reglab/statecodes huggingface dataset:
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 12 - Division of Archives and Records Service and Management of Government Records › Part 1 - General Provisions › Section 116 - Background check for individuals with direct access to a vulnerable record.

Effective 5/3/2023
63A-12-116.
Background check for individuals with direct access to a vulnerable record.
(1) If, under Subsection 63A-12-101(3)(c), state archives requires an individual to undergo a background check:
(a) the individual shall:
(i) submit to state archives, in a form designated by state archives, a fingerprint card and other information required by state archives for the background check; and
(ii) consent to a criminal background check by the Federal Bureau of Investigation, the Bureau of Criminal Identification, or any other state entity that performs criminal background checks; and
(b) state archives shall:
(i) submit the fingerprint card and information described in Subsection (1)(a)(i) to the Utah Bureau of Criminal Identification; and
(ii) pay all fees required to conduct the background check, including fees described in Subsection 53-10-108(15)(a) and fees required by the Federal Bureau of Investigation.
(2) The Bureau of Criminal Identification shall provide all results of a criminal background check described in this section to state archives, including results from state, regional, and nationwide background checks.
(3) State archives may make rules, in accordance with Title 63G, Chapter 3, Utah Administrative Rulemaking Act, to:
(a) establish procedures for requiring and conducting a background check under this section; and
(b) specify requirements for the information and fingerprint card required for a background check under this section.
Enacted by Chapter 173, 2023 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 2 - Office and Powers › Section 201 - Creation of office -- Inspector general -- Appointment -- Term.

Effective 7/1/2021
63A-13-201.
Creation of office -- Inspector general -- Appointment -- Term.
(1) There is created an independent entity within the department known as the "Office of Inspector General of Medicaid Services."
(2) The governor shall:
(a) appoint the inspector general of Medicaid services with the advice and consent of the Senate; and
(b) establish the salary for the inspector general of Medicaid services based upon a recommendation from the Division of Human Resource Management which shall be based on a market salary survey conducted by the Division of Human Resource Management.
(3) A person appointed as the inspector general shall have the following qualifications:
(a) a general knowledge of the type of methodology and controls necessary to audit, investigate, and identify fraud, waste, and abuse;
(b) strong management skills;
(c) extensive knowledge of performance audit methodology;
(d) the ability to oversee and execute an audit; and
(e) strong interpersonal skills.
(4) The inspector general of Medicaid services:
(a) shall serve a term of four years; and
(b) may be removed by the governor, for cause.
(5) If the inspector general is removed for cause, a new inspector general shall be appointed, with the advice and consent of the Senate, to serve the remainder of the term of the inspector general of Medicaid services who was removed for cause.
(6) The Office of Inspector General of Medicaid Services:
(a) is not under the supervision of, and does not take direction from, the executive director, except for administrative purposes;
(b) shall use the legal services of the state attorney general's office;
(c) shall submit a budget for the office directly to the department;
(d) except as prohibited by federal law, is subject to:
(i)Title 51, Chapter 5, Funds Consolidation Act;
(ii)Title 51, Chapter 7, State Money Management Act;
(iii)Title 63A, Utah Government Operations Code;
(iv)Title 63G, Chapter 3, Utah Administrative Rulemaking Act;
(v)Title 63G, Chapter 4, Administrative Procedures Act;
(vi)Title 63G, Chapter 6a, Utah Procurement Code;
(vii)Title 63J, Chapter 1, Budgetary Procedures Act;
(viii)Title 63J, Chapter 2, Revenue Procedures and Control Act;
(ix)Chapter 17, Utah State Personnel Management Act;
(x)Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act;
(xi)Title 52, Chapter 4, Open and Public Meetings Act;
(xii)Title 63G, Chapter 2, Government Records Access and Management Act; and
(xiii) coverage under the Risk Management Fund created under Section 63A-4-201;
(e) when requested, shall provide reports to the governor, the president of the Senate, or the speaker of the House; and
(f) shall adopt administrative rules to establish policies for employees that are substantially similar to the administrative rules adopted by the Division of Human Resource Management.
Amended by Chapter 344, 2021 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 2 - Office and Powers › Section 203 - Memorandum of understanding with fraud unit.

