1     
ETHICS AMENDMENTS

2     
2018 GENERAL SESSION

3     
STATE OF UTAH

4     
Chief Sponsor: Curtis S. Bramble

5     
House Sponsor: V. Lowry Snow

6     

7     LONG TITLE
8     General Description:
9          This bill amends provisions relating to ethics committees and commissions.
10     Highlighted Provisions:
11          This bill:
12          ▸     defines "malfeasance";
13          ▸     clarifies that the Independent Executive Branch Ethics Commission and the
14     Political Subdivisions Ethics Review Commission (the commissions) are
15     independent entities;
16          ▸     permits the commissions to retain private counsel and provides for additional staff;
17          ▸     addresses a request for supplemental appropriations by the commissions;
18          ▸     requires submission of an annual summary report to the governor;
19          ▸     addresses conflicts of interest for commission members;
20          ▸     places restrictions on the contents of a complaint;
21          ▸     describes the circumstances under which an official, officer, or employee may be
22     held responsible, under the provisions of this bill, for a violation based on the act or
23     failure to act of an individual under the authority of the official, officer, or
24     employee;
25          ▸     addresses complaints filed in more than one forum;
26          ▸     requires a complainant to have personal knowledge of matters alleged in a
27     complaint;
28          ▸     addresses confidentiality requirements in relation to the commissions;
29          ▸     requires the state or a political subdivision to pay costs and attorney fees if none of

30     the allegations in a complaint before the commissions are proven;
31          ▸     for budget purposes only, moves the Political Subdivisions Ethics Review
32     Commission to the Department of Administrative Services, and recodifies
33     provisions accordingly;
34          ▸     provides for the appointment of an alternate or temporary replacement member for
35     the Political Subdivisions Ethics Review Commission;
36          ▸     modifies provisions relating to selection of the chair of the Political Subdivisions
37     Ethics Review Commission;
38          ▸     modifies deadlines relating to proceedings of the Political Subdivisions Ethics
39     Review Commission;
40          ▸     addresses the confidentiality of recordings of the commissions and legislative ethics
41     committees and commissions; and
42          ▸     makes technical and conforming changes.
43     Money Appropriated in this Bill:
44          None
45     Other Special Clauses:
46          None
47     Utah Code Sections Affected:
48     AMENDS:
49          10-3-1311, as last amended by Laws of Utah 2012, Chapter 202
50          17-16a-11, as last amended by Laws of Utah 2012, Chapter 202
51          52-4-204, as last amended by Laws of Utah 2013, Chapter 426
52          63A-14-102, as enacted by Laws of Utah 2013, Chapter 426
53          63A-14-202, as enacted by Laws of Utah 2013, Chapter 426
54          63A-14-203, as enacted by Laws of Utah 2013, Chapter 426
55          63A-14-302, as enacted by Laws of Utah 2013, Chapter 426
56          63A-14-402, as enacted by Laws of Utah 2013, Chapter 426
57          63A-14-403, as enacted by Laws of Utah 2013, Chapter 426

58          63A-14-502, as enacted by Laws of Utah 2013, Chapter 426
59          63A-14-504, as enacted by Laws of Utah 2013, Chapter 426
60          63A-14-604, as enacted by Laws of Utah 2013, Chapter 426
61          63G-2-103, as last amended by Laws of Utah 2017, Chapters 196 and 441
62          63G-2-302, as last amended by Laws of Utah 2017, Chapters 168 and 282
63          67-16-15, as enacted by Laws of Utah 2012, Chapter 202
64     RENUMBERS AND AMENDS:
65          63A-15-101, (Renumbered from 11-49-101, as enacted by Laws of Utah 2012, Chapter
66     202)
67          63A-15-102, (Renumbered from 11-49-102, as last amended by Laws of Utah 2016,
68     Chapter 350)
69          63A-15-103, (Renumbered from 11-49-103, as enacted by Laws of Utah 2012, Chapter
70     202)
71          63A-15-201, (Renumbered from 11-49-201, as enacted by Laws of Utah 2012, Chapter
72     202)
73          63A-15-202, (Renumbered from 11-49-202, as last amended by Laws of Utah 2013,
74     Chapter 278)
75          63A-15-301, (Renumbered from 11-49-301, as enacted by Laws of Utah 2012, Chapter
76     202)
77          63A-15-302, (Renumbered from 11-49-302, as enacted by Laws of Utah 2012, Chapter
78     202)
79          63A-15-401, (Renumbered from 11-49-401, as enacted by Laws of Utah 2012, Chapter
80     202)
81          63A-15-402, (Renumbered from 11-49-402, as enacted by Laws of Utah 2012, Chapter
82     202)
83          63A-15-403, (Renumbered from 11-49-403, as enacted by Laws of Utah 2012, Chapter
84     202)
85          63A-15-404, (Renumbered from 11-49-404, as enacted by Laws of Utah 2012, Chapter

86     202)
87          63A-15-405, (Renumbered from 11-49-405, as enacted by Laws of Utah 2012, Chapter
88     202)
89          63A-15-406, (Renumbered from 11-49-406, as enacted by Laws of Utah 2012, Chapter
90     202)
91          63A-15-407, (Renumbered from 11-49-407, as last amended by Laws of Utah 2013,
92     Chapter 278)
93          63A-15-408, (Renumbered from 11-49-408, as enacted by Laws of Utah 2012, Chapter
94     202)
95          63A-15-501, (Renumbered from 11-49-501, as last amended by Laws of Utah 2016,
96     Chapter 160)
97          63A-15-502, (Renumbered from 11-49-502, as enacted by Laws of Utah 2012, Chapter
98     202)
99          63A-15-601, (Renumbered from 11-49-601, as enacted by Laws of Utah 2012, Chapter
100     202)
101          63A-15-602, (Renumbered from 11-49-602, as enacted by Laws of Utah 2012, Chapter
102     202)
103          63A-15-603, (Renumbered from 11-49-603, as enacted by Laws of Utah 2012, Chapter
104     202)
105          63A-15-604, (Renumbered from 11-49-604, as enacted by Laws of Utah 2012, Chapter
106     202)
107          63A-15-701, (Renumbered from 11-49-701, as enacted by Laws of Utah 2012, Chapter
108     202)
109          63A-15-702, (Renumbered from 11-49-702, as enacted by Laws of Utah 2012, Chapter
110     202)
111          63A-15-703, (Renumbered from 11-49-703, as enacted by Laws of Utah 2012, Chapter
112     202)
113          63A-15-704, (Renumbered from 11-49-704, as enacted by Laws of Utah 2012, Chapter

114     202)
115          63A-15-705, (Renumbered from 11-49-705, as enacted by Laws of Utah 2012, Chapter
116     202)
117          63A-15-706, (Renumbered from 11-49-706, as enacted by Laws of Utah 2012, Chapter
118     202)
119     ENACTS:
120          63A-14-405, Utah Code Annotated 1953
121          63A-15-303, Utah Code Annotated 1953
122     

123     Be it enacted by the Legislature of the state of Utah:
124          Section 1. Section 10-3-1311 is amended to read:
125          10-3-1311. Municipal ethics commission -- Complaints charging violations.
126          (1) A municipality may establish by ordinance an ethics commission to review a
127     complaint against an officer or employee subject to this part for a violation of a provision of
128     this part.
129          (2) (a) A person filing a complaint for a violation of this part shall file the complaint:
130          (i) with the municipal ethics commission, if a municipality has established a municipal
131     ethics commission in accordance with Subsection (1); or
132          (ii) with the Political Subdivisions Ethics Review Commission in accordance with
133     [Title 11, Chapter 49] Title 63A, Chapter 15, Political Subdivisions Ethics Review
134     Commission, if the municipality has not established a municipal ethics commission.
135          (b) A municipality that receives a complaint described in Subsection (2)(a) may:
136          (i) accept the complaint if the municipality has established a municipal ethics
137     commission in accordance with Subsection (1); or
138          (ii) forward the complaint to the Political Subdivisions Ethics Review Commission
139     established in Section [11-49-201] 63A-15-201:
140          (A) regardless of whether the municipality has established a municipal ethics
141     commission; or

142          (B) if the municipality has not established a municipal ethics commission.
143          (3) If the alleged ethics complaint is against a person who is a member of the municipal
144     ethics commission, the complaint shall be filed with or forwarded to the Political Subdivisions
145     Ethics Review Commission.
146          Section 2. Section 17-16a-11 is amended to read:
147          17-16a-11. County ethics commission -- Complaints charging violations --
148     Procedure.
149          (1) A county may establish by ordinance an ethics commission to review a complaint,
150     except as provided in Subsection (3), against an officer or employee subject to this part for a
151     violation of a provision of this part.
152          (2) (a) Except as provided in Subsection (3), a person filing a complaint for a violation
153     of this part shall file the complaint:
154          (i) with the county ethics commission, if the county has established a county ethics
155     commission in accordance with Subsection (1); or
156          (ii) with the Political Subdivisions Ethics Review Commission established in
157     accordance with [Title 11, Chapter 49] Title 63A, Chapter 15, Political Subdivisions Ethics
158     Review Commission if the county has not established a county ethics commission.
159          (b) A county that receives a complaint described in Subsection (2)(a) may:
160          (i) accept the complaint if the county has established a county ethics commission in
161     accordance with Subsection (1); or
162          (ii) forward the complaint to the Political Subdivisions Ethics Review Commission
163     established in Section [11-49-201] 63A-15-201:
164          (A) regardless of whether the county has established a county ethics commission; or
165          (B) if the county has not established a county ethics commission.
166          (3) Any complaint against a person who is under the merit system, charging that person
167     with a violation of this part, shall be filed and processed in accordance with the provisions of
168     the merit system.
169          Section 3. Section 52-4-204 is amended to read:

170          52-4-204. Closed meeting held upon vote of members -- Business -- Reasons for
171     meeting recorded.
172          (1) A closed meeting may be held if:
173          (a) (i) a quorum is present;
174          (ii) the meeting is an open meeting for which notice has been given under Section
175     52-4-202; and
176          (iii) (A) two-thirds of the members of the public body present at the open meeting vote
177     to approve closing the meeting;
178          (B) for a meeting that is required to be closed under Section 52-4-205, if a majority of
179     the members of the public body present at an open meeting vote to approve closing the
180     meeting;
181          (C) for an ethics committee of the Legislature that is conducting an open meeting for
182     the purpose of reviewing an ethics complaint, a majority of the members present vote to
183     approve closing the meeting for the purpose of seeking or obtaining legal advice on legal,
184     evidentiary, or procedural matters, or for conducting deliberations to reach a decision on the
185     complaint; or
186          (D) for the Political Subdivisions Ethics Review Commission established in Section
187     [11-49-201] 63A-15-201 that is conducting an open meeting for the purpose of reviewing an
188     ethics complaint in accordance with Section [11-49-701] 63A-15-701, a majority of the
189     members present vote to approve closing the meeting for the purpose of seeking or obtaining
190     legal advice on legal, evidentiary, or procedural matters, or for conducting deliberations to
191     reach a decision on the complaint; or
192          (b) (i) for the Independent Legislative Ethics Commission, the closed meeting is
193     convened for the purpose of conducting business relating to the receipt or review of an ethics
194     complaint, provided that public notice of the closed meeting is given under Section 52-4-202,
195     with the agenda for the meeting stating that the meeting will be closed for the purpose of
196     "conducting business relating to the receipt or review of ethics complaints";
197          (ii) for the Political Subdivisions Ethics Review Commission established in Section

198     [11-49-201] 63A-15-201, the closed meeting is convened for the purpose of conducting
199     business relating to the preliminary review of an ethics complaint in accordance with Section
200     [11-49-602] 63A-15-602, provided that public notice of the closed meeting is given under
201     Section 52-4-202, with the agenda for the meeting stating that the meeting will be closed for
202     the purpose of "conducting business relating to the review of ethics complaints"; or
203          (iii) for the Independent Executive Branch Ethics Commission created in Section
204     63A-14-202, the closed meeting is convened for the purpose of conducting business relating to
205     an ethics complaint, provided that public notice of the closed meeting is given under Section
206     52-4-202, with the agenda for the meeting stating that the meeting will be closed for the
207     purpose of "conducting business relating to an ethics complaint."
208          (2) A closed meeting is not allowed unless each matter discussed in the closed meeting
209     is permitted under Section 52-4-205.
210          (3) An ordinance, resolution, rule, regulation, contract, or appointment may not be
211     approved at a closed meeting.
212          (4) The following information shall be publicly announced and entered on the minutes
213     of the open meeting at which the closed meeting was approved:
214          (a) the reason or reasons for holding the closed meeting;
215          (b) the location where the closed meeting will be held; and
216          (c) the vote by name, of each member of the public body, either for or against the
217     motion to hold the closed meeting.
218          (5) Except as provided in Subsection 52-4-205(2), nothing in this chapter shall be
219     construed to require any meeting to be closed to the public.
220          Section 4. Section 63A-14-102 is amended to read:
221          63A-14-102. Definitions.
222          As used in this chapter:
223          (1) "Commission" means the Independent Executive Branch Ethics Commission,
224     created in Section 63A-14-202.
225          (2) "Complainant" means an individual who files a complaint under Subsection

226     63A-14-402(1)(a).
227          (3) "Executive branch elected official" means:
228          (a) the governor;
229          (b) the lieutenant governor;
230          (c) the state auditor;
231          (d) the state treasurer; or
232          (e) the attorney general.
233          (4) "Improper purpose" includes harassing a respondent, causing unwarranted harm to
234     a respondent's reputation, or causing unnecessary expenditure of public funds.
235          (5) "Malfeasance in office" means an intentional act or omission relating to the duties
236     of an executive branch elected official that:
237          (a) constitutes a crime; or
238          (b) (i) constitutes a substantial breach of the trust imposed upon the executive branch
239     elected official by the nature of the official's office; and
240          (ii) is against commonly accepted standards of honesty and morality.
241          [(5)] (6) "Respondent" means the executive branch elected official against whom an
242     ethics complaint described in Section 63A-14-402 is filed.
243          [(6)] (7) "Violation" means a high crime, a misdemeanor, or malfeasance in office.
244          Section 5. Section 63A-14-202 is amended to read:
245          63A-14-202. Independent Executive Branch Ethics Commission -- Membership.
246          (1) (a) There is created the Independent Executive Branch Ethics Commission,
247     consisting of the following five members appointed by the governor, each of whom shall be
248     registered to vote in the state at the time of appointment:
249          (i) two members who served:
250          (A) as elected officials in state government no more recently than four years before the
251     day on which the member is appointed; or
252          (B) in a management position in the state executive branch no more recently than four
253     years before the day on which the member is appointed;

254          (ii) one member who:
255          (A) has served, but no longer actively serves, as a judge of a court in the state; or
256          (B) is a licensed attorney in the state and is not, and has not been, a judge; and
257          (iii) two citizen members.
258          (b) The governor shall make appointments to the commission as follows:
259          (i) each executive branch elected official, other than the governor, shall select, and
260     provide to the governor, at least two names for potential appointment to one of the membership
261     positions described in Subsection (1)(a);
262          (ii) the governor shall determine which of the executive branch elected officials
263     described in Subsection (1)(b)(i) shall select names for which membership position;
264          (iii) the governor shall appoint to the commission one of the names provided by each
265     executive branch elected official described in Subsection (1)(b)(i);
266          (iv) the governor shall directly appoint the remaining member of the commission; and
267          (v) if an executive branch elected official fails to submit names to the governor within
268     15 days after the day on which the governor makes the determination described in Subsection
269     (1)(b)(ii), the governor shall directly appoint a person to fill the applicable membership
270     position.
271          (2) A member of the commission may not, during the member's term of office on the
272     commission, act or serve as:
273          (a) an officeholder as defined in Section 20A-11-101;
274          (b) an agency head as defined in Section 67-16-3;
275          (c) a lobbyist as defined in Section 36-11-102;
276          (d) a principal as defined in Section 36-11-102; or
277          (e) an employee of the state.
278          (3) (a) Except as provided in Subsection (3)(b), each member of the commission shall
279     serve a four-year term.
280          (b) The governor shall set the first term of two of the members of the commission at
281     two years, so that approximately half of the commission is appointed, or reappointed, every

