Summary
The terms "Designated Address" and "U.S. Postal Service Certified Mail" have been added under Section R305-7-102 for purposes of defining service of Notices of Violation under Section R305-7-302. The reference to a "response" to a request for agency action is deleted under Subsection R305-7-103(2), as the requirement to file a response has been removed. A new Subsection R305-7-104(1)(a) has been added as a cross-reference regarding service of Notices of Violation and Initial Orders, a subject that is now covered under Section R305-7-302. Subsections R305-7-104(1)(b), (3)(a), and (5) have been modified to clarify that new adjudicative proceedings may not be initiated by email filing. A traditional, paper filing is required and must be received by the Division as of the due date. The existing rule has been interpreted to so provide. These amendments are intended to clarify the existing rule. A new Subsection R305-7-104(4) has been added in order to create a single rule governing all hearings in adjudicative proceedings. Corresponding rules regarding hearings under Subsections R305-7-213(5) and R305-7-314(2) have been conformed. This new subsection confirms the practice adopted by most ALJs who have been hearing cases under the rule and reinforces the rule that all matters subject to review by the Executive Director must be of record. Responsibility for making the record falls to the Directors. The final sentence of Section R305-7-112 has been eliminated because it is redundant and deemed unnecessary. A new Section R305-7-114 has been adopted to address prosecution of actions. Consistent with the Utah Code of Judicial Administration, this section provides that the responsibility for prosecution of adjudications falls to the person seeking relief; that the Executive Director may, either sua sponte or by motion, serve an order to show cause why a case should not be dismissed for failure to prosecute. In matters where an ALJ has been assigned, a motion should be filed with the ALJ in the first instance. In either event, the person with the responsibility for prosecution of the action will be provided with an opportunity to show cause why the adjudication should not be dismissed for failure to prosecute before such an order is entered. This section adopts the current practice of the Executive Director. Subsection R305-7-200(2) provides that because the 2018 amendments are procedural, they shall apply retroactively to all matters pending before the Executive Director. Section 19-1-301.5 provides that the Department may promulgate rules for extensions of time for petitions to review in special adjudicative proceedings. The existing Section R305-7-205 speaks of "parties" but not prospective intervenors. This section has been expanded to provide that if the parties and prospective intervenor agree, an extension of time may be entered. This change extending the right for a stipulated extension of time to prospective intervenors provides Directors with greater flexibility to manage potential settlement of special adjudicative proceedings. Subsections R305-7-302(1) and (2) have been moved to and consolidated with Section R305-7-307. A new Section R305-7-302 has been promulgated to govern the issuance and service of Notices of Violation and Initial Orders by Directors. The intent of this section is to provide, by rule, more clarity as to the effective date, service, and the appeal period for Notices of Violation and Initial Orders. This section generally provides recipients with at least 20 days to file a response. This section generally adopts the longstanding practice of Directors providing service by registered mail. Utah appellate courts have ruled that service by registered mail is adequate to satisfy due process requirements. This section also provides Directors with several other options to accomplish service when they deem alternate service is warranted. Section R305-7-303 has been amended to clarify that a Notice of Violation and Initial Order may be appealed if the appeal is filed (that is, received) within 30 days of the effective date (being the date it is signed), provided that the document has been served within 7 days of the date of issuance. Once the appeal period has expired, however, the Notice of Violation or Initial Order becomes final for all purposes. Section R305-7-306 has been modified to remove the requirement that Directors file a "response" to a request for agency action in an enforcement case, as provided under UAPA (Section 63G-4-204). This change has been made for several reasons. In an enforcement proceeding, the Notice of Violation or Initial Order serves the place of a complaint and the Request for Agency Action serves as an answer. Under the amended Subsection R305-7-309(9), the Adjudicatory Record now expressly begins with the Notice of Violation and/or Initial Order (complaint) that is the subject of the Request for Agency Action (answer). As a matter of procedure, there is no need for a Director to file a rebuttal to a document that serves as an answer. For similar reasons, the requirement for Directors to file a response to a petition for review in a special adjudicative proceeding was previously eliminated. The response serves no purpose. Rather than filing a "response", the Director is now required to file a status report to the ALJ within 10 days of appointment (Subsection R305-7-306(4)). The opposing party or parties will then have the opportunity to file a similar status report. The status reports will include information necessary for the ALJ to make a determination as to the necessity of further proceedings, as well as assistance in understanding scheduling matters, the need for discovery, and so forth, see Subsection R305-7-306(5). The current section has no such procedure to assist ALJs in making determinations about further proceedings. This section also clarifies the existing practice that until a notice of further proceedings is entered by an ALJ, there is no requirement by any party to file a response to any motion filed prior to that time. As noted above, Section R305-7-307 has been consolidated with the former Section R305-7-302 so the subject matter (formality of proceedings) is addressed in a single section. Section R305-7-309 relating to the agency record has been modified in a few respects. Paper copies of the administrative record are not required to be served upon the ALJ. The procedure for generating the initial draft record has been adjusted to provide greater flexibility. Because the Initial Record has been deemed to satisfy a Director's requirement for initial disclosures under Section R305-7-310, a minimum of 60 days has been provided to produce the record. The production of formal records requires considerable agency time and it was deemed appropriate to set, in rule, a timeframe so as to allow for advance planning. The existing Section R305-7-310 regarding discovery has been replaced in its entirety by a new section. This new section allows either party a right to reasonable discovery, subject to the limitations set forth in the Utah Rules of Civil Procedure and as may be imposed by the ALJ. The ALJ's powers over discovery matters, as relating to the Utah Rules, has been clarified. Because the Utah Rules rely extensively upon disclosures, this new section has followed suit. Finally, as to the production of documents in administrative proceedings, the section clarifies that the Department's production of public records is subject to the limitations set forth by the legislature under the Government Records Access and Management Act, Title 63G, Chapter 2, or GRAMA. This statute prohibits Directors from disclosing certain information. These limitations should apply to administrative proceedings. Section R305-7-317 has been modified slightly to expand the grounds for interlocutory appeal to the Executive Director, in the interests of judicial economy. Section R305-7-318 has been modified to clarify the circumstances where a stay of an administrative order may be appropriate. Section R305-7-319 has been deleted. The issues addressed in this section (finality) are now addressed exclusively in Section R305-7-303. Several other editorial and conforming changes have been made in this revision. These should be self-explanatory.