Rep. Norm Thurston — Voting Record

Bill

Number

S.B. 216 (2018GS)

Sponsor

Sen. Bramble, C.

Final action

Governor Signed 3/26/2018

Outcome

Became law — signed by Gov. Gary R. Herbert

Summary

What it does

• This bill:
• defines "malfeasance";
• clarifies that the Independent Executive Branch Ethics Commission and the Political Subdivisions Ethics Review Commission (the commissions) are independent entities;
• permits the commissions to retain private counsel and provides for additional staff;
• addresses a request for supplemental appropriations by the commissions;
• requires submission of an annual summary report to the governor;
• addresses conflicts of interest for commission members;
• places restrictions on the contents of a complaint;
• describes the circumstances under which an official, officer, or employee may be held responsible, under the provisions of this bill, for a violation based on the act or failure to act of an individual under the authority of the official, officer, or employee;
• addresses complaints filed in more than one forum;
• requires a complainant to have personal knowledge of matters alleged in a complaint;
• addresses confidentiality requirements in relation to the commissions;
• requires the state or a political subdivision to pay costs and attorney fees if none of the allegations in a complaint before the commissions are proven;
• for budget purposes only, moves the Political Subdivisions Ethics Review Commission to the Department of Administrative Services, and recodifies provisions accordingly;

