Utah Admin. Code R1 — Government Operations

R13 Administration

R13-1 Public Petitions for Declaratory Orders

Utah Admin. Code R13-1-1 Purpose

(1) As required by Section 63G-4-503, this rule provides the procedures for submission, review, and disposition of petitions for agency declaratory orders on the applicability of statutes, rules, and orders governing or issued by the agency.

(2) In order of importance, procedures governing declaratory orders are:

(a) procedures specified in this rule pursuant to Title 63G, Chapter 4;

(b) the applicable procedures of Title 63G, Chapter 4;

(d) the Utah Rules of Civil Procedure.

History

KEY: appellate procedures, administrative procedures
Date of Last Change: 1988
Notice of Continuation: June 15, 2023
Authorizing, and Implemented or Interpreted Law: 63G-4

Utah Admin. Code R13-1-2 Definitions

Terms used in this rule are defined in Section 63G-4-103, except and in addition:

(a) "agency" means the pertinent division or office of the Department of Government Operations;

(b) "applicability" means a determination if a statute, rule, or order should be applied, and if so, how the law stated should be applied to the facts;

(c) "declaratory order" means an administrative interpretation or explanation of rights, status, and other legal relations under a statute, rule, or order;

(d) "director" means the agency head or governing body with jurisdiction over the agency's adjudicative proceedings;

(e) "order" is defined in Section 63G-3-102; and

(f) "superior agency" means the Executive Director's Office of the Department of Government Operations.

History

KEY: appellate procedures, administrative procedures
Date of Last Change: 1988
Notice of Continuation: June 15, 2023
Authorizing, and Implemented or Interpreted Law: 63G-4

Utah Admin. Code R13-1-3 Petition Form and Filing

(1) The petition, or request for agency action, shall be addressed and delivered to the director, who shall mark the petition with the date of receipt.

(2) The petition shall:

(a) be clearly designated as a request for an agency declaratory order;

(b) identify the statute, rule, or order to be reviewed;

(d) describe the reason or need for the applicability review, addressing, in particular, why the review should not be considered frivolous;

(e) include an address and telephone where the petitioner can be contacted during regular work days;

(f) declare whether the petitioner has participated in a completed or on-going adjudicative proceeding concerning the same issue within the past 12 months; and

(g) be signed by the petitioner.

History

KEY: appellate procedures, administrative procedures
Date of Last Change: 1988
Notice of Continuation: June 15, 2023
Authorizing, and Implemented or Interpreted Law: 63G-4

Utah Admin. Code R13-1-4 Reviewability

The agency may not review a petition for declaratory orders that is:

(a) not within the jurisdiction and competence of the agency;

(b) trivial, irrelevant, or immaterial; or

History

KEY: appellate procedures, administrative procedures
Date of Last Change: 1988
Notice of Continuation: June 15, 2023
Authorizing, and Implemented or Interpreted Law: 63G-4

Utah Admin. Code R13-1-5 Intervention

A person may file a petition for intervention under Section 63G-4-207 if delivered to the director within 20 days of the director's receipt of the declaratory order petition filed under Section R13-1-3.

History

KEY: appellate procedures, administrative procedures
Date of Last Change: 1988
Notice of Continuation: June 15, 2023
Authorizing, and Implemented or Interpreted Law: 63G-4

Utah Admin. Code R13-1-6 Petition Review and Disposition

(1) The director shall promptly review and consider the petition and may:

(a) meet with the petitioner;

(b) consult with counsel or the Attorney General; and

(c) take any action consistent with law that the agency deems necessary to provide the petition adequate review and due consideration.

(2) The director may issue an order pursuant to Subsection 63G-4-503(6).

(3) If the director orders an adjudicative proceeding under Subsection 63G-4-503(6):

(a) the proceeding shall be formal and governed by the procedures of Title 63G, Chapter 4 or other applicable law if a petition for intervention has been filed within the limits of Section R13-1-5; and

(b) shall be designated as informal and follow the appropriate procedures of Title 63G, Chapter 4, agency rules, or other applicable law, if a petition for intervention has not been filed within the limits of Section R13-1-5.

History

KEY: appellate procedures, administrative procedures
Date of Last Change: 1988
Notice of Continuation: June 15, 2023
Authorizing, and Implemented or Interpreted Law: 63G-4

Utah Admin. Code R13-1-7 Administrative Review

A petitioner may seek review or reconsideration of a declaratory order by petitioning the director under the procedures of Sections 63G-4-301 and 63G-4-302.

(a) If the presiding officer issuing the declaratory order is the director, the petitioner may seek the review of the superior agency.

(b) The petitioner may appeal a director's review or reconsideration decision to the superior agency.

(c) If the petitioner receives no response from the superior agency within 20 days of filing a petition for review or reconsideration, the appeal shall be considered denied.

History

KEY: appellate procedures, administrative procedures
Date of Last Change: 1988
Notice of Continuation: June 15, 2023
Authorizing, and Implemented or Interpreted Law: 63G-4

R13-2 Management of Records and Access to Records

Utah Admin. Code R13-2-1 Authority, Purpose, and Scope

(1) This rule is authorized by Subsection 63G-2-204(3), and Sections 63A-12-104 and 63A-1-105.5.

(2) This rule specifies how permanent and historical records in the custody of the Division of Archives and Records Service may be accessed, at what level the requirements of Title 63A, Chapter 12, Public Records Management Act are undertaken, and where and to whom requests for access to records shall be directed.

(3) This rule does not apply to the Office of the Inspector General of Medicaid Services, the Independent Executive Branch Ethics Commission, the Political Subdivisions Ethics Review Commission, or other entities established within the department that are not under the supervision, direction, or control of the department, or the executive director.

History

KEY: public information, access to information, GRAMA requests, GRAMA appeals
Date of Last Change: August 25, 2021
Notice of Continuation: April 30, 2024
Authorizing, and Implemented or Interpreted Law: 63G-2-204(3); 63A-12-104; 63A-1-105.5

Utah Admin. Code R13-2-2 Definitions

Terms used in this rule are defined in Sections 63A-1-103 and 63G-2-103, and as interpreted by Section 46-4-502. Additional terms are defined as follows:

(1) "Division" means a division or office of the Department of Government Operations listed in Section 63A-1-109, and the Executive Director's Office.

(2) "URL" means the uniform resource locator for a website on the Internet or a web address at which information may be found or through which requests may be submitted.

History

KEY: public information, access to information, GRAMA requests, GRAMA appeals
Date of Last Change: August 25, 2021
Notice of Continuation: April 30, 2024
Authorizing, and Implemented or Interpreted Law: 63G-2-204(3); 63A-12-104; 63A-1-105.5

Utah Admin. Code R13-2-3 Public Records Management Duties

Each division shall undertake the duties specified in Section 63A-12-103.

History

KEY: public information, access to information, GRAMA requests, GRAMA appeals
Date of Last Change: August 25, 2021
Notice of Continuation: April 30, 2024
Authorizing, and Implemented or Interpreted Law: 63G-2-204(3); 63A-12-104; 63A-1-105.5

Utah Admin. Code R13-2-4 Requests for Access

(1) Except as provided by Section R13-2-8 regarding access to permanent or historical records in the custody of the Division of Archives and Records Service, a request for access to records shall be made in accordance with Subsection (2).

(2) A request for records shall be submitted through the Open Records Portal and be directed to the division which the requester believes possesses the records using the corresponding URL listed below and clicking on the blue "Request Records" button:

(a) Government Operations: https://openrecords.utah.gov/GRAMA/agencyDetail.php?270;

(b) Executive Director's Office: https://openrecords.utah.gov/GRAMA/agencyDetail.php?270;

(d) Archives and Records Service: https://openrecords.utah.gov/GRAMA/agencyDetail.php?11;

(e) Facilities Construction and Management: https://openrecords.utah.gov/GRAMA/agencyDetail.php?375;

(f) Finance: https://openrecords.utah.gov/GRAMA/agencyDetail.php?388;

(g) Fleet Operations: https://openrecords.utah.gov/GRAMA/agencyDetail.php?245;

(h) Purchasing and General Services: https://openrecords.utah.gov/GRAMA/agencyDetail.php?753;

(i) Risk Management: https://openrecords.utah.gov/GRAMA/agencyDetail.php?846;

(j) State Debt Collection: https://openrecords.utah.gov/GRAMA/agencyDetail.php?2791; and

(k) Surplus Property: https://openrecords.utah.gov/GRAMA/agencyDetail.php?1107.

(3) The department provides staff support for the entities listed below. Requests for these entities shall be directed as follows:

(a) Government Operations Rate Committee directed to the Executive Director's Office;

(b) Executive Residence Commission directed to Facilities Construction and Management;

(d) Purchasing from People with Disabilities Advisory Board directed to Purchasing and General Services;

(e) Records Management Committee directed to Archives and Records Service;

(f) State Building Board directed to Facilities Construction and Management;

(g) State Records Committee directed to Archives and Records Service; and

(h) Utah Transparency Advisory Board directed to the Executive Director's Office.

(4) The executive director may:

(a) designate a records officer within the department or any of its divisions to be the central contact for a request, or to coordinate responses across the divisions of the department that fall within the scope of this rule; and

(b) require a division records officer to forward a request from a requestor to a specified records officer to expedite, coordinate, or both for the fulfillment of requests.

History

KEY: public information, access to information, GRAMA requests, GRAMA appeals
Date of Last Change: August 25, 2021
Notice of Continuation: April 30, 2024
Authorizing, and Implemented or Interpreted Law: 63G-2-204(3); 63A-12-104; 63A-1-105.5

Utah Admin. Code R13-2-5 Appeal of a Fee Waiver Denial, Access Determination Decision, or Extraordinary Circumstances Claims or Dates

To appeal the decision of a records officer, a requester shall submit a written notice of appeal providing information required under Subsection 63G-2-401(2) to the department's designated chief administrative officer for GRAMA appeals. An appeal shall be submitted to GovOpsinfo@utah.gov.

History

KEY: public information, access to information, GRAMA requests, GRAMA appeals
Date of Last Change: August 25, 2021
Notice of Continuation: April 30, 2024
Authorizing, and Implemented or Interpreted Law: 63G-2-204(3); 63A-12-104; 63A-1-105.5

Utah Admin. Code R13-2-6 Fees

(1) The schedule of fees approved by the Legislature may be found in the annual State Agency Fees and Internal Service Fund Rate Authorization and Appropriations bill available at https://le.utah.gov/. Current fees are also posted on the department's website at https://govops.utah.gov/financials/.

(2) A fee for providing a record may be waived under certain circumstances described in Subsection 63G-2-203(4). A request for a fee waiver shall be made in writing to the records officer as part of the records request.

History

KEY: public information, access to information, GRAMA requests, GRAMA appeals
Date of Last Change: August 25, 2021
Notice of Continuation: April 30, 2024
Authorizing, and Implemented or Interpreted Law: 63G-2-204(3); 63A-12-104; 63A-1-105.5

Utah Admin. Code R13-2-7 Forms

(1) As required by Section R13-2-4, a request is submitted through the Open Records Portal. No other form is required.

(2) An appeal form may be acquired from https://archives.utah.gov/rim/forms/forms-grama.html. An appellant is not required to use an appeal form so long as information required under Subsection 63G-2-401(2) is provided.

History

KEY: public information, access to information, GRAMA requests, GRAMA appeals
Date of Last Change: August 25, 2021
Notice of Continuation: April 30, 2024
Authorizing, and Implemented or Interpreted Law: 63G-2-204(3); 63A-12-104; 63A-1-105.5

Utah Admin. Code R13-2-8 Access to Permanent or Historical Records in the Custody of the Division of Archives and Records Service

(1) An individual need not submit a formal records request to inspect public records of permanent or historical value stored at the Archives and Records Service.

(2) An individual may request access to records that are noncurrent records of permanent or historical value in the custody of the Archives and Records Service. The individual shall direct that request to the Archives and Records Service Research Center, 346 S Rio Grande, Salt Lake City, UT 84101-1106.

(3) If the requester is dissatisfied with the initial decision rendered by the Research Center, or if the Research Center denies access to these records, the requester may appeal the decision to the State Archivist under the procedures of Section 63G-2-401.

History

KEY: public information, access to information, GRAMA requests, GRAMA appeals
Date of Last Change: August 25, 2021
Notice of Continuation: April 30, 2024
Authorizing, and Implemented or Interpreted Law: 63G-2-204(3); 63A-12-104; 63A-1-105.5

R13-3 Americans with Disabilities Act Grievance Procedures

Utah Admin. Code R13-3-1 Authority and Purpose

(1) This rule is made under authority of Section 63A-1-105.5 and Subsection 63G-3-201(3). As required by 28 CFR 35.107, the Utah Department of Government Operations, as a public entity that employs more than 50 persons, adopts and publishes the grievance procedures within this rule for the prompt and equitable resolution of complaints alleging any action prohibited by Title II of the Americans with Disabilities Act, as amended.

(2) The purpose of this rule is to implement the provisions of 28 CFR 35 which in turn implements Title II of the Americans with Disabilities Act, which provides that no individual shall be excluded from participation in or be denied the benefits of the services, programs, or activities of a public entity, or be subjected to discrimination by the department because of a disability.

History

KEY: grievance procedures, disabled persons
Date of Last Change: April 23, 2018
Notice of Continuation: February 1, 2023
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5; 63G-3-201(3); 28 CFR 35.107

Utah Admin. Code R13-3-2 Definitions

(1) "ADA Coordinator" means the employee assigned by the executive director to investigate and facilitate the prompt and equitable resolution of complaints filed by qualified persons with disabilities. The ADA Coordinator may be a representative of the Department of Human Resource Management assigned to the Department.

(2) "Department" means the Department of Government Operations created by Section 63A-1-104.

(3) "Designee" means an individual appointed by the executive director or a director to investigate allegations of ADA non- compliance in the event the ADA Coordinator is unable or unwilling to conduct an investigation for any reason, including a conflict of interest. A designee does not have to be an employee of the department; however, the designee must have a working knowledge of the responsibilities and obligations required of employers and employees by the ADA.

(4) "Director" means the head of the division of the Department affected by a complaint filed under this rule.

(5) "Disability" means, with respect to an individual, a physical or mental impairment that substantially limits one or more of the major life activities of such individual; a record of such an impairment; or being regarded as having such an impairment.

(6) "Executive Director" means the executive director of the department.

(7) "Major life activities" include caring for oneself, performing manual tasks, seeing, hearing, eating, sleeping, walking, standing, lifting, bending, speaking, breathing, learning, reading, concentrating, thinking, and working. A major life activity also includes the operation of a major bodily function, such as functions of the immune system, normal cell growth, digestive, bowel, bladder, neurological, brain, respiratory, circulatory, endocrine, and reproductive functions.

(8) "Qualified Individual" means an individual who meets the essential eligibility requirements for the receipt of services or the participation in programs or activities provided by the Department. A "qualified individual" is also an individual who, with or without reasonable accommodation, can perform the essential functions of the employment position that individual holds or desires.

History

KEY: grievance procedures, disabled persons
Date of Last Change: April 23, 2018
Notice of Continuation: February 1, 2023
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5; 63G-3-201(3); 28 CFR 35.107

Utah Admin. Code R13-3-3 Filing of Complaints

(1) Any qualified individual may file a complaint alleging noncompliance with Title II of the Americans with Disabilities Act, as amended, or the federal regulations promulgated thereunder.

(2) Qualified individuals shall file their complaints with the Department's ADA Coordinator, unless the complaint alleges that the ADA Coordinator was non-compliant, in which case qualified individuals shall file their complaints with the Department's designee.

(3) Qualified individuals shall file their complaints within 90 days after the date of the alleged noncompliance to facilitate the prompt and effective consideration of pertinent facts and appropriate remedies; however, the Executive Director has the discretion to direct that the grievance process be utilized to address legitimate complaints filed more than 90 days after alleged noncompliance.

(4) Each complaint shall:

(a) include the complainant's name and address;

(b) include the nature and extent of the individual's disability;

(c) describe the department's alleged discriminatory action in sufficient detail to inform the department of the nature and date of the alleged violation;

(d) describe the action and accommodation desired; and

(e) be signed by the complainant or by his legal representative.

(5) Complaints filed on behalf of classes or third parties shall describe or identify by name, if possible, the alleged victims of discrimination.

(6) If the complaint is not in writing, the ADA coordinator or designee shall transcribe or otherwise reduce the complaint to writing upon receipt of the complaint.

(7) By the filing of a complaint or a subsequent appeal, the complainant authorizes necessary parties to conduct a confidential review all relevant information, including records classified as private or controlled under the Government Records Access and Management Act, Utah Code, Subsection 63G-2-302(1)(b) and Section 63G-2-304,consistent with 42 U.S.C. 12112(d)(4)(A), (B), and (C) and 42 U.S.C. Section 12112(d)(3)(B) and (C), and relevant information otherwise protected by statute, rule, regulation, or other law.

History

KEY: grievance procedures, disabled persons
Date of Last Change: April 23, 2018
Notice of Continuation: February 1, 2023
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5; 63G-3-201(3); 28 CFR 35.107

Utah Admin. Code R13-3-4 Investigation of Complaints

(1) The ADA coordinator or designee shall investigate complaints to the extent necessary to assure all relevant facts are collected and documented. This may include gathering all information listed in Subsection R13-3-3(4) and (7) of this rule if it is not made available by the complainant.

(2) The ADA coordinator or designee may seek assistance from the Attorney General's staff, and the department's human resource and budget staff in determining what action, if any, should be taken on the complaint. The ADA coordinator or designee may also consult with the director of the affected division in making a recommendation.

