! The Capitol Complex is closed to the public due to COVID-19. All meetings will be held virtually online. View procedures and guidelines (PDF) for remote public comment and virtual meeting instructions (PDF).

Download Zipped Amended WordPerfect SB0086.ZIP
[Introduced][Status][Bill Documents][Fiscal Note][Bills Directory]

S.B. 86

This document includes Senate 2nd Reading Floor Amendments incorporated into the bill on Fri, Mar 8, 2013 at 3:23 PM by cmillar. --> This document includes Senate 2nd Reading Floor Amendments incorporated into the bill on Fri, Mar 8, 2013 at 4:04 PM by cmillar. --> This document includes House Floor Amendments incorporated into the bill on Thu, Mar 14, 2013 at 8:54 AM by lerror. -->              1     

INDEPENDENT EXECUTIVE BRANCH ETHICS

             2     
COMMISSION

             3     
2013 GENERAL SESSION

             4     
STATE OF UTAH

             5     
Chief Sponsor: John L. Valentine

             6     
House Sponsor: Dean Sanpei

             7     

             8      LONG TITLE
             9      General Description:
             10          This bill establishes the Independent Executive Branch Ethics Commission.
             11      Highlighted Provisions:
             12          This bill:
             13          .    defines terms;
             14          .    creates the Independent Executive Branch Ethics Commission;
             15          .    addresses provisions relating to classification of records and the closing of meetings
             16      of the commission;
             17          .    describes the membership, duties, jurisdiction, and powers of the commission;
             18          .    describes procedures for filing, responding to, and hearing ethics complaints;
             19          .    provides for the commission to determine whether an allegation in an ethics
             20      complaint has merit; and
             21          .    provides that a person may be held in contempt of the commission for failure to
             22      comply with a subpoena issued by, or an order of, the commission or the chair.
             23      Money Appropriated in this Bill:
             24          None
             25      Other Special Clauses:
             26          None
             27      Utah Code Sections Affected:



Text Box

- 2 -
             28
     AMENDS:
             29          52-4-204, as last amended by Laws of Utah 2012, Chapter 202
             30          52-4-205, as last amended by Laws of Utah 2012, Chapters 327 and 365
             31          58-1-301, as last amended by Laws of Utah 2008, Chapter 382
             32          58-55-302, as last amended by Laws of Utah 2012, Chapter 192
             33          61-1-4, as last amended by Laws of Utah 2011, Chapter 317
             34          61-2f-203, as last amended by Laws of Utah 2012, Chapter 166
             35          63G-2-202, as last amended by Laws of Utah 2012, Chapter 377
             36          63G-2-301, as last amended by Laws of Utah 2012, Chapter 377
             37          63G-2-302, as last amended by Laws of Utah 2012, Chapters 74, 145, and 202
             38          63G-2-303, as last amended by Laws of Utah 2012, Chapter 232
             39          63G-2-803, as last amended by Laws of Utah 2009, Chapter 44
             40      ENACTS:
             41          63A-13-101, Utah Code Annotated 1953
             42          63A-13-102, Utah Code Annotated 1953
             43          63A-13-201, Utah Code Annotated 1953
             44          63A-13-202, Utah Code Annotated 1953
             45          63A-13-203, Utah Code Annotated 1953
             46          63A-13-301, Utah Code Annotated 1953
             47          63A-13-302, Utah Code Annotated 1953
             48          63A-13-303, Utah Code Annotated 1953
             49          63A-13-401, Utah Code Annotated 1953
             50          63A-13-402, Utah Code Annotated 1953
             51          63A-13-403, Utah Code Annotated 1953
             52          63A-13-501, Utah Code Annotated 1953
             53          63A-13-502, Utah Code Annotated 1953
             54          63A-13-503, Utah Code Annotated 1953
             55          63A-13-504, Utah Code Annotated 1953
             56          63A-13-601, Utah Code Annotated 1953
             57          63A-13-602, Utah Code Annotated 1953
             58          63A-13-603, Utah Code Annotated 1953



Text Box

- 3 -
             59
         63A-13-604, Utah Code Annotated 1953
             60          63A-13-605, Utah Code Annotated 1953
             61          63A-13-606, Utah Code Annotated 1953
             62          63A-13-701, Utah Code Annotated 1953
             63          63A-13-702, Utah Code Annotated 1953
             64          63A-13-703, Utah Code Annotated 1953
             65          63A-13-704, Utah Code Annotated 1953
             66          63A-13-705, Utah Code Annotated 1953
             67          63A-13-706, Utah Code Annotated 1953
             68          63A-13-707, Utah Code Annotated 1953
             69          63A-13-708, Utah Code Annotated 1953
             70     

             71      Be it enacted by the Legislature of the state of Utah:
             72          Section 1. Section 52-4-204 is amended to read:
             73           52-4-204. Closed meeting held upon vote of members -- Business -- Reasons for
             74      meeting recorded.
             75          (1) A closed meeting may be held if:
             76          (a) (i) a quorum is present;
             77          (ii) the meeting is an open meeting for which notice has been given under Section
             78      52-4-202 ; and
             79          (iii) (A) two-thirds of the members of the public body present at the open meeting vote
             80      to approve closing the meeting;
             81          (B) for a meeting that is required to be closed under Section 52-4-205 , if a majority of
             82      the members of the public body present at an open meeting vote to approve closing the
             83      meeting;
             84          (C) for an ethics committee of the Legislature that is conducting an open meeting for
             85      the purpose of reviewing an ethics complaint, a majority of the members present vote to
             86      approve closing the meeting for the purpose of seeking or obtaining legal advice on legal,
             87      evidentiary, or procedural matters, or for conducting deliberations to reach a decision on the
             88      complaint; or
             89          (D) for the Political Subdivisions Ethics Review Commission established in Section



Text Box

- 4 -
             90
     11-49-201 that is conducting an open meeting for the purpose of reviewing an ethics complaint
             91      in accordance with Section 11-49-701 , a majority of the members present vote to approve
             92      closing the meeting for the purpose of seeking or obtaining legal advice on legal, evidentiary,
             93      or procedural matters, or for conducting deliberations to reach a decision on the complaint; or
             94          (b) (i) for the Independent Legislative Ethics Commission, the closed meeting is
             95      convened for the purpose of conducting business relating to the receipt or review of an ethics
             96      complaint, provided that public notice of the closed meeting is given under Section 52-4-202 ,
             97      with the agenda for the meeting stating that the meeting will be closed for the purpose of
             98      "conducting business relating to the receipt or review of ethics complaints"; [or]
             99          (ii) for the Political Subdivisions Ethics Review Commission established in Section
             100      11-49-201 , the closed meeting is convened for the purpose of conducting business relating to
             101      the preliminary review of an ethics complaint in accordance with Section 11-49-602 , provided
             102      that public notice of the closed meeting is given under Section 52-4-202 , with the agenda for
             103      the meeting stating that the meeting will be closed for the purpose of "conducting business
             104      relating to the review of ethics complaints"[.]; or
             105          (iii) for the Independent Executive Branch Ethics Commission created in Section
             106      63A-13-202 , the closed meeting is convened for the purpose of conducting business relating to
             107      an ethics complaint, provided that public notice of the closed meeting is given under Section
             108      52-4-202 , with the agenda for the meeting stating that the meeting will be closed for the
             109      purpose of "conducting business relating to an ethics complaint."
             110          (2) A closed meeting is not allowed unless each matter discussed in the closed meeting
             111      is permitted under Section 52-4-205 .
             112          (3) An ordinance, resolution, rule, regulation, contract, or appointment may not be
             113      approved at a closed meeting.
             114          (4) The following information shall be publicly announced and entered on the minutes
             115      of the open meeting at which the closed meeting was approved:
             116          (a) the reason or reasons for holding the closed meeting;
             117          (b) the location where the closed meeting will be held; and
             118          (c) the vote by name, of each member of the public body, either for or against the
             119      motion to hold the closed meeting.
             120          (5) Except as provided in Subsection 52-4-205 (2), nothing in this chapter shall be



Text Box

- 5 -
             121
     construed to require any meeting to be closed to the public.
             122          Section 2. Section 52-4-205 is amended to read:
             123           52-4-205. Purposes of closed meetings -- Certain issues prohibited in closed
             124      meetings.
             125          (1) A closed meeting described under Section 52-4-204 may only be held for:
             126          (a) except as provided in Subsection (3), discussion of the character, professional
             127      competence, or physical or mental health of an individual;
             128          (b) strategy sessions to discuss collective bargaining;
             129          (c) strategy sessions to discuss pending or reasonably imminent litigation;
             130          (d) strategy sessions to discuss the purchase, exchange, or lease of real property,
             131      including any form of a water right or water shares, if public discussion of the transaction
             132      would:
             133          (i) disclose the appraisal or estimated value of the property under consideration; or
             134          (ii) prevent the public body from completing the transaction on the best possible terms;
             135          (e) strategy sessions to discuss the sale of real property, including any form of a water
             136      right or water shares, if:
             137          (i) public discussion of the transaction would:
             138          (A) disclose the appraisal or estimated value of the property under consideration; or
             139          (B) prevent the public body from completing the transaction on the best possible terms;
             140          (ii) the public body previously gave public notice that the property would be offered for
             141      sale; and
             142          (iii) the terms of the sale are publicly disclosed before the public body approves the
             143      sale;
             144          (f) discussion regarding deployment of security personnel, devices, or systems;
             145          (g) investigative proceedings regarding allegations of criminal misconduct;
             146          (h) as relates to the Independent Legislative Ethics Commission, conducting business
             147      relating to the receipt or review of ethics complaints;
             148          (i) as relates to an ethics committee of the Legislature, a purpose permitted under
             149      Subsection 52-4-204 (1)(a)(iii)[(B)](C);
             150          (j) as relates to the Independent Executive Branch Ethics Commission created in
             151      Section 63A-13-202 , conducting business relating to an ethics complaint;



Text Box

- 6 -
             152
         [(j)] (k) as relates to a county legislative body, discussing commercial information as
             153      defined in Section 59-1-404 ;
             154          [(k)] (l) as relates to the Utah Higher Education Assistance Authority and its appointed
             155      board of directors, discussing fiduciary or commercial information as defined in Section
             156      53B-12-102 ; or
             157          [(l)] (m) a purpose for which a meeting is required to be closed under Subsection (2).
             158          (2) The following meetings shall be closed:
             159          (a) a meeting of the Health and Human Services Interim Committee to review a fatality
             160      review report described in Subsection 62A-16-301 (1)(a), and the responses to the report
             161      described in Subsections 62A-16-301 (2) and (4); and
             162          (b) a meeting of the Child Welfare Legislative Oversight Panel to:
             163          (i) review a fatality review report described in Subsection 62A-16-301 (1)(a), and the
             164      responses to the report described in Subsections 62A-16-301 (2) and (4); or
             165          (ii) review and discuss an individual case, as described in Subsection 62A-4a-207 (5).
             166          (3) In a closed meeting, a public body may not:
             167          (a) interview a person applying to fill an elected position;
             168          (b) discuss filling a midterm vacancy or temporary absence governed by Title 20A,
             169      Chapter 1, Part 5, Candidate Vacancy and Vacancy and Temporary Absence in Elected Office;
             170      or
             171          (c) discuss the character, professional competence, or physical or mental health of the
             172      person whose name was submitted for consideration to fill a midterm vacancy or temporary
             173      absence governed by Title 20A, Chapter 1, Part 5, Candidate Vacancy and Vacancy and
             174      Temporary Absence in Elected Office.
             175          Section 3. Section 58-1-301 is amended to read:
             176           58-1-301. License application -- Licensing procedure.
             177          (1) (a) Each license applicant shall apply to the division in writing upon forms
             178      available from the division. Each completed application shall contain documentation of the
             179      particular qualifications required of the applicant, shall include the applicant's Social Security
             180      number, shall be verified by the applicant, and shall be accompanied by the appropriate fees.
             181          (b) An applicant's Social Security number is a private record under Subsection
             182      63G-2-302 (1)[(h)](i).



Text Box

- 7 -
             183
         (2) (a) A license shall be issued to an applicant who submits a complete application if
             184      the division determines that the applicant meets the qualifications of licensure.
             185          (b) A written notice of additional proceedings shall be provided to an applicant who
             186      submits a complete application, but who has been, is, or will be placed under investigation by
             187      the division for conduct directly bearing upon the applicant's qualifications for licensure, if the
             188      outcome of additional proceedings is required to determine the division's response to the
             189      application.
             190          (c) A written notice of denial of licensure shall be provided to an applicant who
             191      submits a complete application if the division determines that the applicant does not meet the
             192      qualifications of licensure.
             193          (d) A written notice of incomplete application and conditional denial of licensure shall
             194      be provided to an applicant who submits an incomplete application. This notice shall advise
             195      the applicant that the application is incomplete and that the application is denied, unless the
             196      applicant corrects the deficiencies within the time period specified in the notice and otherwise
             197      meets all qualifications for licensure.
             198          (3) Before any person is issued a license under this title, all requirements for that
             199      license as established under this title and by rule shall be met.
             200          (4) If all requirements are met for the specific license, the division shall issue the
             201      license.
             202          Section 4. Section 58-55-302 is amended to read:
             203           58-55-302. Qualifications for licensure.
             204          (1) Each applicant for a license under this chapter shall:
             205          (a) submit an application prescribed by the division;
             206          (b) pay a fee as determined by the department under Section 63J-1-504 ;
             207          (c) (i) meet the examination requirements established by rule by the commission with
             208      the concurrence of the director, except for the classifications of apprentice plumber and
             209      apprentice electrician for whom no examination is required; or
             210          (ii) if required in Section 58-55-304 , the individual qualifier must pass the required
             211      examination if the applicant is a business entity;
             212          (d) if an apprentice, identify the proposed supervisor of the apprenticeship;
             213          (e) if an applicant for a contractor's license:



