Neb. Admin. Code tit. 4 — Accountability and Disclosure Commission

Chapter 1 Rules of Practice and Procedure

Neb. Admin. Code tit. 4, ch. 1 Rules of Practice and Procedure {#sec-4-nac-1 omnilex-key=us-ne-regs-official--title-4--4 NAC 1}

(Adopted: November 5, 1977 and amended on December 20, 1978, June 22, 1984 and amended October 19, 1990.)

STATUTORY AUTHORITY

This rule is adopted pursuant to the provisions of sections 49-14,123(1), R.R.S., 1943 and 84-909(1), R.R.S., 1943.

1-(1) GENERAL

(a) SCOPE AND APPLICATION: This rule governs hearings before the Commission in connection with the adoption, amendment and repeal of rules pursuant to the provisions of section 84-907, R.R.S., 1943, a petition requesting the promulgation, amendment or repeal of any rule pursuant to the provisions of section 84-910, R.R.S., 1943, petition and issue of declaratory rulings pursuant to section 84-912, R.R.S., 1943, advisory opinions pursuant to the provisions of sections 49-14,123(10) and 49-14,100, R.R.S., 1943, contested cases pursuant to the provisions of section 84-913 to 84-915, R.R.S., 1943, and preliminary investigation and proceedings pursuant to the provisions of sections 49-14,124 and 49-14,125, R.R.S., 1943.

(b) DEFINITIONS: As used in this rule of practice and procedure, unless the context otherwise requires:

i. Commission shall mean the Nebraska Accountability and Disclosure Commission.

ii. Executive Director shall mean the executive director of the Nebraska Accountability and Disclosure Commission.

iii. Staff shall mean persons who appear in a proceeding by virtue of their employment by the Nebraska Accountability and Disclosure Commission.

iv. Office shall mean the office of the Commission which is located at: 11th Floor, State Capitol, P.O. Box 95086, Lincoln, Nebraska 68509. Office hours are from 8:00 A.M. to 5:00 P.M., Monday through Friday.

v. Filings: When the filing of a pleading or the doing of any act required on or before a given date which falls on a Saturday, Sunday, or any legal holiday on which the office is closed, the pleading or other act need not be filed nor done until the next succeeding working day that the office is open for the transaction of business. Filings before or with the Commission in connection with hearings may be made by mail but the time of such filings shall be upon receipt thereof in the office of the Commission as shown by the Commission's receipt stamp or a certified mail return receipt.

vi. Act shall mean sections 49-1401 to 49-14,138, R.R.S., 1943, as the same may be amended from time to time.

1-(2) ADOPTION, AMENDMENT AND REPEAL OF RULES

(a) PUBLIC HEARING: A public hearing for the adoption, amendment or repeal of a rule as defined in section 84-901(2), R.R.S., 1943, shall be called upon a vote of at least five members of the Commission at any regular or special meeting thereof and said resolution calling for such public hearing shall state the time and place of such public hearing and such other terms and conditions for the notice and holding thereof as may be determined.

(b) PUBLICATION AND NOTICE: Unless otherwise provided in said resolution, notice of such hearing shall be given at least 30 days prior thereto to the Secretary of State and by publication in a newspaper having a general circulation in the State. Such hearing shall be open to the public. Draft copies or working copies of the rule or regulation to be adopted, amended, or repealed shall be available to the public at the office of the Commission and the office of the Secretary of State at the time of giving notice. The contents of the notice shall comply with the requirements of §84-907. Copies of said rule, amendment, or matter to be repealed shall be mailed by ordinary United States mail upon request.

(c) HEARING PROCEDURE: The public hearing shall be at any regular or special meeting of the Commission and shall be conducted by a member of the Commission who shall open the hearing and direct that the proposed rule, amendment or matter to be repealed and the affidavit of publication of notice be made a part of the record and proceed to call for submission of data or views orally or in writing. The rules of evidence applicable in the district court shall not apply to such hearing except affect shall be given to the rules of privilege recognized by law and incompetent, irrelevant, immaterial and unduly repetitious evidence may be excluded. Those testifying shall be examined only by members of the Commission unless otherwise directed by the member of the Commission conducting the hearing.

Such hearing may be closed by the hearing officer or by resolution of the Commission. The Commission may provide by resolution for the receipt of written data or written opinions to be included in the record after the close of the hearing. Except as otherwise provided by resolution of the Commission, the record of the hearing shall consist of the resolutions of the Commission, the names of the persons who appeared on the matter, whom they represent, a brief statement as to their positions and the documentation received, including, but not limited to, the proposed rule, amendment or matter to be repealed, the affidavit of publication of notice, and data or views submitted in writing.

1-(3) PETITION FOR PROMULGATION, AMENDMENT OR REPEAL OF RULES .

(a) PETITION--FORM: A petition for the promulgation, amendment or repeal of any rule subject to the authority or jurisdiction of the Commission may be filed by any interested person. Such a petition shall: (1) show venue, to wit: "Before the Nebraska Accountability and Disclosure Commission"; (2) specify the name and address of the petitioner; (3) state the subject matter; (4) contain a statement averring the legal capacity of the petitioner to instigate the proceedings; (5) state the precise wording of the proposed rule or amendment, or the proposed rule to be repealed; (6) without repetition, state the reasons for such promulgation, amendment, or repeal; and (7) be signed by the petitioner or a duly authorized agent and state the address of the person signing the same.

(b) SUBMISSION: Each petition for the promulgation, amendment or repeal of rules must be accompanied by the original and nine copies which shall be filed with the Commission.

(c) CONSIDERATION: At the time and place set for hearing the Commission shall then and there afford the petitioner and any intervenor a reasonable time to discuss the petition. Failure of any petitioner to appear at the time and place set for hearing, unless otherwise permitted by the Commission on good cause shown, will be deemed sufficient grounds for the Commission to dismiss the petition. At such hearing the petitioner and then the intervenors and the staff may present views orally or in writing.

(d) DISPOSITION: The matter shall be disposed of by resolution of the Commission calling for a public hearing pursuant to the provisions of Subdivision 1-(2)(a) hereof or denying the petition in whole or in part. In either event the parties to the hearing including intervenors shall be notified of the action of the Commission in person or by ordinary United States mail.

(e) SUBSEQUENT PETITIONS: When any petition for the promulgation, amendment or repeal of any rule has been denied in whole or in part, a subsequent petition covering substantially the same subject matter will not be considered by the Commission for one year after the denial except for good cause shown.

1-(4) DECLARATORY RULINGS

(a) PETITION--FORM: A petition for a declaratory ruling may be filed by any interested person with respect to the applicability to any person, property, or state of facts of any rule or statute enforceable by the Commission. The petition shall: (1) show the venue, to wit: "Before the Nebraska Accountability and Disclosure Commission"; (2) contain a heading specifying the subject matter, the name and address of the petitioner and, if any, the names and addresses of all other parties whom the petitioner alleges to have or claim an interest which would be affected by the disposition of the petition by the Commission; (3) contain a statement of the grounds upon which the Commission's authority or jurisdiction depends; (4) contain a specific statement averring the legal capacity of the petitioner to instigate the proceedings; (5) set forth all material facts upon which the declaratory ruling is requested and a demand for the relief to which the petitioner supposes himself entitled; and (6) be signed by the petitioner or by his or her attorney in which case the attorney shall also state his or her address.

(b) PROCEDURE AND EVIDENCE: Except as otherwise provided in this Section, matters of procedure and evidence pertaining to a proceeding for a declaratory ruling shall be governed by §1-(6).

(c) WHEN REFUSED: The Commission is not bound to issue a declaratory ruling and may refuse to issue a declaratory ruling where such ruling, if issued, would not terminate the uncertainty or controversy giving rise to the proceeding or where the petitioner seeks a declaratory ruling applicable to a class.

(d) DISPOSITION: Parties or their attorneys of record to a declaratory ruling proceeding shall be notified of the decision and order of the Commission, if issued, by certified mail, return receipt requested.

1-(5) ADVISORY OPINIONS :

(a) REQUEST-FORM-PROCEDURE: Request for official advisory opinions pursuant to the provisions of section 49-14,100 or section 49-14,123(10) shall be in writing and shall state the name and address of the person or governing body making the request, how that person or governing body is directly covered or affected by the Act, the question upon which the Commission is to render such opinion, the facts giving rise to such question, and the nature of the opinion sought, including authorities relied upon for such conclusion. The staff may respond to such request by issuing a recommended advisory opinion and notifying the person seeking the same by ordinary United States mail as to when and where the person or governing body requesting the opinion may be heard by the Commission. The Commission by majority vote of at least five members may adopt the same as an official advisory opinion or by resolution provide otherwise, and notice by ordinary United States mail shall be given to such person or governing body of the action of the Commission. The Commission may continue the matter to a fixed time and place and from time to time.

(b) GRIEVANCE WITH ADVISORY OPINION: Any person or governing body aggrieved by an official advisory opinion issued by the Commission may file a petition for declaratory ruling pursuant to the provisions of 1-(4).

(c) CONFLICTS OF INTEREST: Advisory opinions with respect to conflicts of interest sought pursuant to section 49-14,100 shall be governed by the same rules and procedures as are provided for advisory opinions pursuant to section 49-14,123(10), except that a person seeking such an advisory opinion must also set forth in his or her request the nature of the doubt as to the propriety of the action he proposes to take. In addition the Commission may treat the filing of a Potential Conflict of Interest Statement on the form prescribed by the Commission as a request for an advisory opinion as to the steps the Commission shall prescribe or advise pursuant to section 49-1499(2) for an individual with no immediate superior to take to remove himself or herself from influence over actions and decisions on a matter requiring action and giving rise to a potential conflict on interest.

(d) NON-ISSUANCE: The Commission and staff are not bound to respond to a request or to issue an advisory opinion but refusal or failure to issue an advisory opinion shall in no way prejudice proceedings by the party requesting the same pursuant to the other provisions of this rule.

1-(6) CONTESTED CASES

(a) PROCEDURE

i. INITIATION AND NOTICE OF HEARING: Any person aggrieved by a decision or action of the Commission, except the issuance of an advisory opinion by the Commission, may file a written request for hearing with the Commission. Hearings initiated by the Commission or upon such written request shall be ordered upon a vote of at least five members at any regular or special meeting of the Commission. Reasonable written notice of such hearing shall be given to all parties by certified mail, return receipt requested showing to whom and where delivered and the date of delivery. The notice shall state the time and place of the hearing. In the case of a request for hearing, it shall be accompanied by a copy of the written request for hearing. In the case of a hearing initiated by the Commission, it shall state the issues to be heard. In the case of the mailing of a notice to a corporation or an entity other than an individual, the notice shall be sent to the registered office, the usual place of business, or to an officer of the corporation or entity. In the case of notice to a political committee, the notice may be sent to its candidate, chairman or treasurer. Notices thereafter, if a party is represented by an attorney of record, need be given only to the attorney of record for any party.

ii. PLEADINGS: The written request for hearing or the notice of hearing shall set forth the following:

(a) The venue of the matter, to wit: "Before the Nebraska Accountability and Disclosure Commission";

(b) A heading specifying the subject matter;

(c) The name and address of the Commission or the person requesting such hearing and, if any, the names and addresses or all other parties alleged to have a legal right, duty or privilege to be determined in said hearing;

(d) A statement of the grounds upon which the Commission's authority or jurisdiction depends;

(e) A statement averring the legal capacity of the party instigating the proceedings;

(f) The facts constituting a cause of action; and

(g) a prayer or statement of the action to be taken or relief requested.

In the case of a written request for hearing the same shall be signed by the party requesting the same or by his or her attorney in which case the attorney shall also state his or her name, address and telephone number. The request for hearing shall be accompanied by copies in sufficient number for service on each other person or entity alleged to be a party. The notice of hearing and a copy of the request for hearing shall be served by the Commission in the manner set forth in subparagraph i hereof on the party requesting the hearing and on each other person or entity alleged in the request for hearing to be a party. Any parties to the hearing after notice pursuant to subparagraph i may file responsive pleadings by way of an answer which may include the raising of issues customarily raised by special appearance, demurrer or other motion in district court. A party filing a responsive pleading shall serve an original upon the Commission and a copy upon each other party to the proceedings by certified mail, return receipt requested, at least three days prior to the date of the hearing, except for good cause shown.

iii. CONTINUANCES: Any party desiring a continuance shall, immediately upon receipt of the notice of hearing, or any other notice in the proceedings, or as soon thereafter as the facts necessitating such continuance come to his or her knowledge, notify the Executive Director in writing of said desire and stating in said notification the reasons for such continuance and may support a motion for continuance by affidavits. The Executive Director or Hearing Officer may grant a continuance for good cause shown and may at any time order a continuance on his or her own motion or upon resolution of the Commission. Copies of a request for a continuance and all supporting documents shall be served by the requesting party on all other parties of record.

iv. WITNESS FEE: Any witness who is subpoenaed and who appears is entitled to the same fee as is paid to subpoenaed witnesses in the district court.

v. SUBPOENAS: A subpoena requiring the attendance of a witness shall be issued by the executive director on written application of any party, or upon the executive director's own motion or upon resolution of the Commission. Subpoenas for the production of accounts, books, documents, or papers upon written application by a party must state which accounts, books, documents, or papers are required. All person directed to produce accounts, books, documents, or papers shall furnish and deliver the same at the time and place specified in the subpoena. A subpoena issued pursuant to this rule shall be served in the manner provided by law or upon any party by certified mail, return receipt requested.

vi HEARING OFFICER: The person conducting a hearing pursuant to paragraph xi is hereby designated a hearing officer. The hearing officer shall be the executive director, a person which the executive director is hereby authorized to designate or employ or a person appointed by the Commission.

The commission may by resolution make other provisions for the conduct of such hearing, including but not limited to, providing for the matter to be heard before a hearing officer who shall be delegated the authority and authorized to administer oaths, hear the testimony, rule on motions, objections and evidence, and recommend findings of fact and conclusions of law which shall be submitted to the Commission along with a transcript of the proceedings, evidence and exhibits for its deliberation, findings of fact, conclusions of law and order.

The hearing officer may be present during the deliberations of the commission but only to advise the commission on questions of law and procedure. The hearing officer shall not participate in the deliberations on the evidence or vote unless he or she is a member of the commission.

The authority of the executive director pursuant to section 1-(6) of this rule may be exercised by the chairperson in the absence of the executive director and the vice chairperson in the absence of the chairperson.

