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S.B. 179

             1     

PROTECTION OF GOVERNMENT RECORDS

             2     
2005 GENERAL SESSION

             3     
STATE OF UTAH

             4     
Sponsor: Gregory S. Bell

             5     
             6      LONG TITLE
             7      General Description:
             8          This bill addresses the treatment of records including those related to institutions within
             9      the state system of higher education.
             10      Highlighted Provisions:
             11          This bill:
             12          .    defines terms;
             13          .    addresses protected records related to an institution within the state system of higher
             14      education;
             15          .    provides a process for a sponsor of research at an institution within the state system
             16      of higher education to file a written claim of business confidentiality including
             17      providing certain notice requirements;
             18          .    addresses how business confidentiality claims are treated; and
             19          .    makes technical changes.
             20      Monies Appropriated in this Bill:
             21          None
             22      Other Special Clauses:
             23          None
             24      Utah Code Sections Affected:
             25      AMENDS:
             26          53B-16-301, as enacted by Chapter 280, Laws of Utah 1992
             27          53B-16-304, as enacted by Chapter 280, Laws of Utah 1992



             28          63-2-103, as last amended by Chapter 78, Laws of Utah 2002
             29          63-2-202, as last amended by Chapter 298, Laws of Utah 2003
             30          63-2-304, as last amended by Chapters 223, 299 and 358, Laws of Utah 2004
             31          63-2-308, as last amended by Chapter 280, Laws of Utah 1992
             32          63-2-403, as last amended by Chapter 245, Laws of Utah 1999
             33     
             34      Be it enacted by the Legislature of the state of Utah:
             35          Section 1. Section 53B-16-301 is amended to read:
             36           53B-16-301. Definitions.
             37          As used in this part:
             38          (1) "Person" means:
             39          (a) a federal, state, or local governmental entity:
             40          (i) that sponsors sponsored research; or
             41          (ii) participates in a technology transfer;
             42          (b) an individual;
             43          (c) a nonprofit or profit corporation;
             44          (d) a partnership;
             45          (e) a sole proprietorship; or
             46          (f) other type of business organization.
             47          (2) "Public institution of higher education" means an institution within the state system
             48      of higher education defined in Section 53B-1-102 .
             49          [(1)] (3) "Restricted record" means a record that is restricted as provided by Section
             50      53B-16-303 .
             51          [(2)] (4) "Sponsored research" refers to [basic or applied] research, training, and other
             52      sponsored activities as defined by the federal Executive Office of the President, Office of
             53      Management and Budget:
             54          (a) conducted by a public institution of higher education through an office responsible
             55      for sponsored projects or programs; and
             56          (b) funded or otherwise supported by an external [persons or entities] person that is not
             57      created or controlled by the public institution of higher education.
             58          [(3)] (5) "Technology transfer" refers to transferring information, commercializing


             59      research, or providing technical assistance between a public institution of higher education and
             60      external persons [or entities] for the purpose of economic development.
             61          Section 2. Section 53B-16-304 is amended to read:
             62           53B-16-304. Business confidentiality claims.
             63          (1) (a) Any person who provides to [an] a public institution of higher education a
             64      record that [he] the person believes should be protected under [Subsections 63-2-304 (1) or (2)
             65      or] a provision listed in Subsection 63-2-308 (1)(b)(i), restricted under Section 53B-16-302 , or
             66      both protected under a provision listed in Subsection 63-2-308 (1)(b)(i) and restricted under
             67      Section 53B-16-302 , shall provide [with the record] the public institution of higher education:
             68          (i) a written claim of business confidentiality; and
             69          (ii) a concise statement of reasons supporting the claim[, provided that] of business
             70      confidentiality.
             71          (b) The person described in Subsection (1)(a) shall make the filing at the
             72      commencement of:
             73          (i) the sponsored research project; or
             74          (ii) the technology transfer process.
             75          (c) A claim of business confidentiality submitted under this Subsection (1) shall cover
             76      all protected and restricted records exchanged during the:
             77          (i) sponsored research project; or
             78          (ii) technology transfer process.
             79          (2) The inadvertent failure to make a legally adequate claim of business confidentiality
             80      at the time [the record is provided to the institution shall] required by Subsection (1) does not
             81      prejudice the claimant's right to make a legally adequate claim at a [later] different time before
             82      disclosure of the record.
             83          Section 3. Section 63-2-103 is amended to read:
             84           63-2-103. Definitions.
             85          As used in this chapter:
             86          (1) "Audit" means:
             87          (a) a systematic examination of financial, management, program, and related records
             88      for the purpose of determining the fair presentation of financial statements, adequacy of
             89      internal controls, or compliance with laws and regulations; or


             90          (b) a systematic examination of program procedures and operations for the purpose of
             91      determining their effectiveness, economy, efficiency, and compliance with statutes and
             92      regulations.
             93          (2) "Chronological logs" mean the regular and customary summary records of law
             94      enforcement agencies and other public safety agencies that show:
             95          (a) the time and general nature of police, fire, and paramedic calls made to the agency;
             96      and
             97          (b) any arrests or jail bookings made by the agency.
             98          (3) "Classification," "classify," and their derivative forms mean determining whether a
             99      record series, record, or information within a record is public, private, controlled, protected, or
             100      exempt from disclosure under Subsection 63-2-201 (3)(b).
             101          (4) (a) "Computer program" means:
             102          (i) a series of instructions or statements that permit the functioning of a computer
             103      system in a manner designed to provide storage, retrieval, and manipulation of data from the
             104      computer system[,]; and
             105          (ii) any associated documentation and source material that explain how to operate the
             106      computer program.
             107          (b) "Computer program" does not mean:
             108          (i) the original data, including numbers, text, voice, graphics, and images;
             109          (ii) analysis, compilation, and other manipulated forms of the original data produced by
             110      use of the program; or
             111          (iii) the mathematical or statistical formulas, [(]excluding the underlying mathematical
             112      algorithms contained in the program[)], that would be used if the manipulated forms of the
             113      original data were to be produced manually.
             114          (5) (a) "Contractor" means:
             115          (i) any person who contracts with a governmental entity to provide goods or services
             116      directly to a governmental entity; or
             117          (ii) any private, nonprofit organization that receives funds from a governmental entity.
             118          (b) "Contractor" does not mean a private provider.
             119          (6) "Controlled record" means a record containing data on individuals that is controlled
             120      as provided by Section 63-2-303 .