282     two years.
283          (c) When a vacancy occurs in the commission's membership for any reason, the
284     governor shall appoint a replacement member for the unexpired term of the vacating member,
285     in accordance with Subsection (1).
286          (d) The governor may not appoint a member to serve more than two full terms, whether
287     those terms are two or four years.
288          (e) (i) The governor, or a majority of the commission, may remove a member from the
289     commission only for cause.
290          (ii) The governor may not remove a member from the commission during any period of
291     time when the commission is investigating or considering a complaint alleging an ethics
292     violation against the governor or lieutenant governor.
293          (f) If a commission member determines that the commission member has a conflict of
294     interest in relation to a complaint, the remaining members of the commission shall appoint an
295     individual to serve in that member's place for the purpose of reviewing that complaint.
296          (4) (a) A member of the commission may not receive compensation or benefits for the
297     member's service, but may receive per diem and expenses incurred in the performance of the
298     member's official duties at the rates established by the Division of Finance under Sections
299     63A-3-106 and 63A-3-107.
300          (b) A member may decline to receive per diem and expenses for the member's service.
301          (5) (a) The commission members shall convene a meeting annually each January and
302     elect, by majority vote, a chair from among the commission members.
303          (b) An individual may not serve as chair for more than two consecutive years.
304          (6) The commission:
305          (a) is an independent entity established within the department for budgetary and
306     general administrative purposes only; and
307          (b) is not under the direction or control of the department, the executive director, or
308     any other officer or employee of the department.
309          Section 6. Section 63A-14-203 is amended to read:

310          63A-14-203. Independent Executive Branch Ethics Commission -- Meetings --
311     Annual summary report -- Staff -- Legal counsel -- Supplemental appropriations.
312          (1) The commission shall meet for the purpose of reviewing an ethics complaint when:
313          (a) except as otherwise expressly provided in this chapter, called to meet at the
314     discretion of the chair; or
315          (b) called to meet by a majority vote of the commission.
316          (2) (a) A majority of the commission is a quorum.
317          (b) A majority vote of a quorum present constitutes the action of the commission.
318          (3) (a) The commission shall prepare an annual summary data report that contains:
319          (i) a general description of the activities of the commission during the past year;
320          (ii) the number of ethics complaints filed with the commission;
321          (iii) the number of ethics complaints reviewed by the commission;
322          (iv) a summary description of ethics complaints that formed the basis for a commission
323     finding that an allegation in a complaint has merit; and
324          (v) an accounting of the commission's budget and expenditures.
325          (b) The commission shall submit the summary data report to the [Legislative
326     Management Committee] governor before December 1 each year.
327          (c) The summary data report is a public record.
328          [(4) (a) The commission may employ staff at a level that is reasonable to assist the
329     commission in performing the commission's duties as established in this chapter.]
330          (4) The commission:
331          (a) shall employ a director to provide administrative support to the commission and to
332     assist the commission in fulfilling the commission's duties;
333          (b) may employ additional staff, to work under the direction of the director;
334          (c) shall contract with private legal counsel to provide legal services to the
335     commission, as needed; and
336          (d) may, in consultation with the Office of the Legislative Fiscal Analyst, request
337     supplemental appropriations to pay the costs of legal fees and other staffing needs that exceed

338     the commission's budget due to the number or complexity of the ethics complaints filed with or
339     considered by the commission in a fiscal year.
340          [(b)] (5) (a) Except as provided in Subsection [(4)(c)] (5)(b), staff for the commission
341     may not perform services for any other person in state government.
342          [(c)] (b) A person employed as staff for the commission may be the same person
343     employed as staff for the Independent Legislative Ethics Commission, if the staff ensures that
344     proper protections are in place to preserve the confidentiality to both bodies and to avoid a
345     conflict of interest.
346          [(5)] (6) Except as expressly otherwise provided in this chapter, all meetings held
347     under this chapter are closed to the public.
348          Section 7. Section 63A-14-302 is amended to read:
349          63A-14-302. Authority to review complaint -- Grounds for complaint --
350     Limitations on filings.
351          (1) Subject to the requirements of this chapter, the commission may review an ethics
352     complaint against an executive branch elected official if the complaint alleges that the
353     executive branch elected official has committed a violation.
354          (2) The commission may not review an ethics complaint filed against an executive
355     branch elected official unless the complaint alleges conduct that, if true, would constitute
356     grounds for impeachment under the Utah Constitution.
357          (3) A complaint against an executive branch elected official may not allege a violation
358     by the executive branch elected official for an act by an individual under the authority of the
359     executive branch elected official, unless the complaint evidences that the executive branch
360     elected official:
361          (a) encouraged, condoned, or ordered the act;
362          (b) (i) before the individual engaged in the act, knew or should have known that the
363     individual was likely to engage in the act; and
364          (ii) failed to take appropriate action to prevent the act;
365          (c) (i) while the individual engaged in the act, knew or should have known that the

366     individual was engaging in the act; and
367          (ii) failed to take appropriate action to stop the act; or
368          (d) (i) after the individual engaged in the act, knew or should have known that the
369     individual engaged in the act; and
370          (ii) failed to take appropriate action in response to the act.
371          (4) A complaint against an executive branch elected official may not allege a violation
372     by the executive branch elected official for an individual under the authority of the executive
373     branch elected official failing to act, unless the complaint evidences that the executive branch
374     elected official:
375          (a) encouraged, condoned, or ordered the failure to act;
376          (b) (i) before the individual failed to act, knew or should have known that the
377     individual was likely to fail to act; and
378          (ii) failed to take appropriate action to prevent the failure to act;
379          (c) (i) while the individual was failing to act, knew or should have known that the
380     individual was failing to act; and
381          (ii) failed to take appropriate action to prevent the failure to act; or
382          (d) (i) after the individual failed to act, knew or should have known that the individual
383     failed to act; and
384          (ii) failed to take appropriate action in response to the failure to act.
385          [(2)] (5) Individuals who file a complaint for an alleged violation shall file the
386     complaint within two years after the later of:
387          (a) the day on which the action or omission that forms the basis for the alleged
388     violation occurs or would have been discovered by a reasonable person; or
389          (b) the day on which a plea or conviction that forms the basis for the allegation is
390     entered.
391          [(3)] (6) (a) A complaint may not contain an allegation that was previously reviewed by
392     the commission, unless:
393          (i) the allegation is accompanied by material facts or circumstances supporting the

394     allegation that were not raised or pled to the commission when the allegation was previously
395     reviewed; and
396          (ii) the allegation and the general facts and circumstances supporting the allegation
397     were only reviewed by the commission on one previous occasion.
398          (b) If an allegation in a complaint does not comply with the requirements of Subsection
399     [(3)] (6)(a), the commission or the chair shall dismiss the allegation with prejudice.
400          (7) (a) An individual may not file a complaint under this chapter that alleges the same
401     conduct alleged in a grievance filed under Title 67, Chapter 19a, Grievance Procedures, unless
402     the individual files the complaint within seven days before or after the day on which the
403     individual files the grievance under Title 67, Chapter 19a, Grievance Procedures.
404          (b) If an allegation in a complaint does not comply with the requirements of Subsection
405     (7)(a), the commission or the chair shall dismiss the allegation with prejudice.
406          (c) If an individual files a complaint under this chapter, in accordance with the time
407     requirement described in Subsection (7)(a), that alleges the same conduct alleged in a grievance
408     filed under Title 67, Chapter 19a, Grievance Procedures:
409          (i) the commission may stay proceedings before the commission in relation to the
410     allegation, pending resolution of the grievance filed under Title 67, Chapter 19a, Grievance
411     Procedures; and
412          (ii) the Career Service Review Office, created in Section 67-19a-201, shall, upon
413     request of the commission, inform the commission of the progress and final disposition of the
414     grievance proceeding.
415          (8) If the commission stays proceedings under Subsection (7)(c), the matter shall
416     proceed as follows after the grievance under Title 67, Chapter 19a, Grievance Procedures, is
417     resolved:
418          (a) if the individual who filed the complaint under this chapter desires to proceed with
419     the complaint:
420          (i) the individual shall, within 15 days after the day on which a final decision is
421     rendered under Title 67, Chapter 19a, Grievance Procedures, file a written document with the

422     commission:
423          (A) describing the final decision; and
424          (B) stating that the individual desires to proceed with the complaint;
425          (ii) the Career Service Review Office, created in Section 67-19a-201, shall, upon
426     request of the commission, provide copies of all records relating to the grievance described in
427     Subsection (7)(c)(i), in accordance with Section 63G-2-206; and
428          (iii) the commission shall:
429          (A) review the records described in Subsection (8)(a)(ii);
430          (B) consider any additional evidence that the commission determines necessary;
431          (C) in the discretion of the commission, hear closing arguments from the parties; and
432          (D) comply with Section 63A-14-604; or
433          (b) if the individual who filed the complaint under this chapter does not desire to
434     proceed with the complaint, the individual shall, within 15 days after the day on which a final
435     decision is rendered under Title 67, Chapter 19a, Grievance Procedures, file a written
436     document with the commission stating that the individual does not desire to proceed with the
437     complaint.
438          (9) The commission shall dismiss a complaint for which the commission stayed
439     proceedings under Subsection (7)(c) if the individual who filed the complaint:
440          (a) fails to timely comply with Subsection (8)(a)(i); or
441          (b) files the document described in Subsection (8)(b).
442          Section 8. Section 63A-14-402 is amended to read:
443          63A-14-402. Ethics complaints -- Filing -- Form.
444          (1) (a) The following individuals may file an ethics complaint against an executive
445     branch elected official if the complaint meets the requirements of Section 63A-14-302 and
446     Subsection (1)(b):
447          (i) two or more executive branch elected officials, deputies of elected officials,
448     executive directors of departments in the executive branch, or directors of divisions in the
449     executive branch, if the complaint contains evidence or sworn testimony that:

450          (A) describes the facts and circumstances supporting the alleged violation; and
451          (B) is generally admissible under the Utah Rules of Evidence; or
452          (ii) two or more registered voters who currently reside in Utah and are not individuals
453     described in Subsection (1)(a)(i), if, for each alleged violation pled in the complaint, at least
454     one of those registered voters has [actual] personal knowledge of the facts and circumstances
455     supporting the alleged violation.
456          (b) Complainants may file a complaint only against an individual who is serving as an
457     executive branch elected official on the date that the complaint is filed.
458          (2) (a) The [lieutenant governor] commission shall post, on the [home page of the
459     lieutenant governor's] state's website, a conspicuous and clearly identified link to the name and
460     address of a person authorized to accept a complaint on behalf of the commission.
461          (b) Complainants shall file a complaint with the person described in Subsection (2)(a).
462          (c) An individual may not file a complaint during the 60 calendar days immediately
463     preceding:
464          (i) a regular primary election in which the accused executive branch elected official is a
465     candidate; or
466          (ii) a regular general election in which the accused executive branch elected official is
467     a candidate, unless the accused executive branch elected official is unopposed in the election.
468          (3) The complainants shall ensure that each complaint filed under this rule is in writing
469     and contains the following information:
470          (a) the name and position or title of the respondent;
471          (b) the name, address, and telephone number of each individual who is filing the
472     complaint;
473          (c) a description of each alleged violation, including for each alleged violation:
474          (i) a reference to any criminal provision that the respondent is alleged to have violated;
475          (ii) a reference to any other provision of law that the respondent is alleged to have
476     violated or failed to comply with;
477          (iii) the name of the complainant or complainants who have [actual] personal

478     knowledge of the supporting facts and circumstances; and
479          (iv) the facts and circumstances supporting the allegation, which shall be provided by:
480          (A) copies of official records or documentary evidence; or
481          (B) one or more affidavits, each of which shall comply with the format described in
482     Subsection (4);
483          (d) a list of the witnesses that the complainants desire to call, including for each
484     witness:
485          (i) the name, address, and, if available, one or more telephone numbers of the witness;
486          (ii) a brief summary of the testimony to be provided by the witness; and
487          (iii) a specific description of any documents or evidence the complainants desire the
488     witness to produce;
489          (e) a statement that each complainant:
490          (i) has reviewed the allegations contained in the complaint and the affidavits and
491     documents attached to the complaint;
492          (ii) believes that the complaint is submitted in good faith and not for any improper
493     purpose; and
494          (iii) believes the allegations contained in the complaint to be true and accurate; and
495          (f) the signature of each complainant.
496          (4) An affidavit described in Subsection (3)(c)(iv)(B) shall include:
497          (a) the name, address, and telephone number of the affiant;
498          (b) a statement that the affiant has [actual] personal knowledge of the facts and
499     circumstances described in the affidavit;
500          (c) the facts and circumstances testified to by the affiant;
501          (d) a statement that the affidavit is believed to be true and correct and that false
502     statements are subject to penalties for perjury; and
503          (e) the signature of the affiant.
504          Section 9. Section 63A-14-403 is amended to read:
505          63A-14-403. Privacy of ethics complaint -- Dismissal -- Contempt.

506          (1) (a) Except as provided in Subsection (2) or [(3)] (4), a person, including the
507     complainant, the respondent, a commission member, or staff to the commission may not
508     disclose the existence of a complaint, a response, or any information concerning an alleged
509     violation that is the subject of a complaint.
510          (b) A person that violates this Subsection (1) may be held in contempt of the
511     commission in accordance with Section 63A-14-705.
512          (2) The restrictions described in Subsection (1) do not apply to:
513          (a) a complaint or response that is publicly released by the commission and referred to
514     the Legislature; [or]
515          (b) the respondent's voluntary disclosure that the commission determined that all
516     allegations in a complaint are without merit, after the commission issues an order dismissing
517     the complaint under Section 63A-14-605[.];
518          (c) a disclosure by a respondent that is made solely for the purpose of, and only to the
519     extent necessary for, retaining counsel or conducting an interview, seeking evidence, or taking
520     other action to prepare to defend against a complaint;
521          (d) a communication between a commission member and the commission's attorney or
522     a member of the commission's staff; or
523          (e) a disclosure to a person that is determined necessary, by a majority vote of the
524     commission, to conduct the duties of the commission.
525          (3) When a person makes a disclosure under Subsection (2)(c) or (e), the person
526     making the disclosure shall inform the person to whom the disclosure is made of the
527     nondisclosure requirements described in this section.
528          [(3)] (4) Nothing in this section prevents a person from disclosing facts or allegations
529     regarding potential criminal violations to law enforcement authorities.
530          [(4)] (5) If the existence of an ethics complaint is publicly disclosed by a person, other
531     than the respondent [or], an agent of the respondent, or a person who learns of the complaint
532     under Subsection (2)(c) or (e), during the period that the commission is reviewing the
533     complaint, the commission shall summarily dismiss the complaint without prejudice.

534          Section 10. Section 63A-14-405 is enacted to read:
535          63A-14-405. Motion to disqualify commission member for conflict of interest.
536          (1) A complainant may file a motion to disqualify one or more members of the
537     commission from participating in proceedings relating to the complaint if the individual files
538     the motion within 20 days after the later of:
539          (a) the day on which the individual files the ethics complaint; or
540          (b) the day on which the individual knew or should have known of the grounds upon
541     which the motion is based.
542          (2) A respondent may file a motion to disqualify one or more members of the
543     commission from participating in proceedings relating to the complaint if the respondent files
544     the motion within 20 days after the later of:
545          (a) the day on which the respondent receives delivery of the complaint; or
546          (b) the day on which the respondent knew or should have known of the grounds upon
547     which the motion is based.
548          (3) A motion filed under this section shall include:
549          (a) a statement that the members to whom the motion relates have a conflict of interest
550     that, under the circumstances, would lead a reasonable person to question the impartiality of
551     the members;
552          (b) a detailed description of the grounds supporting the statement described in
553     Subsection (3)(a); and
554          (c) a statement that the motion is filed in good faith, supported by an affidavit or
555     declaration under penalty of Section 78B-5-705 stating that the motion and all accompanying
556     statements and documents are true and correct to the best of the complainant's or respondent's
557     knowledge.
558          (4) A party may not file more than one motion to disqualify, unless the second or
559     subsequent motion:
560          (a) is based on grounds of which the party was not aware, and could not have been
561     aware, at the time of the earlier motion; and

562          (b) is accompanied by a statement, included in the affidavit or declaration described in
563     Subsection (3)(c), explaining how and when the party first became aware of the grounds
564     described in Subsection (4)(a).
565          (5) The commission shall dismiss a motion filed under this section, with prejudice, if
566     the motion:
567          (a) is not timely filed; or
568          (b) does not comply with the requirements of this section.
569          (6) A member of the commission may:
570          (a) on the member's own motion, disqualify the member from participating in
571     proceedings relating to a complaint if the member believes that the member has a conflict of
572     interest that, under the circumstances, would lead a reasonable person to question the
573     impartiality of the member; or
574          (b) ask the commission to disqualify another member of the commission if the member
575     believes that the member has a conflict of interest that, under the circumstances, would lead a
576     reasonable person to question the impartiality of the member.
577          (7) (a) When a party files a motion under this section, or when a commission member
578     makes a request under Subsection (6)(b), the commission member for whom disqualification is
579     sought may make the initial determination regarding whether the commission member has a
580     conflict of interest.
581          (b) If a commission member described in Subsection (7)(a) determines that the
582     commission member has a conflict of interest, the commission member shall disqualify the
583     commission member from participating in the matter.
584          (c) If a commission member described in Subsection (7)(a) determines that the
585     commission member does not have a conflict of interest, or declines to make the determination,
586     the remainder of the commission shall, by majority vote, determine whether the commission
587     member has a conflict of interest.
588          (d) A vote of the commission, under Subsection (7)(c), constitutes a final decision on
589     the issue of a conflict of interest.

