STATE OF MINNESOTA

ETHICAL PRACTICES BOARD

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Friday, May 31, 1996

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St. Croix Room

Second Floor, Centennial Office Building

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MINUTES

Meeting was called to order by Acting Chair Rodriguez.

Members present: Owens Hayes, Pauly, Rodriguez, Wilson.

Others present: Olson, Goldsmith, Swanson, Maloney, staff; Becicka, counsel.

Mr. Anderson informed staff by letter dated April 30, 1996, that he would be unable to attend the Board meeting.

MINUTES (April 26, 1996)

Ms. Owens Hayes' MOTION: To approve the April 26, 1996, minutes as drafted.

Vote on MOTION: Unanimously passed.

CHAIR'S REPORT

Board Appointment - Three applications for the Board's vacant position have been received in the Governor's office. The Governor cannot appoint a new member prior to June 7, 1996.

Nominating Committee Report

Ms. Owens Hayes' MOTION: To nominate and elect Carolyn Rodriguez as Chair, Barry Anderson as Vice Chair, and Nancy Wilson as Secretary of the Ethical Practices Board for June of fiscal year 1996 and for fiscal year 1997.

Vote on MOTION: Unanimously approved.

Board Retreat - Board members reviewed and discussed a proposed time schedule and agenda for the retreat and June Board meeting to be held June 20 and 21, 1996, at the Riverwood Conference Center, Monticello, MN. Board members and attending staff will meet at the center at noon on the 21st.

Board Meeting Schedule - Board members reviewed proposed dates for Board meetings for fiscal year 1997 (see copy attached). Next Board meeting: Friday, June 21, 1996, following the Board retreat.

EXECUTIVE DIRECTOR'S REPORT

Personnel - Ms. Olson introduced Diana Berg, staff Information Systems Specialist, who began her employment with the Board on May 6, 1996.

Client training - Ms. Olson informed Board members about Continuing Legal Education classes she has and will participate in and four DFL Senate candidate groups that she and Mr. Goldsmith have been invited to speak at concerning campaign finance laws and the 1996 elections. A copy of the scheduled 1996 Campaign Finance Workshops was provided to Board members.

Communications with the Legislature - At its meeting of April 26, 1996, the Board directed staff to draft a letter for approval at the May meeting informing legislative leadership about the reporting of goods and services purchased with principal campaign committee funds at less than fair market value. A copy of the letter was provided to Board members who approved the content (see copy attached).

Board office rental matters - Ms. Olson reported that she met with Bev Kroiss, Real Estate Management and Jim Whipkey, Building Construction Division, Department of Administration in regard to expanding the Board office space into the existing storage space next to the staff client area. Ms. Kroiss and Mr. Whipkey will be submitting a proposal that will include taking down the existing wall and finishing off the storage room space for future client/staff use. Additionally, Ms. Kroiss told Ms. Olson that there is currently space available on the third floor of the Centennial Building for Board meetings and client training. Ms. Kroiss is putting together a proposal for construction and monthly rental cost. Staff will keep Board members informed of these possible projects.

Correspondence

. Peter Wattson and Joel Michael - Ms. Olson directed Board members attention to letters received in the Board office from Peter Wattson and Joel Michael regarding constituent services and use of state property (see copies attached).

Enforcement Report

Mr. Maloney presented the following enforcement matters for Board action:

. Waiver Requests

CAMPAIGN FINANCE PROGRAM - Principal Campaign Committee - Nonfiling of timely notice of large contribution received before Special General Election Senate District 14

Thomas St. Martin, deputy treasurer, Friends of (Michelle) Fischbach, 1-3404 14, $250; first waiver request.

Ms. Owens Hayes' MOTION: To approve Mr. St. Martin's request to waive the $250 late filing fee due to extenuating circumstances.