             121          (7) "Designation," "designate," and their derivative forms mean indicating, based on a
             122      governmental entity's familiarity with a record series or based on a governmental entity's
             123      review of a reasonable sample of a record series, the primary classification that a majority of
             124      records in a record series would be given if classified and the classification that other records
             125      typically present in the record series would be given if classified.
             126          (8) "Explosive" means a chemical compound, device, or mixture:
             127          (a) commonly used or intended for the purpose of producing an explosion; and
             128          (b) that contains oxidizing or combustive units or other ingredients in proportions,
             129      quantities, or packing so that:
             130          (i) an ignition by fire, friction, concussion, percussion, or detonator of any part of the
             131      compound or mixture may cause a sudden generation of highly heated gases; and
             132          (ii) the resultant gaseous pressures are capable of:
             133          (A) producing destructive effects on contiguous objects; or
             134          (B) causing death or serious bodily injury.
             135          (9) "Government audit agency" means any governmental entity that conducts audits.
             136          (10) (a) "Governmental entity" means:
             137          (i) executive department agencies of the state, the offices of the governor, lieutenant
             138      governor, state auditor, attorney general, and state treasurer, the Board of Pardons and Parole,
             139      the Board of Examiners, the National Guard, the Career Service Review Board, the State Board
             140      of Education, the State Board of Regents, and the State Archives;
             141          (ii) the Office of the Legislative Auditor General, Office of the Legislative Fiscal
             142      Analyst, Office of Legislative Research and General Counsel, the Legislature, and legislative
             143      committees, except any political party, group, caucus, or rules or sifting committee of the
             144      Legislature;
             145          (iii) courts, the Judicial Council, the Office of the Court Administrator, and similar
             146      administrative units in the judicial branch;
             147          (iv) any state-funded institution of higher education or public education; or
             148          (v) any political subdivision of the state, but, if a political subdivision has adopted an
             149      ordinance or a policy relating to information practices pursuant to Section 63-2-701 , this
             150      chapter shall apply to the political subdivision to the extent specified in Section 63-2-701 or as
             151      specified in any other section of this chapter that specifically refers to political subdivisions.


             152          (b) "Governmental entity" also means every office, agency, board, bureau, committee,
             153      department, advisory board, or commission of the entities listed in Subsection (10)(a) that is
             154      funded or established by the government to carry out the public's business.
             155          (11) "Gross compensation" means every form of remuneration payable for a given
             156      period to an individual for services provided including salaries, commissions, vacation pay,
             157      severance pay, bonuses, and any board, rent, housing, lodging, payments in kind, and any
             158      similar benefit received from the individual's employer.
             159          (12) "Individual" means a human being.
             160          (13) (a) "Initial contact report" means an initial written or recorded report, however
             161      titled, prepared by peace officers engaged in public patrol or response duties describing official
             162      actions initially taken in response to either a public complaint about or the discovery of an
             163      apparent violation of law, which report may describe:
             164          (i) the date, time, location, and nature of the complaint, the incident, or offense;
             165          (ii) names of victims;
             166          (iii) the nature or general scope of the agency's initial actions taken in response to the
             167      incident;
             168          (iv) the general nature of any injuries or estimate of damages sustained in the incident;
             169          (v) the name, address, and other identifying information about any person arrested or
             170      charged in connection with the incident; or
             171          (vi) the identity of the public safety personnel, except undercover personnel, or
             172      prosecuting attorney involved in responding to the initial incident.
             173          (b) Initial contact reports do not include follow-up or investigative reports prepared
             174      after the initial contact report. However, if the information specified in Subsection (13)(a)
             175      appears in follow-up or investigative reports, it may only be treated confidentially if it is
             176      private, controlled, protected, or exempt from disclosure under Subsection 63-2-201 (3)(b).
             177          (14) "Person" means [any]:
             178          (a) an individual[,];
             179          (b) a nonprofit or profit corporation[,];
             180          (c) a partnership[,];
             181          (d) a sole proprietorship[,]; or
             182          (e) other type of business organization.