However, once a hearing officer has been designated or employed pursuant hereto such authority shall be exercised only by the hearing officer.

vii. BRIEFS: Submission of briefs may be required by the hearing officer or the Commission. If required, the time in which briefs shall be filed and the number of copies to be filed shall be fixed by the hearing officer at the close of the hearing.

viii. ORAL ARGUMENT: Oral argument may be permitted at the close of a hearing at the discretion of the hearing officer or the Commission.

ix. OFFICIAL RECORD--COST: Charges for preparing an official record for the purpose of rehearing or judicial review, including the transcribing of testimony shall be paid by the party requesting the same. The record of testimony shall be made by an official court reporter in all contested cases in which the evidentiary rules of the district court are invoked pursuant to the provisions of section 84-914(1), R.R.S., 1943. The hearing officer or the Commission may cause a transcript of the record, or any part thereof, to be made.

x. CONTINUANCE OF DELIBERATIONS: The Commission after commencing deliberations on the evidence after the close of such hearing may by a vote of at least five members continue such deliberations to a fixed time and place and from time to time.

xi. CONDUCT OF HEARING: The hearing will be conducted by the hearing officer, who, among other matters, will open the proceedings, enter into the record the notice of hearing and evidence of service thereof, and take appearances. He or she shall rule on matters relating to the pleadings and upon motions and objections relating to procedure and evidence, and shall close the proceedings. Any ruling of a hearing officer which would amount to a dismissal of the case must have the concurrence of at least five members of the Commission. The hearing officer as well as members of the Commission may interrogate witnesses. Except for good cause shown, in any proceeding initiated by the Commission the evidence shall be presented first by the staff, then by other parties, and then rebuttal, if any, by the staff. Except for good cause shown, in any proceeding initiated by any party other than the Commission, evidence shall be presented first by the initiating party, then by other parties and staff in that order, and then rebuttal, if any, by the initiating party. Every party shall have the right to cross-examine all witnesses who testify.

xii. REHEARING: Within 10 days from the issuance of notice of a decision and order, any decision and order adverse to a party to the proceedings rendered by the Commission in a contested case may be the subject of a motion for rehearing before the Commission. If upon a vote of at least five members, the Commission orders a rehearing, notice by certified mail, return receipt requested, shall be given to all parties. A motion for rehearing and a ruling thereon is not required prior to an appeal of the decision and order of the Commission or other judicial review thereof. Said motion for rehearing shall set forth the grounds for the same but the party requesting the same and the other parties to the proceedings shall not be heard thereon unless otherwise ordered by resolution of the Commission. The party filing a motion for rehearing shall send copies thereof to the other parties to the proceedings, who may file objections thereto. Neither the filing of, nor the granting of, a motion for rehearing shall toll the period within which a party must perfect his or her appeal to the District Court pursuant to the provisions of §84-917 through § 84-919 of the Administrative Procedures Act.

xiii. INFORMAL DISPOSITION: Informal disposition may be made of any contested case by stipulation, agreed settlement, consent order or default.

xiv. APPEAL: Judicial review of any decision by the Commission in a contested case or declaratory ruling shall be governed by the provisions of sections 49-14,131, R.R.S., 1943, and 84-917 to 84-919, R.S.Supp., 1990.

(b) EVIDENCE:

i. GENERAL: Evidence which is admissible in civil actions under the revised statutes of Nebraska is admissible in a hearing in a contested case before the Commission. While the Commission is not bound to follow the rules of evidence, except as provided in Section 84-914(1), the hearing officer may admit and the Commission may give probative effect to evidence which possesses probative value commonly accepted by reasonably prudent persons in the conduct of their affairs. Effect shall be given to the rules of privilege recognized by law. Incompetent, irrelevant, immaterial, and unduly repetitious evidence may be excluded.

ii. EXHIBITS: All exhibits received into evidence shall remain a part of the record of the contested case. In the event that any exhibits are to be withdrawn, duplicate copies must be available to be substituted at the time of the hearing, unless otherwise ordered by the hearing officer. Parties shall furnish accurate copies of all documentary evidence offered at the hearing to all members of the Commission and to all parties to the proceeding.

iii. FILING AND SERVING OF EXHIBITS PRIOR TO HEARING: In any proceeding where detailed or complicated exhibits are to be use, the hearing officer may require any party to file and serve copies of such exhibits or other necessary information within a specified time in advance of the hearing in order to enable the other parties and the Commission to study the same and prepare cross-examination with reference thereto.

iv. JUDICIAL OR OFFICIAL NOTICE: The Commission may take notice of judicially or officially cognizable fact in any proceeding and in addition may take notice of general, technical, or scientific facts within its specialized knowledge. Parties to a proceeding shall be notified either before or during the hearing, or by reference in preliminary reports or otherwise, of the facts so noticed and shall be afforded an opportunity to contest such facts.

v. EVALUATION OF EVIDENCE: The Commission may utilize its experience, technical competence, and specialized knowledge in the evaluation of evidence presented to it. In all matters subject to sanctions pursuant to section 49-14,126, there shall be no finding of violation except upon a preponderance of the evidence. However, there shall be no finding of violation pursuant to section 49-1491 of the Nebraska Political Accountability and Disclosure Act except upon clear and convincing evidence.

vi. DISCOVERY:

A. Depositions: The use of depositions in proceedings before the Commission is governed by the revised statutes of Nebraska and rules of the Nebraska Supreme Court except a deposition will be taken only upon the order of the executive director. This order may issue on the executive directors's own initiative or for good cause shown by any party to a proceeding. Applications requesting that a deposition be taken shall be filed with the Commission with due regard to the time provisions of subparagraph i hereof and shall clearly set forth the name and address of the witness, the time and place, the official before whom it is to be taken, and the reason for taking such deposition. The order of the executive director that a deposition be taken shall specify the witness whose deposition is to be taken, shall state the time, the place, and the official before whom taken, and shall be served upon all parties of record as provided by law or by certified mail, return receipt requested.

B. Written Interrogatories: Parties served with the order for the taking of a deposition may promptly submit written interrogatories to the person before whom said deposition is to be taken who shall propound such questions to the witness and record his or her answers verbatim. Such interrogatories need not be served upon the party at whose instance the deposition is taken. No other interrogatories shall be used.

C. Filing: The officer taking the deposition shall promptly seal the deposition along with all exhibits in an envelope endorsed with the title of the proceeding, and send the same by certified mail, return receipt requested, to the Commission. The deposition shall be filed with the Commission, except for good cause shown, at least five calendar days prior to the date of the hearing at which it is to be offered as evidence. The party taking the deposition shall cause prompt notice of its filing to be given to all parties to the proceeding.

1-(7) PRELIMINARY INVESTIGATION AND HEARING PURSUANT TO SECTIONS 49-14,124 and 49-14,125 .

(a) NOTICES: All notices required pursuant to these sections shall be given by certified mail, return receipt requested.

(b) PRELIMINARY INVESTIGATION--CONFIDENTIALITY: Except to the extent necessary to effect the investigation, and to the extent necessary in giving the notices required by section 49-14,124, no information as to the proceedings and records relating to a preliminary investigation until a final determination is made by the Commission shall be disclosed. Upon written request from the person alleged to be in violation of the law the proceedings shall be made public.

(c) COMMENCEMENT AND TERMINATION OF INVESTIGATIONS:

Investigations pursuant to the provisions of Section 49-14,124 shall be commenced at the direction of the Executive Director only (1) upon the filing of a complaint signed under oath stating a cause of action subject to the jurisdiction of the Commission, (2) upon the recommendation of the Executive Director evidenced in a notice of preliminary investigation issued pursuant to Section 49-14,124, or (3) upon a resolution of the Commission adopted upon a vote of at least five of the members taken in closed session at any regular or special meeting.

If the Commission upon a vote of at least five of the members makes a finding that the preliminary investigation fails to indicate probable cause for belief that the Nebraska Political Accountability and Disclosure Act has been violated, the investigation shall terminate. Such action shall constitute the exhaustion of administrative remedies provided by the Act pursuant to the provisions of Section 49-14,127.

If upon a majority vote of at least five of the members present and voting, the Commission finds that there is probable cause for belief that the Nebraska Political Accountability and Disclosure Act has been violated, hearing shall be initiated and conducted pursuant and subject to the provisions of Commission Rule 1-(6) and 1-(7)(d) and Section 49-14, 125 (2).

(d) HEARING PURSUANT TO SECTION 49-14,125: The hearing shall be conducted in closed session and the hearing officer may sequester all witnesses to be heard in said hearing and shall exclude from the hearing all other persons who are not members of the Commission, staff or necessary to the proceedings including the complainant except the party or parties complained against and their attorneys of record.

(e) CONTINUING CONFIDENTIALITY: The confidentiality required in this rule as to Section 49-14,124 shall be maintained and continued until the Commission issues its determination that a violation has taken place or until the alleged violator requests in writing that the records and actions be made public.

(f) PROCEDURE AND EVIDENCE: The provisions of this rule pertaining to procedure and evidence in contested cases, except as restricted by the confidentiality provisions of this rule and Sections 49-14,124 and 49-14,125, shall apply.

(g) DECISION: The decision of the Commission making findings of fact and conclusions of law shall be upon a vote of at least five of the members and any sanction imposed pursuant to Section 49-14,126 shall be upon a vote of at least five of the members. A copy of said decision shall be sent to all of the parties to the proceedings conducted pursuant to Section 49-14,125 (2) or their attorneys of record and to any person who filed a complaint under oath.

History

• Effective 1990-12-22

Chapter 2 Designation of Individuals Required to File Statements of Financial Interests

Neb. Admin. Code tit. 4, ch. 2 Designation of Individuals Required to File Statements of Financial Interests {#sec-4-nac-2 omnilex-key=us-ne-regs-official--title-4--4 NAC 2}

STATUTORY AUTHORITY

This rule is adopted pursuant to the provisions of sections 49-14,123(1) and 49-1493, Revised Statutes of Nebraska.

001 SCOPE AND APPLICATION : Section 49-1493(1) through (6) and (9) through (12) designates the public officials and employees required to file Statements of Financial Interests with the Commission. This rule designates the public officials and public employees required to file pursuant to subdivisions (7), (8) and (13) of section 49-1493. See sections 49-1493 to 49-1495, Revised Statutes of Nebraska, as to when Statements of Financial Interests must be filed. See sections 49-1496 to 49-1497 and NADC Form C-1 for the form and contents of such Statements of Financial Interests.

002 DESIGNATION : Under subdivisions (7), (8) and (13) of section 49-1493, Statements of Financial Interests are required to be filed by individuals holding or appointed to the following offices or positions:

002.01 Pursuant to section 49-1493(7), a member of any board or commission of the state or any county which examines or licenses a business or which determines rates for or otherwise regulates a business, including: Nebraska Brand Committee, Motor Vehicle Licensing board, Oil and Gas Conservation Commission, Nebraska State Racing Commission.

002.02 Pursuant to section 49-1493(8), a member of a land-use planning commission, zoning commission, or authority of the state or any county with a population of more than one hundred thousand inhabitants, including: county planning commissions and city-county (joint) planning commissions with a population of more than one hundred thousand inhabitants, Natural Resources Commission, Environmental Quality Council, county boards of adjustment in counties with a population of more than one hundred thousand inhabitants.

002.03 Pursuant to section 49-1493(13), the officials or employees of the state holding the positions hereafter designated:

1. Abstracters Board of Examiners: Executive Director.

2. Accountability and Disclosure Commission: Commission members, executive director, deputy director, general counsel, auditors.

3. Administrative Services: deputy director, controller, E1 administrator, division administrators and directors, personnel director. Materiel Division: print shop manager, central mail/supply services manager, state recycling coordinator, procurement manager, buyers, state surplus property manager, procurement supervisors, state contract manager. Personnel Division: personnel deputy director, personnel administrator classification and compensation, personnel administrator recruitment, personnel administrator organizational development, chief negotiator division of employee relations, personnel administrator employee benefits, personnel administrator, NIS Capitol Administrator, Risk Manager/Risk Management Division, Task Force for Building Renewal Architects and Consultants, chief information officer, CIO IT administrators, Building Division: Architects & Engineers.

4. Agriculture: assistant director, state veterinarian, deputy state veterinarian, administrative manager, legal counsel, budget and fiscal officer.

5. Nebraska Arts Council: members, executive director, deputy director.

6. Athletic Commission: commissioner.

7. Auditor of Public Accounts: deputy auditor, assistant deputy auditors, audit managers, Finance Manager, Legal Counsel.

8. Banking and Finance: deputy director financial institutions, deputy director-securities, general counsel, chief information technology officer, business manager.

9. Board of Barber Examiners: director.

10. Nebraska Brand Committee: executive director/chief inspector.

11. Collection Agency Licensing Board: members

12. Colleges--Board of Trustees: members of the board of trustees, chancellor, vice chancellor for finance and administration, general counsel and vice chancellor for employee relations, state college presidents, vice-presidents for administration and finance, vice-presidents for academic affairs, vice chancellor for academic planning and partnerships, Associate Vice President of Administration and Finance-Wayne State College, Executive Director of Budget and Planning-Peru State College, Comptrollers, Budget director-Chadron State College and Wayne State College, Accountant-Chadron State College, Director of Accounting- Peru State College and Wayne State College, Director of Business Services-Peru State College, Director of Student Accounts-Wayne State College, Vice Chancellor for Student Affairs and Risk Management, Vice Chancellor for Facilities & Information Technology.

13. Corn Development, Utilization, and Marketing Board: administrator, board members.

14. Correctional Services: deputy directors, wardens, facility engineering manager, agency legal counsel, corrections materiel administrator, agency controller, agency medical director, administrator adult parole, manager federal surplus property, accounting and finance manager, federal aid administrator II, assistant materiel administrator, assistant administrator cornhusker state industries, personnel administrator II, pharmacy manager, chief of operations, chief of staff.

15. Commission on Law Enforcement and Criminal Justice: commission members, executive director, federal aid administrator, division directors, center directors, members Jail Standards Board.

16. Dry Bean Commission: commission members, executive director.

17. Economic Development: deputy director.

18. Education: deputy commissioners.

19. Educational Lands and Funds: board members, executive secretary, members of the Board of Appraisers.

20. Educational Telecommunications Commission: secretary/general manager.

21. Electrical Board: members, executive director.

22. Engineers and Architects--Board of: executive director.

23. Nebraska Department of Environment and Energy: Environmental Quality Council members, deputy director, division administrators, budget officer III, agency legal counsel, government relations manager.

24. Nebraska Environmental Trust Board: executive director.

25. Nebraska Ethanol Board: administrator.

26. Equal Opportunity Commission: commission members, executive director.

27. Fire Marshal: chief deputy state fire marshals, assistant state fire marshal, UST manager, business manager, legal counsel, plans examiner, state elevator inspector, chief boiler inspector.

28. Game and Parks Commission: commission members, director, assistant directors, division chiefs, manager facilities engineering, administrative assistant III-budget and fiscal division, federal aid administrator III.

29. Geologist Board: board members

30. Governor's Office: chief of staff.

31. Grain Sorghum Development Utilization, and Marketing Board: board members, executive director.

32. Health and Human Services: Director Division of Behavioral Health, Director Division of Children & Family Services, Director Division of Developmental Disabilities, Director Division of Medicaid & Long Term Care, Director Division of Public Health, Chief Medical Officer, State Board of Health Members, Rural Health Advisory Members, Licensure Administrator, Environmental Health Administrator, Chief Operating Officer, Administrator Communications & Legislative Services, Administrator Financial Services, Administrator Human Resources, Administrator Information Systems & Technology, Administrator Legal Services, Service Area Administrators, Administrator of Each Regional Center, Administrator of Each Youth Rehabilitation & Treatment Center, Administrator office of Juvenile Services, Administrator Beatrice State Developmental Center, Administrator Unit of Aging, Deputy Director Behavioral Health Services, Deputy Director System integration, DHHS Facilities Director, Deputy Director Economic Assistance, Deputy Director Protection and Safety, Deputy Director Child and Family Services, Deputy Director Community Based Services, Deputy Director Policy & Quality, Deputy Director Population Health, Deputy Director Experience Management & Provider Relations, Deputy Director Policy & Regulations, Deputy Director Business & Analytics, Deputy Director Finance & Program Integrity, Deputy Director Health Licensure & Environmental Health, Deputy Director Health Data, Deputy Director Community Health Section, Administrator Central Operations & Materiel Services, Administrator Central Procurement Services, Administrator Contract Administration.