Vote on MOTION: Unanimously passed

. Nonfiling of the Lobbyist Disbursement Report - Report due 4/15/96

This matter is before the Board for the authorization of a third certified letter to be sent on June 3, 1996, for nonfiling of the lobbyist disbursement report due 4/15/96, and for the subsequent referral of the matter to the attorney general's office for further enforcement if the report is not

filed. All but 8 of the 3,005 lobbyists have filed the lobbyist disbursement report. Each lobbyist listed below has been sent a compliance letter and two certified notices of delinquency, including notice that the matter would be referred to the Board at its meeting of May 31, 1996. Staff has attempted telephone contact with each of these lobbyists. Thirty lobbyists with reports outstanding on May 16, 1996, were reported to the legislative leadership and 11 lobbyists with reports outstanding on May 28, 1996, were reported to the legislative leadership. As of today, the following lobbyists are due to receive a third certified letter:

Robert Benner, (Northwest Airlines Incorporated), Ann Marie DeGroot, (Gay and Lesbian Community Action Council), Denise M. DeVaan, (Minnesota Community Action Association), Mark Nygaard, (R-Kids Remember Kids in Divorce Settlements), Charles J. O'Connor, (Self), Charles J. O'Connor, (Workers' Compensation Lobby), Robert E. Ryan, (Continental Cablevision of St. Paul Incorporated), and Ken Smith, (Fathers Who Care).

Ms. Wilson's MOTION: To send Third Official Notice of Delinquency to Mr. Benner, Ms. DeGroot, Ms. DeVaan, Mr. Nygaard, Mr. O'Connor, Mr. Ryan, and Mr. Smith and authorize the subsequent referral of the matter to the attorney general's office for further enforcement if the report is not filed.

Vote on MOTION: Unanimously passed.

. Nonfiling of the Supplementary Statement of Economic Interest - Statement due 4/15/96

This matter is before the Board for the authorization of a third certified letter to be sent on June 3, 1996, for nonfiling of the supplementary statement of economic interest due 4/15/96, and for the subsequent referral of the matter to the attorney general's office for further enforcement if the statement is not filed. All but 7 of the 1,435 public officials have filed the supplementary statement of economic interest. Each public official listed below has been sent a compliance letter and two certified notices of delinquency, including notice that the matter would be referred to the Board at its meeting of May 31, 1996. Staff has attempted telephone contact with each of these public officials. As of today, the following public officials are due to receive a third certified letter:

Nellie Stone Johnson, (Minnesota State Colleges and Universities), Eugene Joseph Clark, (Peace Officers Standards and Training Board), Peder A. Larson, (Pollution Control Agency), Donna Meigs, (Private Detective/Protective Agent Services Board), Harvey D. Linder, (Psychology Board), Margaret Dolan, (State Board for Community Colleges), and Bill Wilson, (World Trade Center Corporation).

Ms. Pauly's MOTION: To send Third Official Notice of Delinquency to Ms. Stone Johnson, Mr. Clark, Mr. Larson, Ms. Meigs, Mr. Linder, Ms. Dolan, and Mr. Wilson and authorized the subsequent referral of the matter to the attorney general's office for further enforcement if the statement is not filed.

Vote on MOTION: Unanimously passed.

. Nonfiling of the Original Statement of Economic Interest - Statement due 4/29/96

This matter is before the Board for the authorization of a third certified letter to be sent on June 3, 1996, for nonfiling of the original statement of economic interest due 4/29/96, and for the subsequent referral of the matter to the attorney general's office for further enforcement if the report is not filed. This public official has been sent a compliance letter and two certified notices of delinquency, including notice that the matter would be referred to the Board at its meeting of May 31, 1996. Staff has attempted telephone contact with this public official. As of today, the following public official is due to receive a third certified letter:

John Culliton (Minnesota Amateur Sports Commission)

Ms. Wilson's MOTION: To send Third Official Notice of Delinquency to Mr. Culliton and authorize the subsequent referral of the matter to the attorney general's office for further enforcement if the statement is not filed.

Vote on MOTION: Unanimously passed.