63A-13-203.
Memorandum of understanding with fraud unit.
The inspector general shall enter into a memorandum of understanding with the fraud unit to:
(1) formalize communication, cooperation, coordination of efforts, and the sharing of information, on a regular basis, between the office and the fraud unit;
(2) provide for reporting criminal activity discovered by the office to the fraud unit;
(3) ensure that investigations and other actions by the office and the fraud unit do not conflict; and
(4) provide for the sharing and classification of records between the office and the fraud unit under the Government Records Access and Management Act.
Renumbered and Amended by Chapter 12, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 2 - Office and Powers › Section 205 - Placement of hold on claims for reimbursement -- Injunction.

63A-13-205.
Placement of hold on claims for reimbursement -- Injunction.
(1) The inspector general or the inspector general's designee may, without prior notice, order a hold on the payment of a claim for reimbursement submitted by a claimant if there is reasonable cause to believe that the claim, or payment of the claim, constitutes fraud, waste, or abuse, or is otherwise inaccurate.
(2) The office shall, within seven days after the day on which a hold described in Subsection (1) is ordered, notify the claimant that the hold has been placed.
(3) The inspector general or the inspector general's designee may not maintain a hold longer than is necessary to determine whether the claim, or payment of the claim, constitutes fraud, waste, or abuse, or is otherwise inaccurate.
(4) A claimant may, at any time during which a hold is in place, appeal the hold under Title 63G, Chapter 4, Administrative Procedures Act.
(5) If a claim is approved or denied before a hearing is held under Title 63G, Chapter 4, Administrative Procedures Act, the appeal shall be dismissed as moot.
(6) The inspector general may request that the attorney general's office seek an injunction to prevent a person from disposing of an asset that is potentially subject to recovery by the state to recover funds due to a person's fraud or abuse.
(7) The department and the division shall fully comply with a hold ordered under this section.
Renumbered and Amended by Chapter 12, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 3 - Investigation or Audit › Section 302 - Access to employees -- Cooperating with investigation or audit.

63A-13-302.
Access to employees -- Cooperating with investigation or audit.
(1) The office shall have access to interview the following persons if the inspector general determines that the interview may assist the inspector general in fulfilling the duties described in Section 63A-13-202:
(a) a state executive branch official, executive director, director, or employee;
(b) a local government official or employee;
(c) a consultant or contractor of a person described in Subsection (1)(a) or (b); or
(d) a provider or a health care professional or an employee of a provider or a health care professional.
(2) A person described in Subsection (1) and each supervisor of the person shall fully cooperate with the office by:
(a) providing the office or the inspector general's designee with access to interview the person;
(b) completely and truthfully answering questions asked by the office or the inspector general's designee;
(c) providing the records, described in Subsection 63A-13-301(1), in the manner described in Subsection 63A-13-301(4), requested by the office or the inspector general's designee; and
(d) providing the office or the inspector general's designee with information relating to the office's investigation or audit.
(3) A person described in Subsection (1)(a) or (b) and each supervisor of the person shall fully cooperate with the office by:
(a) providing records requested by the office or the inspector general's designee in the manner described in Subsection 63A-13-301(4); and
(b) providing the office or the inspector general's designee with information relating to the office's investigation or audit, including information that is classified as private, controlled, or protected under Title 63G, Chapter 2, Government Records Access and Management Act.
Renumbered and Amended by Chapter 12, 2013 General Session
Amended by Chapter 359, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 3 - Investigation or Audit › Section 303 - Cooperation and support.

63A-13-303.
Cooperation and support.
The department, the division, each consultant or contractor of the department or division, and each provider shall provide its full cooperation and support to the inspector general and the office in fulfilling the duties of the inspector general and the office.
Renumbered and Amended by Chapter 12, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 3 - Investigation or Audit › Section 304 - Interference with an investigation or audit prohibited.

