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H.B. 88

             1     

PRIVATE RECORDS UNDER GOVERNMENT

             2     
RECORDS ACCESS AND MANAGEMENT ACT

             3     
2001 GENERAL SESSION

             4     
STATE OF UTAH

             5     
Sponsor: Cindy Beshear

             6      This act modifies the Government Records Access and Management Act (GRAMA).
             7      GRAMA currently requires that certain information about a government employee be
             8      classified "private." This act authorizes government employees to give written notice of
             9      their status as government employees to other governmental entities in order to ensure that
             10      those entities classify personal information about government employees as "private." This
             11      act corrects cross-references contained in other sections of statute.
             12      This act affects sections of Utah Code Annotated 1953 as follows:
             13      AMENDS:
             14          26-1-17.5, as last amended by Chapter 312, Laws of Utah 1994
             15          31A-23-202, as last amended by Chapter 232, Laws of Utah 1997
             16          31A-26-202, as last amended by Chapter 232, Laws of Utah 1997
             17          58-1-301, as last amended by Chapter 232, Laws of Utah 1997
             18          61-1-4, as last amended by Chapters 160 and 232, Laws of Utah 1997
             19          61-2-6, as last amended by Chapter 232, Laws of Utah 1997
             20          63-2-202, as last amended by Chapter 312, Laws of Utah 1994
             21          63-2-206, as last amended by Chapter 229, Laws of Utah 2000
             22          63-2-301, as last amended by Chapter 48, Laws of Utah 1999
             23          63-2-302, as last amended by Chapter 48, Laws of Utah 1999
             24          76-10-1311, as enacted by Chapter 179, Laws of Utah 1993
             25      Be it enacted by the Legislature of the state of Utah:
             26          Section 1. Section 26-1-17.5 is amended to read:
             27           26-1-17.5. Confidential records.


             28          (1) A record classified as confidential under this title shall remain confidential, and be
             29      released according to the provisions of this title, notwithstanding Section 63-2-909 .
             30          (2) In addition to those persons granted access to records described in Subsection
             31      63-2-302 (1)[(b)](a)(ii), immunization records may be shared among schools, school districts, and
             32      local and state health departments and the state Department of Human Services as necessary to
             33      assure compliance with Section 53A-11-301 and to prevent, investigate, and control the causes of
             34      epidemic, infectious, communicable, and other diseases affecting the public health.
             35          Section 2. Section 31A-23-202 is amended to read:
             36           31A-23-202. Application for license.
             37          (1) The application for a license as an agent, a broker, or a consultant shall be made to the
             38      commissioner on forms and in a manner he prescribes. The application shall provide information
             39      about the applicant's identity, social security number, personal history, experience, education,
             40      business record, and any other information the commissioner reasonably requires.
             41          (2) An applicant's social security number is a private record under Subsection
             42      63-2-302 (1)[(g)](a)(vii).
             43          Section 3. Section 31A-26-202 is amended to read:
             44           31A-26-202. Application for license.
             45          (1) (a) The application for a license as an independent adjuster or public adjuster shall be
             46      made to the commissioner on forms and in a manner he prescribes. The application shall provide
             47      information about the identity, social security number, personal history, experience, education,
             48      business record, and any other information as the commissioner reasonably requires.
             49          (b) An applicant's social security number is a private record under Subsection
             50      63-2-302 (1)[(g)](a)(vii).
             51          (2) Insurance adjusters' licenses issued under former Title 31 remain in effect until their
             52      expiration date, but they are subject to any requirement or limitation generally imposed under this
             53      title on similar licenses issued after July 1, 1986. Upon timely payment of the license continuation
             54      fee under Section 31A-3-103 , the commissioner shall issue to adjusters licensed under the former
             55      title new licenses conforming to the provisions of this title and rules adopted under it.
             56          Section 4. Section 58-1-301 is amended to read:
             57           58-1-301. License application -- Licensing procedure.
             58          (1) (a) Each license applicant shall apply to the division in writing upon forms available


