Minnesota LegislatureOffice of the Revisor of Statutes
Minnesota Administrative Rules
CHAPTER 4501, GENERAL PROVISIONS
CAMPAIGN FINANCE AND PUBLIC DISCLOSURE BOARD
| Part | Title |
|---|---|
| 4501.0010 | SCOPE AND AUTHORITY. |
| 4501.0100 | DEFINITIONS. |
| 4501.0200 | SECURITIES. |
| 4501.0300 | CERTIFICATION, SIGNATURES, AND NOTARIZATION. |
| 4501.0400 | DETERMINATION OF LOCAL OR PUBLIC OFFICIAL STATUS. |
| 4501.0500 | FILINGS, SUBMISSIONS, AND DISCLOSURES. |
| 4501.0600 | [Repealed, L 2005 c 156 art 6 s 68] |
| 4501.0700 | ASSESSMENT OF LATE FILING FEES. |
4501.0010 SCOPE AND AUTHORITY.
This chapter and chapters 4503 to 4525 govern compliance with the Ethics in Government Act, Minnesota Statutes, chapter 10A. This chapter contains provisions and definitions of general application. This chapter and chapters 4503 to 4525 are adopted pursuant to Minnesota Statutes, section 10A.02, subdivision 13, paragraph (a).
Statutory Authority:
MS s 10A.02
History:
20 SR 2504; L 2015 c 73 s 26
Published Electronically:
September 1, 2015
4501.0100 DEFINITIONS.
Subpart 1.
Scope.
The definitions in this part apply to this chapter and chapters 4503 to 4525 and Minnesota Statutes, chapter 10A. The definitions in Minnesota Statutes, chapter 10A, also apply to chapters 4503 to 4525.
Subp. 2.
Address.
"Address" means the complete mailing address, including the zip code. An individual may use either the person's business address or home address. An association's address is the address from which the association conducts its business.
Subp. 2a.
Audit trail.
"Audit trail" means documentation of submission of an electronic file or facsimile transmission to the board. The audit trail includes the date and time at which the facsimile transmission or electronic file submission was made and a copy of any verification report or message received from the board.
Subp. 3.
Business day.
A "business day" is from 8:00 a.m. to 4:30 p.m., Monday through Friday, except for official state holidays.
Subp. 4.
Compensation.
"Compensation" means every kind of payment for labor or personal services, including any amount withheld by an employer for the payment of income tax. Compensation does not include payments for Federal Insurance Contributions Act taxes; unemployment taxes, insurance, or benefits; workers' compensation insurance or benefits; disability insurance or benefits; life insurance; health care insurance or benefits; retirement benefits; or pension benefits.
Subp. 4a.
Electronic file.
"Electronic file" means a report or statement required by Minnesota Statutes, chapter 10A, and submitted to the board using an electronic filing system.
Subp. 4b.
Electronic filing system.
"Electronic filing system" means the computer-based systems developed by the board to transfer an electronic file of data that meets the filing and reporting requirements of Minnesota Statutes, chapter 10A.
Subp. 4c.
Facsimile transmission.
"Facsimile transmission" means the use of a fax machine or email to submit an electronic image of a report or statement to the board.
Subp. 5.
Honorarium.
"Honorarium" means anything of value given or received for services such as making speeches, writing articles, or making presentations when there is no obligation on the part of the giver to make payment.
Subp. 6.
Money.
"Money" means cash and cash equivalents such as checks, money orders, travelers checks, negotiable instruments, and other paper commonly accepted by a bank as a deposit. A transfer of money includes an electronic transfer of funds.
Subp. 7.
Occupation.
"Occupation" means a person's usual trade, profession, employment, or other similar endeavor, and includes categories for which there is no direct financial compensation, such as homemaker.
Subp. 7b.
Original signature.
"Original signature" means:
A.
a signature in the signer's handwriting or, if the signer is unable to write, the signer's mark or name written in the handwriting of another or applied by stamp at the request, and in the presence, of the signer;
B.
an electronic signature consisting of the letters of the signer's name, applied using a cursive font or accompanied by text or symbols clearly indicating an intent to apply a signature, including but not limited to the letter S with a forward slash mark on one or both sides of the letter S or the placement of a forward slash mark before and after the signer's name; or
C.
the signer's name on the signature line of an electronic file submitted using the filer's personal identification code.