             183          (15) "Private provider" means any person who contracts with a governmental entity to
             184      provide services directly to the public.
             185          (16) "Private record" means a record containing data on individuals that is private as
             186      provided by Section 63-2-302 .
             187          (17) "Protected record" means a record that is classified protected as provided by
             188      Section 63-2-304 .
             189          (18) "Public record" means a record that is not private, controlled, or protected and that
             190      is not exempt from disclosure as provided in Subsection 63-2-201 (3)(b).
             191          (19) (a) "Record" means all books, letters, documents, papers, maps, plans,
             192      photographs, films, cards, tapes, recordings, electronic data, or other documentary materials
             193      regardless of physical form or characteristics:
             194          (i) which are prepared, owned, received, or retained by a governmental entity or
             195      political subdivision; and
             196          (ii) where all of the information in the original is reproducible by photocopy or other
             197      mechanical or electronic means.
             198          (b) "Record" does not mean:
             199          (i) temporary drafts or similar materials prepared for the originator's personal use or
             200      prepared by the originator for the personal use of an individual for whom [he] the originator is
             201      working;
             202          (ii) materials that are legally owned by an individual in [his] the individual's private
             203      capacity;
             204          (iii) materials to which access is limited by the laws of copyright or patent unless the
             205      copyright or patent is owned by a governmental entity or political subdivision;
             206          (iv) proprietary software;
             207          (v) junk mail or commercial publications received by a governmental entity or an
             208      official or employee of a governmental entity;
             209          (vi) books and other materials that are cataloged, indexed, or inventoried and contained
             210      in the collections of libraries open to the public, regardless of physical form or characteristics
             211      of the material;
             212          (vii) daily calendars and other personal notes prepared by the originator for the
             213      originator's personal use or for the personal use of an individual for whom [he] the originator is


             214      working;
             215          (viii) computer programs as defined in Subsection (4) that are developed or purchased
             216      by or for any governmental entity for its own use; or
             217          (ix) notes or internal memoranda prepared as part of the deliberative process by a
             218      member of the judiciary, an administrative law judge, a member of the Board of Pardons and
             219      Parole, or a member of any other body charged by law with performing a quasi-judicial
             220      function.
             221          (20) "Record series" means a group of records that may be treated as a unit for
             222      purposes of designation, description, management, or disposition.
             223          (21) "Records committee" means the State Records Committee created in Section
             224      63-2-501 .
             225          (22) "Records officer" means the individual appointed by the chief administrative
             226      officer of each governmental entity, or the political subdivision to work with state archives in
             227      the care, maintenance, scheduling, designation, classification, disposal, and preservation of
             228      records.
             229          (23) "Schedule," "scheduling," and their derivative forms mean the process of
             230      specifying the length of time each record series should be retained by a governmental entity for
             231      administrative, legal, fiscal, or historical purposes and when each record series should be
             232      transferred to the state archives or destroyed.
             233          (24) "Sponsored research" means research, training, and other sponsored activities as
             234      defined by the federal Executive Office of the President, Office of Management and Budget:
             235          (a) conducted:
             236          (i) by an institution within the state system of higher education defined in Section
             237      53B-1-102 ; and
             238          (ii) through an office responsible for sponsored projects or programs; and
             239          (b) funded or otherwise supported by an external:
             240          (i) person that is not created or controlled by the institution within the state system of
             241      higher education; or
             242          (ii) federal, state, or local governmental entity.
             243          [(24)] (25) "State archives" means the Division of Archives and Records Service
             244      created in Section 63-2-901 .


             245          [(25)] (26) "State archivist" means the director of the state archives.
             246          [(26)] (27) "Summary data" means statistical records and compilations that contain
             247      data derived from private, controlled, or protected information but that do not disclose private,
             248      controlled, or protected information.
             249          Section 4. Section 63-2-202 is amended to read:
             250           63-2-202. Access to private, controlled, and protected documents.
             251          (1) Upon request, a governmental entity shall disclose a private record to:
             252          (a) the subject of the record;
             253          (b) the parent or legal guardian of an unemancipated minor who is the subject of the
             254      record;
             255          (c) the legal guardian of a legally incapacitated individual who is the subject of the
             256      record;
             257          (d) any other individual who:
             258          (i) has a power of attorney from the subject of the record;
             259          (ii) submits a notarized release from the subject of the record or his legal representative
             260      dated no more than 90 days before the date the request is made; or
             261          (iii) if the record is a medical record described in Subsection 63-2-302 (1)(b), is a health
             262      care provider, as defined in Section 26-33a-102 , if releasing the record or information in the
             263      record is consistent with normal professional practice and medical ethics; or
             264          (e) any person to whom the record must be provided pursuant to:
             265          (i) court order as provided in Subsection (7); or
             266          (ii) a legislative subpoena as provided in Title 36, Chapter 14.
             267          (2) (a) Upon request, a governmental entity shall disclose a controlled record to:
             268          (i) a physician, psychologist, certified social worker, insurance provider or producer, or
             269      a government public health agency upon submission of:
             270          (A) a release from the subject of the record that is dated no more than 90 days prior to
             271      the date the request is made; and
             272          (B) a signed acknowledgment of the terms of disclosure of controlled information as
             273      provided by Subsection (2)(b); and
             274          (ii) any person to whom the record must be disclosed pursuant to:
             275          (A) a court order as provided in Subsection (7); or


