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Third Substitute H.B. 215
Senator Carlene M. Walker proposes the following substitute bill:
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STATE AGENCY LOBBYIST AMENDMENTS
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2003 GENERAL SESSION
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STATE OF UTAH
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Sponsor: Wayne A. Harper
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This act modifies statutory provisions governing lobbying by state agencies. This act
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requires certain state government employees to be designated as and to register as agency
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lobbyists. This act requires that certain information about lobbyists be reported to the
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Legislature and authorizes the Legislature to penalize state agencies that hire a lobbyist
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who is not a state employee.
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This act affects sections of Utah Code Annotated 1953 as follows:
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AMENDS:
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36-11-102, as last amended by Chapter 13, Laws of Utah 1998
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36-11-103, as last amended by Chapter 338, Laws of Utah 2000
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36-11-106, as last amended by Chapter 317, Laws of Utah 2002
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63-38-3.1, as enacted by Chapter 267, Laws of Utah 2001
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ENACTS:
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36-11-103.1, Utah Code Annotated 1953
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Be it enacted by the Legislature of the state of Utah:
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Section 1.
Section
36-11-102
is amended to read:
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36-11-102. Definitions.
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As used in this chapter:
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(1) "Agency lobbyist" means the person designated by an agency as required by Section
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36-11-103.1
whose job description or responsibilities include hosting public officials.
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[(1)] (2) "Aggregate daily expenditures" means the total expenditures made within a
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24-hour period.
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[(2)] (3) "Executive action" means:
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(a) nominations and appointments by the governor;
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(b) the proposal, drafting, amendment, enactment, or defeat by a state agency of any
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rule made in accordance with Title 63, Chapter 46a, Utah Administrative Rulemaking Act; and
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(c) agency ratemaking proceedings.
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[(3)] (4) (a) "Expenditure" means any of the items listed in this Subsection (4) when
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given to or for the benefit of a public official or his immediate family:
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(i) a purchase, payment, distribution, loan, gift, advance, deposit, subscription,
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forbearance, services, or goods, unless consideration of equal or greater value is received; and
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(ii) a contract, promise, or agreement, whether or not legally enforceable, to provide
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any of the items listed in Subsection [(3)] (4)(a)(i).
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(b) "Expenditure" does not mean:
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(i) a commercially reasonable loan made in the ordinary course of business;
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(ii) a campaign contribution reported in accordance with Title 20A, Chapter 11,
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[Corrupt Practices in Elections] Campaign and Financial Reporting Requirements;
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(iii) printed informational material;
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(iv) a devise or inheritance;
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(v) any item listed in Subsection [(3)] (4)(a) if given by a relative;
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(vi) a modest item of food or refreshment such as a beverage or pastry offered other
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than as part of a meal;
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(vii) a greeting card or other item of little intrinsic value that is intended solely for
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presentation;
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(viii) plaques, commendations, or awards; or
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(ix) reimbursement of reasonable expenses for or providing travel, lodging, or meals to
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a public official when:
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(A) those expenses are directly related to the public official's attendance and
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participation in a regularly scheduled meeting of an organization, association, or group; and
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(B) that organization, association, or group pays or provides those expenses.
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[(4)] (5) (a) "Government officer" means:
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(i) an individual elected to a position in state or local government, when acting within
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his official capacity; or
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(ii) an individual appointed to or employed in a full-time position by state or local
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government, when acting within the scope of his employment.
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(b) "Government officer" does not mean a member of the legislative branch of state
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government.
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(6) "Hosting" means establishing, sponsoring, or arranging social events, activities, or
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entertainment events for public officials with the intent of developing relationships to further
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the legislative, fiscal, or development interests of the agency or higher education institution that
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employs the agency lobbyist.
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[(5)] (7) "Immediate family" means a spouse, a child residing in the household, or an
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individual claimed as a dependent for tax purposes.
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[(6)] (8) "Interested person" means an individual defined in Subsections [(9)]
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(11)(b)(ii) and (viii).
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[(7)] (9) "Legislative action" means:
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(a) bills, resolutions, amendments, nominations, and other matters pending or proposed
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in either house of the Legislature or its committees or requested by a legislator; and
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(b) the action of the governor in approving or vetoing legislation.
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[(8)] (10) "Lobbying" means communicating with a public official for the purpose of
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influencing the passage, defeat, amendment, or postponement of legislative or executive action.
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[(9)] (11) (a) "Lobbyist" means an individual who is employed by a principal or who
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contracts for economic consideration, other than reimbursement for reasonable travel expenses,
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with a principal to lobby a public official.