33.Commission on the Deaf and Hard of Hearing: commission members, executive director.

34. Nebraska Historical Society: director, associate directors.

35. Commission on Indian Affairs: executive director.

36. Insurance Department: deputy director, chief financial examiner, chief of market regulation, general counsel.

37. Investment Council: council members, state investment officer, deputy investment officer.

38. Labor Department: deputy commissioner, division directors.

39. Board of Examiners for Land Surveyors: secretary to the board.

40. State Board of Landscape Architects: board members.

41. Latino American Commission: executive director.

42. Library Commission: commission members, director.

43. Liquor Control Commission: commission members, executive director.

44. Military Department--Office of the Adjutant General: adjutant general/NE Emergency Management director, deputy adjutant general, assistant director/NE Emergency Management, controller.

45. Motor Vehicles: deputy director, Controller, motor carrier services administrator, driver & vehicle records administrator, legal counsel, driver licensing examining administrator, information systems manager, and audit supervisor.

46. Motor Vehicle Licensing board: board members, executive director.

47. Department of Natural Resources: assistant directors, natural resources division manager, legal counsel, Natural Resources Commission members.

48. Nebraska Dairy Industry Development Board: members.

49. Oil and Gas Conservation Commission: commission members, director, deputy director, business manager, staff petroleum engineer/UIC director, oil and gas inspectors, information systems infrastructure support technician.

50. State Ombudsman: public counsel, deputy public counsel, deputy public counsel for corrections, deputy public counsel for welfare services, deputy public counsel for institutions.

51. Parole Board/Division of Parole Supervision: director of parole supervision.

52. Nebraska State Patrol: assistant superintendent, administrative services major, material control manager, carrier enforcement commander, liquor enforcement commander, administrative services captain, professional standards captain, carrier enforcement mcsap lieutenant, attorney III, budget and fiscal officer III, federal aid administrator III, hazardous devices coordinator, agency legal counsel I.

53. Policy Research Office: director.

54. Coordinating Commission for Postsecondary Education: commission members, director.

55. Power Review Board: board members, executive director/general counsel.

56. State Probation: state probation administrator.

57. Board of Public Accountancy: executive director.

58. Public Advocacy Commission: chief counsel.

59. Public Service Commission: commissioners, executive director.

60. Nebraska State Racing Commission: commission members, executive secretary, state steward, racing commission investigators, director of investigations and security.

61. Real Estate Commission: director.

62. Real Property Appraisers Board: executive director.

63. Public Employees Retirement Systems: board members, director.

64. Revenue Department: operations and administrative services division director, lottery and charitable gaming division director, property tax administrator, compliance division director, deputy tax commissioner, audit managers, auditor IV, legal manager, policy manager, revenue special services manager, revenue collections manager, lottery division attorney III.

65. Secretary of State: chief deputy secretary of state, deputy secretary of state for elections, deputy secretary of state for business services, records management division manager, controller, executive director of the state records board.

66. State Surveyor: state surveyor, deputy state surveyor.

67. Tax Equalization and Review Commission: members.

68. Nebraska Tourism Commission: executive director, deputy director/grant administrator.

69. Department of Transportation: members of the State Highway Commission, deputy directors, district engineers, division heads, district operations maintenance manager, procurement manager, buyers.

70. State Treasurer: deputy state treasurer.

71. University of Nebraska: president, executive vice president and provost, vice president and general counsel, vice president for business and finance, director of risk management, associate vice president and director of internal audit, associate vice president for facilities management. University of Nebraska-Lincoln: chancellor, vice chancellor for business and finance, vice chancellor for research and economic development, executive vice chancellor for academic affairs, vice president and vice chancellor for Agriculture and Natural Resources, director of intercollegiate athletics, associate vice chancellor for technology transfer, associate vice chancellor and controller, director procurement services and strategic sourcing, assistant vice chancellor facilities maintenance and operations, vice chancellor for student affairs, director of facilities management and planning, director of the food processing center. University of Nebraska Medical Center: chancellor, vice chancellor for business finance and business development, assistant vice chancellor for business and finance, senior vice chancellor for academic affairs, director procurement and materials management, associate vice chancellor and director campus facilities, vice chancellor for research. University of Nebraska at Omaha: chancellor, vice chancellor for business finance and business development, assistant vice chancellor for business and finance, vice chancellor for athletic leadership and management, vice chancellor for student success, senior vice chancellor for academic and student affairs, director of facilities management and planning. University of Nebraska-Kearney: chancellor, senior vice chancellor for academic affairs, vice chancellor for business and finance, associate vice chancellor for business and finance, director of business services, director of intercollegiate athletics, director of human resources procurement and payment services.

72. Veterans Affairs: deputy director, finance director, operations director, agency legal counsel, facility administrator-Eastern Nebraska Veterans’ Home, Facility Administrator-Central Nebraska Veterans’ Home, Facility Administrator-Norfolk Veterans’ Home, Facility Administrator-Western Nebraska Veterans’ Home, Facilities Manager.

73. Nebraska Wheat Development, Utilization, and Marketing Board: executive director, board members.

History

• Effective 2020-04-25

Chapter 4 Rules and Regulations for Dissolution of Committees

Neb. Admin. Code tit. 4, ch. 4 Rules and Regulations for Dissolution of Committees {#sec-4-nac-4 omnilex-key=us-ne-regs-official--title-4--4 NAC 4}

(Adopted 7/20/84 and Amended 11/4/88 and 7/08/94)

001. STATUTORY AUTHORITY . This rule is adopted pursuant to the provisions of sections 49-1453, 49-14,123(1) and 49-14,123(2), of the Nebraska Statutes.

002. SCOPE AND APPLICATION . This rule provides for the dissolution of candidate and other committees as authorized by section 49-1453 of the Nebraska Political Accountability and Disclosure Act.

003. ALL COMMITTEES .

.01 A committee may terminate only upon filing a statement of dissolution on the appropriate Nebraska Accountability and Disclosure form or upon filing a written statement containing the same information with the filing officials with whom the committee's statement of organization was filed. Only a committee which will no longer receive any contributions or make any expenditures may dissolve, provided that such committee has no outstanding debts and obligations.

.02 In addition to the statement of dissolution, the committee shall also file a final Campaign Statement covering the period from the closing date of the last Campaign Statement filed through the date of dissolution. If the committee has never filed a Campaign Statement, the period covered shall begin with the date money was first raised, received or expended. Such Campaign Statement shall disclose the disposition of unexpended funds and any physical assets of the committee.

.03 No unexpended funds shall be transferred contrary to the provisions of section 49-1446.02 or to any person except a candidate committee, a political party committee, a tax exempt charitable institution, the Campaign Finance Limitation Act Cash Fund, the State of Nebraska or any agency thereof or a fund of any political subdivision of the State subject to the Nebraska Budget Act, or any or all of the contributors thereof, provided that no contributor shall receive more than he or she contributed.

.04 Any physical asset of a dissolving committee must be: a) sold at a reasonable price with the proceeds being transferred as set forth in Section 003.03; b) donated to a candidate or political party committee; or c) donated to a tax exempt charitable institution. In the case of a candidate committee, the physical asset(s) of the committee may be retained by the candidate if the candidate's contributions to the committee exceed the reasonable value of the asset(s) retained. The physical assets of the committee may otherwise be purchased by the candidate. If the candidate purchases or otherwise retains a physical asset of his or her committee, he or she shall provide to the Commission on request, documentation as to the reasonable value of the physical asset and the amount of the candidate's contributions to the committee.

004. CANDIDATE COMMITTEES . A candidate committee may be dissolved in the same manner as provided in section 003, except that a candidate committee of a person who is an incumbent, eligible for re-election to the same office, may not dissolve unless its statement of dissolution contains an additional verified declaration of such person that he or she has not filed and will not file for re-election to the same office or has withdrawn such filing.

.01 A candidate committee of an officeholder eligible for reelection to the same office may be dissolved if the officeholder is seeking election to a different office and has established a separate candidate committee for that purpose. The committee shall be dissolved in the same manner as provided in section 003.

.02 An officeholder who is eligible for reelection may dissolve his or her candidate committee upon a showing that all of the following factors apply:

.002A The committee has no cash balance;

.002B The committee has no outstanding debts;

.002C The committee showed no activity on its last annual Campaign Statement;

.002D The candidate and treasurer agree to accept no contributions and make no expenditures until the calendar year in which the candidate next seeks reelection.

.03 An officeholder holding the office of Governor, Lieutenant Governor, Auditor of Public Accounts, Attorney General, State Treasurer, Secretary of State, member of the Legislature, member of the Public Service Commission, member of the Board of Regents of the University of Nebraska, or member of the State Board of Education is not eligible to dissolve his or her committee pursuant to this section.

005. ADMINISTRATIVE DISSOLUTION .

.01 The Commission, on its own initiative, or upon the request of the committee itself, may commence an administrative dissolution process against a political committee if it finds any one of the following:

.01A The committee's Campaign Statement for the last reporting period for which a statement was filed discloses that neither contributions nor expenditures exceeded $2,000;

.01B The committee's last Campaign Statement disclosed no receipt of contributions for the last reporting period;

.01C The committee's last Campaign Statement disclosed minimal expenditures;

.01D The committee's primary purpose for filing Campaign Statements has been to disclose outstanding debts and obligations;

.01E The committee has not filed a Campaign Statement for the last reporting period;

.01F The committee's last Campaign Statement disclosed that the committee does not have substantial outstanding accounts receivable;

.01G The committee's outstanding debts and obligations exceed the total of its cash on hand;

.01H The committee has never raised, received, no expended more than $2,000 in any calendar year period as provided in §49-1413 or as such section may be amended from time to time by the Legislature.

.02 The Commission may commence an administrative dissolution process against a candidate committee if the candidate is deceased. In such a case the Commission is not bound by the factors set forth in sections 005.01 and 005.03.

.03 The Commission shall send a notification by certified mail, return receipt requested, to the committee treasurer, or in the case of a candidate committee, to its candidate or treasurer of its intent to administratively dissolve such committee and may require the treasurer, and the candidate in the case of a candidate committee, to submit information, including a Campaign Statement as provided in section 003.02, with regard to the factors set forth in subsection .01 of section 005 hereof. The Commission may require the committee to provide information on the outstanding debts of the committee, the unexpended funds of the committee, and the physical assets of the committee. The treasurer and the candidate, in the case of a candidate committee shall respond, in writing, within 30 days of receipt of the commission's notice or request and if the committee objects to such dissolution, the committee's response shall so state.

.04 In the event that the Commission is unable to serve notice by certified mail as required by subsection .03, the Commission shall make a reasonable search to determine the whereabouts of the parties to be notified. If, after a reasonable search, the Commission is unable to determine the whereabouts of the parties to be notified, the person searching on behalf of the Commission shall execute an affidavit. The affidavit shall state that the searcher has made a reasonable search to determine the whereabouts of the parties to be notified and has been unable to do so. The affidavit shall further state generally what steps the searcher took to determine the whereabouts of the parties to be notified. Upon the filing of such an affidavit, the Commission may proceed with the administrative dissolution process.

.05 The Commission may administratively dissolve a committee if such committee fails to object to the commission's actions and the commission determines any one of the following to be true:

.05A The committee or its candidate has obtained credit to cover its unpaid debts and obligations;

.05B There has been a forgiveness of any loan(s) owed by the committee or its candidate;

.05C It appears that the collection of any outstanding loan(s) or accounts payable are barred by the statute of limitations as provided in §§25-205 and 25-206;

.05D It appears that the creditors of the committee consider the candidate to be an absent or absconding debtor as provided in §25-214;

.05E It does not appear from evidence available that the committee or its candidate has violated the Act or the Rules and Regulations promulgated thereunder;

.05F It appears from the evidence available that prosecution of the candidate, treasurer or committee for any violation of the Act is barred by the statute of limitations;

.05G It does not appear from the evidence available that the committee has ever raised, received, or expended more than $2,000 in any calendar year period as provided in §49-1413 as the same may be amended from time to time by the Legislature; or

.05H In the case of a candidate committee of an incumbent eligible for re-election to the same office, such person has filed a verified declaration that he or she has not filed and will not file for re-election to the same office or has withdrawn such filing.

.006 CANDIDATE COMMITTEE CONTRIBUTIONS TO OTHER CANDIDATES . No candidate committee shall make a contribution to or an independent expenditure on behalf of another candidate committee except pursuant to the provisions of section 49-1479(2) or upon dissolution pursuant to this rule.

.007 Preservation of Records . The records of a committee shall be preserved for a period of five (5) years following the dissolution of the committee. The preservation of committee records is the responsibility of the committee treasurer. In the case of a candidate committee, the preservation of committee records is the joint responsibility of the committee treasurer and the candidate.

.008 AFTER DISSOLUTION . After dissolution, no contributions shall be received or expenditures made.

.009 REPEALER . That Rule 4, adopted December 21, 1977, as amended November 4, 1988, is repealed.

History

• Effective 1994-09-06

Chapter 5 Rules and Regulations for the Conduct of Meetings Subject to the Provisions of the Public Meetings Act

Neb. Admin. Code tit. 4, ch. 5 Rules and Regulations for the Conduct of Meetings Subject to the Provisions of the Public Meetings Act {#sec-4-nac-5 omnilex-key=us-ne-regs-official--title-4--4 NAC 5}

RULE 5 - NEBRASKA ACCOUNTABILITY AND DISCLOSURE COMMISSION

RULES AND REGULATIONS FOR THE CONDUCT OF MEETINGS SUBJECT TO THE PROVISIONS OF THE PUBLIC MEETINGS ACT

STATUTORY AUTHORITY

This rule is adopted pursuant to the provisions of sections 49-14,123(1), R.S. Supp., 1976, and section 84-1412(2), R.R.S., 1943.

5-(1) MINUTES AND VOTING : Except with respect to closed sessions requiring confidentiality pursuant to the provisions of the Nebraska Political Accountability and Disclosure Act and hearings in contested cases, minutes of all meetings shall be kept showing the time, place, members present and absent, and the substance of all matters discussed, any action taken on any question shall be upon motion, second and roll call vote in open session and the minutes shall show how each member voted, or if the member was absent or not voting.

5-(2) CONFIDENTIALITY AND CLOSED SESSIONS : In connection with matters subject to the provisions of sections 49-14,124 and 49-14,125, the Commission shall go into closed session upon resolution designating the time and the purpose of considering complaints pursuant to the confidentiality and closed session provisions of the Nebraska Political Accountability and Disclosure Act. Any action taken in closed session in connection with complaints shall be treated as proceedings and records relating to preliminary investigations or hearings on complaints and shall be confidential pursuant to the provisions of section 49-14,124 and 49-14,125, and no action shall be taken upon such matters when the meeting reconvenes in open session.