(3) The ADA coordinator or designee shall consult with representatives from other state agencies that may be affected by the decision, including the Governor's Office of Management and Budget, the Department of Human Resource Management, the Division of Risk Management, the Division of Facilities Construction and Management, and the Office of the Attorney General before making any recommendation that would:

(a) involve an expenditure of funds beyond what is reasonably able to be accommodated within the applicable line item so that it would require a separate appropriation; or

(b) require facility modifications.

History

KEY: grievance procedures, disabled persons
Date of Last Change: April 23, 2018
Notice of Continuation: February 1, 2023
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5; 63G-3-201(3); 28 CFR 35.107

Utah Admin. Code R13-3-5 Recommendation and Decision

(1) Within 15 working days after receiving the complaint, the ADA coordinator or designee shall recommend to the director what action, if any, should be taken on the complaint. The recommendation shall be in writing or in another accessible format suitable to the complainant.

(2) If the ADA coordinator or designee is unable to make a recommendation within the 15 working day period, the complainant shall be notified in writing, or in another accessible format suitable to the complainant, stating why the recommendation is delayed and what additional time is needed.

(3) The director may confer with the ADA coordinator or designee and the complainant and may accept or modify the recommendation to resolve the complaint. The director shall render a decision within 15 working days after the director's receipt of the recommendation from the ADA coordinator or designee. The director shall take all reasonable steps to implement the decision. The director's decision shall be in writing, or in another accessible format suitable to the complainant, and shall be promptly delivered to the complainant.

History

KEY: grievance procedures, disabled persons
Date of Last Change: April 23, 2018
Notice of Continuation: February 1, 2023
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5; 63G-3-201(3); 28 CFR 35.107

Utah Admin. Code R13-3-6 Appeals

(1) The complainant may appeal the director's decision to the executive director within ten working days after the complainant's receipt of the director's decision.

(2) The appeal shall be in writing or in another accessible format reasonably suited to the complainant's ability.

(3) The executive director may name a designee to assist on the appeal. The ADA coordinator and the director's designee may not also be the executive director's designee for the appeal.

(4) In the appeal the complainant shall describe in sufficient detail why the decision does not effectively address the complainant's needs.

(5) The executive director or designee shall review the ADA coordinator's recommendation, the director's decision, and the points raised on appeal prior to reaching a decision. The executive director may direct additional investigation as necessary. The executive director shall consult with representatives from other state agencies that would be affected by the decision, including the Governor's Office of Management and Budget, the Department of Human Resource Management, the Division of Risk Management, the Division of Facilities Construction and Management, and the Office of the Attorney General before making any decision that would:

(a) involve an expenditure of funds beyond what is reasonably able to be accommodated within the applicable line item so that it would require a separate appropriation; or

(b) require facility modifications

(6) The executive director shall issue a final decision within 15 working days after receiving the complainant's appeal. The decision shall be in writing, or in another accessible format suitable to the complainant, and shall be promptly delivered to the complainant.

(7) If the executive director or designee is unable to reach a final decision within the 15 working day period, the complainant shall be notified in writing, or by another accessible format suitable to the complainant, why the final decision is being delayed and the additional time needed to reach a final decision.

History

KEY: grievance procedures, disabled persons
Date of Last Change: April 23, 2018
Notice of Continuation: February 1, 2023
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5; 63G-3-201(3); 28 CFR 35.107

Utah Admin. Code R13-3-7 Record Classification

(1) Records created in administering this rule are classified as "protected" under Subsections 63G-2-305(24), and (25).

(2) After issuing a decision under Section R13-3-5 or a final decision upon appeal under Section R13-3-6, portions of the record pertaining to the complainant's medical condition shall be classified as "private" under Subsection 63G-2-302(1)(b) or "controlled" under Section 63G-2-304, consistent with 42 U.S.C. 12112(d)(4)(A), (B), and (C) and 42 U.S.C. 12112(d)(3)(B) and (C), at the option of the ADA coordinator.

(a) The written decision of the division director or executive director shall be classified as "public," and all other records, except controlled records under Subsection R13-3-7(2), classified as "private."

History

KEY: grievance procedures, disabled persons
Date of Last Change: April 23, 2018
Notice of Continuation: February 1, 2023
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5; 63G-3-201(3); 28 CFR 35.107

Utah Admin. Code R13-3-8 Relationship to Other Laws

This rule does not prohibit or limit the use of remedies available to individuals under:

(a) the state Anti-Discrimination Complaint Procedures, Section 34A-5-107, and Section 67-19-32;

(b) the Federal ADA Complaint Procedures, 28 CFR 35.170 through 28 CFR 35.178; or

(c) any other Utah State or federal law that provides equal or greater protection for the rights of individuals with disabilities.

History

KEY: grievance procedures, disabled persons
Date of Last Change: April 23, 2018
Notice of Continuation: February 1, 2023
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5; 63G-3-201(3); 28 CFR 35.107

R13-4 In-State Work Location Rule

Utah Admin. Code R13-4-1 Authority and Purpose

(1) This rule is authorized by Section 63A-1-105.5.

(2) This rule establishes the conditions under which employees may work outside of the state, provides that employees' tax withholdings be paid to the state, and provides for the security of state information technology systems.

(3) This rule provides the following positive outcomes:

(a) providing employment opportunities to citizens of the state;

(b) keeping in the state income tax paid by state employees; and

(c) minimizing costs borne by the state to provide workers' compensation and liability coverage for out-of-state workers.

History

KEY: state employee, work location
Date of Enactment or Last Substantive Amendment: July 1, 2021
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5

Utah Admin. Code R13-4-2 Definitions

(1) "Agency" means the same as defined in Subsection 63A-1-103(1), except that "agency" does not include the Office of the State Treasurer, the Office of the State Auditor, the Office of the Attorney General, the legislature, or the courts.

(2) "DHRM" means the state Division of Human Resource Management.

(3) "Employee" means an individual employed by an agency.

(4) "Executive director" means the executive director, commissioner, or other chief administrative officer of a department-level agency.

(5) "State" means the state of Utah.

(6) "State-owned equipment" means personal computers, tablets, or cell phones provided by an agency to an employee for the employee's work.

(7) "United States" means the 50 states and the District of Columbia.

(8) "Work" means performing the duties for which the employee is hired by the agency.

History

KEY: state employee, work location
Date of Enactment or Last Substantive Amendment: July 1, 2021
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5

Utah Admin. Code R13-4-3 General Requirements

(1) An employee may work only while physically within the state's borders.

(2) An employee's state employment-related tax withholdings are paid to the state and the employee acknowledges that a ny compensation paid by the agency is deemed earned within the state.

(3) An employee may not take state-owned property outside of the United States without prior approval.

(4) An agency and an agency's employee shall follow the agency's business travel policy when an employee is sent outside of the state for business reasons for fewer than 30 days within a calendar year.

History

KEY: state employee, work location
Date of Enactment or Last Substantive Amendment: July 1, 2021
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5

Utah Admin. Code R13-4-4 Exceptions

(1) For all exceptions detailed in this section, the employee is ultimately responsible for paying the proper amount of tax to the appropriate taxing authorities.

(2) Exceptions to this rule are rare in order to maximize the outcomes described in Subsection R13-4-1(3).

(3) An employee who travels to another state for personal reasons for fewer than 30 days within a calendar year may not work within that state without prior approval from the employee's supervisor.

(4) An employee who desires to work in another state for more than 30 days within a calendar year shall obtain prior written approval to work in that state from the employee's executive director.

(5) An employee traveling on agency business may work outside of the state if the assignment is for fewer than 30 days.

(6) An agency that desires to allow or require an employee to work for more than 30 days outside of the state within a calendar year, including the possibility of living outside of the state, shall:

(a) obtain approval from the Governor's Office or designee by completing and submitting an Exception Request - Regularly Work Outside the State, available from DHRM;

(b) instruct the employee to notify DHRM:

(i) that the employee will be working outside of the state; and

(ii) of the employee's new out-of-state address;

(c) notify and request the Division of Finance to set up tax withholdings to be paid to the state in which the employee is working;

(d) notify and request the Division of Risk Management to ensure the employee will be protected by workers' compensation insurance and other appropriate and available travel and liability coverage or insurance; and

(e) reimburse at the established rate the Division of Finance, the Division of Risk Management, or other state entity for costs incurred to research and establish tax withholdings, workers' compensation, travel, and liability policies, or any other requirements to cover the employee while working outside the state.

(7) An employee who plans to travel outside of the United States and who will be required or desires to work while outside of the United States shall obtain prior written approval to work from the employee's executive director.

(8) An employee who plans to travel outside of the United States and desires to take state-owned equipment shall obtain prior written approval from the employee's executive director or designee.

(9) An agency that desires to approve an employee to work and take state-owned equipment outside of the United States shall:

(a) obtain approval from the Governor's Office or designee by completing and submitting an Exception Request - Equipment form, available from the Governor's Office;

(b) notify and request the Division of Risk Management to assess the availability of workers' compensation insurance coverage and the need for travel insurance and general liability coverage;

(c) notify and request the Division of Technology Services to assess the security and legal issues of accessing state systems on state-owned equipment while the employee is outside of the United States;

(d) notify and request the Division of Finance to review potential tax implications if the employee would be working in a country outside of the United States at the agency's request for more than 30 days within a calendar year; and

(e) reimburse at the established rate the Division of Risk Management, the Division of Technology Services, or other state entity for costs incurred to research workers' compensation, travel, and liability policies, or any other requirements to cover the employee while working outside the United States.

(10) Any other exception must be granted by the Governor's Office or designee.

History

KEY: state employee, work location
Date of Enactment or Last Substantive Amendment: July 1, 2021
Authorizing, and Implemented or Interpreted Law: 63A-1-105.5

R13-5 Use of Electronic Meetings for the Government Operations Rate Committee

Utah Admin. Code R13-5-1 Purpose and Authority

(1) Purpose. The Rate Committee (committee) created by Section 63A-1-114 is required to comply with the Open and Public Meetings Act, Title 52, Chapter 4. The committee recognizes that there may be times when members may need to appear telephonically or electronically as permitted by Section 52-4-207.

(2) Authority. Section 52-4-207 requires a public body that convenes or conducts an electronic meeting to establish a rule for such meetings. This rule establishes procedures for conducting committee meetings by electronic means. This rule is enacted under the authority of Subsection 52-4-207(2).

History

KEY: rate committee, electronic meetings, OPMA
Date of Enactment or Last Substantive Amendment: December 23, 2021

Utah Admin. Code R13-5-2 Definitions

Terms used in this rule are defined in Section 52-4-103.

History

KEY: rate committee, electronic meetings, OPMA
Date of Enactment or Last Substantive Amendment: December 23, 2021

Utah Admin. Code R13-5-3 Procedure

(1) Electronic meetings of the committee are governed by Subsection 52-4-207(3).

(2) As permitted by Subsection 52-4-207(2), the following provisions govern any meeting at which one or more committee members appear telephonically or electronically:

(a) If one or more members of the committee participate in any meeting electronically or telephonically, public notices of the meeting shall so indicate. In addition, the notices shall specify the anchor location where the members of the committee who are not participating electronically or telephonically will be meeting and where interested persons and the public may attend, monitor, and participate in the open portions of the meeting.

(b) Notice of the meeting and the agenda shall be posted in accordance with Subsection 52-4-202(3). Notice shall be provided at least 24 hours before the meetings.

(c) Notice of the possibility of an electronic meeting shall be given to the committee members at least 24 hours before the meeting. In addition, the notice shall describe how a committee member may participate in the meeting electronically or telephonically.

(d) When notice is given of the possibility of a committee member appearing electronically or telephonically, any member may do so and shall be counted as present for purposes of a quorum and may fully participate and vote on any matter coming before the committee. At the commencement of the meeting, or at such time as any member initially appears electronically or telephonically, the chair shall identify for the record all those who are appearing telephonically or electronically. Votes by members of the committee who are not at the physical location of the meeting shall be confirmed by the chair.

(e) The anchor location, unless otherwise designated in the notice, shall be at the Taylorsville State Office Building, Floor 3, 4315 South 2700 West, Taylorsville, UT 84129. The anchor location is the physical location from which the electronic meeting originates or from which the participants are connected. In addition, the anchor location shall have space and facilities so that interested persons and the public may attend, monitor, and participate in the open portions of the meeting.

(f) The committee may convene and conduct an electronic meeting without an anchor location if the chair makes a written determination that conducting the meeting with an anchor location presents a substantial risk to the health and safety of those who may be present at the anchor location and complies with Subsection 52-4-207(5).

History

KEY: rate committee, electronic meetings, OPMA
Date of Enactment or Last Substantive Amendment: December 23, 2021

R15 Administrative Rules

R15-1 Administrative Rule Hearings

Utah Admin. Code R15-1-1 Authority

(1) This rule establishes procedures and standards for administrative rule hearings as required by Subsection 63G-3-402(1)(a).

(2) The procedures of this rule constitute the minimum requirements for mandatory administrative rule hearings. Additional procedures may be required to comply with any other governing statute, federal law, or federal regulation.

History

KEY: administrative law, government hearings
Date of Last Change: June 1, 1996
Notice of Continuation: May 29, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402

Utah Admin. Code R15-1-2 Definitions

(1) Terms used in this rule are defined in Section 63G-3-102.

(2) In addition:

(a) "director" means the director of the Office of Administrative Rules;

(b) "hearing" means an administrative rule hearing; and

History

KEY: administrative law, government hearings
Date of Last Change: June 1, 1996
Notice of Continuation: May 29, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402

Utah Admin. Code R15-1-3 Purpose

(1) The purpose of this rule is to provide:

(a) procedures for agency hearings on proposed administrative rules or rules changes, or on the need for a rule or change;

(b) opportunity for public comment on rules; and

History

KEY: administrative law, government hearings
Date of Last Change: June 1, 1996
Notice of Continuation: May 29, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402

Utah Admin. Code R15-1-4 When Agencies Hold Hearings

(1) Agencies shall hold hearings as required by Subsection 63G-3-302(2).

(2) Agencies may hold hearings:

(a) during the public comment period on a proposed rule, after its publication in the bulletin and prior to its effective date;

(b) before initiating rulemaking procedures under Title 63G, Chapter 3, to promote public input prior to a rule's publication;

(c) during a regular or extraordinary meeting of a state board, council, or commission, in order to avoid separate and additional meetings; or

(d) to hear any public petition for a rule change as provided by Section 63G-3-601.

(3) Voluntary hearings, as described in this section, follow the procedures prescribed by this rule or any other procedures the agency may provide by rule.

(4) Mandatory hearings, as described in this section, follow the procedures prescribed by this rule and any additional requirements of state or federal law.

(5) If an agency holds a mandatory hearing under the procedures of this rule during the public comment period described in Subsection 63G-3-301(6), no second hearing is required for the purpose of comment on the same rule or change considered at the first hearing.

History

KEY: administrative law, government hearings
Date of Last Change: June 1, 1996
Notice of Continuation: May 29, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402

Utah Admin. Code R15-1-5 Hearing Procedures

(1) Notice.

(a) An agency shall provide notice of a hearing by:

(i) publishing the hearing date, time, place, and subject in the bulletin;

(ii) mailing copies of the notice directly to persons who have petitioned for a hearing or rule changes under Section 63G-3- 302 or 63G-3-601, respectively; and

(iii) posting for at least 24 hours in a place in the agency's offices which is frequented by the public.

(b) If a hearing becomes mandatory after the agency has published the proposed rule in the bulletin, the agency shall notify in writing persons requesting the hearing of the time and place.

(c) An agency may provide additional notice of a hearing, and shall give further notice as may otherwise be required by law.

(2) Hearing Officer.

(a) The agency head shall appoint as hearing officer a person qualified to conduct fairly the hearing.

(b) No restrictions apply to this appointment except the officer shall know rulemaking procedure.

(c) If a state board, council, or commission is responsible for agency rulemaking, and holds a hearing, a member or the body's designee may be the hearing officer.

(3) Time. The officer shall open the hearing at the announced time and place and permit comment for a minimum of one hour. The hearing may be extended or continued to another day as necessary in the judgment of the officer.

(4) Comment.

(a) At the opening of the hearing, the officer shall explain the subject and purpose of the hearing and invite orderly, germane comment from all persons in attendance. The officer may set time limits for speakers and shall ensure equitable use of time.

(b) The agency shall have a representative at the hearing, other than the officer, who is familiar with the rule at issue and who can respond to requests for information by those in attendance.

(c) The officer shall invite written comment to be submitted at the hearing or after the hearing, within a reasonable time. Written comment shall be attached to the hearing minutes.

(d) The officer shall conduct the hearing as an open, informal, orderly, and informative meeting. Oaths, cross-examination, and rules of evidence are not required.

(5) The Hearing Record.

(a) The officer shall cause to be recorded the name, address, and relevant affiliation of all persons speaking at the hearing, and cause an electronic or mechanical verbatim recording of the hearing to be made, or make a brief summary, of their remarks.

(b) The hearing record consists of a copy of the proposed rule or rule change, submitted written comment, the hearing recording or summary, the list of persons speaking at the hearing, and other pertinent documents as determined by the agency.

(c) The hearing officer shall, as soon as practicable, assemble the hearing record and transmit it to the agency for consideration.

(d) The hearing record shall be kept with and as part of the rule's administrative record in a file available at the agency offices for public inspection.

History

KEY: administrative law, government hearings
Date of Last Change: June 1, 1996
Notice of Continuation: May 29, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402

Utah Admin. Code R15-1-8 Decision on an Issue Regarding Rulemaking Procedure

(1) When a hearing issue requires a decision regarding rulemaking procedure, the officer shall submit a written request for a decision to the director as soon as practicable after, or after recessing, the hearing, as provided in Section R15-5-6. The director shall reply to the agency head as provided in Subsection R15-5-6(2). The director's decision shall be included in the hearing record.