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(b) "Lobbyist" does not include:
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(i) a public official while acting in his official capacity on matters pertaining to his
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office or a state employee while acting within the scope of his employment;
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(ii) any person appearing at, or providing written comments to, a hearing conducted in
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accordance with Title 63, Chapter 46a, Utah Administrative Rulemaking Act or Title 63,
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Chapter 46b, Administrative Procedures Act;
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(iii) any person participating on or appearing before an advisory or study task force,
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commission, board, or committee, constituted by the Legislature or any agency or department
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of state government, except legislative standing, appropriation, or interim committees;
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(iv) a representative of a political party;
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(v) an individual representing a bona fide church solely for the purpose of protecting
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the right to practice the religious doctrines of the church unless the individual or church makes
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an expenditure that confers a benefit on a public official;
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(vi) a newspaper, television station or network, radio station or network, periodical of
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general circulation, or book publisher for the purpose of publishing news items, editorials,
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other comments, or paid advertisements that directly or indirectly urge legislative or executive
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action;
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(vii) an elected official of a local government while acting within the scope of his
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official capacity on matters pertaining to his office or an employee of a local government while
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acting within the scope of his employment; or
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(viii) an individual who appears on his own behalf before a committee of the
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Legislature or an executive branch agency solely for the purpose of testifying in support of or
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in opposition to legislative or executive action.
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[(10)] (12) "Person" includes individuals, bodies politic and corporate, partnerships,
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associations, and companies.
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[(11)] (13) "Principal" means a person who employs a lobbyist either as an employee
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or as an independent contractor.
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[(12)] (14) "Public official" means:
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(a) a member of the Legislature;
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(b) an individual elected to a position in the executive branch; or
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(c) an individual appointed to or employed in the executive or legislative branch if that
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individual:
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(i) occupies a policymaking position or makes purchasing or contracting decisions;
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(ii) drafts legislation or makes rules;
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(iii) determines rates or fees; or
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(iv) makes adjudicative decisions.
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[(13)] (15) "Related person" means any person, or agent or employee of a person, who
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knowingly and intentionally assists a lobbyist, principal, or government officer in lobbying.
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[(14)] (16) "Relative" means a spouse, child, parent, grandparent, grandchild, brother,
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sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, first cousin, or
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spouse of any of these individuals.
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Section 2.
Section
36-11-103
is amended to read:
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36-11-103. Licensing requirements.
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(1) (a) Before engaging in any lobbying, a lobbyist shall obtain a license from the
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lieutenant governor by completing the form required by this section.
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(b) The lieutenant governor shall issue licenses to qualified lobbyists.
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(c) The lieutenant governor shall prepare a Lobbyist License Application Form that
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includes:
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(i) a place for the lobbyist's name and business address;
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(ii) a place for the name and business address of each principal for whom the lobbyist
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works or is hired as an independent contractor;
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(iii) a place for the name and address of the person who paid or will pay the lobbyist's
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registration fee, if the fee is not paid by the lobbyist;
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(iv) a place for the lobbyist to disclose any elected or appointed position that the
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lobbyist holds in state or local government, if any;
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(v) a place for the lobbyist to disclose the types of expenditures for which the lobbyist
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will be reimbursed; and
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(vi) a certification to be signed by the lobbyist that certifies that the information
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provided in the form is true, accurate, and complete to the best of the lobbyist's knowledge and
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belief.
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(2) Each lobbyist who obtains a license under this section shall update the licensure
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information when the lobbyist accepts employment for lobbying by a new client.
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(3) (a) Except as provided in Subsection (4), the lieutenant governor shall grant a
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lobbying license to an applicant who:
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(i) files an application with the lieutenant governor that contains the information
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required by this section; and
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(ii) pays a $25 filing fee.
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(b) A license entitles a person to serve as a lobbyist on behalf of one or more principals
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and expires on December 31 of each even-numbered year.
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(4) (a) The lieutenant governor may disapprove an application for a lobbying license:
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(i) if the applicant has been convicted of violating Section
76-8-103
,
76-8-107
,
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76-8-108
, or
76-8-303
within five years before the date of the lobbying license application;
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(ii) if the applicant has been convicted of violating Section
76-8-104
or
76-8-304
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within one year before the date of the lobbying license application;
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(iii) for the term of any suspension imposed under Section
36-11-401
; or
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(iv) if, within one year before the date of the lobbying license application, the applicant
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has been found to have willingly and knowingly:
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(A) violated Section
36-11-103
,
36-11-201
,
36-11-301
,
36-11-302
,
36-11-303
,
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36-11-304
,
36-11-305
, or
36-11-403
; or
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(B) filed a document required by this chapter that the lobbyist knew contained
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materially false information or omitted material information.