             276          (B) a legislative subpoena as provided in Title 36, Chapter 14.
             277          (b) A person who receives a record from a governmental entity in accordance with
             278      Subsection (2)(a)(i) may not disclose controlled information from that record to any person,
             279      including the subject of the record.
             280          (3) If there is more than one subject of a private or controlled record, the portion of the
             281      record that pertains to another subject shall be segregated from the portion that the requester is
             282      entitled to inspect.
             283          (4) Upon request, a governmental entity shall disclose a protected record to:
             284          (a) the person who submitted the record;
             285          (b) any other individual who:
             286          (i) has a power of attorney from all persons, governmental entities, or political
             287      subdivisions whose interests were sought to be protected by the protected classification; or
             288          (ii) submits a notarized release from all persons, governmental entities, or political
             289      subdivisions whose interests were sought to be protected by the protected classification or from
             290      their legal representatives dated no more than 90 days prior to the date the request is made;
             291          (c) any person to whom the record must be provided pursuant to:
             292          (i) a court order as provided in Subsection (7); or
             293          (ii) a legislative subpoena as provided in Title 36, Chapter 14; or
             294          (d) the owner of a mobile home park, subject to the conditions of Subsection
             295      41-1a-116 (5).
             296          (5) A governmental entity may disclose a private, controlled, or protected record to
             297      another governmental entity, political subdivision, another state, the United States, or a foreign
             298      government only as provided by Section 63-2-206 .
             299          (6) Before releasing a private, controlled, or protected record, the governmental entity
             300      shall obtain evidence of the requester's identity.
             301          (7) A governmental entity shall disclose a record pursuant to the terms of a court order
             302      signed by a judge from a court of competent jurisdiction, provided that:
             303          (a) the record deals with a matter in controversy over which the court has jurisdiction;
             304          (b) the court has considered the merits of the request for access to the record; and
             305          (c) the court has considered and, where appropriate, limited the requester's use and
             306      further disclosure of the record in order to protect:


             307          (i) privacy interests in the case of private or controlled records[,];
             308          (ii) business confidentiality interests in the case of records protected under
             309      [Subsections] Subsection 63-2-304 (1) [and], (2), (40)(a)(ii), or (40)(a)(vi); and
             310          (iii) privacy interests or the public interest in the case of other protected records;
             311          (d) to the extent the record is properly classified private, controlled, or protected, the
             312      interests favoring access, considering limitations thereon, outweigh the interests favoring
             313      restriction of access; and
             314          (e) where access is restricted by a rule, statute, or regulation referred to in Subsection
             315      63-2-201 (3)(b), the court has authority independent of this chapter to order disclosure.
             316          (8) (a) A governmental entity may disclose or authorize disclosure of private or
             317      controlled records for research purposes if the governmental entity:
             318          (i) determines that the research purpose cannot reasonably be accomplished without
             319      use or disclosure of the information to the researcher in individually identifiable form;
             320          (ii) determines that:
             321          (A) the proposed research is bona fide[,]; and [that]
             322          (B) the value of the research outweighs the infringement upon personal privacy;
             323          (iii) (A) requires the researcher to assure the integrity, confidentiality, and security of
             324      the records; and
             325          (B) requires the removal or destruction of the individual identifiers associated with the
             326      records as soon as the purpose of the research project has been accomplished;
             327          (iv) prohibits the researcher from:
             328          (A) disclosing the record in individually identifiable form, except as provided in
             329      Subsection (8)(b)[,]; or [from]
             330          (B) using the record for purposes other than the research approved by the governmental
             331      entity; and
             332          (v) secures from the researcher a written statement of [his] the researcher's
             333      understanding of and agreement to the conditions of this Subsection (8) and [his] the
             334      researcher's understanding that violation of the terms of this Subsection (8) may subject [him]
             335      the researcher to criminal prosecution under Section 63-2-801 .
             336          (b) A researcher may disclose a record in individually identifiable form if the record is
             337      disclosed for the purpose of auditing or evaluating the research program and no subsequent use


             338      or disclosure of the record in individually identifiable form will be made by the auditor or
             339      evaluator except as provided by this section.
             340          (c) A governmental entity may require indemnification as a condition of permitting
             341      research under this Subsection (8).
             342          (9) (a) Under Subsections 63-2-201 (5)(b) and 63-2-401 (6), a governmental entity may
             343      disclose to persons other than those specified in this section records that are:
             344          (i) private under Section 63-2-302 [,]; or
             345          (ii) protected under Section 63-2-304 [to persons other than those specified in this
             346      section] subject to Section 63-2-308 if a claim for business confidentiality has been made under
             347      Section 63-2-308 .
             348          (b) Under Subsection 63-2-403 (11)(b), the [Records Committee] records committee
             349      may require the disclosure to persons other than those specified in this section of records that
             350      are:
             351          (i) private under Section 63-2-302 [,];
             352          (ii) controlled under Section 63-2-303 [,]; or
             353          (iii) protected under Section 63-2-304 [to persons other than those specified in this
             354      section] subject to Section 63-2-308 if a claim for business confidentiality has been made under
             355      Section 63-2-308 .
             356          (c) Under Subsection 63-2-404 (8), the court may require the disclosure of records that
             357      are private under Section 63-2-302 , controlled under Section 63-2-303 , or protected under
             358      Section 63-2-304 to persons other than those specified in this section.
             359          Section 5. Section 63-2-304 is amended to read:
             360           63-2-304. Protected records.
             361          The following records are protected if properly classified by a governmental entity:
             362          (1) trade secrets as defined in Section 13-24-2 if the person submitting the trade secret
             363      has provided the governmental entity with the information specified in Section 63-2-308 ;
             364          (2) commercial information or nonindividual financial information obtained from a
             365      person if:
             366          (a) disclosure of the information could reasonably be expected to result in unfair
             367      competitive injury to the person submitting the information or would impair the ability of the
             368      governmental entity to obtain necessary information in the future;