             59      from the division. Each completed application shall contain documentation of the particular
             60      qualifications required of the applicant, shall include the applicant's social security number, shall
             61      be verified by the applicant, and shall be accompanied by the appropriate fees.
             62          (b) An applicant's social security number is a private record under Subsection
             63      63-2-302 (1)[(g)](a)(vii).
             64          (2) (a) A license shall be issued to an applicant who submits a complete application if the
             65      division determines that the applicant meets the qualifications of licensure.
             66          (b) A written notice of additional proceedings shall be provided to an applicant who
             67      submits a complete application, but who has been, is, or will be placed under investigation by the
             68      division for conduct directly bearing upon his qualifications for licensure, if the outcome of
             69      additional proceedings is required to determine the division's response to the application.
             70          (c) A written notice of denial of licensure shall be provided to an applicant who submits
             71      a complete application if the division determines that the applicant does not meet the qualifications
             72      of licensure.
             73          (d) A written notice of incomplete application and conditional denial of licensure shall be
             74      provided to an applicant who submits an incomplete application. This notice shall advise the
             75      applicant that the application is incomplete and that the application is denied, unless the applicant
             76      corrects the deficiencies within the time period specified in the notice and otherwise meets all
             77      qualifications for licensure.
             78          (3) Before any person is issued a license under this title, all requirements for that license
             79      as established under this title and by rule shall be met.
             80          (4) If all requirements are met for the specific license, the division shall issue the license.
             81          Section 5. Section 61-1-4 is amended to read:
             82           61-1-4. Licensing and notice filing procedure.
             83          (1) (a) A broker-dealer, agent, investment adviser, or investment adviser representative
             84      must obtain an initial or renewal license by filing with the division or its designee an application
             85      together with a consent to service of process under Section 61-1-26 .
             86          (b) (i) The application shall contain the applicant's social security number and whatever
             87      information the division by rule requires concerning such matters as:
             88          (A) the applicant's form and place of organization;
             89          (B) the applicant's proposed method of doing business;


             90          (C) the qualifications and business history of the applicant; in the case of a broker-dealer
             91      or investment adviser, the qualifications and business history of any partner, officer, or director,
             92      any person occupying a similar status or performing similar functions, or any person directly or
             93      indirectly controlling the broker-dealer or investment adviser;
             94          (D) any injunction or administrative order or conviction of a misdemeanor involving a
             95      security or any aspect of the securities business and any conviction of a felony; and
             96          (E) the applicant's financial condition and history.
             97          (ii) An applicant's social security number is a private record under Subsection
             98      63-2-302 (1)[(g)](a)(vii).
             99          (c) The division may, by rule or order, require an applicant for an initial license to publish
             100      an announcement of the application in one or more specified newspapers published in this state.
             101          (d) Licenses or notice filings of broker-dealers, agents, investment advisers, and
             102      investment adviser representatives shall expire on December 31 of each year.
             103          (e) (i) If no denial order is in effect and no proceeding is pending under Section 61-1-6 ,
             104      a license becomes effective at noon of the 30th day after an application is filed.
             105          (ii) The division may by rule or order specify an earlier effective date and may by order
             106      defer the effective date until noon of the 30th day after the filing of any amendment.
             107          (iii) Licensing of a broker-dealer automatically constitutes licensing of only one partner,
             108      officer, director, or a person occupying a similar status or performing similar functions as a
             109      licensed agent of the broker-dealer.
             110          (iv) Licensing of an investment adviser automatically constitutes licensing of only one
             111      partner, officer, director, or a person occupying a similar status or performing similar functions.
             112          (2) Except with respect to federal covered advisers whose only clients are those described
             113      in Subsection 61-1-3 (3)(b) or (c), a federal covered adviser shall file with the division, prior to
             114      acting as a federal covered adviser in this state, a notice filing consisting of such documents as
             115      have been filed with the Securities and Exchange Commission as the division by rule or order may
             116      require.
             117          (3) (a) Any applicant for an initial or renewal license as a broker-dealer or agent shall pay
             118      a reasonable filing fee as determined under Section 61-1-18.4 .
             119          (b) Any applicant for an initial or renewal license as an investment adviser or investment
             120      adviser representative who is subject to licensing under this chapter shall pay a reasonable filing