Every vote on this bill

Bill text

ETHICS AMENDMENTS
GENERAL SESSION
STATE OF UTAH
Chief Sponsor: Curtis S. Bramble
House Sponsor: 
V. Lowry Snow
LONG TITLE
General Description:
This bill amends provisions relating to ethics committees and commissions.
Highlighted Provisions:
This bill:
▸ defines "malfeasance";
▸ clarifies that the Independent Executive Branch Ethics Commission and the
Political Subdivisions Ethics Review Commission (the commissions) are
independent entities;
▸ permits the commissions to retain private counsel and provides for additional staff;
▸ addresses a request for supplemental appropriations by the commissions;
▸ requires submission of an annual summary report to the governor;
▸ addresses conflicts of interest for commission members;
▸ places restrictions on the contents of a complaint;
▸ describes the circumstances under which an official, officer, or employee may be
held responsible, under the provisions of this bill, for a violation based on the act or
failure to act of an individual under the authority of the official, officer, or
employee;
▸ addresses complaints filed in more than one forum;
▸ requires a complainant to have personal knowledge of matters alleged in a
complaint;
▸ addresses confidentiality requirements in relation to the commissions;
▸ requires the state or a political subdivision to pay costs and attorney fees if none of
the allegations in a complaint before the commissions are proven;
▸ for budget purposes only, moves the Political Subdivisions Ethics Review
Commission to the Department of Administrative Services, and recodifies
provisions accordingly;
▸ provides for the appointment of an alternate or temporary replacement member for
the Political Subdivisions Ethics Review Commission;
▸ modifies provisions relating to selection of the chair of the Political Subdivisions
Ethics Review Commission;
▸ modifies deadlines relating to proceedings of the Political Subdivisions Ethics
Review Commission;
▸ addresses the confidentiality of recordings of the commissions and legislative ethics
committees and commissions; and
▸ makes technical and conforming changes.
Money Appropriated in this Bill:
None
Other Special Clauses:
None
Utah Code Sections Affected:
AMENDS:
10-3-1311
, as last amended by Laws of Utah 2012, Chapter 202
17-16a-11
, as last amended by Laws of Utah 2012, Chapter 202
52-4-204
, as last amended by Laws of Utah 2013, Chapter 426
63A-14-102
, as enacted by Laws of Utah 2013, Chapter 426
63A-14-202
, as enacted by Laws of Utah 2013, Chapter 426
63A-14-203
, as enacted by Laws of Utah 2013, Chapter 426
63A-14-302
, as enacted by Laws of Utah 2013, Chapter 426
63A-14-402
, as enacted by Laws of Utah 2013, Chapter 426
63A-14-403
, as enacted by Laws of Utah 2013, Chapter 426
63A-14-502
, as enacted by Laws of Utah 2013, Chapter 426
63A-14-504
, as enacted by Laws of Utah 2013, Chapter 426
63A-14-604
, as enacted by Laws of Utah 2013, Chapter 426
63G-2-103
, as last amended by Laws of Utah 2017, Chapters 196 and 441
63G-2-302
, as last amended by Laws of Utah 2017, Chapters 168 and 282
67-16-15
, as enacted by Laws of Utah 2012, Chapter 202
RENUMBERS AND AMENDS:
63A-15-101
, (Renumbered from 11-49-101, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-102
, (Renumbered from 11-49-102, as last amended by Laws of Utah 2016,
Chapter 350)
63A-15-103
, (Renumbered from 11-49-103, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-201
, (Renumbered from 11-49-201, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-202
, (Renumbered from 11-49-202, as last amended by Laws of Utah 2013,
Chapter 278)
63A-15-301
, (Renumbered from 11-49-301, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-302
, (Renumbered from 11-49-302, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-401
, (Renumbered from 11-49-401, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-402
, (Renumbered from 11-49-402, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-403
, (Renumbered from 11-49-403, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-404
, (Renumbered from 11-49-404, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-405
, (Renumbered from 11-49-405, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-406
, (Renumbered from 11-49-406, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-407
, (Renumbered from 11-49-407, as last amended by Laws of Utah 2013,
Chapter 278)
63A-15-408
, (Renumbered from 11-49-408, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-501
, (Renumbered from 11-49-501, as last amended by Laws of Utah 2016,
Chapter 160)
63A-15-502
, (Renumbered from 11-49-502, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-601
, (Renumbered from 11-49-601, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-602
, (Renumbered from 11-49-602, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-603
, (Renumbered from 11-49-603, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-604
, (Renumbered from 11-49-604, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-701
, (Renumbered from 11-49-701, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-702
, (Renumbered from 11-49-702, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-703
, (Renumbered from 11-49-703, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-704
, (Renumbered from 11-49-704, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-705
, (Renumbered from 11-49-705, as enacted by Laws of Utah 2012, Chapter
202)
63A-15-706
, (Renumbered from 11-49-706, as enacted by Laws of Utah 2012, Chapter
202)
ENACTS:
63A-14-405
, Utah Code Annotated 1953
63A-15-303
, Utah Code Annotated 1953
Be it enacted by the Legislature of the state of Utah:
Section 1. Section 
10-3-1311
 is amended to read:
10-3-1311.
Municipal ethics commission -- Complaints charging violations.
(1) A municipality may establish by ordinance an ethics commission to review a
complaint against an officer or employee subject to this part for a violation of a provision of
this part.
(2) (a) A person filing a complaint for a violation of this part shall file the complaint:
(i) with the municipal ethics commission, if a municipality has established a municipal
ethics commission in accordance with Subsection (1); or
(ii) with the Political Subdivisions Ethics Review Commission in accordance with
[
Title 11, Chapter 49
] 
Title 63A, Chapter 15
, Political Subdivisions Ethics Review
Commission, if the municipality has not established a municipal ethics commission.
(b) A municipality that receives a complaint described in Subsection (2)(a) may:
(i) accept the complaint if the municipality has established a municipal ethics
commission in accordance with Subsection (1); or
(ii) forward the complaint to the Political Subdivisions Ethics Review Commission
established in Section [
11-49-201
] 
63A-15-201
:
(A) regardless of whether the municipality has established a municipal ethics
commission; or
(B) if the municipality has not established a municipal ethics commission.
(3) If the alleged ethics complaint is against a person who is a member of the municipal
ethics commission, the complaint shall be filed with or forwarded to the Political Subdivisions
Ethics Review Commission.
Section 2. Section 
17-16a-11
 is amended to read:
17-16a-11.
County ethics commission -- Complaints charging violations --
Procedure.
(1) A county may establish by ordinance an ethics commission to review a complaint,
except as provided in Subsection (3), against an officer or employee subject to this part for a
violation of a provision of this part.
(2) (a) Except as provided in Subsection (3), a person filing a complaint for a violation
of this part shall file the complaint:
(i) with the county ethics commission, if the county has established a county ethics
commission in accordance with Subsection (1); or
(ii) with the Political Subdivisions Ethics Review Commission established in
accordance with [
Title 11, Chapter 49
] 
Title 63A, Chapter 15
, Political Subdivisions Ethics
Review Commission if the county has not established a county ethics commission.
(b) A county that receives a complaint described in Subsection (2)(a) may:
(i) accept the complaint if the county has established a county ethics commission in
accordance with Subsection (1); or
(ii) forward the complaint to the Political Subdivisions Ethics Review Commission
established in Section [
11-49-201
] 
63A-15-201
:
(A) regardless of whether the county has established a county ethics commission; or
(B) if the county has not established a county ethics commission.
(3) Any complaint against a person who is under the merit system, charging that person
with a violation of this part, shall be filed and processed in accordance with the provisions of
the merit system.
Section 3. Section 
52-4-204
 is amended to read:
52-4-204.
Closed meeting held upon vote of members -- Business -- Reasons for
meeting recorded.
(1) A closed meeting may be held if:
(a) (i) a quorum is present;
(ii) the meeting is an open meeting for which notice has been given under Section
52-4-202
; and
(iii) (A) two-thirds of the members of the public body present at the open meeting vote
to approve closing the meeting;
(B) for a meeting that is required to be closed under Section 
52-4-205
, if a majority of
the members of the public body present at an open meeting vote to approve closing the
meeting;
(C) for an ethics committee of the Legislature that is conducting an open meeting for
the purpose of reviewing an ethics complaint, a majority of the members present vote to
approve closing the meeting for the purpose of seeking or obtaining legal advice on legal,
evidentiary, or procedural matters, or for conducting deliberations to reach a decision on the
complaint; or
(D) for the Political Subdivisions Ethics Review Commission established in Section
[
11-49-201
] 
63A-15-201
 that is conducting an open meeting for the purpose of reviewing an
ethics complaint in accordance with Section [
11-49-701
] 
63A-15-701
, a majority of the
members present vote to approve closing the meeting for the purpose of seeking or obtaining
legal advice on legal, evidentiary, or procedural matters, or for conducting deliberations to
reach a decision on the complaint; or
(b) (i) for the Independent Legislative Ethics Commission, the closed meeting is
convened for the purpose of conducting business relating to the receipt or review of an ethics
complaint, provided that public notice of the closed meeting is given under Section 
52-4-202
,
with the agenda for the meeting stating that the meeting will be closed for the purpose of
"conducting business relating to the receipt or review of ethics complaints";
(ii) for the Political Subdivisions Ethics Review Commission established in Section
[
11-49-201
] 
63A-15-201
, the closed meeting is convened for the purpose of conducting
business relating to the preliminary review of an ethics complaint in accordance with Section
[
11-49-602
] 
63A-15-602
, provided that public notice of the closed meeting is given under
Section 
52-4-202
, with the agenda for the meeting stating that the meeting will be closed for
the purpose of "conducting business relating to the review of ethics complaints"; or
(iii) for the Independent Executive Branch Ethics Commission created in Section
63A-14-202
, the closed meeting is convened for the purpose of conducting business relating to
an ethics complaint, provided that public notice of the closed meeting is given under Section
52-4-202
, with the agenda for the meeting stating that the meeting will be closed for the
purpose of "conducting business relating to an ethics complaint."
(2) A closed meeting is not allowed unless each matter discussed in the closed meeting
is permitted under Section 
52-4-205
.
(3) An ordinance, resolution, rule, regulation, contract, or appointment may not be
approved at a closed meeting.
(4) The following information shall be publicly announced and entered on the minutes
of the open meeting at which the closed meeting was approved:
(a) the reason or reasons for holding the closed meeting;
(b) the location where the closed meeting will be held; and
(c) the vote by name, of each member of the public body, either for or against the
motion to hold the closed meeting.
(5) Except as provided in Subsection 
52-4-205
(2), nothing in this chapter shall be
construed to require any meeting to be closed to the public.
Section 4. Section 
63A-14-102
 is amended to read:
63A-14-102.
Definitions.
As used in this chapter:
(1) "Commission" means the Independent Executive Branch Ethics Commission,
created in Section 
63A-14-202
.
(2) "Complainant" means an individual who files a complaint under Subsection
63A-14-402
(1)(a).
(3) "Executive branch elected official" means:
(a) the governor;
(b) the lieutenant governor;
(c) the state auditor;
(d) the state treasurer; or
(e) the attorney general.
(4) "Improper purpose" includes harassing a respondent, causing unwarranted harm to
a respondent's reputation, or causing unnecessary expenditure of public funds.
(5) "Malfeasance in office" means an intentional act or omission relating to the duties
of an executive branch elected official that:
(a) constitutes a crime; or
(b) (i) constitutes a substantial breach of the trust imposed upon the executive branch
elected official by the nature of the official's office; and
(ii) is against commonly accepted standards of honesty and morality.
[
(5)
] 
(6)
 "Respondent" means the executive branch elected official against whom an
ethics complaint described in Section 
63A-14-402
 is filed.
[
(6)
] 
(7)
 "Violation" means a high crime, a misdemeanor, or malfeasance in office.
Section 5. Section 
63A-14-202
 is amended to read:
63A-14-202.
Independent Executive Branch Ethics Commission -- Membership.
(1) (a) There is created the Independent Executive Branch Ethics Commission,
consisting of the following five members appointed by the governor, each of whom shall be
registered to vote in the state at the time of appointment:
(i) two members who served:
(A) as elected officials in state government no more recently than four years before the
day on which the member is appointed; or
(B) in a management position in the state executive branch no more recently than four
years before the day on which the member is appointed;
(ii) one member who:
(A) has served, but no longer actively serves, as a judge of a court in the state; or
(B) is a licensed attorney in the state and is not, and has not been, a judge; and
(iii) two citizen members.
(b) The governor shall make appointments to the commission as follows:
(i) each executive branch elected official, other than the governor, shall select, and
provide to the governor, at least two names for potential appointment to one of the membership
positions described in Subsection (1)(a);
(ii) the governor shall determine which of the executive branch elected officials
described in Subsection (1)(b)(i) shall select names for which membership position;
(iii) the governor shall appoint to the commission one of the names provided by each
executive branch elected official described in Subsection (1)(b)(i);
(iv) the governor shall directly appoint the remaining member of the commission; and
(v) if an executive branch elected official fails to submit names to the governor within
15 days after the day on which the governor makes the determination described in Subsection
(1)(b)(ii), the governor shall directly appoint a person to fill the applicable membership
position.
(2) A member of the commission may not, during the member's term of office on the
commission, act or serve as:
(a) an officeholder as defined in Section 
20A-11-101
;
(b) an agency head as defined in Section 
67-16-3
;
(c) a lobbyist as defined in Section 
36-11-102
;
(d) a principal as defined in Section 
36-11-102
; or
(e) an employee of the state.
(3) (a) Except as provided in Subsection (3)(b), each member of the commission shall
serve a four-year term.
(b) The governor shall set the first term of two of the members of the commission at
two years, so that approximately half of the commission is appointed, or reappointed, every
two years.
(c) When a vacancy occurs in the commission's membership for any reason, the
governor shall appoint a replacement member for the unexpired term of the vacating member,
in accordance with Subsection (1).
(d) The governor may not appoint a member to serve more than two full terms, whether
those terms are two or four years.
(e) (i) The governor, or a majority of the commission, may remove a member from the
commission only for cause.
(ii) The governor may not remove a member from the commission during any period of
time when the commission is investigating or considering a complaint alleging an ethics
violation against the governor or lieutenant governor.
(f) If a commission member determines that the commission member has a conflict of
interest in relation to a complaint, the remaining members of the commission shall appoint an
individual to serve in that member's place for the purpose of reviewing that complaint.
(4) (a) A member of the commission may not receive compensation or benefits for the
member's service, but may receive per diem and expenses incurred in the performance of the
member's official duties at the rates established by the Division of Finance under Sections
63A-3-106
 and 
63A-3-107
.
(b) A member may decline to receive per diem and expenses for the member's service.
(5) (a) The commission members shall convene a meeting annually each January and
elect, by majority vote, a chair from among the commission members.
(b) An individual may not serve as chair for more than two consecutive years.
(6) The commission:
(a) is 
an independent entity
 established within the department for budgetary and
general administrative purposes only; and
(b) is not under the direction or control of the department, the executive director, or
any other officer or employee of the department.
Section 6. Section 
63A-14-203
 is amended to read:
63A-14-203.
Independent Executive Branch Ethics Commission -- Meetings --
Annual summary report -- Staff -- Legal counsel -- Supplemental appropriations.
(1) The commission shall meet for the purpose of reviewing an ethics complaint when:
(a) except as otherwise expressly provided in this chapter, called to meet at the
discretion of the chair; or
(b) called to meet by a majority vote of the commission.
(2) (a) A majority of the commission is a quorum.
(b) A majority vote of a quorum present constitutes the action of the commission.
(3) (a) The commission shall prepare an annual summary data report that contains:
(i) a general description of the activities of the commission during the past year;
(ii) the number of ethics complaints filed with the commission;
(iii) the number of ethics complaints reviewed by the commission;
(iv) a summary description of ethics complaints that formed the basis for a commission
finding that an allegation in a complaint has merit; and
(v) an accounting of the commission's budget and expenditures.
(b) The commission shall submit the summary data report to the [
Legislative
Management Committee
] 
governor
 before December 1 each year.
(c) The summary data report is a public record.
[
(4) (a) The commission may employ staff at a level that is reasonable to assist the
commission in performing the commission's duties as established in this chapter.
]
(4) The commission:
(a) shall employ a director to provide administrative support to the commission and to
assist the commission in fulfilling the commission's duties;
(b) may employ additional staff, to work under the direction of the director;
(c) shall contract with private legal counsel to provide legal services to the
commission, as needed; and
(d) may, in consultation with the Office of the Legislative Fiscal Analyst, request
supplemental appropriations to pay the costs of legal fees and other staffing needs that exceed
the commission's budget due to the number or complexity of the ethics complaints filed with or
considered by the commission in a fiscal year.
[
(b)
] 
(5) (a)
 Except as provided in Subsection [
(4)(c)
] 
(5)(b)
, staff for the commission
may not perform services for any other person in state government.
[
(c)
] 
(b)
 A person employed as staff for the commission may be the same person
employed as staff for the Independent Legislative Ethics Commission, if the staff ensures that
proper protections are in place to preserve the confidentiality to both bodies and to avoid a
conflict of interest.