             369          (b) the person submitting the information has a greater interest in prohibiting access
             370      than the public in obtaining access; and
             371          (c) the person submitting the information has provided the governmental entity with
             372      the information specified in Section 63-2-308 ;
             373          (3) commercial or financial information acquired or prepared by a governmental entity
             374      to the extent that disclosure would lead to financial speculations in currencies, securities, or
             375      commodities that will interfere with a planned transaction by the governmental entity or cause
             376      substantial financial injury to the governmental entity or state economy;
             377          (4) records the disclosure of which could cause commercial injury to, or confer a
             378      competitive advantage upon a potential or actual competitor of, a commercial project entity as
             379      defined in Subsection 11-13-103 (4);
             380          (5) test questions and answers to be used in future license, certification, registration,
             381      employment, or academic examinations;
             382          (6) records the disclosure of which would impair governmental procurement
             383      proceedings or give an unfair advantage to any person proposing to enter into a contract or
             384      agreement with a governmental entity, except that this Subsection (6) does not restrict the right
             385      of a person to see bids submitted to or by a governmental entity after bidding has closed;
             386          (7) records that would identify real property or the appraisal or estimated value of real
             387      or personal property, including intellectual property, under consideration for public acquisition
             388      before any rights to the property are acquired unless:
             389          (a) public interest in obtaining access to the information outweighs the governmental
             390      entity's need to acquire the property on the best terms possible;
             391          (b) the information has already been disclosed to persons not employed by or under a
             392      duty of confidentiality to the entity;
             393          (c) in the case of records that would identify property, potential sellers of the described
             394      property have already learned of the governmental entity's plans to acquire the property;
             395          (d) in the case of records that would identify the appraisal or estimated value of
             396      property, the potential sellers have already learned of the governmental entity's estimated value
             397      of the property; or
             398          (e) the property under consideration for public acquisition is a single family residence
             399      and the governmental entity seeking to acquire the property has initiated negotiations to acquire


             400      the property as required under Section 78-34-4.5 ;
             401          (8) records prepared in contemplation of sale, exchange, lease, rental, or other
             402      compensated transaction of real or personal property including intellectual property, which, if
             403      disclosed prior to completion of the transaction, would reveal the appraisal or estimated value
             404      of the subject property, unless:
             405          (a) the public interest in access outweighs the interests in restricting access, including
             406      the governmental entity's interest in maximizing the financial benefit of the transaction; or
             407          (b) when prepared by or on behalf of a governmental entity, appraisals or estimates of
             408      the value of the subject property have already been disclosed to persons not employed by or
             409      under a duty of confidentiality to the entity;
             410          (9) records created or maintained for civil, criminal, or administrative enforcement
             411      purposes or audit purposes, or for discipline, licensing, certification, or registration purposes, if
             412      release of the records:
             413          (a) reasonably could be expected to interfere with investigations undertaken for
             414      enforcement, discipline, licensing, certification, or registration purposes;
             415          (b) reasonably could be expected to interfere with audits, disciplinary, or enforcement
             416      proceedings;
             417          (c) would create a danger of depriving a person of a right to a fair trial or impartial
             418      hearing;
             419          (d) reasonably could be expected to disclose the identity of a source who is not
             420      generally known outside of government and, in the case of a record compiled in the course of
             421      an investigation, disclose information furnished by a source not generally known outside of
             422      government if disclosure would compromise the source; or
             423          (e) reasonably could be expected to disclose investigative or audit techniques,
             424      procedures, policies, or orders not generally known outside of government if disclosure would
             425      interfere with enforcement or audit efforts;
             426          (10) records the disclosure of which would jeopardize the life or safety of an
             427      individual;
             428          (11) records the disclosure of which would jeopardize the security of governmental
             429      property, governmental programs, or governmental recordkeeping systems from damage, theft,
             430      or other appropriation or use contrary to law or public policy;


             431          (12) records that, if disclosed, would jeopardize the security or safety of a correctional
             432      facility, or records relating to incarceration, treatment, probation, or parole, that would interfere
             433      with the control and supervision of an offender's incarceration, treatment, probation, or parole;
             434          (13) records that, if disclosed, would reveal recommendations made to the Board of
             435      Pardons and Parole by an employee of or contractor for the Department of Corrections, the
             436      Board of Pardons and Parole, or the Department of Human Services that are based on the
             437      employee's or contractor's supervision, diagnosis, or treatment of any person within the board's
             438      jurisdiction;
             439          (14) records and audit workpapers that identify audit, collection, and operational
             440      procedures and methods used by the State Tax Commission, if disclosure would interfere with
             441      audits or collections;
             442          (15) records of a governmental audit agency relating to an ongoing or planned audit
             443      until the final audit is released;
             444          (16) records prepared by or on behalf of a governmental entity solely in anticipation of
             445      litigation that are not available under the rules of discovery;
             446          (17) records disclosing an attorney's work product, including the mental impressions or
             447      legal theories of an attorney or other representative of a governmental entity concerning
             448      litigation;
             449          (18) records of communications between a governmental entity and an attorney
             450      representing, retained, or employed by the governmental entity if the communications would be
             451      privileged as provided in Section 78-24-8 ;
             452          (19) personal files of a legislator, including personal correspondence to or from a
             453      member of the Legislature, provided that correspondence that gives notice of legislative action
             454      or policy may not be classified as protected under this section;
             455          (20) (a) records in the custody or control of the Office of Legislative Research and
             456      General Counsel, that, if disclosed, would reveal a particular legislator's contemplated
             457      legislation or contemplated course of action before the legislator has elected to support the
             458      legislation or course of action, or made the legislation or course of action public; and
             459          (b) notwithstanding Subsection (20)(a), the form to request legislation submitted to the
             460      Office of Legislative Research and General Counsel is a public document unless a legislator
             461      asks that the records requesting the legislation be maintained as protected records until such


