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.

Terms Used In Utah Code 63A-14-302

  • Allegation: something that someone says happened.
  • Commission: means the Independent Executive Branch Ethics Commission, created in Section 63A-14-202. See Utah Code 63A-14-102
  • Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
  • Conviction: A judgement of guilt against a criminal defendant.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • 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. See Utah Code 63A-14-102
  • Impeachment: (1) The process of calling something into question, as in "impeaching the testimony of a witness." (2) The constitutional process whereby the House of Representatives may "impeach" (accuse of misconduct) high officers of the federal government for trial in the Senate.
  • Person: means :Utah Code 68-3-12.5
  • Plea: In a criminal case, the defendant's statement pleading "guilty" or "not guilty" in answer to the charges, a declaration made in open court.
  • Violation: means a high crime, a misdemeanor, or malfeasance in office. See Utah Code 63A-14-102
    • (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.

    (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.

    (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 (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).

    Amended by Chapter 461, 2018 General Session

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