. Nonpayment of late filing fee for the late filing of the Lobbyist Disbursement Report due

1/16/96

This matter is before the Board for the authorization of a third certified letter to be sent for the nonpayment of the late filing fee for the late filing of the lobbyist disbursement report and for the subsequent referral of the matter to the attorney general's office for further enforcement if the payment of the late filing fee is not made. The lobbyist has been sent two late filing fee notices, including notice that this matter would be referred to the Board at its meeting of May 31, 1996. Staff has attempted telephone contact with this lobbyist:

Albert Garcia (Classic Affairs dba Sheiks Gentleman's Club), $40; (Knutson/Barton Mallow), $40; (Miller and Schroeder Financial Incorporated), $40; (Minneapolis Firefighters Relief Association), $40; (Minneapolis Taxi Federation), $40; and (Municipal Parking Incorporated), $35.

Ms. Wilson's MOTION: To send Third Official Notice of Delinquency to Mr. Garcia and authorize the subsequent referral of the matter to the attorney general's office for further enforcement if the late filing fees are not paid.

Vote on MOTION: Unanimously passed.

. Nonpayment of late filing fee for the late filing of the Report of Receipts and Expenditures

due 1/31/96

This matter is before the Board for the authorization of a third certified letter to be sent for nonpayment of the late filing fee for the late filing of the report of receipts and expenditures and for the subsequent referral of the matter to the attorney general's office for further enforcement if payment of the late filing fee is not made. The treasurers listed below have been sent two late filing fee notices, including notice that this matter would be referred to the Board at its meeting of May 31, 1996. Staff has attempted telephone contact with each of these treasurers.

Jual Carlson, treasurer, The Committee to Elect (Jual) Carlson; Minnesota State Auditor, $100; and Jerry Beedle, treasurer, Labor Solidarity Committee, $55.

Ms. Wilson's MOTION: To send Third Official Notice of Delinquency to Mr. Carlson and Mr. Beedle and authorize the subsequent referral of the matter to the attorney general's office for further enforcement if the late filing fees are not paid.

Vote on MOTION: Unanimously passed.

. Board action on next step of amendment process

Scott Sherrick, treasurer, St. Paul Pipefitters Local 455 PAC, 3-0325. This matter is before the board for review of a matter relating to a political fund whose cash balances do not reconcile. This committee registered with the Board on 8/21/90. There is a balance discrepancy between the ending cash balance on the January 31, 1995, report ($4,591.70) and the beginning cash balance on the January 31, 1996, report ($8,504.11).

According to a letter, received in the Board office on May 8, 1996, from Wayne Schibilla, certified public accountant for Mr. Sherrick, after 15 hours of investigation by Mr. Sherrick and two hours of review by Mr. Schibilla, Mr. Schibilla maintains the information filed for 1995 is correct. Mr. Sherrick and Mr. Schibilla have been unable, however to reconcile the records for the reports from 1990 through 1994. The prior treasurer did not cooperate with them during their investigation process.

Staff requests Board direction on whether to take further action.

Ms. Owens Hayes' MOTION: Direct staff to request a sworn statement from Mr. Sherrick explaining what he believes is the cause of the discrepancy.

Vote on MOTION: Unanimously passed.

Mr. Maloney presented a report regarding payment of the following late filings fees:

. Payment of late filing fees

George W. Bateman, treasurer, (George) Bateman for Representative, #1-2493 37B, $517.25 (paid through Chapter 13 bankruptcy; $4,474.87 return of public financing remains to be paid for 1990). The Board is on a payment plan through the bankruptcy trustee. It is valid until 1997. Partial repayment of the return of public subsidy based on the 9/19/90, Affidavit of Contributions and the 1/31/91, Report of Receipts and Expenditures.

George Gregorich, treasurer, (George) Gregorich Campaign Fund, #1-3213 7A, $250 for the late filing of the Pre-Primary Election Report of Receipts and Expenditures due 9/6/94. Monthly installment payments of $25 began October 1, 1995, to date payments totaling $175.55 have been paid.

Charles Ferguson, (American Legion of Minnesota), $30 - Late filing fee for the late filing of the Lobbyist Disbursement Report due 4/15/94, through revenue recapture.