The vote to hold such a closed session shall be taken in open session and the vote of each member on the question of holding a closed session for the purpose of considering complaints or holding a closed hearing pursuant to the provisions of the Nebraska Political Accountability and Disclosure Act and the time when the closed session commenced and concluded shall be recorded in the minutes.

Except as provided for herein, closed sessions shall be held as otherwise provided in section 84-1410 of the Public Meetings Act.

5-(3) RIGHT OF THE PUBLIC TO BE HEARD : Except during closed sessions and hearings in contested cases, the public shall have a right to attend and be heard at public meetings of the Commission, and all or any part of the meetings of the Commission may be recorded by any person in attendance by means of a tape recorder of any other means of sonic reproduction or in writing. Unless otherwise provided by resolution of the Commission at any regular or special meeting, such rights to attend and be heard and the use of recording equipment shall be subject to the direction of the chairperson.

Adopted

4/19/78

History

• Effective 1978-05-21

Chapter 6 Rules and Regulations for Lobbying

Neb. Admin. Code tit. 4, ch. 6 Rules and Regulations for Lobbying {#sec-4-nac-6 omnilex-key=us-ne-regs-official--title-4--4 NAC 6}

(Adopted 12/18/81 and amended 12/16/83; 11/4/88; 7/26/91, 9/30/94, 10/20/00, 1/23/09 and October 16, 2015)

001 SCOPE AND APPLICATION. This rule interprets the provisions of the Nebraska Political Accountability and Disclosure Act pertaining to Lobbying Practices as set forth in Sections 49-1480 to 49-1492.01, Neb. Rev. Stat. Its purpose is to define terms and delineate requirements for the registration of lobbyists, reporting of receipts and expenditures by principals and lobbyists, reporting legislation acted upon by lobbyists and record keeping.

002 DEFINITIONS. For the purposes of this Rule, unless the context otherwise requires, the definitions found in the following subsections shall be used.

.01 Lobbyist means a person who is authorized to lobby on behalf of a principal, and shall include an officer, agent, attorney or employee of the principal whose regular duties include lobbying. Section 49-1434(2), Neb. Rev. Stat.

.01A Principal means a person who authorizes a lobbyist to lobby in behalf of that principal. Section 49-1434(1), Neb. Rev. Stat.

.02 Person means a business, individual, proprietorship, firm, partnership, limited liability company, joint venture, syndicate, business trust, labor organization, company, corporation, association, committee, or any other organization or group of persons acting jointly. Section 49-1438, Neb. Rev. Stat.

.02A For the purposes of sections 49-1480 to 49-1492.01, a "person" shall also include a government body as defined in Section 49-1424, Neb. Rev. Stat.

.03 Lobbying means the practice of promoting or opposing for another person the introduction or enactment of legislation or resolutions before the Legislature or the committees or the members thereof, and shall also include the practice of promoting or opposing executive approval of legislation or resolutions. Section 49-1433, Neb. Rev. Stat.

.03A Lobbying includes, but is not limited to, communication in person or by telephone with an official in the legislative or executive branches of state government, as defined in Sections 49-1436 and 49-1437, Neb. Rev. Stat , to influence legislative action, as defined in Sections 49-1429 and 49-1431, Neb. Rev. Stat.

.03A1 Executive Branch Lobbying. The practice of promoting or opposing executive approval of legislation or resolutions includes communication with officials of the executive branch of state government as defined in Section 49-1436, Neb. Rev. Stat , to take or refrain from taking any action or position in support of or in opposition to proposed legislation or resolutions. It includes influencing an executive branch official to make or refrain, or cause others to make or refrain, from making appearances before legislative committees or contacting members of the Legislature.

.04 Lobbying activity or lobbying purpose means any act, including the solicitation of receipts or the making of expenditures, to influence legislative action as defined in Sections 49-1429 and 49-1431, Neb. Rev. Stat.

.05 Receipt means an advance, conveyance, deposit, distribution, transfer of funds, loan, payment, pledge, or subscription of money or anything of value, and any contract, agreement, promise, or other obligation, whether or not legally enforceable, which is received by a lobbyist or principal directly or indirectly for the purpose of carrying on lobbying activities, to include compensation for such activities or reimbursement for expenses.

.06 Expenditure means an expenditure as defined in Section 49-1419(4), Neb. Rev. Stat , made directly or indirectly for the purpose of carrying on lobbying activities.

.06A Expenditure does not include payments for transportation by lobbyists or the cost of communicating positions from a principal to a lobbyist or from a lobbyist to a principal. Reference: Section 49-1419(4), Neb. Rev. Stat.

.06A1 "Payments for transportation by lobbyists" means payments made solely for the benefit of a lobbyist for his or her own travel expenses, including lodging and meals, if not incurred in connection with providing or paying for the travel of others.

.06A2 "Cost of communicating positions" is limited to (1) expenses directly related to communication with such principal or lobbyist or agents thereof, (2) compensation reasonably attributable to bill reading and (3) compensation reasonably attributable to conferring with such principal or lobbyist or agents thereof if no public official, public employee or other principals or lobbyists of other principals or agents thereof are present.

.07 Miscellaneous expenses means any expenditure by a lobbyist, principal, or anyone acting on behalf of either, including an expenditure which is made for the benefit of a public official in the executive or legislative branch of state government or the official's staff or immediate family members which does not otherwise fall within the categories of entertainment expense, lodging expense, travel expense, gifts, gifts of admissions, lobbyist reimbursement, extraordinary office expense, or lobbyist compensation. Miscellaneous expenses include expenditures of money loaned, promised or paid to any official, or staff of an official in the executive or legislative branch of state government, including a business with which the official or staff member is associated if the payment is made to influence legislative action.

.08 Entertainment means expenditures including expenses for food and drink, incurred by a principal or a lobbyist for entertainment as a lobbying activity, even if a public official, a member of his or her immediate family or a public employee is not present, such as the entertainment of constituents or other lobbyists or principals to influence legislative action.

.09 Lobbyist compensation means all compensation paid to a person for being a lobbyist, lobbying activities or to influence legislative action. When a principal retains the services of a person who shall have only part-time lobbyist duties, only the compensation paid which is reasonably attributable to influencing legislative action constitutes lobbyist compensation.

.09A When a lobbyist is an employee of the principal, part of the lobbyist's salary attributable to lobbying activities constitutes lobbyist compensation if the lobbyist engages in any lobbying activity.

.09B When a person engages the service of a lobbyist or a principal for consulting or management services which services include engaging in lobbying activities, part of the lobbyist's or principal's compensation for such services constitutes lobbyist compensation.

.010 Money loaned, promised or paid includes any payment of money to an official or staff of an official in the Legislative or Executive Branches of State Government, except for money loaned, promised or paid to such official or staff in exchange for goods or services provided by the official or staff in connection with his or her outside employment or business provided the transaction is commercially reasonable and not entered into for the purpose of influencing legislative action.

.010A Money loaned, promised or paid shall not include a loan by a principal in the business of making loans which is commercially reasonable and in accordance with regular lending rules and regulations; transactions involving a principal which are performed in the ordinary course of business pursuant to the terms of an insurance contract; a dividend paid by a principal on publicly traded stock; interest paid by a principal on bonds offered to the public; or any transaction involving a principal which is deemed confidential under the laws or regulations of the United States of America or the State of Nebraska.

.011 An honorarium means a payment for speaking at an event, participating in a panel or seminar, or engaging in any similar activity. An honorarium paid directly or indirectly to an official in the Legislative or Executive Branch of State government or the staff of such official is a gift subject to the limitation provided in Section 49-1490, Neb. Rev. Stat , unless it is clear from all surrounding circumstances that the services provided by the official or staff represent equal or greater value than the payment received. The principal or lobbyist shall maintain records to substantiate that the official or staff gave consideration of equal or greater value than the honorarium.

.012 Compensation means anything of monetary value received or to be received from a person, whether in the form of a fee, salary, forbearance, forgiveness, or any other form of recompense.

.013 Calendar quarter means the first day of January through the thirty-first day of March, the first day of April through the thirtieth day of June, the first day of July through the thirtieth day of September, and the first day of October through the thirty-first day of December.

.014 Lobbyist expense reimbursement means any expenditure made by a lobbyist which is reasonably attributable to the influencing of legislation and for which the lobbyist receives reimbursement, either in whole or in part, from a principal.

.015 Office expenses means the expenses reasonably related to operating an office, including rent, utilities, supplies, and salaries of support personnel.

.016 Extraordinary office expense means a) an office expense directly related to lobbying activity for which a lobbyist is reimbursed by a principal; or b) an office expense by a lobbyist or principal directly related to lobbying which is other than the normal overhead and operating office expenses of the lobbyist or principal. Reference: Section 49-1483(2).

.017 Relative means any person related to another by blood or marriage to the third degree of consanguinity, including a foster parent, foster child, stepparent, stepchild, and adopted children and their adoptive parents. Reference: Section 49-1443.01.

003 REGISTRATION OF LOBBYISTS . Every person employed, retained or authorized as a lobbyist shall, before commencing any lobbying activity, file an application with the Clerk of the Legislature for registration as a lobbyist. Reference: Section 49-1480, Neb. Rev. Stat.

.01 Every person authorized to lobby, whether compensated or not, who communicates with a public official or employee as provided in section 002.03A of this rule, must be registered as a lobbyist.

.02 Every lobbyist who receives or will receive compensation shall pay a two hundred dollar ($200) registration fee for each principal for whom the lobbyist registers. Reference: Section 49-1480.01 Neb. Rev. Stat.

.02A Except as provided in Section 003.04 and Section 49-1434, Neb. Rev. Stat, a lobbyist who receives compensation shall include an individual who is an employee or member of a principal whose duties of employment, office, or membership include engaging in lobbying activities.

.03 Every lobbyist who does not receive compensation and who does not anticipate receiving compensation at the time of application for registration shall pay a fifteen dollar ($15) registration fee for each principal for whom the lobbyist registers.

.03A Any lobbyist who receives compensation who did not anticipate receiving such compensation at the time of application for registration shall, within five days of the receipt of any compensation, file an amended registration form with respect to such principal, which amended registration form shall be accompanied by an additional fee of one hundred eighty-five ($185) for such year.

.03B An officer or member of a principal is not a compensated lobbyist if the officer or member receives no compensation from the principal for any of the activities or duties performed for the principal.

.04 A person does not have to be registered as a lobbyist if his or her only lobbying activities consist of his or her being (1) a public official or employee of a branch of state government (except the University of Nebraska) or an elected official of a political subdivision who is acting in the course or scope of his or her office or employment; (2) a publisher, owner or working member of the press, radio, or television while disseminating news or editorial comment to the general public in the ordinary course of business; (3) an employee of a principal or lobbyist whose duties are strictly of a clerical nature; (4) a person who makes appearances before legislative committees and advises the committee at the time of his or her appearance whom he or she represents; (5) a person who writes letters or furnishes written materials to individual members of the Legislature or to the committees thereof; (6) an individual who does not engage in lobbying for another person; or (7) an employee of a political subdivision whose regular employment duties do not ordinarily include lobbying activities as long as such employee is not additionally compensated for such lobbying activities, other than his or her regular salary, and is not reimbursed for any lobbying expenditures except his or her travel, lodging, and meal expenses and the meal expenses of members of the Legislature. Reference: Section 49-1434(3).

.04A The provisions of section 003.04(7) of this rule do not exempt from registration those employees of political subdivisions who engage in lobbying activities more than on an occasional basis or those who have been assigned by the political subdivision to engage in lobbying activities even if these lobbying activities are not normally a part of the duties of the employee.

.04B An employee or member of a principal whose regular duties of employment, office or membership do not ordinarily include engaging in lobbying activities and a person who responds to a solicitation to communicate with a public official in the legislative or executive branches of state government, may communicate therewith to influence legislative action and not be registered as a lobbyist if such individual (a) is not compensated for doing so in any way in addition to his or her regular salary or for otherwise engaging in lobbying activities; and (b) is not reimbursed for any lobbying expenditure, except his or her own travel, lodging and meals.

004 APPLICATION FOR REGISTRATION AS A LOBBYIST.

.01 The requirement of Section 49-1480(3), Neb. Rev. Stat, and the lobbying registration form that the lobbyist disclose the "amounts or sums given or to be given the lobbyist as compensation or reimbursement for lobbying" refers to any amounts paid by the principal to the lobbyist prior to such registration and not otherwise reportable in a quarterly report, except amounts excludable pursuant to Sections 002.06A and 002.09 of this rule, and a description or synopsis of the terms and conditions of his or her understanding or agreement with the principal for his or her lobbying compensation and reimbursement, including any known dollar amounts thereof. Cross Reference: sections 005.01A and 010 of this rule.

.02 The requirement of Section 49-1480(8), Neb. Rev. Stat, that the lobbyist registration set forth the name and address of any official in the legislative or executive branch and of any members of any such official's staff or immediate family who is employed by the lobbyist or any person acting on behalf of such lobbyist, includes individuals employed in clerical and non-policy making capacities and individuals employed by the Executive Board of the Legislative Council.

.03 The requirement of Section 49-1480(2), Neb. Rev. Stat, that the lobbyist on his or her registration set forth the name and address of the principal requires the lobbyist to set forth the usual street address of the principal and not the address of the lobbyist.

005 AMENDMENTS TO APPLICATION FOR REGISTRATION.

.01 Amending an application for registration as a lobbyist. The quarterly reports of the lobbyist, but not the principal, shall set forth changes or corrections to the information contained in the lobbyist's application for registration as a lobbyist so as to reflect the correctness of such information as of the end of the calendar quarter or other period for which such statement is required. Reference: Section 49-1483(4), Neb. Rev. Stat.

.01A This provision as it relates to the requirement of the lobbying registration form that the lobbyist disclose the "amounts or sums given or to be given the lobbyist as compensation or reimbursement for lobbying" refers only to any changes in the terms and conditions of his or her agreement or contract for lobbying. It does not require the lobbyist to show an accumulation of such amounts or sums given per calendar quarter.

.01B This provision as it relates to names and addresses requires that the lobbyist shall provide notice using the electronic filing system established by the Clerk of the Legislature of any change in his or her address, the address of his or her principal, and of any change in the name of the official to whom the lobbyist is accountable and of any change in the names and addresses of the officers of the principal.

006 RENEWALS OF APPLICATIONS FOR REGISTRATION. The requirement of Section 49-1480.01 that a lobbyist renew his or her registration by paying the appropriate fee to the Clerk of the Legislature before December 31st of each calendar year does not require the lobbyist to complete and file a new Application For Registration as a Lobbyist if such application has been amended as required on the lobbyist's quarterly reports. Reference: section 005. A lobbyist renewing his or her registration shall provide the Clerk of the Legislature with the name of the principal for which the registration is being renewed and such other information as the Clerk of the Legislature may require.

007 FILING OF QUARTERLY REPORTS. Every registered lobbyist for each of his or her principals and every principal having a registered lobbyist shall file a separate statement of lobbying receipts and expenditures for each calendar quarter. Such statements shall be filed with the Clerk of the Legislature within 30 days after the end of each calendar quarter. Reference: Section 49-1483, Neb. Rev. Stat.