[
(5)
] 
(6)
 Except as expressly otherwise provided in this chapter, all meetings held
under this chapter are closed to the public.
Section 7. Section 
63A-14-302
 is amended to read:
63A-14-302.
Authority to review complaint -- Grounds for complaint --
Limitations on filings.
(1) Subject to the requirements of this chapter, the commission may review an ethics
complaint against an executive branch elected official if the complaint alleges that the
executive branch elected official has committed a violation.
(2) The commission may not review an ethics complaint filed against an executive
branch elected official unless the complaint alleges conduct that, if true, would constitute
grounds for impeachment under the Utah Constitution.
(3) A complaint against an executive branch elected official may not allege a violation
by the executive branch elected official for an act by an individual under the authority of the
executive branch elected official, unless the complaint evidences that the executive branch
elected official:
(a) encouraged, condoned, or ordered the act;
(b) (i) before the individual engaged in the act, knew or should have known that the
individual was likely to engage in the act; and
(ii) failed to take appropriate action to prevent the act;
(c) (i) while the individual engaged in the act, knew or should have known that the
individual was engaging in the act; and
(ii) failed to take appropriate action to stop the act; or
(d) (i) after the individual engaged in the act, knew or should have known that the
individual engaged in the act; and
(ii) failed to take appropriate action in response to the act.
(4) A complaint against an executive branch elected official may not allege a violation
by the executive branch elected official for an individual under the authority of the executive
branch elected official failing to act, unless the complaint evidences that the executive branch
elected official:
(a) encouraged, condoned, or ordered the failure to act;
(b) (i) before the individual failed to act, knew or should have known that the
individual was likely to fail to act; and
(ii) failed to take appropriate action to prevent the failure to act;
(c) (i) while the individual was failing to act, knew or should have known that the
individual was failing to act; and
(ii) failed to take appropriate action to prevent the failure to act; or
(d) (i) after the individual failed to act, knew or should have known that the individual
failed to act; and
(ii) failed to take appropriate action in response to the failure to act.
[
(2)
] 
(5)
 Individuals who file a complaint for an alleged violation shall file the
complaint within two years after the later of:
(a) the day on which the action or omission that forms the basis for the alleged
violation occurs or would have been discovered by a reasonable person; or
(b) the day on which a plea or conviction that forms the basis for the allegation is
entered.
[
(3)
] 
(6)
 (a) A complaint may not contain an allegation that was previously reviewed by
the commission, unless:
(i) the allegation is accompanied by material facts or circumstances supporting the
allegation that were not raised or pled to the commission when the allegation was previously
reviewed; and
(ii) the allegation and the general facts and circumstances supporting the allegation
were only reviewed by the commission on one previous occasion.
(b) If an allegation in a complaint does not comply with the requirements of Subsection
[
(3)
] 
(6)
(a), the commission or the chair shall dismiss the allegation with prejudice.
(7) (a) An individual may not file a complaint under this chapter that alleges the same
conduct alleged in a grievance filed under Title 67, Chapter 19a, Grievance Procedures, unless
the individual files the complaint within seven days before or after the day on which the
individual files the grievance under Title 67, Chapter 19a, Grievance Procedures.
(b) If an allegation in a complaint does not comply with the requirements of Subsection
(7)(a), the commission or the chair shall dismiss the allegation with prejudice.
(c) If an individual files a complaint under this chapter, in accordance with the time
requirement described in Subsection (7)(a), that alleges the same conduct alleged in a grievance
filed under Title 67, Chapter 19a, Grievance Procedures:
(i) the commission may stay proceedings before the commission in relation to the
allegation, pending resolution of the grievance filed under Title 67, Chapter 19a, Grievance
Procedures; and
(ii) the Career Service Review Office, created in Section 
67-19a-201
, shall, upon
request of the commission, inform the commission of the progress and final disposition of the
grievance proceeding.
(8) If the commission stays proceedings under Subsection (7)(c), the matter shall
proceed as follows after the grievance under Title 67, Chapter 19a, Grievance Procedures, is
resolved:
(a) if the individual who filed the complaint under this chapter desires to proceed with
the complaint:
(i) the individual shall, within 15 days after the day on which a final decision is
rendered under Title 67, Chapter 19a, Grievance Procedures, file a written document with the
commission:
(A) describing the final decision; and
(B) stating that the individual desires to proceed with the complaint;
(ii) the Career Service Review Office, created in Section 
67-19a-201
, shall, upon
request of the commission, provide copies of all records relating to the grievance described in
Subsection (7)(c)(i), in accordance with Section 
63G-2-206
; and
(iii) the commission shall:
(A) review the records described in Subsection (8)(a)(ii);
(B) consider any additional evidence that the commission determines necessary;
(C) in the discretion of the commission, hear closing arguments from the parties; and
(D) comply with Section 
63A-14-604
; or
(b) if the individual who filed the complaint under this chapter does not desire to
proceed with the complaint, the individual shall, within 15 days after the day on which a final
decision is rendered under Title 67, Chapter 19a, Grievance Procedures, file a written
document with the commission stating that the individual does not desire to proceed with the
complaint.
(9) The commission shall dismiss a complaint for which the commission stayed
proceedings under Subsection (7)(c) if the individual who filed the complaint:
(a) fails to timely comply with Subsection (8)(a)(i); or
(b) files the document described in Subsection (8)(b).
Section 8. Section 
63A-14-402
 is amended to read:
63A-14-402.
Ethics complaints -- Filing -- Form.
(1) (a) The following individuals may file an ethics complaint against an executive
branch elected official if the complaint meets the requirements of Section 
63A-14-302
 and
Subsection (1)(b):
(i) two or more executive branch elected officials, deputies of elected officials,
executive directors of departments in the executive branch, or directors of divisions in the
executive branch, if the complaint contains evidence or sworn testimony that:
(A) describes the facts and circumstances supporting the alleged violation; and
(B) is generally admissible under the Utah Rules of Evidence; or
(ii) two or more registered voters who currently reside in Utah and are not individuals
described in Subsection (1)(a)(i), if, for each alleged violation pled in the complaint, at least
one of those registered voters has [
actual
] 
personal
 knowledge of the facts and circumstances
supporting the alleged violation.
(b) Complainants may file a complaint only against an individual who is serving as an
executive branch elected official on the date that the complaint is filed.
(2) (a) The [
lieutenant governor
] 
commission
 shall post, on the [
home page of the
lieutenant governor's
] 
state's
 website, a conspicuous and clearly identified link to the name and
address of a person authorized to accept a complaint on behalf of the commission.
(b) Complainants shall file a complaint with the person described in Subsection (2)(a).
(c) An individual may not file a complaint during the 60 calendar days immediately
preceding:
(i) a regular primary election in which the accused executive branch elected official is a
candidate; or
(ii) a regular general election in which the accused executive branch elected official is
a candidate, unless the accused executive branch elected official is unopposed in the election.
(3) The complainants shall ensure that each complaint filed under this rule is in writing
and contains the following information:
(a) the name and position or title of the respondent;
(b) the name, address, and telephone number of each individual who is filing the
complaint;
(c) a description of each alleged violation, including for each alleged violation:
(i) a reference to any criminal provision that the respondent is alleged to have violated;
(ii) a reference to any other provision of law that the respondent is alleged to have
violated or failed to comply with;
(iii) the name of the complainant or complainants who have [
actual
] 
personal
knowledge of the supporting facts and circumstances; and
(iv) the facts and circumstances supporting the allegation, which shall be provided by:
(A) copies of official records or documentary evidence; or
(B) one or more affidavits, each of which shall comply with the format described in
Subsection (4);
(d) a list of the witnesses that the complainants desire to call, including for each
witness:
(i) the name, address, and, if available, one or more telephone numbers of the witness;
(ii) a brief summary of the testimony to be provided by the witness; and
(iii) a specific description of any documents or evidence the complainants desire the
witness to produce;
(e) a statement that each complainant:
(i) has reviewed the allegations contained in the complaint and the affidavits and
documents attached to the complaint;
(ii) believes that the complaint is submitted in good faith and not for any improper
purpose; and
(iii) believes the allegations contained in the complaint to be true and accurate; and
(f) the signature of each complainant.
(4) An affidavit described in Subsection (3)(c)(iv)(B) shall include:
(a) the name, address, and telephone number of the affiant;
(b) a statement that the affiant has [
actual
] 
personal
 knowledge of the facts and
circumstances described in the affidavit;
(c) the facts and circumstances testified to by the affiant;
(d) a statement that the affidavit is believed to be true and correct and that false
statements are subject to penalties for perjury; and
(e) the signature of the affiant.
Section 9. Section 
63A-14-403
 is amended to read:
63A-14-403.
Privacy of ethics complaint -- Dismissal -- Contempt.
(1) (a) Except as provided in Subsection (2) or [
(3)
] 
(4)
, a person, including the
complainant, the respondent, a commission member, or staff to the commission may not
disclose the existence of a complaint, a response, or any information concerning an alleged
violation that is the subject of a complaint.
(b) A person that violates this Subsection (1) may be held in contempt of the
commission in accordance with Section 
63A-14-705
.
(2) The restrictions described in Subsection (1) do not apply to:
(a) a complaint or response that is publicly released by the commission and referred to
the Legislature; [
or
]
(b) the respondent's voluntary disclosure that the commission determined that all
allegations in a complaint are without merit, after the commission issues an order dismissing
the complaint under Section 
63A-14-605
[
.
]
;
(c) a disclosure by a respondent that is made solely for the purpose of, and only to the
extent necessary for, retaining counsel or conducting an interview, seeking evidence, or taking
other action to prepare to defend against a complaint;
(d) a communication between a commission member and the commission's attorney or
a member of the commission's staff; or
(e) a disclosure to a person that is determined necessary, by a majority vote of the
commission, to conduct the duties of the commission.
(3) When a person makes a disclosure under Subsection (2)(c) or (e), the person
making the disclosure shall inform the person to whom the disclosure is made of the
nondisclosure requirements described in this section.
[
(3)
] 
(4)
 Nothing in this section prevents a person from disclosing facts or allegations
regarding potential criminal violations to law enforcement authorities.
[
(4)
] 
(5)
 If the existence of an ethics complaint is publicly disclosed by a person, other
than the respondent [
or
]
,
 an agent of the respondent, 
or a person who learns of the complaint
under Subsection (2)(c) or (e),
 during the period that the commission is reviewing the
complaint, the commission shall summarily dismiss the complaint without prejudice.
Section 10. Section 
63A-14-405
 is enacted to read:
 63A-14-405.
Motion to disqualify commission member for conflict of interest.
(1) A complainant may file a motion to disqualify one or more members of the
commission from participating in proceedings relating to the complaint if the individual files
the motion within 20 days after the later of:
(a) the day on which the individual files the ethics complaint; or
(b) the day on which the individual knew or should have known of the grounds upon
which the motion is based.
(2) A respondent may file a motion to disqualify one or more members of the
commission from participating in proceedings relating to the complaint if the respondent files
the motion within 20 days after the later of:
(a) the day on which the respondent receives delivery of the complaint; or
(b) the day on which the respondent knew or should have known of the grounds upon
which the motion is based.
(3) A motion filed under this section shall include:
(a) a statement that the members to whom the motion relates have a conflict of interest
that, under the circumstances, would lead a reasonable person to question the impartiality of
the members;
(b) a detailed description of the grounds supporting the statement described in
Subsection (3)(a); and
(c) a statement that the motion is filed in good faith, supported by an affidavit or
declaration under penalty of Section 
78B-5-705
 stating that the motion and all accompanying
statements and documents are true and correct to the best of the complainant's or respondent's
knowledge.
(4) A party may not file more than one motion to disqualify, unless the second or
subsequent motion:
(a) is based on grounds of which the party was not aware, and could not have been
aware, at the time of the earlier motion; and
(b) is accompanied by a statement, included in the affidavit or declaration described in
Subsection (3)(c), explaining how and when the party first became aware of the grounds
described in Subsection (4)(a).
(5) The commission shall dismiss a motion filed under this section, with prejudice, if
the motion:
(a) is not timely filed; or
(b) does not comply with the requirements of this section.
(6) A member of the commission may:
(a) on the member's own motion, disqualify the member from participating in
proceedings relating to a complaint if the member believes that the member has a conflict of
interest that, under the circumstances, would lead a reasonable person to question the
impartiality of the member; or
(b) ask the commission to disqualify another member of the commission if the member
believes that the member has a conflict of interest that, under the circumstances, would lead a
reasonable person to question the impartiality of the member.
(7) (a) When a party files a motion under this section, or when a commission member
makes a request under Subsection (6)(b), the commission member for whom disqualification is
sought may make the initial determination regarding whether the commission member has a
conflict of interest.
(b) If a commission member described in Subsection (7)(a) determines that the
commission member has a conflict of interest, the commission member shall disqualify the
commission member from participating in the matter.
(c) If a commission member described in Subsection (7)(a) determines that the
commission member does not have a conflict of interest, or declines to make the determination,
the remainder of the commission shall, by majority vote, determine whether the commission
member has a conflict of interest.
(d) A vote of the commission, under Subsection (7)(c), constitutes a final decision on
the issue of a conflict of interest.
(8) In making a determination under Subsection (7)(c), the commission may:
(a) gather additional evidence;
(b) hear testimony; or
(c) request that the commission member who is the subject of the motion or request file
an affidavit or declaration responding to questions posed by the commission.
Section 11. Section 
63A-14-502
 is amended to read:
63A-14-502.
Initial review of ethics complaint -- Notice.
(1) [
Within
] 
(a) Except as provided in Subsection (1)(b), within 
 five business days
after the day on which the commission receives a complaint, the [
staff of
] 
director of
 the
commission, in consultation with the chair, shall examine the complaint to determine if [
it
] 
the
complaint
 is in compliance with Sections 
63A-14-302
 and 
63A-14-402
.
(b) The chair shall appoint another staff member or member of the commission to
fulfill a duty described in Subsection (1)(a) if an individual described in Subsection (1)(a) has a
conflict of interest in relation to the complaint.
(2) If the chair determines that the complaint does not comply with Sections
63A-14-302
 and 
63A-14-402
, the chair shall:
(a) return the complaint to the first complainant named on the complaint with:
(i) a description of the reason for the noncompliance; and
(ii) a copy of the applicable provisions of law; and
(b) without disclosing the identity of the respondent, notify the other members of the
commission that a complaint was filed against an executive branch elected official, but that the
complaint was returned for noncompliance with the requirements of this chapter.
(3) Each member of the commission and the commission's staff shall keep confidential
the fact that a complaint was filed and returned until the commission submits the annual
summary data report described in Section 
63A-14-203
.
(4) If a complaint is returned for noncompliance with the requirements of this chapter,
the complainants may file another complaint if the new complaint independently meets the
requirements of Sections 
63A-14-302
 and 
63A-14-402
, including any requirements for timely
filing.
(5) If the chair determines that a complaint complies with the requirements of this
chapter, the chair shall:
(a) accept the complaint;
(b) notify the members of the commission that:
(i) a complaint has been filed against an executive branch elected official; and
(ii) the chair has accepted the complaint; and
(c) within five business days after the day on which the commission receives the
complaint, forward the complaint to the respondent via personal delivery or a delivery method
that provides verification of receipt, and include with the complaint notice of the respondent's
deadline for filing a response to the complaint.
(6) (a) The identity of the respondent and the allegations raised in a complaint are
confidential pending the commission's review of the complaint.
(b) The fact that a complaint was filed is confidential until the commission publicly
discloses the existence of the complaint by:
(i) issuing a finding that an allegation in the complaint has merit; or
(ii) submitting the annual summary data report described in Section 
63A-14-203
.
Section 12. Section 
63A-14-504
 is amended to read:
63A-14-504.
Response to ethics complaint -- Filing -- Form.
(1) A respondent shall file a response to a complaint with the commission no later than
20 days after the day on which the respondent receives delivery of the complaint.
(2) A respondent shall ensure that the response is in writing and contains the following
information:
(a) the name, address, and telephone number of the respondent;
(b) for each alleged violation in the complaint:
(i) each affirmative defense asserted in response to the allegation, including a general
description of each affirmative defense and the facts and circumstances supporting the defense,
supported by one or more affidavits, each of which shall comply with the format described in
Subsection (3); and
(ii) the facts and circumstances refuting the allegation, which shall be provided by:
(A) copies of official records or documentary evidence; or