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(b) An applicant may appeal the disapproval in accordance with the procedures
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established by the lieutenant governor under this chapter and Title 63, Chapter 46b,
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Administrative Procedures Act.
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(5) The lieutenant governor shall deposit license fees in the General Fund.
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(6) A principal need not obtain a license under this section, but if the principal makes
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expenditures to benefit a public official without using a lobbyist as an agent to confer those
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benefits, the principal shall disclose those expenditures as required by Sections
36-11-201
.
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(7) Government officers need not obtain a license under this section, but shall disclose
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any expenditures made to benefit public officials as required by Sections
36-11-201
.
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(8) Agency lobbyists shall register according to the requirements of Section
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36-11-103.1
.
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(9) The lieutenant governor shall provide information about lobbyists and their clients
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to the Legislature as required by Section
63-38-3.1
.
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Section 3.
Section
36-11-103.1
is enacted to read:
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36-11-103.1. Registration requirements -- Agency lobbyists.
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(1) (a) Each state executive or judicial branch agency and each higher education
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institution shall, by January 1 of each even-numbered year:
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(i) submit the name of a full-time or part-time employee whose job description or
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responsibilities will include acting as the agency's or institution's primary contact and liaison
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for all events that involve the hosting of public officials; and
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(ii) cause that person to register as an agency lobbyist under this section.
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(b) An agency or institution may submit more than one name.
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(2) By January 1 of each even-numbered year, each agency lobbyist designated as
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required by this section shall register with the lieutenant governor's office by completing the
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form required by this section.
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(3) The lieutenant governor shall prepare an Agency Lobbyist Registration Form that
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includes:
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(a) a place for the agency lobbyist's name and business address;
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(b) the agency or higher education institution for whom the agency lobbyist works;
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(c) a place for the lobbyist to disclose any elected or appointed position that the
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lobbyist holds in state or local government, if any; and
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(d) a certification to be signed by the lobbyist that certifies that the information
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provided in the form is true, accurate, and complete to the best of the lobbyist's knowledge and
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belief.
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Section 4.
Section
36-11-106
is amended to read:
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36-11-106. Reports are public documents.
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(1) Any person may:
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(a) without charge, inspect a license application or financial report filed with the
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lieutenant governor in accordance with this chapter; and
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(b) make a copy of a report after paying for the actual costs of the copy.
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(2) The lieutenant governor shall make financial reports filed in accordance with this
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chapter available for viewing on the Internet at the lieutenant governor's website within seven
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calendar days after the report is received by the lieutenant governor.
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(3) No later than the first day of the annual general session of the Legislature, the
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lieutenant governor shall provide to the secretary of the Senate and the chief clerk of the House
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of Representatives:
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(a) a list containing the name of each licensed lobbyist and their clients; and
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(b) a list containing the name of each agency lobbyist and the agency or higher
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education institution for whom the agency lobbyist works.
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Section 5.
Section
63-38-3.1
is amended to read:
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63-38-3.1. Restrictions on agency expenditures of monies -- Lobbyists.
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(1) As used in this section:
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(a) (i) "Agency" means each department, commission, board, council, agency,
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institution, officer, corporation, fund, division, office, committee, authority, laboratory, library,
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unit, bureau, panel, or other administrative unit of the state.
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(ii) "Agency" includes the legislative branch, the judicial branch, the Board of Regents,
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the board of trustees of each higher education institution, each higher education institution, or a
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public education entity.
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(b) "Executive action" means action undertaken by the governor, including signing or
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vetoing legislation, and action undertaken by any official in the executive branch of
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government.
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(c) "Legislative action" means action undertaken by the Utah Legislature or any part of
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it.
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(d) "Lobbyist" means a person who is not an employee of an agency who is hired as an
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independent contractor by the agency to communicate with legislators or the governor for the
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purpose of influencing the passage, defeat, amendment, or postponement of legislative or
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executive action.
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(2) A state agency or entity to which monies are appropriated by the Legislature may
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not expend any monies to pay a lobbyist.
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(3) (a) No later than the first day of the annual general session, the lieutenant governor
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shall report the names of each agency that is identified by a lobbyist as the lobbyist's client to:
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(i) the Legislative Fiscal Analyst;
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(ii) the speaker of the House;
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(iii) the president of the Senate;
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(iv) the House and Senate minority leaders; and
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(v) the chairs of the Executive Appropriations Committee.
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(b) The Legislature may reduce any General Fund, Uniform School Fund, or
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Transportation Fund appropriation made to an agency that violates this section by up to twice
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the amount paid to the lobbyist.
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