             121      fee as determined under Section 61-1-18.4 .
             122          (c) Any person acting as a federal covered adviser in this state shall pay an initial and
             123      renewal notice filing fee as determined under Section 61-1-18.4 .
             124          (d) If the license or renewal is not granted or the application is withdrawn, the division
             125      shall retain the fee.
             126          (4) A licensed broker-dealer or investment adviser may file an application for licensing
             127      of a successor for the unexpired portion of the year. There shall be no filing fee.
             128          (5) The division may by rule or order require a minimum capital for licensed
             129      broker-dealers, subject to the limitations of Section 15 of the Securities Exchange Act of 1934, and
             130      establish minimum financial requirements for investment advisers, subject to the limitations of
             131      Section 222 of the Investment Advisers Act of 1940, which may include different requirements
             132      for those investment advisers who maintain custody of or have discretionary authority over client
             133      funds or securities and those investment advisers who do not.
             134          (6) (a) The division may by rule or order require licensed broker-dealers and investment
             135      advisers who have custody of or discretionary authority over client funds or securities to post
             136      bonds in amounts as the division may prescribe, subject to the limitations of Section 15 of the
             137      Securities Exchange Act of 1934 for broker-dealers and Section 222 of the Investment Advisers
             138      Act of 1940 for investment advisers, and may determine their conditions.
             139          (b) Any appropriate deposit of cash or securities may be accepted in lieu of any required
             140      bond.
             141          (c) No bond may be required of any licensee whose net capital, or in the case of an
             142      investment adviser whose minimum financial requirements, which may be defined by rule, exceeds
             143      the amounts required by the division.
             144          (d) Every bond shall provide for suit on the bond by any person who has a cause of action
             145      under Section 61-1-22 and, if the division by rule or order requires, by any person who has a cause
             146      of action not arising under this chapter.
             147          (e) Every bond shall provide that no suit may be maintained to enforce any liability on the
             148      bond unless brought before the expiration of four years after the act or transaction constituting the
             149      violation or the expiration of two years after the discovery by the plaintiff of the facts constituting
             150      the violation, whichever expires first.
             151          Section 6. Section 61-2-6 is amended to read:


             152           61-2-6. Licensing procedures and requirements.
             153          (1) The Real Estate Commission shall determine the qualifications and requirements of
             154      applicants for a principal broker, associate broker, or sales agent license. The division, with the
             155      concurrence of the commission, shall require and pass upon proof necessary to determine the
             156      honesty, integrity, truthfulness, reputation, and competency of each applicant for an initial license
             157      or for renewal of an existing license. The division, with the concurrence of the commission, shall
             158      require an applicant for a sales agent license to complete an approved educational program not to
             159      exceed 90 hours, and an applicant for an associate broker or principal broker license to complete
             160      an approved educational program not to exceed 120 hours. The hours required by this section
             161      mean 50 minutes of instruction in each 60 minutes; and the maximum number of program hours
             162      available to an individual is ten hours per day. The division, with the concurrence of the
             163      commission, shall require the applicant to pass an examination approved by the commission
             164      covering the fundamentals of the English language, arithmetic, bookkeeping, real estate principles
             165      and practices, the provisions of this chapter, the rules established by the Real Estate Commission,
             166      and any other aspect of Utah real estate license law considered appropriate. Three years' full-time
             167      experience as a real estate sales agent or its equivalent is required before any applicant may apply
             168      for, and secure a principal broker or associate broker license in this state. The commission shall
             169      establish by rule the criteria by which it will accept experience or special education in similar fields
             170      of business in lieu of the three years' experience.
             171          (2) (a) The division, with the concurrence of the commission, may require an applicant to
             172      furnish a sworn statement setting forth evidence satisfactory to the division of the applicant's
             173      reputation and competency as set forth by rule.
             174          (b) The division shall require an applicant to provide his social security number, which is
             175      a private record under Subsection 63-2-302 (1)[(g)](a)(vii).
             176          (3) A nonresident principal broker may be licensed in this state by conforming to all the
             177      provisions of this chapter except that of residency. A nonresident associate broker or sales agent
             178      may become licensed in this state by conforming to all the provisions of this chapter except that
             179      of residency and by being employed or engaged as an independent contractor by or on behalf of
             180      a nonresident or resident principal broker who is licensed in this state.
             181          (4) An applicant who has had a real estate license revoked shall be relicensed as prescribed
             182      for an original application, but may not apply for a new license until at least five years after the


