minnesota Statutes, section 10A.022, subdivisions 1 and 2.

Subp. 4.

[Repealed, 20 SR 2504]

Subp. 5.

[Repealed, 39 SR 757]

Subp. 6.

[Repealed, 39 SR 757]

Subp. 6a. Preponderance of the evidence.

"Preponderance of the evidence" means, in light of the evidence obtained by or known to the board, the evidence leads the board to believe that a fact is more likely to be true than not true.

Subp. 7.

[Repealed, 20 SR 2504]

Subp. 8. Respondent.

"Respondent" means the subject of a complaint, an investigation, or an audit.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 11 SR 1611; 20 SR 2504; 39 SR 757; L 2015 c 73 s 26; 49 SR 979

Minn. R. 4525.0150 General Provisions

Subpart 1. Scope.

This part applies to all complaints, investigations, and audits conducted under this chapter and Minnesota Statutes, chapter 10A.

Subp. 2. Notice, where sent.

Whenever notice is required, if a respondent is registered with the board, notices must be sent by electronic and United States mail to the most recent addresses that the respondent provided in a registration statement filed with the board.

Subp. 3. Opportunity to be heard.

When a provision in this chapter or Minnesota Statutes, chapter 10A, provides that a complainant or a respondent has an opportunity to be heard by the board, the complainant or respondent must be given an opportunity to appear in person at a board meeting before the board makes a determination on the matter. The complainant or respondent is not required to appear before the board.

A complainant or respondent who has an opportunity to be heard may submit a written statement to the board in addition to or in lieu of an appearance before the board. A written statement under this part must be submitted prior to or at the board meeting at which the matter will be heard. The executive director must provide any submitted statement to the board before the board makes a determination on the matter.

The opportunity to be heard does not include the right to call witnesses or to question opposing parties, board members, or board staff.

The board may set a time limit for statements to the board when necessary for the efficient operation of the meeting.

When notice of the opportunity to be heard has been sent as required in subpart 2, the failure to appear in person or in writing at the noticed meeting constitutes a waiver of the opportunity to be heard at that meeting.

Subp. 4. Continuance.

The board may continue a matter to its next meeting if:

A. the parties agree;

B. the investigation is not complete;

C. the respondent shows good cause for the continuance; or

D. the delay is necessary to equitably resolve the matter.

Subp. 5. Authority reserved to board.

The provisions of this chapter do not affect the board's authority under Minnesota Statutes, section 10A.022, subdivision 2, to order an investigation or audit in any matter.

History

• Statutory Authority: MS s 10A.02
• History: 39 SR 757; L 2015 c 73 s 26

Minn. R. 4525.0200 Complaints of Violations

Subpart 1. Who may complain.

A person who believes a violation of Minnesota Statutes, chapter 10A, or another provision of law placed under the board's jurisdiction by Minnesota Statutes, section 10A.022, subdivision 3, or rules of the board has occurred may submit a written complaint to the board.

Subp. 2. Form.

Complaints must be submitted in writing. The name and address of the person making the complaint, or of the individual who has signed the complaint while acting on the complainant's behalf, must be included on the complaint. The complaint must be signed by the complainant or an individual authorized to act on behalf of the complainant. A complainant must list the alleged violator and the alleged violator's address if known by the complainant and describe the complainant's knowledge of the alleged violation. Any evidentiary material should be submitted with the complaint. Complaints are not available for public inspection or copying until after the complaint is dismissed or withdrawn or the board makes a finding.

Subp. 3.

[Repealed, 30 SR 903]

Subp. 3a. Withdrawal.

Prior to a prima facie determination being made, a complaint may be withdrawn upon the written request of the person making the complaint or any individual authorized to act on that person's behalf. After a prima facie determination is made, a complaint may not be withdrawn.

Subp. 4. Oath.

Evidentiary testimony given in a meeting conducted by the board under this chapter must be under oath. Arguments made to the board that do not themselves constitute evidence are not required to be under oath.

Subp. 5. Confidentiality.

Any portion of a meeting during which the board is hearing testimony or taking action concerning any complaint, investigation, preparation of a conciliation agreement, or a conciliation meeting must be closed to the public. The minutes and tape recordings of a meeting closed to the public must be kept confidential.