History

KEY: administrative law, government hearings
Date of Last Change: June 1, 1996
Notice of Continuation: May 29, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402

Utah Admin. Code R15-1-9 Appeal and Judicial Review

(1) Persons may appeal the decision of the agency head or the director by petitioning the district court for judicial review as provided by law.

History

KEY: administrative law, government hearings
Date of Last Change: June 1, 1996
Notice of Continuation: May 29, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402

R15-2 Public Petitioning for Rulemaking

Utah Admin. Code R15-2-1 Authority

As required by Subsection 63G-3-601(3), this rule prescribes the form and procedures for submission, consideration, and disposition of petitions requesting the making, amendment, or repeal of an administrative rule.

History

KEY: administrative law, open government, transparency
Date of Last Change: December 25, 2006
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-601

Utah Admin. Code R15-2-2 Definitions

(1) Terms used in this rule are defined in Section 63G-3-102.

(2) Other terms are defined as follows:

(a) "rule change" means:

(i) making a new rule;

(ii) amending, repealing, or repealing and reenacting an existing rule;

(iii) amending a proposed rule further by filing a change in proposed rule under the provisions of Section 63G-3-303;

(iv) allowing a proposed (new, amended, repealed, or repealed and reenacted) rule or change in proposed rule to lapse; or

(v) any combination of the above.

(b) "petitioner" means an interested person who submits a petition to an agency pursuant to Section 63G-3-601 and this rule.

History

KEY: administrative law, open government, transparency
Date of Last Change: December 25, 2006
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-601

Utah Admin. Code R15-2-3 Petition Procedure

(1) The petitioner shall send the petition to the head of the agency authorized by law to make the rule change requested.

(2) The agency receiving the petition shall record the date it received the petition.

History

KEY: administrative law, open government, transparency
Date of Last Change: December 25, 2006
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-601

Utah Admin. Code R15-2-4 Petition Form

The petition shall:

(a) be clearly designated "petition for a rule change";

(b) state the petitioner's name;

(d) include a statement as required by Subsection 63G-3-601(4) regarding the requested rule change;

(e) state the approximate wording of the requested rule change;

(f) describe the reason for the rule change;

(g) include an address, an e-mail address when available, and telephone where the petitioner can be reached during regular business hours; and

(h) be signed by the petitioner.

History

KEY: administrative law, open government, transparency
Date of Last Change: December 25, 2006
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-601

Utah Admin. Code R15-2-5 Petition Consideration and Disposition

(1) The agency head or designee shall:

(a) review and consider the petition;

(b) write a response to the petition stating:

(i) that the petition is denied and reasons for denial; or

(ii) the date when the agency is initiating a rule change consistent with the intent of the petition; and

(2) The petitioned agency may, within the time frame provided by Section 63G-3-601, interview the petitioner, hold a public hearing on the petition, or take any action the agency, in its judgment, deems necessary to provide the petition due consideration.

(3) The agency shall retain the petition and a copy of the agency's response as part of the administrative record.

(4) The agency shall mail copies of its decision to all persons who petitioned for a rule change.

History

KEY: administrative law, open government, transparency
Date of Last Change: December 25, 2006
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-601

R15-3 Administrative Rules: Scope, Content, and When Required

Utah Admin. Code R15-3-1 Authority, Purpose, and Definitions

(1) This rule is authorized under Subsection 63G-3-402(1) and (2).

(2) This rule clarifies when rulemaking is required, and requirements for incorporation by reference within rules.

(3) Terms used in this rule are defined in Section 63G-3-102.

History

KEY: administrative law
Date of Last Change: April 30, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-3-301; 63G-3-402

Utah Admin. Code R15-3-2 Agency Discretion

(1) A rule may restrict agency discretion to prevent agency personnel from exceeding their scope of employment, or committing arbitrary action or application of standards, or to provide due process for persons affected by agency actions.

(2) A rule may authorize agency discretion that sets limits, standards, and scope of employment within which a range of actions may be applied by agency personnel. A rule may also establish criteria for granting exceptions to the standards or procedures of the rule when, in the judgment of authorized personnel, documented circumstances warrant.

(3) An agency may have written policies which broadly prescribe goals and guidelines. Policies are not rules unless they meet the criteria for rules set forth under Section 63G-3-201(2).

(4) Within the limits prescribed by Sections 63G-3-201 and 63G-3-602, an agency has full discretion regarding the substantive content of its rules. The office has authority over nonsubstantive content under Subsections 63G-3-402(3) and (4), and 63G-3-403(2) and (3), rulemaking procedures, and the physical format of rules for compilation in the Utah Administrative Code.

History

KEY: administrative law
Date of Last Change: April 30, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-3-301; 63G-3-402

Utah Admin. Code R15-3-3 Use of Incorporation by Reference in Rules

(1) An agency incorporating materials by reference as permitted under Subsection 63G-3-201(7) shall comply with the following standards:

(a) The rule shall state specifically that the cited material is "incorporated by reference."

(b) If the material contains options, or is modified in its application, the options selected and modifications made shall be stated in the rule.

(c) If the incorporated material is substantively changed at a later time, and the agency intends to enforce the revised material, the agency shall amend its rule through rulemaking procedures to incorporate by reference any applicable changes as soon as practicable.

(d) In accordance with Subsection 63G-3-201(7)(c), an agency shall describe substantive changes that appear in the materials incorporated by reference as part of the "summary of rule or change" in the rule analysis.

(2) An agency shall comply with copyright requirements when providing the office a copy of material incorporated by reference.

History

KEY: administrative law
Date of Last Change: April 30, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-3-301; 63G-3-402

Utah Admin. Code R15-3-4 Computer-Prohibited Material

(1) All rules shall be in a format that permits their compatibility with the office's computer system and compilation into the Utah Administrative Code.

(2) Rules may not contain maps, charts, graphs, diagrams, illustrations, forms, or similar material.

(3) The office shall issue and provide to agencies instructions and standards for formatting rules.

History

KEY: administrative law
Date of Last Change: April 30, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-3-301; 63G-3-402

Utah Admin. Code R15-3-5 Statutory Provisions that Require Rulemaking Pursuant to Subsection 63G-3-301(13)

For the purposes of Subsection 63G-3-301(13), the phrase "statutory provision that requires the rulemaking" means a state statutory provision that explicitly mandates rulemaking.

History

KEY: administrative law
Date of Last Change: April 30, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-3-301; 63G-3-402

R15-4 Administrative Rulemaking Procedures

Utah Admin. Code R15-4-1 Authority and Purpose

(1) This rule establishes procedures for filing and publication of agency rules under Sections 63G-3-301, 63G-3-303, and 63G-3-304, as authorized under Subsection 63G-3-402(2).

(2) The procedures of this rule constitute minimum requirements for rule filing and publication. Other governing statutes, federal laws, or federal regulations may require additional rule filing and publication procedures.

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-2 Definitions

(1) Terms used in this rule are defined in Section 63G-3-102.

(2) Other terms are defined as follows:

(a) "Anniversary date" means the date that is five years from the original effective date of the rule, or the date that is five years from the date the agency filed with the office the most recent five-year review required under Subsection 63G-3-305(3), whichever is sooner.

(b) "Digest" means the Utah State Digest that summarizes the content of the bulletin as required by Subsection 63G-3- 402(1)(e);

(c) "Codify" means the process of collecting and arranging administrative rules systematically in the Utah Administrative Code, and includes the process of verifying that each amendment was marked as required under Subsection 63G-3-301(4)(b);

(d) "Compliance cost" means expenditures a regulated person will incur if a rule or change is made effective;

(f) "director" means the director of the Office of Administrative Rules;

(e) "Cost" means the aggregated expenses persons as a class affected by a rule will incur if a rule or change is made effective;

(g) "eRules" means the administrative rule filing application that agencies use to file rules and notices;

(h) "Savings" means:

(i) an aggregated monetary amount that will no longer be incurred by persons as a class if a rule or change is made effective;

(ii) an aggregated monetary amount that will be refunded or rebated if a rule or change is made effective;

(iii) an aggregated monetary amount of anticipated revenues to be generated for state budgets, local governments, or both if a rule or change is made effective; or

(iv) any combination of these aggregated monetary amounts.

(i) "Unmarked change" means a change made to rule text that was not marked as required by Subsection 63G-3-301(4)(b).

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-3 Publication Dates and Deadlines

(1) For the purposes of Subsections 63G-3-301(4) and 63G-3-303(1), an agency shall file its rule and rule analysis by 11:59:59 p.m. on the fifteenth day of the month for publication in the bulletin and digest issued on the first of the next month, and by 11:59:59 p.m. on the first day of the month for publication on the fifteenth of the same month.

(a) If the first or fifteenth day is a Saturday, or a Tuesday, Wednesday, Thursday, or Friday holiday, the agency shall file the rule and rule analysis by 11:59:59 p.m. on the previous regular business day.

(b) If the first or fifteenth day is a Sunday or Monday holiday, the agency shall file the rule and rule analysis by 11:59:59 p.m. on the next regular business day.

(2) For all purposes, the official date of publication for the bulletin and digest shall be the first and fifteenth days of each month.

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-4 Thirty-Day Comment Period for a Proposed Rule and a Change in Proposed Rule

(1) For the purposes of Sections 63G-3-301 and 63G-3-303, "30 days" shall be computed by:

(a) counting the day after publication of the rule as the first day; and

(b) counting the thirtieth consecutive day after the day of publication as the thirtieth day, unless

(c) the thirtieth consecutive day is a Saturday, Sunday, or holiday, in which event the thirtieth day is the next regular business day.

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-5a Notice of the Effective Date for a Proposed Rule

(1)(a) Pursuant to Subsection 63G-3-301(12), upon expiration of the comment period designated on the rule analysis and filed with the rule, and before expiration of 120 days after publication of a proposed rule, the agency proposing the rule shall notify the office of the date the rule is to become effective and enforceable.

(b) The agency shall notify the office after determining that the proposed rule, in the form published, shall be the final form of the rule, and after informing the office of any nonsubstantive changes in the rule as provided for in Section R15-4-6.

(2)(a) The agency shall notify the office by filing with the office a Notice of Effective Date form using eRules.

(b) If the eRules Notice of Effective Date form is unavailable to the agency, the agency may notify the office by any other form of written communication clearly identifying the proposed rule, stating the date the rule was filed with the office or published in the bulletin, and stating its effective date.

(3) The date designated as the effective date shall be:

(a) at least seven days after the comment period specified on the rule analysis; or

(b) if the agency formally extends the comment period for a proposed rule by publishing a subsequent notice in an issue of the bulletin, at least seven days after the extended comment period.

(4) The office shall publish notice of the effective date in the next issue of the bulletin. There is no publication deadline for a notice of effective date for a proposed rule, nor requirement that it be published prior to the effective date.

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-5b Notice of the Effective Date for a Change in Proposed Rule

(1)(a) Upon expiration of the 30-day period required by Section 63G-3-303, and before expiration of the 120th day after publication of a change in proposed rule, the agency promulgating the rule shall notify the office of the date the rule is to become effective and enforceable.

(b) The agency shall notify the office after determining that the rule text as published is the final form of the rule, and after informing the office of any nonsubstantive changes in the rule as provided for in Section R15-4-6.

(2)(a) The agency shall notify the office by filing with the office a Notice of Effective Date form using eRules.

(b) If the eRules Notice of Effective Date form is unavailable to the agency, the agency may notify the office by any other form of written communication clearly identifying the change in proposed rule and any rules upon which the change in proposed rule is dependent, stating the date the rules were filed with the office or published in the bulletin, and stating the effective date.

(3) The date designated as the effective date shall be:

(a) at least 30 days after the publication date of the rule in the bulletin, or

(b) if the agency designated a comment period, at least seven days after a comment period designated by the agency on the rule analysis or formally extended by publication of a subsequent notice in the bulletin.

(4) The office shall publish notice of the effective date in the next issue of the bulletin. There is no publication deadline for the notice of effective date for a change in proposed rule, nor requirement that it be published prior to the effective date.

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-6 Nonsubstantive Changes in Rules

(1) Pursuant to Subsections 63G-3-201(4)(d) and 63G-3-303(2), for the purpose of making rule changes that are grammatical or do not materially affect the application or outcome of agency procedures and standards, agencies shall comply with the procedures of this section.

(2) The agency proposing a change shall determine if the change is substantive or nonsubstantive according to the criteria cited in Subsection R15-4-6(1).

(a) The agency may seek the advice of the attorney general or the office, but the agency is responsible for compliance with the cited criteria.

(3) Without complying with regular rulemaking procedures, an agency may make nonsubstantive changes in:

(a) proposed rules already published in the bulletin and digest but not made effective; or

(b) rules already effective.

(4) To make a nonsubstantive change in a rule, the agency shall:

(a) notify the office by filing with the office the form designated for nonsubstantive changes;

(b) include with the notice the rule text to be changed, with changes marked as required by Section R15-4-9; and

(5) A nonsubstantive change becomes effective on the date the office makes the change in the Utah Administrative Code.

(6) The office shall record the nonsubstantive change and its effective date in the administrative rules register.

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-7 Substantive Changes in Proposed Rules

(1) Pursuant to Section 63G-3-303, agencies shall comply with the procedures of this section when making a substantive change in a proposed rule.

(a) The procedures of this section apply if:

(i) the agency determines a change in the rule is necessary;

(ii) the change is substantive under the criteria of Subsection 63G-3-102(20);

(iii) the rule was published as a proposal in the bulletin and digest; and

(iv) the rule has not been made effective under the procedures of Subsection 63G-3-301(12) and Section R15-4-5a.

(b) If the rule is already effective, the agency shall comply with regular rulemaking procedures.

(2) To make a substantive change in a proposed rule, the agency shall file with the office:

(a) a rule analysis, marked to indicate the agency intends to change a rule already published, and describing the change and reasons for it; and

(b) a copy of the proposed rule previously published in the bulletin marked to show only those changes made since the proposed rule was previously published.

(3) The office shall publish the rule analysis in the next issue of the bulletin, subject to the publication deadlines of Section R15-4-3. The office may also publish the changed text of the rule.

(4) The agency may make a change in proposed rule effective by following the requirements of Section R15-4-5b, or may further amend the rule by following the procedures of Sections R15-4-6 or R15-4-7.

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-8 Temporary 120-Day Rules

(1) Pursuant to Section 63G-3-304, for the purpose of filing a temporary rule, an agency shall comply with the procedures of this section.

(2) The agency proposing a temporary rule shall determine if the need for the rule complies with the criteria of Subsection 63G-3-304(1).

(a) The office interprets the criteria of Subsection 63G-3-304(1) to include under "welfare" any substantial material loss to the classes of persons or agencies the agency is mandated to regulate, serve, or protect.

(3) The agency shall use the same procedures for filing and publishing a temporary rule as for a permanent rule, except:

(a) the rule shall become effective and enforceable on the day and hour it is recorded by the office unless the agency designates a later effective date on the rule analysis;

(b) no comment period is necessary;

(d) the rule shall expire 120 days after the rule's effective date unless the filing agency notifies the office, on the form or by memorandum, of an earlier expiration date.

(4) A temporary rule is separate and distinct from a rule filed under regular rulemaking procedures, though the language of the two rules may be identical. To make a temporary rule permanent, the agency shall propose a separate rule for regular rulemaking.

(5) When a temporary rule and a similar regular rule are in effect at the same time, any conflict between the provisions of the two are resolved in favor of the rule with the most recent effective date, unless the agency designates otherwise as part of the rule analysis.

(6) A temporary rule has the full force and effect of a permanent rule while in effect, but a temporary rule is not codified in the Utah Administrative Code.

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-9 Underscoring and Striking Out

(1) (a) Pursuant to Subsection 63G-3-301(4)(b), an agency shall underscore language to be added and strike out language to be deleted in proposed rules.

(b) Consistent with Subsection 63G-3-301(4)(b), an agency shall underscore language to be added and strike out language to be deleted in changes in proposed rules, 120-day rules, and nonsubstantive changes.

(2) When an agency proposes to make a new rule or section, the entire proposed text shall be underscored.

(3)(a) When an agency proposes to repeal a complete rule it shall include as part of the information provided in the rule analysis a brief summary of the deleted language and a brief explanation of why the rule is being repealed.

(b) The agency shall include with the rule analysis a copy of the text to be deleted in one of the following formats:

(i) each page annotated "repealed in its entirety" or

(ii) the entire text struck out in its entirety and surrounded by one set of brackets.

(4) When an agency fails to mark a change as described in this section, the director may refuse to codify the change. When determining whether or not to codify an unmarked change, the director shall consider:

(a) whether the unmarked change is substantive or nonsubstantive; and

(b) if the purpose of public notification has been adequately served.

(5) The director's refusal to codify an unmarked change means that the change is not operative for the purposes of Section 63G-3-701 and that the agency must comply with regular rulemaking procedures to make the change.

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

Utah Admin. Code R15-4-10 Estimates of Anticipated Cost or Savings, and Compliance Cost

(1) Pursuant to Subsections 63G-3-301(8)(d), 63G-3-303(1)(a), 63G-3-304(2), and 53C-1-201(3), when an agency files a proposed rule, change in proposed rule, 120-day (emergency) rule, or expedited rule and provides anticipated cost or savings, and compliance cost information in the rule analysis, the agency shall:

(a) estimate the incremental cost or savings and incremental compliance cost associated with the changes proposed by the rule or change;

(b) estimate the incremental cost or savings and incremental compliance cost in dollars, except as otherwise provided in Subsections R15-4-10(4) and (5);

(d) estimate the incremental cost or savings expected to accrue to "state budgets," "local governments," "small businesses," and "persons other than small businesses, businesses, or local governmental entities" as aggregated cost or savings;

(2) In addition, an agency may:

(a) provide a narrative description of anticipated cost or savings, and compliance cost;

(b) compare anticipated cost or savings, and compliance cost figures, for the rule or change to:

(i) current budgeted costs associated with the existing rule,

(ii) figures reported on a fiscal note attached to a related legislative bill, or

(iii) both (i) and (ii).