             183      revocation. In the case of an applicant for a new license as a principal broker or associate broker,
             184      the applicant is not entitled to credit for experience gained prior to the revocation of license.
             185          Section 7. Section 63-2-202 is amended to read:
             186           63-2-202. Access to private, controlled, and protected documents.
             187          (1) Upon request, a governmental entity shall disclose a private record to:
             188          (a) the subject of the record;
             189          (b) the parent or legal guardian of an unemancipated minor who is the subject of the
             190      record;
             191          (c) the legal guardian of a legally incapacitated individual who is the subject of the record;
             192          (d) any other individual who:
             193          (i) has a power of attorney from the subject of the record;
             194          (ii) submits a notarized release from the subject of the record or his legal representative
             195      dated no more than 90 days before the date the request is made; or
             196          (iii) if the record is a medical record described in Subsection 63-2-302 (1)[(b)](a)(ii), is a
             197      health care provider, as defined in Subsection 26-33a-102 (7), if releasing the record or information
             198      in the record is consistent with normal professional practice and medical ethics; or
             199          (e) any person to whom the record must be provided pursuant to court order as provided
             200      in Subsection (7) or a legislative subpoena as provided in Title 36, Chapter 14.
             201          (2) (a) Upon request, a governmental entity shall disclose a controlled record to:
             202          (i) a physician, psychologist, certified social worker, insurance provider or agent, or a
             203      government public health agency upon submission of a release from the subject of the record that
             204      is dated no more than 90 days prior to the date the request is made and a signed acknowledgment
             205      of the terms of disclosure of controlled information as provided by Subsection (2)(b); and
             206          (ii) any person to whom the record must be disclosed pursuant to court order as provided
             207      in Subsection (7) or a legislative subpoena as provided in Title 36, Chapter 14.
             208          (b) A person who receives a record from a governmental entity in accordance with
             209      Subsection (2)(a)(i) may not disclose controlled information from that record to any person,
             210      including the subject of the record.
             211          (3) If there is more than one subject of a private or controlled record, the portion of the
             212      record that pertains to another subject shall be segregated from the portion that the requester is
             213      entitled to inspect.


             214          (4) Upon request, a governmental entity shall disclose a protected record to:
             215          (a) the person who submitted the record;
             216          (b) any other individual who:
             217          (i) has a power of attorney from all persons, governmental entities, or political
             218      subdivisions whose interests were sought to be protected by the protected classification; or
             219          (ii) submits a notarized release from all persons, governmental entities, or political
             220      subdivisions whose interests were sought to be protected by the protected classification or from
             221      their legal representatives dated no more than 90 days prior to the date the request is made; or
             222          (c) any person to whom the record must be provided pursuant to a court order as provided
             223      in Subsection (7) or a legislative subpoena as provided in Title 36, Chapter 14.
             224          (5) A governmental entity may disclose a private, controlled, or protected record to another
             225      governmental entity, political subdivision, another state, the United States, or a foreign government
             226      only as provided by Section 63-2-206 .
             227          (6) Before releasing a private, controlled, or protected record, the governmental entity shall
             228      obtain evidence of the requester's identity.
             229          (7) A governmental entity shall disclose a record pursuant to the terms of a court order
             230      signed by a judge from a court of competent jurisdiction, provided that:
             231          (a) the record deals with a matter in controversy over which the court has jurisdiction;
             232          (b) the court has considered the merits of the request for access to the record; and
             233          (c) the court has considered and, where appropriate, limited the requester's use and further
             234      disclosure of the record in order to protect privacy interests in the case of private or controlled
             235      records, business confidentiality interests in the case of records protected under Subsections
             236      63-2-304 (1) and (2), and privacy interests or the public interest in the case of other protected
             237      records;
             238          (d) to the extent the record is properly classified private, controlled, or protected, the
             239      interests favoring access, considering limitations thereon, outweigh the interests favoring
             240      restriction of access; and
             241          (e) where access is restricted by a rule, statute, or regulation referred to in Subsection
             242      63-2-201 (3)(b), the court has authority independent of this chapter to order disclosure.
             243          (8) (a) A governmental entity may disclose or authorize disclosure of private or controlled
             244      records for research purposes if the governmental entity:


             245          (i) determines that the research purpose cannot reasonably be accomplished without use
             246      or disclosure of the information to the researcher in individually identifiable form;
             247          (ii) determines that the proposed research is bona fide, and that the value of the research
             248      outweighs the infringement upon personal privacy;
             249          (iii) requires the researcher to assure the integrity, confidentiality, and security of the
             250      records and requires the removal or destruction of the individual identifiers associated with the
             251      records as soon as the purpose of the research project has been accomplished;
             252          (iv) prohibits the researcher from disclosing the record in individually identifiable form,
             253      except as provided in Subsection (8)(b), or from using the record for purposes other than the
             254      research approved by the governmental entity; and
             255          (v) secures from the researcher a written statement of his understanding of and agreement
             256      to the conditions of this subsection and his understanding that violation of the terms of this
             257      subsection may subject him to criminal prosecution under Section 63-2-801 .
             258          (b) A researcher may disclose a record in individually identifiable form if the record is
             259      disclosed for the purpose of auditing or evaluating the research program and no subsequent use or
             260      disclosure of the record in individually identifiable form will be made by the auditor or evaluator
             261      except as provided by this section.
             262          (c) A governmental entity may require indemnification as a condition of permitting
             263      research under this Subsection (8).
             264          (9) (a) Under Subsections 63-2-201 (5)(b) and 63-2-401 (6) a governmental entity may
             265      disclose records that are private under Section 63-2-302 , or protected under Section 63-2-304 to
             266      persons other than those specified in this section.
             267          (b) Under Subsection 63-2-403 (11)(b) the Records Committee may require the disclosure
             268      of records that are private under Section 63-2-302 , controlled under Section 63-2-303 , or protected
             269      under Section 63-2-304 to persons other than those specified in this section.
             270          (c) Under Subsection 63-2-404 (8) the court may require the disclosure of records that are
             271      private under Section 63-2-302 , controlled under Section 63-2-303 , or protected under Section
             272      63-2-304 to persons other than those specified in this section.
             273          Section 8. Section 63-2-206 is amended to read:
             274           63-2-206. Sharing records.
             275          (1) A governmental entity may provide a record that is private, controlled, or protected to