Text Box

- 8 -
             214
         (i) produce satisfactory evidence of financial responsibility, except for a construction
             215      trades instructor for whom evidence of financial responsibility is not required;
             216          (ii) produce satisfactory evidence of knowledge and experience in the construction
             217      industry and knowledge of the principles of the conduct of business as a contractor, reasonably
             218      necessary for the protection of the public health, safety, and welfare;
             219          (iii) (A) be a licensed master electrician if an applicant for an electrical contractor's
             220      license or a licensed master residential electrician if an applicant for a residential electrical
             221      contractor's license;
             222          (B) be a licensed master plumber if an applicant for a plumbing contractor's license or
             223      a licensed master residential plumber if an applicant for a residential plumbing contractor's
             224      license; or
             225          (C) be a licensed elevator mechanic and produce satisfactory evidence of three years
             226      experience as an elevator mechanic if an applicant for an elevator contractor's license; and
             227          (iv) when the applicant is an unincorporated entity, provide a list of the one or more
             228      individuals who hold an ownership interest in the applicant as of the day on which the
             229      application is filed that includes for each individual:
             230          (A) the individual's name, address, birthdate, and Social Security number; and
             231          (B) whether the individual will engage in a construction trade; and
             232          (f) if an applicant for a construction trades instructor license, satisfy any additional
             233      requirements established by rule.
             234          (2) After approval of an applicant for a contractor's license by the applicable board and
             235      the division, the applicant shall file the following with the division before the division issues
             236      the license:
             237          (a) proof of workers' compensation insurance which covers employees of the applicant
             238      in accordance with applicable Utah law;
             239          (b) proof of public liability insurance in coverage amounts and form established by rule
             240      except for a construction trades instructor for whom public liability insurance is not required;
             241      and
             242          (c) proof of registration as required by applicable law with the:
             243          (i) Utah Department of Commerce;
             244          (ii) Division of Corporations and Commercial Code;



Text Box

- 9 -
             245
         (iii) Unemployment Insurance Division in the Department of Workforce Services, for
             246      purposes of Title 35A, Chapter 4, Employment Security Act;
             247          (iv) State Tax Commission; and
             248          (v) Internal Revenue Service.
             249          (3) In addition to the general requirements for each applicant in Subsection (1),
             250      applicants shall comply with the following requirements to be licensed in the following
             251      classifications:
             252          (a) (i) A master plumber shall produce satisfactory evidence that the applicant:
             253          (A) has been a licensed journeyman plumber for at least two years and had two years of
             254      supervisory experience as a licensed journeyman plumber in accordance with division rule;
             255          (B) has received at least an associate of applied science degree or similar degree
             256      following the completion of a course of study approved by the division and had one year of
             257      supervisory experience as a licensed journeyman plumber in accordance with division rule; or
             258          (C) meets the qualifications determined by the division in collaboration with the board
             259      to be equivalent to Subsection (3)(a)(i)(A) or (B).
             260          (ii) An individual holding a valid Utah license as a journeyman plumber, based on at
             261      least four years of practical experience as a licensed apprentice under the supervision of a
             262      licensed journeyman plumber and four years as a licensed journeyman plumber, in effect
             263      immediately prior to May 5, 2008, is on and after May 5, 2008, considered to hold a current
             264      master plumber license under this chapter, and satisfies the requirements of this Subsection
             265      (3)(a) for the purpose of renewal or reinstatement of that license under Section 58-55-303 .
             266          (iii) An individual holding a valid plumbing contractor's license or residential
             267      plumbing contractor's license, in effect immediately prior to May 5, 2008, is on or after May 5,
             268      2008:
             269          (A) considered to hold a current master plumber license under this chapter if licensed
             270      as a plumbing contractor and a journeyman plumber, and satisfies the requirements of this
             271      Subsection (3)(a) for purposes of renewal or reinstatement of that license under Section
             272      58-55-303 ; and
             273          (B) considered to hold a current residential master plumber license under this chapter if
             274      licensed as a residential plumbing contractor and a residential journeyman plumber, and
             275      satisfies the requirements of this Subsection (3)(a) for purposes of renewal or reinstatement of



Text Box

- 10 -
             276
     that license under Section 58-55-303 .
             277          (b) A master residential plumber applicant shall produce satisfactory evidence that the
             278      applicant:
             279          (i) has been a licensed residential journeyman plumber for at least two years and had
             280      two years of supervisory experience as a licensed residential journeyman plumber in
             281      accordance with division rule; or
             282          (ii) meets the qualifications determined by the division in collaboration with the board
             283      to be equivalent to Subsection (3)(b)(i).
             284          (c) A journeyman plumber applicant shall produce satisfactory evidence of:
             285          (i) successful completion of the equivalent of at least four years of full-time training
             286      and instruction as a licensed apprentice plumber under supervision of a licensed master
             287      plumber or journeyman plumber and in accordance with a planned program of training
             288      approved by the division;
             289          (ii) at least eight years of full-time experience approved by the division in collaboration
             290      with the Plumbers Licensing Board; or
             291          (iii) satisfactory evidence of meeting the qualifications determined by the board to be
             292      equivalent to Subsection (3)(c)(i) or (c)(ii).
             293          (d) A residential journeyman plumber shall produce satisfactory evidence of:
             294          (i) completion of the equivalent of at least three years of full-time training and
             295      instruction as a licensed apprentice plumber under the supervision of a licensed residential
             296      master plumber, licensed residential journeyman plumber, or licensed journeyman plumber in
             297      accordance with a planned program of training approved by the division;
             298          (ii) completion of at least six years of full-time experience in a maintenance or repair
             299      trade involving substantial plumbing work; or
             300          (iii) meeting the qualifications determined by the board to be equivalent to Subsection
             301      (3)(d)(i) or (d)(ii).
             302          (e) The conduct of licensed apprentice plumbers and their licensed supervisors shall be
             303      in accordance with the following:
             304          (i) while engaging in the trade of plumbing, a licensed apprentice plumber shall be
             305      under the immediate supervision of a licensed master plumber, licensed residential master
             306      plumber, licensed journeyman plumber, or a licensed residential journeyman plumber; and



Text Box

- 11 -
             307
         (ii) a licensed apprentice plumber in the fourth through tenth year of training may work
             308      without supervision for a period not to exceed eight hours in any 24-hour period, but if the
             309      apprentice does not become a licensed journeyman plumber or licensed residential journeyman
             310      plumber by the end of the tenth year of apprenticeship, this nonsupervision provision no longer
             311      applies.
             312          (f) A master electrician applicant shall produce satisfactory evidence that the applicant:
             313          (i) is a graduate electrical engineer of an accredited college or university approved by
             314      the division and has one year of practical electrical experience as a licensed apprentice
             315      electrician;
             316          (ii) is a graduate of an electrical trade school, having received an associate of applied
             317      sciences degree following successful completion of a course of study approved by the division,
             318      and has two years of practical experience as a licensed journeyman electrician;
             319          (iii) has four years of practical experience as a journeyman electrician; or
             320          (iv) meets the qualifications determined by the board to be equivalent to Subsection
             321      (3)(f)(i), (ii), or (iii).
             322          (g) A master residential electrician applicant shall produce satisfactory evidence that
             323      the applicant:
             324          (i) has at least two years of practical experience as a residential journeyman electrician;
             325      or
             326          (ii) meets the qualifications determined by the board to be equivalent to this practical
             327      experience.
             328          (h) A journeyman electrician applicant shall produce satisfactory evidence that the
             329      applicant:
             330          (i) has successfully completed at least four years of full-time training and instruction as
             331      a licensed apprentice electrician under the supervision of a master electrician or journeyman
             332      electrician and in accordance with a planned training program approved by the division;
             333          (ii) has at least eight years of full-time experience approved by the division in
             334      collaboration with the Electricians Licensing Board; or
             335          (iii) meets the qualifications determined by the board to be equivalent to Subsection
             336      (3)(h)(i) or (ii).
             337          (i) A residential journeyman electrician applicant shall produce satisfactory evidence



Text Box

- 12 -
             338
     that the applicant:
             339          (i) has successfully completed two years of training in an electrical training program
             340      approved by the division;
             341          (ii) has four years of practical experience in wiring, installing, and repairing electrical
             342      apparatus and equipment for light, heat, and power under the supervision of a licensed master,
             343      journeyman, residential master, or residential journeyman electrician; or
             344          (iii) meets the qualifications determined by the division and applicable board to be
             345      equivalent to Subsection (3)(i)(i) or (ii).
             346          (j) The conduct of licensed apprentice electricians and their licensed supervisors shall
             347      be in accordance with the following:
             348          (i) A licensed apprentice electrician shall be under the immediate supervision of a
             349      licensed master, journeyman, residential master, or residential journeyman electrician. An
             350      apprentice in the fourth year of training may work without supervision for a period not to
             351      exceed eight hours in any 24-hour period.
             352          (ii) A licensed master, journeyman, residential master, or residential journeyman
             353      electrician may have under immediate supervision on a residential project up to three licensed
             354      apprentice electricians.
             355          (iii) A licensed master or journeyman electrician may have under immediate
             356      supervision on nonresidential projects only one licensed apprentice electrician.
             357          (k) An alarm company applicant shall:
             358          (i) have a qualifying agent who is an officer, director, partner, proprietor, or manager of
             359      the applicant who:
             360          (A) demonstrates 6,000 hours of experience in the alarm company business;
             361          (B) demonstrates 2,000 hours of experience as a manager or administrator in the alarm
             362      company business or in a construction business; and
             363          (C) passes an examination component established by rule by the commission with the
             364      concurrence of the director;
             365          (ii) if a corporation, provide:
             366          (A) the names, addresses, dates of birth, Social Security numbers, and fingerprint cards
             367      of all corporate officers, directors, and those responsible management personnel employed
             368      within the state or having direct responsibility for managing operations of the applicant within



Text Box

- 13 -
             369
     the state; and
             370          (B) the names, addresses, dates of birth, Social Security numbers, and fingerprint cards
             371      of all shareholders owning 5% or more of the outstanding shares of the corporation, except this
             372      shall not be required if the stock is publicly listed and traded;
             373          (iii) if a limited liability company, provide:
             374          (A) the names, addresses, dates of birth, Social Security numbers, and fingerprint cards
             375      of all company officers, and those responsible management personnel employed within the
             376      state or having direct responsibility for managing operations of the applicant within the state;
             377      and
             378          (B) the names, addresses, dates of birth, Social Security numbers, and fingerprint cards
             379      of all individuals owning 5% or more of the equity of the company;
             380          (iv) if a partnership, provide the names, addresses, dates of birth, Social Security
             381      numbers, and fingerprint cards of all general partners, and those responsible management
             382      personnel employed within the state or having direct responsibility for managing operations of
             383      the applicant within the state;
             384          (v) if a proprietorship, provide the names, addresses, dates of birth, Social Security
             385      numbers, and fingerprint cards of the proprietor, and those responsible management personnel
             386      employed within the state or having direct responsibility for managing operations of the
             387      applicant within the state;
             388          (vi) if a trust, provide the names, addresses, dates of birth, Social Security numbers,
             389      and fingerprint cards of the trustee, and those responsible management personnel employed
             390      within the state or having direct responsibility for managing operations of the applicant within
             391      the state;
             392          (vii) be of good moral character in that officers, directors, shareholders described in
             393      Subsection (3)(k)(ii)(B), partners, proprietors, trustees, and responsible management personnel
             394      have not been convicted of a felony, a misdemeanor involving moral turpitude, or any other
             395      crime that when considered with the duties and responsibilities of an alarm company is
             396      considered by the board to indicate that the best interests of the public are served by granting
             397      the applicant a license;
             398          (viii) document that none of the applicant's officers, directors, shareholders described
             399      in Subsection (3)(k)(ii)(B), partners, proprietors, trustees, and responsible management



Text Box

- 14 -
             400
     personnel have been declared by any court of competent jurisdiction incompetent by reason of
             401      mental defect or disease and not been restored;
             402          (ix) document that none of the applicant's officers, directors, shareholders described in
             403      Subsection (3)(k)(ii)(B), partners, proprietors, and responsible management personnel are
             404      currently suffering from habitual drunkenness or from drug addiction or dependence;
             405          (x) file and maintain with the division evidence of:
             406          (A) comprehensive general liability insurance in form and in amounts to be established
             407      by rule by the commission with the concurrence of the director;
             408          (B) workers' compensation insurance that covers employees of the applicant in
             409      accordance with applicable Utah law; and
             410          (C) registration as is required by applicable law with the:
             411          (I) Division of Corporations and Commercial Code;
             412          (II) Unemployment Insurance Division in the Department of Workforce Services, for
             413      purposes of Title 35A, Chapter 4, Employment Security Act;
             414          (III) State Tax Commission; and
             415          (IV) Internal Revenue Service; and
             416          (xi) meet with the division and board.
             417          (l) Each applicant for licensure as an alarm company agent shall:
             418          (i) submit an application in a form prescribed by the division accompanied by
             419      fingerprint cards;
             420          (ii) pay a fee determined by the department under Section 63J-1-504 ;
             421          (iii) be of good moral character in that the applicant has not been convicted of a felony,
             422      a misdemeanor involving moral turpitude, or any other crime that when considered with the
             423      duties and responsibilities of an alarm company agent is considered by the board to indicate
             424      that the best interests of the public are served by granting the applicant a license;
             425          (iv) not have been declared by any court of competent jurisdiction incompetent by
             426      reason of mental defect or disease and not been restored;
             427          (v) not be currently suffering from habitual drunkenness or from drug addiction or
             428      dependence; and
             429          (vi) meet with the division and board if requested by the division or the board.
             430          (m) (i) Each applicant for licensure as an elevator mechanic shall:



Text Box

- 15 -
             431
         (A) provide documentation of experience and education credits of not less than three
             432      years work experience in the elevator industry, in construction, maintenance, or service and
             433      repair; and
             434          (B) satisfactorily complete a written examination administered by the division
             435      established by rule under Section 58-1-203 ; or
             436          (C) provide certificates of completion of an apprenticeship program for elevator
             437      mechanics, having standards substantially equal to those of this chapter and registered with the
             438      United States Department of Labor Bureau Apprenticeship and Training or a state
             439      apprenticeship council.
             440          (ii) (A) If an elevator contractor licensed under this chapter cannot find a licensed
             441      elevator mechanic to perform the work of erecting, constructing, installing, altering, servicing,
             442      repairing, or maintaining an elevator, the contractor may:
             443          (I) notify the division of the unavailability of licensed personnel; and
             444          (II) request the division issue a temporary elevator mechanic license to an individual
             445      certified by the contractor as having an acceptable combination of documented experience and
             446      education to perform the work described in this Subsection (3)(m)(ii)(A).
             447          (B) (I) The division may issue a temporary elevator mechanic license to an individual
             448      certified under Subsection (3)(m)(ii)(A)(II) upon application by the individual, accompanied by
             449      the appropriate fee as determined by the department under Section 63J-1-504 .
             450          (II) The division shall specify the time period for which the license is valid and may
             451      renew the license for an additional time period upon its determination that a shortage of
             452      licensed elevator mechanics continues to exist.
             453          (4) In accordance with Title 63G, Chapter 3, Utah Administrative Rulemaking Act, the
             454      division may make rules establishing when Federal Bureau of Investigation records shall be
             455      checked for applicants as an alarm company or alarm company agent.
             456          (5) To determine if an applicant meets the qualifications of Subsections (3)(k)(vii) and
             457      (3)(l)(iii), the division shall provide an appropriate number of copies of fingerprint cards to the
             458      Department of Public Safety with the division's request to:
             459          (a) conduct a search of records of the Department of Public Safety for criminal history
             460      information relating to each applicant for licensure as an alarm company or alarm company
             461      agent and each applicant's officers, directors, shareholders described in Subsection