Mary Lewis Grow, (Citizens for a Safer Minnesota), $100 - Late filing fee for the late filing of the Lobbyist Disbursement Report due 1/16/96.

Shelly Martin, deputy treasurer, (Kevin) Chandler for Senate, #1-2329 55, $100; Herminia Cardenas, treasurer, Neighbors for (Carlos) Mariani Committee, #1-2353 65B, $70; David K. Meier, treasurer, (David) Meier Volunteer Committee, #1-3191 57A, $60; Grant Lebens, treasurer, (Patrick) Rosenstiel for Legislature Committee, #1-3104 59B, $100; Shelley Cash, treasurer, 2nd Congressional District RPM, #2-0471, $80, all late filing fees for the late filing of the Report of Receipts and Expenditures due 1/31/96.

All payments have been deposited in the general fund of the state under Minn. Stat. §10A.34.

. Payment of Civil Penalty

(Tim) Finseth for State Representative Committee, #1-2920 1B - The Board investigated, in executive session, on April 26, 1996, the committee's acceptance of a contribution, during 1995, which exceeded the applicable contribution limit. On May 14, 1996, the (Tim) Finseth for State Representative Committee paid a civil fine of $600, one and one-half times the amount of the excess contribution. Representative Finseth entered into a conciliation agreement with the Board to remedy the matter that was signed by the Board's Acting Chair on May 20, 1996.

(Becky) Livermore Volunteer Committee, #1-3282 4 - The Board investigated, in executive session, on April 26, 1996, the committee's acceptance of a contribution, during 1995, which exceeded the applicable contribution limit. On May 13, 1996, the (Becky) Livermore Volunteer Committee paid a civil fine of $406.05, one times the amount of the excess contribution. Becky Livermore entered into a conciliation agreement with the Board to remedy the matter that was signed by the Board's Acting Chair on May 16, 1996.

Citizens for (Steve) Kelley Committee, #1-2764 44A - The Board investigated in executive session on April 26, 1996, the committee's acceptance of a facially-excessive contribution, during 1995, which exceeded the applicable contribution limit. Representative Kelley entered into a conciliation agreement with the Board to remedy the matter that was signed by the Board's Acting Chair on May 16, 1996. On May 31, 1996, the Citizens for (Steve) Kelley Committee paid a civil fine of $150, one and one-half times the amount of the excess contribution.

All payments of civil fines have been deposited in the general fund of the state under Minn. Stat. §10A.28.

Financial Report and Agency Deposits - Mr. Goldsmith submitted reports covering through April, 1996.

ADVISORY OPINION REQUESTS

Requests for the following advisory opinion is nonpublic data.

Advisory Opinion #237 - Potential Conflicts of Interest for Public Official

The Board reviewed a draft response to an advisory opinion request from a public official serving on a state board which granted a financial incentive package, including state funds, to a company. The public official is considering entering into a financial relationship with the company and asks the Board if this relationship would be a conflict of interest as defined in Minn. Stat. §10A.07

The Board discussed and agreed upon certain language changes to the draft advisory opinion.

Ms. Wilson's MOTION: To approve Advisory Opinion #237 as amended in Board discussion.

Vote on MOTION: Unanimously passed.

SUMMARY: ADVISORY OPINION #237 as signed by Chair Carolyn Rodriguez, May 31, 1996: A potential conflict of interest under Minn. Stat. § 10A.07 arises only when an official's financial interests or the financial interests of an associated business are substantially affected by an action or decision taken by an official in the conduct of the official's duties. In the absence of any associated business or financial interest, an official's action or decision will not raise a potential conflict of interest issue.

Request for the following advisory opinion is public data.

Advisory Opinion #238 - Award of Plaque to Legislator

The Board reviewed a draft response to an advisory opinion request from the Minnesota Licensed Beverage Association, Inc., a lobbyist principal, that asks whether the award of a plaque designating a selected legislator as "legislator of the year" and having a cost of between $20 and $100 is permitted under Minnesota Statutes Chapter 10A.