(B) one or more affidavits, each of which shall comply with the format described in
Subsection (3);
(c) a list of the witnesses that the respondent desires to call, including for each witness:
(i) the name, address, and, if available, telephone number of the witness;
(ii) a brief summary of the testimony to be provided by the witness; and
(iii) a specific description of any documents or evidence that the respondent desires the
witness to produce;
(d) a statement that the respondent:
(i) has reviewed the allegations contained in the complaint and the sworn statements
and documents attached to the response; and
(ii) believes the contents of the response to be true and accurate; and
(e) the signature of the respondent.
(3) An affidavit described in Subsection (2)(b) shall include:
(a) the name, address, and telephone number of the affiant;
(b) a statement that the affiant has [
actual
] 
personal
 knowledge of the facts and
circumstances alleged in the affidavit;
(c) the facts and circumstances testified to by the affiant;
(d) a statement that the affidavit is believed to be true and correct and that false
statements are subject to penalties for perjury; and
(e) the signature of the affiant.
(4) Within five business days after the day on which the commission receives the
response, the commission shall provide copies of the response to:
(a) each member of the commission; and
(b) the first named complainant on the complaint.
Section 13. Section 
63A-14-604
 is amended to read:
63A-14-604.
Process for making a decision -- Deliberations.
(1) (a) After each party presents a closing argument, the commission shall, at the
direction of the chair, begin private deliberations.
(b) The deliberations described in Subsection (1)(a) may be held:
(i) immediately after conclusion of the closing arguments; or
(ii) at a future meeting of the commission, on a date and time determined by a majority
of the members of the commission.
(2) (a) The chair shall conduct the deliberations.
(b) Upon a motion made by a commission member, the commission may exclude
commission staff from all or a portion of the deliberations by a majority vote of the
commission.
(3) (a) During deliberations, for each allegation reviewed by the commission, each
member shall determine and cast a vote stating whether the allegation is:
(i) proved, by clear and convincing evidence, to have merit; or
(ii) not proved to have merit.
(b) A verbal roll call vote shall be taken on each allegation and each member's vote
shall be recorded.
(4) (a) An allegation is determined to not have merit unless four of the five members of
the commission vote that the allegation has merit.
(b) An allegation that is not determined to have merit is dismissed.
(5) (a) Before issuing an order or a finding under Section 
63A-14-605
, the commission
may, upon a majority vote, reconsider and hold a new vote on an allegation.
(b) A motion to reconsider a vote may only be made by a member of the commission
who voted in favor of the vote to be reconsidered.
(6) At the conclusion of deliberations, the commission shall prepare an order or a
finding in accordance with Section 
63A-14-605
.
(7) The commission may not find that an allegation has merit if the allegation is based
on an act by an individual under the authority of the executive branch elected official, unless
the commission finds, by clear and convincing evidence, that the executive branch elected
official:
(a) encouraged, condoned, or ordered the act;
(b) (i) before the individual engaged in the act, knew or should have known that the
individual was likely to engage in the act; and
(ii) failed to take appropriate action to prevent the act;
(c) (i) while the individual engaged in the act, knew or should have known that the
individual was engaging in the act; and
(ii) failed to take appropriate action to stop the act; or
(d) (i) after the individual engaged in the act, knew or should have known that the
individual engaged in the act; and
(ii) failed to take appropriate action in response to the act.
(8) The commission may not find that an allegation has merit if the allegation is based
on the failure of an individual under the authority of the executive branch elected official to act,
unless the commission finds, by clear and convincing evidence, that the executive branch
elected official:
(a) encouraged, condoned, or ordered the failure to act;
(b) (i) before the individual failed to act, knew or should have known that the
individual was likely to fail to act; and
(ii) failed to take appropriate action to prevent the failure to act;
(c) (i) while the individual was failing to act, knew or should have known that the
individual was failing to act; and
(ii) failed to take appropriate action to prevent the failure to act; or
(d) (i) after the individual failed to act, knew or should have known that the individual
failed to act; and
(ii) failed to take appropriate action in response to the failure to act.
Section 14. Section 
63A-15-101
, which is renumbered from Section 11-49-101 is
renumbered and amended to read:
CHAPTER 15. POLITICAL SUBDIVISIONS ETHICS REVIEW COMMISSION
Part 1. General Provisions
[
11-49-101
].
 63A-15-101.
Title.
This chapter is known as "Political Subdivisions Ethics Review Commission."
Section 15. Section 
63A-15-102
, which is renumbered from Section 11-49-102 is
renumbered and amended to read:
[
11-49-102
].
 63A-15-102.
Definitions.
(1) "Commission" means the Political Subdivisions Ethics Review Commission
established in Section [
11-49-201
] 
63A-15-201
.
(2) "Complainant" means a person who files a complaint in accordance with Section
[
11-49-501
] 
63A-15-501
.
(3) "Ethics violation" means a violation of:
(a) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
(b) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
(c) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act.
(4) "Local political subdivision ethics commission" means an ethics commission
established by a political subdivision within the political subdivision or with another political
subdivision by interlocal agreement in accordance with Section [
11-49-103
] 
63A-15-103
.
(5) "Political subdivision" means a county, municipality, school district, community
reinvestment agency, local district, special service district, an entity created by an interlocal
agreement adopted under Title 11, Chapter 13, Interlocal Cooperation Act, a local building
authority, or any other governmental subdivision or public corporation.
(6) (a) "Political subdivision employee" means a person who is:
(i) (A) in a municipality, employed as a city manager or non-elected chief executive on
a full or part-time basis; or
(B) employed as the non-elected chief executive by a political subdivision other than a
municipality on a full or part-time basis; and
(ii) subject to:
(A) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
(B) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
(C) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act.
(b) "Political subdivision employee" does not include:
(i) a person who is a political subdivision officer;
(ii) an employee of a state entity; or
(iii) a legislative employee as defined in Section 
67-16-3
.
(7) "Political subdivision governing body" means:
(a) for a county, the county legislative body as defined in Section 
68-3-12.5
;
(b) for a municipality, the council of the city or town;
(c) for a school district, the local board of education described in Section 
53A-3-101
;
(d) for a community reinvestment agency, the agency board described in Section
17C-1-203
;
(e) for a local district, the board of trustees described in Section 
17B-1-301
;
(f) for a special service district:
(i) the legislative body of the county, city, or town that established the special service
district, if no administrative control board has been appointed under Section 
17D-1-301
; or
(ii) the administrative control board of the special service district, if an administrative
control board has been appointed under Section 
17D-1-301
;
(g) for an entity created by an interlocal agreement, the governing body of an interlocal
entity, as defined in Section 
11-13-103
;
(h) for a local building authority, the governing body, as defined in Section 
17D-2-102
,
that creates the local building authority; or
(i) for any other governmental subdivision or public corporation, the board or other
body authorized to make executive and management decisions for the subdivision or public
corporation.
(8) (a) "Political subdivision officer" means a person elected in a political subdivision
who is subject to:
(i) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
(ii) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
(iii) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act.
(b) "Political subdivision officer" does not include:
(i) a person elected or appointed to a state entity;
(ii) the governor;
(iii) the lieutenant governor;
(iv) a member or member-elect of either house of the Legislature; or
(v) a member of Utah's congressional delegation.
(9) "Respondent" means a person who files a response in accordance with Section
[
11-49-604
] 
63A-15-604
.
Section 16. Section 
63A-15-103
, which is renumbered from Section 11-49-103 is
renumbered and amended to read:
[
11-49-103
].
 63A-15-103.
Local ethics commission permitted -- Filing
requirements.
(1) A political subdivision, other than a municipality described in Section 
10-3-1311
 or
a county described in Section 
17-16a-11
, may establish a local political subdivision ethics
commission within the political subdivision to review a complaint against a political
subdivision officer or employee subject to Title 67, Chapter 16, Utah Public Officers' and
Employees' Ethics Act.
(2) A political subdivision may enter into an interlocal agreement with another political
subdivision, in accordance with Title 11, Chapter 13, Interlocal Cooperation Act, to establish a
local political subdivision ethics commission to review a complaint against a political
subdivision officer or employee subject to Title 67, Chapter 16, Utah Public Officers' and
Employees' Ethics Act.
(3) (a) A person filing a complaint for an ethics violation of Title 67, Chapter 16, Utah
Public Officers' and Employees' Ethics Act, shall file the complaint with:
(i) a local political subdivision ethics commission, if the political subdivision has
established a local political subdivision ethics commission under Subsection (1) or (2); or
(ii) the commission if the political subdivision has not established a local political
subdivision ethics commission.
(b) A political subdivision that receives a complaint described in Subsection (3)(a)
may:
(i) accept the complaint if the political subdivision has established a local political
subdivision ethics commission in accordance with Subsection (1) or (2); or
(ii) forward the complaint to the commission:
(A) regardless of whether the political subdivision has established a local political
subdivision ethics commission; or
(B) if the political subdivision has not established a local political subdivision ethics
commission.
Section 17. Section 
63A-15-201
, which is renumbered from Section 11-49-201 is
renumbered and amended to read:
Part 2. Political Subdivisions Ethics Review Commission
[
11-49-201
].
 63A-15-201.
Commission established -- Membership.
(1) There is established a Political Subdivisions Ethics Review Commission.
(2) The commission is composed of seven [
persons
] 
individuals
, each of whom is
registered to vote in this state and appointed by the governor with the advice and consent of the
Senate, as follows:
(a) one member who has served, but no longer serves, as a judge of a court of record in
this state;
(b) one member who has served as a mayor or municipal council member no more
recently than four years before the date of appointment;
(c) one member who has served as a member of a local board of education no more
recently than four years before the date of appointment;
(d) two members who are lay persons; and
(e) two members, each of whom is one of the following:
(i) a municipal mayor no more recently than four years before the date of appointment;
(ii) a municipal council member no more recently than four years before the date of
appointment;
(iii) a county mayor no more recently than four years before the date of appointment;
(iv) a county commissioner no more recently than four years before the date of
appointment;
(v) a special service district administrative control board member no more recently
than four years before the date of appointment;
(vi) a local district board of trustees member no more recently than four years before
the date of appointment; or
(vii) a judge who has served, but no longer serves, as a judge of a court of record in
this state.
(3) 
(a)
 A member of the commission may not, during the member's term of office on
the commission, act or serve as:
[
(a)
] 
(i)
 a political subdivision officer;
[
(b)
] 
(ii)
 a political subdivision employee;
[
(c)
] 
(iii)
 an agency head as defined in Section 
67-16-3
;
[
(d)
] 
(iv)
 a lobbyist as defined in Section 
36-11-102
; or
[
(e)
] 
(v)
 a principal as defined in Section 
36-11-102
.
(b) In addition to the seven members described in Subsection (2), the governor shall,
with the advice and consent of the Senate, appoint one individual as an alternate member of the
commission who:
(i) may be a lay person;
(ii) shall be registered to vote in the state; and
(iii) complies with the requirements described in Subsection (3)(a).
(c) The alternate member described in Subsection (3)(b):
(i) shall serve as a member of the commission in the place of one of the seven members
described in Subsection (2) if that member is temporarily unable or unavailable to participate in
a commission function or is disqualified under Section 
63A-15-303
; and
(ii) may not cast a vote on the commission unless the alternate member is serving in
the capacity described in Subsection (3)(c)(i).
(4) (a) (i) Except as provided in Subsection (4)(a)(ii), each member of the commission
shall serve a four-year term.
(ii) When appointing the initial members upon formation of the commission, a member
described in Subsections (2)(b) through (d) shall be appointed to a two-year term so that
approximately half of the commission is appointed every two years.
(b) (i) When a vacancy occurs in the commission's membership for any reason, a
replacement member shall be appointed for the unexpired term of the vacating member using
the procedures and requirements of Subsection (2).
(ii) For the purposes of this section, an appointment for an unexpired term of a
vacating member is not considered a full term.
(c) A member may not be appointed to serve for more than two full terms, whether
those terms are two or four years.
(d) A member of the commission may resign from the commission by giving one
month's written notice of the resignation to the governor.
(e) The governor shall remove a member from the commission if the member:
(i) is convicted of, or enters a plea of guilty to, a crime involving moral turpitude;
(ii) enters a plea of no contest or a plea in abeyance to a crime involving moral
turpitude; or
(iii) fails to meet the qualifications of office as provided in this section.
(f) 
(i)
 If a commission member is accused of wrongdoing in a complaint, or if a
commission member [
determines that the commission member
] has a conflict of interest in
relation to a [
complaint, a temporary commission member shall be appointed to serve in that
member's place for the purposes of reviewing that complaint using the procedures and
requirements of Subsection (2).
] 
matter before the commission:
(A) the alternate member described in Subsection (3)(b) shall serve in the member's
place for the purposes of reviewing the complaint; or
(B) if the alternate member has already taken the place of another commission member
or is otherwise not available, the commission shall appoint another individual to temporarily
serve in the member's place for the purposes of reviewing the complaint.
(ii) An individual appointed by the commission under Subsection (4)(f)(i)(B):
(A) is not required to be confirmed by the Senate;
(B) may be a lay person;
(C) shall be registered to vote in the state; and
(D) shall comply with Subsection (3)(a).
(5) (a) Except as provided in Subsection (5)(b)(i), a member of the commission may
not receive compensation or benefits for the member's service.
(b) (i) A member may receive per diem and expenses incurred in the performance of
the member's official duties at the rates established by the Division of Finance under Sections
63A-3-106
 and 
63A-3-107
.
(ii) A member may decline to receive per diem and expenses for the member's service.
(6) [
(a)
] The commission members shall [
convene a meeting annually each January and
elect
], by a majority vote, 
elect
 a commission chair from among the commission members.
[
(b) A person may not serve as chair for more than two consecutive years.
]
Section 18. Section 
63A-15-202
, which is renumbered from Section 11-49-202 is
renumbered and amended to read:
[
11-49-202
].
 63A-15-202.
Meetings -- Staff -- Legal counsel -- Additional
appropriations.
(1) The commission shall meet for the purpose of reviewing an ethics complaint when:
(a) except otherwise expressly provided in this chapter, called to meet at the discretion
of the chair; or
(b) a majority of members agree to meet.
(2) A majority of the commission is a quorum.
(3) (a) The commission shall prepare, on an annual basis, a summary data report that
contains:
(i) a general description of the activities of the commission during the past year;
(ii) the number of ethics complaints filed with the commission;
(iii) the number of ethics complaints dismissed in accordance with Section [
11-49-602
]
63A-15-602
;
(iv) the number of ethics complaints reviewed by the commission in accordance with
Section [
11-49-701
] 
63A-15-701
;
(v) an executive summary of each complaint review in accordance with Section
[
11-49-701
] 
63A-15-701
; and
(vi) an accounting of the commission's budget and expenditures.
(b) The 
commission shall submit the
 summary data report [
shall be submitted to the
Political Subdivisions Interim Committee
] 
to the governor
 on an annual basis.
(c) The summary data report shall be a public record.
(4) (a) The [
Senate and the House of Representatives
] 
commission
 shall employ staff
[
for the commission
] at a level that is reasonable to assist the commission in performing its
duties as established in this chapter.
[
(b) The Legislative Management Committee shall:
]
[
(i) authorize each staff position for the commission; and
]
[
(ii) approve the employment of each staff member for the commission.
]
[
(c)
] 
(b)
 Staff for the commission [
shall work only for the commission and
] may not
perform services for [
the Senate, House of Representatives, other legislative offices, or
] a
political subdivision.
(c) A person employed as staff for the commission may be the same person employed
as staff for the Independent Legislative Ethics Commission, if the staff ensures that proper
protections are in place to preserve the confidentiality to both bodies and to avoid a conflict of
interest.
(5) A meeting held by the commission is subject to Title 52, Chapter 4, Open and
Public Meetings Act, unless otherwise provided.
(6) The commission:
(a) is an independent entity established within the department for budgetary and
general administrative purposes only;
(b) is not under the direction or control of the department, the executive director, or
any other officer or employee of the department;
(c) shall employ a director to provide administrative support to the commission and to
assist the commission in fulfilling the commission's duties;
(d) may employ additional staff, to work under the direction of the director;
(e) shall contract with private legal counsel to provide legal services to the
commission, as needed; and
(f) may, in consultation with the Office of the Legislative Fiscal Analyst, request
supplemental appropriations to pay the costs of legal fees and other staffing needs that exceed
the commission's budget due to the number or complexity of the ethics complaints filed with or
considered by the commission in a fiscal year.
Section 19. Section 
63A-15-301
, which is renumbered from Section 11-49-301 is
renumbered and amended to read:
Part 3. General Powers and Procedures
[
11-49-301
].
 63A-15-301.