590          (8) In making a determination under Subsection (7)(c), the commission may:
591          (a) gather additional evidence;
592          (b) hear testimony; or
593          (c) request that the commission member who is the subject of the motion or request file
594     an affidavit or declaration responding to questions posed by the commission.
595          Section 11. Section 63A-14-502 is amended to read:
596          63A-14-502. Initial review of ethics complaint -- Notice.
597          (1) [Within] (a) Except as provided in Subsection (1)(b), within five business days
598     after the day on which the commission receives a complaint, the [staff of] director of the
599     commission, in consultation with the chair, shall examine the complaint to determine if [it] the
600     complaint is in compliance with Sections 63A-14-302 and 63A-14-402.
601          (b) The chair shall appoint another staff member or member of the commission to
602     fulfill a duty described in Subsection (1)(a) if an individual described in Subsection (1)(a) has a
603     conflict of interest in relation to the complaint.
604          (2) If the chair determines that the complaint does not comply with Sections
605     63A-14-302 and 63A-14-402, the chair shall:
606          (a) return the complaint to the first complainant named on the complaint with:
607          (i) a description of the reason for the noncompliance; and
608          (ii) a copy of the applicable provisions of law; and
609          (b) without disclosing the identity of the respondent, notify the other members of the
610     commission that a complaint was filed against an executive branch elected official, but that the
611     complaint was returned for noncompliance with the requirements of this chapter.
612          (3) Each member of the commission and the commission's staff shall keep confidential
613     the fact that a complaint was filed and returned until the commission submits the annual
614     summary data report described in Section 63A-14-203.
615          (4) If a complaint is returned for noncompliance with the requirements of this chapter,
616     the complainants may file another complaint if the new complaint independently meets the
617     requirements of Sections 63A-14-302 and 63A-14-402, including any requirements for timely

618     filing.
619          (5) If the chair determines that a complaint complies with the requirements of this
620     chapter, the chair shall:
621          (a) accept the complaint;
622          (b) notify the members of the commission that:
623          (i) a complaint has been filed against an executive branch elected official; and
624          (ii) the chair has accepted the complaint; and
625          (c) within five business days after the day on which the commission receives the
626     complaint, forward the complaint to the respondent via personal delivery or a delivery method
627     that provides verification of receipt, and include with the complaint notice of the respondent's
628     deadline for filing a response to the complaint.
629          (6) (a) The identity of the respondent and the allegations raised in a complaint are
630     confidential pending the commission's review of the complaint.
631          (b) The fact that a complaint was filed is confidential until the commission publicly
632     discloses the existence of the complaint by:
633          (i) issuing a finding that an allegation in the complaint has merit; or
634          (ii) submitting the annual summary data report described in Section 63A-14-203.
635          Section 12. Section 63A-14-504 is amended to read:
636          63A-14-504. Response to ethics complaint -- Filing -- Form.
637          (1) A respondent shall file a response to a complaint with the commission no later than
638     20 days after the day on which the respondent receives delivery of the complaint.
639          (2) A respondent shall ensure that the response is in writing and contains the following
640     information:
641          (a) the name, address, and telephone number of the respondent;
642          (b) for each alleged violation in the complaint:
643          (i) each affirmative defense asserted in response to the allegation, including a general
644     description of each affirmative defense and the facts and circumstances supporting the defense,
645     supported by one or more affidavits, each of which shall comply with the format described in

646     Subsection (3); and
647          (ii) the facts and circumstances refuting the allegation, which shall be provided by:
648          (A) copies of official records or documentary evidence; or
649          (B) one or more affidavits, each of which shall comply with the format described in
650     Subsection (3);
651          (c) a list of the witnesses that the respondent desires to call, including for each witness:
652          (i) the name, address, and, if available, telephone number of the witness;
653          (ii) a brief summary of the testimony to be provided by the witness; and
654          (iii) a specific description of any documents or evidence that the respondent desires the
655     witness to produce;
656          (d) a statement that the respondent:
657          (i) has reviewed the allegations contained in the complaint and the sworn statements
658     and documents attached to the response; and
659          (ii) believes the contents of the response to be true and accurate; and
660          (e) the signature of the respondent.
661          (3) An affidavit described in Subsection (2)(b) shall include:
662          (a) the name, address, and telephone number of the affiant;
663          (b) a statement that the affiant has [actual] personal knowledge of the facts and
664     circumstances alleged in the affidavit;
665          (c) the facts and circumstances testified to by the affiant;
666          (d) a statement that the affidavit is believed to be true and correct and that false
667     statements are subject to penalties for perjury; and
668          (e) the signature of the affiant.
669          (4) Within five business days after the day on which the commission receives the
670     response, the commission shall provide copies of the response to:
671          (a) each member of the commission; and
672          (b) the first named complainant on the complaint.
673          Section 13. Section 63A-14-604 is amended to read:

674          63A-14-604. Process for making a decision -- Deliberations.
675          (1) (a) After each party presents a closing argument, the commission shall, at the
676     direction of the chair, begin private deliberations.
677          (b) The deliberations described in Subsection (1)(a) may be held:
678          (i) immediately after conclusion of the closing arguments; or
679          (ii) at a future meeting of the commission, on a date and time determined by a majority
680     of the members of the commission.
681          (2) (a) The chair shall conduct the deliberations.
682          (b) Upon a motion made by a commission member, the commission may exclude
683     commission staff from all or a portion of the deliberations by a majority vote of the
684     commission.
685          (3) (a) During deliberations, for each allegation reviewed by the commission, each
686     member shall determine and cast a vote stating whether the allegation is:
687          (i) proved, by clear and convincing evidence, to have merit; or
688          (ii) not proved to have merit.
689          (b) A verbal roll call vote shall be taken on each allegation and each member's vote
690     shall be recorded.
691          (4) (a) An allegation is determined to not have merit unless four of the five members of
692     the commission vote that the allegation has merit.
693          (b) An allegation that is not determined to have merit is dismissed.
694          (5) (a) Before issuing an order or a finding under Section 63A-14-605, the commission
695     may, upon a majority vote, reconsider and hold a new vote on an allegation.
696          (b) A motion to reconsider a vote may only be made by a member of the commission
697     who voted in favor of the vote to be reconsidered.
698          (6) At the conclusion of deliberations, the commission shall prepare an order or a
699     finding in accordance with Section 63A-14-605.
700          (7) The commission may not find that an allegation has merit if the allegation is based
701     on an act by an individual under the authority of the executive branch elected official, unless

702     the commission finds, by clear and convincing evidence, that the executive branch elected
703     official:
704          (a) encouraged, condoned, or ordered the act;
705          (b) (i) before the individual engaged in the act, knew or should have known that the
706     individual was likely to engage in the act; and
707          (ii) failed to take appropriate action to prevent the act;
708          (c) (i) while the individual engaged in the act, knew or should have known that the
709     individual was engaging in the act; and
710          (ii) failed to take appropriate action to stop the act; or
711          (d) (i) after the individual engaged in the act, knew or should have known that the
712     individual engaged in the act; and
713          (ii) failed to take appropriate action in response to the act.
714          (8) The commission may not find that an allegation has merit if the allegation is based
715     on the failure of an individual under the authority of the executive branch elected official to act,
716     unless the commission finds, by clear and convincing evidence, that the executive branch
717     elected official:
718          (a) encouraged, condoned, or ordered the failure to act;
719          (b) (i) before the individual failed to act, knew or should have known that the
720     individual was likely to fail to act; and
721          (ii) failed to take appropriate action to prevent the failure to act;
722          (c) (i) while the individual was failing to act, knew or should have known that the
723     individual was failing to act; and
724          (ii) failed to take appropriate action to prevent the failure to act; or
725          (d) (i) after the individual failed to act, knew or should have known that the individual
726     failed to act; and
727          (ii) failed to take appropriate action in response to the failure to act.
728          Section 14. Section 63A-15-101, which is renumbered from Section 11-49-101 is
729     renumbered and amended to read:

730     
CHAPTER 15. POLITICAL SUBDIVISIONS ETHICS REVIEW COMMISSION

731     
Part 1. General Provisions

732          [11-49-101].      63A-15-101. Title.
733          This chapter is known as "Political Subdivisions Ethics Review Commission."
734          Section 15. Section 63A-15-102, which is renumbered from Section 11-49-102 is
735     renumbered and amended to read:
736          [11-49-102].      63A-15-102. Definitions.
737          (1) "Commission" means the Political Subdivisions Ethics Review Commission
738     established in Section [11-49-201] 63A-15-201.
739          (2) "Complainant" means a person who files a complaint in accordance with Section
740     [11-49-501] 63A-15-501.
741          (3) "Ethics violation" means a violation of:
742          (a) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
743          (b) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
744          (c) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act.
745          (4) "Local political subdivision ethics commission" means an ethics commission
746     established by a political subdivision within the political subdivision or with another political
747     subdivision by interlocal agreement in accordance with Section [11-49-103] 63A-15-103.
748          (5) "Political subdivision" means a county, municipality, school district, community
749     reinvestment agency, local district, special service district, an entity created by an interlocal
750     agreement adopted under Title 11, Chapter 13, Interlocal Cooperation Act, a local building
751     authority, or any other governmental subdivision or public corporation.
752          (6) (a) "Political subdivision employee" means a person who is:
753          (i) (A) in a municipality, employed as a city manager or non-elected chief executive on
754     a full or part-time basis; or
755          (B) employed as the non-elected chief executive by a political subdivision other than a
756     municipality on a full or part-time basis; and
757          (ii) subject to:

758          (A) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
759          (B) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
760          (C) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act.
761          (b) "Political subdivision employee" does not include:
762          (i) a person who is a political subdivision officer;
763          (ii) an employee of a state entity; or
764          (iii) a legislative employee as defined in Section 67-16-3.
765          (7) "Political subdivision governing body" means:
766          (a) for a county, the county legislative body as defined in Section 68-3-12.5;
767          (b) for a municipality, the council of the city or town;
768          (c) for a school district, the local board of education described in Section 53A-3-101;
769          (d) for a community reinvestment agency, the agency board described in Section
770     17C-1-203;
771          (e) for a local district, the board of trustees described in Section 17B-1-301;
772          (f) for a special service district:
773          (i) the legislative body of the county, city, or town that established the special service
774     district, if no administrative control board has been appointed under Section 17D-1-301; or
775          (ii) the administrative control board of the special service district, if an administrative
776     control board has been appointed under Section 17D-1-301;
777          (g) for an entity created by an interlocal agreement, the governing body of an interlocal
778     entity, as defined in Section 11-13-103;
779          (h) for a local building authority, the governing body, as defined in Section 17D-2-102,
780     that creates the local building authority; or
781          (i) for any other governmental subdivision or public corporation, the board or other
782     body authorized to make executive and management decisions for the subdivision or public
783     corporation.
784          (8) (a) "Political subdivision officer" means a person elected in a political subdivision
785     who is subject to:

786          (i) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
787          (ii) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
788          (iii) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act.
789          (b) "Political subdivision officer" does not include:
790          (i) a person elected or appointed to a state entity;
791          (ii) the governor;
792          (iii) the lieutenant governor;
793          (iv) a member or member-elect of either house of the Legislature; or
794          (v) a member of Utah's congressional delegation.
795          (9) "Respondent" means a person who files a response in accordance with Section
796     [11-49-604] 63A-15-604.
797          Section 16. Section 63A-15-103, which is renumbered from Section 11-49-103 is
798     renumbered and amended to read:
799          [11-49-103].      63A-15-103. Local ethics commission permitted -- Filing
800     requirements.
801          (1) A political subdivision, other than a municipality described in Section 10-3-1311 or
802     a county described in Section 17-16a-11, may establish a local political subdivision ethics
803     commission within the political subdivision to review a complaint against a political
804     subdivision officer or employee subject to Title 67, Chapter 16, Utah Public Officers' and
805     Employees' Ethics Act.
806          (2) A political subdivision may enter into an interlocal agreement with another political
807     subdivision, in accordance with Title 11, Chapter 13, Interlocal Cooperation Act, to establish a
808     local political subdivision ethics commission to review a complaint against a political
809     subdivision officer or employee subject to Title 67, Chapter 16, Utah Public Officers' and
810     Employees' Ethics Act.
811          (3) (a) A person filing a complaint for an ethics violation of Title 67, Chapter 16, Utah
812     Public Officers' and Employees' Ethics Act, shall file the complaint with:
813          (i) a local political subdivision ethics commission, if the political subdivision has

814     established a local political subdivision ethics commission under Subsection (1) or (2); or
815          (ii) the commission if the political subdivision has not established a local political
816     subdivision ethics commission.
817          (b) A political subdivision that receives a complaint described in Subsection (3)(a)
818     may:
819          (i) accept the complaint if the political subdivision has established a local political
820     subdivision ethics commission in accordance with Subsection (1) or (2); or
821          (ii) forward the complaint to the commission:
822          (A) regardless of whether the political subdivision has established a local political
823     subdivision ethics commission; or
824          (B) if the political subdivision has not established a local political subdivision ethics
825     commission.
826          Section 17. Section 63A-15-201, which is renumbered from Section 11-49-201 is
827     renumbered and amended to read:
828     
Part 2. Political Subdivisions Ethics Review Commission

829          [11-49-201].      63A-15-201. Commission established -- Membership.
830          (1) There is established a Political Subdivisions Ethics Review Commission.
831          (2) The commission is composed of seven [persons] individuals, each of whom is
832     registered to vote in this state and appointed by the governor with the advice and consent of the
833     Senate, as follows:
834          (a) one member who has served, but no longer serves, as a judge of a court of record in
835     this state;
836          (b) one member who has served as a mayor or municipal council member no more
837     recently than four years before the date of appointment;
838          (c) one member who has served as a member of a local board of education no more
839     recently than four years before the date of appointment;
840          (d) two members who are lay persons; and
841          (e) two members, each of whom is one of the following:

842          (i) a municipal mayor no more recently than four years before the date of appointment;
843          (ii) a municipal council member no more recently than four years before the date of
844     appointment;
845          (iii) a county mayor no more recently than four years before the date of appointment;
846          (iv) a county commissioner no more recently than four years before the date of
847     appointment;
848          (v) a special service district administrative control board member no more recently
849     than four years before the date of appointment;
850          (vi) a local district board of trustees member no more recently than four years before
851     the date of appointment; or
852          (vii) a judge who has served, but no longer serves, as a judge of a court of record in
853     this state.
854          (3) (a) A member of the commission may not, during the member's term of office on
855     the commission, act or serve as:
856          [(a)] (i) a political subdivision officer;
857          [(b)] (ii) a political subdivision employee;
858          [(c)] (iii) an agency head as defined in Section 67-16-3;
859          [(d)] (iv) a lobbyist as defined in Section 36-11-102; or
860          [(e)] (v) a principal as defined in Section 36-11-102.
861          (b) In addition to the seven members described in Subsection (2), the governor shall,
862     with the advice and consent of the Senate, appoint one individual as an alternate member of the
863     commission who:
864          (i) may be a lay person;
865          (ii) shall be registered to vote in the state; and
866          (iii) complies with the requirements described in Subsection (3)(a).
867          (c) The alternate member described in Subsection (3)(b):
868          (i) shall serve as a member of the commission in the place of one of the seven members
869     described in Subsection (2) if that member is temporarily unable or unavailable to participate in