Subp. 7c.
Personal identification code.
"Personal identification code" is a confidential user name and password provided by the board and required to use an electronic filing system.
Subp. 8.
Principal place of business.
"Principal place of business" means:
A.
for an employed person, the name of the employer and the address from which the employee conducts the employer's business;
B.
for a self-employed person or a person not employed, the address from which the person conducts business or personal matters; or
Subp. 9.
Promptly.
"Promptly" means within ten business days after the event that gave rise to the requirement.
History:
20 SR 2504; 21 SR 1779; 30 SR 903; 49 SR 979
Published Electronically:
March 17, 2025
4501.0200 SECURITIES.
Subp. 3.
Holder of securities.
A "holder of securities" is an individual having an ownership interest in a security, or who is the trustee or beneficiary of a trust having an ownership in a security. An individual owning shares in a mutual fund does not have an ownership interest in underlying securities owned by the fund.
Subp. 4.
Valuation of securities.
The value of a security is its fair market value. For securities traded on national exchanges, the fair market value is the closing bid price for the security on a given date. The value of a partial interest in a security is the value of the holder's proportionate share.
Subp. 5.
Exception for charitable trusts.
Trustees of associations organized for charitable, philanthropic, religious, social service, educational, or other public use or purpose are not holders of securities owned by the associations.
Statutory Authority:
MS s 10A.02
History:
20 SR 2504; L 2018 c 119 s 34
Published Electronically:
June 29, 2018
4501.0300 CERTIFICATION, SIGNATURES, AND NOTARIZATION.
Subp. 1a.
Signature required.
The original signature of the person responsible for preparation or filing of a report or other document is required to make the report or document complete. Only signed reports or documents may be filed with the board. A document filed by facsimile transmission meets the requirements of this part if the original document being transmitted bears the required signature. An electronic filing meets the requirement of this part if it is submitted with a personal identification code. The board must provisionally accept an initial registration submitted without a personal identification code pending a confirmation of the registration.
Subp. 2.
Certification.
The signature of a person authorized to sign a report or form constitutes certification by that person of the truth and accuracy of the report or form.
History:
20 SR 2504; L 2005 c 156 art 6 s 68; 30 SR 903; L 2017 1Sp4 art 3 s 18
Published Electronically:
August 16, 2017
4501.0400 DETERMINATION OF LOCAL OR PUBLIC OFFICIAL STATUS.
Subpart 1.
Metropolitan governmental units to determine local official status.
Annually, each metropolitan governmental unit must determine which positions within the metropolitan governmental unit constitute its local officials and must provide the board with a list of those positions.
Subp. 2.
Acting or part-time local or public official.
An individual who fills a local or public official position on an acting or part-time basis is a local or public official.
Statutory Authority:
MS s 10A.02
History:
20 SR 2504
Published Electronically:
February 28, 2006
4501.0500 FILINGS, SUBMISSIONS, AND DISCLOSURES.
Subpart 1.
Format.
A report or statement required under Minnesota Statutes, section 10A.20, must be filed electronically in a format specified by the board, to the extent required by that section. Any other report or statement required under Minnesota Statutes, chapter 10A, must be filed electronically in a format specified by the board or on the forms provided by the board for that purpose. The board may provide alternative methods for submitting information, including other means for the electronic submission of data.
Subp. 3.
Filings on nonbusiness days.
If a scheduled filing date falls on a Saturday, Sunday, or state holiday, the filing is due on the next business day.
History:
20 SR 2504; 21 SR 1779; L 2005 c 156 art 6 s 68; 30 SR 903; L 2017 1Sp4 art 3 s 18; L 2018 c 119 s 34; 49 SR 979
Published Electronically:
March 17, 2025
4501.0600
[Repealed, L 2005 c 156 art 6 s 68]
Published Electronically:
February 28, 2006
4501.0700 ASSESSMENT OF LATE FILING FEES.
Late filing fees are not assessed for Saturdays, Sundays, or state holidays.
Statutory Authority:
MS s 10A.02
History:
20 SR 2504
Published Electronically:
February 28, 2006
Official Publication of the State of Minnesota
Revisor of Statutes