(3) If an agency chooses to provide comparison figures, it shall clearly distinguish comparison figures from the anticipated cost or savings, and compliance cost figures.

(4) If dollar estimates are unknown or not available, or the obtaining thereof would impose a substantial unbudgeted hardship on the agency, the agency may substitute a reasoned narrative description of cost-related actions required by the rule or change, and explain the reason or reasons for the substitution.

(5) If no cost, savings, or compliance cost is associated with the rule or change, an agency may enter "none," "no impact," or similar words in the rule analysis followed by a written explanation of how the agency estimated that there would be no impact, or how the proposed rule, or changes made to an existing rule does not apply to "state budgets," "local government," "small businesses," "persons other than small businesses, businesses, or local governmental entities," or any combination of these.

(6) If an agency does not provide an estimate of cost, savings, compliance cost, or a reasoned narrative description of cost information; or a written explanation as part of the rule analysis in compliance with this section, the office may, after making an attempt to obtain the required information, refuse to register and publish the rule or change. If the office refuses to register and publish a rule or change, it shall:

(a) return the rule or change to the agency with a notice indicating that the office has refused to register and publish the rule or change;

(b) identify the reason or reasons why the office refused to register and publish the rule or change; and

History

KEY: administrative law
Date of Last Change: August 24, 2007
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-301; 63G-3-303; 63G-3-304; 63G-3-402

R15-5 Administrative Rules Adjudicative Proceedings

Utah Admin. Code R15-5-1 Purpose

(1) This rule provides the procedures for informal adjudicative proceedings governing:

(a) appeal and review of a decision by the office not to publish an agency's proposed rule or rule change or not to register an agency's notice of effective date; and

(b) a determination by the office whether an agency rule meets the procedural requirements of Title 63G, Chapter 3, the Utah Administrative Rulemaking Act.

(2) The informal procedures of this rule apply to all other division actions for which an adjudicative proceeding may be required.

History

KEY: administrative procedures, administrative law
Date of Last Change: June 1, 1996
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402; 63G-4-202; 63G-4-203; 63G-4-503

Utah Admin. Code R15-5-2 Authority

This rule is required by Sections 63G-4-202 and 63G-4-203, and is enacted under the authority of Subsection 63G-3-402(1)(m) and Sections 63G-4-202, 63G-4-203, and 63G-4-503.

History

KEY: administrative procedures, administrative law
Date of Last Change: June 1, 1996
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402; 63G-4-202; 63G-4-203; 63G-4-503

Utah Admin. Code R15-5-3 Definitions

(1) The terms used in this rule are defined in Section 63G-4-103.

(2) In addition:

(a) "director" means the director of the Office of Administrative Rules; and

(b) "digest" means the Utah State Digest which summarizes the content of the bulletin as required under Subsection 63G-3- 402(1)(f).

History

KEY: administrative procedures, administrative law
Date of Last Change: June 1, 1996
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402; 63G-4-202; 63G-4-203; 63G-4-503

Utah Admin. Code R15-5-4 Refusal to Publish or Register a Rule or Rule Change

(1) The office shall not publish a proposed rule or rule change when the office determines the agency has not met the requirements of Title 63G, Chapter 3, or of Rules R15-3 or R15-4.

(2) The office shall not register an agency's notice of effective date, nor codify the rule or rule change in the Utah Administrative Code, if the agency exceeds the 120-day limit required by Subsection 63G-3-301(6)(a) as interpreted in Section R15-4- 5.

(3) The office shall notify the agency of a refusal to publish or register a rule or rule change, and shall advise and assist the agency in correcting any error or omission, and in re-filing to meet statutory and regulatory criteria.

History

KEY: administrative procedures, administrative law
Date of Last Change: June 1, 1996
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402; 63G-4-202; 63G-4-203; 63G-4-503

Utah Admin. Code R15-5-5 Appeal of a Refusal to Publish or Register a Rule or Rule Change

(1) An agency may request a review of an office refusal to publish or register a rule or rule change by filing a written petition for review with the director.

(2) The director shall grant or deny the petition within 20 days, and respond in writing giving the reasons for any denial.

(3) The agency may appeal the decision of the director by filing a written appeal to the executive director of the Department of Government Operations within 20 days of receipt of the director's decision. The executive director shall respond within 20 days affirming or reversing the director's decision.

History

KEY: administrative procedures, administrative law
Date of Last Change: June 1, 1996
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402; 63G-4-202; 63G-4-203; 63G-4-503

Utah Admin. Code R15-5-6 Determining the Procedural Validity of a Rule

(1) A person may contest the procedural validity, or request a determination of whether a rule meets the requirements of Title 63G, Chapter 3, by filing a written petition with the office.

(a) The rule at issue may be a proposed rule or an effective rule.

(b) The petition must be received by the office within the two-year limit set by Section 63G-3-603.

(d) The petition shall specify the rule or rule change at issue and reasons why the petitioner deems it procedurally flawed or invalid.

(e) The petition shall be accompanied by any documents the office should consider in reaching its decision.

(f) The petition shall be signed and designate a telephone number where the petitioner can be contacted during regular business hours.

(2) The office shall respond to the petition in writing within 20 days of its receipt.

(a) The office shall research all records pertaining to the rule or rule change at issue.

(b) The response of the office shall state whether the rule is procedurally valid or invalid and how the agency may remedy any defect.

(3) The petitioner may request reconsideration of the office's findings by filing a written request for reconsideration with the director.

(a) The director may respond to the request in writing.

(b) If the petitioner receives no response within 20 days, the request is denied.

History

KEY: administrative procedures, administrative law
Date of Last Change: June 1, 1996
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402; 63G-4-202; 63G-4-203; 63G-4-503

Utah Admin. Code R15-5-7 Remedies Resulting from an Adjudicative Proceeding

(1) A rule the office determines is procedurally invalid shall be stricken from the Utah Administrative Code and notice of its deletion published in the next issues of the bulletin and digest.

(2) The office shall notify the pertinent agency and assist the agency in re-filing or otherwise remedying the procedural omission or error in the rule.

(3) A rule the office determines is procedurally valid shall be published and registered promptly.

History

KEY: administrative procedures, administrative law
Date of Last Change: June 1, 1996
Notice of Continuation: September 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-3-402; 63G-4-202; 63G-4-203; 63G-4-503

R17 Archives and Records Service

R17-5 Definitions for Rules in Title R17

Utah Admin. Code R17-5-1 Definitions

In addition to terms defined in Section 63G-2-103, Utah Code, the following terms apply to rules in Title R17.

(1) "AIIM" means the Association for Information and Image Management.

(2) "ANSI" means American National Standards Institute.

(3) "Certification" means the confirmation that images recorded on microfilm are accurate, complete, and unaltered reproductions of original records.

(4) "Official Custody" means the responsibility for and implementing policy for the care and access of records.

History

KEY: records retention, public information, access to information
Date of Last Change: August 20, 2008
Notice of Continuation: October 18, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104

R17-6 Records Storage and Disposal at the State Records Center

Utah Admin. Code R17-6-1 Authority and Purpose

In accordance with Subsection 63A-12-104(1), this rule establishes a procedure for the storage and disposal of records at the State Records Center.

History

KEY: records retention, public information, access to information
Date of Last Change: August 7, 2020
Notice of Continuation: October 18, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104; 63A-12-112; 63A-12-113

Utah Admin. Code R17-6-2 Records Storage and Disposal -- Agency Responsibility

(1) An agency may transfer semi-active records to the Records Center for storage.

(2) Prior to transfer, the agency must verify that records have a State Archives record series number, an approved retention schedule, and have met all in office retention requirements.

(3) Records stored in the State Records Center remain in the official custody of the agency that transferred them.

(4) In the event that an agency has not transferred records to the Records Center, it is the agency's responsibility to manage, maintain, and destroy records in its custody in accordance with the records series' approved retention schedule and to document the records destruction.

History

KEY: records retention, public information, access to information
Date of Last Change: August 7, 2020
Notice of Continuation: October 18, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104; 63A-12-112; 63A-12-113

Utah Admin. Code R17-6-3 Records Storage and Disposal -- Archives Responsibility

(1) The State Archives stores semi-active records at the State Records Center in accordance with the approved retention schedule. The State Records Center may accept records for which a proposed retention has been presented to the Records Management Committee with the provision that if the committee does not approve the retention, the records will be returned to the agency.

(2) The State Archives destroys records stored at the Records Center in accordance with the approved retention schedule and upon authorization from the creating agency. If the creating agency does not respond to the second request for authorized destruction within 90 days, the records may be returned to the agency.

(3) In the event that a record has met its scheduled retention requirements and the Records Center is unable to locate an authorized agency to provide destruction approval or the agency is obsolete, the records will become the official custody of the Utah State Archives and the State Archivist will determine the disposition of the records.

History

KEY: records retention, public information, access to information
Date of Last Change: August 7, 2020
Notice of Continuation: October 18, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104; 63A-12-112; 63A-12-113

R17-7 Archival Records Care and Access at the State Archives

Utah Admin. Code R17-7-1 Authority and Purpose

In accordance with Subsection 63A-12-104(1), this rule establishes a procedure for the care and access of records in the custody of the State Archives, including classification or reclassification.

History

KEY: records retention, public information, access to information
Date of Last Change: August 15, 2013
Notice of Continuation: October 18, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104

Utah Admin. Code R17-7-2 Custody of Records, Care and Access

(1) The State Archives accepts records which are placed in the official custody of the State Archivist in accordance with Sections 63G-2-604, 63A-12-102, 63A-12-103, and 63A-12-105.

(2) Records in the State Archives are available for public use in the State Archives insofar as use of the records is not restricted by law.

(3) Except as otherwise provided by law, records may not be removed or loaned for research use outside the State Archives.

History

KEY: records retention, public information, access to information
Date of Last Change: August 15, 2013
Notice of Continuation: October 18, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104

Utah Admin. Code R17-7-3 Access to Records

(1) Records are made available for public use in the State Archives Research Center. Patrons must observe Research Center procedures for the protection and control of the records.

(2) Patrons are required to register to use the Research Center and Research Center staff may require patrons to provide photographic identification.

(3) Patrons shall only use a pencil when making personal notes, shall not mark public records, and shall maintain the original order of the public records consulted.

(4) Persons may not smoke, drink, or eat in the Research Center.

(5) Patrons may take only paper and research materials into the Research Center. Patrons must check brief cases, purses, backpacks, or similar items at the desk before entering the research area.

(6) Patrons shall use care in handling fragile materials. Patrons shall not alter, mutilate, or otherwise deface public records and are required to adhere to the instructions of reference staff.

(7) Patrons may not remove government records from the Research Center.

(8) Patrons may only use equipment and resources in the Research Center for the purposes of research associated with the Utah State Archives or Utah State History.

History

KEY: records retention, public information, access to information
Date of Last Change: August 15, 2013
Notice of Continuation: October 18, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104

Utah Admin. Code R17-7-4 Enforcement

(1) If a patron violates R17-7-3, Research Center staff may issue a verbal warning.

(2) If, after an unheeded warning, or if there is risk of immediate or severe damage to records, staff may request the patron to leave immediately.

(3) If a patron fails to promptly comply with staff request to leave, staff may request assistance from building security personnel and from city police.

(4) These enforcement subsections do not limit the State Archives from performing its duties and enforcing these rules as otherwise allowed by law.

History

KEY: records retention, public information, access to information
Date of Last Change: August 15, 2013
Notice of Continuation: October 18, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104

R17-8 Application of Microfilm Standards

Utah Admin. Code R17-8-1 Authority and Purpose

In accordance with Subsection 63A-12-104(1), this rule establishes a procedure for the microfilming standards of permanent and long-term records.

History

KEY: records retention, public information, access to information
Date of Last Change: December 31, 2013
Notice of Continuation: October 24, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104

Utah Admin. Code R17-8-2 Micrographic Standards

(1) Anyone microfilming Utah state and local government documents for retention purposes shall microfilm these records in conformity with the ANSI/AIIM Imaging Guidelines 2004, which are incorporated by reference.

(2) The State Archives must certify that each roll of microfilm complies with these Imaging Guidelines prior to the destruction of the original records.

(3) The State Archives is the official custodian of all master microfilm.

(4) Access to microfilmed records is permitted in accordance with the approved retention and classification for the records series.

History

KEY: records retention, public information, access to information
Date of Last Change: December 31, 2013
Notice of Continuation: October 24, 2022
Authorizing, and Implemented or Interpreted Law: 63A-12-104

R17-9 Electronic Participation at Meetings

Utah Admin. Code R17-9-1 Authority and Purpose

In accordance with Section 52-4-207, this rule establishes a procedure for electronic participation at meetings.

History

KEY: electronic participation, telephonic participation, USHRAB board meetings, anchor location
Date of Last Change: January 30, 2012
Notice of Continuation: May 27, 2026
Authorizing, and Implemented or Interpreted Law: 52-4-207

Utah Admin. Code R17-9-2 Electronic Participation at Meetings

(1) Electronic participation at meetings. The following provisions govern any meeting at which one or more members of the Board appears telephonically or electronically pursuant to Utah Code Section 52-4-207.

(a) The anchor location is the physical location from which the electronic meeting originates or from which the participants are connected. The anchor location, unless otherwise designated in the notice, shall be at the offices of the Division of State Archives, Salt Lake City, Utah.

(b) If one or more members of the Board participate electronically or telephonically, public notices of the meeting shall so indicate. In addition, the notice shall specify the anchor location where the members of the Board not participating electronically or telephonically will be meeting and where interested persons and the public may attend and monitor the open portions of the meeting.

(c) When notice is given of the possibility of a member of the Board appearing electronically or telephonically, any member of the Board may do so and shall be counted as present for purposes of a quorum and may fully participate and vote on any matter coming before the Board. At the commencement of the meeting, or at such time as any member of the Board initially appears electronically or telephonically, the Chair shall identify for the record all those who are appearing telephonically or electronically. Votes by members of the Board who are not at the physical location of the meeting shall be confirmed by the Chair.

History

KEY: electronic participation, telephonic participation, USHRAB board meetings, anchor location
Date of Last Change: January 30, 2012
Notice of Continuation: May 27, 2026
Authorizing, and Implemented or Interpreted Law: 52-4-207

R17-10 Government Records Ombudsman

Utah Admin. Code R17-10-1 Mediation

(1) A party must contact the Ombudsman in writing to request mediation.

(2) Parties must disclose to the Ombudsman who will be attending mediation, as well as their contact information.

(3) To participate in mediation remotely, participants must have their cameras on and disclose if anyone else is in the room.

(4) Mediation may not be recorded.

(5) At any time during the appeals process with the Office, the Director may refer the parties to the Government Records Ombudsman for mediation.

History

KEY: government records office, records appeal hearings, government records ombudsman, ombudsman, mediation
Date of Last Change: November 25, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63A-12-204

R18 Data Privacy

R18-1 Relief from Data Privacy Requirements

Utah Admin. Code R18-1-1 Authority

This rule is authorized by Subsection 63A-19-301(4)(f).

History

KEY: data privacy, extensions, exemptions, training
Date of Last Change: November 10, 2025
Authorizing, and Implemented or Interpreted Law: 63A-19-301(5)

Utah Admin. Code R18-1-2 Purpose

The purpose of this rule is to establish procedures for:

(1) a governmental entity to apply:

(a) for a limited extension of or exemption from complying with the data privacy requirements in Title 63A, Chapter 19, Part 4, the Governmental Data Privacy Act; or

(b) to substitute the governmental entity's data privacy training for the office's training;

(2) the office to grant or deny a governmental entity's application; and

(3) providing notice of the office's decision.

History

KEY: data privacy, extensions, exemptions, training
Date of Last Change: November 10, 2025
Authorizing, and Implemented or Interpreted Law: 63A-19-301(5)

Utah Admin. Code R18-1-3 Definitions

(1) Terms used in this rule are defined in Section 63A-19-101.

(2) In addition, "office's training" means the data privacy training program created by the office pursuant to Section 63A-19-401.2.

History

KEY: data privacy, extensions, exemptions, training
Date of Last Change: November 10, 2025
Authorizing, and Implemented or Interpreted Law: 63A-19-301(5)

Utah Admin. Code R18-1-4 Extensions and Exemptions

A governmental entity seeking a limited extension or exemption under Subsection 63A-3-301(5)(a)(i) shall submit a completed application form, created by the office, that includes:

(1) a description of the specific duty for which an extension or exemption is sought;

(2) the limited period for which an extension or exemption is sought;

(3) a citation to the statute that imposes the duty for which an extension or exemption is sought; and

(4) a detailed justification for the requested extension or exemption that describes how the governmental entity has mitigated any risks to individual's data privacy interests caused by the extension or exemption.

History

KEY: data privacy, extensions, exemptions, training
Date of Last Change: November 10, 2025
Authorizing, and Implemented or Interpreted Law: 63A-19-301(5)

Utah Admin. Code R18-1-5 Substitute Data Privacy Training

(1) A governmental entity seeking to substitute the governmental entity's data privacy training for the office's training under Subsection 63A-3-301(5)(a)(ii) shall submit:

(a) a completed application form, created by the office; and

(b) a copy of the governmental entity's data privacy training.

(2) The office may allow a governmental entity to substitute the governmental entity's data privacy training for the office's training if the governmental entity's data privacy training contains the same information as the office's training, including information regarding:

(a) the data privacy requirements found in Title 63A, Chapter 19, Part 4, the Government Data Privacy Act and any other data privacy laws that may be applicable to the governmental entity;

(d) the data privacy roles and responsibilities of governmental employees, including the duties of chief administrative officers and appointed records officers; and

(e) data privacy best practices.