63A-13-304.
Interference with an investigation or audit prohibited.
No person may:
(1) interfere with or impede an investigation or audit of the office or fraud unit; or
(2) interfere with the office relative to the content of a report, the conclusions reached in a report, or the manner of disclosing the results and findings of the office.
Renumbered and Amended by Chapter 12, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 3 - Investigation or Audit › Section 305 - Audit and investigation procedures.

Effective 5/4/2022
63A-13-305.
Audit and investigation procedures.
(1)
(a) The office shall, in accordance with Section 63A-13-602, adopt administrative rules in consultation with providers and health care professionals subject to audit and investigation under this chapter to establish procedures for audits and investigations that are fair and consistent with the duties of the office under this chapter.
(b) If the providers and health care professionals do not agree with the rules proposed or adopted by the office under Subsection (1)(a) or Section 63A-13-602, the providers or health care professionals may:
(i) request a hearing for the proposed administrative rule or seek any other remedies under the provisions of Title 63G, Chapter 3, Utah Administrative Rulemaking Act; and
(ii) request a review of the rule by the Legislature's Administrative Rules Review and General Oversight Committee created in Section 63G-3-501.
(2) The office shall notify and educate providers and health care professionals subject to audit and investigation under this chapter of the providers' and health care professionals' responsibilities and rights under the administrative rules adopted by the office under the provisions of this section and Section 63A-13-602.
Amended by Chapter 443, 2022 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 4 - Subpoena Power › Section 401 - Subpoena power -- Enforcement.

63A-13-401.
Subpoena power -- Enforcement.
(1) The inspector general has the power to issue a subpoena to obtain a record or interview a person that the office or inspector general has the right to access under Part 3, Investigation or Audit.
(2) A person who fails to comply with a subpoena issued by the inspector general or who refuses to testify regarding a matter upon which the person may be lawfully interrogated:
(a) is in contempt of the inspector general; and
(b) upon request by the inspector general, the attorney general shall:
(i) file a motion for an order to compel obedience to the subpoena with the district court;
(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 inspector general; or
(iii) pursue other legal remedies against the person.
(3) Upon receipt of a motion under Subsection (2), the court:
(a) shall expedite the hearing and decision on the motion; and
(b) may:
(i) order the person named in the subpoena to comply with the subpoena; and
(ii) impose any penalties authorized by Title 78B, Chapter 6, Part 3, Contempt, upon the person named in the subpoena for contempt of the inspector general.
(4)
(a) If a subpoena described in this section requires the production of accounts, books, papers, documents, or other tangible items, the person or entity to whom it 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 inspector general may respond to a motion to quash or modify the subpoena by pursuing any remedy authorized by Subsection (3).
(c) If the court finds that a subpoena requiring the production of accounts, books, papers, documents, or other tangible items is unreasonable or oppressive, the court may quash or modify the subpoena.
(5) Nothing in this section prevents the inspector general from seeking an extraordinary writ to remedy contempt of the inspector general.
(6) Any party aggrieved by a decision of a court under this section may appeal that decision directly to the Utah Supreme Court.
Renumbered and Amended by Chapter 12, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 5 - Reporting › Section 501 - Duty to report potential Medicaid fraud to the office or fraud unit.