.01 A principal shall file only one quarterly report regardless of the number of lobbyists it has.

.02 A lobbyist or principal may file an exemption to quarterly reports as provided in section 010 of this rule.

008 CONTENTS OF NEBRASKA REGISTERED LOBBYIST QUARTERLY REPORT. Each report shall show the total amount received or expended directly or indirectly for the purpose of carrying on lobbying activities, with the following categories of expenses each being separately itemized: (a) Miscellaneous expenses, (b) entertainment, including expenses for food and drink, (c) lodging expenses, (d) travel expenses, (e) lobbyists compensation, (f) lobbyist expense reimbursement, (g) admissions to a state-owned facility or a state-sponsored industry or event, and (h) extraordinary office expenses directly related to the practice of lobbying. Each report shall also include a detailed statement of any money which is loaned, promised, or paid by a lobbyist or anyone acting on his or her behalf to an official or staff of an official in the executive or legislative branch of State Government. The detailed statement shall identify the recipient and the amount and terms of the loan, promise, or payment. Additionally, each report shall disclose the total amount of money expended for gifts other than admissions to a state-owned facility or a state-sponsored industry or event. Section 49-1483(2), Neb. Rev. Stat. (Reference: 002.10)

.01 Receipts need be reported only in total and not itemized.

.02 Lobbyist compensation as a receipt by the lobbyist. Except for lobbyist reimbursement as described in section 008.03 of this rule, the lobbyist must report all payments received from the principal and from others on behalf of the principal in a given calendar quarter, except amounts excludable pursuant to sections 002.09 and 002.06A of this rule. When a lobbyist is an employee of the principal, part of the lobbyist's compensation must be reported as lobbyist compensation if the lobbyist engaged in any lobbying activity during the reporting period. When an employer of a lobbyist is engaged by the principal of the lobbyist to provide consulting or management services which include lobbying activity, part of the lobbyist compensation or wages must be reported as lobbyist compensation if the lobbyist engages in any lobbying activity during the reporting period even if the lobbyist is not directly compensated by the principal.

.02A Compensated time reasonably attributable to influencing legislative action must be reported. Section 49-1483 of the Nebraska Political Accountability and Disclosure Act provides that lobbyists shall report the total amount received or expended directly or indirectly for the purpose of carrying on lobbying activities and specifically lobbyist fees for lobbyist services. When a principal retains the services of a person who has only part time lobbying duties, only the compensation paid which is reasonably attributable to influencing legislative action need be reported.

The test to determine whether a given activity constitutes influencing legislative action is one of fact, i.e., the principal purpose of the activity. If the purpose of the activity is to promote, support, influence, modify, oppose or delay any legislative action, then the activity is within the definition. A lobbyist normally is not employed merely to communicate with officials in the legislative or executive branches of state government but is also expected to perform a number of other activities which assist both the lobbyist and the principal in promoting or defeating legislative action. To the extent payments received by a lobbyist are only partially in consideration for his or her duties and services for influencing legislative action, the lobbyist may apportion the payments based on the percentage of the lobbyist's compensated time which is reasonably attributable to influencing legislative action and report the apportioned dollar amount.

.02A1 If an individual is otherwise required to be registered as a lobbyist, the lobbyist must include time attributable to appearances before legislative committees and writing letters or furnishing written materials to individual members of the Legislature or the committees thereof.

.03 Receipts for lobbyist reimbursement. The lobbyist must report all amounts received during the calendar quarters for reimbursement of expenses from a principal or from a third person, regardless of the calendar quarter in which the expenditure for which reimbursement is made actually occurred.

.04 Total and individually categorized items of expenditures should reflect expenditures incurred, although not necessarily paid by the lobbyist during the calendar quarter. Reference: Section 49-1419(4), Neb. Rev. Stat. Provided, however, so long as there is no arrangement for or willful late billing by a vendor, the same may be reported in the calendar quarter of the receipt of a bill or invoice therefor.

.05 A lobbyist must report and itemize all expenditures which are made to influence legislative action, including but not limited to, payments to vendors for goods and services, transactions with or for the benefit of a public official, a member of his or her immediate family or a member of his or her staff, including money loaned, promised or paid to an official or staff of an official in the legislative or executive branches of state government or anyone on his or her behalf, including a business with which the official or staff is associated, the forgiveness of a loan, a preferential interest rate and forbearance on the collection of an obligation. The expenditures by the lobbyist referred to above shall not be deemed to have been made to influence legislative action if they are done in the normal course of business, are clearly reasonable and there was an exchange of equal consideration between the parties.

.06 Expenditures must be itemized pursuant to the categories set forth in this Section.

.06A Miscellaneous expenses. Miscellaneous expenses means any expenditure by a lobbyist or anyone acting on behalf of such lobbyist, including an expenditure which is made for the benefit of a public official in the executive or legislative branch of state government or the official's staff or relatives which does not otherwise fall within the categories of entertainment expense, lodging expense, travel expense, lobbyist compensation, lobbyist expense reimbursement, admissions to a state-owned facility or a state-sponsored industry or event, or extraordinary office expenses. Miscellaneous expenses include expenditures of money loaned, promised or paid to any official, or staff of an official in the executive or legislative branch of state government, including a business with which the official or staff member is associated if the payment is made to influence legislative action.

.06A1 Campaign contributions need not be reported by a lobbyist as lobbying expenditures, unless the principal reimburses the lobbyist therefor. In such case, the lobbyist shall report the campaign contribution as a miscellaneous expense. In addition, the lobbyist shall report the reimbursement as a receipt.

.06B Entertainment, including expenses for food and drink. The total expenditure of the lobbyist must be reported if made while engaged in a lobbying activity, direct or indirect, or otherwise to influence legislative action and not just the amount expended for food and drink for a public official, a member of his or her immediate family or a public employee. Expenses reported under this category shall disclose the aggregate expenses for each of the following two categories of elected officials: (1) Members of the Legislature, and (2) officials of the executive branch of government. Cross Reference: section 013.02A

.06B1 For the purpose of reporting aggregate expenses for entertainment for members of the Legislature, the amount reported shall be the actual amount attributable to entertaining members of the Legislature. (Reference: §49-1483(3)(b)

.06B2 When the nature of the event makes it impractical to determine actual cost, the cost of entertainment shall be the average cost per person multiplied by the number of members of the Legislature in attendance. (Reference: §49-1483(3)(b))

.06B3 For the purpose of reporting aggregate expenses for entertainment for officials in the executive branch, the amount reported shall be the actual amount attributable to entertaining members of the executive branch. (Reference: §49-1483(3)(b))

.06B4 When the nature of the event makes it impractical to determine actual cost, the cost of entertainment shall be the average cost per person multiplied by the number of officials in the executive branch in attendance. (Reference: §49-1483(3)(b))

.06B5 In all cases where a lobbyist claims reimbursement from his or her principal, the total amount of such entertainment expense must be reported where any part of the same was for food and drink for a public official, a member of his or her immediate family or a member of his or her staff. In addition, the reimbursement received from the principal must be included in total receipts.

.06C Lodging expenses. Payments made by a lobbyist solely for the lodging of the lobbyist or the specific reimbursement therefor by the principal need not be reported. If lodging expenses are incurred for the purpose of carrying on other lobbying activities, such as providing lodging to, or paying the lodging expenses of others to influence legislative action, then the total expenditure by the lobbyist shall be reported including the lodging expense of the lobbyist. Cross Reference: section 013.02B

.06D Travel expenses. Payments made by a lobbyist solely for the transportation of the lobbyist or the specific reimbursement therefor by the principal need not be reported. If travel expenses are incurred for the purpose of carrying on other lobbying activities, such as providing travel to, or paying the travel expenses of others to influence legislative action, then the total expenditure by the lobbyist shall be reported including the travel expense of the lobbyist. Cross Reference: section 013.02C

.06D1 If a public official accompanies such lobbyist, the total cost or value of the trip, and not just the value of the benefit to the public official, must be reported. If such trip is by private airplane the amount reported shall be the fair value of the cost to operate such airplane for that trip. If such trip is by automobile, the amount to be reported shall not be less than the highest reimbursement rate per mile allowed pursuant to Section 81-1176, Neb. Rev. Stat, as the same may be amended from time to time. If such trip is by commercial transportation, the amount to be reported shall be the actual fares paid by the lobbyist, including the fare of the lobbyist and all other persons on such trip.

.06E Lobbyist compensation as an expenditure by the lobbyist. All amounts paid by a lobbyist to others, as salary or other compensation, pursuant to section 002.09 of this rule, whether or not the recipient is, or is required to be, a registered lobbyist for the same principal as the paying lobbyist, shall be reported by the paying lobbyist as an expenditure for lobbyist compensation. Amounts paid as general overhead for typing, filing or other types of clerical office work do not have to be reported as compensation, unless the persons receiving the same are compensated additionally or separate and apart from their regular salaries for engaging in other lobbying activities.

.06F Lobbyist expense reimbursement as an expenditure by a lobbyist. Any amounts expended by a lobbyist to reimburse others for activity reasonably attributable to the influencing of legislation shall be reported.

.06G Admissions to a state-owned facility or to a state-sponsored industry or event shall disclose the aggregate amounts given to each of the following two categories of elected officials: (1) Members of the Legislature, and (2) officials in the executive branch of government.

.06H Extraordinary office expenses. Only extraordinary office expenses must be reported. An office expense by a lobbyist directly related to lobbying activity which is other than the normal overhead and operating expense of the lobbyist is an extraordinary office expense. An office expense directly related to lobbying activity for which the lobbyist is reimbursed by the principal is an extraordinary office expense and shall be reported. (Reference: 002.016)

.07 Money loaned, promised or paid by a lobbyist or anyone acting on his or her behalf. In addition to the provisions of sections 002.07 and 008.06A of this rule for reporting the amount of money loaned, promised or paid as a miscellaneous expense, the quarterly report of a lobbyist must contain a detailed statement of any money loaned, promised or paid by the lobbyist, or anyone acting on his or her behalf, to an official or staff of an official in the executive or legislative branches of state government. The detailed statement should include money loaned, promised or paid to a third party for the benefit of an official or staff of an official in the executive or legislative branch of state government, including a business with which the official or staff member is associated.

.07A The detailed statement shall identify the recipient and the amount and terms of the loan, promise, or payment. The terms shall include the date of the loan, promise, or payment and the reason for such payment. If the loan, promise or payment is made to a third party for the benefit of an official in the executive or legislative branch of state government or a member of the official's staff, the detailed statement shall also identify the beneficiary.

.08 Gifts. The total amount expended for gifts, other than admissions to a state owned facility or a state-sponsored industry or event, shall disclose the aggregate amounts given to each of the following categories of elected officials: (1) Members of the Legislature, and (2) officials in the executive branch of government.

009 CONTENTS OF NEBRASKA PRINCIPAL QUARTERLY REPORT.

Each report shall show the total amount received or expended directly or indirectly for the purpose of carrying on lobbying activities, with the following categories of expenses each being separately itemized: (a) Miscellaneous expenses, (b) entertainment, including expenses for food and drink, (c) lodging expenses, (d) travel expenses, (e) lobbyist compensation, (f) lobbyist expense reimbursement, (g) admissions to a state-owned facility or a state-sponsored industry or event, and (h) extraordinary office expenses directly related to the practice of lobbying. Each report shall also include a detailed statement of any money which is loaned, promised, or paid by a principal or anyone acting on behalf of such principal to an official or staff of an official in the executive or legislative branches of state government. The detailed statement shall identify the recipient and the amount and terms of the loan, promise, or payment. Additionally, each report shall disclose the total amount of money expended for gifts other than admissions to a state owned facility or a state-sponsored industry or event. (Reference: Section 49-1483, Neb. Rev. Stat, and sections 002.10 and 002.10A)

.01 Receipts must be reported in total and need not be itemized.

.02 Receipts by a principal of over $100. The quarterly reports of a principal shall contain the name and address of every person from whom the principal has received more than $100 in any one month for lobbying purposes. Reference: Section §49-1483(7), Neb. Rev. Stat.

.02A Such names and addresses must be reported with respect to receipts designated or received as a result of a solicitation, for lobbying purposes.

.02B The quarterly reports of a principal shall identify the month of receipt of all amounts in excess of $100.

.03 Receipts for lobbyist reimbursement. The principal must report all amounts received from any third person during the calendar quarter which are used to reimburse a lobbyist for expenses, regardless of the calendar quarter in which the expense for which reimbursement is received actually occurred.

.04 A principal's receipt of lobbyist compensation. The principal shall report all funds received in the calendar quarter which are designated, treated or have been solicited for lobbying purposes, including lobbyist compensation, as a part of its total receipts.

.05 A principal must report and itemize, not only its expenditures to compensate and reimburse its lobbyist, but such principal must report all expenditures it makes to influence legislative action, including but not limited to, payments to vendors for goods and services, transactions with or for the benefit of a public official, a member of his or her immediate family or a member of his or her staff, including money loaned, promised or paid to an official or staff of an official in the legislative or executive branches of state government, including a business with which the official or staff is associated, the forgiveness of a loan, a preferential interest rate and forbearance on the collection of an obligation. The expenditures by the principal referred to above shall not be deemed to have been made to influence legislative action if they are done in the normal course of business, are clearly reasonable and there was an exchange of equal consideration between the parties.

.06 Expenditures must be itemized pursuant to the categories set forth in this section.

.06A Miscellaneous expenses. Miscellaneous expenses means any expenditure by a principal or anyone acting on behalf of such principal, including an expenditure which is made for the benefit of a public official in the executive or legislative branch of state government or the official's staff or immediate family members, which does not otherwise fall within the categories of entertainment expense, lodging expense, travel expense, lobbyist compensation, lobbyist expense reimbursement, admissions to a state-owned facility or to a state-regulated industry or event, or extraordinary office expenses. Miscellaneous expenses include expenditures of money loaned, promised or paid to any official, or staff of an official in the executive or legislative branch of state government including a business with which the official or staff member is associated if the payment is made to influence legislative action.

.06A1 Campaign contributions need not be reported by a principal as lobbying expenditures, unless the principal reimburses the lobbyist therefor, in which case the principal shall report such reimbursement as a miscellaneous expense.

.06B Entertainment, including expenses for food and drink. The total expenditure of the principal must be reported if the expense is incurred while engaged in a lobbying activity, direct or indirect, or otherwise to influence legislative action and not just the amount expended for food and drink for a public official, a member of his or her immediate family or a public employee. Expenses reported under this category shall disclose the aggregate expenses for each of the following two categories of elected officials: (1) Members of the Legislature, and (2) officials of the executive branch of government. Cross Reference: section 013.02A

.06B1 For the purpose of reporting aggregate expenses for entertainment for members of the Legislature, the amount reported shall be the actual amount attributable to entertaining members of the Legislature. (Reference: §49-1483(3)(b))

.06B2 When the nature of the event makes it impractical to determine actual cost, the cost of entertainment shall be the average cost per person multiplied by the number of members of the Legislature in attendance. (Reference: §49-1483(3)(b))

.06B3 For the purpose of reporting aggregate expenses for entertainment for officials in the executive branch, the amount reported shall be the actual amount attributable to entertaining members of the executive branch. (Reference: §49-1483(3)(b))

.06B4 When the nature of the event makes it impractical to determine actual cost, the cost of entertainment shall be the average cost per person multiplied by the number of officials in the executive branch in attendance. (Reference: §49-1483(3)(b))

.06B5 In all cases where a lobbyist claims reimbursement from his or her principal, the total amount of such reimbursement must be reported as an entertainment expense by the principal where any part of the same was for food and drink for a public official, a member of his or her immediate family or a member of his or her staff.