             462      time as the legislator elects to make the legislation or course of action public;
             463          (21) research requests from legislators to the Office of Legislative Research and
             464      General Counsel or the Office of the Legislative Fiscal Analyst and research findings prepared
             465      in response to these requests;
             466          (22) drafts, unless otherwise classified as public;
             467          (23) records concerning a governmental entity's strategy about collective bargaining or
             468      pending litigation;
             469          (24) records of investigations of loss occurrences and analyses of loss occurrences that
             470      may be covered by the Risk Management Fund, the Employers' Reinsurance Fund, the
             471      Uninsured Employers' Fund, or similar divisions in other governmental entities;
             472          (25) records, other than personnel evaluations, that contain a personal recommendation
             473      concerning an individual if disclosure would constitute a clearly unwarranted invasion of
             474      personal privacy, or disclosure is not in the public interest;
             475          (26) records that reveal the location of historic, prehistoric, paleontological, or
             476      biological resources that if known would jeopardize the security of those resources or of
             477      valuable historic, scientific, educational, or cultural information;
             478          (27) records of independent state agencies if the disclosure of the records would
             479      conflict with the fiduciary obligations of the agency;
             480          (28) records of [a public institution of higher education] an institution within the state
             481      system of higher education defined in Section 53B-1-102 regarding tenure evaluations,
             482      appointments, applications for admissions, retention decisions, and promotions, which could be
             483      properly discussed in a meeting closed in accordance with Title 52, Chapter 4, Open and Public
             484      Meetings, provided that records of the final decisions about tenure, appointments, retention,
             485      promotions, or those students admitted, may not be classified as protected under this section;
             486          (29) records of the governor's office, including budget recommendations, legislative
             487      proposals, and policy statements, that if disclosed would reveal the governor's contemplated
             488      policies or contemplated courses of action before the governor has implemented or rejected
             489      those policies or courses of action or made them public;
             490          (30) records of the Office of the Legislative Fiscal Analyst relating to budget analysis,
             491      revenue estimates, and fiscal notes of proposed legislation before issuance of the final
             492      recommendations in these areas;


             493          (31) records provided by the United States or by a government entity outside the state
             494      that are given to the governmental entity with a requirement that they be managed as protected
             495      records if the providing entity certifies that the record would not be subject to public disclosure
             496      if retained by it;
             497          (32) transcripts, minutes, or reports of the closed portion of a meeting of a public body
             498      except as provided in Section 52-4-7 ;
             499          (33) records that would reveal the contents of settlement negotiations but not including
             500      final settlements or empirical data to the extent that they are not otherwise exempt from
             501      disclosure;
             502          (34) memoranda prepared by staff and used in the decision-making process by an
             503      administrative law judge, a member of the Board of Pardons and Parole, or a member of any
             504      other body charged by law with performing a quasi-judicial function;
             505          (35) records that would reveal negotiations regarding assistance or incentives offered
             506      by or requested from a governmental entity for the purpose of encouraging a person to expand
             507      or locate a business in Utah, but only if disclosure would result in actual economic harm to the
             508      person or place the governmental entity at a competitive disadvantage, but this section may not
             509      be used to restrict access to a record evidencing a final contract;
             510          (36) materials to which access must be limited for purposes of securing or maintaining
             511      the governmental entity's proprietary protection of intellectual property rights including patents,
             512      copyrights, and trade secrets;
             513          (37) the name of a donor or a prospective donor to a governmental entity, including [a
             514      public institution of higher education] an institution within the state system of higher education
             515      defined in Section 53B-1-102 , and other information concerning the donation that could
             516      reasonably be expected to reveal the identity of the donor, provided that:
             517          (a) the donor requests anonymity in writing;
             518          (b) any terms, conditions, restrictions, or privileges relating to the donation may not be
             519      classified protected by the governmental entity under this Subsection (37); and
             520          (c) except for [public institutions of higher education] an institution within the state
             521      system of higher education defined in Section 53B-1-102 , the governmental unit to which the
             522      donation is made is primarily engaged in educational, charitable, or artistic endeavors, and has
             523      no regulatory or legislative authority over the donor, a member of [his] the donor's immediate


             524      family, or any entity owned or controlled by the donor or [his] the donor's immediate family;
             525          (38) accident reports, except as provided in Sections 41-6-40 , 41-12a-202 , and
             526      73-18-13 ;
             527          (39) a notification of workers' compensation insurance coverage described in Section
             528      34A-2-205 ;
             529          (40) (a) the following records of [a public institution of education] an institution within
             530      the state system of higher education defined in Section 53B-1-102 , which have been developed,
             531      discovered, disclosed to, or received by or on behalf of faculty, staff, employees, or students of
             532      the institution:
             533          (i) unpublished lecture notes;
             534          (ii) unpublished [research] notes [and], data, and information:
             535          (A) relating to sponsored research; and
             536          (B) of:
             537          (I) the institution within the state system of higher education defined in Section
             538      53B-1-102 ; or
             539          (II) a sponsor of sponsored research;
             540          (iii) unpublished manuscripts;
             541          (iv) creative works in process;
             542          (v) scholarly correspondence; and
             543          (vi) confidential information contained in research proposals; and
             544          (b) Subsection (40)(a) may not be construed to affect the ownership of a record;
             545          (41) (a) records in the custody or control of the Office of Legislative Auditor General
             546      that would reveal the name of a particular legislator who requests a legislative audit prior to the
             547      date that audit is completed and made public; and
             548          (b) notwithstanding Subsection (41)(a), a request for a legislative audit submitted to the
             549      Office of the Legislative Auditor General is a public document unless the legislator asks that
             550      the records in the custody or control of the Office of Legislative Auditor General that would
             551      reveal the name of a particular legislator who requests a legislative audit be maintained as
             552      protected records until the audit is completed and made public;
             553          (42) records that provide detail as to the location of an explosive, including a map or
             554      other document that indicates the location of:


             555          (a) a production facility; or
             556          (b) a magazine;
             557          (43) information contained in the database described in Section 62A-3-311.1 ;
             558          (44) information contained in the Management Information System and Licensing
             559      Information System described in Title 62A, Chapter 4a, Child and Family Services;
             560          (45) information regarding National Guard operations or activities in support of the
             561      National Guard's federal mission;
             562          (46) records provided by any pawnbroker or pawnshop to a law enforcement agency in
             563      compliance with Title 13, Chapter 32a, Pawnshop Transaction Information Act; and
             564          (47) information regarding food security, risk, and vulnerability assessments performed
             565      by the Department of Agriculture and Food.
             566          Section 6. Section 63-2-308 is amended to read:
             567           63-2-308. Confidentiality claims.
             568          (1) (a) (i) Any person who provides to a governmental entity a record that [he] the
             569      person believes should be protected under Subsection 63-2-304 (1) or (2) or both Subsections
             570      63-2-304 (1) and (2) shall provide with the record:
             571          (A) a written claim of business confidentiality; and
             572          (B) a concise statement of reasons supporting the claim of business confidentiality.
             573          (ii) Any of the following who provides to an institution within the state system of
             574      higher education defined in Section 53B-1-102 a record that the person or governmental entity
             575      believes should be protected under Subsection 63-2-304 (40)(a)(ii) or (vi) or both Subsections
             576      63-2-304 (40)(a)(ii) and (vi) shall provide the institution within the state system of higher
             577      education a written claim of business confidentiality in accordance with Section 53B-16-304 :
             578          (A) a person;
             579          (B) a federal governmental entity;
             580          (C) a state governmental entity; or
             581          (D) a local governmental entity.
             582          (b) [The claimant] A person or governmental entity who complies with this Subsection
             583      (1) shall be notified by the governmental entity to whom the request for a record is made if:
             584          (i) a record claimed to be protected under [Subsection 63-2-304 (1) or (2)] one of the
             585      following is classified public [or if]:


             586          (A) Subsection 63-2-304 (1);
             587          (B) Subsection 63-2-304 (2);
             588          (C) Subsection 63-2-304 (40)(a)(ii);
             589          (D) Subsection 63-2-304 (40)(a)(vi); or
             590          (E) a combination of the provisions described in Subsections (1)(b)(i)(A) through (D);
             591      or
             592          (ii) the governmental entity to whom the request for a record is made determines that
             593      the record claimed to be protected under a provision listed in Subsection (1)(b)(i) should be
             594      released after balancing interests under Subsection 63-2-201 (5)(b) or Subsection 63-2-401 (6).
             595          (2) Except as provided by court order, the governmental entity to whom the request for
             596      a record is made may not disclose [records] a record claimed to be protected under [Subsection
             597      63-2-304 (1) or (2)] a provision listed in Subsection (1)(b)(i) but which [it] the governmental
             598      entity or records committee determines should be [classified public] disclosed until the period
             599      in which to bring an appeal expires or the end of the appeals process, including judicial appeal.
             600      This Subsection (2) does not apply where the claimant, after notice, has waived the claim by
             601      not appealing or intervening before the records committee.
             602          (3) Disclosure or acquisition of information under this chapter does not constitute
             603      misappropriation under Subsection 13-24-2 (2).
             604          Section 7. Section 63-2-403 is amended to read:
             605           63-2-403. Appeals to the records committee.
             606          (1) A petitioner, including an aggrieved person who did not participate in the appeal to
             607      the governmental entity's chief administrative officer, may appeal to the records committee by
             608      filing a notice of appeal with the executive secretary no later than:
             609          (a) 30 days after the chief administrative officer of the governmental entity has granted
             610      or denied the records request in whole or in part, including a denial under Subsection
             611      63-2-204 (7);
             612          (b) 45 days after the original request for records if:
             613          (i) the circumstances described in Subsection 63-2-401 (1)(b) occur; and
             614          (ii) the chief administrative officer failed to make a determination under Section
             615      63-2-401 .
             616          (2) The notice of appeal shall contain the following information:


             617          (a) the petitioner's name, mailing address, and daytime telephone number;
             618          (b) a copy of any denial of the records request; and
             619          (c) the relief sought.
             620          (3) The petitioner may file a short statement of facts, reasons, and legal authority in
             621      support of the appeal.
             622          (4) (a) Except as provided in Subsection (4)(b), no later than three business days after
             623      receiving a notice of appeal, the executive secretary of the records committee shall:
             624          (i) schedule a hearing for the records committee to discuss the appeal at the next
             625      regularly scheduled committee meeting falling at least 14 days after the date the notice of
             626      appeal is filed but no longer than 45 days after the date the notice of appeal was filed
             627      [provided, however,] except that the records committee may schedule an expedited hearing
             628      upon application of the petitioner and good cause shown;
             629          (ii) send a copy of the notice of hearing to the petitioner; and
             630          (iii) send a copy of the notice of appeal, supporting statement, and a notice of hearing
             631      to:
             632          (A) each member of the records committee;
             633          (B) the records officer and the chief administrative officer of the governmental entity
             634      from which the appeal originated;
             635          (C) any person who made a business confidentiality claim under Section 63-2-308 for a
             636      record that is the subject of the appeal; and
             637          (D) all persons who participated in the proceedings before the governmental entity's
             638      chief administrative officer.
             639          (b) (i) The executive secretary of the records committee may decline to schedule a
             640      hearing if the record series that is the subject of the appeal has been found by the committee in
             641      a previous hearing involving the same government entity to be appropriately classified as
             642      private, controlled, or protected.
             643          (ii) (A) If the executive secretary of the records committee declines to schedule a
             644      hearing, the executive secretary of the records committee shall send a notice to the petitioner
             645      indicating that the request for hearing has been denied and the reason for the denial.
             646          (B) The committee shall make rules to implement this section as provided by Title 63,
             647      Chapter 46a, Utah Administrative Rulemaking Act.