63A-13-501.
Duty to report potential Medicaid fraud to the office or fraud unit.
(1)
(a) Except as provided in Subsection (1)(b), a health care professional, a provider, or a state or local government official or employee who becomes aware of fraud, waste, or abuse shall report the fraud, waste, or abuse to the office or the fraud unit.
(b)
(i) The reporting exception in this Subsection (1)(b) does not apply to fraud and abuse. Suspected fraud and abuse shall be reported in accordance with Subsection (1).
(ii) If a person described in Subsection (1)(a) reasonably believes that the suspected waste is a mistake, and is not intentional or knowing, the person may first report the suspected waste to the provider, health care professional, or compliance officer for the provider or health care professional.
(iii) The person described in Subsection (1)(b)(ii) shall report the suspected waste to the office or the fraud unit unless, within 30 days after the day on which the person reported the suspected waste to the provider, health care professional, or compliance officer, the provider, health care professional, or compliance officer demonstrates to the person that the suspected waste has been corrected.
(2) A person who makes a report under Subsection (1) may request that the person's name not be released in connection with the investigation.
(3) If a request is made under Subsection (2), the person's identity may not be released to any person or entity other than the office, the fraud unit, or law enforcement, unless a court of competent jurisdiction orders that the person's identity be released.
Renumbered and Amended by Chapter 12, 2013 General Session
Amended by Chapter 359, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 5 - Reporting › Section 502 - Report and recommendations to governor and Infrastructure and General Government Appropriations Subcommittee.

Effective 5/14/2019
63A-13-502.
Report and recommendations to governor and Infrastructure and General Government Appropriations Subcommittee.
(1) The inspector general of Medicaid services shall, on an annual basis, prepare an electronic report on the activities of the office for the preceding fiscal year.
(2) The report shall include:
(a) non-identifying information, including statistical information, on:
(i) the items described in Subsection 63A-13-202(1)(b) and Section 63A-13-204;
(ii) action taken by the office and the result of that action;
(iii) fraud, waste, and abuse in the state Medicaid program, including emerging trends of Medicaid fraud, waste, and abuse and the office's actions to identify and address the emerging trends;
(iv) the recovery of fraudulent or improper use of state and federal Medicaid funds, including total dollars recovered through cash recovery, credit adjustments, and rebilled claims;
(v) measures taken by the state to discover and reduce fraud, waste, and abuse in the state Medicaid program;
(vi) audits conducted by the office, including performance and financial audits;
(vii) investigations conducted by the office and the results of those investigations, including preliminary investigations;
(viii) administrative and educational efforts made by the office and the division to improve compliance with Medicaid program policies and requirements;
(ix) total cost avoidance attributed to an office policy or action;
(x) the number of complaints against Medicaid recipients received and disposition of those complaints;
(xi) the number of educational activities that the office provided to a provider or a state agency;
(xii) the number of credible allegations of fraud referred to the Medicaid fraud control unit under Section 63A-13-501; and
(xiii) the number of data pulls performed and general results of those pulls;
(b) recommendations on action that should be taken by the Legislature or the governor to:
(i) improve the discovery and reduction of fraud, waste, and abuse in the state Medicaid program;
(ii) improve the recovery of fraudulently or improperly used Medicaid funds; and
(iii) reduce costs and avoid or minimize increased costs in the state Medicaid program;
(c) recommendations relating to rules, policies, or procedures of a state or local government entity; and
(d) services provided by the state Medicaid program that exceed industry standards.
(3) The report described in Subsection (1) may not include any information that would interfere with or jeopardize an ongoing criminal investigation or other investigation.
(4) On or before November 1 of each year, the inspector general of Medicaid services shall provide the electronic report described in Subsection (1) to the Infrastructure and General Government Appropriations Subcommittee of the Legislature and to the governor.
Amended by Chapter 286, 2019 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 6 - Miscellaneous Provisions › Section 601 - Provision of contract services to Office of Inspector General of Medicaid Services.

63A-13-601.
Provision of contract services to Office of Inspector General of Medicaid Services.
(1) The division and the assistant attorneys general assigned to the division shall provide, without charge, contract review, contract enforcement, and other contract management services to the office.
(2) The division shall ensure that the services described in Subsection (1) are provided in an expeditious manner.
(3) The attorney general shall designate one of the assistant attorneys general assigned to the division to give first priority to providing the services described in Subsection (1) to the office.
(4) The office and the division shall enter into a memorandum of understanding in order to execute the requirements of this section in an effective and efficient manner.
Renumbered and Amended by Chapter 12, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 13 - Office of Inspector General of Medicaid Services › Part 6 - Miscellaneous Provisions › Section 602 - Rulemaking authority.