Authority to review complaint -- Grounds for
complaint -- Limitations on filings.
(1) Subject to the requirements of this chapter and Section 
10-3-1311
 or 
17-16a-11
, the
commission is authorized to review an ethics complaint against a political subdivision officer
or employee if the complaint alleges:
(a) if the applicable political subdivision is a municipality, an ethics violation of Title
10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act by:
(i) a city manager or non-elected chief executive; or
(ii) an elected officer, as defined in Section 
10-3-1303
;
(b) if the applicable political subdivision is a county, an ethics violation of Title 17,
Chapter 16a, County Officers and Employees Disclosure Act by:
(i) an appointed officer, as defined in Section 
17-16a-3
;
(ii) an elected officer, as defined in Section 
17-16a-3
; or
(iii) an employee subject to Title 17, Chapter 16a, County Officers and Employees
Disclosure Act; or
(c) for a political subdivision officer or employee other than a municipal officer or
employee described in Subsection (1)(a) or a county officer or employee described in
Subsection (1)(b), an ethics violation of Title 67, Chapter 16, Utah Public Officers' and
Employees' Ethics Act.
(2) A complaint described in Subsection (1) shall be filed in accordance with the time
limit provisions, if any, of the applicable part or chapter.
(3) (a) A complaint may not contain an allegation if that allegation and the general
facts and circumstances supporting that allegation have been previously reviewed by a
municipal ethics commission established under Section 
10-3-1311
, a county ethics commission
established under Section 
17-16a-11
, or a local political subdivision ethics commission
established under Section [
11-49-103
] 
63A-15-103
, as applicable, or the commission unless:
(i) the allegation was previously reviewed and dismissed by the commission under
Section [
11-49-602
 or 
11-49-701
] 
63A-15-602
 or 
63A-15-701
;
(ii) the allegation is accompanied by material facts or circumstances supporting the
allegation that were not raised or pled to the commission; and
(iii) the allegation and the general facts and circumstances supporting that allegation
have only been reviewed by the commission in accordance with Section [
11-49-701
]
63A-15-701
 on one previous occasion.
(b) The commission may not review a complaint that is currently before:
(i) a municipal ethics commission established under Section 
10-3-1311
;
(ii) a county ethics commission established under Section 
17-16a-11
; or
(iii) a local political subdivision ethics commission established under Section
[
11-49-103
] 
63A-15-103
.
(c) If an allegation in the complaint does not comply with the requirements of
Subsection (3)(a) or (b), the allegation shall be summarily dismissed with prejudice by:
(i) the chair when reviewing the complaint under Section [
11-49-601
] 
63A-15-601
; or
(ii) the commission, when reviewing the complaint under Section [
11-49-602
 or
11-49-701
] 
63A-15-602
 or 
63A-15-701
.
(4) A complaint against a political subdivision officer or employee may not allege a
violation by the political subdivision officer or employee for an act by an individual under the
authority of the political subdivision officer or employee, unless the complaint evidences that
the political subdivision officer or employee:
(a) encouraged, condoned, or ordered the act;
(b) (i) before the individual engaged in the act, knew or should have known that the
individual was likely to engage in the act; and
(ii) failed to take appropriate action to prevent the act;
(c) (i) while the individual engaged in the act, knew or should have known that the
individual was engaging in the act; and
(ii) failed to take appropriate action to stop the act; or
(d) (i) after the individual engaged in the act, knew or should have known that the
individual engaged in the act; and
(ii) failed to take appropriate action in response to the act.
(5) A complaint against a political subdivision officer or employee may not allege a
violation by the political subdivision officer or employee for an individual under the authority
of the political subdivision officer or employee failing to act, unless the complaint evidences
that the political subdivision officer or employee:
(a) encouraged, condoned, or ordered the failure to act;
(b) (i) before the individual failed to act, knew or should have known that the
individual was likely to fail to act; and
(ii) failed to take appropriate action to prevent the failure to act;
(c) (i) while the individual was failing to act, knew or should have known that the
individual was failing to act; and
(ii) failed to take appropriate action to prevent the failure to act; or
(d) (i) after the individual failed to act, knew or should have known that the individual
failed to act; and
(ii) failed to take appropriate action in response to the failure to act.
Section 20. Section 
63A-15-302
, which is renumbered from Section 11-49-302 is
renumbered and amended to read:
[
11-49-302
].
 63A-15-302.
General powers -- Jurisdiction.
(1) The commission has jurisdiction only over an individual who is a political
subdivision officer or employee.
(2) The commission shall dismiss an ethics complaint if:
(a) the respondent resigns or is terminated from the political subdivision; or
(b) except as provided in Subsection (3):
(i) the respondent is charged with a criminal violation of:
(A) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
(B) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
(C) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act; and
(ii) the facts and allegations presented in the ethics complaint assert the same or similar
facts and allegations as those asserted in the criminal charges.
(3) If an ethics complaint asserts an ethics violation in addition to a criminal violation
described in Subsection (2)(b), the commission shall:
(a) dismiss an allegation described in Subsection (2)(b)(ii); and
(b) proceed with any remaining allegation in the complaint.
Section 21. Section 
63A-15-303
 is enacted to read:
 63A-15-303.
Motion to disqualify commission member for conflict of interest.
(1) A complainant may file a motion to disqualify one or more members of the
commission from participating in proceedings relating to the complaint if the individual files
the motion within 20 days after the later of:
(a) the day on which the individual files the ethics complaint; or
(b) the day on which the individual knew or should have known of the grounds upon
which the motion is based.
(2) A respondent may file a motion to disqualify one or more members of the
commission from participating in proceedings relating to the complaint if the respondent files
the motion within 20 days after the later of:
(a) the day on which the respondent receives delivery of the complaint; or
(b) the day on which the respondent knew or should have known of the grounds upon
which the motion is based.
(3) A motion filed under this section shall include:
(a) a statement that the members to whom the motion relates have a conflict of interest
that, under the circumstances, would lead a reasonable person to question the impartiality of
the members;
(b) a detailed description of the grounds supporting the statement described in
Subsection (3)(a); and
(c) a statement that the motion is filed in good faith, supported by an affidavit or
declaration under penalty of Section 
78B-5-705
 stating that the motion and all accompanying
statements and documents are true and correct to the best of the complainant's or respondent's
knowledge.
(4) A party may not file more than one motion to disqualify, unless the second or
subsequent motion:
(a) is based on grounds of which the party was not aware, and could not have been
aware, at the time of the earlier motion; and
(b) is accompanied by a statement, included in the affidavit or declaration described in
Subsection (3)(c), explaining how and when the party first became aware of the grounds
described in Subsection (4)(a).
(5) The commission shall dismiss a motion filed under this section, with prejudice, if
the motion:
(a) is not timely filed; or
(b) does not comply with the requirements of this section.
(6) A member of the commission may:
(a) on the member's own motion, disqualify the member from participating in
proceedings relating to a complaint if the member believes that the member has a conflict of
interest that, under the circumstances, would lead a reasonable person to question the
impartiality of the member; or
(b) ask the commission to disqualify another member of the commission if the member
believes that the member has a conflict of interest that, under the circumstances, would lead a
reasonable person to question the impartiality of the member.
(7) (a) When a party files a motion under this section, or a when commission member
makes a request under Subsection (6)(b), the commission member for whom disqualification is
sought may make the initial determination regarding whether the commission member has a
conflict of interest.
(b) If a commission member described in Subsection (7)(a) determines that the
commission member has a conflict of interest, the commission member shall disqualify the
commission member from participating in the matter.
(c) If a commission member described in Subsection (7)(a) determines that the
commission member does not have a conflict of interest, or declines to make the determination,
the remainder of the commission shall, by majority vote, determine whether the commission
member has a conflict of interest.
(d) A vote of the commission, under Subsection (7)(c), constitutes a final decision on
the issue of a conflict of interest.
(8) In making a determination under Subsection (7)(c), the commission may:
(a) gather additional evidence;
(b) hear testimony; or
(c) request that the commission member who is the subject of the motion or request file
an affidavit or declaration responding to questions posed by the commission.
Section 22. Section 
63A-15-401
, which is renumbered from Section 11-49-401 is
renumbered and amended to read:
Part 4. Hearing on Ethics Complaint
[
11-49-401
].
 63A-15-401.
Hearing on ethics complaint -- General
procedures.
(1) In conducting a hearing on a complaint in accordance with Part 7, Commission
Review of Ethics Violation, the commission shall comply with the following process in the
order specified:
(a) introduction and instructions for procedure and process, at the discretion of the
chair;
(b) complainant's opening argument, to be presented by a complainant or complainant's
counsel;
(c) complainant's presentation of evidence and witnesses in support of allegations in
the complaint;
(d) consideration of motions to dismiss the complaint or motions for a finding of no
cause, as applicable;
(e) respondent's opening argument, to be presented by the respondent or respondent's
counsel;
(f) respondent's presentation of evidence and witnesses refuting allegations in the
complaint;
(g) presentation of rebuttal evidence and witnesses by the complainant, at the
discretion of the chair;
(h) presentation of rebuttal evidence and witnesses by the respondent, at the discretion
of the chair;
(i) complainant's closing argument, to be presented by a complainant or complainant's
counsel;
(j) respondent's closing argument, to be presented by the respondent or respondent's
counsel;
(k) deliberations by the commission; and
(l) adoption of the commission's findings.
(2) The commission may, in extraordinary circumstances, vary the order contained in
Subsection (1) by majority vote and by providing notice to the parties.
(3) The chair may schedule the examination of a witness or evidence subpoenaed at the
request of the chair or the commission under Section [
11-49-403
] 
63A-15-403
 at the chair's
discretion.
Section 23. Section 
63A-15-402
, which is renumbered from Section 11-49-402 is
renumbered and amended to read:
[
11-49-402
].
 63A-15-402.
Chair as presiding officer.
(1) Except as expressly provided otherwise in this chapter, the chair of the commission
is vested with the power to direct the commission during meetings authorized by this chapter.
(2) Unless expressly prohibited from doing so under this chapter, the commission may
overrule a decision of the chair by using the following procedure:
(a) If a member objects to a decision of the chair, that member may appeal the decision
by stating:
(i) "I appeal the decision of the chair."; and
(ii) the basis for the objection.
(b) A motion described in Subsection (2)(a) is nondebatable.
(c) The chair shall direct a roll call vote to determine if the commission supports the
decision of the chair.
(d) A majority vote of the commission is necessary to overrule the decision of the
chair.
(3) The chair may set time limitations on any part of a meeting or hearing authorized
by this chapter.
Section 24. Section 
63A-15-403
, which is renumbered from Section 11-49-403 is
renumbered and amended to read:
[
11-49-403
].
 63A-15-403.
Subpoena powers.
(1) Except for a preliminary review described in Section [
11-49-602
] 
63A-15-602
, for
a proceeding authorized by this chapter, the commission may issue a subpoena to:
(a) require the attendance of a witness;
(b) direct the production of evidence; or
(c) require both the attendance of a witness and the production of evidence.
(2) The commission shall issue a subpoena:
(a) in accordance with Section [
11-49-405
] 
63A-15-405
;
(b) at the direction of the commission chair, if the chair determines that the testimony
or evidence is relevant to the review of a complaint under Part 7, Commission Review of
Ethics [
Violations
] 
Violation
; or
(c) upon a vote of a majority of the commission members.
(3) If the commission issues a subpoena authorized under this section, the commission
shall give a reasonable period of time for the person or entity to whom the subpoena is directed
to petition a district court to quash or modify the subpoena before the time specified in the
subpoena for compliance.
Section 25. Section 
63A-15-404
, which is renumbered from Section 11-49-404 is
renumbered and amended to read:
[
11-49-404
].
 63A-15-404.
Contempt of the commission.
(1) (a) The following actions constitute contempt of the commission in relation to
actions and proceedings under this chapter:
(i) disobedience to a direction of the commission chair;
(ii) failure, without legal justification, to answer a question during a hearing when
directed to do so by:
(A) the commission chair, unless the direction is overridden by the commission in
accordance with Section [
11-49-402
] 
63A-15-402
; or
(B) a majority of the commission;
(iii) failure to comply with a subpoena or other order issued under authority of this
chapter;
(iv) violation of privacy provisions established by Section [
11-49-502
] 
63A-15-502
;
(v) violation of the communication provisions established by Section [
11-49-407
]
63A-15-407
;
(vi) violation of a request to comply with a provision of this chapter by a chair or a
majority of the members of the commission; or
(vii) any other ground that is specified in statute or recognized by common law.
(b) Because the purpose of the Fifth Amendment privilege not to incriminate oneself is
to prevent prosecution for criminal action, it is improper for a witness to invoke the Fifth
Amendment privilege if the witness cannot be prosecuted for the crime to which the witness's
testimony relates.
(2) (a) The following persons may authorize an enforcement action against a person in
contempt of the commission under the provisions of this chapter:
(i) the commission chair, subject to the provisions of Section [
11-49-402
] 
63A-15-402
;
or
(ii) members of the commission, by means of a majority vote.
(b) In initiating and pursuing an action against an individual for contempt of the
commission, the plaintiff shall comply with the procedures and requirements of Section
[
11-49-405
] 
63A-15-405
.
Section 26. Section 
63A-15-405
, which is renumbered from Section 11-49-405 is
renumbered and amended to read:
[
11-49-405
].
 63A-15-405.
Order to compel -- Enforcement.
(1) (a) When the subject of a subpoena issued in accordance with Section [
11-49-403
]
63A-15-403
 disobeys or fails to comply with the subpoena, or if a person appears before the
commission pursuant to a subpoena and refuses to testify to a matter upon which the person
may be lawfully interrogated, the commission may:
(i) file a motion for an order to compel obedience to the subpoena with the district
court within the jurisdiction of the applicable political subdivision;
(ii) file, with the district court, a motion for an order to show cause why the penalties
established in Title 78B, Chapter 6, Part 3, Contempt, should not be imposed upon the person
named in the subpoena for contempt of the commission; or
(iii) pursue other remedies against persons in contempt of the commission.
(b) (i) Upon receipt of a motion under this section, the court shall expedite the hearing
and decision on the motion.
(ii) A court may:
(A) order the person named in the subpoena to comply with the subpoena; and
(B) impose any penalties authorized by Title 78B, Chapter 6, Part 3, Contempt, upon
the person named in the subpoena for contempt of the commission.
(2) (a) If a commission subpoena requires the production of accounts, books, papers,
documents, or other tangible things, the person or entity to whom the subpoena is directed may
petition a district court to quash or modify the subpoena at or before the time specified in the
subpoena for compliance.
(b) The commission may respond to a motion to quash or modify the subpoena by
pursuing any remedy authorized by Subsection (1).
(c) If the court finds that a commission subpoena requiring the production of accounts,
books, papers, documents, or other tangible things is unreasonable or oppressive, the court may
quash or modify the subpoena.
(3) Nothing in this section prevents the commission from seeking an extraordinary writ
to remedy contempt of the commission.
(4) Any party aggrieved by a decision of a court under this section may appeal that
action directly to the Utah Supreme Court.
Section 27. Section 
63A-15-406
, which is renumbered from Section 11-49-406 is
renumbered and amended to read:
[
11-49-406
].
 63A-15-406.
Testimony and examination of witnesses -- Oath
-- Procedure -- Contempt.
(1) (a) The chair shall ensure that each witness listed in the complaint and response is
subpoenaed for appearance at the hearing unless:
(i) the witness is unable to be properly identified or located; or
(ii) service is otherwise determined to be impracticable.
(b) The chair shall determine the scheduling and order of witnesses and presentation of
evidence.
(c) The commission may, by majority vote:
(i) overrule the chair's decision not to subpoena a witness under Subsection (1)(a);
(ii) modify the chair's determination on the scheduling and order of witnesses under
Subsection (1)(b);
(iii) decline to hear or call a witness that has been requested by the complainant or
respondent;
(iv) decline to review or consider evidence submitted in relation to an ethics complaint;
or
(v) request and subpoena witnesses or evidence according to the procedures of Section
[
11-49-403
] 
63A-15-403
.
(2) (a) Each witness shall testify under oath.
(b) The chair or the chair's designee shall administer the oath to each witness.
(3) After the oath has been administered to the witness, the chair shall direct testimony
as follows:
(a) allow the party that has called the witness, or that party's counsel, to question the
witness;
(b) allow the opposing party, or that party's counsel, to cross-examine the witness;
(c) allow additional questioning by a party or a party's counsel as appropriate;
(d) give commission members the opportunity to question the witness; and
(e) as appropriate, allow further examination of the witness by the commission, or the
parties or their counsel.
(4) (a) If the witness, a party, or a party's counsel objects to a question, the chair shall:
(i) direct the witness to answer; or
(ii) rule that the witness is not required to answer the question.
(b) If the witness declines to answer a question after the chair or a majority of the
commission determines that the witness is required to answer the question, the witness may be
held in contempt as provided in Section [
11-49-404
] 
63A-15-404
.
(5) (a) The chair or a majority of the members of the commission may direct a witness