             276      another governmental entity, a government-managed corporation, a political subdivision, the
             277      federal government, or another state if the requesting entity:
             278          (a) serves as a repository or archives for purposes of historical preservation, administrative
             279      maintenance, or destruction;
             280          (b) enforces, litigates, or investigates civil, criminal, or administrative law, and the record
             281      is necessary to a proceeding or investigation;
             282          (c) is authorized by state statute to conduct an audit and the record is needed for that
             283      purpose; or
             284          (d) is one that collects information for presentence, probationary, or parole purposes.
             285          (2) A governmental entity may provide a private or controlled record or record series to
             286      another governmental entity, a political subdivision, a government-managed corporation, the
             287      federal government, or another state if the requesting entity provides written assurance:
             288          (a) that the record or record series is necessary to the performance of the governmental
             289      entity's duties and functions;
             290          (b) that the record or record series will be used for a purpose similar to the purpose for
             291      which the information in the record or record series was collected or obtained; and
             292          (c) that the use of the record or record series produces a public benefit that outweighs the
             293      individual privacy right that protects the record or record series.
             294          (3) A governmental entity may provide a record or record series that is protected under
             295      Subsection 63-2-304 (1) or (2) to another governmental entity, a political subdivision, a
             296      government-managed corporation, the federal government, or another state if:
             297          (a) the record is necessary to the performance of the requesting entity's duties and
             298      functions; or
             299          (b) the record will be used for a purpose similar to the purpose for which the information
             300      in the record or record series was collected or obtained.
             301          (4) (a) A governmental entity shall provide a private, controlled, or protected record to
             302      another governmental entity, a political subdivision, a government-managed corporation, the
             303      federal government, or another state if the requesting entity:
             304          (i) is entitled by law to inspect the record;
             305          (ii) is required to inspect the record as a condition of participating in a state or federal
             306      program or for receiving state or federal funds; or


             307          (iii) is an entity described in Subsection [ 63-2-206 ](1)(a), (b), (c), or (d).
             308          (b) Subsection (4)(a)(iii) applies only if the record is a record described in Subsection
             309      63-2-304 (4).
             310          (5) Before disclosing a record or record series under this section to another governmental
             311      entity, another state, the United States, or a foreign government, the originating governmental
             312      entity shall:
             313          (a) inform the recipient of the record's classification and the accompanying restrictions on
             314      access; and
             315          (b) if the recipient is not a governmental entity to which this chapter applies, obtain the
             316      recipient's written agreement which may be by mechanical or electronic transmission that it will
             317      abide by those restrictions on access unless a statute, federal regulation, or interstate agreement
             318      otherwise governs the sharing of the record or record series.
             319          (6) A governmental entity may disclose a record to another state, the United States, or a
             320      foreign government for the reasons listed in Subsections (1), (2), and (3) without complying with
             321      the procedures of Subsection (2) or (5) if disclosure is authorized by executive agreement, treaty,
             322      federal statute, compact, federal regulation, or state statute.
             323          (7) A governmental entity receiving a record under this section is subject to the same
             324      restrictions on disclosure of the material as the originating entity.
             325          (8) Notwithstanding any other provision of this section, if a more specific court rule or
             326      order, state statute, federal statute, or federal regulation prohibits or requires sharing information,
             327      that rule, order, statute, or federal regulation controls.
             328          (9) The following records may not be shared under this section:
             329          (a) records held by the Division of Oil, Gas and Mining that pertain to any person and that
             330      are gathered under authority of Title 40, Chapter 6, Board and Division of Oil, Gas and Mining;
             331      and
             332          (b) records of publicly funded libraries as described in Subsection 63-2-302 (1)[(c)](a)(iii).
             333          (10) Records that may evidence or relate to a violation of law may be disclosed to a
             334      government prosecutor, peace officer, or auditor.
             335          Section 9. Section 63-2-301 is amended to read:
             336           63-2-301. Records that must be disclosed.
             337          (1) The following records are public except to the extent they contain information