Ms. Owens Hayes' MOTION: To approve Advisory Opinion #238 as drafted.

Vote on MOTION: Unanimously passed.

SUMMARY: ADVISORY OPINION #238 as signed by Chair Carolyn Rodriguez, May 31, 1996: The award of a plaque valued at $20 to $100 by a lobbyist principal to a legislator based on performance of legislative duties is prohibited by Minn. Stat. § 10A.071.

Review of Advisory Opinion #171 - Gifts to Officials

Mr. Goldsmith informed Board members that staff has become aware that the Printing Industry of Minnesota Education Foundation continues to rely on Advisory Opinion #171, issued October 29, 1994, in inviting officials to its annual reception and dinner. The Foundation is a nonprofit corporation separate from the Printing Industry of Minnesota, a lobbyist principal, but associated closely with it and sharing the same board of directors and president.

Advisory Opinion #171 approved gifts from the Foundation to officials as long as the gifts were not paid for by the associated lobbyist principal. The opinion did not discuss the fact that such gifts would also be prohibited if they were requested by the lobbyist principal or by one of its lobbyists.

The Board directed staff to place this matter on the agenda for the July 26, 1996, Board meeting and to notify the Printing Industry of Minnesota and the Printing Industry of Minnesota Education Foundation that the Board will be reconsidering Advisory Opinion #171 and invite them to submit materials for or to be present at the meeting.

LEGAL COUNSEL'S REPORT - No report

STANDING COMMITTEE REPORTS

Personnel Subcommittee Report - No report

Publications and Forms Subcommittee Report - No report.

Legislative Recommendations and Rules Subcommittee Report - Mr. Goldsmith reported that the rules committee which met prior to the Board meeting reviewed the proposed rules procedure schedule and decided that it would need to be extended. The committee also reviewed and considered an initial group of rules changes related to general rules, Chapter 4501, and campaign finance rules, Chapter 4503. The committee also gave staff general direction on issues related to campaign contribution limits, lobbyist disclosure and fax filings. Next committee meeting will be June 21, 1996, 12:30 p.m.

OTHER BUSINESS

Enforcement of Injunctive Relief in Judgments

At the April 26, 1996, Board meeting members directed staff to review cases referred to the Attorney General's office in the matter for injunctive relief judgements, summarize the cases and report back to the Board with staff recommendations at the May meeting.

Roger Anderson, (Roger) Anderson Volunteer Committee, #12600 67A - This account was referred for failure to file a year end Report of Receipts and Expenditures for 1990, and failure to return public subsidy. A judgment was obtained on June 29, 1992. The total amount owed is $5,796.50, which includes a late filing fee, judgment interest, and public subsidy not returned. This account is at Minnesota Collection Enterprise (MCE) and is under revenue recapture. Staff recommends that present collection efforts be continued and also recommends pursuit of enforcement of the non-monetary injunctive portion of the judgment.

Ms. Owens Hayes' MOTION: To accept staff recommendation that present collection efforts and pursuit of the enforcement of the non-monetary injunctive portion of the judgment be continued.

Vote on MOTION: Unanimously passed.

Diane Listerud, Lobbyist #9584-3803, Paul Revere Pac - This account was referred for failure to file a lobbyist disbursement report due January 17, 1995. A judgment was obtained on November 11, 1995. The late filing fee and legal costs total $160. Staff spoke with Ms. Listerud and was advised by her that the Paul Revere PAC no longer exists, however Board records show that this committee has not terminated its registration with the Board. Ms. Listerud further stated that she never conducted any lobbying activity. This account is at MCE and is under revenue recapture. Staff recommends that present collection efforts be continued and to discontinue pursuit of the non-monetary injunctive portion of the judgments.

Ms. Wilson's MOTION: To accept staff recommendation that present collection efforts be continued and pursuit of the non-monetary injunctive portion of the judgment be discontinued.

Vote on MOTION: Unanimously passed.