to furnish any relevant evidence for consideration if the witness has brought the material
voluntarily or has been required to bring it by subpoena.
(b) If the witness declines to provide evidence in response to a subpoena, the witness
may be held in contempt as provided in Section [
11-49-404
] 
63A-15-404
.
Section 28. Section 
63A-15-407
, which is renumbered from Section 11-49-407 is
renumbered and amended to read:
[
11-49-407
].
 63A-15-407.
Communications of commission members.
(1) As used in this section, "third party" means a person who is not a member of the
commission or staff to the commission.
(2) While a complaint is under review by the commission, a member of the
commission may not initiate or consider any communications concerning the complaint with a
third party unless:
(a) the communication is expressly permitted under the procedures established by this
chapter; or
(b) the communication is made by the third party, in writing, simultaneously to:
(i) all members of the commission; and
(ii) a staff member of the commission.
(3) While the commission is reviewing a complaint under this chapter, a commission
member may communicate outside of a meeting, hearing, or deliberation with another member
of, or staff to, the commission, only if the member's communication does not materially
compromise the member's responsibility to independently review and make decisions in
relation to the complaint.
Section 29. Section 
63A-15-408
, which is renumbered from Section 11-49-408 is
renumbered and amended to read:
[
11-49-408
].
 63A-15-408.
Attorney fees and costs.
(1) A person filing a complaint under this chapter:
(a) may, but is not required to, retain legal representation during the complaint review
process; and
(b) is responsible for payment of complainant's attorney fees and costs incurred.
(2) (a) A respondent against whom a complaint is filed under this chapter [
may
]:
(i) 
may,
 but is not required to, retain legal representation during the complaint review
process; [
and
]
(ii) 
except as provided in Subsection (2)(a)(iii), is responsible for payment of the
respondent's attorney fees and costs incurred; and
(iii) may
 be entitled to the provision of legal defense by the political subdivision in
accordance with Section 
63G-7-902
.
(b) For purposes of Subsection (2)(a)[
(ii)
]
(iii)
, a complaint filed against a respondent in
accordance with this chapter shall constitute an action against a governmental employee in
accordance with Section 
63G-7-902
.
(3) (a) An attorney participating in a hearing before the commission shall comply with:
(i) the Rules of Professional Conduct established by the Utah Supreme Court;
(ii) the procedures and requirements of this chapter; and
(iii) the directions of the chair and commission.
(b) A violation of Subsection (3)(a) may constitute:
(i) contempt of the commission under Section [
11-49-404
] 
63A-15-404
; or
(ii) a violation of the Rules of Professional Conduct subject to enforcement by the Utah
State Bar.
Section 30. Section 
63A-15-501
, which is renumbered from Section 11-49-501 is
renumbered and amended to read:
Part 5. Complaint of Ethics Violation
[
11-49-501
].
 63A-15-501.
Ethics complaints -- Who may file -- Form.
(1) (a) Notwithstanding any other provision, the following may file a complaint,
subject to the requirements of Subsections (1)(b) and (c) and Section [
11-49-301
] 
63A-15-301
,
against a political subdivision officer or employee:
(i) two or more registered voters who reside within the boundaries of a political
subdivision;
(ii) two or more registered voters who pay a fee or tax to a political subdivision; or
(iii) one or more registered voters who reside within the boundaries of a political
subdivision and one or more registered voters who pay a fee or tax to the political subdivision.
(b) A person described in Subsection (1)(a) may not file a complaint unless at least one
person described in Subsection (1)(a)(i), (ii), or (iii) has actual knowledge of the facts and
circumstances supporting the alleged ethics violation.
(c) A complainant may file a complaint only against an individual who, on the date that
the complaint is filed, is serving as a political subdivision officer or is a political subdivision
employee.
(2) (a) The [
lieutenant governor
] 
commission
 shall post, on the [
homepage of the
lieutenant governor's
] 
state's
 website, a conspicuous and clearly identified link to the name and
address of an individual authorized to accept a complaint on behalf of the commission.
(b) A complainant shall file a complaint with the individual described in Subsection
(2)(a).
(c) An individual may not file a complaint during the 60 calendar days immediately
preceding:
(i) a regular primary election, if the accused political subdivision officer is a candidate
in the primary election; or
(ii) a regular general election in which an accused political subdivision officer is a
candidate, unless the accused political subdivision officer is unopposed in the election.
(3) A complainant shall ensure that each complaint filed under this section is in writing
and contains the following information:
(a) the name and position of the political subdivision officer or employee alleged to be
in violation;
(b) the name, address, and telephone number of each individual who is filing the
complaint;
(c) a description of each alleged ethics violation, as applicable of:
(i) Title 10, Chapter 3, Part 13, Municipal Officers' and Employees' Ethics Act;
(ii) Title 17, Chapter 16a, County Officers and Employees Disclosure Act; or
(iii) Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act;
(d) include for each alleged ethics violation:
(i) a reference to the section of the code alleged to have been violated;
(ii) the name of the complainant who has actual knowledge of the facts and
circumstances supporting each allegation; and
(iii) with reasonable specificity, the facts and circumstances supporting each allegation,
which shall be provided by:
(A) copies of official records or documentary evidence; or
(B) one or more affidavits that include the information required in Subsection (4);
(e) a list of the witnesses that a complainant wishes to have called, including for each
witness:
(i) the name, address, and, if available, one or more telephone numbers of the witness;
(ii) a brief summary of the testimony to be provided by the witness; and
(iii) a specific description of any documents or evidence a complainant desires the
witness to produce;
(f) a statement that each complainant:
(i) has reviewed the allegations contained in the complaint and the sworn statements
and documents attached to the complaint;
(ii) believes that the complaint is submitted in good faith and not for any improper
purpose such as for the purpose of harassing the respondent, causing unwarranted harm to the
respondent's reputation, or causing unnecessary expenditure of public funds; and
(iii) believes the allegations contained in the complaint to be true and accurate; and
(g) the signature of each complainant.
(4) An affidavit described in Subsection (3)(d)(iii)(B) shall include:
(a) the name, address, and telephone number of the signer;
(b) a statement that the signer has actual knowledge of the facts and circumstances
alleged in the affidavit;
(c) the facts and circumstances testified by the signer;
(d) a statement that the affidavit is believed to be true and correct and that false
statements are subject to penalties of perjury; and
(e) the signature of the signer.
Section 31. Section 
63A-15-502
, which is renumbered from Section 11-49-502 is
renumbered and amended to read:
[
11-49-502
].
 63A-15-502.
Privacy of ethics complaint -- Contempt --
Enforcement of finding of contempt -- Dismissal.
(1) (a) Except as 
otherwise
 provided in [
Subsection (1)(b) or (c)
] 
this chapter
, a person,
including a complainant, the respondent, a commission member, or staff to the commission,
may not disclose the existence of a complaint, a response, nor any information concerning any
alleged ethics violation that is the subject of a complaint[
:
]
.
[
(i) unless otherwise provided in this chapter; or
]
[
(ii) after a complaint is presented at the meeting described in Section 
11-49-701
.
]
(b) The restrictions in Subsection (1)(a) do not apply to
:
(i)
 the respondent's voluntary disclosure of a finding by the commission that no
allegations in a complaint were proved after that finding is issued by the commission under the
procedures and requirements of Section [
11-49-602
.
] 
63A-15-602;
[
(c) Nothing in this section shall prevent a person from disclosing
]
(ii) this disclosure of
 facts or allegations about potential criminal violations to a law
enforcement authority[
.
]
;
[
(d) Nothing in this section may be construed to hinder or prevent a respondent from
preparing a defense to a complaint, including contacting a witness or other actions in
preparation for review by the commission.
]
(iii) a disclosure by a respondent that is made solely for the purpose of, and only to the
extent necessary for, retaining counsel, conducting an interview, seeking evidence, or taking
other action to prepare to defend against a complaint;
(iv) a communication between a commission member and the commission's attorney or
a member of the commission's staff; or
(v) a disclosure to a person that is determined necessary, by a majority vote of the
commission, to conduct the duties of the commission.
(2) When a person makes a disclosure under Subsection (1)(b)(iii) or (v), the person
making the disclosure shall inform the person to whom the disclosure is made of the
nondisclosure requirements described in this section.
(3) After the commission issues an order under Subsection 
63A-15-704
(2), the
commission may disclose the portion of the complaint, a response, and other information
relating to an alleged ethics violation that the commission determines is proved.
[
(2)
] 
(4)
 A person who violates the provisions of Subsection (1)(a) is in contempt of
the commission and proceedings may be initiated to enforce the finding of contempt using the
procedures provided in Sections [
11-49-404
 and 
11-49-405
] 
63A-15-404
 and 
63A-15-405
.
[
(3) If the existence of an ethics complaint is publicly disclosed before or during the
preliminary review period described in Section 
11-49-602
, the complaint shall be summarily
dismissed without prejudice.
]
(5) If, before the commission issues an order in relation to an ethics complaint under
Section 
63A-15-704
, the existence of the ethics complaint is publicly disclosed by a person
other than the respondent, an agent of the respondent, or a person who learns of the complaint
under Subsection (1)(b)(iii) or (v), the commission shall summarily dismiss the complaint
without prejudice.
Section 32. Section 
63A-15-601
, which is renumbered from Section 11-49-601 is
renumbered and amended to read:
[
11-49-601
].
 63A-15-601.
Review of ethics complaint for compliance with
form requirements -- Independent requirements for complaint -- Notice.
(1) Within [
five
] 
 business days after receipt of a complaint, the staff of the
commission, in consultation with the chair of the commission, shall examine the complaint to
determine if it is in compliance with Sections [
11-49-301
 and 
11-49-501
] 
63A-15-301
 and
63A-15-501
.
(2) (a) If the chair determines that the complaint does not comply with Sections
[
11-49-301
 and 
11-49-501
] 
63A-15-301
 and 
63A-15-501
, the chair shall:
(i) return the complaint to the first complainant named on the complaint with:
(A) a statement detailing the reason for the non-compliance; and
(B) a copy of the applicable provisions in this chapter; and
(ii) notify the applicable political subdivision governing body that:
(A) a complaint was filed against an unidentified political subdivision officer or
employee but was returned for non-compliance with this chapter; and
(B) the fact that a complaint was filed and returned shall be kept confidential until the
commission submits its annual summary data report as required by Section [
11-49-202
]
63A-15-202
.
(b) If a complaint is returned for non-compliance with the requirements of this chapter,
a complainant may file another complaint if the new complaint independently meets the
requirements of Sections [
11-49-301
 and 
11-49-501
] 
63A-15-301
 and 
63A-15-501
, including
any requirements for timely filing.
(3) If the chair determines that the complaint complies with the requirements of this
section, the chair shall:
(a) accept the complaint;
(b) notify each member of the commission that the complaint has been filed and
accepted;
(c) notify the applicable political subdivision that:
(i) a complaint has been filed against an unidentified political subdivision officer or
employee;
(ii) the identity of the political subdivision officer or employee and the allegations
raised in the complaint are confidential pending the commission's preliminary review of the
complaint; and
(iii) the fact that a complaint was filed shall be kept confidential until the commission
publicly discloses the existence of the complaint via:
(A) notice of the commission's review of a complaint in accordance with Section
[
11-49-701
] 
63A-15-701
; or
(B) submission of the commission's annual summary data report as required in Section
[
11-49-202
] 
63A-15-202
; and
(d) promptly forward the complaint to the political subdivision officer or employee
who is the subject of the ethics complaint via personal delivery or a delivery method that
provides verification of receipt, together with a copy of this chapter and notice of the officer's
or employee's deadline for filing a response to the complaint if the complaint is not dismissed
under Section [
11-49-602
] 
63A-15-602
.
Section 33. Section 
63A-15-602
, which is renumbered from Section 11-49-602 is
renumbered and amended to read:
[
11-49-602
].
 63A-15-602.
Preliminary review of complaint -- Standard of
proof -- Notice.
(1) (a) By no later than 10 calendar days after the day on which a complaint is accepted
under Section [
11-49-601
] 
63A-15-601
, the commission chair shall:
(i) schedule a commission meeting on a date no later than 60 calendar days after the
date on which the commission accepts the complaint;
(ii) place the complaint on the agenda for consideration at the meeting;
(iii) provide a copy of the complaint to the members; and
(iv) provide notice of the date, time, and location of the meeting:
(A) to the respondent;
(B) the first complainant named in the complaint;
(C) each commission member; and
(D) in accordance with Section 
52-4-202
.
(b) The meeting described in Subsection (1)(a)(ii) is closed to the public in accordance
with Section 
52-4-204
.
(2) (a) At the meeting described in Subsection (1)(a)(i):
(i) the commission members shall review each allegation in the complaint;
(ii) the commission may not receive testimony, hear a motion from a party, or admit
evidence; and
(iii) the chair shall conduct deliberations.
(b) The commission may, if necessary:
(i) request a formal response or affidavit from a respondent; and
(ii) review the response or affidavit at the meeting.
(c) Upon a motion made by a commission member, the commission may exclude
commission staff from all or a portion of the deliberations by a majority vote.
(3) (a) During deliberations, each commission member shall, for each allegation,
determine:
(i) whether the facts alleged, if true, would be an ethics violation;
(ii) whether the complaint includes an affidavit from a person with firsthand
knowledge of alleged facts described in Subsection (3)(a)(i); and
(iii) whether the complaint is frivolous or solely for a political purpose.
(b) A commission member shall vote to forward an allegation in a complaint for a final
commission review in accordance with Part 7, Commission Review of Ethics Violation, if the
commission member determines:
(i) an allegation, if true, would be an ethics violation;
(ii) the complaint contains an affidavit with firsthand knowledge of the allegation
under Subsection (3)(a)(ii); and
(iii) the allegation is not frivolous or solely for a political purpose.
(4) (a) A verbal roll call vote shall be taken on each allegation and each member's vote
shall be recorded.
(b) The commission may not review an allegation for a final determination under Part
7, Commission Review of Ethics Violation, unless six of the seven members of the
commission vote to review the allegation.
(5) (a) An allegation that is not forwarded for a final determination is dismissed.
(b) Before the commission issues an order in accordance with this section, the
commission may, upon a majority vote, reconsider and hold a new vote on an allegation.
(c) A motion to reconsider a vote may only be made by a member of the commission
who voted that the allegation should not be forwarded for a final determination.
(6) (a) If each allegation stated in a complaint is dismissed in accordance with this
section, the commission shall:
(i) issue and enter into the record an order that the complaint is dismissed because no
allegations, in accordance with this section, were forwarded for a final determination;
(ii) classify all recordings, testimony, evidence, orders, findings, and other records
directly relating to the meetings authorized by this part as private records under Section
63G-2-302
;
(iii) provide notice of the determination, in a manner determined by the chair, to:
(A) the respondent;
(B) the first complainant named on the complaint; and
(C) subject to Subsection (6)(b), the appropriate political subdivision; and
(iv) provide notice to each person or entity named in Subsections (6)(a)(iii)(A) through
(C) that, under provisions of Section [
11-49-502
] 
63A-15-502
 and other provisions of this
chapter, a person who discloses the findings of the commission in violation of any provision of
this chapter is in contempt of the commission and is subject to penalties for contempt.
(b) The notification to the appropriate political subdivision shall notify the political
subdivision that:
(i) a complaint against an unidentified political subdivision officer or employee has
been dismissed; and
(ii) the fact that a complaint was filed shall be kept confidential until the commission
publicly discloses the existence of the complaint via submission of the commission's annual
summary data report as required in Section [
11-49-202
] 
63A-15-202
.
(7) If one or more of the allegations stated in a complaint are not dismissed in
accordance with this section, the commission shall:
(a) issue and enter into the record:
(i) an order for each allegation that is dismissed, if any, because the allegation was not
forwarded for a final determination; and
(ii) an order for further review under Part 7, Commission Review of Ethics Violation,
of each allegation that is not dismissed;
(b) classify all recordings, orders, findings, and other records or documents directly
relating to a meeting authorized by this section as private records under Section 
63G-2-302
;
(c) if an allegation was dismissed, provide notice of the determination for each
allegation dismissed in a manner determined by the chair, to:
(i) the respondent;
(ii) the first complainant named on the complaint; and
(iii) subject to Subsection (8), the appropriate political subdivision; and
(d) provide notice to each person or entity named in Subsections (7)(c)(i) through (iii)
that:
(i) under provisions of Section [
11-49-502
] 
63A-15-502
 and other provisions of this
chapter, a person who discloses the findings of the commission under this section in violation
of any provision of this chapter is in contempt of the commission and is subject to penalties for
contempt; and
(ii) the commission shall review the remaining allegations in the complaint at a
meeting described in Section [
11-49-603
] 
63A-15-603
 and in accordance with Part 7,
Commission Review of Ethics Violation.
(8) The notification to the appropriate political subdivision shall notify the political
subdivision that:
(a) an unspecified allegation in a complaint against an unidentified political
subdivision officer or employee has been dismissed; and
(b) the fact that a complaint was filed shall be kept confidential until the commission
publicly discloses the existence of the complaint in accordance with the provisions of this
chapter.
(9) For a complaint described in Subsection (7), the commission members shall ensure
that, within five business days after the day of the meeting described in Subsection (1)(a)(ii),