Text Box

- 16 -
             462
     (3)(k)(ii)(B), partners, proprietors, and responsible management personnel; and
             463          (b) forward to the Federal Bureau of Investigation a fingerprint card of each applicant
             464      requiring a check of records of the Federal Bureau of Investigation for criminal history
             465      information under this section.
             466          (6) The Department of Public Safety shall send to the division:
             467          (a) a written record of criminal history, or certification of no criminal history record, as
             468      contained in the records of the Department of Public Safety in a timely manner after receipt of
             469      a fingerprint card from the division and a request for review of Department of Public Safety
             470      records; and
             471          (b) the results of the Federal Bureau of Investigation review concerning an applicant in
             472      a timely manner after receipt of information from the Federal Bureau of Investigation.
             473          (7) (a) The division shall charge each applicant for licensure as an alarm company or
             474      alarm company agent a fee, in accordance with Section 63J-1-504 , equal to the cost of
             475      performing the records reviews under this section.
             476          (b) The division shall pay the Department of Public Safety the costs of all records
             477      reviews, and the Department of Public Safety shall pay the Federal Bureau of Investigation the
             478      costs of records reviews under this section.
             479          (8) Information obtained by the division from the reviews of criminal history records of
             480      the Department of Public Safety and the Federal Bureau of Investigation shall be used or
             481      disseminated by the division only for the purpose of determining if an applicant for licensure as
             482      an alarm company or alarm company agent is qualified for licensure.
             483          (9) (a) An application for licensure under this chapter shall be denied if:
             484          (i) the applicant has had a previous license, which was issued under this chapter,
             485      suspended or revoked within one year prior to the date of the applicant's application;
             486          (ii) (A) the applicant is a partnership, corporation, or limited liability company; and
             487          (B) any corporate officer, director, shareholder holding 25% or more of the stock in the
             488      applicant, partner, member, agent acting as a qualifier, or any person occupying a similar
             489      status, performing similar functions, or directly or indirectly controlling the applicant has
             490      served in any similar capacity with any person or entity which has had a previous license,
             491      which was issued under this chapter, suspended or revoked within one year prior to the date of
             492      the applicant's application; or



Text Box

- 17 -
             493
         (iii) (A) the applicant is an individual or sole proprietorship; and
             494          (B) any owner or agent acting as a qualifier has served in any capacity listed in
             495      Subsection (9)(a)(ii)(B) in any entity which has had a previous license, which was issued under
             496      this chapter, suspended or revoked within one year prior to the date of the applicant's
             497      application.
             498          (b) An application for licensure under this chapter shall be reviewed by the appropriate
             499      licensing board prior to approval if:
             500          (i) the applicant has had a previous license, which was issued under this chapter,
             501      suspended or revoked more than one year prior to the date of the applicant's application;
             502          (ii) (A) the applicant is a partnership, corporation, or limited liability company; and
             503          (B) any corporate officer, director, shareholder holding 25% or more of the stock in the
             504      applicant, partner, member, agent acting as a qualifier, or any person occupying a similar
             505      status, performing similar functions, or directly or indirectly controlling the applicant has
             506      served in any similar capacity with any person or entity which has had a previous license,
             507      which was issued under this chapter, suspended or revoked more than one year prior to the date
             508      of the applicant's application; or
             509          (iii) (A) the applicant is an individual or sole proprietorship; and
             510          (B) any owner or agent acting as a qualifier has served in any capacity listed in
             511      Subsection (9)(b)(ii)(B) in any entity which has had a previous license, which was issued under
             512      this chapter, suspended or revoked more than one year prior to the date of the applicant's
             513      application.
             514          (10) (a) (i) A licensee that is an unincorporated entity shall file an ownership status
             515      report with the division every 90 days after the day on which the license is issued if the licensee
             516      has more than five owners who are individuals who:
             517          (A) own an interest in the contractor that is an unincorporated entity;
             518          (B) own, directly or indirectly, less than an 8% interest in the unincorporated entity, as
             519      defined by rule made by the division in accordance with Title 63G, Chapter 3, Utah
             520      Administrative Rulemaking Act; and
             521          (C) engage, or will engage, in a construction trade in Utah as an owner of the
             522      contractor described in Subsection (10)(a)(i)(A).
             523          (ii) If the licensee has five or fewer owners described in Subsection (10)(a)(i), the



Text Box

- 18 -
             524
     licensee shall provide the ownership status report with an application for renewal of licensure.
             525          (b) An ownership status report required under this Subsection (10) shall:
             526          (i) list each addition or deletion of an owner:
             527          (A) for the first ownership status report, after the day on which the unincorporated
             528      entity is licensed under this chapter; and
             529          (B) for a subsequent ownership status report, after the day on which the previous
             530      ownership status report is filed;
             531          (ii) be in a format prescribed by the division that includes the items on the list provided
             532      under Subsection(1)(e)(iv); and
             533          (iii) be accompanied by a fee set by the division in accordance with Section 63J-1-504
             534      if the ownership status report indicates there is a change described in Subsection (10)(b)(i).
             535          (c) The division may, at any time, audit an ownership status report under this
             536      Subsection (10):
             537          (i) to determine if financial responsibility has been demonstrated or maintained as
             538      required under Section 58-55-306 ; and
             539          (ii) to determine compliance with Subsection 58-55-501 (24) or (25) or Subsection
             540      58-55-502 (8) or (9).
             541          (11) (a) An unincorporated entity that provides labor to an entity licensed under this
             542      chapter by providing an individual who owns an interest in the unincorporated entity to engage
             543      in a construction trade in Utah shall file with the division:
             544          (i) before the individual who owns an interest in the unincorporated entity engages in a
             545      construction trade in Utah, a current list of the one or more individuals who hold an ownership
             546      interest in the unincorporated entity that includes for each individual:
             547          (A) the individual's name, address, birthdate, and Social Security number; and
             548          (B) whether the individual will engage in a construction trade; and
             549          (ii) every 90 days after the day on which the unincorporated entity provides the list
             550      described in Subsection (11)(a)(i), an ownership status report containing the information that
             551      would be required under Subsection (10) if the unincorporated entity were a licensed
             552      contractor.
             553          (b) When filing an ownership list described in Subsection (11)(a)(i) or an ownership
             554      status report described in Subsection (11)(a)(ii) an unincorporated entity shall pay a fee set by



Text Box

- 19 -
             555
     the division in accordance with Section 63J-1-504 .
             556          (12) This chapter may not be interpreted to create or support an express or implied
             557      independent contractor relationship between an unincorporated entity described in Subsection
             558      (10) or (11) and the owners of the unincorporated entity for any purpose, including income tax
             559      withholding.
             560          (13) A Social Security number provided under Subsection (1)(e)(iv) is a private record
             561      under Subsection 63G-2-302 (1)[(h)](i).
             562          Section 5. Section 61-1-4 is amended to read:
             563           61-1-4. Licensing and notice filing procedure.
             564          (1) (a) A broker-dealer, agent, investment adviser, or investment adviser representative
             565      shall obtain an initial or renewal license by filing with the division or its designee an
             566      application together with a consent to service of process under Section 61-1-26 .
             567          (b) (i) The application shall contain the applicant's Social Security number and
             568      whatever information the division by rule requires concerning such matters as:
             569          (A) the applicant's form and place of organization;
             570          (B) the applicant's proposed method of doing business;
             571          (C) (I) the qualifications and business history of the applicant; and
             572          (II) in the case of a broker-dealer or investment adviser, the qualifications and business
             573      history of any partner, officer, or director, any person occupying a similar status or performing
             574      similar functions, or any person directly or indirectly controlling the broker-dealer or
             575      investment adviser;
             576          (D) whether the applicant has been subject to:
             577          (I) an injunction, administrative order, or misdemeanor conviction involving a security
             578      or any aspect of the securities business; or
             579          (II) a felony conviction; and
             580          (E) the applicant's financial condition and history.
             581          (ii) An applicant's Social Security number is a private record under Subsection
             582      63G-2-302 (1)[(h)](i).
             583          (c) The division may, by rule or order, require an applicant for an initial license to
             584      publish an announcement of the application in one or more specified newspapers published in
             585      this state.



Text Box

- 20 -
             586
         (d) A license or notice filing of a broker-dealer, agent, investment adviser, or
             587      investment adviser representative expires on December 31 of each year.
             588          (e) (i) If no denial order is in effect and no proceeding is pending under Section 61-1-6 ,
             589      a license becomes effective at noon of the 30th day after an application is filed.
             590          (ii) The division may by rule or order specify an earlier effective date and may by order
             591      defer the effective date until noon of the 30th day after the filing of any amendment.
             592          (iii) Licensing of a broker-dealer automatically constitutes licensing of only one
             593      partner, officer, director, or a person occupying a similar status or performing similar functions
             594      as a licensed agent of the broker-dealer.
             595          (iv) Licensing of an investment adviser automatically constitutes licensing of only one
             596      partner, officer, director, or a person occupying a similar status or performing similar functions.
             597          (v) (A) For purposes of the activities of a licensee in this state, during the time period
             598      that a broker-dealer or investment adviser is licensed in this state:
             599          (I) the broker-dealer shall maintain a principal; and
             600          (II) the investment adviser shall maintain a designated official.
             601          (B) The division may by rule made in accordance with Title 63G, Chapter 3, Utah
             602      Administrative Rulemaking Act, provide a process for a person to identify for the division:
             603          (I) a principal or designated official at the time a license is issued; and
             604          (II) a different principal or designated official if:
             605          (Aa) a broker-dealer changes its principal; or
             606          (Bb) an investment adviser changes its designated official.
             607          (C) A principal or designated official identified in Subsection (1)(e)(v)(A) is not
             608      required to be separately licensed with the division.
             609          (2) Except with respect to a federal covered adviser whose only clients are those
             610      described in Subsection 61-1-3 (3)(b) or (3)(c)(iii), a federal covered adviser shall file with the
             611      division, before acting as a federal covered adviser in this state, a notice filing consisting of the
             612      documents filed with the Securities and Exchange Commission as the division by rule or order
             613      may require.
             614          (3) (a) An applicant for an initial or renewal license as a broker-dealer or agent shall
             615      pay a reasonable filing fee as determined under Section 61-1-18.4 .
             616          (b) An applicant for an initial or renewal license as an investment adviser or



Text Box

- 21 -
             617
     investment adviser representative who is subject to licensing under this chapter shall pay a
             618      reasonable filing fee as determined under Section 61-1-18.4 .
             619          (c) A person acting as a federal covered adviser in this state shall pay an initial and
             620      renewal notice filing fee as determined under Section 61-1-18.4 .
             621          (d) If the license or renewal is not granted or the application is withdrawn, the division
             622      shall retain the fee.
             623          (4) A licensed broker-dealer or investment adviser may file an application for licensing
             624      of a successor for the unexpired portion of the year. There shall be no filing fee.
             625          (5) The division may by rule or order:
             626          (a) require a minimum capital for a licensed broker-dealer, subject to the limitations of
             627      Section 15 of the Securities Exchange Act of 1934; and
             628          (b) establish minimum financial requirements for an investment adviser:
             629          (i) subject to the limitations of Section 222 of the Investment Advisers Act of 1940;
             630      and
             631          (ii) which may include different requirements for an investment adviser who maintains
             632      custody of or has discretionary authority over client funds or securities and an investment
             633      adviser who does not.
             634          (6) (a) The division may by rule or order require a licensed broker-dealer or investment
             635      adviser who has custody of or discretionary authority over client funds or securities to post one
             636      or more bonds in amounts and under conditions as the division may prescribe, subject to the
             637      limitations of Section 15 of the Securities Exchange Act of 1934 for a broker-dealer, and
             638      Section 222 of the Investment Advisers Act of 1940 for an investment adviser.
             639          (b) An appropriate deposit of cash or securities may be accepted in lieu of a required
             640      bond.
             641          (c) A bond may not be required of a licensee whose net capital, or in the case of an
             642      investment adviser whose minimum financial requirements, which may be defined by rule,
             643      exceeds the amounts required by the division.
             644          (d) A bond shall provide for suit on the bond by a person who has a cause of action
             645      under Section 61-1-22 and, if the division by rule or order requires, by any person who has a
             646      cause of action not arising under this chapter.
             647          (e) A bond shall provide that a suit may not be maintained to enforce liability on the



Text Box

- 22 -
             648
     bond unless brought before the earlier of:
             649          (i) the expiration of five years after the act or transaction constituting the violation; or
             650          (ii) the expiration of two years after the discovery by the plaintiff of the facts
             651      constituting the violation.
             652          Section 6. Section 61-2f-203 is amended to read:
             653           61-2f-203. Licensing requirements.
             654          (1) (a) (i) The division shall determine whether an applicant with a criminal history
             655      qualifies for licensure.
             656          (ii) If the division, acting under Subsection (1)(a)(i), denies or restricts a license or
             657      places a license on probation, the applicant may petition the commission for de novo review of
             658      the application.
             659          (b) Except as provided in Subsection (5), the commission shall determine all other
             660      qualifications and requirements of an applicant for:
             661          (i) a principal broker license;
             662          (ii) an associate broker license; or
             663          (iii) a sales agent license.
             664          (c) The division, with the concurrence of the commission, shall require and pass upon
             665      proof necessary to determine the honesty, integrity, truthfulness, reputation, and competency of
             666      each applicant for an initial license or for renewal of an existing license.
             667          (d) (i) The division, with the concurrence of the commission, shall require an applicant
             668      for:
             669          (A) a sales agent license to complete an approved educational program consisting of
             670      the number of hours designated by rule made by the commission with the concurrence of the
             671      division, except that the rule may not require less than 120 hours; and
             672          (B) an associate broker or a principal broker license to complete an approved
             673      educational program consisting of the number of hours designated by rule made by the
             674      commission with the concurrence of the division, except that the rule may not require less than
             675      120 hours.
             676          (ii) An hour required by this section means 50 minutes of instruction in each 60
             677      minutes.
             678          (iii) The maximum number of program hours available to an individual is eight hours



Text Box

- 23 -
             679
     per day.
             680          (e) The division, with the concurrence of the commission, shall require the applicant to
             681      pass an examination approved by the commission covering:
             682          (i) the fundamentals of:
             683          (A) the English language;
             684          (B) arithmetic;
             685          (C) bookkeeping; and
             686          (D) real estate principles and practices;
             687          (ii) this chapter;
             688          (iii) the rules established by the commission; and
             689          (iv) any other aspect of Utah real estate license law considered appropriate.
             690          (f) (i) Three years' full-time experience as a sales agent or its equivalent is required
             691      before an applicant may apply for, and secure a principal broker or associate broker license in
             692      this state.
             693          (ii) The commission shall establish by rule, made in accordance with Title 63G,
             694      Chapter 3, Utah Administrative Rulemaking Act, the criteria by which the commission will
             695      accept experience or special education in similar fields of business in lieu of the three years'
             696      experience.
             697          (2) (a) The division, with the concurrence of the commission, may require an applicant
             698      to furnish a sworn statement setting forth evidence satisfactory to the division of the applicant's
             699      reputation and competency as set forth by rule.
             700          (b) The division shall require an applicant to provide the applicant's Social Security
             701      number, which is a private record under Subsection 63G-2-302 (1)[(h)](i).
             702          (3) (a) An individual who is not a resident of this state may be licensed in this state if
             703      the person complies with this chapter.
             704          (b) An individual who is not a resident of this state may be licensed as an associate
             705      broker or sales agent in this state by:
             706          (i) complying with this chapter; and
             707          (ii) being employed or engaged as an independent contractor by or on behalf of a
             708      principal broker who is licensed in this state, regardless of whether the principal broker is a
             709      resident of this state.