.06C Lodging expenses. Payments made by a principal solely for the lodging of its lobbyist or the specific reimbursement therefor need not be reported. If lodging expenses are incurred for the purpose of carrying on other lobbying activities, such as providing lodging to, or paying the lodging expenses of, others to influence legislative action, then the total expenditure by the principal shall be reported including the lodging expense of the lobbyist. Cross Reference: section 013.02B

.06D Travel expenses. Payments made by a principal solely for the transportation of its lobbyist or the specific reimbursement therefor need not be reported. If travel expenses are incurred for the purpose of carrying on other lobbying activities, such as providing travel to, or paying the travel expenses of others to influence legislative action, then the total expenditure by the principal shall be reported including the travel expense of its lobbyist. Cross Reference: section 013.02C

.06D1 If a public official accompanies a lobbyist, the total cost or value of the trip, and not just the value of the benefit to the public official, must be reported. If such trip is by private airplane the amount reported shall be the fair value of the cost to operate such airplane for that trip. If such trip is by automobile, the amount to be reported shall not be less than the highest reimbursement rate per mile allowed pursuant to Section 81-1176, Neb. Rev. Stat, as the same may be amended from time to time. If such trip is by commercial transportation, the amount to be reported shall be the actual fares paid by the principal or lobbyist, including the fares of the lobbyist and all other persons on such trip.

.06E Lobbyist compensation as an expenditure by a principal. All amounts paid by a principal to a lobbyist or others, as salary or other compensation, pursuant to Section 002.09 of this rule, whether or not the recipient is, or is required to be, a registered lobbyist for such principal, shall be reported by the principal as an expenditure for lobbyist compensation. Amounts paid as general overhead for typing, filing or other types of clerical office work do not have to be reported as lobbyist compensation unless the person receiving the same is compensated additionally or separate and apart from his or her regular salary for engaging in other lobbying activities.

.06E1 When a lobbyist is an employee of the principal, part of the lobbyist's compensation must be reported as an expenditure for lobbyist compensation if the employee engaged in any lobbying activity during the reporting period.

.06E2 When a principal engages a lobbyist or the employer of a lobbyist for management or consulting services which include lobbying activity, part of amount paid for such services must be reported as lobbyist compensation if the lobbyist engages in any lobbying activity during the reporting period.

.06E3 Compensated time reasonably attributable to influencing legislative action must be reported. Section 49-1483 of the Nebraska Political Accountability and Disclosure Act provides that principals shall report the total amount received or expended directly or indirectly for the purpose of carrying on lobbying activities and specifically lobbyist compensation. When a principal retains the services of a person who has only part-time lobbying duties, only the compensation paid which is reasonably attributable to influencing legislative action need be reported. The test to determine whether a given activity constitutes influencing legislative action is one of fact, i.e., the principal purpose of the activity. If the purpose of the activity is to promote, support, influence, modify, oppose or delay any legislative action, then the activity is within the definition. A lobbyist normally is not employed merely to communicate with officials in the legislative or executive branches of state government but is also expected to perform a number of other activities which assist both the lobbyist and the principal in promoting or defeating legislative action. To the extent payments made to a lobbyist are only partially in consideration for his or her duties and services for influencing legislative action, the principal may apportion the payments based on the percentage of the lobbyist's compensated time which is reasonably attributable to influencing legislative action and report the apportioned dollar amount.

.06F Lobbyist expense reimbursement as an expenditure by a principal. Any amounts expended by a principal to reimburse a lobbyist for activity reasonably attributable to the influencing of legislation shall be reported.

.06G Admissions to a state-owned facility or to a state-sponsored industry or event shall disclose the aggregate amounts given to each of the following two categories of elected officials: (1) Members of the Legislature, and (2) officials in the executive branch of government.

.06H Extraordinary office expenses. Only extraordinary office expenses must be reported. An office expense by a principal directly related to lobbying activity which is other than the normal overhead and operating expense of the principal is an extraordinary office expense.

.07 Money loaned, promised or paid by a principal or anyone acting on behalf of such principal. In addition to the provisions of Sections 002.07 and 009.06A of this rule for reporting the amount of money loaned, promised or paid as a miscellaneous expense, the quarterly report of a principal must contain a detailed statement of any money loaned, promised or paid by the principal, or anyone on its behalf, to an official or staff of an official in the executive or legislative branches of state government. The detailed statement should include money loaned, promised or paid to a third party for the benefit of an official or staff in the executive or legislative branches of state government, including a business with which the official or staff member is associated. (Reference: sections 002.10 and 002.10A)

.07A The detailed statement shall identify the recipient and the amount and terms of the loan, promise, or payment. The terms shall include the date of the loan, promise, or payment and the reason for such payment. If the loan, promise or payment is made to a third party for the benefit of an official in the executive or legislative branch of state government or a member of the official's staff, the detailed statement shall also identify the beneficiary.

.08 Gifts. The total amount expended for gifts, other than admissions to a state owned facility or a state-sponsored industry or event, shall disclose the aggregate amounts given to each of the following categories of elected officials: (1) Members of the Legislature, and (2) officials in the executive branch of government.

.09 Any lobbyist or principal who receives or expends more than $5,000 for lobbying purposes during any calendar month in which the Legislature is in session shall, within fifteen (15) days after the end of such calendar month, file a special report disclosing for that calendar month all the information required in a quarterly report. All information disclosed in a special report shall also be disclosed in the next quarterly report required to be filed. The requirement to file a special report shall not apply to a receipt or expenditure for lobbying fees for lobbying services which have otherwise been disclosed in the lobbyist's application for registration.

.09A If an application for registration as a lobbyist discloses that lobbying fees for lobbying services will exceed $5,000 per month, no special report is required because of the expenditure or receipt of these lobbying fees for lobbying services.

.09B If an application for registration as a lobbyist discloses that lobbying fees for lobbying services will be paid at a stated hourly rate, and if the number of hours worked by the lobbyist in a month results in lobbying fees for lobbying services in excess of $5,000, no special report is required because of the payment or receipt of these lobbying fees for lobbying services.

010 EXEMPTIONS TO QUARTERLY REPORTS.

.01 If a lobbyist does not expect to receive lobbying receipts from or make lobbying expenditures for a principal, other than the lobbyist's registration fee, the quarterly reports as to such principal need not be filed by the lobbyist if the principal and lobbyist both certify such facts using the electronic filing system established by the Clerk of the Legislature. A lobbyist exempt from filing a quarterly statement shall:

.01A File a Statement of Activity pursuant to §49-1488, Neb. Rev. Stat , and section 011 of this rule; and

.01B Resume or commence filing quarterly statements with regard to such principal starting with the calendar quarter during which the lobbyist receives lobbying receipts or makes lobbying expenditures for such principal and file all reports due thereafter. The lobbyist must show in his or her report for that quarterly period a change or correction to his or her application for registration as a lobbyist to reflect the terms and conditions of compensation or reimbursement, if any, given or to be given to him or her.

.02 If a principal does not expect to receive lobbying receipts or make lobbying expenditures, the quarterly reports required pursuant to §49-1483 need not be filed by the principal if the principal and lobbyist both certify such facts using the electronic filing system established by the Clerk of the Legislature. A principal exempt from filing a quarterly statement pursuant to this Section, shall commence or resume filing a quarterly statement starting with the calendar quarter during which the principal receives lobbying receipts or makes lobbying expenditures.

011 REPORT BY LOBBYIST OF ACTIVITIES DURING A LEGISLATIVE SESSION.

Within 45 days of the completion of each regular or special session of the Legislature, each registered lobbyist shall submit to the Clerk of the Legislature a statement for each of his or her principals listing the legislation upon which such lobbyist acted, including identification by number of any bill or resolution and the position taken by such lobbyist. Reference: Section 49-1488, Neb. Rev. Stat.

.01 Every registered lobbyist must file an activity report regardless of whether he or she is required to file quarterly receipts and expenditures reports.

.02 Such statement need not include bills or resolutions merely monitored by the lobbyist but must include all bills or resolutions for which the lobbyist was authorized to lobby by his principal and for which he engaged in any other lobbying activity or made any expenditure to influence legislative action.

.03 In the event that a lobbyist supports or opposes an amendment or a procedural matter pertaining to a bill or resolution upon which the lobbyist has not otherwise acted, the lobbyist shall show on his or her statement of activity his or her support or opposition to the bill or resolution to which the amendment or procedural matter pertains. In the alternative the lobbyist shall show on his or her statement of activity the number of the amendment or procedural matter, if any, and a brief description which shall include the number of the bill or resolution to which the amendment or procedural matter pertains.

.04 A lobbyist who engages in no lobbying activity in connection with a special session of the Legislature is not required to file a Statement of Activity for that special session. (Reference: sections 002.03 to 002.06)

012 TERMINATION OF REGISTRATION.

.01 The termination of a lobbyist's registration and his or her duty and the duty of his or her principal to file quarterly reports will be permitted after (1) the principal and the lobbyist cease to receive or expend lobbying funds, (2) the lobbyist ceases to engage in lobbying activities; (3) a final report is filed by the lobbyist and his or her principal disclosing all the information required by quarterly reports; (4) a Statement of Activity is filed listing the legislation upon which such lobbyist acted as required by section 011 of this rule; and (5) upon the Clerk of the Legislature receiving a written statement from the lobbyist stating that he or she has ceased lobbying or such a statement from the principal stating that the lobbyist's authority to lobby has been terminated.

.01A In cases where the principal has other registered lobbyists, the requirement that it cease to receive or expend lobbying funds is not applicable. Such principal is not required to file a final report and must continue to file quarterly reports.

.02 After such termination, the lobbyist may not engage in lobbying activities nor receive or expend funds for lobbying purposes without a new registration.

.03 All registrations terminate on December 31 of each calendar year unless renewed as provided in 006 of this rule. Once a lobbyist registration has terminated, it may only be renewed by the filing of a new application for registration as a lobbyist and the payment of a registration fee as provided in Section 003 of this rule.

013 GIFT LIMITATIONS.

.01 No principal, lobbyist, or person acting on behalf of either shall within one calendar month give any gifts with an aggregate value of over fifty dollars to any of the following:

.01A An official or a member of the official's staff in the executive branch of government;

.01B An official or a member of the official's staff in the legislative branch of state government; or

.01C A member of the immediate family of an official in the executive or legislative branch of state government. (Reference Section 49-1490), Neb. Rev. Stat.

.02 Gift shall mean a payment, subscription, advance, forbearance, rendering, or deposit of money, services, or anything of value, unless consideration of equal or greater value is given therefor. Gift shall not include a campaign contribution otherwise reported as required by law, a commercially reasonable loan made in the ordinary course of business, a gift received from a relative, a breakfast, luncheon, dinner, or other refreshments consisting of food or beverage provided for immediate consumption, or the occasional provision of transportation within the State of Nebraska. Reference: Section 49-1423, Neb. Rev. Stat.

.02A Entertainment, including expenses for food and drink. The lobbyist or a representative of the lobbyist or a principal must be present on the immediate premises at the time expenditures are incurred for food and drink for a public official, a member of his or her immediate family, or a member of his or her staff. If such an individual is not present, such furnishing of food and drink shall constitute evidence of a violation of Section 49-1490, if the amount thereof exceeds $50, along with other gifts in a calendar month. The providing of a breakfast, luncheon, dinner or other refreshments consisting of food and beverage to a public official, a member of his or her immediate family or a member of his or her staff must be for immediate consumption. Such persons may not be given nor may they solicit or accept food or beverages by charging the same to an account of the lobbyist or principal without the lobbyist or principal being present and each expenditure therefor being authorized by the lobbyist or principal at the time it is incurred. The authority of the lobbyist or principal to authorize such expenditures may not be delegated to a vendor.

.02B Lodging expenses for the benefit of a public official, a member of his or her immediate family, or a member of his or her staff of more than $50, along with other gifts in a calendar month, are prohibited unless consideration of equal or greater value is given therefor. Reference: Section 49-1490, Neb. Rev. Stat.

.02B1 The attendance at an event does not, in and of itself, constitute consideration of equal or greater value.

.02B2 Only lodging expenses which are reasonable and necessary under the circumstances and are not otherwise reimbursed may be paid.

.02C Transportation provided to a public official, a member of a public official's immediate family, or staff outside the State of Nebraska of a value of more than $50 is prohibited unless consideration of equal or greater value is given therefor. Reference: Section 49- 1490, Neb. Rev. Stat.

.02C1 The attendance at an event out of state does not, in and of itself, constitute consideration of equal or greater value.

.02C2 Only transportation expenses which are reasonable and necessary under the circumstances and are not otherwise reimbursed may be paid.

.02D An honorarium given or money loaned, promised or paid to an official in the executive or legislative branch of state government, or his or her staff, by a principal, lobbyist, or anyone acting on behalf of either for the official's or the staff's participation in, appearance at, or speaking at an event at the request of the principal or lobbyist does not constitute an exchange in the normal course of business for which equal or greater value is given and is required to be reported.

.02E Money loaned, promised or paid shall not include a loan by a principal in the business of making loans which is commercially reasonable and in accordance with regular lending rules and regulations; transactions involving a principal which are performed in the ordinary course of business pursuant to the terms of an insurance contract; a dividend paid by a principal on publicly traded stock; interest paid by a principal on bonds offered to the public; or any transaction involving a principal which is deemed confidential under the laws or regulations of the United States of America or the State of Nebraska.

.02F An admission to a state-owned facility or a state-sponsored industry or event of a value of more than $50 shall not be given by a principal, lobbyist, or person acting on behalf of either unless consideration of equal or greater value is given therefor. Any sponsoring agency, political subdivision, or publicly-funded postsecondary educational institution may give such admissions regardless of value but must report them pursuant to Section 49-1492.01, Neb. Rev. Stat.

.02F1 Any agency, political subdivision, or publicly-funded postsecondary educational institution that is a lobbyist must also report admissions pursuant to section 008.06G of this rule.

.02F2 Any agency, political subdivision, or publicly-funded postsecondary educational institution that is a principal must also report admissions pursuant to section 009.07G of this rule.

014 RECORD KEEPING.

Each lobbyist and principal shall obtain and preserve all accounts, bills, receipts, books, papers, and documents necessary to substantiate the statements required to be made pursuant to Section 49-1483 for three years after the report containing those items is filed. These records shall be made available for inspection upon request by the commission after reasonable notice. Nothing in this Section shall require that a receipt for any food and drink expenditure be kept if such expenditure is in an amount of less than $25. Reference: Section 49-1489, Neb. Rev. Stat.

.01 A principal is subject to audit pursuant to the provisions of Section 49-14,122, Neb. Rev. Stat, and furnishing additional details pursuant to Section 49-1484, Neb. Rev. Stat, with respect to matters which are or should be included in such statements.