History

KEY: data privacy, extensions, exemptions, training
Date of Last Change: November 10, 2025
Authorizing, and Implemented or Interpreted Law: 63A-19-301(5)

Utah Admin. Code R18-1-6 Office Approval or Denial

(1)(a) If the office approves a request, the office shall provide a notice of approval to the governmental entity.

(b) A notice of approval for a limited extension or exemption, shall describe:

(i) the length of the extension or exemption; and

(ii) any specific terms and conditions.

(2)(a) If the office denies a request, the office shall provide a notice of denial to the governmental entity.

(b) A notice of denial of a request to substitute the governmental entity's data privacy training shall describe the reasons why the request was denied.

History

KEY: data privacy, extensions, exemptions, training
Date of Last Change: November 10, 2025
Authorizing, and Implemented or Interpreted Law: 63A-19-301(5)

R20 Government Records Office

R20-1 Definitions for Rules in Title R20

Utah Admin. Code R20-1-1 Definitions

In addition to terms defined in Sections 63G-2-103 and 63A-12-201, the following terms apply to Title R20:

(1) "Expedited Hearing" means a meeting by the Director to review an appeal of a records decision by a government entity in a shorter time period than in accordance with Subsection 62G-2-209(3)(a)(ii) or Subsection 63G-2-403(4)(a).

(2) "Hearing" means a meeting by the Director to hear an appeal of a records decision by a government entity in accordance with Section 63G-2-403.

(3) "Ombudsman" means the Government Records Ombudsman under Section 63A-12-204.

(4) "Order" means a written decision issued by the Director as provided by Subsection 63G-2-403(11).

(5) "Subpoena" means a written Order requiring appearance before the Director to give testimony in accordance with Subsections 62G-2-209(7)(c) or 63G-2-403(10)(a).

History

KEY: government records office, records appeal hearings, government documents, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63A-12-204

R20-3 Government Records Office Hearing Procedures

Utah Admin. Code R20-3-1 Scheduling Appeal Hearings

(1) The Office shall post a notice of the hearing on the Utah Public Notice Website.

(2)(a) The Director may postpone appeals as necessary.

(b) A party wishing to postpone an appeal shall notify the Director and the other party in writing with the reason for postponement.

(d) If the request to postpone is granted, the Director shall schedule the appeal for a later hearing date pursuant to Subsection 63G-2-403(4)(a).

(3) If the petitioner wishes to withdraw the appeal, the petitioner shall notify the Director and the governmental entity in writing.

History

KEY: government records office, records appeal hearings, government documents, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403; 63G-2-209

Utah Admin. Code R20-3-2 Procedures for Appeal Hearings

(1) Unless the hearing is scheduled exclusively as an electronic hearing, a party wishing to appear remotely must notify the Executive Secretary no less than 24 hours before the hearing.

(a) If participating remotely, cameras must be on.

(2) A party to an appeal before the Director, including any intervening party, shall submit all materials to be considered at the hearing no later than five business days before the hearing.

(3) The Director may set the time limit for the parties to present their cases pursuant to Subsection 63G-2-403(8). Ordinarily, the parties' presentations will be limited to 5 minutes. Each party shall be allowed equal time to present arguments and make rebuttal statements.

(4)(a) The petitioner's and governmental entity's presentations may consist of relevant testimony, argument, or evidence.

(b) Witnesses providing testimony shall be sworn in.

(5)(a) The Director can continue a hearing and require the governmental entity to provide disputed records to be reviewed in camera after the hearing.

(b) Records provided by the governmental entity for in camera review by the Director remain in the custody of the

governmental entity. Records for in camera review are retained by the Director for only the period of in camera review and are

returned to the governmental entity or destroyed, provided they are not the record copy, at the conclusion of the in camera

review.

(6) At any time, the Director may adjourn, reschedule, continue, or reopen a hearing.

(7) Except as expressly authorized by law, there shall be no communication between the parties and the Director concerning the subject matter of the appeal before the hearing or before the issuance of an Order. Any other oral or written communication from the parties to the Director, or from the Director to the parties, shall be directed to the Executive Secretary for transmittal.

(8) If a party improperly discloses a mediation communication in violation of Title 78B, Chapter 10, Utah Uniform Mediation Act, the information may not be relied upon by the Director in reaching a decision.

(9) If the Director determines at any time before, or during a hearing, that a necessary party must either be added as a party to the appeal or otherwise be present or testify, the Director may continue the hearing to a later date, if necessary, and compel the party's attendance by way of a subpoena.

(10) Nothing in this section precludes the Director from taking appropriate measures necessary to maintain the order and integrity of the hearing.

(11) A hearing to consider a vexatious requester petition under Section 63G-2-209 may be closed to the public if the Director determines the information being presented should be non-public.

(a) Any closed portion of the hearing shall be recorded; and

(b) the recording shall be a protected record as outlined in Subsection 52-4-206(5).

History

KEY: government records office, records appeal hearings, government documents, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403; 63G-2-209

Utah Admin. Code R20-3-3 Deciding Appeals on Written Submissions

The Director may decide an appeal without a hearing if the parties give written consent to waive their statutory right to a hearing in Subsection 63G-2-403(7) and have the appeal decided based upon submitted written materials.

History

KEY: government records office, records appeal hearings, government documents, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403; 63G-2-209

R20-4 Filing and Declining Hearings

Utah Admin. Code R20-4-1 Authority and Purpose

In accordance with Section 63A-12-203, Section 63G-2-209, and Subsection 63G-2-403(4), this rule establishes the procedure for declining to schedule hearings by the Director.

History

KEY: government records office, records appeal hearings, government documents, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403; 63G-2-209

Utah Admin. Code R20-4-2 Filing an Appeal

(1) To file an appeal, the petitioner must submit the following:

(a) a copy of the petitioner's initial records request, or a statement of the specific records requested if a copy is unavailable to the petitioner;

(b) a copy of any records appeals;

(d) a statement of relief sought;

(e) if needed to establish the timeliness of the appeal, a copy of the certification from the Ombudsman under Subsection 63G-2-403(1)(c).

(2)(a) If the petitioner fails to provide any of the documents required under Subsection R20-4-2(3), the Office shall notify the

petitioner that until the proper information is submitted, a hearing cannot be scheduled.

(b) Pursuant to Subsections 63G-2-403(2) and (4)(a), the petitioner must provide the missing information within the seven business days. If the appeal is not completed within seven business days, a dismissal will be issued.

(3) Pursuant to Subsection 63G-2-403(1)(a), the Director will not schedule an appeal not timely received.

History

KEY: government records office, records appeal hearings, government documents, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403; 63G-2-209

Utah Admin. Code R20-4-3 Declining Requests for Appeal Hearings

The Director's notice to the petitioner indicating that the Director declined the request for a hearing, as provided for in Subsection 63G-2-403(4)(b)(ii), shall include a copy of the previous Order holding that the records at issue are appropriately classified.

History

KEY: government records office, records appeal hearings, government documents, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403; 63G-2-209

Utah Admin. Code R20-4-4 Limited Motions to Dismiss

(1) Motions to dismiss are prohibited except as authorized by this rule.

(2)(a) In any appeal to the Director challenging a governmental entity's denial of access to records because the record is not maintained by the governmental entity, the governmental entity may file a motion to dismiss the appeal without a hearing.

(b) To survive a motion to dismiss, the petitioner must provide sufficient evidence that the record was maintained by the governmental entity at one time, or that the governmental entity has concealed or has improperly searched for the record.

(c) Evidence that a governmental entity has disposed of the record according to retention schedules is sufficient basis to grant the motion to dismiss.

History

KEY: government records office, records appeal hearings, government documents, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403; 63G-2-209

R20-6 Subpoenas Issued by the Director

Utah Admin. Code R20-6-1 Authority and Purpose

In accordance with Section 62G-2-209 and Subsection 63G-2-403(10), this rule intends to establish the procedures for issuing subpoenas by the Director.

History

KEY: government documents, government records office, records appeal hearings, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403(10); 63G-2-209(7)

Utah Admin. Code R20-6-2 Subpoenas

(1) Pursuant to Subsection 63G-2-403(10), the Director may issue a subpoena sua sponte.

(2)(a) A party may request a subpoena for a witness by filing a written request with the Director at least 14 days before the hearing.

(b) The request shall describe the purpose for which the subpoena is sought, and state specifically why, given that hearsay is available before the Director, the individual being subpoenaed must be present.

(3) The Director shall review each subpoena request and grant or deny the request based on the following considerations:

(a) a weighing of the proposed witness's testimony as material and necessary; or

(b) weighing the burden to the witness against the need to have the witness present.

(c) If the Director grants the request, the Office will provide a blank subpoena form for the party to complete and submit for the Director's signature.

(4) A subpoenaed witness shall be entitled to witness fees and mileage reimbursement to be paid by the requesting party. Witnesses shall receive the same witness fees and mileage reimbursement allowed by law to witnesses in a state district court.

(5)(a) A subpoenaed witness may file a motion to quash the subpoena with the Director at least one week before the hearing at which the witness has been ordered to be present and shall simultaneously send a copy of that motion to the parties.

(b) Such motion shall include the reasons for quashing the subpoena and shall be granted or denied by the Director based on the same considerations as outlined in Subsection R20-5-2(2).

(6) If the Director denies the request for subpoena, the denial is final and unreviewable.

(7) The Director has discretion to issue a subpoena to compel production of necessary testimony or evidence.

History

KEY: government documents, government records office, records appeal hearings, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403(10); 63G-2-209(7)

R20-7 Expedited Hearing

Utah Admin. Code R20-7-1 Authority and Purpose

In accordance with Section 63G-2-209 and Subsection 63G-2-403(4)(a)(i), this rule establishes the procedure for requesting and scheduling an Expedited Hearing.

(1) A party to an appeal may request that a hearing be expedited by making a written request to the Director.

(a) The written request shall include the reasons the request is being made.

(b) A copy of the request shall also be sent to the opposing party.

(2) The opposing party may respond to the request for an expedited hearing within five business days.

(3) The standard for granting an expedited hearing is "good cause shown".

(a) The Director shall take into account the reason for the request; and

(b) balance that against the burden to the Office and the governmental entity.

History

KEY: government documents, government records office, records appeal hearings, vexatious requester hearings
Date of Last Change: November 7, 2025
Authorizing, and Implemented or Interpreted Law: 63A-12-203; 63G-2-403; 63G-2-209

R21 Debt Collection

R21-1 Transfer of Collection Responsibility of State Agencies

Utah Admin. Code R21-1-1 Purpose

The purpose of this rule is to establish:

(1) collection techniques used by OSDC; and

(2) procedures for agencies to:

(a) bill and make initial collection efforts according to a coordinated schedule;

(b) transfer their delinquent accounts receivable to OSDC for additional collection action;

(d) allocate the costs of collection established under Subsections 63A-3-502(4)(g), 63A-3-502(6)(b), Section 15-1-4, and other applicable laws.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-2 Authority

This rule is established under Section 63A-3-504.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-3 Definitions

(1) "Accounts receivable" or "receivable" means the same as defined in Section 63A-3-501.

(2) "Administrative offset" means the same as defined in Section 63A-3-501.

(3) "Criminal accounts receivable" means the same as defined in Section 63A-3-501.

(4) "Delinquent" means any account receivable for which the state has not received payment in full by the payment due date.

(5) "Event" means the day that goods are purchased, services are completed, or fines, fees, and assessments are due.

(6) "FINET" means the statewide accounting system centrally administered by the Division of Finance.

(7) "OSDC" means the Office of State Debt Collection, created under Section 63A-3-502.

(8) "Payment due date" means the date by which the agency requires payment for the account receivable that an individual, corporation, partnership, or organization has incurred.

(9) "Postjudgment interest" means interest that is accrued according to the rate described in Subsection 15-1-4(3)(a).

(10) "Trust" means a receivable that is owed to a victim of a crime.

(11) "Write-off" means the same as defined in Section 63A-3-501.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-4 Agency Billing and Collection Responsibility

(1) Each agency shall document and track agency each receivable in FINET.

(a) An agency may request an exemption from using FINET from the Division of Finance and OSDC.

(b) An agency exempted under this section shall:

(i) track each receivable in the agency's system;

(ii) provide OSDC with a receivable report each month that contains the information described in Subsection 63A-3- 502(7)(g); and

(iii) provide each receivable report within 45 days after the quarter ends.

(2) A customer shall be billed:

(a) within 10 days from the event that created the receivable; or

(b) if the event is recurring, within the next billing cycle.

(3) The payment due date shall be within 30 days of the event date unless the agency can show that this timeframe does not meet its business needs.

(4) If payment is not received within 10 days after the payment due date, the agency shall contact the customer for payment by phone or written notice.

(5) Each agency shall review and comply with the statewide accounting policies for receivables, which are available on the Division of Finance website, finance.utah.gov.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-5 Transfer of Collection Responsibility

(1) An agency with any delinquent account shall comply with Subsection 63A-3-502(7) unless not allowed by current state or federal statute or regulation.

(2) An agency or user of services shall transfer collection responsibility to OSDC if the account receivable:

(a) is not paid within 90 days of the initial billing; or

(b) is delinquent 61 days.

(3) An agency may negotiate a different receivable transfer date with OSDC by explaining how the state would benefit from the negotiated transfer date.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-6 Format for Transfer of Accounts Receivable Data

(1) An agency shall transfer any delinquent account to OSDC electronically through FINET.

(2) An agency exempted from using FINET for individual receivables shall work with OSDC to generate an electronic placement file for transferring the delinquent account.

(3) An agency transferring a delinquent account must also provide:

(a) personally identifiable information for each liable party; and

(b) if available, a federal tax identification number for each liable party.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-7 Interest and Fees

(1) Subsection 63A-3-502(4)(g) authorizes OSDC to assess and collect interest and fees. Interest and fee calculation and payment priority for accounts receivable collected by OSDC shall be applied according to the following methodology, except as specified in Subsections R21-1-10(2) and R21-1-10(3):

(2) A fee that covers the administrative costs of collection shall be charged on each account referred for collection. This fee is called the collection fee.

(a) The cost of this fee shall be calculated as a percent of the sum of the receivable balance referred for collection plus the late penalty described in Subsection R21-1-7(3).

(b) This fee shall be paid first from each payment, up to a percentage determined by OSDC.

(3) A late penalty fee as described in Subsection 63A-3-502(4)(g)(ii) shall be calculated as a percent of the receivable balance referred for collection.

(a) Two percent of each payment shall be applied to the outstanding penalty until the penalty is paid in full.

(b) The calculated penalty amount shall be paid after the collection fee is determined and paid.

(4) Two types of interest shall be charged on each account referred to OSDC: postjudgment interest and OSDC interest.

(a) Postjudgment interest applies to a receivable with a judgment established by the courts.

(i) Postjudgment interest accrues on the unpaid principal balance of the receivable.

(ii) Postjudgment interest that accrues on a trust or the trust portion of a receivable shall be paid before the state's outstanding receivable.

(b) OSDC interest applies to a receivable without a judgment as described in Subsection 63A-3-502(4)(g)(iii)(B).

(i) OSDC accrued interest shall be paid from each payment up to 5% of the payment after the payment of the collection fee and 2% penalty.

(ii) OSDC interest accrues on the unpaid principal balance of the receivable.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-8 Applying Interest and Fees

(1) Each payment received on a trust receivable shall be applied to the following items in the priority listed:

(a) First, the collection fee, up to a percentage determined by OSDC;

(b) Second, 2% penalty;

(d) Fourth, the accrued postjudgment interest.

(2) Each payment received on a receivable that includes trust and state receivable balances shall be applied to the following items in the priority listed:

(a) First, the collection fee, up to a percentage determined by OSDC;

(b) Second, 2% penalty;

(d) Fourth, the trusts receivable balance until paid in full;

(e) Fifth, the accrued trust postjudgement interest;

(f) Sixth, the state receivable balance; and

(g) Seventh, accrued postjudgement interest on the state receivable balance.

(3) Each payment received on a receivable owed only to the state shall be applied to the following items in the priority listed:

(a) First, the collection fee, up to a percentage determined by OSDC;

(b) Second, 2% penalty;

(d) Fourth, the principal receivable balance; and

(e) Fifth, accrued postjudgment interest when applicable.

(4)(a) A trust payment sent to a victim of a crime that is returned to OSDC because of a bad address shall be retained by OSDC until the victim is located or statute requires transfer to another agency.

(b) Each payment shall continue to be applied to the trust balance until it is paid in full, and any payment received after the trust is paid in full shall be applied to another applicable debt.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-9 Write-Off of Accounts Receivable

Each agency shall follow the statewide accounting policies and procedures for write-offs and allowances, which are available on the Division of Finance website, finance.utah.gov.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-10 Original Signature Required on Certain OSDC Documents

OSDC requires an original signature on:

(1) a victim settlement agreement;

(2) a payment agreement;

(3) a wage assignment;

(4) an authority for the automatic transfer of funds (EFT); and

(5) an authority for the automatic credit or debit card charge.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-11 Delay and Remission of Fees and Penalties

(1) OSDC may create policies for reducing fees and penalties to incentivize payment of debts.

(2) When OSDC receives a criminal account receivable for an offender who is incarcerated for the same criminal offense, OSDC may not apply a collection fee or penalty to the receivable until 90 days after the debtor is released from prison.

(3) When a debt is for a dishonored check as described in Section 7-15-1, fees and interest shall be assessed in accordance with that section.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

Utah Admin. Code R21-1-12 Collection Techniques

OSDC may use different collection techniques which may include the use of:

(1) credit-reporting bureaus;

(2) collection agencies;

(3) garnishments;

(4) liens;

(5) executions on any type of property;

(6) judgments; and

(7) administrative offsets.

