Part I Introduction to Administrative Procedure
Chapter 1. The Development of Administrative Procedure
Revised by Mark Shepard
- 1.1 Introduction
- 1.2 The Origins of the Minnesota Administrative Procedure Act (APA)
- 1.3 Perceived Inadequacies in the Administrative Procedure Act
- 1.4 The Response of the Legislature in the Mid-1970s
- 1.5 Amendments to the Rulemaking Procedures 1975-1995
- 1.6 Amendments to the Contested Case Procedures
- 1.7 The CORE and LCRAR Reports
- 1.8 The 1995 Amendments
- 1.9 Subsequent Changes
- 1.10 Conclusion
Chapter 2. Researching Administrative Law 21
Revised by Neal Axton
- 2.1 Introduction
- 2.2 Agencies
- 2.3 Minnesota Rules
- 2.3.1 Adoption and Publication
- 2.3.2 Historical Research
- 2.3.3 Rulemaking Aids
- 2.4 Federal Regulations
- 2.5 Decisions and Orders of Administrative Agencies
- 2.6 Opinions of the Attorney General
- 2.7 Legislative Research
- 2.8 Secondary Sources in Administrative Law
Part II Contested Case Procedure
Chapter 3. Agency Investigations
Revised by Lynn Belgea
- 3.1 Introduction
- 3.2 Investigations
- 3.3 General Procedures
- 3.4 Specific Procedures
- 3.4.1 Inspections
- 3.4.2 Other Investigations
- 3.5 Agency Subpoenas
- 3.6 Prosecutorial Discretion and Selective Enforcement
- 3.7 Combination of Investigatory and Adjudicative Functions
- 3.8 Classification of Investigative Data under Minnesota Law
Chapter 4. Introduction to Contested Cases and the Office of Administrative Hearings
Revised by Tammy L. Pust
- 4.1 Definition of Contested Case
- 4.2 Right to a Hearing Arising from Statute or Rule
- 4.3 Right to a Hearing Arising from Due Process
- 4.4 What Process Is Due under the Constitution?
- 4.5 The Office of Administrative Hearings and the Administrative Law Judge (ALJ)
- 4.6 Disqualification of the Administrative Law Judge
- 4.7 Overview of a Contested Case Proceeding
Chapter 5. Notice of the Hearing
Revised by George Beck
- 5.1 Reasonable Notice Required
- 5.2 Contents of the Notice of and Order for Hearing
- 5.3 Service of the Notice of and Order for Hearing
Chapter 6. Parties
Revised by Sam Orbovich
- 6.1 Party Status
- 6.2 Intervention
- 6.2.1 Petition
- 6.2.2 Objections and Hearing
- 6.2.3 Adequacy of Existing Representation
- 6.2.4 Intervention as a Right or Privilege
- 6.2.5 Time for Intervention
- 6.2.6 Who May Intervene
- 6.2.7 Scope of Intervention
- 6.2.8 Participation without Intervention
- 6.2.9 Failure to Intervene
- 6.2.10 Appeal from Denial of Intervention
- 6.3 Consolidation and Bifurcation
- 6.3.1 Consolidation
- 6.3.2 Bifurcation of Issues
Chapter 7. Prehearing Practice
Revised by Tammy L. Pust
- 7.1 Change of Location, Date of Hearing, and Continuances
- 7.1.1 Change of Location
- 7.1.2 Date and Time
- 7.1.3 Continuances
- 7.1.4 Stays
- 7.2 The Right to Counsel or Other Representation
- 7.3 Prehearing Conferences and Settlement Procedures
- 7.3.1 Prehearing Conferences
- 7.3.2 Settlement Procedures
- 7.3.3 Settlement Conference
- 7.3.4 Mediation
- 7.4 Motions and Subpoenas
- 7.5 Informal Dispositions, Settlement Agreements, Consent Orders, and Defaults