.02 The provisions of Section 49-1489, Neb. Rev. Stat, providing that a receipt for food and drink of less than $25.00 need not be kept means that such a receipt need not be obtained and kept.

015 LATE FILING FEES FOR LOBBYIST QUARTERLY REPORTS, LOBBYIST SPECIAL REPORTS AND STATEMENTS OF ACTIVITY.

.01 Every lobbyist who fails to file a quarterly report or a statement of activity with the Clerk of the Legislature shall pay to the Commission a late filing fee of $25 for each day any of such statements are not filed in violation of such Sections but not to exceed $750 per statement. Every lobbyist who fails to file a special report shall pay to the Commission a late filing fee of $100 for each of the first ten days the report remains not filed. After the tenth day, the lobbyist shall pay, for each day the report remains not filed, an additional late filing fee of one percent of the amount of the receipts and expenditures which were required to be reported, not to exceed ten percent of the amount of the receipts and expenditures which were required to be reported. As to any late filing fee, interest shall accrue on all late filing fees and civil penalties imposed at the rate specified in Section 45-104.02, Neb. Rev. Stat, as such rate may from time to time be adjusted. Reference: Sections 49-1463.02; 49-1483.03(2); and 49-1488.01, Neb. Rev. Stat.

.01A The interest shall begin to accrue thirty days after the Commission sends notice to the person of the assessment of the late filing fee or civil penalty.

.01B. A written request filed with the Commission for relief from late filing fees shall stay the accrual of interest on a late filing fee until such time as the Commission grants or denies the relief.

.01C. Interest on an unpaid late filing fee or civil penalty shall be simple interest.

.01D. The daily accrual of interest shall be calculated by dividing the amount of the annual interest by 365.

.01E. At the time of payment interest may be rounded down to the nearest dollar.

.01F. When the interest rate changes in accordance with the provisions of Section 45-104.02, Neb. Rev. Stat, the new interest rate shall be applied to any unpaid late filing fees and civil penalties including those late fees and civil penalties previously assessed.

.01G. Payment of late filing fees, civil penalties and interest shall be applied first to the interest and then to the principal of the late filing fees and civil penalties.

.02 A lobbyist required to pay a late filing fee and interest, if applicable, may apply in writing to the Commission for relief.

.02A The Commission by order may reduce the amount of the late filing fee and interest, if applicable, imposed upon such lobbyist if he or she shows the Commission that:

.02A1 the circumstances indicate no intent to file late;

.02A2 the lobbyist has not been required to pay a late filing fee for two years prior to the time the filing of the statement was due;

.02A3 the late filed statement shows that less than $5,000 was raised, received or expended during the reporting period; and

.02A4 a reduction of the late fee or interest, if applicable, would not frustrate the purpose of the Nebraska Accountability and Disclosure Act.

016 Method of Filing Applications, Reports and Statements by Principals and Lobbyists

.01 The application for registration as a lobbyist required pursuant to §004 of this rule, the amendment to registration as a lobbyist required pursuant to §005 of this rule, and the renewal of registration as a lobbyist required pursuant to §006 of this rule shall be filed using the electronic filing system established by the Clerk of the Legislature.

.02 The quarterly report required to be filed by a lobbyist pursuant to §007 and §008 of this rule shall be filed using the electronic filing system established by the Clerk of the Legislature.

.03 The special report required to be filed by a lobbyist pursuant to §009.09 of this rule shall be filed.

.04 The quarterly report required to be filed by a principal pursuant to §007 and §009 of this rule shall be filed using the electronic filing system established by the Clerk of the Legislature.

.05 The special report required to be filed by a principal pursuant to §009.09 of this rule shall be filed using the electronic filing system established by the Clerk of the Legislature.

.06 The statement of activity required to be filed by a lobbyist pursuant to §011 of this rule shall be filed using the electronic filing system established by the Clerk of the Legislature.

.07 The exemption statement which may be filed by a lobbyist or principal pursuant to §010 of this rule shall be filed using the electronic filing system established by the Clerk of the Legislature.

.08 The termination statement which may be filed by a lobbyist or principal pursuant to §012 of this rule shall be filed using the electronic filing system established by the Clerk of the Legislature.

017 STATUTORY AUTHORITY. This rule is adopted pursuant to the provisions of Sections 49-14,123(1) and (2), and 49-1484, Neb. Rev. Stat.

History

• Effective 2015-12-09

Chapter 7 Rules and Regulations for Identifying Political Action Committees, Independent Committees and Ballot Question Committees

Neb. Admin. Code tit. 4, ch. 7 Rules and Regulations for Identifying Political Action Committees, Independent Committees and Ballot Question Committees {#sec-4-nac-7 omnilex-key=us-ne-regs-official--title-4--4 NAC 7}

(Adopted January 21, 1983) (Revised March 28, 1989)

1 SCOPE AND APPLICATION . This rule interprets the provisions of §49-1450, R.R.S. 1943, pertaining to the contents of statements of organization of independent committees, including separate segregated political funds, and ballot question committees. Its purpose is to require the identification of persons organizing or soliciting contributions for independent committee and ballot question committees, the identification of the corporation, labor organization or industry, trade or professional association which establishes and administers a separate segregated political fund and such other identifying information as herein set forth.

2 DEFINITIONS . For the purposes of this rule, unless the context otherwise requires, the definitions set forth in §49-1404 to 49-1444 and §49-1469(2), R.R.S. 1943 shall be used.

3 IDENTIFICATION OF SEPARATE SEGREGATED POLITICAL FUNDS . Each separate segregated political fund established and administered by a corporation, labor organization or industry, trade or professional association shall be specifically identified as a separate segregated political fund in its statement of organization, and such statement of organization shall include the name and street address of the corporation, labor organization, or industry trade, or professional association establishing and administering such fund.

4 IDENTIFICATION OF INDEPENDENT COMMITTEES AND BALLOT QUESTION COMMITTEES . The statement of organization of a ballot question committee and an independent committee, other than a separate segregated political fund, shall include the name, street address, and telephone number, if any, of each person, as defined in §49-1438, R.R.S., 1943, who has organized such committee or caused a solicitation of contributions to be made to such committee, and in the event any individual organized such committee or made such a solicitation on behalf of any other person, the full name, street address, and telephone number, if any, of that person. The Statement of Organization shall also include the full name, street address, and telephone number, if any, of the treasurer and other principal officers of such committee.

5 NAMES AND ACRONYMS . The name of a ballot question committee or an independent committee, other than a separate segregated political fund, shall include the full name of the primary person, as defined in §49-1438, R.R.S., 1943, who has organized such committee or caused a solicitation of contributions to be made to such committee. The name of a separate segregated political fund shall include the full name of the corporation, labor organization, or industry, trade or professional association establishing and administering such fund. Such committee or fund may use a clearly recognized abbreviation or acronym by which such person or corporation, labor organization, or industry, trade or professional association is commonly known. Both the full name and such abbreviation or acronym shall be included in its statement of organization. Such committee or fund may make contributions using its acronym or abbreviated name. A fund established and administered by a corporation which has a number of subsidiaries need not include the name of each subsidiary in its name. Similarly, a fund established by a subsidiary need not include in its name the name of its parent or other subsidiary of its parent.

6 CONTROLLING INDIVIDUALS . Such statement of organization shall include the full name and street address of the individual or individuals who determine to which candidates and ballot questions the committee or fund makes contributions or, in lieu thereof, a description of the manner in which such determinations are made.

7 DUTY TO AMEND STATEMENT OF ORGANIZATION ON FILE . All statements of organization on file at the time this rule becomes effective shall be amended to include the information required by this rule when the next Campaign Statement for such committee is required to be filed. Pursuant to §49-1451, R.R.S., 1943, any person who fails to report such information or change thereof shall pay to the Commission a late filing fee of $10.00 for each day such information or change remains not reported in violation of this rule not to exceed $300.00.

8 STATUTORY AUTHORITY . This rule is adopted pursuant to the provisions of §49-1450(7) and §49-14,123(1) and (2), R.R.S., 1943.

History

• Effective 1989-05-01

Chapter 8 Designation of Printed or Reproduced Items Exempt from Disclaimer Requirements and Rules and Regulations on the Size and Placement of Disclaimers.

Neb. Admin. Code tit. 4, ch. 8 Designation of Printed or Reproduced Items Exempt from Disclaimer Requirements and Rules and Regulations on the Size and Placement of Disclaimers. {#sec-4-nac-8 omnilex-key=us-ne-regs-official--title-4--4 NAC 8}

(Adopted September 11, 1987 and amended on October 19, 1990)

STATUTORY AUTHORITY

This rule is adopted pursuant to the provisions of section 49-14,123(1) and section 49-1474.01.

8-(1) Scope and Application : This rule designates the items relating to a candidate or a committee which are printed or reproduced at the request of a candidate or committee which are exempt from the disclaimer requirements of section 49-1474.01 and establishes rules and regulations determining the size and placement of disclaimers on non-exempt items relating to a candidate or committee which are printed or reproduced at the request of such a candidate or committee.

8-(2) Designation : Pursuant to section 49-1474.01(2) the following items relating to a candidate or committee which are printed or reproduced at the request of such candidate or committee are exempt from the disclaimer requirements of section 49-1474.01(1): windshield stickers, yard signs, bumper stickers, campaign buttons, balloons, Christmas cards, address books, ashtrays, badges & badgeholders, cigarette lighters, clothespins, T-shirts, coasters, combs, cups, earrings, emeryboards, envelopes, erasers, flyswatters, frisbees, glasses, golf balls, golf tees, hats, horns, icescrapers, keyrings, knives, letter openers, magnifying glasses, matchbooks, mini-pocket calculators, nailclippers, nailfiles, napkins, noisemakers, paper & plastic cups, paper & plastic plates, paperweights, pencils, pendants, pennants, pens, pinwheels, plastic table wear, pocket protectors, potholders, ribbons, rulers, shoehorns, staple removers, sunglasses, sunvisors, swizzle sticks, tickets to fundraisers, whistles, billboards, electronic signs, palm or business cards, magnetic stickers, bookmarkers.

8-(3) Size : Disclaimers on non-exempt items relating to a candidate or committee which are reproduced or printed at the request of such candidate or committee shall be of such size so as to be legible.

8-(4) Placement : The disclaimer on printed material shall clearly state in an area apart from any text the name and street address of the person paying for the production, distribution or printing of the printed material.

8-(5) Printed Material With More Than One Page : Printed material requiring a disclaimer containing more than one page need only contain the disclaimer on one page of the printed material if the pages of the printed material are taped together, stapled together, or otherwise bound together, or if it clearly appears that the multiple pages of the printed material constitute one document such as by consecutive numbering of pages. Inserts or appendices must contain a separate disclaimer unless physically attached to material containing a disclaimer.

8-(6) Envelopes : A disclaimer appearing on an envelope containing political material does not constitute a proper disclaimer on the political material. There is no requirement that a disclaimer appear on an envelope containing printed material.

8-(7) Person Paying For the Production, Distribution or Posting of Printed Material : If an individual acts as an agent for another in paying for the printing, production, distribution or posting of printed political materials or is to be reimbursed by another for the payment, that individual is not the person paying for the production, distribution or posting of political material. The ultimate source of the payment is the person who pays for the production, distribution or posting of printed material.

History

• Effective 1990-12-22

Chapter 10 Rules and Regulations Governing Campaign Practices Under the Nebraska Political Accountability and Disclosure Act

Neb. Admin. Code tit. 4, ch. 10 Rules and Regulations Governing Campaign Practices Under the Nebraska Political Accountability and Disclosure Act {#sec-4-nac-10 omnilex-key=us-ne-regs-official--title-4--4 NAC 10}

Statutory Authority

This rule is adopted pursuant to the provisions of §49-14,123(1) of the Nebraska Political Accountability and Disclosure Act.

001. Scope and Application. This rule interprets the provisions of the Nebraska Political Accountability and Disclosure Act as it pertains to the campaign practices of candidates, political committees and corporations, labor organizations, limited liability companies, limited partnerships and industry, trade, or professional associations.

002. Definitions. For purposes of this rule, unless the context otherwise requires, the definitions found in the following subsections shall be used.

1. Contribution shall mean a payment, gift, subscription, assessment, expenditure, contract, payment for services, dues, advance, forbearance, loan, donation, pledge or promise of money or anything of ascertainable monetary value to a person, made for the purpose of influencing the nomination or election of a candidate, or for the qualification, passage, or defeat of a ballot question. An offer or tender of a contribution is not a contribution if expressly and unconditionally rejected or returned. (§49-1415(1))

01A. Contribution shall include the purchase of tickets or payment of an attendance fee for events such as dinners, luncheons, rallies, testimonials, and similar fundraising events; an individual's own money or property other than the individual's homestead used on behalf of that individual's candidacy; and the granting of discounts or rebates by broadcast media and newspapers not extended on an equal basis to all candidates for the same office. (§49-1415(2))

01B. Contribution shall not include: (a) volunteer personal services provided without compensation, or payments of costs incurred of less than two hundred fifty dollars ($250) in a calendar year by an individual for personal travel expenses if the costs are voluntarily incurred without any understanding or agreement that the costs shall be, directly or indirectly, repaid; (b) amounts received pursuant to a pledge or promise to the extent that the amounts were previously reported as a contribution; or (c) food and beverages, not to exceed fifty dollars ($50) in value during a calendar year, which are donated by an individual and for which reimbursement is not given. (§49-1415(3))

2. Election shall mean a primary, general, special, or other election held in this state or a convention or caucus of a political party held in this state to nominate a candidate. Election shall include a vote on a ballot question. (§49-1416)

3. Election period means the calendar year of the election. (§49-1455(2)

4. Primary election period means the period beginning with the first day of the election period through the thirty-fifth day following the primary election.

5. General election period means the period beginning with the day following the end of the primary election period through the end of the election period.

6. Expenditure shall mean a payment, donation, loan, pledge, or promise of payment of money or anything of ascertainable monetary value for goods, materials, services, or facilities in assistance of, or in opposition to, the nomination or election of a candidate or the qualification, passage, or defeat of a ballot question. An offer or tender of an expenditure is not an expenditure if expressly or unconditionally rejected or returned. (§49-1419(1))

06A. Expenditure shall include a contribution or a transfer of anything of ascertainable monetary value for the purposes of influencing the nomination or election of any candidate or the qualification, passage, or defeat of a ballot question. (§49-1419(2))

06Ai. The use by an individual of paid union leave for the purpose of supporting or opposing the nomination or election of a candidate or for the purpose of supporting or opposing the qualification, passage or defeat of a ballot question is an expenditure by the union.