Text Box

- 24 -
             710
         (4) (a) The division and commission shall treat an application to be relicensed of an
             711      applicant whose real estate license is revoked as an original application.
             712          (b) In the case of an applicant for a new license as a principal broker or associate
             713      broker, the applicant is not entitled to credit for experience gained before the revocation of a
             714      real estate license.
             715          (5) (a) Notwithstanding Subsection (1)(b), the commission may delegate to the division
             716      the authority to:
             717          (i) review a class or category of applications for initial or renewed licenses;
             718          (ii) determine whether an applicant meets the licensing criteria in Subsection (1); and
             719          (iii) approve or deny a license application without concurrence by the commission.
             720          (b) (i) If the commission delegates to the division the authority to approve or deny an
             721      application without concurrence by the commission and the division denies an application for
             722      licensure, the applicant who is denied licensure may petition the commission for de novo
             723      review of the application.
             724          (ii) An applicant who is denied licensure pursuant to this Subsection (5) may seek
             725      agency review by the executive director only after the commission has reviewed the division's
             726      denial of the applicant's application.
             727          Section 7. Section 63A-13-101 is enacted to read:
             728     
CHAPTER 13. REVIEW OF EXECUTIVE BRANCH ETHICS COMPLAINTS

             729     
Part 1. General Provisions

             730               63A-13-101. Title.
             731          (1) This chapter is known as "Review of Executive Branch Ethics Complaints."
             732          (2) This part is known as "General Provisions."
             733          Section 8. Section 63A-13-102 is enacted to read:
             734          63A-13-102. Definitions.
             735          As used in this chapter:
             736          (1) "Commission" means the Independent Executive Branch Ethics Commission,
             737      created in Section 63A-13-202 .
             738          (2) "Complainant" means an individual who files a complaint under Subsection
             739      63A-13-402 (1)(a).
             740          (3) "Executive branch elected official" means:



Text Box

- 25 -
House Floor Amendments 3-14-2013 le/trv
             741          (a) the governor;
             742          (b) the lieutenant governor;
             743          (c) the state auditor;
             744          (d) the state treasurer; or
             745          (e) the attorney general.
             746          (4) "Improper purpose" includes harassing a respondent, causing unwarranted harm to
             747      a respondent's reputation, or causing unnecessary expenditure of public funds.
             748          (5) "Respondent" means the executive branch elected official against whom an ethics
             749      complaint described in Section 63A-13-402 is filed.
             750          (6) "Violation" means a high crime, a misdemeanor, or malfeasance in office.
             751          Section 9. Section 63A-13-201 is enacted to read:
             752     
Part 2. Independent Executive Branch Ethics Commission

             753          63A-13-201. Title.
             754          This part is known as "Independent Executive Branch Ethics Commission."
             755          Section 10. Section 63A-13-202 is enacted to read:
             756          63A-13-202. Independent Executive Branch Ethics Commission -- Membership.
             757          (1) H. (a) .H There is created the Independent Executive Branch Ethics Commission,
             757a      consisting
             758      of the following five members appointed by the governor, each of whom shall be registered to
             759      vote in the state at the time of appointment:
             760           H. [ (a) ] (i) .H two members who served:
             761           H. [ (i) ] (A) .H as elected officials in state government no more recently than
             761a      four years before the
             762      day on which the member is appointed; or
             763           H. [ (ii) ] (B) .H in a management position in the state executive branch no more
             763a      recently than four
             764      years before the day on which the member is appointed;
             765           H. [ (b) ] (ii) .H one member who:
             766           H. [ (i) ] (A) .H has served, but no longer actively serves, as a judge of a court
             766a      in the state; or
             767           H. [ (ii) ] (B) .H is a licensed attorney in the state and is not, and has not been, a judge; and
             768           H. [ (c) ] (iii) .H two citizen members.
             768a           H. (b) The governor shall make appointments to the commission as follows:
             768b          (i) each executive branch elected official, other than the governor, shall select,


            
Text Box

- 25a -
House Floor Amendments 3-14-2013 le/trv
768c      and provide to the governor, at least two names for potential appointment to one of the
             768d      membership positions described in Subsection (1)(a);
             768e          (ii) the governor shall determine which of the executive branch elected officials
             768f      described in Subsection (1)(b)(i) shall select names for which membership position;
             768g          (iii) the governor shall appoint to the commission one of the names provided by each
             768h      executive branch elected official described in Subsection (1)(b)(i);
             768i          (iv) the governor shall directly appoint the remaining member of the commission; and
             768j          (v) if an executive branch elected official fails to submit names to the governor within
             768k      15 days after the day on which the governor makes the determination described in Subsection
             768l      (1)(b)(ii), the governor shall directly appoint a person to fill the applicable membership
             768m      position. .H
             769          (2) A member of the commission may not, during the member's term of office on the
             770      commission, act or serve as:
             771          (a) an officeholder as defined in Section 20A-11-101 ;



Text Box

- 26 -
             772
         (b) an agency head as defined in Section 67-16-3 ;
             773          (c) a lobbyist as defined in Section 36-11-102 ;
             774          (d) a principal as defined in Section 36-11-102 ; or
             775          (e) an employee of the state.
             776          (3) (a) Except as provided in Subsection (3)(b), each member of the commission shall
             777      serve a four-year term.
             778          (b) The governor shall set the first term of two of the members of the commission at
             779      two years, so that approximately half of the commission is appointed, or reappointed, every
             780      two years.
             781          (c) When a vacancy occurs in the commission's membership for any reason, the
             782      governor shall appoint a replacement member for the unexpired term of the vacating member,
             783      in accordance with Subsection (1).
             784          (d) The governor may not appoint a member to serve more than two full terms, whether
             785      those terms are two or four years.
             786          (e) (i) The governor, or a majority of the commission, may remove a member from the
             787      commission only for cause.
             788          (ii) The governor may not remove a member from the commission during any period of
             789      time when the commission is investigating or considering a complaint alleging an ethics
             790      violation against the governor or lieutenant governor.
             791          (f) If a commission member determines that the commission member has a conflict of
             792      interest in relation to a complaint, the remaining members of the commission shall appoint an
             793      individual to serve in that member's place for the purpose of reviewing that complaint.
             794          (4) (a) A member of the commission may not receive compensation or benefits for the
             795      member's service, but may receive per diem and expenses incurred in the performance of the
             796      member's official duties at the rates established by the Division of Finance under Sections
             797      63A-3-106 and 63A-3-107 .
             798          (b) A member may decline to receive per diem and expenses for the member's service.
             799          (5) (a) The commission members shall convene a meeting annually each January and
             800      elect, by majority vote, a chair from among the commission members.
             801          (b) An individual may not serve as chair for more than two consecutive years.
             802          (6) The commission:



Text Box

- 27 -
             803
         (a) is established within the department for budgetary and general administrative
             804      purposes only; and
             805          (b) is not under the direction or control of the department, the executive director, or
             806      any other officer or employee of the department.
             807          Section 11. Section 63A-13-203 is enacted to read:
             808          63A-13-203. Independent Executive Branch Ethics Commission -- Meetings --
             809      Annual summary report -- Staff.
             810          (1) The commission shall meet for the purpose of reviewing an ethics complaint when:
             811          (a) except as otherwise expressly provided in this chapter, called to meet at the
             812      discretion of the chair; or
             813          (b) called to meet by a majority vote of the commission.
             814          (2) (a) A majority of the commission is a quorum.
             815          (b) A majority vote of a quorum present constitutes the action of the commission.
             816          (3) (a) The commission shall prepare an annual summary data report that contains:
             817          (i) a general description of the activities of the commission during the past year;
             818          (ii) the number of ethics complaints filed with the commission;
             819          (iii) the number of ethics complaints reviewed by the commission;
             820          (iv) a summary description of ethics complaints that formed the basis for a commission
             821      finding that an allegation in a complaint has merit; and
             822          (v) an accounting of the commission's budget and expenditures.
             823          (b) The commission shall submit the summary data report to the Legislative
             824      Management Committee before December 1 each year.
             825          (c) The summary data report is a public record.
             826          (4) (a) The commission may employ staff at a level that is reasonable to assist the
             827      commission in performing the commission's duties as established in this chapter.
             828          (b) Except as provided in Subsection (4)(c), staff for the commission may not perform
             829      services for any other person in state government.
             830          (c) A person employed as staff for the commission may be the same person employed
             831      as staff for the Independent Legislative Ethics Commission, if the staff ensures that proper
             832      protections are in place to preserve the confidentiality to both bodies and to avoid a conflict of
             833      interest.



Text Box

- 28 -
Senate 2nd Reading Amendments 3-8-2013 cm/trv
             834          (5) Except as expressly otherwise provided in this chapter, all meetings held under this
             835      chapter are closed to the public.
             836          Section 12. Section 63A-13-301 is enacted to read:
             837     
Part 3. General Powers and Procedures

             838          63A-13-301. Title.
             839          This part is known as "General Powers and Procedures."
             840          Section 13. Section 63A-13-302 is enacted to read:
             841          63A-13-302. Authority to review complaint -- Grounds for complaint --
             842      Limitations on filings.
             843          (1) Subject to the requirements of this chapter, the commission may review an ethics
             844      complaint against an executive branch elected official if the complaint alleges that the
             845      executive branch elected official has committed S. [ :
             846          (a) a high crime;
             847          (b) a misdemeanor; or
             848          (c) malfeasance in office
] a violation .S
.
             849          (2) Individuals who file a complaint for an alleged violation shall file the complaint
             850      within two years after the later of:
             851          (a) the day on which the action or omission that forms the basis for the alleged
             852      violation occurs or would have been discovered by a reasonable person; or
             853          (b) the day on which a plea or conviction that forms the basis for the allegation is
             854      entered.
             855          (3) (a) A complaint may not contain an allegation that was previously reviewed by the
             856      commission, unless:
             857          (i) the allegation is accompanied by material facts or circumstances supporting the
             858      allegation that were not raised or pled to the commission when the allegation was previously
             859      reviewed; and
             860          (ii) the allegation and the general facts and circumstances supporting the allegation
             861      were only reviewed by the commission on one previous occasion.
             862          (b) If an allegation in a complaint does not comply with the requirements of Subsection
             863      (3)(a), the commission or the chair shall dismiss the allegation with prejudice.
             864          Section 14. Section 63A-13-303 is enacted to read:



Text Box

- 29 -
             865
         63A-13-303. General powers -- Jurisdiction.
             866          (1) The commission has jurisdiction only over an individual who is currently serving as
             867      an executive branch elected official.
             868          (2) The commission or the chair shall dismiss an ethics complaint if:
             869          (a) the respondent resigns from the respondent's position as an executive branch
             870      elected official; or
             871          (b) the House of Representatives convenes to consider impeachment of the executive
             872      branch elected official.
             873          (3) (a) The commission may suspend commission proceedings during a period of time
             874      when a criminal investigation or prosecution, based in whole or in part on an allegation in the
             875      complaint, is pending.
             876          (b) The time periods and deadlines described in this chapter are tolled during a
             877      suspension described in Subsection (3)(a).
             878          (4) The commission does not have jurisdiction over a violation that occurs before
             879      March 14, 2013.
             880          Section 15. Section 63A-13-401 is enacted to read:
             881     
Part 4. Ethics Complaints

             882          63A-13-401. Title.
             883          This part is known as "Ethics Complaints."
             884          Section 16. Section 63A-13-402 is enacted to read:
             885          63A-13-402. Ethics complaints -- Filing -- Form.
             886          (1) (a) The following individuals may file an ethics complaint against an executive
             887      branch elected official if the complaint meets the requirements of Section 63A-13-302 and
             888      Subsection (1)(b):
             889          (i) two or more executive branch elected officials, deputies of elected officials,
             890      executive directors of departments in the executive branch, or directors of divisions in the
             891      executive branch, if the complaint contains evidence or sworn testimony that:
             892          (A) describes the facts and circumstances supporting the alleged violation; and
             893          (B) is generally admissible under the Utah Rules of Evidence; or
             894          (ii) two or more registered voters who currently reside in Utah and are not individuals
             895      described in Subsection (1)(a)(i), if, for each alleged violation pled in the complaint, at least



Text Box

- 30 -
             896
     one of those registered voters has actual knowledge of the facts and circumstances supporting
             897      the alleged violation.
             898          (b) Complainants may file a complaint only against an individual who is serving as an
             899      executive branch elected official on the date that the complaint is filed.
             900          (2) (a) The lieutenant governor shall post, on the home page of the lieutenant
             901      governor's website, a conspicuous and clearly identified link to the name and address of a
             902      person authorized to accept a complaint on behalf of the commission.
             903          (b) Complainants shall file a complaint with the person described in Subsection (2)(a).
             904          (c) An individual may not file a complaint during the 60 calendar days immediately
             905      preceding:
             906          (i) a regular primary election in which the accused executive branch elected official is a
             907      candidate; or
             908          (ii) a regular general election in which the accused executive branch elected official is
             909      a candidate, unless the accused executive branch elected official is unopposed in the election.
             910          (3) The complainants shall ensure that each complaint filed under this rule is in writing
             911      and contains the following information:
             912          (a) the name and position or title of the respondent;
             913          (b) the name, address, and telephone number of each individual who is filing the
             914      complaint;
             915          (c) a description of each alleged violation, including for each alleged violation:
             916          (i) a reference to any criminal provision that the respondent is alleged to have violated;
             917          (ii) a reference to any other provision of law that the respondent is alleged to have
             918      violated or failed to comply with;
             919          (iii) the name of the complainant or complainants who have actual knowledge of the
             920      supporting facts and circumstances; and
             921          (iv) the facts and circumstances supporting the allegation, which shall be provided by:
             922          (A) copies of official records or documentary evidence; or
             923          (B) one or more affidavits, each of which shall comply with the format described in
             924      Subsection (4);
             925          (d) a list of the witnesses that the complainants desire to call, including for each
             926      witness:



Text Box

- 31 -
             927
         (i) the name, address, and, if available, one or more telephone numbers of the witness;
             928          (ii) a brief summary of the testimony to be provided by the witness; and
             929          (iii) a specific description of any documents or evidence the complainants desire the
             930      witness to produce;
             931          (e) a statement that each complainant:
             932          (i) has reviewed the allegations contained in the complaint and the affidavits and
             933      documents attached to the complaint;
             934          (ii) believes that the complaint is submitted in good faith and not for any improper
             935      purpose; and
             936          (iii) believes the allegations contained in the complaint to be true and accurate; and
             937          (f) the signature of each complainant.
             938          (4) An affidavit described in Subsection (3)(c)(iv)(B) shall include:
             939          (a) the name, address, and telephone number of the affiant;
             940          (b) a statement that the affiant has actual knowledge of the facts and circumstances
             941      described in the affidavit;
             942          (c) the facts and circumstances testified to by the affiant;
             943          (d) a statement that the affidavit is believed to be true and correct and that false
             944      statements are subject to penalties for perjury; and
             945          (e) the signature of the affiant.
             946          Section 17. Section 63A-13-403 is enacted to read:
             947          63A-13-403. Privacy of ethics complaint -- Dismissal -- Contempt.
             948          (1) (a) Except as provided in Subsection (2) or (3), a person, including the
             949      complainant, the respondent, a commission member, or staff to the commission may not
             950      disclose the existence of a complaint, a response, or any information concerning an alleged
             951      violation that is the subject of a complaint.
             952          (b) A person that violates this Subsection (1) may be held in contempt of the
             953      commission in accordance with Section 63A-13-705 .
             954          (2) The restrictions described in Subsection (1) do not apply to:
             955          (a) a complaint or response that is publicly released by the commission and referred to
             956      the Legislature; or
             957          (b) the respondent's voluntary disclosure that the commission determined that all



Text Box

- 32 -
             958
     allegations in a complaint are without merit, after the commission issues an order dismissing
             959      the complaint under Section 63A-13-605 .
             960          (3) Nothing in this section prevents a person from disclosing facts or allegations
             961      regarding potential criminal violations to law enforcement authorities.
             962          (4) If the existence of an ethics complaint is publicly disclosed by a person, other than
             963      the respondent or an agent of the respondent, during the period that the commission is
             964      reviewing the complaint, the commission shall summarily dismiss the complaint without
             965      prejudice.
             966          Section 18. Section 63A-13-501 is enacted to read:
             967     
Part 5. Preliminary Action

             968          63A-13-501. Title.
             969          This part is known as "Preliminary Action."
             970          Section 19. Section 63A-13-502 is enacted to read:
             971          63A-13-502. Initial review of ethics complaint -- Notice.
             972          (1) Within five business days after the day on which the commission receives a
             973      complaint, the staff of the commission, in consultation with the chair, shall examine the
             974      complaint to determine if it is in compliance with Sections 63A-13-302 and 63A-13-402 .
             975          (2) If the chair determines that the complaint does not comply with Sections
             976      63A-13-302 and 63A-13-402 , the chair shall:
             977          (a) return the complaint to the first complainant named on the complaint with:
             978          (i) a description of the reason for the noncompliance; and
             979          (ii) a copy of the applicable provisions of law; and
             980          (b) without disclosing the identity of the respondent, notify the other members of the
             981      commission that a complaint was filed against an executive branch elected official, but that the
             982      complaint was returned for noncompliance with the requirements of this chapter.
             983          (3) Each member of the commission and the commission's staff shall keep confidential
             984      the fact that a complaint was filed and returned until the commission submits the annual
             985      summary data report described in Section 63A-13-203 .
             986          (4) If a complaint is returned for noncompliance with the requirements of this chapter,
             987      the complainants may file another complaint if the new complaint independently meets the
             988      requirements of Sections 63A-13-302 and 63A-13-402 , including any requirements for timely



Text Box

- 33 -
             989
     filing.
             990          (5) If the chair determines that a complaint complies with the requirements of this
             991      chapter, the chair shall:
             992          (a) accept the complaint;
             993          (b) notify the members of the commission that:
             994          (i) a complaint has been filed against an executive branch elected official; and
             995          (ii) the chair has accepted the complaint; and
             996          (c) within five business days after the day on which the commission receives the
             997      complaint, forward the complaint to the respondent via personal delivery or a delivery method
             998      that provides verification of receipt, and include with the complaint notice of the respondent's
             999      deadline for filing a response to the complaint.
             1000          (6) (a) The identity of the respondent and the allegations raised in a complaint are
             1001      confidential pending the commission's review of the complaint.
             1002          (b) The fact that a complaint was filed is confidential until the commission publicly
             1003      discloses the existence of the complaint by:
             1004          (i) issuing a finding that an allegation in the complaint has merit; or
             1005          (ii) submitting the annual summary data report described in Section 63A-13-203 .
             1006          Section 20. Section 63A-13-503 is enacted to read:
             1007          63A-13-503. Meeting of the commission for review of complaint -- Procedures.
             1008          (1) No later than 10 days after the day on which a complaint is accepted under Section
             1009      63A-13-502 , the chair shall:
             1010          (a) except as provided in Subsection (2), schedule a commission meeting on a date:
             1011          (i) no later than 60 days after the day on which the chair accepts the complaint; and
             1012          (ii) no earlier than 40 days after the day on which the chair accepts the complaint;
             1013          (b) place the complaint on the agenda for consideration at that meeting;
             1014          (c) provide notice of the date, time, and location of the meeting to:
             1015          (i) the members of the commission;
             1016          (ii) the first complainant named in the complaint; and
             1017          (iii) the respondent; and
             1018          (d) provide a copy of the complaint to each member of the commission.
             1019          (2) The commission may, by majority vote, change the date of the meeting for review



Text Box

- 34 -
             1020
     of the complaint in order to accommodate:
             1021          (a) a meeting described in Subsection 63A-13-602 (2); or
             1022          (b) necessary scheduling requirements.
             1023          (3) The commission may conduct a vote to change the date of the meeting described in
             1024      Subsection (2) by phone or electronic means if the members do not discuss any other matters
             1025      relating to the complaint during the communication.
             1026          Section 21. Section 63A-13-504 is enacted to read:
             1027          63A-13-504. Response to ethics complaint -- Filing -- Form.
             1028          (1) A respondent shall file a response to a complaint with the commission no later than
             1029      20 days after the day on which the respondent receives delivery of the complaint.
             1030          (2) A respondent shall ensure that the response is in writing and contains the following
             1031      information:
             1032          (a) the name, address, and telephone number of the respondent;
             1033          (b) for each alleged violation in the complaint:
             1034          (i) each affirmative defense asserted in response to the allegation, including a general
             1035      description of each affirmative defense and the facts and circumstances supporting the defense,
             1036      supported by one or more affidavits, each of which shall comply with the format described in
             1037      Subsection (3); and
             1038          (ii) the facts and circumstances refuting the allegation, which shall be provided by:
             1039          (A) copies of official records or documentary evidence; or
             1040          (B) one or more affidavits, each of which shall comply with the format described in
             1041      Subsection (3);
             1042          (c) a list of the witnesses that the respondent desires to call, including for each witness:
             1043          (i) the name, address, and, if available, telephone number of the witness;
             1044          (ii) a brief summary of the testimony to be provided by the witness; and
             1045          (iii) a specific description of any documents or evidence that the respondent desires the
             1046      witness to produce;
             1047          (d) a statement that the respondent:
             1048          (i) has reviewed the allegations contained in the complaint and the sworn statements
             1049      and documents attached to the response; and
             1050          (ii) believes the contents of the response to be true and accurate; and



Text Box

- 35 -
             1051
         (e) the signature of the respondent.
             1052          (3) An affidavit described in Subsection (2)(b) shall include:
             1053          (a) the name, address, and telephone number of the affiant;
             1054          (b) a statement that the affiant has actual knowledge of the facts and circumstances
             1055      alleged in the affidavit;
             1056          (c) the facts and circumstances testified to by the affiant;
             1057          (d) a statement that the affidavit is believed to be true and correct and that false
             1058      statements are subject to penalties for perjury; and
             1059          (e) the signature of the affiant.
             1060          (4) Within five business days after the day on which the commission receives the
             1061      response, the commission shall provide copies of the response to:
             1062          (a) each member of the commission; and
             1063          (b) the first named complainant on the complaint.
             1064          Section 22. Section 63A-13-601 is enacted to read:
             1065     
Part 6. Ethics Proceedings

             1066          63A-13-601. Title.
             1067          This part is known as "Ethics Proceedings."
             1068          Section 23. Section 63A-13-602 is enacted to read:
             1069          63A-13-602. Review of ethics complaint by commission.
             1070          (1) The scope of the commission's review of a complaint is limited to the alleged
             1071      violations stated in the complaint.
             1072          (2) Before holding a meeting for review of a complaint, the chair may schedule a
             1073      separate meeting of the commission to:
             1074          (a) review a complaint, with or without the attendance of the parties, to determine if the
             1075      complaint should be dismissed in whole or in part, by means of a majority vote of the
             1076      commission, because the complaint pleads facts or circumstances against an executive branch
             1077      elected official that have already been reviewed by the commission;
             1078          (b) hear motions or arguments from the parties, including hearing motions or
             1079      arguments relating to dismissal of a complaint, admission of evidence, or procedures; or
             1080          (c) hold a vote of the commission, with or without the attendance of the parties, on
             1081      procedural or commission business matters relating to a complaint.



Text Box

- 36 -
             1082
         (3) (a) The commission shall comply with the Utah Rules of Evidence except where
             1083      the commission determines, by majority vote, that a rule is not compatible with the
             1084      requirements of this chapter.
             1085          (b) The chair shall make rulings on admissibility of evidence consistent with the
             1086      provisions of Section 63A-13-703 .
             1087          (4) (a) The following individuals may be present during the presentation of testimony
             1088      and evidence to the commission:
             1089          (i) the complainants, except that no more than three complainants may be present at
             1090      one time;
             1091          (ii) the complainants' counsel, if applicable;
             1092          (iii) the respondent;
             1093          (iv) the respondent's counsel, if applicable;
             1094          (v) members of the commission;
             1095          (vi) staff to the commission;
             1096          (vii) a witness, while testifying before the commission; and
             1097          (viii) necessary security personnel.
             1098          (b) The complainants, respondent, and counsel for a complainant or respondent may be
             1099      excluded from a portion of the meeting when the commission discusses administrative,
             1100      procedural, legal, or evidentiary issues by:
             1101          (i) the order of the chair, subject to override as provided in Section 63A-13-703 ; or
             1102          (ii) a majority vote of the commission.
             1103          (c) When the commission deliberates at the conclusion of presentation of testimony
             1104      and evidence, the commission shall ensure that those deliberations are closed to all persons
             1105      except for the members of the commission and commission staff.
             1106          (5) If a majority of the commission determines that a continuance is necessary to obtain
             1107      further evidence and testimony, accommodate administrative needs, or accommodate the
             1108      attendance of commission members, witnesses, or a party, the commission may:
             1109          (a) after notice to the parties, adjourn and continue the meeting to a future date and
             1110      time; and
             1111          (b) establish that future date and time by majority vote.
             1112          Section 24. Section 63A-13-603 is enacted to read:



Text Box

- 37 -
             1113
         63A-13-603. Record -- Recording of meetings.
             1114          (1) (a) Except as provided in Subsection (1)(b), an individual may not use a camera or
             1115      other recording device in a meeting authorized by this chapter.
             1116          (b) The commission shall keep an audio or video recording of all portions of each
             1117      meeting authorized by this part.
             1118          (c) If the commission elects, by a majority vote, to release in a public meeting the
             1119      commission's finding that an allegation in the complaint has merit, the commission may, upon
             1120      a majority vote of the commission, open the public meeting to cameras or other recording
             1121      devices.
             1122          (2) In addition to the recording required in Subsection (1)(b), the chair shall ensure that
             1123      a record of the meeting is made, that includes:
             1124          (a) official minutes taken during the meeting, if any;
             1125          (b) copies of all documents or other items admitted into evidence by the commission;
             1126          (c) copies of any documents or written orders or rulings issued by the chair or the
             1127      commission; and
             1128          (d) any other information that a majority of the commission or the chair directs.
             1129          (3) Except for a finding prepared by the commission that is classified as public under
             1130      Section 63A-13-605 , any recording, testimony, evidence, or other record of a meeting
             1131      authorized by this chapter is a private record under Section 63G-2-302 and may not be
             1132      disclosed.
             1133          Section 25. Section 63A-13-604 is enacted to read:
             1134          63A-13-604. Process for making a decision -- Deliberations.
             1135          (1) (a) After each party presents a closing argument, the commission shall, at the
             1136      direction of the chair, begin private deliberations.
             1137          (b) The deliberations described in Subsection (1)(a) may be held:
             1138          (i) immediately after conclusion of the closing arguments; or
             1139          (ii) at a future meeting of the commission, on a date and time determined by a majority
             1140      of the members of the commission.
             1141          (2) (a) The chair shall conduct the deliberations.
             1142          (b) Upon a motion made by a commission member, the commission may exclude
             1143      commission staff from all or a portion of the deliberations by a majority vote of the



Text Box

- 38 -
             1144
     commission.
             1145          (3) (a) During deliberations, for each allegation reviewed by the commission, each
             1146      member shall determine and cast a vote stating whether the allegation is:
             1147          (i) proved, by clear and convincing evidence, to have merit; or
             1148          (ii) not proved to have merit.
             1149          (b) A verbal roll call vote shall be taken on each allegation and each member's vote
             1150      shall be recorded.
             1151          (4) (a) An allegation is determined to not have merit unless four of the five members of
             1152      the commission vote that the allegation has merit.
             1153          (b) An allegation that is not determined to have merit is dismissed.
             1154          (5) (a) Before issuing an order or a finding under Section 63A-13-605 , the commission
             1155      may, upon a majority vote, reconsider and hold a new vote on an allegation.
             1156          (b) A motion to reconsider a vote may only be made by a member of the commission
             1157      who voted in favor of the vote to be reconsidered.
             1158          (6) At the conclusion of deliberations, the commission shall prepare an order or a
             1159      finding in accordance with Section 63A-13-605 .
             1160          Section 26. Section 63A-13-605 is enacted to read:
             1161          63A-13-605. Order or finding of merit by the commission.
             1162          (1) If the commission determines that all allegations in the complaint are without merit,
             1163      the commission shall:
             1164          (a) issue and enter into the record an order that the complaint is dismissed because no
             1165      allegations in the complaint were found to have merit;
             1166          (b) classify all recordings, testimony, evidence, orders, findings, and other records
             1167      directly relating to the meetings authorized by this part as private records under Section
             1168      63G-2-302 ;
             1169          (c) provide notice of the determination, in a manner determined by a majority vote of
             1170      the commission, to:
             1171          (i) the respondent; and
             1172          (ii) the first complainant named on the complaint; and
             1173          (d) provide notice to each person named in Subsection (1)(c) that, under the provisions
             1174      of Section 63A-13-403 and other provisions of this chapter, a person who discloses the



