Utah Administrative Code

The Utah Administrative Code is the body of all effective administrative rules as compiled and organized by the Division of Administrative Rules (see Subsection 63G-3-102(5); see also Sections 63G-3-701 and 702).

NOTE: For a list of rules that have been made effective since January 1, 2020, please see the codification segue page.

NOTE TO RULEFILING AGENCIES: Use the RTF version for submitting rule changes.


R623. Lieutenant Governor, Elections.

Rule R623-1. Lieutenant Governor's Procedure for Regulation of Lobbyist Activities.

As in effect on January 1, 2020

Table of Contents

R623-1-1. Purpose.

Pursuant to Sections 36-11-404 and 36-11a-302, this rule provides procedures for the lieutenant governor to:

(a) Appoint administrative law judges to adjudicate alleged violations and impose penalties outlined in Title 36, Chapter 11, Lobbyist Disclosure and Regulation Act;

(b) Appoint administrative law judges to adjudicate alleged violations and impose penalties outlined in Title 36, Chapter 11a, Local Government and Board of Education Lobbyist Disclosure and Regulation Act; and

(c) Provide procedures for license applications, disapprovals, suspensions, revocations, and reinstatements that comply with the procedures and requirements of Title 63G, Chapter 4, Administrative Procedures Act.

R623-1-2. Authority.

This rule is authorized by Sections 36-11-404 and 36-11a-302.

R623-1-3. Definitions.

(1) In addition to the terms defined in Sections 63G-4-103, 36-11-102, and 36-11a-102, the following definitions apply:

(a) "Director" means the director of elections within the Office of the Lieutenant Governor.

(b) "Licensure Period" means the period beginning January 1 and ending December 31 of each calendar year.

(c) "Lobbyist" means the term lobbyist as defined by Sections 36-11-102 and 36-11a-102.

(d) "Office" means the Office of the Lieutenant Governor.

R623-1-4. Disapproval of Lobbyist License Application.

(1) The office may disapprove a lobbyist license application described in Section 36-11-103 if:

(a) The applicant or license application meets any of the disapproval criteria outlined in Section 36-11-103(4);

(b) The license application is not accurate, complete, or compliant with law;

(c) If the applicant has not paid a fine imposed under Section 36-11-401 or 36-11a-301; or

(d) If, at the time of the pending application, the applicant's current lobbyist license is suspended.

R623-1-5. Suspension of Lobbyist License.

(1) In addition to the penalties outlined in Sections 36-11-401 and 36-11a-301, the office may suspend the lobbyist license of an individual for a period of up to one year if the individual:

(a) Fails to pay a fine imposed under Section 36-11-401 within 30 calendar days after the day on which the office imposes the fine;

(b) Fails to file a required report described in Section 36-11-201 and fails to submit the required report within 30 calendar days after the deadline described in Section 36-11-201; or

(c) Files a license application, report, or other document to the office that contains materially false information or omits material information; including, but not limited to, the failure to list all principals for which the lobbyist works or is hired as an independent contractor.

(2) If the office suspends a lobbyist license, it shall immediately notify:

(a) The speaker of the House of Representatives;

(b) The president of the Senate; and

(c) The governor.

(3) If the office suspends an individual's lobbyist license:

(a) The individual may not lobby during the period of the suspension; and

(b) Except as provided in Subsection R623-1-5(3)(b)(i), the individual may apply for a lobbyist license after the suspension period expires by following the procedures of Section 36-11-103.

(i) The individual's lobbyist license is automatically reinstated when the period of suspension ends if the beginning and end of the suspension period is within the same licensure period.

R623-1-6. Reinstatement.

(1) An individual with a suspended license may apply for reinstatement by filing a written request for reconsideration in accordance with Section 63G-4-302.

R623-1-7. Designation of Formal and Informal Adjudicative Proceedings.

(1) Pursuant to 63G-4-202, the office designates all adjudicative proceedings commenced under the authority of Title 36, Chapters 11 and -11a, as proceedings to be conducted as informal proceedings. Except as provided in Subsection R623-1-7(2), all adjudicative proceedings shall be conducted as informal adjudicative proceedings.