History

KEY: accounts receivable, collection transfer
Date of Last Change: October 10, 2024
Notice of Continuation: March 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-502(3)(m); 63A-3-502(4)(g); 63A-3-502(6)(a); 63A-3-502(6)(b); 63A-3-502(7)(f); 15-1-4

R21-2 Office of State Debt Collection Administrative Procedures

Utah Admin. Code R21-2-1 Purpose

The purpose of this rule is to establish the form of adjudicative proceedings, provide procedures and standards for the conduct of informal hearings, and provide procedures and standards for orders resulting from the administrative process.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-2 Authority

This rule establishes procedures for informal adjudicative proceedings as required by Sections 63G-4-202 and 63G-4- 203 of the Utah Administrative Procedures Act.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-3 Definitions

In addition to terms defined in Sections 63A-3-501 and 63G-4-103, the following terms are defined as follows:

(1) "Delinquent" means any account receivable for which the state has not received payment in full by the payment demand date.

(2)(a) "Participate" means present relevant information to the presiding officer within the time period described by statute or rule for requesting a hearing; and

(b) if a hearing is scheduled, "participate" means attend the hearing.

(3) "Payment demand date" is the date by which the agency requires payment for the account receivable that an entity has incurred.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-4 Designation of Presiding Officers

The matters over which the office has jurisdiction and which are subject to Section 63G-4-202 will be presided over by the office director or designee.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-5 Form of Proceeding

The adjudicative proceedings commenced by the office or commenced by other persons affected by the office's actions shall be informal adjudicative proceedings.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-6 Adjudicative Proceedings

(1) The following actions are considered to be adjudicative proceedings:

(a) Hearings which lead to the establishment of an order to collect delinquent accounts receivable owed to an agency of the state;

(b) Hearings which lead to the amending of an administrative order; and

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-7 Service of Notice and Orders

Notices, orders, written decisions, or any other documents for which service is required or permitted to be made by Title 63G, Chapter 4, Administrative Procedures Act" may be served using methods provided in Title 63G, Chapter 4, Administrative Procedures Act or outlined by the Utah Rules of Civil Procedures.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-8 Procedures for Informal Adjudicative Proceedings

The procedures for informal adjudicative proceedings will be as follows:

(1) The presiding officer will issue an order of default unless the entity does one of the following in response to service of a notice of office action:

(a) pays the entire delinquent account receivable in full; or

(b) participates as provided in Section R21-2-11;

(2) The presiding officer shall schedule a hearing if available under Section R21-2-9 and the entity requests it in writing within the following time periods:

(a) within 30 days of service of a notice of agency action requesting payment in full of a delinquent accounts receivable;

(b) within 20 days of service of a notice of agency action in other adjudicative proceedings; or

(3) Within a reasonable time after the close of an informal adjudicative proceeding, the presiding officer shall issue a signed order in writing which states the following:

(a) the decision;

(b) the reason for the decision;

(d) the time limits for filing an appeal or requesting reconsideration.

(4) The presiding officer's order shall be based on the facts appearing in the office files, and on the facts presented in evidence at any hearings.

(5) A copy of the presiding officer's order shall be promptly mailed to each of the parties.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-9 Availability of Hearing in Informal Adjudicative Proceedings

(1) A hearing is permitted in an informal adjudicative proceeding if:

(a) the entity in a properly filed request for hearing or in the course of participation raises a genuine issue as to a material fact as provided in Section R21-2-10; and

(b) participates in an office conference.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-10 Hearings in Informal Adjudicative Proceedings

(1) Hearing requests shall be recorded by the office.

(2) The office shall give timely notice to the requesting party informing them that:

(a) an administrative hearing has been scheduled, including the time, date, and location of the hearing;

(b) the requesting party may bring any documentation, witnesses, or legal representation to the hearing;

(d) the requesting party has the option to withdraw their request for a hearing in writing at least three business days before the hearing.

(3) Evidence upon which a presiding officer may rely in issuing an order when there has been no hearing:

(a) documented information from agency sources;

(b) failure of the entity to produce upon request of the presiding officer canceled checks, or alternative documentation, as evidence of payments made; or

(c) failure of the entity to produce a record kept by a financial institution, the agency initially servicing the debt, the office or its designee, showing payments made.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-11 Telephonic Hearings

Telephonic hearings will be held at the discretion of the presiding officer unless the entity specifically requests that the hearing be conducted face to face.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-12 Procedures and Standards for Orders Resulting from Service of a Notice of Office Action

(1) If the entity agrees with the notice of action, it may stipulate to the facts and to the amount of the debt and obligation to be paid. A stipulation and order based on that stipulation is prepared by the office for the entity's signature. Orders based on stipulation are not subject to reconsideration or judicial review.

(2) If the entity participates by attending a preliminary conference or otherwise presents relevant information to the presiding officer, but does not reach an agreement with the office or is unavailable to sign a stipulation, and does not request a hearing, the presiding officer shall issue an order based on that participation.

(3) If the entity requests a hearing and participates by attending the hearing, the presiding officer who conducts the hearing shall issue an order based upon the hearing.

(4) If the entity fails to participate as follows, the presiding officer shall issue an order of default, based on whether or not:

(a) the entity fails to participate by presenting relevant information and does not request a hearing in response to the notice of office action;

(b) after proper notice the entity fails to attend a preliminary conference scheduled by the presiding officer to consider matters which may aid in the disposition of the action; or

(c) after proper notice the entity fails to attend a hearing scheduled by the presiding officer pursuant to a written request for a hearing.

(5) The default order is taken for the amount specified in the notice of action which was served on the entity plus accrued interest, penalties and applicable collection costs from the date of the action until paid in full by the entity at the interest rate specified in the default order. The entity may seek to have the default order set aside, in accordance with Section 63G-4-209.

(6) If an entity's request for a hearing is denied under Section R21-2-10, the presiding officer issues an order based upon the information in the office file.

(7) Notwithstanding any prior agreements which sets terms for the payment of the delinquent account receivable, the office reserves the right to intercept state tax refunds or other state payments to the entity to satisfy the debt represented by the delinquent account receivable.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-13 Conduct of Hearing in Informal Adjudicative Proceedings

(1) The hearing shall be conducted by a qualified presiding officer. No presiding officer shall hear a contested case if it is alleged and proved that good cause exists for the removal of the presiding officer assigned to the case. The party or representative requesting the change of presiding officer shall make the request in writing, and the request shall be filed and called to the attention of the presiding officer not less than two business days in advance of the hearing.

(2) Duties of the presiding officer:

(a) Based upon the notice of office action, objections thereto, if any, and the evidence presented at the hearing, the presiding officer shall determine the liability and responsibility, if any, of the parties.

(b) The presiding officer conducting the hearing may:

(i) regulate the course of hearing on issues designated for hearing;

(ii) receive and determine procedural requests, rule on offers of proof and evidentiary objections, receive relevant evidence, rule on the scope and extent of cross-examination, and hear argument and make determination of all questions of law necessary to the conduct of the hearing;

(iii) request testimony under oath or affirmation administered by the presiding officer;

(iv) upon motion, amend the notice of office action to conform to the evidence.

(3) Rules of Evidence:

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

(b) Any person who is a party to the proceedings may call witnesses and present such oral, documentary, and other evidence and comment on the issues and conduct such cross-examination of any witness as may be required for a full and true disclosure of facts relevant to any issue designated for fact hearing and as may affect the disposition of any interest which permits the person participating to be a party.

(c) Any evidence may be presented by affidavit rather than by oral testimony subject to the right of any party to call and examine or cross-examine the affiant.

(d) Any relevant evidence shall be admitted.

(e) Official notice may be taken of the facts of which judicial notice may be taken in the courts of this state.

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

(g) Intervention is prohibited.

(4) Rights of the parties: A party appearing before the presiding officer for a hearing may be represented by a licensed attorney, or, after leave of the presiding officer, any other person designated to act as the party's representative for the purpose of the hearing. The office's supporting evidence for the office's claim shall be presented at a hearing before the presiding officer by a representative of the office. The supporting evidence may, at the office's discretion, be presented by a representative from the office of the Attorney General.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-14 Order Review

Nothing in this rule prohibits a party from filing a request for reconsideration or for judicial review as provided in the Sections 63G-4-302 and 63G-4-401.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-15 Reconsideration

Either the entity or the office may request reconsideration in accordance with Section 63G-4-302 once during an informal adjudicative proceeding.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-16 Setting Aside Administrative Orders

(1) The office may set aside an administrative order for any of the following reasons:

(a) a rule or policy was not followed when the order was taken;

(b) the entity was not properly served with a notice of office action;

(d) the order has been replaced by a judicial order which covers the same time period.

(2) the office shall notify the entity of its intent to set the order aside by serving the entity with a notice of office action. The notice shall be signed by the presiding officer at the level which issued the order.

(3) If after serving the entity with a notice of office action, the presiding officer determines that the order shall be set aside, the office shall notify the entity.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

Utah Admin. Code R21-2-17 Amending Administrative Orders

(1) The office may amend an order for either of the following reasons:

(a) a clerical mistake was made in the preparation of the order; or

(b) the time periods covered in the order overlap the time periods in another order for the same participants.

(2) The office shall notify the entity of its intent to amend the order by serving the entity with a notice of office action. The notice shall be signed by the presiding officer at the level which issued the order.

(3) If after serving the entity with a notice of agency action, the presiding officer determines that the order shall be amended, the office shall provide a copy of the amended order to the entity.

History

KEY: accounts receivable, adjudicative process
Date of Last Change: April 29, 2022
Notice of Continuation: January 4, 2022
Authorizing, and Implemented or Interpreted Law: 63G-4-202; 63G-4-203

R21-3 Debt Collection Through Administrative Offset

Utah Admin. Code R21-3-1 Purpose

The purpose of this rule is to establish procedures to be followed by agencies to reduce or eliminate accounts receivable through administrative offset of tax overpayments or state payments due to entities.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-2 Authority

This rule is authorized under Section 63A-3-310 and Subsection 63A-3-504(2)(f), which authorize the Division of Finance to establish, by rule, an implementation of the debt collection technique of administrative offset.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-3 Definitions

In addition to terms defined in Section 63A-3-501, the following terms are defined as follows:

(1) "Division" means the Division of Finance.

(2) "Match" or "matched" means a one-to-one corresponding of a social security number or a federal employer's identification number between the entity and the tax overpayment or other state payment to the entity.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-4 Eligible Accounts Receivable

(1) If a delinquent account receivable meets the criteria established under Section 59-10-529, an agency shall proceed under this rule to collect the delinquent amount against tax overpayments.

(2) If a delinquent account receivable meets the criteria established under Section 63A-3-302, an agency shall proceed under this rule to collect the delinquent amount against tax overpayments or state payments due to entities.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-5 Submission of Accounts Receivable to the Division

(1) Upon qualifying the account for administrative offset as established in Section R21-3-4, the agency shall submit the account receivable to the division. The account receivable submission shall include the:

(a) name of the entity;

(b) social security number or federal employer's identification number of the entity; and

(2) Once the account has been established for administrative offset, it matches continuously from the date of the establishment until the account receivable is totally satisfied.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-6 Control of Matched Tax Overpayments or Payment Due to Entity by the Division

The division shall place the entity's matched tax overpayment or payment due to entity in a separate agency fund in the state's accounting system (FINET).

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-7 Notification to Debtors

(1) Any notification authorized under Section 63A-3-303 must be sent within two business days of the date listed on the notice.

(2) Any notification sent to a joint filer must include instructions regarding defenses, such as injured spouse treatment authorized under Section R21-3-9 and the right to administrative hearing authorized under Section 63A-3-306.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-8 Notification and Response

(1) The division shall notify the agency submitting the account receivable of each administrative offset match.

(2)(a) The agency shall verify the delinquent account balance; and

(b) notify the division of the amount to be offset.

(3) The amount shall include the outstanding balance of the delinquent account receivable plus any penalty, interest, or applicable collection costs.

(4) The agency shall identify for the division the exact amount to be offset as early as practicable.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-9 Treatment of Injured Spouse Forms

(1) Subject to Subsection R21-3-9(2), upon receipt of an injured spouse claim from the spouse of a debtor, a levying agency shall:

(a) review the claim for validity;

(b) determine the frequency of claims made; and

(c) when a claim is approved by the levying agency, release the offset of matched funds proportionate to the income of the injured spouse using the following formula: (income of injured spouse/total household gross income) x levied amount.

(2) Recognizing that levying agencies are not statutorily required to honor injured spouse claims:

(a) agencies levying taxes under this section must honor at least a first-time injured spouse claim that is determined to be valid if the claim is received within 21 calendar days of the date of the notification required under Section R21-3-7. Claims that are not received within 21 days may be denied at the discretion of the levying agency.

(b) subsequent claims may be denied at the discretion of the levying agency.

(3) Valid injured spouse claims should require at a minimum:

(a) federal tax returns;

(b) IRS Form 8379;

(d) state tax returns.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-10 Offsetting Matched Accounts

(1) The division will offset the matched entity tax overpayment or payment due to entity by:

(a) an administrative fee which shall be charged for performing debt collection functions associated with the administrative offset; and

(b) the amount identified in Subsection R21-3-8(3) to satisfy the delinquent account receivable.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-11 Release of Matched Accounts by the Division

(1) In the event of a declared state of emergency, the division may suspend matching receivables in the administrative offset program subject to the following conditions.

(a) The suspended matching of receivables submitted under this rule may not infringe upon the rights of victims. Receivables collected on behalf of victims may include restitution orders, wage claims, and past due child support.

(b)(i) Before suspension, the division shall notify affected agencies in writing.

(ii) The division is not required to receive consent from agencies submitting receivables under this rule.

(2) If a matched account is not levied within 21 days of the date matched, the division shall release the tax overpayment or other state payment to:

(a) first, the next agency with a matched receivable that is not suspended, if any; or

(b) second, the entity to which the tax overpayment is owed or the entity for which the payment is due.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-12 Release of Offset Funds by the Division

(1) The division shall keep the administrative charge.

(2) The division shall release the offset funds to the agency.

(3) The division shall release the balance of any available funds from the match to the entity.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-13 Credit of Accounts Receivable

Upon receipt of the offset funds from the division, the agency shall deposit the amount into their account and credit the entity's accounts receivable for the amount received.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

Utah Admin. Code R21-3-14 Administrative Fee

Authorized by Subsection 63A-3-502(4), the division may charge the agency a fee for the debt collection effort. This fee may be deducted from the amounts collected.

History

KEY: accounts receivable, administrative offset
Date of Last Change: February 13, 2025
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 63A-3-310; 63A-3-504(2)(f)

R21-4 Debtor’s Request for Credit for Restitution Payments

Utah Admin. Code R21-4-1 Purpose

The purpose of this rule is to establish procedures for:

(1) a debtor to request a review of debt payments to determine if the debtor is eligible to receive credit for amounts still owed on their debt; and

(2) OSDC to:

(a) notify debtors;

(b) conduct reviews to determine if a debtor is eligible to receive credit; and

History

KEY: collector, installment
Date of Last Change: September 10, 2024
Authorizing, and Implemented or Interpreted Law: 63A-3-508(5)

Utah Admin. Code R21-4-2 Authority

This rule is established under Subsection 63A-3-508(5), which authorizes OSDC to make rules regarding the administration of Section 63A-3-508.

History

KEY: collector, installment
Date of Last Change: September 10, 2024
Authorizing, and Implemented or Interpreted Law: 63A-3-508(5)

Utah Admin. Code R21-4-3 Definitions

(1) "Agency management" means the manager of OSDC or an assistant director or director of the Department of Government Operations, Division of Finance.

(2) "Debt" means an account managed by OSDC arising from a single criminal judgment.

(3) "Debtor" means any person who currently owes, at one time owed, or believes that they owe any delinquent amounts to OSDC.

(4) "OSDC" means the Office of State Debt Collection, created under Section 63A-3-502.

(5) "Qualifying debt" means the same as defined in Subsection 63A-3-508(1)(c).

(6) "Request" or "request for review" means a written request for credit submitted in accordance with Subsection 63A- 3-508(2)(a).

(7) "Restitution" means the same as defined in Section 77-38b-102.

(8) "Voluntary payment" means the same as defined in Subsection 63A-3-508(1)(d).

History

KEY: collector, installment
Date of Last Change: September 10, 2024
Authorizing, and Implemented or Interpreted Law: 63A-3-508(5)

Utah Admin. Code R21-4-4 Notice to Debtors

As stated in Subsection 63A-3-508(4), OSDC shall make a reasonable effort to identify and send written notice to any debtor who may be eligible to receive credit.

(1) The notice does not guarantee a debtor will receive credit.

(2) The notice shall be sent by first-class mail to the debtor's last known address.

(a) Any notice returned to OSDC that has a forwarding address shall be noted, and another notice shall be sent to the forwarding address.

(b) Any notice returned without a forwarding address shall be noted and no further notice shall be sent.

(3) The notice shall contain language that states:

(a) that the debtor may be eligible for a credit toward amounts still owed according to the eligibility requirements listed in Section R21-4-6;

(b) that receiving the notice does not guarantee the debtor will receive credit; and

(c) that the debtor may choose to send a request for review. The notice shall include the list of requirements for sending a request for review as listed in Section R21-4-5.

History

KEY: collector, installment
Date of Last Change: September 10, 2024
Authorizing, and Implemented or Interpreted Law: 63A-3-508(5)

Utah Admin. Code R21-4-5 Requests for Review

(1) Once a year, a debtor may send a request for review to OSDC.

(2) Any request must be sent before May 1, 2026.

(3) A request must be sent either by the debtor or by a third party representative given permission by the debtor.