63A-13-602.
Rulemaking authority.
The office may make rules, pursuant to Title 63G, Chapter 3, Utah Administrative Rulemaking Act, and Section 63A-13-305, that establish policies, procedures, and practices, in accordance with the provisions of this chapter, relating to:
(1) inspecting and monitoring the state Medicaid Program;
(2) discovering and investigating potential fraud, waste, or abuse in the State Medicaid program;
(3) developing and implementing the principles and standards described in Subsection 63A-13-202(1)(q);
(4) auditing, inspecting, and evaluating the functioning of the division under Subsection 63A-13-202(1)(h);
(5) conducting an audit under Subsection 63A-13-202(1)(h) or (2); or
(6) ordering a hold on the payment of a claim for reimbursement under Section 63A-13-205.
Renumbered and Amended by Chapter 12, 2013 General Session
Amended by Chapter 359, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 1 - General Provisions › Section 101 - Title.

63A-14-101.
Title.
(1) This chapter is known as "Review of Executive Branch Ethics Complaints."
(2) This part is known as "General Provisions."
Enacted by Chapter 426, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 1 - General Provisions › Section 102 - Definitions.

Effective 5/8/2018
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.
(6) "Respondent" means the executive branch elected official against whom an ethics complaint described in Section 63A-14-402 is filed.
(7) "Violation" means a high crime, a misdemeanor, or malfeasance in office.
Amended by Chapter 461, 2018 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 2 - Independent Executive Branch Ethics Commission › Section 203 - Independent Executive Branch Ethics Commission -- Meetings -- Annual summary report -- Staff -- Legal counsel -- Supplemental appropriations.

Effective 5/8/2018
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 governor before December 1 each year.
(c) The summary data report is a public record.
(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.
(5)
(a) Except as provided in Subsection (5)(b), staff for the commission may not perform services for any other person in state government.
(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.
(6) Except as expressly otherwise provided in this chapter, all meetings held under this chapter are closed to the public.
Amended by Chapter 461, 2018 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 3 - General Powers and Procedures › Section 303 - General powers -- Jurisdiction.

63A-14-303.
General powers -- Jurisdiction.
(1) The commission has jurisdiction only over an individual who is currently serving as an executive branch elected official.
(2) The commission or the chair shall dismiss an ethics complaint if:
(a) the respondent resigns from the respondent's position as an executive branch elected official; or
(b) the House of Representatives convenes to consider impeachment of the executive branch elected official.
(3)
(a) The commission may suspend commission proceedings during a period of time when a criminal investigation or prosecution, based in whole or in part on an allegation in the complaint, is pending.
(b) The time periods and deadlines described in this chapter are tolled during a suspension described in Subsection (3)(a).
(4) The commission does not have jurisdiction over a violation that occurs before March 14, 2013.
Enacted by Chapter 426, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 4 - Ethics Complaints › Section 403 - Privacy of ethics complaint -- Dismissal -- Contempt.

Effective 5/8/2018
63A-14-403.
Privacy of ethics complaint -- Dismissal -- Contempt.
(1)
(a) Except as provided in Subsection (2) or (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;
(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.
(4) Nothing in this section prevents a person from disclosing facts or allegations regarding potential criminal violations to law enforcement authorities.
(5) If the existence of an 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 (2)(c) or (e), during the period that the commission is reviewing the complaint, the commission shall summarily dismiss the complaint without prejudice.
Amended by Chapter 461, 2018 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 5 - Preliminary Action › Section 502 - Initial review of ethics complaint -- Notice.

Effective 5/8/2018
63A-14-502.
Initial review of ethics complaint -- Notice.
(1)
(a) Except as provided in Subsection (1)(b), within five business days after the day on which the commission receives a complaint, the director of the commission, in consultation with the chair, shall examine the complaint to determine if 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.
Amended by Chapter 461, 2018 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 5 - Preliminary Action › Section 503 - Meeting of the commission for review of complaint -- Procedures.