Text Box

- 39 -
Senate 2nd Reading Amendments 3-8-2013 cm/trv
             1175      findings of the commission in violation of any provision of this chapter is in contempt of the
             1176      commission and is subject to penalties for contempt.
             1177          (2) If the commission determines that one or more of the allegations in the complaint
             1178      have merit, the commission shall:
             1179          (a) if one or more allegations were not found to have merit, enter into the record an
             1180      order dismissing the allegations that were found not to have merit;
             1181          (b) within 30 business days after the day on which the commission makes the
             1182      determination, prepare a written finding, for submission to the Legislature, that:
             1183          (i) lists the name of each complainant;
             1184          (ii) lists the name of the respondent;
             1185          (iii) states the date of the finding;
             1186          (iv) for each allegation that was found to S. [ be ] .S have merit:
             1187          (A) describes the high crime, misdemeanor, or malfeasance S. [ of ] in .S office allegedly
             1188      committed by the respondent;
             1189          (B) states the number and names of commission members who voted that the allegation
             1190      has merit and the number and names of commission members who voted that the allegation
             1191      does not have merit;
             1192          (C) subject to Subsection (3), at the option of those members voting that the allegation
             1193      has merit, includes a statement by one or all of those members stating the reasons that the
             1194      members voted that the allegation has merit; and
             1195          (D) subject to Subsection (3), at the option of those members who voted that the
             1196      allegation does not have merit, includes a statement by one or all of those members stating the
             1197      reasons that the members voted that the allegation does not have merit;
             1198          (v) contains any general statement that is adopted for inclusion in the finding by a
             1199      majority of the members of the commission;
             1200          (vi) describes the allegations found by the commission to have merit;
             1201          (vii) states the name of each member of the commission; and
             1202          (viii) is signed by each member of the commission;
             1203          (c) direct staff to publicly release the finding, the complaint, and the response, subject
             1204      to the redaction of any allegations that were dismissed; and
             1205          (d) classify all other recordings, testimony, evidence, orders, findings, and other



Text Box

- 40 -
             1206
     records directly relating to the meetings authorized by this chapter as private records under
             1207      Section 63G-2-302 .
             1208          (3) A statement described in Subsection (2)(b)(iv)(C) or (D) may not cite specific
             1209      evidence, specific testimony, or specific witnesses.
             1210          (4) The commission shall ensure that, within five business days after the day on which
             1211      the commission finishes preparing the written finding described in Subsection (2)(b):
             1212          (a) the complaint and the response are redacted to remove references to the allegations
             1213      found by the commission to be without merit;
             1214          (b) a copy of the finding is made publicly available and provided to:
             1215          (i) the respondent;
             1216          (ii) the first complainant named on the complaint;
             1217          (iii) the speaker of the House of Representatives;
             1218          (iv) the president of the Senate; and
             1219          (v) the governor; and
             1220          (c) the following documents are made publicly available and are provided to the
             1221      speaker of the House of Representatives and the president of the Senate:
             1222          (i) a cover letter generally describing the allegations in the edited complaint that are
             1223      found by the commission to have merit;
             1224          (ii) a copy of the edited complaint;
             1225          (iii) a copy of the edited response; and
             1226          (iv) a copy of the finding.
             1227          Section 27. Section 63A-13-606 is enacted to read:
             1228          63A-13-606. Comments on complaint under review by Legislature.
             1229          (1) Except as provided in Subsection (2), while a complaint is under review by the
             1230      Legislature, a member of the commission may not comment publicly or privately about the
             1231      commission's decision, reasoning, or other matters relating to the ethics complaint, but may
             1232      provide or refer a questioner to the commission's written finding.
             1233          (2) Subsection (1) does not prohibit statements made:
             1234          (a) to an individual authorized by the Legislature to conduct an investigation for the
             1235      purpose of assisting the Legislature in conducting proceedings related to impeachment or
             1236      removal from office;



Text Box

- 41 -
             1237
         (b) to a legislative committee, the House, or the Senate in relation to proceedings for
             1238      impeachment or trial of impeachment; or
             1239          (c) as part of a criminal investigation.
             1240          Section 28. Section 63A-13-701 is enacted to read:
             1241     
Part 7. General Provisions Governing Hearings on Ethics Complaints

             1242          63A-13-701. Title.
             1243          This part is known as "General Provisions Governing Hearings on Ethics Complaints."
             1244          Section 29. Section 63A-13-702 is enacted to read:
             1245          63A-13-702. General procedures for conducting a hearing on an ethics complaint.
             1246          (1) In conducting a hearing on a complaint, the commission shall comply with the
             1247      following process in the order specified:
             1248          (a) introduction and instructions for procedure and process, at the discretion of the
             1249      chair;
             1250          (b) procedural motions, adoption of evidentiary standards, or other general matters;
             1251          (c) complainants' opening argument, to be presented by a complainant or complainants'
             1252      counsel;
             1253          (d) complainants' presentation of evidence and witnesses in support of allegations in
             1254      the complaint;
             1255          (e) consideration of motions to dismiss the complaint or motions for a directed verdict,
             1256      as applicable;
             1257          (f) respondent's opening argument, to be presented by the respondent or respondent's
             1258      counsel;
             1259          (g) respondent's presentation of evidence and witnesses refuting the allegations in the
             1260      complaint;
             1261          (h) presentation of rebuttal evidence and witnesses by the complainants, at the
             1262      discretion of the chair;
             1263          (i) presentation of rebuttal evidence and witnesses by the respondent, at the discretion
             1264      of the chair;
             1265          (j) complainants' closing argument, to be presented by a complainant or complainants'
             1266      counsel;
             1267          (k) respondent's closing argument, to be presented by the respondent or respondent's



Text Box

- 42 -
             1268
     counsel;
             1269          (l) deliberations by the commission; and
             1270          (m) adoption of the commission's findings.
             1271          (2) The commission may, in extraordinary circumstances, and consistent with due
             1272      process considerations, vary the order described in Subsection (1) by majority vote and by
             1273      providing notice to the parties.
             1274          (3) In addition to witnesses or evidence subpoenaed at the request of a complainant or
             1275      a respondent, the chair or the commission may, consistent with due process considerations,
             1276      subpoena and schedule the examination of witnesses or evidence that the chair or the
             1277      commission determines will assist the commission in making a determination on the merits of
             1278      the complaint.
             1279          Section 30. Section 63A-13-703 is enacted to read:
             1280          63A-13-703. Chair as presiding judge.
             1281          (1) Except as expressly provided otherwise in this chapter, the chair is vested with the
             1282      power to direct the commission during meetings authorized by this chapter.
             1283          (2) Except as otherwise provided in this chapter, the commission may overrule a
             1284      decision of the chair if:
             1285          (a) a member of the commission:
             1286          (i) states that the member desires to overrule the decision of the chair; and
             1287          (ii) states the basis for the member's objection to the decision of the chair; and
             1288          (b) a majority of the commission votes to overrule the decision of the chair.
             1289          (3) The chair may set time limitations on any part of a meeting authorized by this
             1290      chapter.
             1291          Section 31. Section 63A-13-704 is enacted to read:
             1292          63A-13-704. Subpoena powers.
             1293          (1) For all proceedings authorized by this chapter, the commission may issue a
             1294      subpoena to:
             1295          (a) require the attendance of a witness; or
             1296          (b) direct the production of evidence.
             1297          (2) The commission shall issue a subpoena under this section:
             1298          (a) as required under Section 63A-13-706 ;



Text Box

- 43 -
             1299
         (b) at the direction of the chair, if the chair determines that the testimony or evidence is
             1300      relevant to the review of a complaint; or
             1301          (c) upon a vote of a majority of the commission members.
             1302          Section 32. Section 63A-13-705 is enacted to read:
             1303          63A-13-705. Contempt of the commission -- Enforcement.
             1304          (1) Except as provided in Subsection (9), the following actions constitute contempt of
             1305      the commission:
             1306          (a) disobedience to a direction of the commission or the chair in relation to actions and
             1307      proceedings under this chapter;
             1308          (b) failure to answer a question during a commission meeting when directed to answer
             1309      a question by:
             1310          (i) the chair, unless the direction is overridden by the commission under Section
             1311      63A-13-703 ; or
             1312          (ii) a majority of the members of the commission;
             1313          (c) failure to comply with a subpoena or other order issued under the authority of this
             1314      chapter;
             1315          (d) violation of the provisions of Subsection 63A-13-403 (1);
             1316          (e) violation of the communication provisions described in Section 63A-13-707 ;
             1317          (f) violation of a request to comply with a provision of this chapter by the chair or a
             1318      majority of the members of the commission; or
             1319          (g) any other ground that is specified in statute or recognized at common law.
             1320          (2) The following persons may authorize an enforcement action against a person in
             1321      contempt of the commission under the provisions of this chapter:
             1322          (a) the chair, subject to the provisions of Section 63A-13-703 ; or
             1323          (b) a majority of the members of the commission;
             1324          (3) If a person that is the subject of a subpoena issued under this chapter fails to
             1325      comply with the subpoena, refuses to testify to a matter upon which the person may be lawfully
             1326      interrogated, or is otherwise in contempt of the commission, the commission or the chair may:
             1327          (a) file in district court a motion for an order to compel obedience to a subpoena or a
             1328      lawful order of the commission or the chair;
             1329          (b) file in district court a motion for an order to show cause why the penalties



Text Box

- 44 -
             1330
     established in Title 78B, Chapter 6, Part 3, Contempt, should not be imposed upon the person
             1331      for contempt of the commission; or
             1332          (c) pursue other remedies against a person in contempt of the commission.
             1333          (4) The court shall expedite the hearing and decision on a motion described in
             1334      Subsection (3).
             1335          (5) A court may:
             1336          (a) order the person named in the subpoena, or subject to an order, to comply with the
             1337      subpoena or order; or
             1338          (b) impose any penalties authorized by Title 78B, Chapter 6, Part 3, Contempt, upon
             1339      the person named in the subpoena, subject to the order, or otherwise held in contempt of the
             1340      commission.
             1341          (6) (a) If a subpoena issued under this chapter requires the production of accounts,
             1342      books, papers, documents, or other tangible items, the person to whom the subpoena is directed
             1343      may petition a district court to quash or modify the subpoena at or before the time specified in
             1344      the subpoena for compliance.
             1345          (b) The commission or the chair may respond to a motion to quash or modify a
             1346      subpoena by taking an action described in Subsection (3).
             1347          (c) If the court finds that a subpoena requiring the production of accounts, books,
             1348      papers, documents, or other tangible items is unreasonable or oppressive, the court may quash
             1349      or modify the subpoena.
             1350          (7) Nothing in this section prevents the commission or the chair from seeking an
             1351      extraordinary writ to remedy contempt of the commission.
             1352          (8) A party aggrieved by a decision of a court under this section may appeal that action
             1353      directly to the Utah Supreme Court.
             1354          (9) An individual is not in contempt of the commission if the person's disobedience or
             1355      failure to comply with a provision of Subsection (1) is due to a valid invocation of the person's
             1356      Fifth Amendment right against self-incrimination.
             1357          Section 33. Section 63A-13-706 is enacted to read:
             1358          63A-13-706. Testimony and examination of witnesses -- Oath -- Procedure --
             1359      Contempt.
             1360          (1) The chair shall ensure that each witness listed in a complaint and response is



Text Box

- 45 -
Senate 2nd Reading Amendments 3-8-2013 cm/trv
             1361      subpoenaed for appearance at the hearing unless:
             1362          (a) the witness is unable to be properly identified or located; or
             1363          (b) service is otherwise determined to be impracticable.
             1364          (2) The chair shall determine the scheduling and order of witnesses and presentation of
             1365      evidence.
             1366          (3) The commission may, by majority vote:
             1367          (a) overrule the chair's decision not to subpoena a witness under Subsection (1);
             1368          (b) modify the chair's determination on the scheduling and order of witnesses, and the
             1369      presentation of evidence, under Subsection (2);
             1370          (c) decline to hear or call a witness S. [ that ] who .S is requested by a complainant or a
             1370a      respondent;
             1371          (d) decline to review or consider evidence submitted in relation to an ethics complaint;
             1372      or
             1373          (e) request and subpoena witnesses or evidence according to the procedures of Section
             1374      63A-13-704 .
             1375          (4) (a) Each witness shall testify under oath.
             1376          (b) The chair or the chair's designee shall administer the oath to each witness.
             1377          (5) After the oath is administered to a witness, the chair shall direct testimony as
             1378      follows:
             1379          (a) allow the party that called the witness, or that party's counsel, to question the
             1380      witness;
             1381          (b) allow the opposing party, or the opposing party's counsel, to cross-examine the
             1382      witness;
             1383          (c) allow additional questioning by a party or a party's counsel as appropriate;
             1384          (d) give commission members the opportunity to question the witness; and
             1385          (e) as appropriate, allow further examination of the witness by the commission, or the
             1386      parties or their counsel.
             1387          (6) (a) If a witness, a party, or a party's counsel objects to a question, the chair shall:
             1388          (i) direct the witness to answer; or
             1389          (ii) rule that the witness is not required to answer the question.
             1390          (b) If a witness declines to answer a question after the chair or a majority of the
             1391      commission determines that the witness is required to answer the question, the witness may be