(4) In the request, the debtor must include their:

(a) full name;

(b) date of birth;

(d) email address;

(e) primary phone number;

(f) the last four digits of their social security number; and

(g) if available to the debtor, any specific case or account number the debtor believes to have made restitution payments to.

(5) The request must be sent by:

(a) mail to Office of State Debt Collection, P.O. Box 141001, Salt Lake City, UT 84114;

(b) email to osdccommon@utah.gov; or

History

KEY: collector, installment
Date of Last Change: September 10, 2024
Authorizing, and Implemented or Interpreted Law: 63A-3-508(5)

Utah Admin. Code R21-4-6 Eligibility Requirements

A debtor is considered eligible to receive credit if:

(1) they are eligible under Subsection 63A-3-508(2); and

(2) have made voluntary payments as described in Subsection 63A-3-508(3);

History

KEY: collector, installment
Date of Last Change: September 10, 2024
Authorizing, and Implemented or Interpreted Law: 63A-3-508(5)

Utah Admin. Code R21-4-7 Conducting a Review

(1) After a request is received, OSDC shall conduct a review to determine if the debtor:

(a) is eligible to receive credit; and

(b) has a qualifying debt to which a credit may be applied.

(2) After the review, OSDC shall reply in writing to the debtor.

(a) If OSDC approves the request, OSDC shall send a notice to the debtor that states:

(i) the total amount of credit applied to their debt; and

(ii) the remaining balance of each outstanding account owed by the debtor.

(b) If OSDC denies the request, OSDC shall send a denial notice to the debtor that states:

(i) the reason the request is denied, including at least one eligibility requirement that is not met or that there is no qualifying debt;

(ii) that the debtor has the right to appeal the decision; and

(iii) instructions on how to appeal the decision.

History

KEY: collector, installment
Date of Last Change: September 10, 2024
Authorizing, and Implemented or Interpreted Law: 63A-3-508(5)

Utah Admin. Code R21-4-8 The Right to Appeal

(1) To appeal a denial:

(a) the debtor must reply to the denial notice in writing; and

(b) the reply must be received by OSDC within 21 days of the date the denial was sent.

(2) If OSDC receives an appeal as described in Subsection R21-4-8(1), agency management must:

(a) review the appeal; and

(b) reply to the debtor, telling the debtor if the appeal is approved or denied.

(i) If the appeal is approved, the reply must include the information described in Subsection R21-4-7(2)(a).

(ii) If the appeal is denied, the reply must include the information described in Subsection R21-4-7(2)(b)(i).

(3) If an appeal is denied, the denial shall be considered the agency's final decision on that request.

History

KEY: collector, installment
Date of Last Change: September 10, 2024
Authorizing, and Implemented or Interpreted Law: 63A-3-508(5)

Utah Admin. Code R21-4-9 Applying Credit

(1) When OSDC determines that a debtor is eligible to receive credit and there are qualifying debts to which credit may be applied, a reviewer shall calculate how much credit the debtor may receive. This amount is called the potential credit amount.

(2) To calculate the potential credit amount, the reviewer shall:

(a) sum the amounts applied toward restitution from the debtor's voluntary payments; and

(b) multiply the sum by 75%.

(3) OSDC will create and maintain a list of potential qualifying debts, known internally as distribution codes.

(4) The reviewer shall adjust the debtor's account by applying credit toward any qualifying debts on the list up to the potential credit amount.

(5) If the potential credit amount exceeds the outstanding amounts of the qualifying debts, the qualifying debts shall be reduced to zero and the debtor may not receive a refund or any other compensation for the difference.

(6) Statutory fees, penalties, and interest assessed by OSDC are not qualifying debts.

History

KEY: collector, installment
Date of Last Change: September 10, 2024
Authorizing, and Implemented or Interpreted Law: 63A-3-508(5)

R23 Facilities Construction and Management

Utah Admin. Code R23-1-101 Scope of the Rules and Compliance by Using Agencies

(1) Rule R23-1 applies to procurements by the Division of Facilities Construction and Management. This includes the procurement of construction, architects, engineers, design services and any other professional services and procurements related to design or construction by the Division of Facilities Construction and Management as well as other procurement items within the rule authorization of the Division of Facilities Construction and Management. Using Agencies are required to comply with this rule to the extent required by the Utah Code.

(2) The statutory provisions governing the procurement referred to in Subsection R23-1-101(1) are provided in the Utah Procurement Code, Title 63G, Chapter 6a as well as Title 63A, Chapter 5b, Administration of State Facilities .

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-102 Definitions

Terms used in this rule are defined in Section 63G-6a-103 of the Utah Procurement Code. In addition:

(1) "Adequate Price" Competition means when a minimum of two competitive bids, proposals, or quotes are received from responsive bidders or offerors.

(2) "Acquiring Agency" is a conducting procurement unit subject to Section 63A-16-204 acquiring new technology or technology as therein defined.

(3) "Bid Bond" is an agreement, accompanied by a monetary commitment, by which a third party, the surety, accepts liability and guarantees that the bidder will not withdraw the bid. The bidder will furnish bonds in the required amount and if the contract is awarded to the bonded bidder, the bidder will accept the contract as bid, or else the surety will pay a specific amount.

(4) "Bid Security" means the deposit of cash, certified check, cashier's check, bank draft, money order, or bid bond submitted with a bid and serving to guarantee to the division that the bidder, if awarded the contract, will execute such contract in accordance with the bidding requirements and the contract documents.

(5) "Brand Name or Equal Specification" means a specification which uses a brand name specification to describe the standard of quality, performance, and other characteristics being solicited, and which invites the submission of equivalent products.

(6) "Brand Name Specification" means a specification identifying one or more products by manufacturer name, product name, unique product identification number, product description, SKU or catalog number.

(7) "Cost Analysis" means the evaluation of cost data to arrive at estimates of costs to be incurred, prices to be paid, costs to be reimbursed, or costs actually incurred.

(8) "Cost Data" means factual information concerning the cost of labor, material, overhead, and other cost elements which are expected to be incurred or which have been actually incurred by the contractor in performing the contract.

(9) "Director" means the director of the division, including, unless otherwise stated, the director's authorized designee.

(10) "Division" means the Division of Facilities Construction and Management established pursuant to Section 63A- 5b-301.

(11) "New Technology" means a technology innovation as defined in Section 63A-16-901.

(12) "Payment Bond" is a bond that guarantees payment for labor and materials expended on the contract.

(13) "Performance Bond" means a promise to pay the obligee, the division, a certain amount if the principal, contractor, fails to meet some obligation, such as fulfilling the terms of a contract. The performance bond protects the obligee, the division, against losses resulting from the principal's failure to meet the obligation. If the obligations are not met, the obligee, the division, will recover its losses via the performance bond.

(14) "Pricing Data" means factual information concerning prices for procurement items.

(15) "Record" shall have the meaning defined in Section 63G-2-103 of the Government Records Access and Management Act (GRAMA).

(16) "Solicitation," in addition to the definition in Subsection 63G-6a-103(82) also includes all documents, whether attached or incorporated by reference to the solicitation.

(17) "Technology" means any type of information technology defined in Subsection 63A-16-102(8).

(18) "Using Agency" means any state agency or any political subdivision of the state which utilizes the services procured under this Rule R23-1.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-103 Division is Issuing and Conducting Procurement Unit

The division is both the issuing and conducting procurement unit for procurements under this rule.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-104 Specifications

(1) Solicitation documents shall include specifications for the procurement items.

(2) Specifications shall be drafted with the objective of clearly describing the division's requirements and encouraging competition.

Specifications shall emphasize the functional or performance criteria necessary to meet the needs of the division.

(3) Persons with a conflict of interest, or who anticipate responding to the proposal for which the specifications are written, may not participate in writing specifications. The division may retain the services of an entity to assist in writing specifications, scopes of work, requirements, qualifications, or other components of a solicitation. However, the entity assisting in writing specifications shall not, at any time during the procurement process, be employed in any capacity by, nor have an ownership interest in, an individual, public or private corporation, governmental entity, partnership, or unincorporated association bidding on or submitting a proposal in response to the solicitation.

(a) Subsection R23-1-104(3) does not apply to the following:

(i) a design-build construction project;

(ii) provisions in a specification provided by the designer when the source of the specification is identified and it is not designed to be an impermissible sole source, a sole source that does not comply with the Utah Procurement Code and the applicable administrative rules; and

(iii) other procurements determined in writing by the director.

(b) Violations of Subsection R23-1-104(3) may result in:

(i) the bidder or offeror being declared ineligible for award of the contract;

(ii) the solicitation being cancelled;

(iii) termination of an awarded contract; or

(iv) any other action determined to be appropriate by the director.

(4) Brand Name or Equal Specifications.

(a) Brand name or equal specifications may be used when:

(i) "or equivalent" reference is included in the specification; and.

(ii) as many other brand names as practicable are also included in the specification.

(b) Brand name or equal specifications shall include a description of the particular design and functional or performance characteristics which are required. Specifications unique to the brands shall be described in sufficient detail that another person can respond with an equivalent brand.

(c) When a manufacturer's specification is used in a solicitation, the solicitation shall state the minimum acceptable requirements of an equivalent. When practicable, the division shall name at least three manufacturer's specifications.

(5) Sole Source Requirements for Brand Name Specifications:

(a) If only one brand can meet the requirement, the division shall conduct the procurement in accordance with Section 63G-6a-802 and shall solicit from as many providers of the brand as practicable; and

(b) If there is only one provider that can meet the requirement, the division shall conduct the procurement in accordance with Section 63G-6a-802.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-201 Director Appoint to Policy Board

The director shall appoint a representative to serve on the Utah State Procurement Policy Board.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-301 Relationship with the Division of Purchasing and General Services

(1) The division recognizes Part 3 of the Utah Procurement Code regarding the Chief Procurement Officer. The division may participate as needed or required with trainings provided by the Division of Purchasing and General Services.

(2) The director's responsibilities are provided in Title 63a, Chapter 5b, Administration of State Facilities .

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-401 Request for Information

In addition to the requirements of Part 4 of the Utah Procurement Code, a Request for Information may state the procedure for business confidentiality claims and other protections provided by the Utah Government Records and Access Management Act.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-501 Prequalification of Potential Vendors

General procurement provisions, including prequalification of potential vendors, approved vendor lists, and small purchases shall be conducted in accordance with the requirements set forth in Sections 63G-6a-506 and 63G-6a-507. All definitions in the Utah Procurement Code shall apply to Sections R23-1-501 through R23-1-502 unless otherwise specified in Rule R23-1. Sections R23-1-501 and R23-1-502 provide additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-502 Thresholds for Approved Vendor Lists

The division may establish approved vendor lists in accordance with the requirements of Section 63G-6a-507.

(1) Contracts or purchases from an approved vendor list may not exceed the following thresholds:

(a) Construction Projects: $3,500,000 per contract, for direct construction costs, including design and allowable furniture or equipment costs, awarded using an invitation for bids or a request for proposals; and

(b) Professional and General Services, including architectural and engineering services: $150,000.

(2) Thresholds for other approved vendor lists may be established by the director.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-503 Small Purchases or Commodities

Small purchases shall be conducted in accordance with the requirements set forth in Section 63G-6a-506. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

(1) "Small Purchase" means a procurement conducted by the division that does not require the use of a standard procurement process.

(2) Small Purchase thresholds for commodities:

(a) The "Individual Procurement" threshold is a maximum amount of $2,000 for a procurement item and

for individual procurement items costing up to $2,000, the division may select the best source by direct award and without seeking competitive bids or quotes;

(b) The single procurement aggregate threshold is a maximum amount of $10,000 for multiple procurement items purchased from one source at one time; and

(3) When practicable, the division shall use a rotation system or other system designed to allow for competition when using the small purchases process for commodities.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-504 Small Purchases Threshold for Architectural and Engineering Services

(1) The small purchase threshold for architectural or engineering services is a maximum amount of $150,000.

(2) Architectural or engineering services may be procured, up to a maximum of $150,000, by direct negotiation.

(3) The division shall follow the process described in Section 63G-6a-507 to prequalify potential vendors and if the division develops an approved vendor list, or Part 15 of the Utah Procurement Code for the selection of architectural and engineering services.

(4) The division shall include minimum specifications when using the small purchase threshold for architectural and engineering services.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-505 Small Purchases Threshold for Construction Projects

(1) The small construction project threshold is a maximum of $3,500,000 for direct construction costs, including design and allowable furniture or equipment costs,

(2) The division shall follow the process described in Section 63G-6a-507 to prequalify potential vendors and to develop an approved vendor list or other applicable selection methods described in the Utah Procurement Code for construction services.

(3) The division shall include minimum specifications when using the small purchases threshold for construction projects.

(4) The director may procure small construction projects up to a maximum of $50,000 by direct award without seeking competitive bids or quotes after documenting that all building code approvals, licensing requirements, permitting, and other construction related requirements are met. The awarded contractor must certify that they are capable of meeting the minimum specifications of the project.

(5) The director may procure small construction projects costing more than $50,000 up to a maximum of $150,000 by obtaining a minimum of two competitive quotes that include minimum specifications and shall award to the contractor with the lowest quote that meets the specifications after documenting that all applicable building code approvals, licensing requirements, permitting and other construction related requirements are met.

(6) The division shall procure construction projects over $150,000 using an invitation to bid, request for proposals, approved vendor list, or other approved source selection method provided in the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-506 Quotes for Small Purchases of Commodities from $1,000 to $50,000

The following applies to commodities:

(1) For procurement items where the cost is greater than $1,000 but up to a maximum of $10,000, the division shall get a minimum of two competitive quotes, which may be by email, phone, or verbal, that include minimum specifications and shall purchase the procurement item from the responsible vendor offering the lowest quote that meets the specifications.

(2) For procurement items where the cost is greater than $10,000 up to a maximum of $100,000, the division shall get a minimum of two competitive quotes, that include minimum specifications, which must be communicated to the proposed vendors in writing and shall purchase the procurement item from the responsible vendor offering the lowest quote that meets the specifications.

(3) For procurement items costing over $100,000, the division shall conduct an invitation for bids or other procurement process outlined in the Utah Procurement Code.

(4) The names of the vendors offering quotations and bids and the date and amount of each quotation or bid shall be recorded and maintained as a governmental record.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-507 Small Purchases of Services of Professionals, Providers, and Consultants

(1) The small purchase threshold for professional service providers and consultants is a maximum amount of $150,000.

(2) After reviewing the qualifications, the director may get professional services or consulting services up to a maximum of $150,000 by direct negotiation.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-601 Competitive Sealed Bidding

Competitive Sealed Bidding shall be conducted in accordance with the requirements set forth in Sections 63G-6a-601 through 63G-6a-608. All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule.

This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-602 Bidder Submissions

(1) The invitation for bids shall include the information required by Section 63G-6a-603 and shall also include a "Bid Form" or forms, which shall provide lines for each of the following:

(a) the bidder's bid price;

(b) the bidder's acknowledged receipt of addenda issued by the division;

(d) the bidder's signature.

(2) Bidders may be required to submit descriptive literature and product samples to assist the director in evaluating whether a procurement item meets the specifications and other requirements set forth in the invitation to bid.

(a) Product samples must be furnished free of charge unless otherwise stated in the invitation for bids, and if not destroyed by testing, will upon written request within any deadline stated in the invitation for bids, be returned at the bidder's expense. Samples must be labeled or otherwise identified as specified in the invitation for bids by the division.

(3) Section R23-1-703 shall apply to protected records.

(4) Bid, payment, and performance bonds or other security may be required for procurement items as set forth in the invitation for bids. Bid, payment, and performance bond amounts shall be as prescribed by applicable law or must be based upon the estimated level of risk associated with the procurement item and may not be increased above the estimated level of risk with the intent to reduce the number of qualified bidders.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-603 Pre-Bid Conferences and Site Visits

(1) Pre-bid conferences and site visits are mandatory unless this requirement is waived in writing by the director. Except as authorized in writing by the director, pre-bid conferences and site visits must require mandatory attendance by all bidders.

(a) A pre-bid conference may be attended via the following:

(i) attendance in person;

(ii) teleconference participation;

(iii) webinar participation; or

(iv) participation through other electronic media approved by the director.

(b) Mandatory site visits must be attended in person.

(c) All pre-bid conferences and site visits must be attended by an authorized representative of the person or vendor submitting a bid and as may be further specified in the procurement documents.

(d) The solicitation must state that failure to attend a mandatory pre-bid conference shall result in the disqualification of any bidder that does not have an authorized representative attend the entire duration of the mandatory pre-bid conference.

(e) The solicitation must state that failure to attend a mandatory site visit shall result in the disqualification of any bidder that does not have an authorized representative attend the entire duration of the mandatory site visit.

(f) At the discretion of the conducting procurement unit, audio or video recordings of pre-bid conferences and site visits may be used.

(g) Listening to or viewing audio or video recordings of a mandatory pre-bid conference or site visit may not be substituted for attendance.

(2) If a pre-bid conference or site visit is held, the division shall maintain:

(a) an attendance log including the name of each attendee, the entity the attendee is representing, and the attendee's contact information;

(b) minutes, if there are any, of the pre-bid conference or site visit;

(d) any verbal modifications made to any of the solicitation documents. All verbal modifications to the solicitation documents shall be reduced to writing.

(3) The division shall publish as an addendum to the solicitation, the information in Subsection R23-1-603(2)(a).

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-604 Addenda to Invitation for Bids

Before the submission of bids, the division may issue addenda which may change any aspect of the invitation for bids.

(1) Addenda shall be distributed within a reasonable time to allow prospective bidders to consider the addenda in preparing bids.