- 7.5.1 Settlement Agreements and Consent Orders
- 7.5.2 Defaults
Chapter 8. Discovery
Revised by Tammy L. Pust
- 8.1 Introduction
- 8.2 Authority to Provide for Discovery
- 8.3 Requirement of a Contested Case under the Administrative Procedure Act
- 8.4 Discovery Available as a Matter of Right
- 8.5 Discovery Available at the Discretion of the Administrative Law Judge
- 8.6 Constitutional Right to Discovery
- 8.7 Sanctions for Failure to Make Discovery
Chapter 9. Discovery Limitations
Revised by Tammy L. Pust and Jean Boos
- 9.1 Introduction
- 9.2 Relevancy
- 9.3 Privilege
- 9.3.1 Introduction
- 9.3.2 Statutory Privilege
- 9.3.2(1) Marital Privilege
- 9.3.2(2) Attorney-Client Privilege
- 9.3.2(3) Clergy
- 9.3.2(4) Health Care Professionals
- 9.3.2(5) Public Officers
- 9.3.2(6) Interpreters
- 9.3.2(7) Parent-Child Privilege
- 9.3.2(8) Sexual Assault Counselor Privilege
- 9.3.2(9) Mediation and Alternative Dispute Resolution Privilege
- 9.3.2(10) News Media
- 9.3.3 Attorney Work Product
- 9.3.4 Limitations on Discovery from Governmental Entities
- 9.3.4(1) State Secret Privilege
- 9.3.4(2) Agency Deliberative Privilege
- 9.3.4(3) Mental Process Privilege
- 9.3.4(4) Investigatory Files
- 9.3.4(5) Identity of Informants
- 9.3.4(6) Asserting the Governmental Privilege
- 9.4 Self-Incrimination
- 9.5 Discovery Related to Constitutional Questions
- 9.6 Proprietary Data
- 9.7 Discovery of Public Documents
- 9.8 Partially Discoverable Information and Protective Orders
- 9.9 Privacy Considerations As Limiting Discovery
Chapter 10. Evidence
Revised by Stephen Swanson
- 10.1 Rules of Evidence in Administrative Adjudication
- 10.2 Residuum Rule
- 10.3 Burden of Proof and Standard of Proof
- 10.3.1 Burden of Proof
- 10.3.2 Standard of Proof
- 10.4 Official Notice
- 10.5 Application of the Exclusionary Rules of Evidence
- 10.6 Offer of Proof
- 10.7 Exclusiveness of Record
- 10.8 Written Testimony
- 10.9 The Right to Cross-Examination
- 10.10 Admissibility of Illegally Obtained Evidence
Chapter 11. The Contested Case Hearing
Revised by Tammy L. Pust
- 11.1 Level of Formality
- 11.2 Hearing Procedure
- 11.2.1 The Order of the Proceeding in General
- 11.2.2 Public Hearings
- 11.2.2(1) Waiver
- 11.2.2(2) Exceptions and Limitations
- 11.2.2(3) Cameras and Similar Coverage
- 11:2.2(4) The Hearing Record
- 11.3 Role of the Administrative Law Judge
- 11.4 Authority of the Administrative Law Judge
- 11.5 The Administrative Law Judge’s Recommended Decision
Chapter 12. Collateral Estoppel, Res Judicata, Stare Decisis, and the Equitable Defenses
Revised by Allan Klein
- 12.1 Res Judicata and Collateral Estoppel
- 12.2 Stare Decisis
- 12.3 Equitable Estoppel
- 12.4 Laches
Chapter 13. The Minnesota Government Data Practices Act and Contested Case Hearings
Revised by Laura Schlatter and Stacie Christensen
- 13.1 Introduction
- 13.2 Who Is Covered by the Data Practices Act
- 13.3 What Data Is Covered by the Data Practices Act
- 13.4 Classification System
- 13.5 Access to Public Government Data
- 13.6 Rights of Individual Subjects of Data