Donald Koenig, (Don) Koenig Save Our Children From Debt and Death Committee - This account was referred for failure to file a Statement of Economic Interest due December, 1994. Mr. Koenig was previously referred to the Attorney General's office for failure to file reports of Receipts and Expenditures for his other committees. Judgments were obtained on February 19, 1986, September 18, 1986, March 19, 1987, September 4, 1987, and December 28, 1995. The total amount owed for late filing fees and court costs totaled $2,842.45. This account was placed at MCE and through their collection efforts, property belonging to Mr. Koenig was seized. The property was sold at public auction in April, 1996, and all money owed the Board has been recovered. Staff does not recommend pursuing enforcement of the non-monetary injunctive portion of the judgments.

Ms. Wilson's MOTION: To accept staff recommendation that pursuit of the enforcement of the non-monetary injunctive portion of the judgment be discontinued.

Vote on MOTION: Unanimously passed.

Sharon Anderson, (Sharon) Anderson Volunteer Committee, #11539 AG - This account was referred for failure to file the pre-primary, pre-general, and year end Reports of Receipts and Expenditures for 1994. A judgment was obtained on September 22, 1995. The late filing fees totaled $1,100. Ms. Anderson had unclaimed funds held by the Minnesota Commerce Department. The Attorney General's office executed a set-off against these funds. On December 9, 1995, the transfer was completed and all money owed the Board was recovered. Staff does not recommend pursuing enforcement the non-monetary injunctive portion of the judgment.

Ms. Owens Hayes' MOTION: To accept staff recommendation that pursuit of the enforcement of the non-monetary injunctive portion of the judgment be discontinued.

Vote on MOTION: Unanimously passed.

Douglas Hoffman, (Douglas) Hoffman Volunteer Committee, #13046 49B - This account was referred for failure to file a year end Report of Receipts and Expenditures for 1994. A judgment was obtained on January 19, 1996. Late filing fees and court costs total $250. Mr. Hoffman received $8,112.59 in public subsidy money for the 1994 election year. Based on the pre-general Report of Receipts and Expenditures the Board determined that $1,475.95 of the public subsidy funds received must be returned. A judgment is currently being sought in this matter. This account is at MCE and is under revenue recapture. Staff recommends that present collection efforts be continued and also recommends pursuit of enforcement of the non-monetary injunctive portion of the judgment.

Ms. Wilson's MOTION: To accept staff recommendation that present collection efforts and pursuit of the enforcement of the non-monetary injunctive portion of the judgment be continued.

Vote on MOTION: Unanimously passed.

Nick Tretinyak, (Nick) Tretinyak Election Committee, #12970 30A and (Nick) Tretinyak for State Auditor Committee, #13073 AC - These accounts were referred for failure to file year end Reports of Receipts and Expenditures for 1994. Judgments were obtained on December 22, 1995, for both committees. Late filing fees and court costs total $250. Both accounts are at MCE and under revenue recapture. Mail addressed to Mr. Tretinyak has been returned and attempts to locate him have been unsuccessful. The last reported balance for his House committee in 1993 was $0. No reports have been filed for his Auditor's committee. Staff recommends that present collection efforts for both accounts be continued and pursuit of the enforcement of the non-monetary injunctive portion of the judgments be discontinued.

Ms. Owens Hayes' MOTION: To accept staff recommendation that present collection efforts for both accounts be continued and pursuit of the non-monetary injunctive portion of the judgments be discontinued.

Vote on MOTION: Unanimously passed.

Michael Braboy, Treasurer, Precinct 19, #40705 - This account was referred for failure to pay a late filing fee for the untimely filing of the year end Report of Receipts and Expenditures for 1994, and for failure to amend the 1994 report. A judgment was obtained on March 18, 1996. Late filing fee and legal costs total $150. This account is at MCE and is under revenue recapture. The amended report is no longer an issue as the discrepancy was cleared up by a telephone call to Board staff by Mr. Braboy and the committee terminated its registration with the Board on the 1994 report. Staff recommends that present collection efforts be continued.

Ms. Wilson's MOTION: To accept staff recommendation that present collection efforts be continued.

Vote on MOTION: Unanimously passed.