870     a commission function or is disqualified under Section 63A-15-303; and
871          (ii) may not cast a vote on the commission unless the alternate member is serving in
872     the capacity described in Subsection (3)(c)(i).
873          (4) (a) (i) Except as provided in Subsection (4)(a)(ii), each member of the commission
874     shall serve a four-year term.
875          (ii) When appointing the initial members upon formation of the commission, a member
876     described in Subsections (2)(b) through (d) shall be appointed to a two-year term so that
877     approximately half of the commission is appointed every two years.
878          (b) (i) When a vacancy occurs in the commission's membership for any reason, a
879     replacement member shall be appointed for the unexpired term of the vacating member using
880     the procedures and requirements of Subsection (2).
881          (ii) For the purposes of this section, an appointment for an unexpired term of a
882     vacating member is not considered a full term.
883          (c) A member may not be appointed to serve for more than two full terms, whether
884     those terms are two or four years.
885          (d) A member of the commission may resign from the commission by giving one
886     month's written notice of the resignation to the governor.
887          (e) The governor shall remove a member from the commission if the member:
888          (i) is convicted of, or enters a plea of guilty to, a crime involving moral turpitude;
889          (ii) enters a plea of no contest or a plea in abeyance to a crime involving moral
890     turpitude; or
891          (iii) fails to meet the qualifications of office as provided in this section.
892          (f) (i) If a commission member is accused of wrongdoing in a complaint, or if a
893     commission member [determines that the commission member] has a conflict of interest in
894     relation to a [complaint, a temporary commission member shall be appointed to serve in that
895     member's place for the purposes of reviewing that complaint using the procedures and
896     requirements of Subsection (2).] matter before the commission:
897          (A) the alternate member described in Subsection (3)(b) shall serve in the member's

898     place for the purposes of reviewing the complaint; or
899          (B) if the alternate member has already taken the place of another commission member
900     or is otherwise not available, the commission shall appoint another individual to temporarily
901     serve in the member's place for the purposes of reviewing the complaint.
902          (ii) An individual appointed by the commission under Subsection (4)(f)(i)(B):
903          (A) is not required to be confirmed by the Senate;
904          (B) may be a lay person;
905          (C) shall be registered to vote in the state; and
906          (D) shall comply with Subsection (3)(a).
907          (5) (a) Except as provided in Subsection (5)(b)(i), a member of the commission may
908     not receive compensation or benefits for the member's service.
909          (b) (i) A member may receive per diem and expenses incurred in the performance of
910     the member's official duties at the rates established by the Division of Finance under Sections
911     63A-3-106 and 63A-3-107.
912          (ii) A member may decline to receive per diem and expenses for the member's service.
913          (6) [(a)] The commission members shall [convene a meeting annually each January and
914     elect], by a majority vote, elect a commission chair from among the commission members.
915          [(b) A person may not serve as chair for more than two consecutive years.]
916          Section 18. Section 63A-15-202, which is renumbered from Section 11-49-202 is
917     renumbered and amended to read:
918          [11-49-202].      63A-15-202. Meetings -- Staff -- Legal counsel -- Additional
919     appropriations.
920          (1) The commission shall meet for the purpose of reviewing an ethics complaint when:
921          (a) except otherwise expressly provided in this chapter, called to meet at the discretion
922     of the chair; or
923          (b) a majority of members agree to meet.
924          (2) A majority of the commission is a quorum.
925          (3) (a) The commission shall prepare, on an annual basis, a summary data report that

926     contains:
927          (i) a general description of the activities of the commission during the past year;
928          (ii) the number of ethics complaints filed with the commission;
929          (iii) the number of ethics complaints dismissed in accordance with Section [11-49-602]
930     63A-15-602;
931          (iv) the number of ethics complaints reviewed by the commission in accordance with
932     Section [11-49-701] 63A-15-701;
933          (v) an executive summary of each complaint review in accordance with Section
934     [11-49-701] 63A-15-701; and
935          (vi) an accounting of the commission's budget and expenditures.
936          (b) The commission shall submit the summary data report [shall be submitted to the
937     Political Subdivisions Interim Committee] to the governor on an annual basis.
938          (c) The summary data report shall be a public record.
939          (4) (a) The [Senate and the House of Representatives] commission shall employ staff
940     [for the commission] at a level that is reasonable to assist the commission in performing its
941     duties as established in this chapter.
942          [(b) The Legislative Management Committee shall:]
943          [(i) authorize each staff position for the commission; and]
944          [(ii) approve the employment of each staff member for the commission.]
945          [(c)] (b) Staff for the commission [shall work only for the commission and] may not
946     perform services for [the Senate, House of Representatives, other legislative offices, or] a
947     political subdivision.
948          (c) A person employed as staff for the commission may be the same person employed
949     as staff for the Independent Legislative Ethics Commission, if the staff ensures that proper
950     protections are in place to preserve the confidentiality to both bodies and to avoid a conflict of
951     interest.
952          (5) A meeting held by the commission is subject to Title 52, Chapter 4, Open and
953     Public Meetings Act, unless otherwise provided.

954          (6) The commission:
955          (a) is an independent entity established within the department for budgetary and
956     general administrative purposes only;
957          (b) is not under the direction or control of the department, the executive director, or
958     any other officer or employee of the department;
959          (c) shall employ a director to provide administrative support to the commission and to
960     assist the commission in fulfilling the commission's duties;
961          (d) may employ additional staff, to work under the direction of the director;
962          (e) shall contract with private legal counsel to provide legal services to the
963     commission, as needed; and
964          (f) may, in consultation with the Office of the Legislative Fiscal Analyst, request
965     supplemental appropriations to pay the costs of legal fees and other staffing needs that exceed
966     the commission's budget due to the number or complexity of the ethics complaints filed with or
967     considered by the commission in a fiscal year.
968          Section 19. Section 63A-15-301, which is renumbered from Section 11-49-301 is
969     renumbered and amended to read:
970     
Part 3. General Powers and Procedures

971          [11-49-301].      63A-15-301. Authority to review complaint -- Grounds for
972     complaint -- Limitations on filings.
973          (1) Subject to the requirements of this chapter and Section 10-3-1311 or 17-16a-11, the
974     commission is authorized to review an ethics complaint against a political subdivision officer
975     or employee if the complaint alleges:
976          (a) if the applicable political subdivision is a municipality, an ethics violation of Title
977     10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act by:
978          (i) a city manager or non-elected chief executive; or
979          (ii) an elected officer, as defined in Section 10-3-1303;
980          (b) if the applicable political subdivision is a county, an ethics violation of Title 17,
981     Chapter 16a, County Officers and Employees Disclosure Act by:

982          (i) an appointed officer, as defined in Section 17-16a-3;
983          (ii) an elected officer, as defined in Section 17-16a-3; or
984          (iii) an employee subject to Title 17, Chapter 16a, County Officers and Employees
985     Disclosure Act; or
986          (c) for a political subdivision officer or employee other than a municipal officer or
987     employee described in Subsection (1)(a) or a county officer or employee described in
988     Subsection (1)(b), an ethics violation of Title 67, Chapter 16, Utah Public Officers' and
989     Employees' Ethics Act.
990          (2) A complaint described in Subsection (1) shall be filed in accordance with the time
991     limit provisions, if any, of the applicable part or chapter.
992          (3) (a) A complaint may not contain an allegation if that allegation and the general
993     facts and circumstances supporting that allegation have been previously reviewed by a
994     municipal ethics commission established under Section 10-3-1311, a county ethics commission
995     established under Section 17-16a-11, or a local political subdivision ethics commission
996     established under Section [11-49-103] 63A-15-103, as applicable, or the commission unless:
997          (i) the allegation was previously reviewed and dismissed by the commission under
998     Section [11-49-602 or 11-49-701] 63A-15-602 or 63A-15-701;
999          (ii) the allegation is accompanied by material facts or circumstances supporting the
1000     allegation that were not raised or pled to the commission; and
1001          (iii) the allegation and the general facts and circumstances supporting that allegation
1002     have only been reviewed by the commission in accordance with Section [11-49-701]
1003     63A-15-701 on one previous occasion.
1004          (b) The commission may not review a complaint that is currently before:
1005          (i) a municipal ethics commission established under Section 10-3-1311;
1006          (ii) a county ethics commission established under Section 17-16a-11; or
1007          (iii) a local political subdivision ethics commission established under Section
1008     [11-49-103] 63A-15-103.
1009          (c) If an allegation in the complaint does not comply with the requirements of

1010     Subsection (3)(a) or (b), the allegation shall be summarily dismissed with prejudice by:
1011          (i) the chair when reviewing the complaint under Section [11-49-601] 63A-15-601; or
1012          (ii) the commission, when reviewing the complaint under Section [11-49-602 or
1013     11-49-701] 63A-15-602 or 63A-15-701.
1014          (4) A complaint against a political subdivision officer or employee may not allege a
1015     violation by the political subdivision officer or employee for an act by an individual under the
1016     authority of the political subdivision officer or employee, unless the complaint evidences that
1017     the political subdivision officer or employee:
1018          (a) encouraged, condoned, or ordered the act;
1019          (b) (i) before the individual engaged in the act, knew or should have known that the
1020     individual was likely to engage in the act; and
1021          (ii) failed to take appropriate action to prevent the act;
1022          (c) (i) while the individual engaged in the act, knew or should have known that the
1023     individual was engaging in the act; and
1024          (ii) failed to take appropriate action to stop the act; or
1025          (d) (i) after the individual engaged in the act, knew or should have known that the
1026     individual engaged in the act; and
1027          (ii) failed to take appropriate action in response to the act.
1028          (5) A complaint against a political subdivision officer or employee may not allege a
1029     violation by the political subdivision officer or employee for an individual under the authority
1030     of the political subdivision officer or employee failing to act, unless the complaint evidences
1031     that the political subdivision officer or employee:
1032          (a) encouraged, condoned, or ordered the failure to act;
1033          (b) (i) before the individual failed to act, knew or should have known that the
1034     individual was likely to fail to act; and
1035          (ii) failed to take appropriate action to prevent the failure to act;
1036          (c) (i) while the individual was failing to act, knew or should have known that the
1037     individual was failing to act; and

1038          (ii) failed to take appropriate action to prevent the failure to act; or
1039          (d) (i) after the individual failed to act, knew or should have known that the individual
1040     failed to act; and
1041          (ii) failed to take appropriate action in response to the failure to act.
1042          Section 20. Section 63A-15-302, which is renumbered from Section 11-49-302 is
1043     renumbered and amended to read:
1044          [11-49-302].      63A-15-302. General powers -- Jurisdiction.
1045          (1) The commission has jurisdiction only over an individual who is a political
1046     subdivision officer or employee.
1047          (2) The commission shall dismiss an ethics complaint if:
1048          (a) the respondent resigns or is terminated from the political subdivision; or
1049          (b) except as provided in Subsection (3):
1050          (i) the respondent is charged with a criminal violation of:
1051          (A) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
1052          (B) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
1053          (C) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act; and
1054          (ii) the facts and allegations presented in the ethics complaint assert the same or similar
1055     facts and allegations as those asserted in the criminal charges.
1056          (3) If an ethics complaint asserts an ethics violation in addition to a criminal violation
1057     described in Subsection (2)(b), the commission shall:
1058          (a) dismiss an allegation described in Subsection (2)(b)(ii); and
1059          (b) proceed with any remaining allegation in the complaint.
1060          Section 21. Section 63A-15-303 is enacted to read:
1061          63A-15-303. Motion to disqualify commission member for conflict of interest.
1062          (1) A complainant may file a motion to disqualify one or more members of the
1063     commission from participating in proceedings relating to the complaint if the individual files
1064     the motion within 20 days after the later of:
1065          (a) the day on which the individual files the ethics complaint; or

1066          (b) the day on which the individual knew or should have known of the grounds upon
1067     which the motion is based.
1068          (2) A respondent may file a motion to disqualify one or more members of the
1069     commission from participating in proceedings relating to the complaint if the respondent files
1070     the motion within 20 days after the later of:
1071          (a) the day on which the respondent receives delivery of the complaint; or
1072          (b) the day on which the respondent knew or should have known of the grounds upon
1073     which the motion is based.
1074          (3) A motion filed under this section shall include:
1075          (a) a statement that the members to whom the motion relates have a conflict of interest
1076     that, under the circumstances, would lead a reasonable person to question the impartiality of
1077     the members;
1078          (b) a detailed description of the grounds supporting the statement described in
1079     Subsection (3)(a); and
1080          (c) a statement that the motion is filed in good faith, supported by an affidavit or
1081     declaration under penalty of Section 78B-5-705 stating that the motion and all accompanying
1082     statements and documents are true and correct to the best of the complainant's or respondent's
1083     knowledge.
1084          (4) A party may not file more than one motion to disqualify, unless the second or
1085     subsequent motion:
1086          (a) is based on grounds of which the party was not aware, and could not have been
1087     aware, at the time of the earlier motion; and
1088          (b) is accompanied by a statement, included in the affidavit or declaration described in
1089     Subsection (3)(c), explaining how and when the party first became aware of the grounds
1090     described in Subsection (4)(a).
1091          (5) The commission shall dismiss a motion filed under this section, with prejudice, if
1092     the motion:
1093          (a) is not timely filed; or

1094          (b) does not comply with the requirements of this section.
1095          (6) A member of the commission may:
1096          (a) on the member's own motion, disqualify the member from participating in
1097     proceedings relating to a complaint if the member believes that the member has a conflict of
1098     interest that, under the circumstances, would lead a reasonable person to question the
1099     impartiality of the member; or
1100          (b) ask the commission to disqualify another member of the commission if the member
1101     believes that the member has a conflict of interest that, under the circumstances, would lead a
1102     reasonable person to question the impartiality of the member.
1103          (7) (a) When a party files a motion under this section, or a when commission member
1104     makes a request under Subsection (6)(b), the commission member for whom disqualification is
1105     sought may make the initial determination regarding whether the commission member has a
1106     conflict of interest.
1107          (b) If a commission member described in Subsection (7)(a) determines that the
1108     commission member has a conflict of interest, the commission member shall disqualify the
1109     commission member from participating in the matter.
1110          (c) If a commission member described in Subsection (7)(a) determines that the
1111     commission member does not have a conflict of interest, or declines to make the determination,
1112     the remainder of the commission shall, by majority vote, determine whether the commission
1113     member has a conflict of interest.
1114          (d) A vote of the commission, under Subsection (7)(c), constitutes a final decision on
1115     the issue of a conflict of interest.
1116          (8) In making a determination under Subsection (7)(c), the commission may:
1117          (a) gather additional evidence;
1118          (b) hear testimony; or
1119          (c) request that the commission member who is the subject of the motion or request file
1120     an affidavit or declaration responding to questions posed by the commission.
1121          Section 22. Section 63A-15-401, which is renumbered from Section 11-49-401 is

1122     renumbered and amended to read:
1123     
Part 4. Hearing on Ethics Complaint

1124          [11-49-401].      63A-15-401. Hearing on ethics complaint -- General
1125     procedures.
1126          (1) In conducting a hearing on a complaint in accordance with Part 7, Commission
1127     Review of Ethics Violation, the commission shall comply with the following process in the
1128     order specified:
1129          (a) introduction and instructions for procedure and process, at the discretion of the
1130     chair;
1131          (b) complainant's opening argument, to be presented by a complainant or complainant's
1132     counsel;
1133          (c) complainant's presentation of evidence and witnesses in support of allegations in
1134     the complaint;
1135          (d) consideration of motions to dismiss the complaint or motions for a finding of no
1136     cause, as applicable;
1137          (e) respondent's opening argument, to be presented by the respondent or respondent's
1138     counsel;
1139          (f) respondent's presentation of evidence and witnesses refuting allegations in the
1140     complaint;
1141          (g) presentation of rebuttal evidence and witnesses by the complainant, at the
1142     discretion of the chair;
1143          (h) presentation of rebuttal evidence and witnesses by the respondent, at the discretion
1144     of the chair;
1145          (i) complainant's closing argument, to be presented by a complainant or complainant's
1146     counsel;
1147          (j) respondent's closing argument, to be presented by the respondent or respondent's
1148     counsel;
1149          (k) deliberations by the commission; and