Subp. 6. Hearings.

At any time during an investigation of a complaint, the board may hold a contested case hearing before making a finding on the complaint.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 11 SR 1611; 12 SR 1809; 20 SR 2504; 26 SR 1363; 30 SR 903; 39 SR 757; L 2015 c 73 s 26; 49 SR 979

Minn. R. 4525.0210 Determinations Prior to and During Formal Investigation

Subpart 1.

[Repealed, L 2017 1Sp4 art 3 s 18]

Subp. 2. Making the prima facie determination.

In determining whether a complaint states a prima facie violation, any evidence outside the complaint and its attachments may not be considered. Arguments of the respondent, which are not themselves evidence, must be considered.

If a finding is made that a complaint does not state a prima facie violation, the complaint must be dismissed without prejudice. The dismissal must be ordered by the board member making the determination or by the full board if the full board makes the determination. The determination must be in writing and must indicate why the complaint does not state a prima facie violation.

If a finding is made that a complaint states a prima facie violation, the board chair must schedule the complaint for a probable cause determination.

Subp. 3. Action after prima facie violation determination.

The executive director must promptly notify the complainant and the respondent of the prima facie determination. The notice must include a copy of the prima facie determination.

If a determination is made that a complaint states a prima facie violation, the notice also must include the date of the meeting at which the board will make a probable cause determination regarding the complaint and a statement that the complainant and the respondent have the opportunity to be heard before the board makes the probable cause determination.

Subp. 3a. Making the probable cause determination.

In determining whether there is probable cause to believe a violation occurred, any evidence obtained by or known to the board may be considered. Arguments of the respondent and complainant must be considered. Probable cause exists if there are sufficient facts and reasonable inferences to be drawn therefrom to believe that a violation of law has occurred.

Subp. 4. Action after probable cause not found.

If the board finds that probable cause does not exist to believe that a violation has occurred, the board must order that the complaint be dismissed without prejudice. The order must be in writing and must indicate why probable cause does not exist to believe that a violation has occurred.

The executive director must promptly notify the complainant and the respondent of the board's determination. The notice must include a copy of the order dismissing the complaint for lack of probable cause.

Subp. 5. Action after probable cause found.

If the board finds that probable cause exists to believe that a violation has occurred, the board then must determine whether the alleged violation warrants a formal investigation.

When making this determination, the board must consider the type of possible violation; the magnitude of the violation if it is a financial violation; the extent of knowledge or intent of the violator; the benefit of formal findings, conclusions, and orders compared to informal resolution of the matter; the availability of board resources; whether the violation has been remedied; and any other similar factor necessary to decide whether the alleged violation warrants a formal investigation.

If the board orders a formal investigation, the order must be in writing and must describe the basis for the board's determination, the possible violations to be investigated, the scope of the investigation, and the discovery methods available for use by the board in the investigation.

The executive director must promptly notify the complainant and the respondent of the board's determination.

The notice to the respondent also must:

A. include a copy of the probable cause order;

B. explain how the investigation is expected to proceed and what discovery methods are expected to be used;

C. explain the respondent's rights at each stage of the investigation, including the right to provide a written response and the right to counsel; and

D. state that the respondent will be given an opportunity to be heard by the board prior to the board's determination as to whether any violation occurred. At the conclusion of the investigation, the board must determine whether a violation occurred. The board's determination of any disputed facts must be based upon a preponderance of the evidence.

Subp. 6. Action if formal investigation not ordered.

If the board finds that probable cause exists to believe that a violation has occurred, but does not order a formal investigation under subpart 5, the board must either dismiss the matter without prejudice or order a staff review under part 4525.0320.

In making the determination of whether to dismiss the complaint or order a staff review, the board must consider the type of possible violation, the magnitude of the violation if it is a financial violation, the extent of knowledge or intent of the violator, the availability of board resources, whether the violation has been remedied, and any other similar factor necessary to decide whether to proceed with a staff review.

An order dismissing a matter must be in writing and must indicate why the matter was dismissed.