Dale Ublehoer, Lobbyist #9583-3803, Paul Revere PAC - This account was referred for failure to file a Lobbyist Disbursement Report due April 17, 1995. A judgment was obtained on March 18, 1996. The late filing fee and legal costs total $125. This account is at MCE and is under revenue recapture. Staff recommends that present collection efforts be continued and pursuit of the enforcement of the non-monetary injunctive portion of the judgments be discontinued.

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Ms. Wilson's MOTION: To accept staff recommendation that present collection efforts be continued and pursuit of the non-monetary injunctive portion of the judgment be discontinued.

Vote on MOTION: Unanimously passed.

Nicholas Castillo, Member, Boxing Board - This account was referred for failure to file a Statement of Economic Interest due April 17, 1995. A judgment was obtained on March 27, 1996. Late filing fees and court costs total $180. This account was placed at MCE and is under revenue recapture. Mr. Castillo was replaced on the Boxing Board as of May 3, 1995. Staff recommends that present collections efforts be continued and pursuit of the enforcement of the non-monetary injunctive portion of the judgments be discontinued.

Ms. Owens Hayes' MOTION: To accept staff recommendation that present collections efforts be continued and pursuit of the enforcement of the non-monetary injunctive portion of the judgment be discontinued.

Vote on MOTION: Unanimously passed.

RECONSIDERATION OF LATE FILING FEE

Charles Ferguson, Lobbyist #4238-0027, American Legion of Minnesota - The Board considered the matter of Charles Ferguson, a lobbyist, who was assessed a $30 late fee for the late filing of the lobbyist disbursement report due April 15, 1994.

Staff review of the records indicated that Mr. Ferguson had objected to the late fee in 1994 when it was assessed, but his objection was not presented to the Board as a waiver request at that time and no action was taken. Mr. Ferguson filed the missing report on June 9, 1994, and terminated his registration.

On May 30, 1996, staff received notification that $30 had been seized through Revenue Recapture. On the same day Mr. Ferguson called staff and said that he did not know that funds would be taken from tax refunds due to him and that he does not feel he owes the late filing fee.

Ms. Wilson's MOTION: To: 1) consider Mr. Ferguson's objection as a request to waive the late filing fee; 2) waive the $30 late filing fee; and 3) return the $30 fee and $10 processing charge to Mr. Ferguson.

Vote on MOTION: Unanimously passed.

REPORT FROM EXECUTIVE SESSION

FINDINGS IN THE MATTER OF A COMPLAINT REGARDING ROGER MOE

Mr. Goldsmith reported that in executive session the Board made findings in the matter of a complaint regarding Roger Moe, briefly described the findings and indicated that pursuant to Minn. Stat. § 10A.02, subd. 11, the Board's findings concerning probable cause would be reported by the Executive Director of the Ethical Practices Board to the appropriate law enforcement authorities and the investigation were brought forward into public record (see findings attached).

FINDINGS IN THE MATTER OF (ARNE) CARLSON/(JOANNE) BENSON VOLUNTEER COMMITTEE

Mr. Goldsmith reported that in executive session the Board made findings in the matter of an investigation regarding the (Arne) Carlson/(Joanne) Benson Volunteer Committee, briefly described the findings and indicated that pursuant to Minn. Stat. § 10A.02, subd. 11, the Board's findings concerning probable cause and the investigation were brought forward into public record (see findings attached).

FINDINGS IN THE MATTER OF MARLAINE SZUREK, (MARLAINE) SZUREK VOLUNTEER COMMITTEE

The Board found that there was sufficient evidence to support a finding that probable cause existed to believe that the Szurek Volunteer Committee violated Minn. Stat. §10A.27, subd. 9(a), when it gave a $100 contribution to the Szurek for Senate Committee on November 9, 1995. Minn. Stat. Ch. 10A provides no penalty for this violation. The Board ordered that the record of the investigation be brought forward into public record (see findings attached).

ADJOURNMENT

Meeting adjourned.

Respectfully submitted,

Nancy Wilson, Secretary

(Minutes by staff)

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