             338      expressly permitted to be treated confidentially under the provisions of Subsections 63-2-201 (3)(b)
             339      and (6)(a):
             340          (a) laws;
             341          (b) names, gender, gross compensation, job titles, job descriptions, business addresses,
             342      business telephone numbers, number of hours worked per pay period, dates of employment, and
             343      relevant education, previous employment, and similar job qualifications of the governmental
             344      entity's former and present employees and officers excluding:
             345          (i) undercover law enforcement personnel; and
             346          (ii) investigative personnel if disclosure could reasonably be expected to impair the
             347      effectiveness of investigations or endanger any individual's safety;
             348          (c) final opinions, including concurring and dissenting opinions, and orders that are made
             349      by a governmental entity in an administrative, adjudicative, or judicial proceeding except that if
             350      the proceedings were properly closed to the public, the opinion and order may be withheld to the
             351      extent that they contain information that is private, controlled, or protected;
             352          (d) final interpretations of statutes or rules by a governmental entity unless classified as
             353      protected as provided in Subsections 63-2-304 (15), (16), and (17);
             354          (e) information contained in or compiled from a transcript, minutes, or report of the open
             355      portions of a meeting of a governmental entity as provided by Title 52, Chapter 4, Open and Public
             356      Meetings, including the records of all votes of each member of the governmental entity;
             357          (f) judicial records unless a court orders the records to be restricted under the rules of civil
             358      or criminal procedure or unless the records are private under this chapter;
             359          (g) records filed with or maintained by county recorders, clerks, treasurers, surveyors,
             360      zoning commissions, the Division of Forestry, Fire and State Lands, the School and Institutional
             361      Trust Lands Administration, the Division of Oil, Gas and Mining, the Division of Water Rights,
             362      or other governmental entities that give public notice of:
             363          (i) titles or encumbrances to real property;
             364          (ii) restrictions on the use of real property;
             365          (iii) the capacity of persons to take or convey title to real property; or
             366          (iv) tax status for real and personal property;
             367          (h) records of the Department of Commerce that evidence incorporations, mergers, name
             368      changes, and uniform commercial code filings;


             369          (i) data on individuals that would otherwise be private under this chapter if the individual
             370      who is the subject of the record has given the governmental entity written permission to make the
             371      records available to the public;
             372          (j) documentation of the compensation that a governmental entity pays to a contractor or
             373      private provider;
             374          (k) summary data; and
             375          (l) voter registration records, including an individual's voting history, except for those parts
             376      of the record that are classified as private in Subsection 63-2-302 (1)[(h)](a)(viii).
             377          (2) The following records are normally public, but to the extent that a record is expressly
             378      exempt from disclosure, access may be restricted under Subsection 63-2-201 (3)(b), Section
             379      63-2-302 , 63-2-303 , or 63-2-304 :
             380          (a) administrative staff manuals, instructions to staff, and statements of policy;
             381          (b) records documenting a contractor's or private provider's compliance with the terms of
             382      a contract with a governmental entity;
             383          (c) records documenting the services provided by a contractor or a private provider to the
             384      extent the records would be public if prepared by the governmental entity;
             385          (d) contracts entered into by a governmental entity;
             386          (e) any account, voucher, or contract that deals with the receipt or expenditure of funds by
             387      a governmental entity;
             388          (f) records relating to government assistance or incentives publicly disclosed, contracted
             389      for, or given by a governmental entity, encouraging a person to expand or relocate a business in
             390      Utah, except as provided in Subsection 63-2-304 (34);
             391          (g) chronological logs and initial contact reports;
             392          (h) correspondence by and with a governmental entity in which the governmental entity
             393      determines or states an opinion upon the rights of the state, a political subdivision, the public, or
             394      any person;
             395          (i) empirical data contained in drafts if:
             396          (i) the empirical data is not reasonably available to the requester elsewhere in similar form;
             397      and
             398          (ii) the governmental entity is given a reasonable opportunity to correct any errors or make
             399      nonsubstantive changes before release;