63A-14-503.
Meeting of the commission for review of complaint -- Procedures.
(1) No later than 10 days after the day on which a complaint is accepted under Section 63A-14-502, the chair shall:
(a) except as provided in Subsection (2), schedule a commission meeting on a date:
(i) no later than 60 days after the day on which the chair accepts the complaint; and
(ii) no earlier than 40 days after the day on which the chair accepts the complaint;
(b) place the complaint on the agenda for consideration at that meeting;
(c) provide notice of the date, time, and location of the meeting to:
(i) the members of the commission;
(ii) the first complainant named in the complaint; and
(iii) the respondent; and
(d) provide a copy of the complaint to each member of the commission.
(2) The commission may, by majority vote, change the date of the meeting for review of the complaint in order to accommodate:
(a) a meeting described in Subsection 63A-14-602(2); or
(b) necessary scheduling requirements.
(3) The commission may conduct a vote to change the date of the meeting described in Subsection (2) by phone or electronic means if the members do not discuss any other matters relating to the complaint during the communication.
Enacted by Chapter 426, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 5 - Preliminary Action › Section 504 - Response to ethics complaint -- Filing -- Form.

Effective 5/8/2018
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 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.
Amended by Chapter 461, 2018 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 6 - Ethics Proceedings › Section 602 - Review of ethics complaint by commission.

63A-14-602.
Review of ethics complaint by commission.
(1) The scope of the commission's review of a complaint is limited to the alleged violations stated in the complaint.
(2) Before holding a meeting for review of a complaint, the chair may schedule a separate meeting of the commission to:
(a) review 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 an executive branch elected official that have already been reviewed by the commission;
(b) hear motions or arguments from the parties, including hearing motions or arguments relating to dismissal of a complaint, admission of evidence, or procedures; or
(c) hold a vote of the commission, with or without the attendance of the parties, on procedural or commission business matters relating to a complaint.
(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 63A-14-703.
(4)
(a) The following individuals may be present during the presentation of testimony and evidence to the commission:
(i) the complainants, except that no more than three complainants may be present at one time;
(ii) the complainants' 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.
(b) The complainants, respondent, and counsel for a complainant or respondent may be excluded from a portion of the meeting when the commission discusses administrative, procedural, legal, or evidentiary issues by:
(i) the order of the chair, subject to override as provided in Section 63A-14-703; or
(ii) a majority vote of the commission.
(c) When the commission deliberates at the conclusion of presentation of testimony and evidence, the commission shall ensure that those deliberations are closed to all persons except for the members of the commission and commission staff.
(5) If a majority of the commission determines that a continuance is necessary to obtain further evidence and testimony, accommodate administrative needs, or accommodate the attendance of commission members, witnesses, or a party, the commission may:
(a) after notice to the parties, adjourn and continue the meeting to a future date and time; and
(b) establish that future date and time by majority vote.
Enacted by Chapter 426, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 6 - Ethics Proceedings › Section 603 - Record -- Recording of meetings.

63A-14-603.
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 chapter.
(b) The commission shall keep an audio or video recording of all portions of each meeting authorized by this part.
(c) If the commission elects, by a majority vote, to release in a public meeting the commission's finding that an allegation in the complaint has merit, the commission may, upon a majority vote of the commission, open the public meeting to cameras or other recording devices.
(2) In addition to the recording required in Subsection (1)(b), the chair shall ensure that a record of the meeting is made, that includes:
(a) official minutes taken during the meeting, if any;
(b) copies of all documents or other items admitted into evidence by the commission;
(c) copies of any documents or written orders or rulings issued by the chair or the commission; and
(d) any other information that a majority of the commission or the chair directs.
(3) Except for a finding prepared by the commission that is classified as public under Section 63A-14-605, any recording, testimony, evidence, or other record of a meeting authorized by this chapter is a private record under Section 63G-2-302 and may not be disclosed.
Enacted by Chapter 426, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 6 - Ethics Proceedings › Section 606 - Comments on complaint under review by Legislature.

