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Utah Administrative Code (Current through November 1, 2019) |
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R623. Lieutenant Governor, Elections |
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R623-1. Lieutenant Governor's Procedure for Regulation of Lobbyist Activities |
| R623-1-1. Purpose |
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Pursuant to Utah Code Section 36-11-404 this rule provides procedures for the lieutenant governor's office to: A. Issue lobbyist licenses; B. Disapprove lobbyist applications; C. Suspend and revoke lobbyist licenses; D. Reinstate lobbyist licenses; and E. Appoint administrative law judges. |
| R623-1-2. Authority |
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This rule is required by Utah Code Section 36-11-404. |
| R623-1-3. Definitions |
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In addition to the terms defined in Utah Code Section 36-11-102, the following definitions apply: A. "Director" means the director of the state elections office. B. "Register" means the process of obtaining a lobbying license as required by Sections 36-11-103 and 36-11-105. C. "Report" means any report required under Sections 36-11-201. |
| R623-1-4. Registration/License Application Procedure |
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A. In order to register and obtain a license, a lobbyist shall: 1. Pay the registration fee as required by 36-11-103 and successfully complete the training as required by 36-11-307. (a) The training for the first year of a two-year license period must be completed before the registration can be approved. (b) To maintain the license for the second year in a two-year license period, the training for that year must be completed within the first 60 days of the second year or before engaging in lobbying activity, whichever is first. 2. File a registration/license application statement in compliance with the provisions of Section 36-11-103. The lieutenant governor's office shall make available forms that comply with Section 36-11-103. The lobbyist may either: (a) Submit the completed form to the lieutenant governor's office; or (b) File the lobbyist registration/license application by completing the electronic form available on the Utah Lobbyist Online system; and submit the completed signature authorization form to the lieutenant governor's office. B. Upon receipt of a completed lobbyist registration/license application form the lieutenant governor's office shall: 1. Review the registration form for accuracy, completeness and compliance with the law; 2. Approve or disapprove the registration/license application; and 3. Notify the lobbyist in writing within 30 days of approval or disapproval. C. An applicant who has not been convicted of any of the offenses listed in Section 36-11- 103(4)(a)(i), and who has not had a civil penalty imposed as described in Section 36-11-103(4)(a)(ii), may commence lobbying activities upon filing of a completed registration/license application form with the lieutenant governor's office and payment of the registration fee. D. By applying for a license, the lobbyist certifies that the lobbyist intends to engage in lobbying activities under the circumstances stated in the application or supplements filed with the lieutenant governor's office during the time the registration and license are valid. 1. If a lobbyist intends to cease all lobbying activities for the remainder of the period of licensure, the lobbyist shall notify the lieutenant governor's office in writing and surrender the license. 2. If the lobbyist has a change in circumstances that affects the lobbyist's activities, the lobbyist shall notify the lieutenant governor's office in writing. 3. If a lobbyist has surrendered the license and then decides to reengage in lobbying activities, a reissued license without a fee may be requested, if it is within the 2-year period of the original registration. 4. The lobbyist must submit a written request to the lieutenant governor's office in order to have the license reissued. 5. A reissued license expires on December 31 of each even numbered year in accordance with Section 36-11-103(3)(b). E. A lobbyist may add and delete principals and provide other notices electronically as prescribed by the lieutenant governor's office. |
| R623-1-5. Disapproval of Application |
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A. A lobbyist who is convicted of violation of any of the offenses listed in Utah Code Section 36-11-103, shall have his application for license disapproved by the lieutenant governor's office and a license will not be issued. B. The lobbyist will receive written notice of the license disapproval from the lieutenant governor's office within 30 days. |
| R623-1-6. Suspensions, Revocations and Fines |