Text Box

- 46 -
             1392
     held in contempt in accordance with the provisions of Section 63A-13-705 .
             1393          (7) (a) The chair or a majority of the members of the commission may direct a witness
             1394      to furnish any relevant evidence for consideration if the witness brings the material voluntarily
             1395      or was required to bring the material by subpoena.
             1396          (b) If a witness declines to provide evidence in response to a subpoena, the witness
             1397      may be held in contempt under Section 63A-13-705 .
             1398          Section 34. Section 63A-13-707 is enacted to read:
             1399          63A-13-707. Communications of commission members.
             1400          (1) As used in this section, "third party" means a person who is not a member of the
             1401      commission or staff to the commission.
             1402          (2) While a complaint is under review by the commission, a member of the
             1403      commission may not initiate, engage in, or consider any communications concerning the
             1404      complaint with a third party unless:
             1405          (a) the communication is expressly permitted under the procedures established by this
             1406      chapter; or
             1407          (b) the communication is made by the third party, in writing, simultaneously to:
             1408          (i) all members of the commission; and
             1409          (ii) a staff member of the commission.
             1410          (3) While the commission is reviewing a complaint under this chapter, a commission
             1411      member may communicate outside of the meetings or deliberations with another member of, or
             1412      staff to, the commission, if the member's communication does not materially compromise the
             1413      member's responsibility to independently review and make decisions in relation to the
             1414      complaint.
             1415          Section 35. Section 63A-13-708 is enacted to read:
             1416          63A-13-708. Attorney fees and costs.
             1417          (1) A complainant:
             1418          (a) may, but is not required to, retain legal representation during the complaint review
             1419      process; and
             1420          (b) is responsible for payment of the complainant's attorney fees and costs incurred.
             1421          (2) A respondent:
             1422          (a) may, but is not required to, retain legal representation during the complaint review



Text Box

- 47 -
             1423
     process; and
             1424          (b) is responsible for payment of the respondent's attorney fees and costs incurred.
             1425          (3) An attorney who participates in a hearing before the commission shall comply with:
             1426          (a) the Rules of Professional Conduct established by the Utah Supreme Court;
             1427          (b) the procedures and requirements of this chapter; and
             1428          (c) the directions of the chair and the commission.
             1429          (4) A violation of Subsection (3) may constitute:
             1430          (a) contempt of the commission under Section 63A-13-705 ; or
             1431          (b) a violation of the Rules of Professional Conduct, subject to enforcement by the
             1432      Utah State Bar.
             1433          Section 36. Section 63G-2-202 is amended to read:
             1434           63G-2-202. Access to private, controlled, and protected documents.
             1435          (1) Upon request, and except as provided in Subsection (11)(a), a governmental entity
             1436      shall disclose a private record to:
             1437          (a) the subject of the record;
             1438          (b) the parent or legal guardian of an unemancipated minor who is the subject of the
             1439      record;
             1440          (c) the legal guardian of a legally incapacitated individual who is the subject of the
             1441      record;
             1442          (d) any other individual who:
             1443          (i) has a power of attorney from the subject of the record;
             1444          (ii) submits a notarized release from the subject of the record or the individual's legal
             1445      representative dated no more than 90 days before the date the request is made; or
             1446          (iii) if the record is a medical record described in Subsection 63G-2-302 (1)(b), is a
             1447      health care provider, as defined in Section 26-33a-102 , if releasing the record or information in
             1448      the record is consistent with normal professional practice and medical ethics; or
             1449          (e) any person to whom the record must be provided pursuant to:
             1450          (i) court order as provided in Subsection (7); or
             1451          (ii) a legislative subpoena as provided in Title 36, Chapter 14, Legislative Subpoena
             1452      Powers.
             1453          (2) (a) Upon request, a governmental entity shall disclose a controlled record to:



Text Box

- 48 -
             1454
         (i) a physician, psychologist, certified social worker, insurance provider or producer, or
             1455      a government public health agency upon submission of:
             1456          (A) a release from the subject of the record that is dated no more than 90 days prior to
             1457      the date the request is made; and
             1458          (B) a signed acknowledgment of the terms of disclosure of controlled information as
             1459      provided by Subsection (2)(b); and
             1460          (ii) any person to whom the record must be disclosed pursuant to:
             1461          (A) a court order as provided in Subsection (7); or
             1462          (B) a legislative subpoena as provided in Title 36, Chapter 14, Legislative Subpoena
             1463      Powers.
             1464          (b) A person who receives a record from a governmental entity in accordance with
             1465      Subsection (2)(a)(i) may not disclose controlled information from that record to any person,
             1466      including the subject of the record.
             1467          (3) If there is more than one subject of a private or controlled record, the portion of the
             1468      record that pertains to another subject shall be segregated from the portion that the requester is
             1469      entitled to inspect.
             1470          (4) Upon request, and except as provided in Subsection (10) or (11)(b), a governmental
             1471      entity shall disclose a protected record to:
             1472          (a) the person who submitted the record;
             1473          (b) any other individual who:
             1474          (i) has a power of attorney from all persons, governmental entities, or political
             1475      subdivisions whose interests were sought to be protected by the protected classification; or
             1476          (ii) submits a notarized release from all persons, governmental entities, or political
             1477      subdivisions whose interests were sought to be protected by the protected classification or from
             1478      their legal representatives dated no more than 90 days prior to the date the request is made;
             1479          (c) any person to whom the record must be provided pursuant to:
             1480          (i) a court order as provided in Subsection (7); or
             1481          (ii) a legislative subpoena as provided in Title 36, Chapter 14, Legislative Subpoena
             1482      Powers; or
             1483          (d) the owner of a mobile home park, subject to the conditions of Subsection
             1484      41-1a-116 (5).



Text Box

- 49 -
             1485
         (5) A governmental entity may disclose a private, controlled, or protected record to
             1486      another governmental entity, political subdivision, another state, the United States, or a foreign
             1487      government only as provided by Section 63G-2-206 .
             1488          (6) Before releasing a private, controlled, or protected record, the governmental entity
             1489      shall obtain evidence of the requester's identity.
             1490          (7) A governmental entity shall disclose a record pursuant to the terms of a court order
             1491      signed by a judge from a court of competent jurisdiction, provided that:
             1492          (a) the record deals with a matter in controversy over which the court has jurisdiction;
             1493          (b) the court has considered the merits of the request for access to the record;
             1494          (c) the court has considered and, where appropriate, limited the requester's use and
             1495      further disclosure of the record in order to protect:
             1496          (i) privacy interests in the case of private or controlled records;
             1497          (ii) business confidentiality interests in the case of records protected under Subsection
             1498      63G-2-305 (1), (2), (39)(a)(ii), or (39)(a)(vi); and
             1499          (iii) privacy interests or the public interest in the case of other protected records;
             1500          (d) to the extent the record is properly classified private, controlled, or protected, the
             1501      interests favoring access, considering limitations thereon, are greater than or equal to the
             1502      interests favoring restriction of access; and
             1503          (e) where access is restricted by a rule, statute, or regulation referred to in Subsection
             1504      63G-2-201 (3)(b), the court has authority independent of this chapter to order disclosure.
             1505          (8) (a) A governmental entity may disclose or authorize disclosure of private or
             1506      controlled records for research purposes if the governmental entity:
             1507          (i) determines that the research purpose cannot reasonably be accomplished without
             1508      use or disclosure of the information to the researcher in individually identifiable form;
             1509          (ii) determines that:
             1510          (A) the proposed research is bona fide; and
             1511          (B) the value of the research is greater than or equal to the infringement upon personal
             1512      privacy;
             1513          (iii) (A) requires the researcher to assure the integrity, confidentiality, and security of
             1514      the records; and
             1515          (B) requires the removal or destruction of the individual identifiers associated with the



Text Box

- 50 -
             1516
     records as soon as the purpose of the research project has been accomplished;
             1517          (iv) prohibits the researcher from:
             1518          (A) disclosing the record in individually identifiable form, except as provided in
             1519      Subsection (8)(b); or
             1520          (B) using the record for purposes other than the research approved by the governmental
             1521      entity; and
             1522          (v) secures from the researcher a written statement of the researcher's understanding of
             1523      and agreement to the conditions of this Subsection (8) and the researcher's understanding that
             1524      violation of the terms of this Subsection (8) may subject the researcher to criminal prosecution
             1525      under Section 63G-2-801 .
             1526          (b) A researcher may disclose a record in individually identifiable form if the record is
             1527      disclosed for the purpose of auditing or evaluating the research program and no subsequent use
             1528      or disclosure of the record in individually identifiable form will be made by the auditor or
             1529      evaluator except as provided by this section.
             1530          (c) A governmental entity may require indemnification as a condition of permitting
             1531      research under this Subsection (8).
             1532          (9) (a) Under Subsections 63G-2-201 (5)(b) and 63G-2-401 (6), a governmental entity
             1533      may disclose to persons other than those specified in this section records that are:
             1534          (i) private under Section 63G-2-302 ; or
             1535          (ii) protected under Section 63G-2-305 subject to Section 63G-2-309 if a claim for
             1536      business confidentiality has been made under Section 63G-2-309 .
             1537          (b) Under Subsection 63G-2-403 (11)(b), the records committee may require the
             1538      disclosure to persons other than those specified in this section of records that are:
             1539          (i) private under Section 63G-2-302 ;
             1540          (ii) controlled under Section 63G-2-304 ; or
             1541          (iii) protected under Section 63G-2-305 subject to Section 63G-2-309 if a claim for
             1542      business confidentiality has been made under Section 63G-2-309 .
             1543          (c) Under Subsection 63G-2-404 (8), the court may require the disclosure of records
             1544      that are private under Section 63G-2-302 , controlled under Section 63G-2-304 , or protected
             1545      under Section 63G-2-305 to persons other than those specified in this section.
             1546          (10) A record contained in the Management Information System, created in Section



Text Box

- 51 -
             1547
     62A-4a-1003 , that is found to be unsubstantiated, unsupported, or without merit may not be
             1548      disclosed to any person except the person who is alleged in the report to be a perpetrator of
             1549      abuse, neglect, or dependency.
             1550          (11) (a) A private record described in Subsection 63G-2-302 (2)[(f)](g) may only be
             1551      disclosed as provided in Subsection (1)(e).
             1552          (b) A protected record described in Subsection 63G-2-305 (42) may only be disclosed
             1553      as provided in Subsection (4)(c) or Section 62A-3-312 .
             1554          (12) (a) A private, protected, or controlled record described in Section 62A-16-301
             1555      shall be disclosed as required under:
             1556          (i) Subsections 62A-16-301 (1)(b), (2), and (4)(c); and
             1557          (ii) Subsections 62A-16-302 (1) and (6).
             1558          (b) A record disclosed under Subsection (12)(a) shall retain its character as private,
             1559      protected, or controlled.
             1560          Section 37. Section 63G-2-301 is amended to read:
             1561           63G-2-301. Records that must be disclosed.
             1562          (1) As used in this section:
             1563          (a) "Business address" means a single address of a governmental agency designated for
             1564      the public to contact an employee or officer of the governmental agency.
             1565          (b) "Business email address" means a single email address of a governmental agency
             1566      designated for the public to contact an employee or officer of the governmental agency.
             1567          (c) "Business telephone number" means a single telephone number of a governmental
             1568      agency designated for the public to contact an employee or officer of the governmental agency.
             1569          (2) The following records are public except to the extent they contain information
             1570      expressly permitted to be treated confidentially under the provisions of Subsections
             1571      63G-2-201 (3)(b) and (6)(a):
             1572          (a) laws;
             1573          (b) the name, gender, gross compensation, job title, job description, business address,
             1574      business email address, business telephone number, number of hours worked per pay period,
             1575      dates of employment, and relevant education, previous employment, and similar job
             1576      qualifications of a current or former employee or officer of the governmental entity, excluding:
             1577          (i) undercover law enforcement personnel; and



Text Box

- 52 -
             1578
         (ii) investigative personnel if disclosure could reasonably be expected to impair the
             1579      effectiveness of investigations or endanger any individual's safety;
             1580          (c) final opinions, including concurring and dissenting opinions, and orders that are
             1581      made by a governmental entity in an administrative, adjudicative, or judicial proceeding except
             1582      that if the proceedings were properly closed to the public, the opinion and order may be
             1583      withheld to the extent that they contain information that is private, controlled, or protected;
             1584          (d) final interpretations of statutes or rules by a governmental entity unless classified as
             1585      protected as provided in Subsection 63G-2-305 (16) or (17);
             1586          (e) information contained in or compiled from a transcript, minutes, or report of the
             1587      open portions of a meeting of a governmental entity as provided by Title 52, Chapter 4, Open
             1588      and Public Meetings Act, including the records of all votes of each member of the
             1589      governmental entity;
             1590          (f) judicial records unless a court orders the records to be restricted under the rules of
             1591      civil or criminal procedure or unless the records are private under this chapter;
             1592          (g) unless otherwise classified as private under Section 63G-2-303 , records or parts of
             1593      records filed with or maintained by county recorders, clerks, treasurers, surveyors, zoning
             1594      commissions, the Division of Forestry, Fire, and State Lands, the School and Institutional Trust
             1595      Lands Administration, the Division of Oil, Gas, and Mining, the Division of Water Rights, or
             1596      other governmental entities that give public notice of:
             1597          (i) titles or encumbrances to real property;
             1598          (ii) restrictions on the use of real property;
             1599          (iii) the capacity of persons to take or convey title to real property; or
             1600          (iv) tax status for real and personal property;
             1601          (h) records of the Department of Commerce that evidence incorporations, mergers,
             1602      name changes, and uniform commercial code filings;
             1603          (i) data on individuals that would otherwise be private under this chapter if the
             1604      individual who is the subject of the record has given the governmental entity written
             1605      permission to make the records available to the public;
             1606          (j) documentation of the compensation that a governmental entity pays to a contractor
             1607      or private provider;
             1608          (k) summary data;



Text Box

- 53 -
             1609
         (l) voter registration records, including an individual's voting history, except for those
             1610      parts of the record that are classified as private in Subsection 63G-2-302 (1)[(i)](j);
             1611          (m) for an elected official, as defined in Section 11-47-102 , a telephone number, if
             1612      available, and email address, if available, where that elected official may be reached as required
             1613      in Title 11, Chapter 47, Access to Elected Officials;
             1614          (n) for a school community council member, a telephone number, if available, and
             1615      email address, if available, where that elected official may be reached directly as required in
             1616      Section 53A-1a-108 ; and
             1617          (o) annual audited financial statements of the Utah Educational Savings Plan described
             1618      in Section 53B-8a-111 .
             1619          (3) The following records are normally public, but to the extent that a record is
             1620      expressly exempt from disclosure, access may be restricted under Subsection 63G-2-201 (3)(b),
             1621      Section 63G-2-302 , 63G-2-304 , or 63G-2-305 :
             1622          (a) administrative staff manuals, instructions to staff, and statements of policy;
             1623          (b) records documenting a contractor's or private provider's compliance with the terms
             1624      of a contract with a governmental entity;
             1625          (c) records documenting the services provided by a contractor or a private provider to
             1626      the extent the records would be public if prepared by the governmental entity;
             1627          (d) contracts entered into by a governmental entity;
             1628          (e) any account, voucher, or contract that deals with the receipt or expenditure of funds
             1629      by a governmental entity;
             1630          (f) records relating to government assistance or incentives publicly disclosed,
             1631      contracted for, or given by a governmental entity, encouraging a person to expand or relocate a
             1632      business in Utah, except as provided in Subsection 63G-2-305 (34);
             1633          (g) chronological logs and initial contact reports;
             1634          (h) correspondence by and with a governmental entity in which the governmental entity
             1635      determines or states an opinion upon the rights of the state, a political subdivision, the public,
             1636      or any person;
             1637          (i) empirical data contained in drafts if:
             1638          (i) the empirical data is not reasonably available to the requester elsewhere in similar
             1639      form; and



