Expanded Table of Contents

Part I Introduction to Administrative Procedure

Chapter 1. The Development of Administrative Procedure

Original Authors: Larry Bakken and Thomas Triplett

Revised in 2014 by Mark Shepard

Revised in March 2022 by Matt Gehring

• 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

Original Author: Susan Kiefer

Revised Feburary 2015 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

Original Author: John Breviu

Revised in 2014 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

Original Authors: George Beck, Larry Bakken, and Tom Muck

Revised in 2014 and 2023 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
  • 4.7.1 Initiation of a Contested Case
  • 4.7.2 Prehearing
  • 4.7.3 Hearing
  • 4.7.4 The Administrative Law Judge’s Recommended Decision
  • 4.7.5 Filing of Exceptions to the Administrative Law Judge’s Recommended Decision and the Agency Decision
  • 4.7.6 Judicial Review

Chapter 5. Notice of the Hearing

Original Author: George Beck

Revised in 2014 by George Beck

• 5.1 Reasonable Notice Required
• 5.2 Contents of the Notice of and Order for Hearing
  • 5.2.1 Time, Date, and Place of Hearing
  • 5.2.2 Notice of Parties Affected and Issues Involved
  • 5.2.3 Notice of Statutory Authority and of the Nature of the Hearing
  • 5.2.4 Other Required Notice
• 5.3 Service of the Notice of and Order for Hearing

Chapter 6. Parties

Original Author: Jon Lunde

Revised in 2014 by Sam Orbovich

Revised in 2023 by Sam Orbovich and Pari McGarraugh (with assistance from Elijah Rockhold)

• 6.1 Party Status
  • 6.1.1 Indispensable, Necessary, and Proper Parties
  • 6.1.2 Non party Participation and Class Actions
  • 6.1.3 Class Actions
• 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

Original Author: Jon Lunde

Revised in 2014 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
  • 7.2.1 Notice, Denial, and Waiver
  • 7.2.2 Personal and Non-lawyer Representation
  • 7.2.3 Attorneys’ Fees and Costs
• 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
  • 7.4.1 Motions
  • 7.4.2 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

Original Author: Bruce Campbell

Revised in 2014 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
  • 8.5.1 Introduction
  • 8.5.2 Discretion of the Administrative Law Judge
  • 8.5.3 Review of Discretionary Discovery Ruling
• 8.6 Constitutional Right to Discovery
• 8.7 Sanctions for Failure to Make Discovery

Chapter 9. Discovery Limitations

Original Author: Bruce Campbell

Revised in 2014 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

Original Author: Barry Greller

Revised in 2014 by Stephen Swanson

Revised in 2022 by Tara Kalar

• 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

Original Authors: George Beck and Jon Lunde

Revised in 2014 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

Original Author: Andrew Tourville

Revised in 2014 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

Original Author: Robert Nardi

Revised in 2014 by Laura Schlatter and Stacie Christensen

Revised in 2022-23 by Stacie Christensen and Chris Cimafranca

• 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
  • 13.9.1 Discoverability of “Not Public” Data
  • 13.9.2 The Data Practices Act as a Discovery Tool
  • 13.9.3 Use of Not Public Data at a Contested Hearing
• 13.10 Expedited Data Practices Complaints

Chapter 14. The Agency Decision

Original Author: Tim Muck

Revised in 2014 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

Original Author: Doug Skor

Revised in 2014 by Lindsay Davis

Revised 2023 by Russell Squire

• 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
    • 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

Original Authors: Tom Muck, George Beck, and Larry Bakken

Revised in 2014 and 2022 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
  • 16.4.1 Guidelines, Bulletins, and Policy Statements
  • 16.4.2 Permissible Interpretation versus Improper Adoption
    • 16.4.2(1) Consistency with Adopted Rule or Statute as a Factor
    • 16.4.2(2) Inconsistency with Adopted Rule or Statute as a Factor
    • 16.4.2(2) Need for Public Input and Similarity to other Rule as a Factor
  • 16.4.3 Conclusion
• 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

Original Author: Elizabeth Parker

Revised in 2014 by Patricia Winget

Revised in 2022 by Suzanne Todnem and Vanessa M. Vogl

• 17.1 Introduction
• 17.2 Public Participation in the Early Stages of Rulemaking
  • 17.2.1 The Legislative Grant of Rulemaking Authority
  • 17.2.2 Petitions to Adopt, Suspend, Amend, or Repeal Rules
  • 17.2.3 Informal Consultation with Agency Staff
  • 17.2.4 Agency Request for Comment
  • 17.2.5 Advisory Committees
• 17.3 Drafting the SONAR
  • 17.3.1 The Statement of Need and Reasonableness
  • 17.3.2 Regulatory Analysis to Be Included in the Statement of Need and Reasonableness
    • 17.3.2(1) Classes of Persons Affected By Proposed Rule
    • 17.3.2(2) Probable Costs to Agencies
    • 17.3.2(3) Less Costly or Less Intrusive Methods
    • 17.3.2(4) Alternative Methods Seriously Considered
    • 17.3.2(5) The Probable Costs of Complying with the Proposed Rule
    • 17.3.2(6) Costs of Not Adopting the Proposed Rule
    • 17.3.2(7) Differences From Federal Regulations
    • 17.3.2(8) Cumulative Effect With Federal and State Regulations
    • 17.3.2(9) Performance-Based Rules
    • 17.3.2(10) Additional Notification
    • 17.3.2(11) Fiscal Impact on Local Government
    • 17.3.2(12) Mailing to the Legislative Reference Library
  • 17.3.3 Agency-Specific Information to be Included in the Statement of Need and Reasonableness
    • 17.3.3(1) The Effect of Pollution Control Agency Rules
    • 17.3.3(2) Rules that Affect Farming Operations
  • 17.3.4 Other Required Documentation
    • 17.3.4(1) Cost of Complying Exceeds $25,000
    • 17.3.4(2) Local Ordinance Implementation
  • 17.3.5 Other Considerations
  • 17.3.6 Fees
• 17.4 Review of Rules by the Governor