The executive director must promptly notify the complainant and the respondent of the board's determination. The notice must include a copy of the order.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 39 SR 757; L 2015 c 73 s 26; L 2017 1Sp4 art 3 s 18; 49 SR 979

Minn. R. 4525.0220 Summary Proceedings

Subpart 1. Summary proceeding.

A summary proceeding is an action other than a complete formal investigation that is undertaken to resolve a matter, or a part of a matter, that is the subject of a complaint, an investigation, or an audit. A staff review under part 4525.0320 is one form of summary proceeding.

Subp. 2. Request by respondent.

At any time, a respondent may request that a matter or a part of a matter be resolved using a summary proceeding. The request must be in writing and must:

A. specify the issues the respondent is seeking to resolve through the summary proceeding;

B. explain why those issues are suitable for the summary proceeding; and

C. explain how the proposed summary proceeding would be undertaken.

Subp. 3. Consideration of request by board.

Upon receipt of a request for a summary proceeding, the executive director must submit the request to the board. If the matter was initiated by a complaint, the complaint has not been dismissed, and a probable cause determination has not been made, the executive director must send a copy of the request to the complainant no later than the time that the request is submitted to the board. Under any other circumstances a complainant must not be notified or provided a copy of the request. The request must be considered by the board at its next meeting that occurs at least ten days after the request was received. If the executive director sends a copy of the request to the complainant pursuant to this subpart, the complainant must be given an opportunity to be heard by the board.

The board is not required to agree to a request for a summary proceeding. If the board modifies the respondent's request for a summary proceeding, the board must obtain the respondent's agreement to the modifications before undertaking the summary proceeding.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 39 SR 757; 49 SR 979

Minn. R. 4525.0300 [Repealed, 11 SR 1611]

[Repealed, 11 SR 1611]

Minn. R. 4525.0320 Staff Review

Subpart 1. Staff review.

In a staff review, the executive director reviews information and works informally with a respondent to determine whether a violation has occurred and to determine how any identified violation should be resolved.

Subp. 2. Staff review required.

The executive director must initiate a staff review into a matter when directed to do so by the board.

Unless otherwise directed by the board, the executive director must also initiate a staff review when a preliminary inquiry into the information provided on a report filed with the board suggests that there has been a violation of chapters 4501 to 4525, Minnesota Statutes, chapter 10A, or another law placed under the board's jurisdiction pursuant to Minnesota Statutes, section 10A.022, subdivision 3.

Subp. 3. Resolution of matter under staff review by conciliation agreement.

Subject to board approval under Minnesota Statutes, section 10A.022, subdivision 3a, a respondent may agree to resolve a matter under staff review by entering into a conciliation agreement. The agreement must describe any actions that the respondent has agreed to take to remedy the violation or to prevent similar violations in the future. The agreement must also include the amount of any civil penalty that the respondent has agreed to pay and any other provisions to which the respondent has agreed.

History

• Statutory Authority: MS s 10A.02
• History: 39 SR 757; L 2015 c 73 s 26

Minn. R. 4525.0330 [Repealed, L 2018 c 119 s 34]

[Repealed, L 2018 c 119 s 34]

Minn. R. 4525.0340 Submission to Board; Board-Initiated Investigations and Matters Not Resolved by Conciliation Agreement

Subpart 1.

[Repealed, L 2018 c 119 s 34]

Subp. 2. Board action on submission.

When it receives a submission under Minnesota Statutes, section 10A.022, subdivision 3d, the board must take one of the following actions:

A. provide guidance and direct the executive director to begin or to continue a staff review;

B. dismiss the matter without prejudice;

C. order a formal investigation of the matter; or

D. issue findings, conclusions, and an order resolving the matter. The board must consider the evidence in the executive director's submission and the information and arguments in any statement submitted by the respondent. In making its determination, the board must consider the type of possible violation; the magnitude of the violation if it is a financial violation; the extent of knowledge or intent of the violator; the benefit of formal findings, conclusions, and orders compared to informal resolution of the matter; the availability of board resources; whether the violation has been remedied; and any other similar factor necessary to decide whether the matter under review warrants a formal investigation. Unless the board directs the executive director to continue an existing staff review, the board's determination must be made in writing. The executive director must promptly notify the respondent of the board's determination.

Subp. 3. Formal investigation ordered.