the complaint is redacted to remove references to an allegation that is dismissed under this
section.
(10) The chair shall ensure that a record of the meeting held under this section is kept
in accordance with Section [
11-49-702
] 
63A-15-702
.
Section 34. Section 
63A-15-603
, which is renumbered from Section 11-49-603 is
renumbered and amended to read:
[
11-49-603
].
 63A-15-603.
Meeting of the commission to review a
complaint -- Procedures.
By no later than 10 calendar days after the day on which a complaint is accepted under
Section [
11-49-602
] 
63A-15-602
 for further review, the commission chair shall:
(1) schedule a commission meeting on a date no later than [
] 
 calendar days after
the date on which the commission votes to forward a complaint for final determination in
accordance with Section [
11-49-602
] 
63A-15-602
;
(2) place the complaint on the agenda for consideration at the meeting described in
Subsection (1);
(3) provide notice of the date, time, and location of the meeting:
(a) to:
(i) the members of the commission;
(ii) the first complainant named in the complaint; and
(iii) the respondent; and
(b) in accordance with Section 
52-4-202
; and
(4) provide a copy of the complaint or redacted complaint, as required in Section
[
11-49-602
] 
63A-15-602
, to each member of the commission.
Section 35. Section 
63A-15-604
, which is renumbered from Section 11-49-604 is
renumbered and amended to read:
[
11-49-604
].
 63A-15-604.
Response to ethics complaint -- Filing -- Form.
(1) The political subdivision officer or employee who is the subject of the complaint
may file a response to the complaint no later than 30 days after the day on which the officer or
employee receives delivery of an order issued by the commission under Subsection
[
11-49-602
] 
63A-15-602
(7).
(2) The respondent shall file the response with the commission and ensure that the
response is in writing and contains the following information:
(a) the name, address, and telephone number of the respondent;
(b) for each alleged ethics violation in the complaint:
(i) each affirmative defense asserted in response to the allegation, including a general
description of each affirmative defense and the facts and circumstances supporting the defense
to be provided by one or more affidavits, each of which shall comply with Subsection (4);
(ii) the facts and circumstances refuting the allegation, which shall be provided by:
(A) copies of official records or documentary evidence; or
(B) one or more affidavits, each of which shall comply with Subsection (4);
(c) a list of the witnesses that the respondent wishes to have called, including for each
witness:
(i) the name, address, and, if available, telephone number of the witness;
(ii) a brief summary of the testimony to be provided by the witness; and
(iii) a specific description of any documents or evidence the respondent desires the
witness to produce;
(d) a statement that the respondent:
(i) has reviewed the allegations contained in the complaint and the sworn statements
and documents attached to the response; and
(ii) believes the contents of the response to be true and accurate; and
(e) the signature of the respondent.
(3) Promptly after receiving the response, the commission shall provide copies of the
response to:
(a) each member of the commission; and
(b) the first named complainant on the complaint.
(4) An affidavit described in Subsection (2)(b)(i) or (2)(b)(ii)(B) shall include the
following information:
(a) the name, address, and telephone number of the signer;
(b) a statement that the signer has actual knowledge of the facts and circumstances
alleged in the affidavit;
(c) the facts and circumstances testified to by the signer;
(d) a statement that the affidavit is believed to be true and correct and that false
statements are subject to penalties of perjury; and
(e) the signature of the signer.
Section 36. Section 
63A-15-701
, which is renumbered from Section 11-49-701 is
renumbered and amended to read:
Part 7. Commission Review of Ethics Violation
[
11-49-701
].
 63A-15-701.
Commission review of ethics violation.
(1) The scope of a review by the commission is limited to an alleged ethics violation
stated in a complaint that has not been previously dismissed under Section [
11-49-602
]
63A-15-602
.
(2) (a) Before holding the meeting for review of the complaint, the commission chair
may schedule a separate meeting of the commission for the purposes of:
(i) hearing motions or arguments from the parties, including hearing motions or
arguments relating to dismissal of a complaint, admission of evidence, or procedures;
(ii) holding a vote of the commission, with or without the attendance of the parties, on
procedural or commission business matters relating to a complaint; or
(iii) reviewing a complaint, with or without the attendance of the parties, to determine
if the complaint should be dismissed in whole or in part, by means of a majority vote of the
commission, because the complaint pleads facts or circumstances against a political
subdivision officer or employee that have already been reviewed by, as provided in Section
[
11-49-301
] 
63A-15-301
, the commission, a municipal ethics commission established in
accordance with Section 
10-3-1311
, a county ethics commission established in accordance with
Section 
17-16a-11
, or a local political subdivision ethics commission established in accordance
with Section [
11-49-103
] 
63A-15-103
.
(b) Notwithstanding Section [
11-49-603
] 
63A-15-603
, the commission may, by a
majority vote, change the date of the meeting for review of the complaint in order to
accommodate:
(i) a meeting authorized under Subsection (2)(a); or
(ii) necessary scheduling requirements.
(3) (a) The commission shall comply with the Utah Rules of Evidence except where
the commission determines, by majority vote, that a rule is not compatible with the
requirements of this chapter.
(b) The chair shall make rulings on admissibility of evidence consistent with the
provisions of Section [
11-49-402
] 
63A-15-402
.
(4) (a) A meeting or hearing authorized in this part is open to the public except as
provided in Section 
52-4-204
.
(b) The following individuals may be present during the presentation of testimony and
evidence to the commission:
(i) the complainant;
(ii) the complainant's counsel, if applicable;
(iii) the respondent;
(iv) the respondent's counsel, if applicable;
(v) members of the commission;
(vi) staff to the commission;
(vii) a witness, while testifying before the commission; and
(viii) necessary security personnel.
(c) The commission may, in accordance with Section 
52-4-204
, close a meeting to:
(i) seek or obtain legal advice on legal, evidentiary, or procedural matters; or
(ii) conduct deliberations to reach a decision on the complaint.
(5) If a majority of the commission determines that a continuance is necessary to obtain
further evidence and testimony, to accommodate administrative needs, or to accommodate the
attendance of commission members, witnesses, or a party, the commission shall:
(a) adjourn and continue the meeting to a future date and time after notice to the
parties; and
(b) establish that future date and time by majority vote.
(6) A record, as defined in Section 
63G-2-103
, created by the commission under this
part, reviewed by the commission under this part, or received by the commission under this
part, is a public record, as defined in Section 
63G-2-103
.
Section 37. Section 
63A-15-702
, which is renumbered from Section 11-49-702 is
renumbered and amended to read:
[
11-49-702
].
 63A-15-702.
Record -- Recording of meetings.
(1) (a) Except as provided in Subsection (1)(b), an individual may not use a camera or
other recording device in a meeting authorized by this part.
(b) (i) The commission shall keep an audio or video recording of all portions of each
meeting authorized by this part.
(ii) The commission may, by a majority vote of the commission, permit a camera or
other recording device in the meeting in which the commission releases the commission's
recommendation under this part.
(2) In addition to the recording required in Subsection (1), the chair shall ensure that a
record of the meeting or hearing is made, which shall include:
(a) official minutes taken during the meeting or hearing, if any;
(b) copies of all documents or other items admitted into evidence by the commission;
(c) copies of a document or written order or ruling issued by the chair or the
commission; and
(d) any other information that a majority of the commission or the chair directs.
Section 38. Section 
63A-15-703
, which is renumbered from Section 11-49-703 is
renumbered and amended to read:
[
11-49-703
].
 63A-15-703.
Commission deliberations -- Standard of proof.
(1) After each party has presented a closing argument, the commission shall, at the
direction of the chair, begin its deliberations:
(a) immediately after conclusion of the closing arguments; or
(b) at a future meeting of the commission, on a date and time determined by a majority
of the members of the commission.
(2) (a) The chair of the commission shall conduct the deliberations.
(b) Upon a motion made by a commission member, the commission may:
(i) exclude commission staff from all or a portion of the deliberations by a majority
vote of the commission; or
(ii) close the meeting in accordance with Section 
52-4-204
.
(3) (a) During deliberations, for each allegation reviewed by the commission, each
member shall determine and cast a vote stating:
(i) whether the allegation is:
(A) proven by clear and convincing evidence; or
(B) not proven; and
(ii) for each allegation proven, whether the commission would recommend to the
appropriate political subdivision governing body to take one or more of the following actions:
(A) censure;
(B) in the case of a political subdivision employee, termination;
(C) in the case of a political subdivision officer, removal from office; or
(D) any other action or reprimand that the commission determines is appropriate.
(b) (i) A verbal roll call vote shall be taken on each allegation, and each recommended
action described in Subsection (3)(a)(ii) on each allegation.
(ii) Each member's vote shall be recorded.
(4) (a) An allegation is not considered to be proven unless six of the seven members of
the commission vote that the allegation is proven.
(b) The seven members of the commission described in Subsection (4)(a) refers to the
members that actually participate in deciding whether an allegation is proven, including an
alternate member described in Subsection 
63A-15-201
(4)(f)(i)(A) or a temporary member
described in Subsection 
63A-15-201
(4)(f)(i)(B).
[
(b)
] 
(c)
 An allegation that is not considered to be proven is dismissed.
[
(c)
] 
(d)
 (i) Before the commission issues its recommendation in accordance with
Section [
11-49-704
] 
63A-15-704
, the commission may, upon a majority vote, reconsider and
hold a new vote on an allegation.
(ii) A motion to reconsider a vote may only be made by a member of the commission
who voted that the allegation was not proved.
(5) The commission may not find that an allegation is proven if the allegation is based
on an act by an individual under the authority of the political subdivision officer or employee,
unless the commission finds, by clear and convincing evidence, that the political subdivision
officer or employee:
(a) encouraged, condoned, or ordered the act;
(b) (i) before the individual engaged in the act, knew or should have known that the
individual was likely to engage in the act; and
(ii) failed to take appropriate action to prevent the act;
(c) (i) while the individual engaged in the act, knew or should have known that the
individual was engaging in the act; and
(ii) failed to take appropriate action to stop the act; or
(d) (i) after the individual engaged in the act, knew or should have known that the
individual engaged in the act; and
(ii) failed to take appropriate action in response to the act.
(6) The commission may not find that an allegation is proven if the allegation is based
on the failure of an individual under the authority of the political subdivision officer or
employee to act, unless the commission finds, by clear and convincing evidence, that the
political subdivision officer or employee:
(a) encouraged, condoned, or ordered the failure to act;
(b) (i) before the individual failed to act, knew or should have known that the
individual was likely to fail to act; and
(ii) failed to take appropriate action to prevent the failure to act;
(c) (i) while the individual was failing to act, knew or should have known that the
individual was failing to act; and
(ii) failed to take appropriate action to prevent the failure to act; or
(d) (i) after the individual failed to act, knew or should have known that the individual
failed to act; and
(ii) failed to take appropriate action in response to the failure to act.
[
(5)
] 
(7)
 At the conclusion of deliberations, the commission shall prepare [
its
] 
the
commission's
 recommendations as provided in Sections [
11-49-704
 and 
11-49-705
]
63A-15-704
 and 
63A-15-705
.
Section 39. Section 
63A-15-704
, which is renumbered from Section 11-49-704 is
renumbered and amended to read:
[
11-49-704
].
 63A-15-704.
Recommendations of commission.
(1) (a) If the commission determines that no allegations in the complaint were proved,
the commission shall:
(i) issue and enter into the record an order that the complaint is dismissed because no
allegations in the complaint were found to have been proved;
(ii) provide notice of the determination at a public meeting; and
(iii) provide written notice of the determination to:
(A) the respondent;
(B) the first complainant named on the complaint; and
(C) the appropriate political subdivision.
(2) If the commission determines that one or more of the allegations in the complaint
were proved, the commission shall:
(a) if one or more allegations were not found to have been proven, enter into the record
an order dismissing those unproven allegations; and
(b) prepare a written recommendation to the applicable political subdivision governing
body that:
(i) lists the name of each complainant;
(ii) lists the name of the respondent;
(iii) states the date of the recommendation;
(iv) for each allegation that was found to be proven:
(A) provides a reference to the statute or criminal provision allegedly violated;
(B) states the number and names of commission members voting that the allegation
was proved and the number and names of commission members voting that the allegation was
not proved;
(C) at the option of those members voting that the allegation was proved, includes a
statement by one or all of those members stating the reasons for voting that the allegation was
proved; and
(D) at the option of those members voting that the allegation was not proved, includes
a statement by one or all of those members stating the reasons for voting that the allegation was
not proved;
(v) contains any general statement that is adopted for inclusion in the recommendation
by a majority of the members of the commission;
(vi) contains a statement referring the allegations found to have been proved to the
appropriate political subdivision governing body for review and, if necessary, further action;
(vii) contains a statement referring to each allegation proven the commission's
recommendation under Subsection [
11-49-703
] 
63A-15-703
(3)(a)(ii);
(viii) states the name of each member of the commission; and
(ix) is signed by each commission member.
(3) The commission shall provide notice of the determination:
(a) at a public meeting; and
(b) in writing to:
(i) the respondent;
(ii) the first complainant named on the complaint; and
(iii) in accordance with Subsection (4), the appropriate political subdivision.
(4) The commission shall ensure that, within [
five
] 
 business days of the date of
public issuance of the determination in accordance with Subsection (3), the following
documents are provided to the political subdivision governing body:
(a) a cover letter referring the proven allegations contained in the complaint to the
political subdivision governing body for review;
(b) a copy of the complaint;
(c) a copy of the response; and
(d) a copy of the commission's recommendation.
Section 40. Section 
63A-15-705
, which is renumbered from Section 11-49-705 is
renumbered and amended to read:
[
11-49-705
].
 63A-15-705.
Criminal allegation -- Recommendation to
county or district attorney or attorney general.
(1) If the commission finds that a political subdivision officer or employee allegedly
violated a criminal provision, the commission shall, in addition to sending a recommendation
to a political subdivision governing body in accordance with Section [
11-49-704
] 
63A-15-704
,
send a 
written
 recommendation for further investigation to 
one or more of the following:
(a)
 the county or district attorney of 
the applicable
 jurisdiction [
by delivering to the
county or district attorney a written recommendation that:
]
; or
(b) the attorney general.
(2) The written recommendation described in Subsection (1) shall:
(a) [
lists
] 
list
 the name of each complainant;
(b) [
lists
] 
list
 the name of the respondent;
(c) [
states
] 
state
 the date of the recommendation;
(d) for each allegation of a criminal violation, provide a reference to the criminal
provision allegedly violated;
(e) [
includes
] 
include
 a general statement that is adopted by a majority of the members
of the commission; and
(f) [
gives
] 
state
 the name of the political subdivision governing body that the
commission sent a recommendation to in accordance with Section [
11-49-704
] 
63A-15-704
.
[
(2)
] 
(3)
 If the commission sends a recommendation in accordance with [
Subsection
(1)(a),
] 
this section,
 the commission shall enter into the record:
(a) a copy of the recommendation; and
(b) the name of [
the county or district attorney of jurisdiction to whom it was sent
]
each person described in Subsection (1) to whom the commission sent the recommendation
.
[
(3)
] 
(4)
 A recommendation prepared and delivered in accordance with this section is a
public record.
Section 41. Section 
63A-15-706
, which is renumbered from Section 11-49-706 is
renumbered and amended to read:
[
11-49-706
].
 63A-15-706.
Action by political subdivision governing body.
A political subdivision governing body that receives a recommendation in accordance
with Section [
11-49-704
] 
63A-15-704
 shall:
(1) review the recommendation; and
(2) take further action in accordance with a political subdivision's governing ordinance,
bylaws, or other applicable governing rule.
Section 42. Section 
63G-2-103
 is amended to read:
63G-2-103.
Definitions.
As used in this chapter:
(1) "Audit" means:
(a) a systematic examination of financial, management, program, and related records
for the purpose of determining the fair presentation of financial statements, adequacy of
internal controls, or compliance with laws and regulations; or
(b) a systematic examination of program procedures and operations for the purpose of
determining their effectiveness, economy, efficiency, and compliance with statutes and
regulations.
(2) "Chronological logs" mean the regular and customary summary records of law
enforcement agencies and other public safety agencies that show:
(a) the time and general nature of police, fire, and paramedic calls made to the agency;
and
(b) any arrests or jail bookings made by the agency.
(3) "Classification," "classify," and their derivative forms mean determining whether a
record series, record, or information within a record is public, private, controlled, protected, or
exempt from disclosure under Subsection 
63G-2-201
(3)(b).
(4) (a) "Computer program" means:
(i) a series of instructions or statements that permit the functioning of a computer
system in a manner designed to provide storage, retrieval, and manipulation of data from the
computer system; and
(ii) any associated documentation and source material that explain how to operate the
computer program.
(b) "Computer program" does not mean:
(i) the original data, including numbers, text, voice, graphics, and images;
(ii) analysis, compilation, and other manipulated forms of the original data produced by
use of the program; or
(iii) the mathematical or statistical formulas, excluding the underlying mathematical
algorithms contained in the program, that would be used if the manipulated forms of the
original data were to be produced manually.