- 13.7 Duties of Responsible Authority
- 13.8 Legal Remedies
- 13.9 Application of the Data Practices Act to Contested Case
- 13.10 Expedited Data Practices Complaints
Chapter 14. The Agency Decision
Revised by Patricia Winget
- 14.1 Exceptions to the Administrative Law Judge’s Report and Argument to the Agency before Final Decision
- 14.2 Agency Review of the Record before Decision
- 14.3 The Agency Decision
- 14.4 Rehearing and Reconsideration
Chapter 15. Judicial Review of Contested Cases
Revised by Lindsay Davis
- 15.1 Introduction
- 15.2 Prerequisites to Judicial Review
- 15.2.1 Finality
- 15.2.2 Exhaustion of Administrative Remedies
- 15.2.3 Primary Jurisdiction
- 15.2.4 Ripeness
- 15.2.5 Standing
- 15.3 Procedures for Obtaining Review
- 15.3.1 Review under the Administrative Procedure Act
- 15.3.2 Non-APA Statutory Review Procedures
- 15.3.2(1) In the Court of Appeals
- 15.3.2(2) In the District Court
- 15.3.3 Extraordinary Writs
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- 15.3.3(1) Certiorari
- 15.3.3(2) Mandamus
- 15.3.3(3) Prohibition
- 15.3.3(4) Quo Warranto
- 15.3.4 Injunctive and Declaratory Relief
- 15.4 Scope of Review
- 15.4.1 Section 14.69: Generally
- 15.4.2 Section 14.69: The Six Grounds for Review of Agency Action
- 15.4.2(1) In Violation of Constitutional Provisions
- 15.4.2(2) In Excess of Agency Authority or Jurisdiction
- 15.4.2(3) Made on Unlawful Procedure
- 15.4.2(4) Affected by Other Error of Law
- 15.4.2(5) Unsupported by Substantial Evidence
- 15.4.2(6) Arbitrary or Capricious
Part III Rulemaking Procedure 301
Chapter 16. Introduction to Rulemaking
Revised by David Schultz
- 16.1 Definition of a Rule
- 16.2 Types of Rulemaking Proceedings
- 16.3 Types of Rules
- 16.3.1 Legal Effect of Types of Rules
- 16.3.2 Historical Overview of Interpretative Rules
- 16.3.3 Retroactivity
- 16.4 Agency Policymaking as Improper or Illegal Rulemaking
- 16.5 Rulemaking or Policymaking by Adjudication
- 16.5.1 Introduction
- 16.5.2 The Federal Doctrine
- 16.5.3 The Minnesota Approach
- 16.6 Administrative Challenge to Improper Rulemaking
Chapter 17. The Initial Stages of the Rulemaking Process
Revised by Patricia Winget
- 17.0 Introduction
- 17.1 Public Participation in the Early Stages of Rulemaking
- 17.2 Drafting the SONAR
- 17.2.1 The Statement of Need and Reasonableness
- 17.2.2 Regulatory Analysis to Be Included in the Statement of Need and Reasonableness
- 17.2.2(1) Classes of Persons Affected By Proposed Rule
- 17.2.2(2) Probable Costs to Agencies
- 17.2.2(3) Less Costly or Less Intrusive Methods
- 17.2.2(4) Alternative Methods Seriously Considered
- 17.2.2(5) The Probable Costs of Complying with the Proposed Rule
- 17.2.2(6) Costs of Not Adopting the Proposed Rule
- 17.2.2(7) Differences From Federal Regulations
- 17.2.2(8) Cumulative Effect With Federal and State Regulations
- 17.2.2(9) Performance-Based Rules
- 17.2.2(10) Additional Notification
- 17.2.2(11) Fiscal Impact on Local Government
- 17.2.2(12) Mailing to the Legislative Reference Library
- 17.2.3 Agency-Specific Information to be Included in the Statement of Need and Reasonableness