63A-14-606.
Comments on complaint under review by Legislature.
(1) Except as provided in Subsection (2), while a complaint is under review by the Legislature, a member of the commission may not comment publicly or privately about the commission's decision, reasoning, or other matters relating to the ethics complaint, but may provide or refer a questioner to the commission's written finding.
(2) Subsection (1) does not prohibit statements made:
(a) to an individual authorized by the Legislature to conduct an investigation for the purpose of assisting the Legislature in conducting proceedings related to impeachment or removal from office;
(b) to a legislative committee, the House, or the Senate in relation to proceedings for impeachment or trial of impeachment; or
(c) as part of a criminal investigation.
Enacted by Chapter 426, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 7 - General Provisions Governing Hearings on Ethics Complaints › Section 702 - General procedures for conducting a hearing on an ethics complaint.

63A-14-702.
General procedures for conducting a hearing on an ethics complaint.
(1) In conducting a hearing on a complaint, 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) procedural motions, adoption of evidentiary standards, or other general matters;
(c) complainants' opening argument, to be presented by a complainant or complainants' counsel;
(d) complainants' presentation of evidence and witnesses in support of allegations in the complaint;
(e) consideration of motions to dismiss the complaint or motions for a directed verdict, as applicable;
(f) respondent's opening argument, to be presented by the respondent or respondent's counsel;
(g) respondent's presentation of evidence and witnesses refuting the allegations in the complaint;
(h) presentation of rebuttal evidence and witnesses by the complainants, at the discretion of the chair;
(i) presentation of rebuttal evidence and witnesses by the respondent, at the discretion of the chair;
(j) complainants' closing argument, to be presented by a complainant or complainants' counsel;
(k) respondent's closing argument, to be presented by the respondent or respondent's counsel;
(l) deliberations by the commission; and
(m) adoption of the commission's findings.
(2) The commission may, in extraordinary circumstances, and consistent with due process considerations, vary the order described in Subsection (1) by majority vote and by providing notice to the parties.
(3) In addition to witnesses or evidence subpoenaed at the request of a complainant or a respondent, the chair or the commission may, consistent with due process considerations, subpoena and schedule the examination of witnesses or evidence that the chair or the commission determines will assist the commission in making a determination on the merits of the complaint.
Enacted by Chapter 426, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 7 - General Provisions Governing Hearings on Ethics Complaints › Section 703 - Chair as presiding judge.

63A-14-703.
Chair as presiding judge.
(1) Except as expressly provided otherwise in this chapter, the chair is vested with the power to direct the commission during meetings authorized by this chapter.
(2) Except as otherwise provided in this chapter, the commission may overrule a decision of the chair if:
(a) a member of the commission:
(i) states that the member desires to overrule the decision of the chair; and
(ii) states the basis for the member's objection to the decision of the chair; and
(b) a majority of the commission votes to overrule the decision of the chair.
(3) The chair may set time limitations on any part of a meeting authorized by this chapter.
Enacted by Chapter 426, 2013 General Session
2023 Utah Code › Title 63A - Utah Government Operations Code › Chapter 14 - Review of Executive Branch Ethics Complaints › Part 7 - General Provisions Governing Hearings on Ethics Complaints › Section 704 - Subpoena powers.

63A-14-704.
Subpoena powers.
(1) For all proceedings authorized by this chapter, the commission may issue a subpoena to:
(a) require the attendance of a witness; or
(b) direct the production of evidence.
(2) The commission shall issue a subpoena under this section:
(a) as required under Section 63A-14-706;
(b) at the direction of the chair, if the chair determines that the testimony or evidence is relevant to the review of a complaint; or
(c) upon a vote of a majority of the commission members.
Enacted by Chapter 426, 2013 General Session