(5) (a) "Contractor" means:
(i) any person who contracts with a governmental entity to provide goods or services
directly to a governmental entity; or
(ii) any private, nonprofit organization that receives funds from a governmental entity.
(b) "Contractor" does not mean a private provider.
(6) "Controlled record" means a record containing data on individuals that is controlled
as provided by Section 
63G-2-304
.
(7) "Designation," "designate," and their derivative forms mean indicating, based on a
governmental entity's familiarity with a record series or based on a governmental entity's
review of a reasonable sample of a record series, the primary classification that a majority of
records in a record series would be given if classified and the classification that other records
typically present in the record series would be given if classified.
(8) "Elected official" means each person elected to a state office, county office,
municipal office, school board or school district office, local district office, or special service
district office, but does not include judges.
(9) "Explosive" means a chemical compound, device, or mixture:
(a) commonly used or intended for the purpose of producing an explosion; and
(b) that contains oxidizing or combustive units or other ingredients in proportions,
quantities, or packing so that:
(i) an ignition by fire, friction, concussion, percussion, or detonator of any part of the
compound or mixture may cause a sudden generation of highly heated gases; and
(ii) the resultant gaseous pressures are capable of:
(A) producing destructive effects on contiguous objects; or
(B) causing death or serious bodily injury.
(10) "Government audit agency" means any governmental entity that conducts an audit.
(11) (a) "Governmental entity" means:
(i) executive department agencies of the state, the offices of the governor, lieutenant
governor, state auditor, attorney general, and state treasurer, the Board of Pardons and Parole,
the Board of Examiners, the National Guard, the Career Service Review Office, the State
Board of Education, the State Board of Regents, and the State Archives;
(ii) the Office of the Legislative Auditor General, Office of the Legislative Fiscal
Analyst, Office of Legislative Research and General Counsel, the Legislature, and legislative
committees, except any political party, group, caucus, or rules or sifting committee of the
Legislature;
(iii) courts, the Judicial Council, the Office of the Court Administrator, and similar
administrative units in the judicial branch;
(iv) any state-funded institution of higher education or public education; or
(v) any political subdivision of the state, but, if a political subdivision has adopted an
ordinance or a policy relating to information practices pursuant to Section 
63G-2-701
, this
chapter shall apply to the political subdivision to the extent specified in Section 
63G-2-701
 or
as specified in any other section of this chapter that specifically refers to political subdivisions.
(b) "Governmental entity" also means:
(i) every office, agency, board, bureau, committee, department, advisory board, or
commission of an entity listed in Subsection (11)(a) that is funded or established by the
government to carry out the public's business;
(ii) as defined in Section 
11-13-103
, an interlocal entity or joint or cooperative
undertaking;
(iii) as defined in Section 
11-13a-102
, a governmental nonprofit corporation; and
(iv) an association as defined in Section 
53A-1-1601
.
(c) "Governmental entity" does not include the Utah Educational Savings Plan created
in Section 
53B-8a-103
.
(12) "Gross compensation" means every form of remuneration payable for a given
period to an individual for services provided including salaries, commissions, vacation pay,
severance pay, bonuses, and any board, rent, housing, lodging, payments in kind, and any
similar benefit received from the individual's employer.
(13) "Individual" means a human being.
(14) (a) "Initial contact report" means an initial written or recorded report, however
titled, prepared by peace officers engaged in public patrol or response duties describing official
actions initially taken in response to either a public complaint about or the discovery of an
apparent violation of law, which report may describe:
(i) the date, time, location, and nature of the complaint, the incident, or offense;
(ii) names of victims;
(iii) the nature or general scope of the agency's initial actions taken in response to the
incident;
(iv) the general nature of any injuries or estimate of damages sustained in the incident;
(v) the name, address, and other identifying information about any person arrested or
charged in connection with the incident; or
(vi) the identity of the public safety personnel, except undercover personnel, or
prosecuting attorney involved in responding to the initial incident.
(b) Initial contact reports do not include follow-up or investigative reports prepared
after the initial contact report. However, if the information specified in Subsection (14)(a)
appears in follow-up or investigative reports, it may only be treated confidentially if it is
private, controlled, protected, or exempt from disclosure under Subsection 
63G-2-201
(3)(b).
(15) "Legislative body" means the Legislature.
(16) "Notice of compliance" means a statement confirming that a governmental entity
has complied with a records committee order.
(17) "Person" means:
(a) an individual;
(b) a nonprofit or profit corporation;
(c) a partnership;
(d) a sole proprietorship;
(e) other type of business organization; or
(f) any combination acting in concert with one another.
(18) "Private provider" means any person who contracts with a governmental entity to
provide services directly to the public.
(19) "Private record" means a record containing data on individuals that is private as
provided by Section 
63G-2-302
.
(20) "Protected record" means a record that is classified protected as provided by
Section 
63G-2-305
.
(21) "Public record" means a record that is not private, controlled, or protected and that
is not exempt from disclosure as provided in Subsection 
63G-2-201
(3)(b).
(22) (a) "Record" means a book, letter, document, paper, map, plan, photograph, film,
card, tape, recording, electronic data, or other documentary material regardless of physical form
or characteristics:
(i) that is prepared, owned, received, or retained by a governmental entity or political
subdivision; and
(ii) where all of the information in the original is reproducible by photocopy or other
mechanical or electronic means.
(b) "Record" does not mean:
(i) a personal note or personal communication prepared or received by an employee or
officer of a governmental entity:
(A) in a capacity other than the employee's or officer's governmental capacity; or
(B) that is unrelated to the conduct of the public's business;
(ii) a temporary draft or similar material prepared for the originator's personal use or
prepared by the originator for the personal use of an individual for whom the originator is
working;
(iii) material that is legally owned by an individual in the individual's private capacity;
(iv) material to which access is limited by the laws of copyright or patent unless the
copyright or patent is owned by a governmental entity or political subdivision;
(v) proprietary software;
(vi) junk mail or a commercial publication received by a governmental entity or an
official or employee of a governmental entity;
(vii) a book that is cataloged, indexed, or inventoried and contained in the collections
of a library open to the public;
(viii) material that is cataloged, indexed, or inventoried and contained in the collections
of a library open to the public, regardless of physical form or characteristics of the material;
(ix) a daily calendar or other personal note prepared by the originator for the
originator's personal use or for the personal use of an individual for whom the originator is
working;
(x) a computer program that is developed or purchased by or for any governmental
entity for its own use;
(xi) a note or internal memorandum prepared as part of the deliberative process by:
(A) a member of the judiciary;
(B) an administrative law judge;
(C) a member of the Board of Pardons and Parole; or
(D) a member of any other body, other than an association or appeals panel as defined
in Section 
53A-1-1601
, charged by law with performing a quasi-judicial function;
(xii) a telephone number or similar code used to access a mobile communication
device that is used by an employee or officer of a governmental entity, provided that the
employee or officer of the governmental entity has designated at least one business telephone
number that is a public record as provided in Section 
63G-2-301
;
(xiii) information provided by the Public Employees' Benefit and Insurance Program,
created in Section 
49-20-103
, to a county to enable the county to calculate the amount to be
paid to a health care provider under Subsection 
17-50-319
(2)(e)(ii);
(xiv) information that an owner of unimproved property provides to a local entity as
provided in Section 
11-42-205
; [
or
]
(xv) a video or audio recording of an interview, or a transcript of the video or audio
recording, that is conducted at a Children's Justice Center established under Section
67-5b-102
[
.
]
; or
(xvi) before final disposition of an ethics complaint occurs, a video or audio recording
of the closed portion of a meeting or hearing of:
(A) a Senate or House Ethics Committee;
(B) the Independent Legislative Ethics Commission;
(C) the Independent Executive Branch Ethics Commission, created in Section
63A-14-202
; or
(D) the Political Subdivisions Ethics Review Commission established in Section
63A-15-201
.
(23) "Record series" means a group of records that may be treated as a unit for
purposes of designation, description, management, or disposition.
(24) "Records committee" means the State Records Committee created in Section
63G-2-501
.
(25) "Records officer" means the individual appointed by the chief administrative
officer of each governmental entity, or the political subdivision to work with state archives in
the care, maintenance, scheduling, designation, classification, disposal, and preservation of
records.
(26) "Schedule," "scheduling," and their derivative forms mean the process of
specifying the length of time each record series should be retained by a governmental entity for
administrative, legal, fiscal, or historical purposes and when each record series should be
transferred to the state archives or destroyed.
(27) "Sponsored research" means research, training, and other sponsored activities as
defined by the federal Executive Office of the President, Office of Management and Budget:
(a) conducted:
(i) by an institution within the state system of higher education defined in Section
53B-1-102
; and
(ii) through an office responsible for sponsored projects or programs; and
(b) funded or otherwise supported by an external:
(i) person that is not created or controlled by the institution within the state system of
higher education; or
(ii) federal, state, or local governmental entity.
(28) "State archives" means the Division of Archives and Records Service created in
Section 
63A-12-101
.
(29) "State archivist" means the director of the state archives.
(30) "Summary data" means statistical records and compilations that contain data
derived from private, controlled, or protected information but that do not disclose private,
controlled, or protected information.
Section 43. Section 
63G-2-302
 is amended to read:
63G-2-302.
Private records.
(1) The following records are private:
(a) records concerning an individual's eligibility for unemployment insurance benefits,
social services, welfare benefits, or the determination of benefit levels;
(b) records containing data on individuals describing medical history, diagnosis,
condition, treatment, evaluation, or similar medical data;
(c) records of publicly funded libraries that when examined alone or with other records
identify a patron;
(d) records received by or generated by or for:
(i) the Independent Legislative Ethics Commission, except for:
(A) the commission's summary data report that is required under legislative rule; and
(B) any other document that is classified as public under legislative rule; or
(ii) a Senate or House Ethics Committee in relation to the review of ethics complaints,
unless the record is classified as public under legislative rule;
(e) records received by, or generated by or for, the Independent Executive Branch
Ethics Commission, except as otherwise expressly provided in Title 63A, Chapter 14, Review
of Executive Branch Ethics Complaints;
(f) records received or generated for a Senate confirmation committee concerning
character, professional competence, or physical or mental health of an individual:
(i) if, prior to the meeting, the chair of the committee determines release of the records:
(A) reasonably could be expected to interfere with the investigation undertaken by the
committee; or
(B) would create a danger of depriving a person of a right to a fair proceeding or
impartial hearing; and
(ii) after the meeting, if the meeting was closed to the public;
(g) employment records concerning a current or former employee of, or applicant for
employment with, a governmental entity that would disclose that individual's home address,
home telephone number, social security number, insurance coverage, marital status, or payroll
deductions;
(h) records or parts of records under Section 
63G-2-303
 that a current or former
employee identifies as private according to the requirements of that section;
(i) that part of a record indicating a person's social security number or federal employer
identification number if provided under Section 
31A-23a-104
, 
31A-25-202
, 
31A-26-202
,
58-1-301
, 
58-55-302
, 
61-1-4
, or 
61-2f-203
;
(j) that part of a voter registration record identifying a voter's:
(i) driver license or identification card number;
(ii) Social Security number, or last four digits of the Social Security number;
(iii) email address; or
(iv) date of birth;
(k) a voter registration record that is classified as a private record by the lieutenant
governor or a county clerk under Subsection 
20A-2-104
(4)(f) or 
20A-2-101.1
(5)(a);
(l) a record that:
(i) contains information about an individual;
(ii) is voluntarily provided by the individual; and
(iii) goes into an electronic database that:
(A) is designated by and administered under the authority of the Chief Information
Officer; and
(B) acts as a repository of information about the individual that can be electronically
retrieved and used to facilitate the individual's online interaction with a state agency;
(m) information provided to the Commissioner of Insurance under:
(i) Subsection 
31A-23a-115
(3)(a);
(ii) Subsection 
31A-23a-302
(4); or
(iii) Subsection 
31A-26-210
(4);
(n) information obtained through a criminal background check under Title 11, Chapter
40, Criminal Background Checks by Political Subdivisions Operating Water Systems;
(o) information provided by an offender that is:
(i) required by the registration requirements of Title 77, Chapter 41, Sex and Kidnap
Offender Registry or Title 77, Chapter 43, Child Abuse 
Offender
 Registry; and
(ii) not required to be made available to the public under Subsection 
77-41-110
(4) or
77-43-108
(4);
(p) a statement and any supporting documentation filed with the attorney general in
accordance with Section 
34-45-107
, if the federal law or action supporting the filing involves
homeland security;
(q) electronic toll collection customer account information received or collected under
Section 
72-6-118
 and customer information described in Section 
17B-2a-815
 received or
collected by a public transit district, including contact and payment information and customer
travel data;
(r) an email address provided by a military or overseas voter under Section
20A-16-501
;
(s) a completed military-overseas ballot that is electronically transmitted under Title
20A, Chapter 16, Uniform Military and Overseas Voters Act;
(t) records received by or generated by or for the Political Subdivisions Ethics Review
Commission established in Section [
11-49-201
] 
63A-15-201
, except for:
(i) the commission's summary data report that is required in Section [
11-49-202
]
63A-15-202
; and
(ii) any other document that is classified as public in accordance with [
Title 11,
Chapter 49
] 
Title 63A, Chapter 15
, Political Subdivisions Ethics Review Commission;
(u) a record described in Subsection 
53A-11a-203
(3) that verifies that a parent was
notified of an incident or threat; and
(v) a criminal background check or credit history report conducted in accordance with
Section 
63A-3-201
.
(2) The following records are private if properly classified by a governmental entity:
(a) records concerning a current or former employee of, or applicant for employment
with a governmental entity, including performance evaluations and personal status information
such as race, religion, or disabilities, but not including records that are public under Subsection
63G-2-301
(2)(b) or 
63G-2-301
(3)(o) or private under Subsection (1)(b);
(b) records describing an individual's finances, except that the following are public:
(i) records described in Subsection 
63G-2-301
(2);
(ii) information provided to the governmental entity for the purpose of complying with
a financial assurance requirement; or
(iii) records that must be disclosed in accordance with another statute;
(c) records of independent state agencies if the disclosure of those records would
conflict with the fiduciary obligations of the agency;
(d) other records containing data on individuals the disclosure of which constitutes a
clearly unwarranted invasion of personal privacy;
(e) records provided by the United States or by a government entity outside the state
that are given with the requirement that the records be managed as private records, if the
providing entity states in writing that the record would not be subject to public disclosure if
retained by it;
(f) any portion of a record in the custody of the Division of Aging and Adult Services,
created in Section 
62A-3-102
, that may disclose, or lead to the discovery of, the identity of a
person who made a report of alleged abuse, neglect, or exploitation of a vulnerable adult; and
(g) audio and video recordings created by a body-worn camera, as defined in Section
77-7a-103
, that record sound or images inside a home or residence except for recordings that: 
(i) depict the commission of an alleged crime;
(ii) record any encounter between a law enforcement officer and a person that results in
death or bodily injury, or includes an instance when an officer fires a weapon;
(iii) record any encounter that is the subject of a complaint or a legal proceeding
against a law enforcement officer or law enforcement agency;
(iv) contain an officer involved critical incident as defined in Section 
76-2-408
(1)(d);
or
(v) have been requested for reclassification as a public record by a subject or
authorized agent of a subject featured in the recording. 
(3) (a) As used in this Subsection (3), "medical records" means medical reports,
records, statements, history, diagnosis, condition, treatment, and evaluation.
(b) Medical records in the possession of the University of Utah Hospital, its clinics,
doctors, or affiliated entities are not private records or controlled records under Section
63G-2-304
 when the records are sought:
(i) in connection with any legal or administrative proceeding in which the patient's
physical, mental, or emotional condition is an element of any claim or defense; or
(ii) after a patient's death, in any legal or administrative proceeding in which any party
relies upon the condition as an element of the claim or defense.
(c) Medical records are subject to production in a legal or administrative proceeding
according to state or federal statutes or rules of procedure and evidence as if the medical
records were in the possession of a nongovernmental medical care provider.
Section 44. Section 
67-16-15
 is amended to read:
67-16-15.
Complaint -- Political Subdivisions Ethics Review Commission.
A person may file a complaint for an alleged violation of this chapter by a political
subdivision officer or employee in accordance with Title [
11, Chapter 49
] 
63A, Chapter 15
,
Political Subdivisions Ethics Review Commission.