An order for a formal investigation must describe the alleged violations to be investigated, the scope of the investigation, and the discovery methods available for use by the board in the investigation.

When the board orders a formal investigation, the executive director must promptly notify the respondent that the board has ordered a formal investigation into the matter.

The notice to the respondent must:

A. include a copy of the order initiating the investigation;

B. explain how the investigation is expected to proceed and what discovery methods are expected to be used;

C. explain the respondent's rights at each stage of the investigation, including the right to provide a written response and the right to counsel; and

D. state that the respondent will be given an opportunity to be heard by the board prior to the board's determination as to whether any violation occurred.

History

• Statutory Authority: MS s 10A.02
• History: 39 SR 757; L 2018 c 119 s 34

Minn. R. 4525.0400 [Repealed, 11 SR 1611]

[Repealed, 11 SR 1611]

Minn. R. 4525.0500 Investigations and Audits; General Provisions

Subpart 1. No complaint.

The board may undertake investigations or audits with respect to statements and reports which are filed or should have been filed under Minnesota Statutes, chapter 10A, although no complaint has been filed. Any decision as to whether an investigation should be undertaken must be made at a closed meeting of the board.

Subp. 2.

[Repealed, 39 SR 757]

Subp. 2a. Penalties.

In exercising discretion as to the imposition of a civil penalty for violation of a statute within the board's jurisdiction, the board must consider the factors identified in Minnesota Statutes, section 14.045. The board also may consider additional factors such as whether a violator created and complied with appropriate internal controls or policies before the violation occurred, whether the violator could have avoided the violation, whether the violator voluntarily reported or corrected any violation, and whether the violator took measures to remedy or mitigate any violation or avoid future violations.

Subp. 3. Contested case hearing.

At any time during an investigation or audit, the board may hold a contested case hearing before making a finding on any investigation or audit.

Subp. 4.

[Repealed, 20 SR 2504]

Subp. 5. Board meetings.

Board meetings related to an investigation or audit must be conducted in accordance with part 4525.0200, subparts 4 and 5. At every board meeting, the executive director must report on the status of each active investigation and audit.

Subp. 6. Subpoenas.

The board may issue subpoenas when necessary to advance an investigation or audit. The board may not issue a subpoena for the production of documents or witness testimony until a respondent has had at least 14 days to respond to a written request for the documents or testimony. When deciding whether to issue a subpoena, the board must consider the level of staff resources in taking witness testimony and conducting discovery.

Subp. 7. Respondent submission.

In any investigation, audit, or staff review or other summary proceeding, the respondent may supply additional information not requested by the board, including sworn testimony. The executive director must provide the information submitted by the respondent to the board in advance of the meeting at which the board will consider the matter.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 11 SR 1611; 12 SR 1809; 20 SR 2504; 30 SR 903; 39 SR 757; 49 SR 979

Minn. R. 4525.0550 Formal Audits

Subpart 1. Formal audit.

The purpose of a formal audit is to ensure that all information included in the report or statement being audited is accurately reported. The fact that the board is conducting a formal audit does not imply that the subject of the audit has violated any law. When conducting an audit, the board may require testimony under oath, permit written statements to be given under oath, and issue subpoenas and cause them to be served. When conducting an audit the board may require the production of any records required to be retained under Minnesota Statutes, section 10A.025.

Subp. 2. Respondent's rights.

The executive director must send to each respondent a draft of any negative or adverse findings related to that respondent before the board considers adoption of the final audit report. The respondent has the right to respond in writing to the draft findings. The respondent must be given an opportunity to be heard by the board prior to the board's decision regarding the draft audit report.

Subp. 3. Final audit report.

At the conclusion of a formal audit, the board must issue a final audit report. The final report must identify the subject of the audit and must include the following:

A. the name of the primary board employee responsible for conducting the audit;

B. a description of the scope of the audit;

C. any findings resulting from the audit;

D. a description of any responses to the findings that the subject of the audit provides; and

E. a description of the manner in which any findings were resolved. The final audit report may not include any information related to audits that is classified as confidential under Minnesota Statutes, chapter 10A.

Subp. 4. Audits of affidavits of contributions.