1150          (l) adoption of the commission's findings.
1151          (2) The commission may, in extraordinary circumstances, vary the order contained in
1152     Subsection (1) by majority vote and by providing notice to the parties.
1153          (3) The chair may schedule the examination of a witness or evidence subpoenaed at the
1154     request of the chair or the commission under Section [11-49-403] 63A-15-403 at the chair's
1155     discretion.
1156          Section 23. Section 63A-15-402, which is renumbered from Section 11-49-402 is
1157     renumbered and amended to read:
1158          [11-49-402].      63A-15-402. Chair as presiding officer.
1159          (1) Except as expressly provided otherwise in this chapter, the chair of the commission
1160     is vested with the power to direct the commission during meetings authorized by this chapter.
1161          (2) Unless expressly prohibited from doing so under this chapter, the commission may
1162     overrule a decision of the chair by using the following procedure:
1163          (a) If a member objects to a decision of the chair, that member may appeal the decision
1164     by stating:
1165          (i) "I appeal the decision of the chair."; and
1166          (ii) the basis for the objection.
1167          (b) A motion described in Subsection (2)(a) is nondebatable.
1168          (c) The chair shall direct a roll call vote to determine if the commission supports the
1169     decision of the chair.
1170          (d) A majority vote of the commission is necessary to overrule the decision of the
1171     chair.
1172          (3) The chair may set time limitations on any part of a meeting or hearing authorized
1173     by this chapter.
1174          Section 24. Section 63A-15-403, which is renumbered from Section 11-49-403 is
1175     renumbered and amended to read:
1176          [11-49-403].      63A-15-403. Subpoena powers.
1177          (1) Except for a preliminary review described in Section [11-49-602] 63A-15-602, for

1178     a proceeding authorized by this chapter, the commission may issue a subpoena to:
1179          (a) require the attendance of a witness;
1180          (b) direct the production of evidence; or
1181          (c) require both the attendance of a witness and the production of evidence.
1182          (2) The commission shall issue a subpoena:
1183          (a) in accordance with Section [11-49-405] 63A-15-405;
1184          (b) at the direction of the commission chair, if the chair determines that the testimony
1185     or evidence is relevant to the review of a complaint under Part 7, Commission Review of
1186     Ethics [Violations] Violation; or
1187          (c) upon a vote of a majority of the commission members.
1188          (3) If the commission issues a subpoena authorized under this section, the commission
1189     shall give a reasonable period of time for the person or entity to whom the subpoena is directed
1190     to petition a district court to quash or modify the subpoena before the time specified in the
1191     subpoena for compliance.
1192          Section 25. Section 63A-15-404, which is renumbered from Section 11-49-404 is
1193     renumbered and amended to read:
1194          [11-49-404].      63A-15-404. Contempt of the commission.
1195          (1) (a) The following actions constitute contempt of the commission in relation to
1196     actions and proceedings under this chapter:
1197          (i) disobedience to a direction of the commission chair;
1198          (ii) failure, without legal justification, to answer a question during a hearing when
1199     directed to do so by:
1200          (A) the commission chair, unless the direction is overridden by the commission in
1201     accordance with Section [11-49-402] 63A-15-402; or
1202          (B) a majority of the commission;
1203          (iii) failure to comply with a subpoena or other order issued under authority of this
1204     chapter;
1205          (iv) violation of privacy provisions established by Section [11-49-502] 63A-15-502;

1206          (v) violation of the communication provisions established by Section [11-49-407]
1207     63A-15-407;
1208          (vi) violation of a request to comply with a provision of this chapter by a chair or a
1209     majority of the members of the commission; or
1210          (vii) any other ground that is specified in statute or recognized by common law.
1211          (b) Because the purpose of the Fifth Amendment privilege not to incriminate oneself is
1212     to prevent prosecution for criminal action, it is improper for a witness to invoke the Fifth
1213     Amendment privilege if the witness cannot be prosecuted for the crime to which the witness's
1214     testimony relates.
1215          (2) (a) The following persons may authorize an enforcement action against a person in
1216     contempt of the commission under the provisions of this chapter:
1217          (i) the commission chair, subject to the provisions of Section [11-49-402] 63A-15-402;
1218     or
1219          (ii) members of the commission, by means of a majority vote.
1220          (b) In initiating and pursuing an action against an individual for contempt of the
1221     commission, the plaintiff shall comply with the procedures and requirements of Section
1222     [11-49-405] 63A-15-405.
1223          Section 26. Section 63A-15-405, which is renumbered from Section 11-49-405 is
1224     renumbered and amended to read:
1225          [11-49-405].      63A-15-405. Order to compel -- Enforcement.
1226          (1) (a) When the subject of a subpoena issued in accordance with Section [11-49-403]
1227     63A-15-403 disobeys or fails to comply with the subpoena, or if a person appears before the
1228     commission pursuant to a subpoena and refuses to testify to a matter upon which the person
1229     may be lawfully interrogated, the commission may:
1230          (i) file a motion for an order to compel obedience to the subpoena with the district
1231     court within the jurisdiction of the applicable political subdivision;
1232          (ii) file, with the district court, a motion for an order to show cause why the penalties
1233     established in Title 78B, Chapter 6, Part 3, Contempt, should not be imposed upon the person

1234     named in the subpoena for contempt of the commission; or
1235          (iii) pursue other remedies against persons in contempt of the commission.
1236          (b) (i) Upon receipt of a motion under this section, the court shall expedite the hearing
1237     and decision on the motion.
1238          (ii) A court may:
1239          (A) order the person named in the subpoena to comply with the subpoena; and
1240          (B) impose any penalties authorized by Title 78B, Chapter 6, Part 3, Contempt, upon
1241     the person named in the subpoena for contempt of the commission.
1242          (2) (a) If a commission subpoena requires the production of accounts, books, papers,
1243     documents, or other tangible things, the person or entity to whom the subpoena is directed may
1244     petition a district court to quash or modify the subpoena at or before the time specified in the
1245     subpoena for compliance.
1246          (b) The commission may respond to a motion to quash or modify the subpoena by
1247     pursuing any remedy authorized by Subsection (1).
1248          (c) If the court finds that a commission subpoena requiring the production of accounts,
1249     books, papers, documents, or other tangible things is unreasonable or oppressive, the court may
1250     quash or modify the subpoena.
1251          (3) Nothing in this section prevents the commission from seeking an extraordinary writ
1252     to remedy contempt of the commission.
1253          (4) Any party aggrieved by a decision of a court under this section may appeal that
1254     action directly to the Utah Supreme Court.
1255          Section 27. Section 63A-15-406, which is renumbered from Section 11-49-406 is
1256     renumbered and amended to read:
1257          [11-49-406].      63A-15-406. Testimony and examination of witnesses -- Oath
1258     -- Procedure -- Contempt.
1259          (1) (a) The chair shall ensure that each witness listed in the complaint and response is
1260     subpoenaed for appearance at the hearing unless:
1261          (i) the witness is unable to be properly identified or located; or

1262          (ii) service is otherwise determined to be impracticable.
1263          (b) The chair shall determine the scheduling and order of witnesses and presentation of
1264     evidence.
1265          (c) The commission may, by majority vote:
1266          (i) overrule the chair's decision not to subpoena a witness under Subsection (1)(a);
1267          (ii) modify the chair's determination on the scheduling and order of witnesses under
1268     Subsection (1)(b);
1269          (iii) decline to hear or call a witness that has been requested by the complainant or
1270     respondent;
1271          (iv) decline to review or consider evidence submitted in relation to an ethics complaint;
1272     or
1273          (v) request and subpoena witnesses or evidence according to the procedures of Section
1274     [11-49-403] 63A-15-403.
1275          (2) (a) Each witness shall testify under oath.
1276          (b) The chair or the chair's designee shall administer the oath to each witness.
1277          (3) After the oath has been administered to the witness, the chair shall direct testimony
1278     as follows:
1279          (a) allow the party that has called the witness, or that party's counsel, to question the
1280     witness;
1281          (b) allow the opposing party, or that party's counsel, to cross-examine the witness;
1282          (c) allow additional questioning by a party or a party's counsel as appropriate;
1283          (d) give commission members the opportunity to question the witness; and
1284          (e) as appropriate, allow further examination of the witness by the commission, or the
1285     parties or their counsel.
1286          (4) (a) If the witness, a party, or a party's counsel objects to a question, the chair shall:
1287          (i) direct the witness to answer; or
1288          (ii) rule that the witness is not required to answer the question.
1289          (b) If the witness declines to answer a question after the chair or a majority of the

1290     commission determines that the witness is required to answer the question, the witness may be
1291     held in contempt as provided in Section [11-49-404] 63A-15-404.
1292          (5) (a) The chair or a majority of the members of the commission may direct a witness
1293     to furnish any relevant evidence for consideration if the witness has brought the material
1294     voluntarily or has been required to bring it by subpoena.
1295          (b) If the witness declines to provide evidence in response to a subpoena, the witness
1296     may be held in contempt as provided in Section [11-49-404] 63A-15-404.
1297          Section 28. Section 63A-15-407, which is renumbered from Section 11-49-407 is
1298     renumbered and amended to read:
1299          [11-49-407].      63A-15-407. Communications of commission members.
1300          (1) As used in this section, "third party" means a person who is not a member of the
1301     commission or staff to the commission.
1302          (2) While a complaint is under review by the commission, a member of the
1303     commission may not initiate or consider any communications concerning the complaint with a
1304     third party unless:
1305          (a) the communication is expressly permitted under the procedures established by this
1306     chapter; or
1307          (b) the communication is made by the third party, in writing, simultaneously to:
1308          (i) all members of the commission; and
1309          (ii) a staff member of the commission.
1310          (3) While the commission is reviewing a complaint under this chapter, a commission
1311     member may communicate outside of a meeting, hearing, or deliberation with another member
1312     of, or staff to, the commission, only if the member's communication does not materially
1313     compromise the member's responsibility to independently review and make decisions in
1314     relation to the complaint.
1315          Section 29. Section 63A-15-408, which is renumbered from Section 11-49-408 is
1316     renumbered and amended to read:
1317          [11-49-408].      63A-15-408. Attorney fees and costs.

1318          (1) A person filing a complaint under this chapter:
1319          (a) may, but is not required to, retain legal representation during the complaint review
1320     process; and
1321          (b) is responsible for payment of complainant's attorney fees and costs incurred.
1322          (2) (a) A respondent against whom a complaint is filed under this chapter [may]:
1323          (i) may, but is not required to, retain legal representation during the complaint review
1324     process; [and]
1325          (ii) except as provided in Subsection (2)(a)(iii), is responsible for payment of the
1326     respondent's attorney fees and costs incurred; and
1327          (iii) may be entitled to the provision of legal defense by the political subdivision in
1328     accordance with Section 63G-7-902.
1329          (b) For purposes of Subsection (2)(a)[(ii)](iii), a complaint filed against a respondent in
1330     accordance with this chapter shall constitute an action against a governmental employee in
1331     accordance with Section 63G-7-902.
1332          (3) (a) An attorney participating in a hearing before the commission shall comply with:
1333          (i) the Rules of Professional Conduct established by the Utah Supreme Court;
1334          (ii) the procedures and requirements of this chapter; and
1335          (iii) the directions of the chair and commission.
1336          (b) A violation of Subsection (3)(a) may constitute:
1337          (i) contempt of the commission under Section [11-49-404] 63A-15-404; or
1338          (ii) a violation of the Rules of Professional Conduct subject to enforcement by the Utah
1339     State Bar.
1340          Section 30. Section 63A-15-501, which is renumbered from Section 11-49-501 is
1341     renumbered and amended to read:
1342     
Part 5. Complaint of Ethics Violation

1343          [11-49-501].      63A-15-501. Ethics complaints -- Who may file -- Form.
1344          (1) (a) Notwithstanding any other provision, the following may file a complaint,
1345     subject to the requirements of Subsections (1)(b) and (c) and Section [11-49-301] 63A-15-301,

1346     against a political subdivision officer or employee:
1347          (i) two or more registered voters who reside within the boundaries of a political
1348     subdivision;
1349          (ii) two or more registered voters who pay a fee or tax to a political subdivision; or
1350          (iii) one or more registered voters who reside within the boundaries of a political
1351     subdivision and one or more registered voters who pay a fee or tax to the political subdivision.
1352          (b) A person described in Subsection (1)(a) may not file a complaint unless at least one
1353     person described in Subsection (1)(a)(i), (ii), or (iii) has actual knowledge of the facts and
1354     circumstances supporting the alleged ethics violation.
1355          (c) A complainant may file a complaint only against an individual who, on the date that
1356     the complaint is filed, is serving as a political subdivision officer or is a political subdivision
1357     employee.
1358          (2) (a) The [lieutenant governor] commission shall post, on the [homepage of the
1359     lieutenant governor's] state's website, a conspicuous and clearly identified link to the name and
1360     address of an individual authorized to accept a complaint on behalf of the commission.
1361          (b) A complainant shall file a complaint with the individual described in Subsection
1362     (2)(a).
1363          (c) An individual may not file a complaint during the 60 calendar days immediately
1364     preceding:
1365          (i) a regular primary election, if the accused political subdivision officer is a candidate
1366     in the primary election; or
1367          (ii) a regular general election in which an accused political subdivision officer is a
1368     candidate, unless the accused political subdivision officer is unopposed in the election.
1369          (3) A complainant shall ensure that each complaint filed under this section is in writing
1370     and contains the following information:
1371          (a) the name and position of the political subdivision officer or employee alleged to be
1372     in violation;
1373          (b) the name, address, and telephone number of each individual who is filing the

1374     complaint;
1375          (c) a description of each alleged ethics violation, as applicable of:
1376          (i) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
1377          (ii) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
1378          (iii) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act;
1379          (d) include for each alleged ethics violation:
1380          (i) a reference to the section of the code alleged to have been violated;
1381          (ii) the name of the complainant who has actual knowledge of the facts and
1382     circumstances supporting each allegation; and
1383          (iii) with reasonable specificity, the facts and circumstances supporting each allegation,
1384     which shall be provided by:
1385          (A) copies of official records or documentary evidence; or
1386          (B) one or more affidavits that include the information required in Subsection (4);
1387          (e) a list of the witnesses that a complainant wishes to have called, including for each
1388     witness:
1389          (i) the name, address, and, if available, one or more telephone numbers of the witness;
1390          (ii) a brief summary of the testimony to be provided by the witness; and
1391          (iii) a specific description of any documents or evidence a complainant desires the
1392     witness to produce;
1393          (f) a statement that each complainant:
1394          (i) has reviewed the allegations contained in the complaint and the sworn statements
1395     and documents attached to the complaint;
1396          (ii) believes that the complaint is submitted in good faith and not for any improper
1397     purpose such as for the purpose of harassing the respondent, causing unwarranted harm to the
1398     respondent's reputation, or causing unnecessary expenditure of public funds; and
1399          (iii) believes the allegations contained in the complaint to be true and accurate; and
1400          (g) the signature of each complainant.
1401          (4) An affidavit described in Subsection (3)(d)(iii)(B) shall include:

1402          (a) the name, address, and telephone number of the signer;
1403          (b) a statement that the signer has actual knowledge of the facts and circumstances
1404     alleged in the affidavit;
1405          (c) the facts and circumstances testified by the signer;
1406          (d) a statement that the affidavit is believed to be true and correct and that false
1407     statements are subject to penalties of perjury; and
1408          (e) the signature of the signer.
1409          Section 31. Section 63A-15-502, which is renumbered from Section 11-49-502 is
1410     renumbered and amended to read:
1411          [11-49-502].      63A-15-502. Privacy of ethics complaint -- Contempt --
1412     Enforcement of finding of contempt -- Dismissal.
1413          (1) (a) Except as otherwise provided in [Subsection (1)(b) or (c)] this chapter, a person,
1414     including a complainant, the respondent, a commission member, or staff to the commission,
1415     may not disclose the existence of a complaint, a response, nor any information concerning any
1416     alleged ethics violation that is the subject of a complaint[:].
1417          [(i) unless otherwise provided in this chapter; or]
1418          [(ii) after a complaint is presented at the meeting described in Section 11-49-701.]
1419          (b) The restrictions in Subsection (1)(a) do not apply to:
1420          (i) the respondent's voluntary disclosure of a finding by the commission that no
1421     allegations in a complaint were proved after that finding is issued by the commission under the
1422     procedures and requirements of Section [11-49-602.] 63A-15-602;
1423          [(c) Nothing in this section shall prevent a person from disclosing]
1424          (ii) this disclosure of facts or allegations about potential criminal violations to a law
1425     enforcement authority[.];
1426          [(d) Nothing in this section may be construed to hinder or prevent a respondent from
1427     preparing a defense to a complaint, including contacting a witness or other actions in
1428     preparation for review by the commission.]
1429          (iii) a disclosure by a respondent that is made solely for the purpose of, and only to the

1430     extent necessary for, retaining counsel, conducting an interview, seeking evidence, or taking
1431     other action to prepare to defend against a complaint;
1432          (iv) a communication between a commission member and the commission's attorney or
1433     a member of the commission's staff; or
1434          (v) a disclosure to a person that is determined necessary, by a majority vote of the
1435     commission, to conduct the duties of the commission.
1436          (2) When a person makes a disclosure under Subsection (1)(b)(iii) or (v), the person
1437     making the disclosure shall inform the person to whom the disclosure is made of the
1438     nondisclosure requirements described in this section.
1439          (3) After the commission issues an order under Subsection 63A-15-704(2), the
1440     commission may disclose the portion of the complaint, a response, and other information
1441     relating to an alleged ethics violation that the commission determines is proved.
1442          [(2)] (4) A person who violates the provisions of Subsection (1)(a) is in contempt of
1443     the commission and proceedings may be initiated to enforce the finding of contempt using the
1444     procedures provided in Sections [11-49-404 and 11-49-405] 63A-15-404 and 63A-15-405.
1445          [(3) If the existence of an ethics complaint is publicly disclosed before or during the
1446     preliminary review period described in Section 11-49-602, the complaint shall be summarily
1447     dismissed without prejudice.]
1448          (5) If, before the commission issues an order in relation to an ethics complaint under
1449     Section 63A-15-704, the existence of the ethics complaint is publicly disclosed by a person
1450     other than the respondent, an agent of the respondent, or a person who learns of the complaint
1451     under Subsection (1)(b)(iii) or (v), the commission shall summarily dismiss the complaint
1452     without prejudice.
1453          Section 32. Section 63A-15-601, which is renumbered from Section 11-49-601 is
1454     renumbered and amended to read:
1455          [11-49-601].      63A-15-601. Review of ethics complaint for compliance with
1456     form requirements -- Independent requirements for complaint -- Notice.
1457          (1) Within [five] 10 business days after receipt of a complaint, the staff of the

1458     commission, in consultation with the chair of the commission, shall examine the complaint to
1459     determine if it is in compliance with Sections [11-49-301 and 11-49-501] 63A-15-301 and
1460     63A-15-501.
1461          (2) (a) If the chair determines that the complaint does not comply with Sections
1462     [11-49-301 and 11-49-501] 63A-15-301 and 63A-15-501, the chair shall:
1463          (i) return the complaint to the first complainant named on the complaint with:
1464          (A) a statement detailing the reason for the non-compliance; and
1465          (B) a copy of the applicable provisions in this chapter; and
1466          (ii) notify the applicable political subdivision governing body that:
1467          (A) a complaint was filed against an unidentified political subdivision officer or
1468     employee but was returned for non-compliance with this chapter; and
1469          (B) the fact that a complaint was filed and returned shall be kept confidential until the
1470     commission submits its annual summary data report as required by Section [11-49-202]
1471     63A-15-202.
1472          (b) If a complaint is returned for non-compliance with the requirements of this chapter,
1473     a complainant may file another complaint if the new complaint independently meets the
1474     requirements of Sections [11-49-301 and 11-49-501] 63A-15-301 and 63A-15-501, including
1475     any requirements for timely filing.
1476          (3) If the chair determines that the complaint complies with the requirements of this
1477     section, the chair shall:
1478          (a) accept the complaint;
1479          (b) notify each member of the commission that the complaint has been filed and
1480     accepted;
1481          (c) notify the applicable political subdivision that:
1482          (i) a complaint has been filed against an unidentified political subdivision officer or
1483     employee;
1484          (ii) the identity of the political subdivision officer or employee and the allegations
1485     raised in the complaint are confidential pending the commission's preliminary review of the

1486     complaint; and
1487          (iii) the fact that a complaint was filed shall be kept confidential until the commission
1488     publicly discloses the existence of the complaint via:
1489          (A) notice of the commission's review of a complaint in accordance with Section
1490     [11-49-701] 63A-15-701; or
1491          (B) submission of the commission's annual summary data report as required in Section
1492     [11-49-202] 63A-15-202; and
1493          (d) promptly forward the complaint to the political subdivision officer or employee
1494     who is the subject of the ethics complaint via personal delivery or a delivery method that
1495     provides verification of receipt, together with a copy of this chapter and notice of the officer's
1496     or employee's deadline for filing a response to the complaint if the complaint is not dismissed
1497     under Section [11-49-602] 63A-15-602.
1498          Section 33. Section 63A-15-602, which is renumbered from Section 11-49-602 is
1499     renumbered and amended to read:
1500          [11-49-602].      63A-15-602. Preliminary review of complaint -- Standard of
1501     proof -- Notice.
1502          (1) (a) By no later than 10 calendar days after the day on which a complaint is accepted
1503     under Section [11-49-601] 63A-15-601, the commission chair shall:
1504          (i) schedule a commission meeting on a date no later than 60 calendar days after the
1505     date on which the commission accepts the complaint;
1506          (ii) place the complaint on the agenda for consideration at the meeting;
1507          (iii) provide a copy of the complaint to the members; and
1508          (iv) provide notice of the date, time, and location of the meeting:
1509          (A) to the respondent;
1510          (B) the first complainant named in the complaint;
1511          (C) each commission member; and
1512          (D) in accordance with Section 52-4-202.
1513          (b) The meeting described in Subsection (1)(a)(ii) is closed to the public in accordance

1514     with Section 52-4-204.
1515          (2) (a) At the meeting described in Subsection (1)(a)(i):
1516          (i) the commission members shall review each allegation in the complaint;
1517          (ii) the commission may not receive testimony, hear a motion from a party, or admit
1518     evidence; and
1519          (iii) the chair shall conduct deliberations.
1520          (b) The commission may, if necessary:
1521          (i) request a formal response or affidavit from a respondent; and
1522          (ii) review the response or affidavit at the meeting.
1523          (c) Upon a motion made by a commission member, the commission may exclude
1524     commission staff from all or a portion of the deliberations by a majority vote.
1525          (3) (a) During deliberations, each commission member shall, for each allegation,
1526     determine:
1527          (i) whether the facts alleged, if true, would be an ethics violation;
1528          (ii) whether the complaint includes an affidavit from a person with firsthand
1529     knowledge of alleged facts described in Subsection (3)(a)(i); and
1530          (iii) whether the complaint is frivolous or solely for a political purpose.
1531          (b) A commission member shall vote to forward an allegation in a complaint for a final
1532     commission review in accordance with Part 7, Commission Review of Ethics Violation, if the
1533     commission member determines:
1534          (i) an allegation, if true, would be an ethics violation;
1535          (ii) the complaint contains an affidavit with firsthand knowledge of the allegation
1536     under Subsection (3)(a)(ii); and
1537          (iii) the allegation is not frivolous or solely for a political purpose.
1538          (4) (a) A verbal roll call vote shall be taken on each allegation and each member's vote
1539     shall be recorded.
1540          (b) The commission may not review an allegation for a final determination under Part
1541     7, Commission Review of Ethics Violation, unless six of the seven members of the

1542     commission vote to review the allegation.
1543          (5) (a) An allegation that is not forwarded for a final determination is dismissed.
1544          (b) Before the commission issues an order in accordance with this section, the
1545     commission may, upon a majority vote, reconsider and hold a new vote on an allegation.
1546          (c) A motion to reconsider a vote may only be made by a member of the commission
1547     who voted that the allegation should not be forwarded for a final determination.
1548          (6) (a) If each allegation stated in a complaint is dismissed in accordance with this
1549     section, the commission shall:
1550          (i) issue and enter into the record an order that the complaint is dismissed because no
1551     allegations, in accordance with this section, were forwarded for a final determination;
1552          (ii) classify all recordings, testimony, evidence, orders, findings, and other records
1553     directly relating to the meetings authorized by this part as private records under Section
1554     63G-2-302;
1555          (iii) provide notice of the determination, in a manner determined by the chair, to:
1556          (A) the respondent;
1557          (B) the first complainant named on the complaint; and
1558          (C) subject to Subsection (6)(b), the appropriate political subdivision; and
1559          (iv) provide notice to each person or entity named in Subsections (6)(a)(iii)(A) through
1560     (C) that, under provisions of Section [11-49-502] 63A-15-502 and other provisions of this
1561     chapter, a person who discloses the findings of the commission in violation of any provision of
1562     this chapter is in contempt of the commission and is subject to penalties for contempt.
1563          (b) The notification to the appropriate political subdivision shall notify the political
1564     subdivision that:
1565          (i) a complaint against an unidentified political subdivision officer or employee has
1566     been dismissed; and
1567          (ii) the fact that a complaint was filed shall be kept confidential until the commission
1568     publicly discloses the existence of the complaint via submission of the commission's annual
1569     summary data report as required in Section [11-49-202] 63A-15-202.

1570          (7) If one or more of the allegations stated in a complaint are not dismissed in
1571     accordance with this section, the commission shall:
1572          (a) issue and enter into the record:
1573          (i) an order for each allegation that is dismissed, if any, because the allegation was not
1574     forwarded for a final determination; and
1575          (ii) an order for further review under Part 7, Commission Review of Ethics Violation,
1576     of each allegation that is not dismissed;
1577          (b) classify all recordings, orders, findings, and other records or documents directly
1578     relating to a meeting authorized by this section as private records under Section 63G-2-302;
1579          (c) if an allegation was dismissed, provide notice of the determination for each
1580     allegation dismissed in a manner determined by the chair, to:
1581          (i) the respondent;
1582          (ii) the first complainant named on the complaint; and
1583          (iii) subject to Subsection (8), the appropriate political subdivision; and
1584          (d) provide notice to each person or entity named in Subsections (7)(c)(i) through (iii)
1585     that:
1586          (i) under provisions of Section [11-49-502] 63A-15-502 and other provisions of this
1587     chapter, a person who discloses the findings of the commission under this section in violation
1588     of any provision of this chapter is in contempt of the commission and is subject to penalties for
1589     contempt; and
1590          (ii) the commission shall review the remaining allegations in the complaint at a
1591     meeting described in Section [11-49-603] 63A-15-603 and in accordance with Part 7,
1592     Commission Review of Ethics Violation.
1593          (8) The notification to the appropriate political subdivision shall notify the political
1594     subdivision that:
1595          (a) an unspecified allegation in a complaint against an unidentified political
1596     subdivision officer or employee has been dismissed; and
1597          (b) the fact that a complaint was filed shall be kept confidential until the commission

1598     publicly discloses the existence of the complaint in accordance with the provisions of this
1599     chapter.
1600          (9) For a complaint described in Subsection (7), the commission members shall ensure
1601     that, within five business days after the day of the meeting described in Subsection (1)(a)(ii),
1602     the complaint is redacted to remove references to an allegation that is dismissed under this
1603     section.
1604          (10) The chair shall ensure that a record of the meeting held under this section is kept
1605     in accordance with Section [11-49-702] 63A-15-702.
1606          Section 34. Section 63A-15-603, which is renumbered from Section 11-49-603 is
1607     renumbered and amended to read:
1608          [11-49-603].      63A-15-603. Meeting of the commission to review a
1609     complaint -- Procedures.
1610          By no later than 10 calendar days after the day on which a complaint is accepted under
1611     Section [11-49-602] 63A-15-602 for further review, the commission chair shall:
1612          (1) schedule a commission meeting on a date no later than [45] 60 calendar days after
1613     the date on which the commission votes to forward a complaint for final determination in
1614     accordance with Section [11-49-602] 63A-15-602;
1615          (2) place the complaint on the agenda for consideration at the meeting described in
1616     Subsection (1);
1617          (3) provide notice of the date, time, and location of the meeting:
1618          (a) to:
1619          (i) the members of the commission;
1620          (ii) the first complainant named in the complaint; and
1621          (iii) the respondent; and
1622          (b) in accordance with Section 52-4-202; and
1623          (4) provide a copy of the complaint or redacted complaint, as required in Section
1624     [11-49-602] 63A-15-602, to each member of the commission.
1625          Section 35. Section 63A-15-604, which is renumbered from Section 11-49-604 is

1626     renumbered and amended to read:
1627          [11-49-604].      63A-15-604. Response to ethics complaint -- Filing -- Form.
1628          (1) The political subdivision officer or employee who is the subject of the complaint
1629     may file a response to the complaint no later than 30 days after the day on which the officer or
1630     employee receives delivery of an order issued by the commission under Subsection
1631     [11-49-602] 63A-15-602(7).
1632          (2) The respondent shall file the response with the commission and ensure that the
1633     response is in writing and contains the following information:
1634          (a) the name, address, and telephone number of the respondent;
1635          (b) for each alleged ethics violation in the complaint:
1636          (i) each affirmative defense asserted in response to the allegation, including a general
1637     description of each affirmative defense and the facts and circumstances supporting the defense
1638     to be provided by one or more affidavits, each of which shall comply with Subsection (4);
1639          (ii) the facts and circumstances refuting the allegation, which shall be provided by:
1640          (A) copies of official records or documentary evidence; or
1641          (B) one or more affidavits, each of which shall comply with Subsection (4);
1642          (c) a list of the witnesses that the respondent wishes to have called, including for each
1643     witness:
1644          (i) the name, address, and, if available, telephone number of the witness;
1645          (ii) a brief summary of the testimony to be provided by the witness; and
1646          (iii) a specific description of any documents or evidence the respondent desires the
1647     witness to produce;
1648          (d) a statement that the respondent:
1649          (i) has reviewed the allegations contained in the complaint and the sworn statements
1650     and documents attached to the response; and
1651          (ii) believes the contents of the response to be true and accurate; and
1652          (e) the signature of the respondent.
1653          (3) Promptly after receiving the response, the commission shall provide copies of the

1654     response to:
1655          (a) each member of the commission; and
1656          (b) the first named complainant on the complaint.
1657          (4) An affidavit described in Subsection (2)(b)(i) or (2)(b)(ii)(B) shall include the
1658     following information:
1659          (a) the name, address, and telephone number of the signer;
1660          (b) a statement that the signer has actual knowledge of the facts and circumstances
1661     alleged in the affidavit;
1662          (c) the facts and circumstances testified to by the signer;
1663          (d) a statement that the affidavit is believed to be true and correct and that false
1664     statements are subject to penalties of perjury; and
1665          (e) the signature of the signer.
1666          Section 36. Section 63A-15-701, which is renumbered from Section 11-49-701 is
1667     renumbered and amended to read:
1668     
Part 7. Commission Review of Ethics Violation

1669          [11-49-701].      63A-15-701. Commission review of ethics violation.
1670          (1) The scope of a review by the commission is limited to an alleged ethics violation
1671     stated in a complaint that has not been previously dismissed under Section [11-49-602]
1672     63A-15-602.
1673          (2) (a) Before holding the meeting for review of the complaint, the commission chair
1674     may schedule a separate meeting of the commission for the purposes of:
1675          (i) hearing motions or arguments from the parties, including hearing motions or
1676     arguments relating to dismissal of a complaint, admission of evidence, or procedures;
1677          (ii) holding a vote of the commission, with or without the attendance of the parties, on
1678     procedural or commission business matters relating to a complaint; or
1679          (iii) reviewing a complaint, with or without the attendance of the parties, to determine
1680     if the complaint should be dismissed in whole or in part, by means of a majority vote of the
1681     commission, because the complaint pleads facts or circumstances against a political