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A. Registration and reporting violations. 1. In addition to any fines imposed under 36-11-401, a lobbyist license may be suspended for any of the following willful and knowing violations of Section 36-11-103, Sections 36-11-201: a. Failure to register; b. Failure to file a year end or supplemental report on or before the statutory due date; c. Failure to file a year end or supplemental report; d. Filing a report or other document that contains materially false information or the omission of 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; e. Failure to update a registration when a lobbyist accepts a new client for lobbying; or f. Otherwise violating Sections 36-11-103, 36-11-201. 2. If a fine or other penalty is imposed more than once under the immediately preceding section, suspension or permanent revocation of the lobbyist license shall be imposed. 3. The determination of the penalty to be imposed will be made by following the procedures as provided by Section R623-1-7. B. Illegal Activities of lobbyists. 1. If the lieutenant governor's office discovers or receives evidence of a possible violation of Sections 36-11-301 to 305, the evidence will be sent to the appropriate county attorney or district attorney's office for prosecution. 2. If a lobbyist is convicted of a violation of Sections 36-11-103, 36-11-201, 36-11-301, 36-11-302, 36-11-303, 36-11-304, 36-11-305 or 36-11-403, the lieutenant governor shall revoke the lobbyist license for one year as required by Subsection 36-11-401(1) and give the lobbyist notice of the same, together with notice of the lobbyist's right to request a hearing under Section R623-1-9. 3. If the county or district attorney does not prosecute a possible violation under Sections 36-11-302 or 36-11-303, the lieutenant governor's office shall review the evidence to determine if a civil fine or suspension may be appropriate following the procedures for civil enforcement set forth in Section R623-1-7. 4. If a lobbyist is convicted of a violation of any of the Title 76 Criminal Code Sections referenced in Subsection 36-11-401(4), suspension of up to three years or permanent revocation of the lobbyist license shall be imposed, but no civil fine may be imposed. The determination of whether to revoke or suspend a lobbyist license and for what length of time shall be made following the procedures for civil enforcement as provided by Section R623-1-7. |
| R623-1-7. Enforcement |
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A. Any person with evidence of a possible violation of the Lobbyist Disclosure and Regulation Act may provide such evidence to the director in the lieutenant governor's office or may file a complaint with such officer. If the evidence is of a criminal violation, the person may report the information directly to the appropriate county attorney or district attorney. B. If the director discovers or receives evidence of a criminal violation, such evidence shall be provided to the appropriate county or district attorney and any civil enforcement actions will proceed as set forth in Subsection R623-1-6(B). C. If the director discovers or receives evidence of a violation of a civil provision, the director will investigate the alleged violation and make a determination regarding what fine and/or suspension or revocation should be imposed, if any. D. The director shall give notice of the recommended penalty to the lobbyist, and if a complaint was filed, to the complainant. E. If either the lobbyist or the complainant desire to contest the recommended penalty, they or either of them may do so by requesting a hearing within fifteen (15) days of receipt of the notice of the recommended penalty. If neither file a request for a hearing within the fifteen day period, the recommended penalty will be the penalty imposed for the violation. The notice of recommended penalty shall include a notice of hearing rights. F. The administrative law judge for the hearing is not bound by the recommended penalty and may impose a penalty greater or less than the recommended penalty, as seems justified by the evidence. G. If a lobbyist license is suspended or revoked, the lieutenant governor's office shall remove the lobbyist's name from the official list and notify the following of such: 1. The speaker of the house of representatives; 2. The president of the senate; and 3. The governor. |
| R623-1-8. Hearings, Appointment of Administrative Law Judges |
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A. Hearings will be conducted as informal adjudicative proceedings under the Administrative Procedures Act. B. The lieutenant governor's office shall appoint administrative law judges from state agencies to act as presiding officers over adjudicative proceedings. |
| R623-1-9. Reinstatement of a Lobbyist License |
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A. A lobbyist whose license is suspended or revoked may apply for reinstatement. B. The lieutenant governor's office shall not reinstate any lobbyist license until the lobbyist pays any fines that have been imposed. |