(2) An adjudicative proceeding will be conducted as a formal adjudicative proceeding if:

(a) A party submits a written request for a formal adjudicative proceeding to the director within seven calendar days after the day the office provides notice of office action in accordance with Section 63G-4-201; or

(b) The director determines that a formal adjudicative proceeding is in the public interest and does not unfairly prejudice the rights of any party.

R623-1-8. Commencement of Adjudicative Proceedings.

(1) Adjudicative proceedings shall be commenced in accordance with Section 63G-4-201.

(2) The office shall commence an adjudicative proceeding to:

(a) Impose a civil penalty described in Section 36-11-401;

(b) Impose a civil penalty described in Section 36-11a-301;

(c) Disapprove a lobbyist license application; or

(d) Suspend or revoke a lobbyist's license.

(3) The office may not commence an adjudicative proceeding to determine alleged criminal violations and will refer complaints and allegations of criminal violations to the appropriate prosecutorial entity.

R623-1-9. Informal Adjudicative Proceedings.

(1) The office shall hold a hearing for an informal adjudicative proceeding if:

(a) A hearing is required by statute;

(b) A hearing is permitted by statute and is requested by a party in writing within 30 calendar days after the day the office provides notice of office action; or

(c) The director determines a hearing is necessary to issue a decision and order.

(2) Hearing Procedure.

(a) The director shall serve as the presiding officer of an informal adjudicative proceeding.

(b) Notice of the hearing shall be mailed to all parties by regular mail at least 10 business days prior to the hearing date.

(c) Parties named in the notice shall be permitted to testify, present evidence, and comment on the issues.

(i) The presiding officer shall accept oral or written testimony from any party.

(ii) The presiding officer may question and examine any witness called to present testimony.

(iii) The presiding officer may establish rules to conduct an orderly hearing, provided the rules do not unfairly prejudice the rights of any party.

(iv) The presiding officer shall weigh the merits of the evidence provided and exclude evidence that is irrelevant, immaterial, unduly, or repetitious.

(d) Discovery is prohibited, but the office may issue subpoenas or other orders to compel production of necessary evidence.

(e) All parties shall have access to information contained in the office's files and to all materials and information gathered in any investigation, to the extent permitted by law.

(f) Intervention is prohibited, except when a federal statute or rule requires that a state permits intervention.

(g) All hearings shall be open to all parties.

(h) The office may record the hearing, and any party, at the party's own expense, may have a reporter approved by the office to prepare a transcript from the office's record of hearing.

(i) The director may schedule a conference to encourage settlement before the hearing.

(3) If no hearing is held for an informal adjudicative proceeding, the presiding officer shall issue a decision and order pursuant to 63G-4-203 within a reasonable time.

R623-1-10. Formal Adjudicative Proceedings.

(1) A formal adjudicative proceeding shall be held if the requirements of R623-1-7(2) are met.

(2) Except as provided in Subsection R623-1-10(2)(a), the director shall serve as the presiding officer of a formal adjudicative proceeding.

(a) The director shall appoint an administrative law judge to serve as the presiding officer of a formal adjudicative proceeding if the respondent requests the appointment of an administrative law judge in writing when the respondent makes the request described in Subsection R623-1-7(2)(a).

(3) Formal adjudicative proceedings shall be conducted in accordance with Sections 63G-4-204 through 63G-4-209.

R623-1-11. Continuance.

(1) The presiding officer of any adjudicative proceeding may grant a continuance for a hearing if a party or respondent submits a written request for a continuance to the presiding officer no later than one business day before the hearing is scheduled.

KEY

lobbyists, lobbyist registration

Date of Enactment or Last Substantive Amendment

December 9, 2019

Notice of Continuation

January 28, 2019

Authorizing, Implemented, or Interpreted Law

36-11-404; 36-11a-302


Additional Information

Contact

For questions regarding the content or application of rules under Title R623, please contact the promulgating agency (Lieutenant Governor, Elections). A list of agencies with links to their homepages is available at http://www.utah.gov/government/agencylist.html or from http://www.rules.utah.gov/contact/agencycontacts.htm.