1682     subdivision officer or employee that have already been reviewed by, as provided in Section
1683     [11-49-301] 63A-15-301, the commission, a municipal ethics commission established in
1684     accordance with Section 10-3-1311, a county ethics commission established in accordance with
1685     Section 17-16a-11, or a local political subdivision ethics commission established in accordance
1686     with Section [11-49-103] 63A-15-103.
1687          (b) Notwithstanding Section [11-49-603] 63A-15-603, the commission may, by a
1688     majority vote, change the date of the meeting for review of the complaint in order to
1689     accommodate:
1690          (i) a meeting authorized under Subsection (2)(a); or
1691          (ii) necessary scheduling requirements.
1692          (3) (a) The commission shall comply with the Utah Rules of Evidence except where
1693     the commission determines, by majority vote, that a rule is not compatible with the
1694     requirements of this chapter.
1695          (b) The chair shall make rulings on admissibility of evidence consistent with the
1696     provisions of Section [11-49-402] 63A-15-402.
1697          (4) (a) A meeting or hearing authorized in this part is open to the public except as
1698     provided in Section 52-4-204.
1699          (b) The following individuals may be present during the presentation of testimony and
1700     evidence to the commission:
1701          (i) the complainant;
1702          (ii) the complainant's counsel, if applicable;
1703          (iii) the respondent;
1704          (iv) the respondent's counsel, if applicable;
1705          (v) members of the commission;
1706          (vi) staff to the commission;
1707          (vii) a witness, while testifying before the commission; and
1708          (viii) necessary security personnel.
1709          (c) The commission may, in accordance with Section 52-4-204, close a meeting to:

1710          (i) seek or obtain legal advice on legal, evidentiary, or procedural matters; or
1711          (ii) conduct deliberations to reach a decision on the complaint.
1712          (5) If a majority of the commission determines that a continuance is necessary to obtain
1713     further evidence and testimony, to accommodate administrative needs, or to accommodate the
1714     attendance of commission members, witnesses, or a party, the commission shall:
1715          (a) adjourn and continue the meeting to a future date and time after notice to the
1716     parties; and
1717          (b) establish that future date and time by majority vote.
1718          (6) A record, as defined in Section 63G-2-103, created by the commission under this
1719     part, reviewed by the commission under this part, or received by the commission under this
1720     part, is a public record, as defined in Section 63G-2-103.
1721          Section 37. Section 63A-15-702, which is renumbered from Section 11-49-702 is
1722     renumbered and amended to read:
1723          [11-49-702].      63A-15-702. Record -- Recording of meetings.
1724          (1) (a) Except as provided in Subsection (1)(b), an individual may not use a camera or
1725     other recording device in a meeting authorized by this part.
1726          (b) (i) The commission shall keep an audio or video recording of all portions of each
1727     meeting authorized by this part.
1728          (ii) The commission may, by a majority vote of the commission, permit a camera or
1729     other recording device in the meeting in which the commission releases the commission's
1730     recommendation under this part.
1731          (2) In addition to the recording required in Subsection (1), the chair shall ensure that a
1732     record of the meeting or hearing is made, which shall include:
1733          (a) official minutes taken during the meeting or hearing, if any;
1734          (b) copies of all documents or other items admitted into evidence by the commission;
1735          (c) copies of a document or written order or ruling issued by the chair or the
1736     commission; and
1737          (d) any other information that a majority of the commission or the chair directs.

1738          Section 38. Section 63A-15-703, which is renumbered from Section 11-49-703 is
1739     renumbered and amended to read:
1740          [11-49-703].      63A-15-703. Commission deliberations -- Standard of proof.
1741          (1) After each party has presented a closing argument, the commission shall, at the
1742     direction of the chair, begin its deliberations:
1743          (a) immediately after conclusion of the closing arguments; or
1744          (b) at a future meeting of the commission, on a date and time determined by a majority
1745     of the members of the commission.
1746          (2) (a) The chair of the commission shall conduct the deliberations.
1747          (b) Upon a motion made by a commission member, the commission may:
1748          (i) exclude commission staff from all or a portion of the deliberations by a majority
1749     vote of the commission; or
1750          (ii) close the meeting in accordance with Section 52-4-204.
1751          (3) (a) During deliberations, for each allegation reviewed by the commission, each
1752     member shall determine and cast a vote stating:
1753          (i) whether the allegation is:
1754          (A) proven by clear and convincing evidence; or
1755          (B) not proven; and
1756          (ii) for each allegation proven, whether the commission would recommend to the
1757     appropriate political subdivision governing body to take one or more of the following actions:
1758          (A) censure;
1759          (B) in the case of a political subdivision employee, termination;
1760          (C) in the case of a political subdivision officer, removal from office; or
1761          (D) any other action or reprimand that the commission determines is appropriate.
1762          (b) (i) A verbal roll call vote shall be taken on each allegation, and each recommended
1763     action described in Subsection (3)(a)(ii) on each allegation.
1764          (ii) Each member's vote shall be recorded.
1765          (4) (a) An allegation is not considered to be proven unless six of the seven members of

1766     the commission vote that the allegation is proven.
1767          (b) The seven members of the commission described in Subsection (4)(a) refers to the
1768     members that actually participate in deciding whether an allegation is proven, including an
1769     alternate member described in Subsection 63A-15-201(4)(f)(i)(A) or a temporary member
1770     described in Subsection 63A-15-201(4)(f)(i)(B).
1771          [(b)] (c) An allegation that is not considered to be proven is dismissed.
1772          [(c)] (d) (i) Before the commission issues its recommendation in accordance with
1773     Section [11-49-704] 63A-15-704, the commission may, upon a majority vote, reconsider and
1774     hold a new vote on an allegation.
1775          (ii) A motion to reconsider a vote may only be made by a member of the commission
1776     who voted that the allegation was not proved.
1777          (5) The commission may not find that an allegation is proven if the allegation is based
1778     on an act by an individual under the authority of the political subdivision officer or employee,
1779     unless the commission finds, by clear and convincing evidence, that the political subdivision
1780     officer or employee:
1781          (a) encouraged, condoned, or ordered the act;
1782          (b) (i) before the individual engaged in the act, knew or should have known that the
1783     individual was likely to engage in the act; and
1784          (ii) failed to take appropriate action to prevent the act;
1785          (c) (i) while the individual engaged in the act, knew or should have known that the
1786     individual was engaging in the act; and
1787          (ii) failed to take appropriate action to stop the act; or
1788          (d) (i) after the individual engaged in the act, knew or should have known that the
1789     individual engaged in the act; and
1790          (ii) failed to take appropriate action in response to the act.
1791          (6) The commission may not find that an allegation is proven if the allegation is based
1792     on the failure of an individual under the authority of the political subdivision officer or
1793     employee to act, unless the commission finds, by clear and convincing evidence, that the

1794     political subdivision officer or employee:
1795          (a) encouraged, condoned, or ordered the failure to act;
1796          (b) (i) before the individual failed to act, knew or should have known that the
1797     individual was likely to fail to act; and
1798          (ii) failed to take appropriate action to prevent the failure to act;
1799          (c) (i) while the individual was failing to act, knew or should have known that the
1800     individual was failing to act; and
1801          (ii) failed to take appropriate action to prevent the failure to act; or
1802          (d) (i) after the individual failed to act, knew or should have known that the individual
1803     failed to act; and
1804          (ii) failed to take appropriate action in response to the failure to act.
1805          [(5)] (7) At the conclusion of deliberations, the commission shall prepare [its] the
1806     commission's recommendations as provided in Sections [11-49-704 and 11-49-705]
1807     63A-15-704 and 63A-15-705.
1808          Section 39. Section 63A-15-704, which is renumbered from Section 11-49-704 is
1809     renumbered and amended to read:
1810          [11-49-704].      63A-15-704. Recommendations of commission.
1811          (1) (a) If the commission determines that no allegations in the complaint were proved,
1812     the commission shall:
1813          (i) issue and enter into the record an order that the complaint is dismissed because no
1814     allegations in the complaint were found to have been proved;
1815          (ii) provide notice of the determination at a public meeting; and
1816          (iii) provide written notice of the determination to:
1817          (A) the respondent;
1818          (B) the first complainant named on the complaint; and
1819          (C) the appropriate political subdivision.
1820          (2) If the commission determines that one or more of the allegations in the complaint
1821     were proved, the commission shall:

1822          (a) if one or more allegations were not found to have been proven, enter into the record
1823     an order dismissing those unproven allegations; and
1824          (b) prepare a written recommendation to the applicable political subdivision governing
1825     body that:
1826          (i) lists the name of each complainant;
1827          (ii) lists the name of the respondent;
1828          (iii) states the date of the recommendation;
1829          (iv) for each allegation that was found to be proven:
1830          (A) provides a reference to the statute or criminal provision allegedly violated;
1831          (B) states the number and names of commission members voting that the allegation
1832     was proved and the number and names of commission members voting that the allegation was
1833     not proved;
1834          (C) at the option of those members voting that the allegation was proved, includes a
1835     statement by one or all of those members stating the reasons for voting that the allegation was
1836     proved; and
1837          (D) at the option of those members voting that the allegation was not proved, includes
1838     a statement by one or all of those members stating the reasons for voting that the allegation was
1839     not proved;
1840          (v) contains any general statement that is adopted for inclusion in the recommendation
1841     by a majority of the members of the commission;
1842          (vi) contains a statement referring the allegations found to have been proved to the
1843     appropriate political subdivision governing body for review and, if necessary, further action;
1844          (vii) contains a statement referring to each allegation proven the commission's
1845     recommendation under Subsection [11-49-703] 63A-15-703(3)(a)(ii);
1846          (viii) states the name of each member of the commission; and
1847          (ix) is signed by each commission member.
1848          (3) The commission shall provide notice of the determination:
1849          (a) at a public meeting; and

1850          (b) in writing to:
1851          (i) the respondent;
1852          (ii) the first complainant named on the complaint; and
1853          (iii) in accordance with Subsection (4), the appropriate political subdivision.
1854          (4) The commission shall ensure that, within [five] 10 business days of the date of
1855     public issuance of the determination in accordance with Subsection (3), the following
1856     documents are provided to the political subdivision governing body:
1857          (a) a cover letter referring the proven allegations contained in the complaint to the
1858     political subdivision governing body for review;
1859          (b) a copy of the complaint;
1860          (c) a copy of the response; and
1861          (d) a copy of the commission's recommendation.
1862          Section 40. Section 63A-15-705, which is renumbered from Section 11-49-705 is
1863     renumbered and amended to read:
1864          [11-49-705].      63A-15-705. Criminal allegation -- Recommendation to
1865     county or district attorney or attorney general.
1866          (1) If the commission finds that a political subdivision officer or employee allegedly
1867     violated a criminal provision, the commission shall, in addition to sending a recommendation
1868     to a political subdivision governing body in accordance with Section [11-49-704] 63A-15-704,
1869     send a written recommendation for further investigation to one or more of the following:
1870          (a) the county or district attorney of the applicable jurisdiction [by delivering to the
1871     county or district attorney a written recommendation that:]; or
1872          (b) the attorney general.
1873          (2) The written recommendation described in Subsection (1) shall:
1874          (a) [lists] list the name of each complainant;
1875          (b) [lists] list the name of the respondent;
1876          (c) [states] state the date of the recommendation;
1877          (d) for each allegation of a criminal violation, provide a reference to the criminal

1878     provision allegedly violated;
1879          (e) [includes] include a general statement that is adopted by a majority of the members
1880     of the commission; and
1881          (f) [gives] state the name of the political subdivision governing body that the
1882     commission sent a recommendation to in accordance with Section [11-49-704] 63A-15-704.
1883          [(2)] (3) If the commission sends a recommendation in accordance with [Subsection
1884     (1)(a),] this section, the commission shall enter into the record:
1885          (a) a copy of the recommendation; and
1886          (b) the name of [the county or district attorney of jurisdiction to whom it was sent]
1887     each person described in Subsection (1) to whom the commission sent the recommendation.
1888          [(3)] (4) A recommendation prepared and delivered in accordance with this section is a
1889     public record.
1890          Section 41. Section 63A-15-706, which is renumbered from Section 11-49-706 is
1891     renumbered and amended to read:
1892          [11-49-706].      63A-15-706. Action by political subdivision governing body.
1893          A political subdivision governing body that receives a recommendation in accordance
1894     with Section [11-49-704] 63A-15-704 shall:
1895          (1) review the recommendation; and
1896          (2) take further action in accordance with a political subdivision's governing ordinance,
1897     bylaws, or other applicable governing rule.
1898          Section 42. Section 63G-2-103 is amended to read:
1899          63G-2-103. Definitions.
1900          As used in this chapter:
1901          (1) "Audit" means:
1902          (a) a systematic examination of financial, management, program, and related records
1903     for the purpose of determining the fair presentation of financial statements, adequacy of
1904     internal controls, or compliance with laws and regulations; or
1905          (b) a systematic examination of program procedures and operations for the purpose of

1906     determining their effectiveness, economy, efficiency, and compliance with statutes and
1907     regulations.
1908          (2) "Chronological logs" mean the regular and customary summary records of law
1909     enforcement agencies and other public safety agencies that show:
1910          (a) the time and general nature of police, fire, and paramedic calls made to the agency;
1911     and
1912          (b) any arrests or jail bookings made by the agency.
1913          (3) "Classification," "classify," and their derivative forms mean determining whether a
1914     record series, record, or information within a record is public, private, controlled, protected, or
1915     exempt from disclosure under Subsection 63G-2-201(3)(b).
1916          (4) (a) "Computer program" means:
1917          (i) a series of instructions or statements that permit the functioning of a computer
1918     system in a manner designed to provide storage, retrieval, and manipulation of data from the
1919     computer system; and
1920          (ii) any associated documentation and source material that explain how to operate the
1921     computer program.
1922          (b) "Computer program" does not mean:
1923          (i) the original data, including numbers, text, voice, graphics, and images;
1924          (ii) analysis, compilation, and other manipulated forms of the original data produced by
1925     use of the program; or
1926          (iii) the mathematical or statistical formulas, excluding the underlying mathematical
1927     algorithms contained in the program, that would be used if the manipulated forms of the
1928     original data were to be produced manually.
1929          (5) (a) "Contractor" means:
1930          (i) any person who contracts with a governmental entity to provide goods or services
1931     directly to a governmental entity; or
1932          (ii) any private, nonprofit organization that receives funds from a governmental entity.
1933          (b) "Contractor" does not mean a private provider.