             400          (j) drafts that are circulated to anyone other than:
             401          (i) a governmental entity;
             402          (ii) a political subdivision;
             403          (iii) a federal agency if the governmental entity and the federal agency are jointly
             404      responsible for implementation of a program or project that has been legislatively approved;
             405          (iv) a government-managed corporation; or
             406          (v) a contractor or private provider;
             407          (k) drafts that have never been finalized but were relied upon by the governmental entity
             408      in carrying out action or policy;
             409          (l) original data in a computer program if the governmental entity chooses not to disclose
             410      the program;
             411          (m) arrest warrants after issuance, except that, for good cause, a court may order restricted
             412      access to arrest warrants prior to service;
             413          (n) search warrants after execution and filing of the return, except that a court, for good
             414      cause, may order restricted access to search warrants prior to trial;
             415          (o) records that would disclose information relating to formal charges or disciplinary
             416      actions against a past or present governmental entity employee if:
             417          (i) the disciplinary action has been completed and all time periods for administrative
             418      appeal have expired; and
             419          (ii) the charges on which the disciplinary action was based were sustained;
             420          (p) records maintained by the Division of Forestry, Fire and State Lands, the School and
             421      Institutional Trust Lands Administration, or the Division of Oil, Gas and Mining that evidence
             422      mineral production on government lands;
             423          (q) final audit reports;
             424          (r) occupational and professional licenses;
             425          (s) business licenses; and
             426          (t) a notice of violation, a notice of agency action under Section 63-46b-3 , or similar
             427      records used to initiate proceedings for discipline or sanctions against persons regulated by a
             428      governmental entity, but not including records that initiate employee discipline.
             429          (3) The list of public records in this section is not exhaustive and should not be used to
             430      limit access to records.


             431          Section 10. Section 63-2-302 is amended to read:
             432           63-2-302. Private records.
             433          (1) (a) The following records are private:
             434          [(a)] (i) records concerning an individual's eligibility for unemployment insurance benefits,
             435      social services, welfare benefits, or the determination of benefit levels;
             436          [(b)] (ii) records containing data on individuals describing medical history, diagnosis,
             437      condition, treatment, evaluation, or similar medical data;
             438          [(c)] (iii) records of publicly funded libraries that when examined alone or with other
             439      records identify a patron;
             440          [(d)] (iv) records received or generated for a Senate or House Ethics Committee
             441      concerning any alleged violation of the rules on legislative ethics, prior to the meeting, and after
             442      the meeting, if the ethics committee meeting was closed to the public;
             443          [(e)] (v) records received or generated for a Senate confirmation committee concerning
             444      character, professional competence, or physical or mental health of an individual:
             445          [(i)] (A) if [prior to] before the meeting, the chair of the committee determines release of
             446      the records:
             447          [(A)] (I) reasonably could be expected to interfere with the investigation undertaken by
             448      the committee; or
             449          [(B)] (II) would create a danger of depriving a person of a right to a fair proceeding or
             450      impartial hearing;
             451          [(ii)] (B) after the meeting, if the meeting was closed to the public;
             452          [(f)] (vi) records concerning a current or former employee of, or applicant for employment
             453      with, a governmental entity that would disclose that individual's home address, home telephone
             454      number, social security number, insurance coverage, marital status, or payroll deductions;
             455          [(g)] (vii) that part of a record indicating a person's social security number if provided
             456      under Section 31A-23-202 , 31A-26-202 , 58-1-301 , 61-1-4 , or 61-2-6 ; and
             457          [(h)] (viii) that part of a voter registration record identifying a voter's driver license or
             458      identification card number, Social Security number, or last four digits of the Social Security
             459      number.
             460          (b) For records declared private under Subsection (1)(a)(vi), a current or former employee
             461      of a government entity may:


             462          (i) give actual written notice of the employee's status as a government employee to any
             463      government entity holding records that would disclose the employee's home address, home
             464      telephone number, social security number, insurance coverage, marital status, or payroll
             465      deductions; and
             466          (ii) in the notice, affirmatively request that the government entity holding those records
             467      classify them as private.
             468          (2) The following records are private if properly classified by a governmental entity:
             469          (a) records concerning a current or former employee of, or applicant for employment with
             470      a governmental entity, including performance evaluations and personal status information such as
             471      race, religion, or disabilities, but not including records that are public under Subsection
             472      63-2-301 (1)(b) or 63-2-301 (2)(o), or private under Subsection [ 63-2-302 ](1)[(b)](a)(ii);
             473          (b) records describing an individual's finances, except that the following are public:
             474          (i) records described in Subsection 63-2-301 (1);
             475          (ii) information provided to the governmental entity for the purpose of complying with a
             476      financial assurance requirement; or
             477          (iii) records that must be disclosed in accordance with another statute;
             478          (c) records of independent state agencies if the disclosure of those records would conflict
             479      with the fiduciary obligations of the agency;
             480          (d) other records containing data on individuals the disclosure of which constitutes a
             481      clearly unwarranted invasion of personal privacy; and
             482          (e) records provided by the United States or by a government entity outside the state that
             483      are given with the requirement that the records be managed as private records, if the providing
             484      entity states in writing that the record would not be subject to public disclosure if retained by it.
             485          (3) (a) As used in this Subsection (3), "medical records" means medical reports, records,
             486      statements, history, diagnosis, condition, treatment, and evaluation.
             487          (b) Medical records in the possession of the University of Utah Hospital, its clinics,
             488      doctors, or affiliated entities are not private records or controlled records under Section 63-2-303
             489      when the records are sought:
             490          (i) in connection with any legal or administrative proceeding in which the patient's
             491      physical, mental, or emotional condition is an element of any claim or defense; or
             492          (ii) after a patient's death, in any legal or administrative proceeding in which any party


             493      relies upon the condition as an element of the claim or defense.
             494          (c) Medical records are subject to production in a legal or administrative proceeding
             495      according to state or federal statutes or rules of procedure and evidence as if the medical records
             496      were in the possession of a nongovernmental medical care provider.
             497          Section 11. Section 76-10-1311 is amended to read:
             498           76-10-1311. Mandatory testing -- Retention of offender medical file -- Civil liability.
             499          (1) A person who has entered a plea of guilty, a plea of no contest, a plea of guilty and
             500      mentally ill, or been found guilty for violation of Section 76-10-1302 , 76-10-1303 , or 76-10-1313
             501      shall be required to submit to a mandatory test to determine if the offender is an HIV positive
             502      individual. The mandatory test shall be required and conducted prior to sentencing.
             503          (2) If the mandatory test has not been conducted prior to sentencing, and the convicted
             504      offender is already confined in a county jail or state prison, such person shall be tested while in
             505      confinement.
             506          (3) The local law enforcement agency shall cause the blood specimen of the offender as
             507      defined in Subsection (1) confined in county jail to be taken and tested.
             508          (4) The Department of Corrections shall cause the blood specimen of the offender defined
             509      in Subsection (1) confined in any state prison to be taken and tested.
             510          (5) The local law enforcement agency shall collect and retain in the offender's medical file
             511      the following data:
             512          (a) the HIV infection test results;
             513          (b) a copy of the written notice as provided in Section 76-10-1312 ;
             514          (c) photographic identification; and
             515          (d) fingerprint identification.
             516          (6) The local law enforcement agency shall classify the medical file as a private record
             517      pursuant to Subsection 63-2-302 (1)[(b)](a)(ii) or a controlled record pursuant to Section 63-2-303 .
             518          (7) The person tested shall be responsible for the costs of testing, unless the person is
             519      indigent. The costs will then be paid by the local law enforcement agency or the Department of
             520      Corrections from the General Fund.
             521          (8) (a) The laboratory performing testing shall report test results to only designated
             522      officials in the Department of Corrections, the Department of Health, and the local law
             523      enforcement agency submitting the blood specimen.


             524          (b) Each department or agency shall designate those officials by written policy.
             525          (c) Designated officials may release information identifying an offender under Section
             526      76-10-1302 , 76-10-1303 , or 76-10-1313 who has tested HIV positive as provided under Subsection
             527      63-2-202 (1) and for purposes of prosecution pursuant to Section 76-10-1309 .
             528          (9) (a) An employee of the local law enforcement agency, the Department of Corrections,
             529      or the Department of Health who discloses the HIV test results under this section is not civilly
             530      liable except when disclosure constitutes fraud or malice as provided in Section 63-30-4 .
             531          (b) An employee of the local law enforcement agency, the Department of Corrections, or
             532      the Department of Health who discloses the HIV test results under this section is not civilly or
             533      criminally liable, except when disclosure constitutes a knowing violation of Section 63-2-801 .
             534          (10) When the medical file is released as provided in Section 63-2-803 , the local law
             535      enforcement agency, the Department of Corrections, or the Department of Health or its officers
             536      or employees are not liable for damages for release of the medical file.




Legislative Review Note
    as of 1-8-01 12:54 PM


A limited legal review of this legislation raises no obvious constitutional or statutory concerns.

Office of Legislative Research and General Counsel


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