Text Box

- 54 -
             1640
         (ii) the governmental entity is given a reasonable opportunity to correct any errors or
             1641      make nonsubstantive changes before release;
             1642          (j) drafts that are circulated to anyone other than:
             1643          (i) a governmental entity;
             1644          (ii) a political subdivision;
             1645          (iii) a federal agency if the governmental entity and the federal agency are jointly
             1646      responsible for implementation of a program or project that has been legislatively approved;
             1647          (iv) a government-managed corporation; or
             1648          (v) a contractor or private provider;
             1649          (k) drafts that have never been finalized but were relied upon by the governmental
             1650      entity in carrying out action or policy;
             1651          (l) original data in a computer program if the governmental entity chooses not to
             1652      disclose the program;
             1653          (m) arrest warrants after issuance, except that, for good cause, a court may order
             1654      restricted access to arrest warrants prior to service;
             1655          (n) search warrants after execution and filing of the return, except that a court, for good
             1656      cause, may order restricted access to search warrants prior to trial;
             1657          (o) records that would disclose information relating to formal charges or disciplinary
             1658      actions against a past or present governmental entity employee if:
             1659          (i) the disciplinary action has been completed and all time periods for administrative
             1660      appeal have expired; and
             1661          (ii) the charges on which the disciplinary action was based were sustained;
             1662          (p) records maintained by the Division of Forestry, Fire, and State Lands, the School
             1663      and Institutional Trust Lands Administration, or the Division of Oil, Gas, and Mining that
             1664      evidence mineral production on government lands;
             1665          (q) final audit reports;
             1666          (r) occupational and professional licenses;
             1667          (s) business licenses; and
             1668          (t) a notice of violation, a notice of agency action under Section 63G-4-201 , or similar
             1669      records used to initiate proceedings for discipline or sanctions against persons regulated by a
             1670      governmental entity, but not including records that initiate employee discipline.



Text Box

- 55 -
             1671
         (4) The list of public records in this section is not exhaustive and should not be used to
             1672      limit access to records.
             1673          Section 38. Section 63G-2-302 is amended to read:
             1674           63G-2-302. Private records.
             1675          (1) The following records are private:
             1676          (a) records concerning an individual's eligibility for unemployment insurance benefits,
             1677      social services, welfare benefits, or the determination of benefit levels;
             1678          (b) records containing data on individuals describing medical history, diagnosis,
             1679      condition, treatment, evaluation, or similar medical data;
             1680          (c) records of publicly funded libraries that when examined alone or with other records
             1681      identify a patron;
             1682          (d) records received by or generated by or for:
             1683          (i) the Independent Legislative Ethics Commission, except for:
             1684          (A) the commission's summary data report that is required under legislative rule; and
             1685          (B) any other document that is classified as public under legislative rule; or
             1686          (ii) a Senate or House Ethics Committee in relation to the review of ethics complaints,
             1687      unless the record is classified as public under legislative rule;
             1688          (e) records received by, or generated by or for, the Independent Executive Branch
             1689      Ethics Commission, except as otherwise expressly provided in Title 63A, Chapter 13, Review
             1690      of Executive Branch Ethics Complaints;
             1691          [(e)] (f) records received or generated for a Senate confirmation committee concerning
             1692      character, professional competence, or physical or mental health of an individual:
             1693          (i) if prior to the meeting, the chair of the committee determines release of the records:
             1694          (A) reasonably could be expected to interfere with the investigation undertaken by the
             1695      committee; or
             1696          (B) would create a danger of depriving a person of a right to a fair proceeding or
             1697      impartial hearing; and
             1698          (ii) after the meeting, if the meeting was closed to the public;
             1699          [(f)] (g) employment records concerning a current or former employee of, or applicant
             1700      for employment with, a governmental entity that would disclose that individual's home address,
             1701      home telephone number, Social Security number, insurance coverage, marital status, or payroll



Text Box

- 56 -
             1702
     deductions;
             1703          [(g)] (h) records or parts of records under Section 63G-2-303 that a current or former
             1704      employee identifies as private according to the requirements of that section;
             1705          [(h)] (i) that part of a record indicating a person's Social Security number or federal
             1706      employer identification number if provided under Section 31A-23a-104 , 31A-25-202 ,
             1707      31A-26-202 , 58-1-301 , 58-55-302 , 61-1-4 , or 61-2f-203 ;
             1708          [(i)] (j) that part of a voter registration record identifying a voter's:
             1709          (i) driver license or identification card number;
             1710          (ii) Social Security number, or last four digits of the Social Security number; or
             1711          (iii) email address;
             1712          [(j)] (k) a record that:
             1713          (i) contains information about an individual;
             1714          (ii) is voluntarily provided by the individual; and
             1715          (iii) goes into an electronic database that:
             1716          (A) is designated by and administered under the authority of the Chief Information
             1717      Officer; and
             1718          (B) acts as a repository of information about the individual that can be electronically
             1719      retrieved and used to facilitate the individual's online interaction with a state agency;
             1720          [(k)] (l) information provided to the Commissioner of Insurance under:
             1721          (i) Subsection 31A-23a-115 (2)(a);
             1722          (ii) Subsection 31A-23a-302 (3); or
             1723          (iii) Subsection 31A-26-210 (3);
             1724          [(l)] (m) information obtained through a criminal background check under Title 11,
             1725      Chapter 40, Criminal Background Checks by Political Subdivisions Operating Water Systems;
             1726          [(m)] (n) information provided by an offender that is:
             1727          (i) required by the registration requirements of Title 77, Chapter 41, Sex and Kidnap
             1728      Offender Registry; and
             1729          (ii) not required to be made available to the public under Subsection 77-41-110 (4);
             1730          [(n)] (o) a statement and any supporting documentation filed with the attorney general
             1731      in accordance with Section 34-45-107 , if the federal law or action supporting the filing
             1732      involves homeland security;



Text Box

- 57 -
             1733
         [(o)] (p) electronic toll collection customer account information received or collected
             1734      under Section 72-6-118 , including contact and payment information and customer travel data;
             1735          [(p)] (q) an email address provided by a military or overseas voter under Section
             1736      20A-16-501 ;
             1737          [(q)] (r) a completed military-overseas ballot that is electronically transmitted under
             1738      Title 20A, Chapter 16, Uniform Military and Overseas Voters Act; and
             1739          [(r)] (s) records received by or generated by or for the Political Subdivisions Ethics
             1740      Review Commission established in Section 11-49-201 , except for:
             1741          (i) the commission's summary data report that is required in Section 11-49-202 ; and
             1742          (ii) any other document that is classified as public in accordance with Title 11, Chapter
             1743      49, Political Subdivisions Ethics Review Commission.
             1744          (2) The following records are private if properly classified by a governmental entity:
             1745          (a) records concerning a current or former employee of, or applicant for employment
             1746      with a governmental entity, including performance evaluations and personal status information
             1747      such as race, religion, or disabilities, but not including records that are public under Subsection
             1748      63G-2-301 (2)(b) or 63G-2-301 (3)(o), or private under Subsection (1)(b);
             1749          (b) records describing an individual's finances, except that the following are public:
             1750          (i) records described in Subsection 63G-2-301 (2);
             1751          (ii) information provided to the governmental entity for the purpose of complying with
             1752      a financial assurance requirement; or
             1753          (iii) records that must be disclosed in accordance with another statute;
             1754          (c) records of independent state agencies if the disclosure of those records would
             1755      conflict with the fiduciary obligations of the agency;
             1756          (d) other records containing data on individuals the disclosure of which constitutes a
             1757      clearly unwarranted invasion of personal privacy;
             1758          (e) records provided by the United States or by a government entity outside the state
             1759      that are given with the requirement that the records be managed as private records, if the
             1760      providing entity states in writing that the record would not be subject to public disclosure if
             1761      retained by it; and
             1762          (f) any portion of a record in the custody of the Division of Aging and Adult Services,
             1763      created in Section 62A-3-102 , that may disclose, or lead to the discovery of, the identity of a



Text Box

- 58 -
             1764
     person who made a report of alleged abuse, neglect, or exploitation of a vulnerable adult.
             1765          (3) (a) As used in this Subsection (3), "medical records" means medical reports,
             1766      records, statements, history, diagnosis, condition, treatment, and evaluation.
             1767          (b) Medical records in the possession of the University of Utah Hospital, its clinics,
             1768      doctors, or affiliated entities are not private records or controlled records under Section
             1769      63G-2-304 when the records are sought:
             1770          (i) in connection with any legal or administrative proceeding in which the patient's
             1771      physical, mental, or emotional condition is an element of any claim or defense; or
             1772          (ii) after a patient's death, in any legal or administrative proceeding in which any party
             1773      relies upon the condition as an element of the claim or defense.
             1774          (c) Medical records are subject to production in a legal or administrative proceeding
             1775      according to state or federal statutes or rules of procedure and evidence as if the medical
             1776      records were in the possession of a nongovernmental medical care provider.
             1777          Section 39. Section 63G-2-303 is amended to read:
             1778           63G-2-303. Private information concerning certain government employees.
             1779          (1) As used in this section:
             1780          (a) "At-risk government employee" means a current or former:
             1781          (i) peace officer as specified in Section 53-13-102 ;
             1782          (ii) supreme court justice;
             1783          (iii) judge of an appellate, district, or juvenile court, or a court commissioner;
             1784          (iv) justice court judge;
             1785          (v) judge authorized by Title 39, Chapter 6, Utah Code of Military Justice;
             1786          (vi) federal judge;
             1787          (vii) federal magistrate judge;
             1788          (viii) judge authorized by Armed Forces, Title 10, United States Code;
             1789          (ix) United States Attorney;
             1790          (x) Assistant United States Attorney;
             1791          (xi) a prosecutor appointed pursuant to Armed Forces, Title 10, United States Code;
             1792          (xii) a law enforcement official as defined in Section 53-5-711 ; or
             1793          (xiii) a prosecutor authorized by Title 39, Chapter 6, Utah Code of Military Justice.
             1794          (b) "Family member" means the spouse, child, sibling, parent, or grandparent of an



Text Box

- 59 -
             1795
     at-risk government employee who is living with the employee.
             1796          (2) (a) Pursuant to Subsection 63G-2-302 (1)[(g)](h), an at-risk government employee
             1797      may file a written application that:
             1798          (i) gives notice of the employee's status to each agency of a government entity holding
             1799      a record or a part of a record that would disclose the employee's or the employee's family
             1800      member's home address, home telephone number, Social Security number, insurance coverage,
             1801      marital status, or payroll deductions; and
             1802          (ii) requests that the government agency classify those records or parts of records
             1803      private.
             1804          (b) An at-risk government employee desiring to file an application under this section
             1805      may request assistance from the government agency to identify the individual records
             1806      containing the private information specified in Subsection (2)(a)(i).
             1807          (c) Each government agency shall develop a form that:
             1808          (i) requires the at-risk government employee to provide evidence of qualifying
             1809      employment;
             1810          (ii) requires the at-risk government employee to designate each specific record or part
             1811      of a record containing the employee's home address, home telephone number, Social Security
             1812      number, insurance coverage, marital status, or payroll deductions that the applicant desires to
             1813      be classified as private; and
             1814          (iii) affirmatively requests that the government entity holding those records classify
             1815      them as private.
             1816          (3) A county recorder, county treasurer, county auditor, or a county tax assessor may
             1817      fully satisfy the requirements of this section by:
             1818          (a) providing a method for the assessment roll and index and the tax roll and index that
             1819      will block public access to the home address, home telephone number, situs address, and Social
             1820      Security number; and
             1821          (b) providing the at-risk government employee requesting the classification with a
             1822      disclaimer informing the employee that the employee may not receive official announcements
             1823      affecting the employee's property, including notices about proposed annexations,
             1824      incorporations, or zoning modifications.
             1825          (4) A government agency holding records of an at-risk government employee classified



Text Box

- 60 -
             1826
     as private under this section may release the record or part of the record if:
             1827          (a) the employee or former employee gives written consent;
             1828          (b) a court orders release of the records; or
             1829          (c) the government agency receives a certified death certificate for the employee or
             1830      former employee.
             1831          (5) (a) If the government agency holding the private record receives a subpoena for the
             1832      records, the government agency shall attempt to notify the at-risk government employee or
             1833      former employee by mailing a copy of the subpoena to the employee's last-known mailing
             1834      address together with a request that the employee either:
             1835          (i) authorize release of the record; or
             1836          (ii) within 10 days of the date that the copy and request are mailed, deliver to the
             1837      government agency holding the private record a copy of a motion to quash filed with the court
             1838      who issued the subpoena.
             1839          (b) The government agency shall comply with the subpoena if the government agency
             1840      has:
             1841          (i) received permission from the at-risk government employee or former employee to
             1842      comply with the subpoena;
             1843          (ii) not received a copy of a motion to quash within 10 days of the date that the copy of
             1844      the subpoena was mailed; or
             1845          (iii) received a court order requiring release of the records.
             1846          Section 40. Section 63G-2-803 is amended to read:
             1847           63G-2-803. No individual liability for certain decisions of a governmental entity.
             1848          (1) Neither the governmental entity, nor any officer or employee of the governmental
             1849      entity, is liable for damages resulting from the release of a record where the person or
             1850      government requesting the record presented evidence of authority to obtain the record even if it
             1851      is subsequently determined that the requester had no authority.
             1852          (2) Neither the governmental entity, nor any officer or employee of the governmental
             1853      entity, is liable for damages arising from the negligent disclosure of records classified as
             1854      private under Subsection 63G-2-302 (1)[(f)](g) unless:
             1855          (a) the disclosure was of employment records maintained by the governmental entity;
             1856      or



Text Box

- 61 -
             1857
         (b) the current or former government employee had previously filed the notice required
             1858      by Section 63G-2-303 and:
             1859          (i) the government entity did not take reasonable steps to preclude access or
             1860      distribution of the record; or
             1861          (ii) the release of the record was otherwise willfully or grossly negligent.
             1862          (3) A mailing from a government agency to an individual who has filed an application
             1863      under Section 63G-2-303 is not a wrongful disclosure under this chapter or under Title 63A,
             1864      Chapter 12, Archives and Records Service.





Legislative Review Note
    as of 2-22-13 2:28 PM


Office of Legislative Research and General Counsel


[Bill Documents][Bills Directory]