- 17.2.3(1) The Effect of Pollution Control Agency Rules
- 17.2.3(2) Rules that Affect Farming Operations
- 17.2.4 Other Required Documentation
- 17.2.4(1) Cost of Complying Exceeds $25,000
- 17.2.4(2) Local Ordinance Implementation
- 17.2.5 Fees
- 17.3 Review of Rules by the Governor
Chapter 18. Drafting Rules and the Revisor of Statutes
Revised by Paul M. Marinac
- 18.1 Creation of the Office of the Revisor of Statutes
- 18.2 The Revisor’s Rule Drafting Process
- 18.3 Approval of Form
- 18.4 Editing, Compiling, Publishing, and Preserving
Chapter 19. Rulemaking without a Hearing
Revised by Kathryn Berger
- 19.1 Introduction
- 19.2 Adopting Rules without a Hearing: A General Comment
- 19.3 Proposal, Comment, and Negotiation
- 19.3.1 Notice and Comment
- 19.3.2 Negotiation
- 19.3.3 Dual Notice Rulemaking
- 19.4 Rule Adoption; Review and Approval by the Office of Administrative Hearings, Revisor of Statutes
- 19.5 Effective Date
Chapter 20. Rulemaking with a Hearing
Revised by Kerstin Forsythe Hahn
- 20.1 Introduction
- 20.2 Initiation of Rulemaking with a Hearing
- 20.3 Procedures for a Rulemaking Hearing before an Administrative Law Judge
- 20.4 Nature of the Hearing
- 20.4.1 Participants
- 20.4.1(1) The Agency
- 20.4.1(2) The Administrative Law Judge
- 20.4.1(3) “Interested Persons”
- 20.4.2 Hearing Procedures and Questioning of Witnesses and Participants
- 20.4.3 The Rulemaking Record and Ex Parte Communications
- 20.4.1 Participants
- 20.5 Post-Hearing Procedures
Chapter 21. Exempt and Expedited Rules
Revised by Jodi Pope
- 21.1 Exempt Rules: Introduction
- 21.2 Authority to Adopt Exempt Rules
- 21.3 Procedure for Adoption of Exempt Rules
- 21.4 Effective Date of Exempt Rules
- 21.5 Effective Period of Exempt Rules
- 21,6 Expedited Rules
- 21.7 Judicial Review of Exempt and Expedited Rules
- 21.8 Repeal of Obsolete Rules
Chapter 22. Need and Reasonableness and Substantial Difference
Revised by Patricia Winget
- 22.1 Introduction
- 22.2 Nature of the Factual Presentation in Support of Need and Reasonableness
- 22.3 Substantial Difference
- 22.3.1 Review Process
- 22.3.2 Criteria for Review
- 22.3.3 Adopting a Substantially Different Rule
Chapter 23. Review of Rules for Legality
Revised by Mike Ahern
- 23.1 Introduction
- 23.2 Statutory Authority
- 23.2.1 Statutory Authority and Types of Rules
- 23.2.2 Legislative Rules
- 23.2.3 Procedural Rules
- 23.2.4 Interpretative Rules
- 23.3 Procedural Requirements
- 23.4 Unbridled Discretion
- 23.5 Delegation of Agency Powers
- 23.6 Retroactivity
- 23.7 Reasonableness
- 23.8 Constitutional Issues
Chapter 24. Judicial Review of Rules
- 24.1 Introduction
- 24.2 Standing
- 24.3 Petition for Declaratory Judgment
- 24.4 Parties to a Preenforcement Challenge
- 24.5 Perfecting the Appeal
- 24.6 The Record for Judicial Review
- 24.7 Discovery Procedures
- 24.8 Grounds for Judicial Review-Constitutional Violations
- 24.9 Grounds-Nonconstitutional Challenges
- 24.10 Scope of Review
- 24.11 Review by the Minnesota Supreme Court
- 24.12 Collateral Attack on Rules