The board may audit the affidavit of contributions filed by a candidate or the candidate's treasurer to determine whether the candidate is eligible to receive a public subsidy payment. The executive director must contact the principal campaign committee of a candidate and request the information necessary to audit any affidavit of contributions that was not filed by electronic filing system, if the committee has accepted contributions from individuals totaling less than twice the amount required to qualify for a public subsidy payment.

Subp. 5. Audits of other campaign finance filings.

The board may audit any campaign finance report or statement that is filed or required to be filed with the board under Minnesota Statutes, chapter 10A or 211B. The board may conduct a partial audit, including auditing a campaign finance report to determine whether a beginning or ending balance reconciles with the filer's financial records. In determining whether to undertake an audit, the board must consider the availability of board resources, the possible benefit to the public, and the magnitude of any reporting failures or violations that may be discovered as a result of the audit. The board may conduct audits in which respondents are selected on a randomized basis designed to capture a sample of respondents that meet certain criteria. The board may conduct audits in which all respondents meet certain criteria. When undertaking an audit with respondents selected on a randomized basis, the board must, to the extent possible, seek to prevent selecting respondents based on their political party affiliation, or if the respondents are candidates, based on their incumbency status.

History

• Statutory Authority: MS s 10A.01; 10A.02; 10A.022; 10A.025
• History: 39 SR 757; 49 SR 979

Minn. R. 4525.0600 [Repealed, 11 SR 1611]

[Repealed, 11 SR 1611]

Minn. R. 4525.0700 [Repealed, 11 SR 1611]

[Repealed, 11 SR 1611]

Minn. R. 4525.0800 [Repealed, 11 SR 1611]

[Repealed, 11 SR 1611]

Minn. R. 4525.0900 Initiating a Contested Case

Subpart 1. Initiation by application.

Any person requesting an exemption under Minnesota Statutes, section 10A.20, subdivisions 8 and 10, or any other person whose rights, privileges, and duties the board is authorized by law to determine after a hearing, may initiate a contested case by making application. Except in anonymous proceedings, an application shall contain: the name and address of the applicant; a statement of the nature of the determination requested including the statutory sections on which the applicant wishes a determination made and the reasons for the request; the names and addresses of all persons known to the applicant who will be directly affected by such determination; and the signature of the applicant.

Subp. 2. Initiation by board order.

Where authorized by law, the board may order a contested case commenced to determine the rights, duties, and privileges of specific parties.

History

• Statutory Authority: MS s 10A.02

Minn. R. 4525.1000 Initiating Anonymous Proceedings

Subpart 1. Authority.

Any person making application for an exemption from campaign reporting requirements under Minnesota Statutes, section 10A.20, subdivisions 8 and 10, may proceed anonymously if the board determines that identification of the person for the purpose of the hearing would result in exposure to economic reprisals, loss of employment, or threat of physical coercion.

Subp. 2. Application.

Any person wishing to proceed anonymously under this part shall make an application under part 4525.0900, subpart 1, which shall contain:

A. a name by which the person wishes to be known for the purposes of the proceeding;

B. the name and address of a person who is authorized to receive official notices or correspondence from the board or upon whom service of legal process may be made;

C. a statement of the facts which lead the applicant to believe that identification of the applicant for purposes of the hearing would result in exposure to economic reprisals, loss of employment, or threat of physical coercion;

D. the name and address of a person who will appear for the applicant during the proceedings if the applicant wishes to remain anonymous;

E. a statement of the facts which lead the applicant to believe that exposure to economic reprisal, loss of employment, or threat of physical coercion would result from the applicant's compliance with the reporting and disclosure requirements of Minnesota Statutes, section 10A.20; and

F. the signature of the applicant in the name by which the person wishes to be known during the proceedings or the signature of the person designated to appear for the applicant.

Subp. 3. Determination.

Upon receipt of an application for initiation of anonymous proceedings, the board may require the applicant or the person designated to appear for the applicant to appear before a closed meeting of the board with appropriate precautions taken to preserve the anonymity of the applicant from persons other than the board and its employees. The purpose of the appearance is to enable the board to decide whether an anonymous proceeding is required.

History

• Statutory Authority: MS s 10A.02
• History: 20 SR 2504