1934          (6) "Controlled record" means a record containing data on individuals that is controlled
1935     as provided by Section 63G-2-304.
1936          (7) "Designation," "designate," and their derivative forms mean indicating, based on a
1937     governmental entity's familiarity with a record series or based on a governmental entity's
1938     review of a reasonable sample of a record series, the primary classification that a majority of
1939     records in a record series would be given if classified and the classification that other records
1940     typically present in the record series would be given if classified.
1941          (8) "Elected official" means each person elected to a state office, county office,
1942     municipal office, school board or school district office, local district office, or special service
1943     district office, but does not include judges.
1944          (9) "Explosive" means a chemical compound, device, or mixture:
1945          (a) commonly used or intended for the purpose of producing an explosion; and
1946          (b) that contains oxidizing or combustive units or other ingredients in proportions,
1947     quantities, or packing so that:
1948          (i) an ignition by fire, friction, concussion, percussion, or detonator of any part of the
1949     compound or mixture may cause a sudden generation of highly heated gases; and
1950          (ii) the resultant gaseous pressures are capable of:
1951          (A) producing destructive effects on contiguous objects; or
1952          (B) causing death or serious bodily injury.
1953          (10) "Government audit agency" means any governmental entity that conducts an audit.
1954          (11) (a) "Governmental entity" means:
1955          (i) executive department agencies of the state, the offices of the governor, lieutenant
1956     governor, state auditor, attorney general, and state treasurer, the Board of Pardons and Parole,
1957     the Board of Examiners, the National Guard, the Career Service Review Office, the State
1958     Board of Education, the State Board of Regents, and the State Archives;
1959          (ii) the Office of the Legislative Auditor General, Office of the Legislative Fiscal
1960     Analyst, Office of Legislative Research and General Counsel, the Legislature, and legislative
1961     committees, except any political party, group, caucus, or rules or sifting committee of the

1962     Legislature;
1963          (iii) courts, the Judicial Council, the Office of the Court Administrator, and similar
1964     administrative units in the judicial branch;
1965          (iv) any state-funded institution of higher education or public education; or
1966          (v) any political subdivision of the state, but, if a political subdivision has adopted an
1967     ordinance or a policy relating to information practices pursuant to Section 63G-2-701, this
1968     chapter shall apply to the political subdivision to the extent specified in Section 63G-2-701 or
1969     as specified in any other section of this chapter that specifically refers to political subdivisions.
1970          (b) "Governmental entity" also means:
1971          (i) every office, agency, board, bureau, committee, department, advisory board, or
1972     commission of an entity listed in Subsection (11)(a) that is funded or established by the
1973     government to carry out the public's business;
1974          (ii) as defined in Section 11-13-103, an interlocal entity or joint or cooperative
1975     undertaking;
1976          (iii) as defined in Section 11-13a-102, a governmental nonprofit corporation; and
1977          (iv) an association as defined in Section 53A-1-1601.
1978          (c) "Governmental entity" does not include the Utah Educational Savings Plan created
1979     in Section 53B-8a-103.
1980          (12) "Gross compensation" means every form of remuneration payable for a given
1981     period to an individual for services provided including salaries, commissions, vacation pay,
1982     severance pay, bonuses, and any board, rent, housing, lodging, payments in kind, and any
1983     similar benefit received from the individual's employer.
1984          (13) "Individual" means a human being.
1985          (14) (a) "Initial contact report" means an initial written or recorded report, however
1986     titled, prepared by peace officers engaged in public patrol or response duties describing official
1987     actions initially taken in response to either a public complaint about or the discovery of an
1988     apparent violation of law, which report may describe:
1989          (i) the date, time, location, and nature of the complaint, the incident, or offense;

1990          (ii) names of victims;
1991          (iii) the nature or general scope of the agency's initial actions taken in response to the
1992     incident;
1993          (iv) the general nature of any injuries or estimate of damages sustained in the incident;
1994          (v) the name, address, and other identifying information about any person arrested or
1995     charged in connection with the incident; or
1996          (vi) the identity of the public safety personnel, except undercover personnel, or
1997     prosecuting attorney involved in responding to the initial incident.
1998          (b) Initial contact reports do not include follow-up or investigative reports prepared
1999     after the initial contact report. However, if the information specified in Subsection (14)(a)
2000     appears in follow-up or investigative reports, it may only be treated confidentially if it is
2001     private, controlled, protected, or exempt from disclosure under Subsection 63G-2-201(3)(b).
2002          (15) "Legislative body" means the Legislature.
2003          (16) "Notice of compliance" means a statement confirming that a governmental entity
2004     has complied with a records committee order.
2005          (17) "Person" means:
2006          (a) an individual;
2007          (b) a nonprofit or profit corporation;
2008          (c) a partnership;
2009          (d) a sole proprietorship;
2010          (e) other type of business organization; or
2011          (f) any combination acting in concert with one another.
2012          (18) "Private provider" means any person who contracts with a governmental entity to
2013     provide services directly to the public.
2014          (19) "Private record" means a record containing data on individuals that is private as
2015     provided by Section 63G-2-302.
2016          (20) "Protected record" means a record that is classified protected as provided by
2017     Section 63G-2-305.

2018          (21) "Public record" means a record that is not private, controlled, or protected and that
2019     is not exempt from disclosure as provided in Subsection 63G-2-201(3)(b).
2020          (22) (a) "Record" means a book, letter, document, paper, map, plan, photograph, film,
2021     card, tape, recording, electronic data, or other documentary material regardless of physical form
2022     or characteristics:
2023          (i) that is prepared, owned, received, or retained by a governmental entity or political
2024     subdivision; and
2025          (ii) where all of the information in the original is reproducible by photocopy or other
2026     mechanical or electronic means.
2027          (b) "Record" does not mean:
2028          (i) a personal note or personal communication prepared or received by an employee or
2029     officer of a governmental entity:
2030          (A) in a capacity other than the employee's or officer's governmental capacity; or
2031          (B) that is unrelated to the conduct of the public's business;
2032          (ii) a temporary draft or similar material prepared for the originator's personal use or
2033     prepared by the originator for the personal use of an individual for whom the originator is
2034     working;
2035          (iii) material that is legally owned by an individual in the individual's private capacity;
2036          (iv) material to which access is limited by the laws of copyright or patent unless the
2037     copyright or patent is owned by a governmental entity or political subdivision;
2038          (v) proprietary software;
2039          (vi) junk mail or a commercial publication received by a governmental entity or an
2040     official or employee of a governmental entity;
2041          (vii) a book that is cataloged, indexed, or inventoried and contained in the collections
2042     of a library open to the public;
2043          (viii) material that is cataloged, indexed, or inventoried and contained in the collections
2044     of a library open to the public, regardless of physical form or characteristics of the material;
2045          (ix) a daily calendar or other personal note prepared by the originator for the

2046     originator's personal use or for the personal use of an individual for whom the originator is
2047     working;
2048          (x) a computer program that is developed or purchased by or for any governmental
2049     entity for its own use;
2050          (xi) a note or internal memorandum prepared as part of the deliberative process by:
2051          (A) a member of the judiciary;
2052          (B) an administrative law judge;
2053          (C) a member of the Board of Pardons and Parole; or
2054          (D) a member of any other body, other than an association or appeals panel as defined
2055     in Section 53A-1-1601, charged by law with performing a quasi-judicial function;
2056          (xii) a telephone number or similar code used to access a mobile communication
2057     device that is used by an employee or officer of a governmental entity, provided that the
2058     employee or officer of the governmental entity has designated at least one business telephone
2059     number that is a public record as provided in Section 63G-2-301;
2060          (xiii) information provided by the Public Employees' Benefit and Insurance Program,
2061     created in Section 49-20-103, to a county to enable the county to calculate the amount to be
2062     paid to a health care provider under Subsection 17-50-319(2)(e)(ii);
2063          (xiv) information that an owner of unimproved property provides to a local entity as
2064     provided in Section 11-42-205; [or]
2065          (xv) a video or audio recording of an interview, or a transcript of the video or audio
2066     recording, that is conducted at a Children's Justice Center established under Section
2067     67-5b-102[.]; or
2068          (xvi) before final disposition of an ethics complaint occurs, a video or audio recording
2069     of the closed portion of a meeting or hearing of:
2070          (A) a Senate or House Ethics Committee;
2071          (B) the Independent Legislative Ethics Commission;
2072          (C) the Independent Executive Branch Ethics Commission, created in Section
2073     63A-14-202; or

2074          (D) the Political Subdivisions Ethics Review Commission established in Section
2075     63A-15-201.
2076          (23) "Record series" means a group of records that may be treated as a unit for
2077     purposes of designation, description, management, or disposition.
2078          (24) "Records committee" means the State Records Committee created in Section
2079     63G-2-501.
2080          (25) "Records officer" means the individual appointed by the chief administrative
2081     officer of each governmental entity, or the political subdivision to work with state archives in
2082     the care, maintenance, scheduling, designation, classification, disposal, and preservation of
2083     records.
2084          (26) "Schedule," "scheduling," and their derivative forms mean the process of
2085     specifying the length of time each record series should be retained by a governmental entity for
2086     administrative, legal, fiscal, or historical purposes and when each record series should be
2087     transferred to the state archives or destroyed.
2088          (27) "Sponsored research" means research, training, and other sponsored activities as
2089     defined by the federal Executive Office of the President, Office of Management and Budget:
2090          (a) conducted:
2091          (i) by an institution within the state system of higher education defined in Section
2092     53B-1-102; and
2093          (ii) through an office responsible for sponsored projects or programs; and
2094          (b) funded or otherwise supported by an external:
2095          (i) person that is not created or controlled by the institution within the state system of
2096     higher education; or
2097          (ii) federal, state, or local governmental entity.
2098          (28) "State archives" means the Division of Archives and Records Service created in
2099     Section 63A-12-101.
2100          (29) "State archivist" means the director of the state archives.
2101          (30) "Summary data" means statistical records and compilations that contain data

2102     derived from private, controlled, or protected information but that do not disclose private,
2103     controlled, or protected information.
2104          Section 43. Section 63G-2-302 is amended to read:
2105          63G-2-302. Private records.
2106          (1) The following records are private:
2107          (a) records concerning an individual's eligibility for unemployment insurance benefits,
2108     social services, welfare benefits, or the determination of benefit levels;
2109          (b) records containing data on individuals describing medical history, diagnosis,
2110     condition, treatment, evaluation, or similar medical data;
2111          (c) records of publicly funded libraries that when examined alone or with other records
2112     identify a patron;
2113          (d) records received by or generated by or for:
2114          (i) the Independent Legislative Ethics Commission, except for:
2115          (A) the commission's summary data report that is required under legislative rule; and
2116          (B) any other document that is classified as public under legislative rule; or
2117          (ii) a Senate or House Ethics Committee in relation to the review of ethics complaints,
2118     unless the record is classified as public under legislative rule;
2119          (e) records received by, or generated by or for, the Independent Executive Branch
2120     Ethics Commission, except as otherwise expressly provided in Title 63A, Chapter 14, Review
2121     of Executive Branch Ethics Complaints;
2122          (f) records received or generated for a Senate confirmation committee concerning
2123     character, professional competence, or physical or mental health of an individual:
2124          (i) if, prior to the meeting, the chair of the committee determines release of the records:
2125          (A) reasonably could be expected to interfere with the investigation undertaken by the
2126     committee; or
2127          (B) would create a danger of depriving a person of a right to a fair proceeding or
2128     impartial hearing; and
2129          (ii) after the meeting, if the meeting was closed to the public;

2130          (g) employment records concerning a current or former employee of, or applicant for
2131     employment with, a governmental entity that would disclose that individual's home address,
2132     home telephone number, social security number, insurance coverage, marital status, or payroll
2133     deductions;
2134          (h) records or parts of records under Section 63G-2-303 that a current or former
2135     employee identifies as private according to the requirements of that section;
2136          (i) that part of a record indicating a person's social security number or federal employer
2137     identification number if provided under Section 31A-23a-104, 31A-25-202, 31A-26-202,
2138     58-1-301, 58-55-302, 61-1-4, or 61-2f-203;
2139          (j) that part of a voter registration record identifying a voter's:
2140          (i) driver license or identification card number;
2141          (ii) Social Security number, or last four digits of the Social Security number;
2142          (iii) email address; or
2143          (iv) date of birth;
2144          (k) a voter registration record that is classified as a private record by the lieutenant
2145     governor or a county clerk under Subsection 20A-2-104(4)(f) or 20A-2-101.1(5)(a);
2146          (l) a record that:
2147          (i) contains information about an individual;
2148          (ii) is voluntarily provided by the individual; and
2149          (iii) goes into an electronic database that:
2150          (A) is designated by and administered under the authority of the Chief Information
2151     Officer; and
2152          (B) acts as a repository of information about the individual that can be electronically
2153     retrieved and used to facilitate the individual's online interaction with a state agency;
2154          (m) information provided to the Commissioner of Insurance under:
2155          (i) Subsection 31A-23a-115(3)(a);
2156          (ii) Subsection 31A-23a-302(4); or
2157          (iii) Subsection 31A-26-210(4);

2158          (n) information obtained through a criminal background check under Title 11, Chapter
2159     40, Criminal Background Checks by Political Subdivisions Operating Water Systems;
2160          (o) information provided by an offender that is:
2161          (i) required by the registration requirements of Title 77, Chapter 41, Sex and Kidnap
2162     Offender Registry or Title 77, Chapter 43, Child Abuse Offender Registry; and
2163          (ii) not required to be made available to the public under Subsection 77-41-110(4) or
2164     77-43-108(4);
2165          (p) a statement and any supporting documentation filed with the attorney general in
2166     accordance with Section 34-45-107, if the federal law or action supporting the filing involves
2167     homeland security;
2168          (q) electronic toll collection customer account information received or collected under
2169     Section 72-6-118 and customer information described in Section 17B-2a-815 received or
2170     collected by a public transit district, including contact and payment information and customer
2171     travel data;
2172          (r) an email address provided by a military or overseas voter under Section
2173     20A-16-501;
2174          (s) a completed military-overseas ballot that is electronically transmitted under Title
2175     20A, Chapter 16, Uniform Military and Overseas Voters Act;
2176          (t) records received by or generated by or for the Political Subdivisions Ethics Review
2177     Commission established in Section [11-49-201] 63A-15-201, except for:
2178          (i) the commission's summary data report that is required in Section [11-49-202]
2179     63A-15-202; and
2180          (ii) any other document that is classified as public in accordance with [Title 11,
2181     Chapter 49] Title 63A, Chapter 15, Political Subdivisions Ethics Review Commission;
2182          (u) a record described in Subsection 53A-11a-203(3) that verifies that a parent was
2183     notified of an incident or threat; and
2184          (v) a criminal background check or credit history report conducted in accordance with
2185     Section 63A-3-201.

2186          (2) The following records are private if properly classified by a governmental entity:
2187          (a) records concerning a current or former employee of, or applicant for employment
2188     with a governmental entity, including performance evaluations and personal status information
2189     such as race, religion, or disabilities, but not including records that are public under Subsection
2190     63G-2-301(2)(b) or 63G-2-301(3)(o) or private under Subsection (1)(b);
2191          (b) records describing an individual's finances, except that the following are public:
2192          (i) records described in Subsection 63G-2-301(2);
2193          (ii) information provided to the governmental entity for the purpose of complying with
2194     a financial assurance requirement; or
2195          (iii) records that must be disclosed in accordance with another statute;
2196          (c) records of independent state agencies if the disclosure of those records would
2197     conflict with the fiduciary obligations of the agency;
2198          (d) other records containing data on individuals the disclosure of which constitutes a
2199     clearly unwarranted invasion of personal privacy;
2200          (e) records provided by the United States or by a government entity outside the state
2201     that are given with the requirement that the records be managed as private records, if the
2202     providing entity states in writing that the record would not be subject to public disclosure if
2203     retained by it;
2204          (f) any portion of a record in the custody of the Division of Aging and Adult Services,
2205     created in Section 62A-3-102, that may disclose, or lead to the discovery of, the identity of a
2206     person who made a report of alleged abuse, neglect, or exploitation of a vulnerable adult; and
2207          (g) audio and video recordings created by a body-worn camera, as defined in Section
2208     77-7a-103, that record sound or images inside a home or residence except for recordings that:
2209          (i) depict the commission of an alleged crime;
2210          (ii) record any encounter between a law enforcement officer and a person that results in
2211     death or bodily injury, or includes an instance when an officer fires a weapon;
2212          (iii) record any encounter that is the subject of a complaint or a legal proceeding
2213     against a law enforcement officer or law enforcement agency;

2214          (iv) contain an officer involved critical incident as defined in Section 76-2-408(1)(d);
2215     or
2216          (v) have been requested for reclassification as a public record by a subject or
2217     authorized agent of a subject featured in the recording.
2218          (3) (a) As used in this Subsection (3), "medical records" means medical reports,
2219     records, statements, history, diagnosis, condition, treatment, and evaluation.
2220          (b) Medical records in the possession of the University of Utah Hospital, its clinics,
2221     doctors, or affiliated entities are not private records or controlled records under Section
2222     63G-2-304 when the records are sought:
2223          (i) in connection with any legal or administrative proceeding in which the patient's
2224     physical, mental, or emotional condition is an element of any claim or defense; or
2225          (ii) after a patient's death, in any legal or administrative proceeding in which any party
2226     relies upon the condition as an element of the claim or defense.
2227          (c) Medical records are subject to production in a legal or administrative proceeding
2228     according to state or federal statutes or rules of procedure and evidence as if the medical
2229     records were in the possession of a nongovernmental medical care provider.
2230          Section 44. Section 67-16-15 is amended to read:
2231          67-16-15. Complaint -- Political Subdivisions Ethics Review Commission.
2232          A person may file a complaint for an alleged violation of this chapter by a political
2233     subdivision officer or employee in accordance with Title [11, Chapter 49] 63A, Chapter 15,
2234     Political Subdivisions Ethics Review Commission.