06B. Expenditure shall not include: (a) An amount paid pursuant to a pledge or promise to the extent the amount was previously reported as an expenditure; (b) An expenditure for communication by a person strictly with person's paid members or shareholders; (c) An expenditure for communication on a subject or issue if the communication does not support or oppose a ballot issue or candidate by name or clear inference; (d) An expenditure by a broadcasting station, newspaper, magazine, or other periodical or publication for any news story, commentary, or editorial in support of or opposition to a candidate for elective office or a ballot question in the regular course of publication or broadcasting; or (e) An expenditure for nonpartisan voter registration activities. This subdivision shall not apply if a candidate or a group of candidates sponsors, finances, or is identified by name with the activity. This subdivision shall apply to an activity performed pursuant to the Election Act by an election commissioner or other registration official who is identified by name with the activity. (§49-1419(3))

06Bi. An expenditure for communication strictly with the person's paid members or shareholders includes a) communications not advocating or opposing the nomination or election of a candidate or the qualification, passage or defeat of a ballot issue; and b) information about a candidate or ballot issue which may include the person's expressions of support or opposition.

06Bii. A person acting as the distributor of campaign materials of a candidate, a candidate committee, or a ballot question committee to the person's paid members or shareholders is not making an expenditure for communications. The distribution is a communication from the candidate, a candidate committee, or a ballot question committee to the person's paid members or shareholders.

.07 Independent expenditure shall mean an expenditure as defined in §49-1419 by a person if the expenditure is not made at the direction of, under the control of, or with the cooperation of another person and if the expenditure is not a contribution to a committee. (§49-1428)

07A. Any expenditure which is made as a result of a request or explicit suggestion of the candidate, the committee treasurer, or anyone acting on behalf of either, shall be considered an in kind contribution and not an independent expenditure.

07Ai. The term "anyone acting on behalf of either" means any person who has actual oral or written authority, either express or implied, to make or to authorize the making of expenditures on behalf of a candidate, or any person who has been placed in a position within the campaign organization where it would reasonably appear that in the ordinary course of campaign related activities he or she may authorize expenditures.

07B. Any expenditure to distribute or republish campaign material (print or broadcast) produced or prepared by a candidate's campaign is an in-kind contribution or an independent expenditure reportable as required by law.

8. In-kind contribution or expenditure shall mean a contribution as defined in §49-1415 or expenditure as defined in subsections (1), (2), and (3) of §49-1419, other than money. (§49-1430)

9. Late contribution means a contribution as defined in section 49-1415 and 002.01 of one thousand dollars ($1,000.00) or more received after the closing date for campaign statements as provided in subdivision (1)(b) of section 49-1459. (§49-1458(5))

10. Late independent expenditure means an independent expenditure as defined in section 49-1428 of one thousand dollars ($1,000.00) or more made after the closing date for campaign statements as provided in subdivision (1)(b) of section 49-1459. (§49-1478.01(3)

11. Loan shall mean a transfer of money, property, or anything of ascertainable monetary value in exchange for an obligation, conditional or not, to repay in whole or part. (§49-1432)

12. Political party committee shall mean a state central, district, or county committee of a political party which is a committee. (§49-1441)

003 Time and Place of Filing Reports and Statements Pursuant to §49-1445 through §49-1479.02

1. Reports and statements required pursuant to §49-1445 though §49-1479.02 shall be filed with the Nebraska Accountability and Disclosure Commission.

2. Reports and statements may be filed by hand delivery, delivery by the United States Postal Service, other delivery service, email, or facsimile transmission. Reports and statements may be filed by any electronic filing system provided by the Nebraska Accountability and Disclosure Commission after the filer has been issued electronic filing credentials by the Commission.

3. A report or statement is considered timely filed if it is received by the Commission on or before the due date or if it is postmarked by the United States Postal Service on or before the due date.

4. A report or statement is considered timely filed if it is received at the Commission office at or before 11:59 p.m. Central Time on the date due and the filing is made in a manner that permits the Commission to determine the time of receipt.

5. The Commission's office hours for receiving hand deliveries of reports and statements are 8:00 a.m. to 5:00 p.m. Central Time, Monday through Friday, State holidays excepted.

004. Limitations on Loans and Interest, All Committees. A candidate committee shall not accept more than fifteen thousand dollars ($15,000) in loans prior to or during the first thirty (30) days after formation of his or her candidate committee. On and after the 31st day after a candidate committee is required to be formed pursuant to the provisions of §49-1413, the committee shall not accept loans in an aggregate amount of more than fifty percent (50%) of contributions of money received which are other than the proceeds of loans. Any loans which have been repaid as of such date shall not be taken into account for the purposes of the aggregate loan limit. (§49-1446.04)

1. The restriction on loans received on and after the 31st day after a candidate committee is required to be formed pursuant to the provisions of §49-1413 continues until the end of the term of the office to which the candidate sought nomination or election, regardless of whether the candidate is elected to office.

2. The provisions of this section are applicable to loans from any source, including loans by the candidate to his or her committee.

3. A committee shall be considered formed upon raising, receiving, or spending more than five thousand dollars ($5,000) in a calendar year. (§49-1413)

4. A candidate committee shall not pay interest on a loan made to the committee by the candidate, a member of the immediate family of the candidate, or a business with which the candidate is associated. (§49-1446.04(1))

04A. Immediate family means a child residing in a candidate's household, a spouse of the candidate, or an individual claimed by the candidate or the candidate's spouse as a dependent for federal income tax purposes. (§49-1425)

04B. Business with which the candidate is associated means a business 1) in which the candidate is a partner, limited liability company member, director, or officer; or 2) in which the candidate or a member of the candidate's immediate family is a stockholder of closed corporation stock worth one thousand dollars ($1,000) or more at fair market value or which represents more than a five percent (5%) equity interest, or is a stockholder of publicly traded stock worth ten thousand dollars ($10,000) or more at fair market value or which represents more than a ten percent (10%) equity interest. (§49-1408)

005. Petty Cash Funds, All Committees. A committee may maintain a petty cash fund out of which it may make expenditures not in excess of fifty dollars ($50) to any person in connection with a single purchase or transaction.

1. A written record of petty cash disbursements must be kept if a petty cash fund is maintained including the date and amount of payment, the name and address of the payee, and the purpose of the disbursement.

2. No check shall be made payable to cash except to replenish a petty cash fund, and such check shall be drawn only upon the official committee depository.

3. Contributions, loans, and other funds received in cash or by written instrument or from the disposition of in-kind contributions may not be used for petty cash. Such cash, checks, written instruments and proceeds must be deposited directly into a committee's designated depository.

4. Receipts and invoices shall be obtained in connection with any purchase or transaction from a petty cash fund. Such receipts and invoices shall be preserved for five (5) years and shall be made available for inspection as authorized by the Commission.

006. Record Keeping Requirements, All Committees. Each committee shall designate one account in a financial institution in Nebraska as the official depository for the purpose of depositing all contributions which it receives in the form of or which are converted to money, checks, or other negotiable instruments and for the purpose of making all expenditures. No expenditure shall be made by a committee without the authorization of the treasurer or the assistant treasurer. The contributions received or expenditures made by a candidate or an agent of a candidate shall be considered received or made by the candidate committee. (Ref. §49-1446)

The treasurer of each committee shall maintain detailed records of all contributions or other receipts and all expenditures, including all bank statements, deposit slips, cancelled checks, receipts, bills, invoices, and other written records to document the following:

1. The name and address of each contributor, the amount of each contribution, the date of receipt of each contribution, and the cumulative amount contributed by each contributor for the election period or annual reporting period. Contributions received from a political committee must include the full name of the committee's treasurer.

01A. Cash contributions of fifty dollars ($50) or less received as the result of a fund raising event pursuant to the provisions of §49-1472(2) need not include the name and address of the contributor.

01B. Contributions received by an individual acting in behalf of the committee shall be reported promptly to the committee's treasurer not later than five (5) days before the closing date of any Campaign Statement required to be filed by the committee. (§49-1446(5))

01Bi. If the contribution is received less than five (5) days before the closing date, the contribution shall be reported to the committee treasurer immediately. (§49-1446(5))

01Bii. A contribution shall be considered received by a committee when the contribution is received by the committee treasurer or a designated agent of the committee treasurer notwithstanding the fact that the contribution is not deposited in the official depository by the reporting deadline. (§49-1446(6))

01Biii. Contributions received by a committee shall not be commingled with any funds of an agent of the committee or any other person except for funds received or disbursed by a separate segregated political fund for the purpose of supporting or opposing candidates and committees in elections in states other than Nebraska and candidates for federal office as provided in §49-1469.06. (§49-1446(7))

01C. Contributions which are in-kind must include the value and a description of the thing of value provided.

01D. Earmarked contributions received pursuant to the provisions of §49-1479.01 must include the full name and address of the actual contributor of the funds and of the intermediary or agent.

01E. Pledges must include and the name and address of the person making the pledge, the date the pledge was made, the amount of the pledge, and the date the pledge is expected to be paid.

2. The name and address of each person making a loan to the committee, the date and the amount of the loan, and the name and address of any guarantor of the loan.

02A. Records shall be maintained by the treasurer as to the repayment of the loan, including the amount and date of each payment on the loan.

02B. The treasurer shall maintain a copy of the check, money order or other written instrument by which any loan repayment is made.

3. The full name and street address of each payee, the date of each expenditure, and a description of the goods or services for which the expenditure was made.

03A. If the person providing the consideration for which any expenditure is made is other than the payee, the full name and street address of that person shall also be recorded.

03B. If expenditures are made to an agent or independent contractor and the agent or contractor makes expenditures on behalf of the committee, a detailed record of such expenditures shall be obtained and kept with other committee records.

03C. Records maintained of expenditures shall include all bank statements issued by the financial institution in which the account is located and all cancelled checks.

03Ci. In the event that the financial institution normally provides only photocopies of cancelled checks, the photocopies of the cancelled checks shall be maintained by the treasurer.

03Cii. In the event that the financial institution does not normally provide either cancelled checks or photocopies of cancelled checks except on request and/or for a charge, the treasurer need not maintain copies of the checks, but shall secure copies of the checks at the committee's own expense if so requested by the Commission.

03Ciii. A check register, log, or ledger of the checks issued on the official depository shall be maintained by the treasurer.

03Civ. A ledger or other record of the name and address of each payee from the official depository, including the amount paid, the date paid, and a description of the goods or services provided, shall be maintained by the treasurer.

03Cv. Invoices, bills and cash register receipts shall be maintained by the treasurer for all expenditures.

4. All candidate committee and ballot question committee records shall be kept for a period of five (5) years after dissolution of the committee. All committee records, except those of candidate committees and ballot question committees, shall be kept for a period of ten (10) years after the date the record was created or for a period of five (5) years after the dissolution of the committee, whichever is sooner.

007. Late Contributions; §49-1458

1. A late contribution means a contribution of one thousand dollars or more received after the closing date for campaign statements as provided in subdivision (1)(b) of §49-1459.

2. A committee which receives a late contribution shall report the contribution to the Commission within two days after the date of the its receipt.

3. The report shall include the full name, street address, occupation, employer, and principal place of business of the contributor. The report shall also include the amount of the contribution and the date of receipt.

4. A report of late contribution may be filed electronically if the filer has been issued filing credentials by the Commission.

008. Late Independent Expenditures; §49-1478.01

1. An independent committee, including a separate segregated political fund, which makes a late independent expenditure shall report the expenditure to the Commission within two days after the date of the expenditure.

2. The report shall include the committee's full name, street address, the amount of the expenditure and the date of the expenditure. The report shall also include the full name and street address of the recipient of the expenditure. For the purposes of this section, the recipient of the expenditure is the person or persons who provide the goods or services as consideration for the late independent expenditure.

3. The report shall include the name and office sought of the candidate whose nomination or election is supported or opposed by the expenditure and the identification of the ballot question, the qualification, passage, or defeat of which is supported or opposed by the expenditure. The report shall state whether the candidate or ballot question identified is supported or opposed by the expenditure.

4. A late independent expenditure means an independent expenditure as defined in §49-1428 of one thousand dollars or more made after the closing date for campaign statements as provided in subdivision (1)(b) of §49-1459.

5. A report of late independent expenditure may be filed electronically if the Commission has issued filing credentials to the filer.

009. Late Fees and Civil Penalties; Responsibility of Candidates and Committee Treasurers; §49-1447

1. For any committee other than a candidate committee, the committee treasurer shall be responsible for filing all statements and reports of the committee under the Nebraska Political Accountability and Disclosure Act. The committee treasurer shall be personally liable, subject to §011, for any late filing fees, civil penalties, and interest that may be due under the Nebraska Political Accountability and Disclosure Act as a result of a failure to make such filings.

2. For candidate committees, the candidate shall be responsible for filing all statements and reports required to be filed his or her candidate committee under the Nebraska Political Accountability and Disclosure Act. The candidate shall be personally liable for any late filing fees, civil penalties, and interest that may be due under either act as a result of a failure to make such filings and may use funds of the candidate committee to pay such fees, penalties, and interest.

010. Interest on Late Filing Fees and Civil Penalties; Section 49-1463.02

1. Interest shall accrue on all late filing fees and civil penalties imposed under the Nebraska Political Accountability and Disclosure Act at the rate specified in section 45-104.02, as such rate may from time to time be adjusted.

2. The interest shall begin to accrue thirty days after the Commission sends notice to the person of the assessment of the late filing fee or civil penalty.

3. A written request filed with the Commission for relief from late filing fees shall stay the accrual of interest on a late filing fee until such time as the Commission grants or denies the relief.

4. Interest on an unpaid late filing fee and civil penalty shall be simple interest.

04A. The daily accrual of interest shall be calculated by dividing the amount of the annual interest by 365.

04B. At the time of payment interest may be rounded down to the nearest dollar.

04C. When the interest rate changes in accordance with the provisions of §45-104.02, the new interest rate shall thereafter be applied to any unpaid late filing fees and civil penalties including those late fees and civil penalties previously assessed.

.05 Payment of late filing fees, civil penalties and interest shall be applied first to the interest and then to the principal of the late filing fees and civil penalties.

011. Ballot Question Committees; Posting of Bonds to Guaranty Payment of Late Filing Fees, Civil Penalties and Interest §49-1461.01.

1. A ballot question committee shall file with the Commission a surety bond running in favor of the State of Nebraska with surety by a corporate bonding company authorized to do business in this state and conditioned upon the payment of all fees, penalties, and interest which may be imposed under the Nebraska Political Accountability and Disclosure Act.

2. A bond in the amount of five thousand dollars shall be filed with the Commission within thirty days after the committee receives contributions or makes expenditures of more than one hundred thousand dollars in a calendar year. The amount of the bond shall be increased by five thousand dollars for each additional five hundred thousand dollars received or expended in a calendar year.

3. Proof of any required increase in the amount of the bond shall be filed with the Commission within thirty days after each additional five hundred thousand dollars is received or expended.

4. Upon any failure to pay late filing fees, civil penalties, or interest due under the Nebraska Political Accountability and Disclosure Act, the Commission shall first attempt to recover from the proceeds of the bond priorto proceeding to recovering from the treasurer of the committee.

012. Ballot Question Committees; Release of Bond

1. A ballot question committee which has posted a bond to guarantee the payment of any late filing fee or civil penalty may apply to the Commission for leave to terminate the bond.

2. The Commission shall grant leave to terminate the bond upon a finding that the ballot question committee: a) has no outstanding late filing fees or civil penalties; b) has filed all campaign statements related to the ballot question election or the ballot question qualification process; and c) is not currently supporting or opposing the qualification, passage or defeat of a ballot question.

History

• Effective 2015-12-09