Chapter 18. Drafting Rules and the Revisor of Statutes

Original Author: Steven Cross

Revised in 2014 by Paul M. Marinac

Revised 2022 by Jason Kuenle

• 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

Original Author: Daniel McInerney

Revised in 2014 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

Original Authors: Lee Sheehy and Thomas Barrett

Revised in 2014 by Kerstin Forsythe Hahn

• 20.1 Introduction
• 20.2 Initiation of Rulemaking with a Hearing
  • 20.2.1 Rulemaking with a Hearing Initiated by an Agency
  • 20.2.2 Triggering Rulemaking Hearing by Request of Twenty-five Persons
• 20.3 Procedures for a Rulemaking Hearing before an Administrative Law Judge
  • 20.3.1 Appointment of Administrative Law Judge and Filing of Jurisdictional Documents
  • 20.3.2 Publication and Other Notice
• 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
• 20.5 Post-Hearing Procedures
  • 20.5.1 Post-Hearing Comments
  • 20.5.2 Administrative Law Judge’s Report and Chief Administrative Law Judge’s Review
  • 20.5.3 Agency Findings and Adoption of the Rule
  • 20.5.4 Post-Adoption Procedures to Make a Rule Effective
  • 20.5.5 Custody of the Rulemaking Record

Chapter 21. Exempt and Expedited Rules

Original Author: Stephen Swanson

Revised in 2014 by Jodi Pope

• 21.1 Exempt Rules: Introduction
• 21.2 Authority to Adopt Exempt Rules
• 21.3 Procedure for Adoption of Exempt Rules
  • 21.3.1 Introduction
  • 21.3.2 Approval of Form by Revisor of Statutes
    • 21.3.2.1 Notice and Comment Procedure for Rulemaking under the Good Cause Exemption
  • 21.3.3 Submission of Exempt Rule to the Office of Administrative Hearings
  • 21.3.4 Review by Office of Administrative Hearings
  • 21.3.5 Agency Action Following Disapproval
  • 21.3.6 Filing and Publication of Approved Exempt Rule
• 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

Original Authors: George Beck and Tom Muck

Revised in 2014 by Patricia Winget

• 22.1 Introduction
• 22.2 Nature of the Factual Presentation in Support of Need and Reasonableness
  • 22.2.1 Demonstrating the Reasonableness of a Proposed Rule
  • 22.2.2 Demonstrating the Need for a Proposed Rule
• 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

Original Author: Stephen Swanson

Revised in 2014 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

Original Author: John Simonett

Revised in 2014 by Kari Thoe Crone

Revised in 2022 by Ian Lewenstein

• 24.1 Challenging a Rule’s Validity
• 24.2 Bringing a Pre-enforcement Challenge
  • 24.2.1 Time limit to Bring Challenge
  • 24.2.2 Filing Petition with the Court
  • 24.2.3 What Can Be Challenged
• 24.3 Standing Needed to Challenge Rule
  • 24.3.1 When Sufficient
  • 24.3.2 When Insufficient
• 24.4 Parties to a Preenforcement Challenge
• 24.5 Petition Requirements
• 24.6 The Record for Judicial Review
• 24.7 Discovery Procedures
• 24.8 Grounds for Judicial Review
  • 24.8.1 Constitutional Violations
    • 24.8.1(1) Unlawful-delegation-of-powers clause
    • 24.8.1(2) Commerce-Clause Violations
    • 24.8.1(3) Equal-protection and Due-process Violations
    • 24.8.1(4) Property Violations
  • 24.8.2 What Constitutes Reasonableness
  • 24.8.3 Nonconstitutional Challenges
  • 24.8.4 Noncompliance with Statutory Rulemaking Procedures
• 24.9 Scope of Review
  • 24.9.1 Arbitrary-and-Capricious Standard
  • 24.9.2 Presumption of Correctness
  • 24.9.3 Determining a Rule’s Validity
  • 24.9.4 Remanding Rule
• 24.10 Review by the Minnesota Supreme Court
• 24.11 Collateral Attack on Rules
  • 24.11.1 Challenging under an Enforcement Action or Contested Case
  • 24.11.2 Record
  • 24.11.3 Other Considerations

Chapter 25. Legislative Review of Administrative Rules

Original Author: Kathleen Burek

Revised in December 2014 by Mark Shepard

Revised in March 2022 by Matt Gehring

• 25.1 Introduction
• 25.2 LCRAR History
• 25.3 LCC and Policy Committee Authority
• 25.4 Constitutionality of Suspension of Rules