             648          (5) (a) A written statement of facts, reasons, and legal authority in support of the
             649      governmental entity's position must be submitted to the executive secretary of the records
             650      committee not later than five business days before the hearing.
             651          (b) The governmental entity shall send a copy of the written statement to the petitioner
             652      by first class mail, postage prepaid. The executive secretary shall forward a copy of the written
             653      statement to each member of the records committee.
             654          (6) (a) No later than ten business days after the notice of appeal is sent by the executive
             655      secretary, a person whose legal interests may be substantially affected by the proceeding may
             656      file a request for intervention before the records committee.
             657          (b) Any written statement of facts, reasons, and legal authority in support of the
             658      intervener's position shall be filed with the request for intervention.
             659          (c) The person seeking intervention shall provide copies of the statement described in
             660      Subsection (6)(b) to all parties to the proceedings before the records committee.
             661          (7) The records committee shall hold a hearing within the period of time described in
             662      Subsection (4).
             663          (8) At the hearing, the records committee shall allow the parties to testify, present
             664      evidence, and comment on the issues. The records committee may allow other interested
             665      persons to comment on the issues.
             666          (9) (a) The records committee may review the disputed records. However, if the
             667      committee is weighing the various interests under Subsection (11), the committee must review
             668      the disputed records. The review shall be in camera.
             669          (b) Members of the records committee may not disclose any information or record
             670      reviewed by the committee in camera unless the disclosure is otherwise authorized by this
             671      chapter.
             672          (10) (a) Discovery is prohibited, but the records committee may issue subpoenas or
             673      other orders to compel production of necessary evidence.
             674          (b) When the subject of a records committee subpoena disobeys or fails to comply with
             675      the subpoena, the records committee may file a motion for an order to compel obedience to the
             676      subpoena with the district court.
             677          (c) The records committee's review shall be de novo.
             678          (11) (a) No later than three business days after the hearing, the records committee shall


             679      issue a signed order either granting the petition in whole or in part or upholding the
             680      determination of the governmental entity in whole or in part.
             681          (b) The records committee may, upon consideration and weighing of the various
             682      interests and public policies pertinent to the classification and disclosure or nondisclosure,
             683      order the disclosure of information properly classified as private, controlled, or protected if the
             684      public interest favoring access outweighs the interest favoring restriction of access.
             685          (c) In making a determination under Subsection (11)(b), the records committee shall
             686      consider and, where appropriate, limit the requester's use and further disclosure of the record in
             687      order to protect:
             688          (i) privacy interests in the case of private or controlled records[,];
             689          (ii) business confidentiality interests in the case of records protected under
             690      [Subsections] Subsection 63-2-304 (1) [and], (2), (40)(a)(ii), or (40)(a)(vi); and
             691          (iii) privacy interests or the public interest in the case of other protected records.
             692          (12) The order of the records committee shall include:
             693          (a) a statement of reasons for the decision, including citations to this chapter, court rule
             694      or order, another state statute, federal statute, or federal regulation that governs disclosure of
             695      the record, provided that the citations do not disclose private, controlled, or protected
             696      information;
             697          (b) a description of the record or portions of the record to which access was ordered or
             698      denied, provided that the description does not disclose private, controlled, or protected
             699      information or information exempt from disclosure under Subsection 63-2-201 (3)(b);
             700          (c) a statement that any party to the proceeding before the records committee may
             701      appeal the records committee's decision to district court; and
             702          (d) a brief summary of the appeals process, the time limits for filing an appeal, and a
             703      notice that in order to protect its rights on appeal, the party may wish to seek advice from an
             704      attorney.
             705          (13) If the records committee fails to issue a decision within 35 days of the filing of the
             706      notice of appeal, that failure shall be considered the equivalent of an order denying the appeal.
             707      The petitioner shall notify the records committee in writing if [he] the petitioner considers the
             708      appeal denied.
             709          (14) (a) Each government entity shall comply with the order of the records committee


             710      and, if records are ordered to be produced, file:
             711          (i) a notice of compliance with the records committee upon production of the records;
             712      or
             713          (ii) a notice of intent to appeal.
             714          (b) (i) If the government entity fails to file a notice of compliance or a notice of intent
             715      to appeal, the records committee may do either or both of the following:
             716          (A) impose a civil penalty of up to $500 for each day of continuing noncompliance; or
             717          (B) send written notice of the entity's noncompliance to:
             718          (I) the governor for executive branch entities[, to];
             719          (II) the Legislative Management Committee for legislative branch entities[,]; and [to]
             720          (III) the Judicial Council for judicial branch agencies entities.
             721          (ii) In imposing a civil penalty, the records committee shall consider the gravity and
             722      circumstances of the violation, including whether the failure to comply was due to neglect or
             723      was willful or intentional.




Legislative Review Note
    as of 2-7-05 4:18 PM


Based on a limited legal review, this legislation has not been determined to have a high
probability of being held unconstitutional.

Office of Legislative Research and General Counsel


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