(2) After the due date and time for submitting bids, at the discretion of the director, addenda to the invitation for bids may be limited to bidders that have submitted bids, provided the addenda does not make a substantial change to the invitation for bids that, in the opinion of the director, likely would have impacted the number of bidders responding to the invitation for bids.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-605 Bids and Modifications to a Bid Received After the Due Date and Time

(1) Bids and modifications to a bid submitted electronically or by physical delivery, after the established due date and time, will not be accepted for any reason, except as determined in Subsection R23-1-605(5).

(2) When submitting a bid or modification electronically, bidders must allow sufficient time to complete the online forms and upload documents. The solicitation will end at the closing time posted in the electronic system. If a bidder is in the middle of uploading a bid when the closing time arrives, the system will stop the process and the bid or modification to the bid will not be accepted.

(3) When submitting a bid or modification to a bid by physical delivery, U.S. Mail, courier service, hand-delivery, or other physical means, bidders are solely responsible for meeting the deadline. Delays caused by a delivery service or other physical means will not be considered as an acceptable reason for a bid or modification to a bid being late.

(4) All bids or modifications to bids received by physical delivery will be date and time stamped by the division.

(5) To the extent that an error by the division results in a bid or modification to a bid not being received by the established due date and time, the bid or modification to a bid shall be accepted as being on time.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-606 Errors in Bids

The following shall apply to the correction or withdrawal of an inadvertently erroneous bid, or the cancellation of an award or contract that is based on an unintentionally erroneous bid. A decision to permit the correction or withdrawal of a bid or the cancellation of any award or a contract under this rule shall be supported in a written document, signed by the director.

(1) Errors attributed to a bidder's error in judgment may not be corrected.

(2) Provided that there is no change in bid pricing or the cost evaluation formula, errors not attributed to a bidder's error in judgment may be corrected if it is in the best interest of the division and correcting the mistake maintains the fair treatment of other bidders.

(a) Examples include:

(i) missing signatures;

(ii) missing acknowledging receipt of an addendum;

(iii) missing copies of professional licenses, bonds, insurance certificates, provided that copies are submitted by the deadline established by the director to correct this mistake;

(iv) typographical errors;

(v) mathematical errors not affecting the total bid price; or

(vi) other errors deemed by the director to be immaterial or inconsequential in nature.

(3) The director shall approve or deny, in writing, a bidder's request to correct or withdraw a bid.

(4) Corrections or withdrawal of bids shall be conducted in accordance with Section 63G-6a-604.

(5) If there is any deficiency or failure to submit a required subcontractor list or bid bond, the division may request that the bidder who is not in compliance, submit the required subcontractor list or bid bond by 5 p.m. of the next business day after notice is provided by the division. Failure to cure the deficiency or failure to submit any required subcontractor list or bid bond by 5 p.m. of the next business day after notice is provided by the division shall make the bidder ineligible for consideration of award of the contract.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-607 Errors Discovered After the Award of Contract

(1) Errors discovered after the award of a contract may only be corrected if, after consultation with the director and the Attorney General's Office, it is determined that the correction of the mistake does not violate the requirements of the Utah Procurement Code or this rule.

(2) Any correction made under this subsection must be supported by a written determination signed by the director.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-608 Re-solicitation of a Bid

(1) Re-solicitation of a bid may occur only if the director determines that:

(a) a material change in the scope of work or specifications has occurred;

(b) procedures outlined in the Utah Procurement Code were not followed;

(d) there was a lack of adequate competition; or

(e) other reasons exist that are in the best interests of the division.

(2) Re-solicitation may not be used to avoid awarding a contract to a qualified vendor in an attempt to steer the award of a contract to a favored vendor.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-609 Only One Bid Received

(1) If only one responsive and responsible bid is received in response to an invitation for bids, an award may be made to the single bidder if the director determines that the price submitted is fair and reasonable, and that other prospective bidders had a reasonable opportunity to respond, or there is not adequate time for re-solicitation. Otherwise, the bid may be rejected and:

(a) a new invitation for bids solicited;

(b) the procurement cancelled; or

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-610 Multiple or Alternate Bids

(1) Multiple or alternate bids will not be accepted, unless otherwise specifically required or allowed in the invitation for bids.

(2) If a bidder submits multiple or alternate bids that are not requested in the invitation for bids, the director may only accept the bidder's primary bid and shall not accept any other bids constituting multiple or alternate bids.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-611 Methods to Resolve Tie Bids

(1) In accordance with Section 63G-6a-608, in the event of tie bids, the contract shall be awarded to the procurement item offered by a Utah resident bidder, provided the bidder indicated on the invitation to bid form that it is a Utah resident bidder.

(2) If a Utah resident bidder is not identified, an acceptable method when there are two tie bids shall be for the director to toss a coin in the presence of a minimum of three witnesses with the firm first in alphabetical order being "heads."

(3) Other methods to resolve a tie bid described in Section 63G-6a-608 may be used as deemed appropriate by the director.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-612 Publication of Award

(1) The division shall, on the day on which the award of a contract is announced, make available to each bidder and to the public a notice that includes:

(a) the name of the bidder to which the contract is awarded and the prices of the procurement items; and

(b) the names and the prices of each bidder to which the contract is not awarded.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-613 Technology Acquisitions

(1) The division in an invitation for bids may state that at any time during the term of a contract, that the division may undertake a review in consultation with the Utah Technology Advisory Board and the Department of Technology Services to determine whether a new technology exists that is in the best interest of the using agency, taking into consideration cost, life- cycle, references, current customers, and other factors and that the using agency reserves the right to:

(a) negotiate with the contractor for the new technology, provided the new technology is substantially within the original scope of work;

(b) terminate the contract in accordance with the existing contract terms and conditions; or

(2) Subject to Section 63G-6a-802.3, the trial use or testing of new technology may be permitted for a duration not to exceed the maximum time necessary to evaluate the technology.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-614 Subcontractor Lists

The division may not consider, or award to, any bid submitted by a bidder if the bidder fails to submit a subcontractor list meeting the requirements of Section 63A-5b-605 and this rule. For purposes of Section R23-1-614, the definitions of Section 63A-5b-605 shall be applicable. Within 24 hours after the bid opening time, not including Saturdays, Sundays, and state holidays, the apparent lowest three bidders, as well as other bidders that desire to be considered, shall submit to the division a list of their first-tier subcontractors that are over the dollar amounts stated in Subsection 63A-5b-605(3)(a)(ii).

(1) The subcontractor list shall include the following:

(a) the type of work the subcontractor is to perform;

(b) the subcontractor's name;

(d) the license number of the subcontractor issued by the Utah Division of Professional Licensing, if such license is required under Utah law; and

(e) the impact that the selection of any alternate included in the solicitation would have on the information required by Section R23-1-614.

(2) The contract documents for a specific project may require that additional information be provided regarding any contractor, subcontractor, or supplier.

(3) If pursuant to Subsection 63A-5b-605(7), a bidder intends to perform the work of a subcontractor or get at a later date, a bid from a qualified subcontractor, the bidder shall:

(a) comply with the requirements of Section 63A-5b-605 and

(b) clearly list the bidder on the subcontractor list form.

(4) Errors on the subcontractor list will not disqualify the bidder if the bidder can demonstrate that the error is a result of the bidder's reasonable reliance on information that was provided by the subcontractor and was used to meet the requirements of this rule, and, provided that this does not result in an adjustment to the bidder's contract amount.

(5) Pursuant to Sections 63A-5b-605 and 63G-2-305, information contained in the subcontractor list submitted to the division shall be classified public except for the amount of subcontractor bids which shall be classified as protected until a contract has been awarded to the bidder at which time the subcontractor bid amounts shall be classified as public. During the time that the subcontractor bids are classified protected, they may only be made available to procurement and other officials involved with the review and approval of bids.

(6) Change of Listed Subcontractors. 24 hours after the bid opening, the contractor may change the contractor's listed subcontractors only after receiving written permission from the director based on complying with all the following:

(a) The contractor has established in writing that the change is in the best interest of the state and that the contractor establishes an appropriate reason for the change, which may include the following reasons:

(i) the original subcontractor has failed to perform, or is not qualified or capable of performing; or

(ii) the subcontractor has requested in writing to be released.

(b) The circumstances related to the request for the change do not show any bad faith in the original listing of the subcontractors.

(c) The contractor shall comply with any requirement set forth by the director to ensure that the process used to select a new subcontractor does not give rise to bid shopping.

(d) Any increase in the cost of the subject subcontractor's work shall be borne by the contractor.

(e) Any decrease in the cost of the subject subcontractor's work shall result in a deductive change order being issued for the contract for such decreased amount.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-615 Bids Over Budget

(1) In the event all bids for a construction project exceed available funds as certified by the appropriate fiscal officer, and the low responsive and responsible bid does not exceed those funds by more than 5%, the director may, where time or economic considerations preclude re-solicitation of work of a reduced scope, negotiate an adjustment of the bid price, including changes in the bid requirements, with the low responsive and responsible bidder to bring the bid within the amount of available funds.

(2) As an alternative to the procedure authorized in Subsection (1), when all bids for a construction project exceed available funds as certified by the director, and the director finds that due to time or economic considerations the re-solicitation of a reduced scope of work would not be in the interest of the state, the director may negotiate an adjustment in the bid price using one of the following methods:

(a) reducing the scope of work in specific subcontract areas and supervising the re-bid of those subcontracts by the low responsive and responsible bidder;

(b) negotiating with the low responsive and responsible bidder for a reduction in scope and cost; or

(c) revising the contract documents and soliciting new bids only from bidders who submitted a responsive bid on the original solicitation. This re-solicitation may have a shorter bid response time than otherwise required.

(3) The use of one of the alternative procedures provided for in Subsection (2) must provide for the fair and equitable treatment of bidders.

(4) The director's written determination, including a brief explanation of the basis for the decision shall be included in the contract file.

(5) This rule does not restrict in any way, the right of the director to use any emergency or sole source procurement provisions, or any other applicable state law or rule which may be used to award the construction project.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-701 Conducting the Request for Proposals Standard Procurement Process

Request for proposals shall be conducted in accordance with the requirements set forth in Sections 63G-6a-701 through 63G-6a-712. All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-702 Content of the Request for Proposals

(1) In addition to the requirements set forth under Section 63G-6a-703, the request for proposals solicitation shall include:

(a) a description of the format that offerors are to use when submitting a proposal including any required forms; and

(b) instructions for submitting price.

(2) The division is responsible for all content contained in the request for proposals solicitation documents.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-703 Protected Records

(1) An offeror wishing to claim that information in a proposal is a "trade secret" as that term is defined in Section 63G- 2-305 and a protected record under Section 63G-2-305 or commercial information or nonindividual financial information and a protected record under Section 63G-2-305 shall, when submitting the offeror's proposal, submit to the division:

(a) a written claim of business confidentiality and a concise statement of the reasons supporting the claim for business confidentiality on the business confidentiality claim form provided on the division's website; and

(b) in addition to the offeror's unredacted proposal, a copy of the offeror's proposal with the confidential business information redacted.

(i2) Pricing may not be classified as business confidential and will be considered public information.

(3) An entire proposal may not be designated as "PROTECTED," "CONFIDENTIAL," or "PROPRIETARY."

(4) Failure to provide a claim of business confidentiality pursuant to Subsection (a) or redacted proposal pursuant to Subsection (b) shall result in the offeror's proposal being classified as an unprotected public record.

(5) Provided that an offeror complies with the requirements of Section 63G-2-309 and this rule for protecting confidential business information, in the event of a request for the offeror's proposal under Section 63G-2-204, the division will provide the requestor with a copy of the offeror's redacted proposal.

(6) Provided that an offeror complies with the requirements of Section 63G-2-309 and this rule for protecting confidential business information, in the event of a request for the offeror's proposal under Section 63G-2-204, the division will not provide the requestor with a copy of the offeror's unredacted proposal without notification to the offeror as provided in Section 63G-6a-309 and then only as provided in Section 63G-2-309.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-704 Pre-Proposal Conferences and Site Visits

(1) Pre-proposal conferences and site visits are mandatory unless this requirement is waived in writing by the director. Except as authorized in writing by the director, pre-proposal conferences and site visits must require mandatory attendance by all offerors.

(a) A pre-proposal conference may be attended via the following:

(i) attendance in person;

(ii) teleconference participation;

(iii) webinar participation; or

(iv) participation through other electronic media approved by the director.

(b) Mandatory site visits must be attended in person.

(c) All pre-proposal conferences and site visits must be attended by an authorized representative of the person or vendor submitting a proposal and as may be further specified in the procurement documents.

(d) The solicitation must state that failure to attend a mandatory pre-proposal conference shall result in the disqualification of any offeror that does not have an authorized representative attend the entire duration of the mandatory pre- proposal conference.

(e) The solicitation must state that failure to attend a mandatory site visit shall result in the disqualification of any offeror that does not have an authorized representative attend the entire duration of the mandatory site visit.

(f) At the discretion of the division, audio or video recordings of pre-proposal conferences and site visits may be used.

(g) Listening to or viewing audio or video recordings of a mandatory pre-proposal conference or site visit may not be substituted for attendance.

(2) If a pre-proposal conference or site visit is held, the division shall maintain:

(a) an attendance log including the name of each attendee, the entity the attendee is representing, and the attendee's contact information;

(b) minutes, if there are any, of the pre-proposal conference or site visit;

(c) copies of any documents distributed by the division to the attendees at the pre-proposal conference or site visit; and

(d) any verbal modification made to any of the solicitation documents. All verbal modifications to the solicitation documents shall be reduced to writing.

(3) The division shall publish as an addendum to the solicitation, the information in Subsection R23-1-708(2)(a).

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-705 Addenda to Request for Proposals

(1) Addenda to the request for proposals may be made for:

(a) making changes to:

(i) the scope of work;

(ii) the schedule;

(iii) the qualification requirements;

(iv) the criteria;

(v) the weighting; or

(vi) other requirements of the Request for Proposal.

(b) Addenda shall be published within a reasonable time before the deadline that proposals are due, to allow prospective offerors to consider the addenda in preparing proposals. Publication at least five calendar days before the deadline that proposals are due shall be deemed a reasonable time. Minor addenda and urgent circumstances may require a shorter period.

(2) After the deadline for submitting proposals, the division may, at the discretion of the director, issue a request for proposals addendum only to offerors that have submitted proposals, if the addendum does not change the request for proposals in a way that, in the opinion of the director, would likely have affected the number of proposals submitted in response to the request for proposals had the addendum been included in the original request for proposals.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-706 Modification or Withdrawal of Proposal Before Deadline

Proposals may be modified or withdrawn before the established due date and time for responding.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-707 Proposals and Modifications, Delivery and Time Requirements

(1) Except as provided in Subsection R23-1-707(5), proposals and modifications to a proposal submitted electronically or by physical delivery, after the established due date and time, will not be accepted for any reason.

(2) When submitting a proposal or modification to a proposal electronically, offerors must allow sufficient time to complete the online forms and upload documents. The solicitation will end at the closing time posted in the electronic system. If an offeror is in the middle of uploading a proposal when the closing time arrives, the system should stop the process and the proposal or modification to a proposal will not be accepted.

(3) When submitting a proposal or modification to a proposal by physical delivery, U.S. Mail, courier service, hand- delivery, or other physical means, offerors are solely responsible for meeting the deadline. Delays caused by a delivery service or other physical means will not be considered as an acceptable reason for a proposal or modification to a proposal being late.

(4) All proposals or modifications to proposals received by physical delivery will be date and time stamped by the division.

(5) To the extent that an error by the division results in a proposal or modification to a proposal not being received by the established due date and time, the proposal or modification to a proposal shall be accepted as being on time.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-708 Errors in Proposals

The following shall apply to the correction or withdrawal of an unintentionally erroneous proposal, or the cancellation of an award or contract that is based on an unintentionally erroneous proposal. A decision to permit the correction or withdrawal of a proposal or the cancellation of an award or a contract shall be supported in a written document, signed by the director.

(1) Mistakes attributed to an offeror's error in judgment may not be corrected.

(2) Unintentional errors not attributed to an offeror's error in judgment may be corrected if it is in the best interest of the division and correcting the error maintains the fair treatment of other offerors.

(a) Examples include:

(i) missing signatures;

(ii) missing acknowledgement of an addendum;

(iii) missing copies of professional licenses, bonds, insurance certificates, provided that copies are submitted by the deadline established by the director to correct this mistake;

(iv) typographical errors;

(v) mathematical errors not affecting the total proposed price; or

(vi) other errors deemed by the director to be immaterial or inconsequential in nature.

(3) Unintentional errors discovered after the award of a contract may only be corrected if, after consultation with the director and the Attorney General's Office, it is determined that the correction of the error does not violate the requirements of the Utah Procurement Code or this rule.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-709 Evaluation of Proposals

The evaluation of proposals shall be conducted in accordance with Part 7 of the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-710 Correction or Withdrawal of Proposal, Subcontractor List, and Bond errors

(1) In the event an offeror submits a proposal that on its face appears to be impractical, unrealistic, or otherwise in error, the director may contact the offeror to either confirm the proposal, permit a correction of the proposal, or permit the withdrawal of the proposal, in accordance with Section 63G-6a-704.6.

(2) Offerors may not correct errors, deficiencies, or incomplete responses in a proposal that has been determined to be not responsible, not responsive, or that does not meet the mandatory requirements stated in the request for proposals in accordance with Section 63G-6a-703.

(3) If there is any deficiency or failure to submit a required subcontractor list or bid bond, the division may request that the offeror who is not in compliance submit the required subcontractor list or bid bond by 5 p.m. of the next business day after notice is provided by the division. Failure to cure the deficiency or failure to submit any required subcontractor list or bid bond by 5 p.m. of the next business day after notice is provided by the division shall make the offeror ineligible for consideration of award of the contract.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-711 Interviews and Presentations

(1) Interviews and presentations may be held as outlined in the request for proposals.

(2) Offerors invited to interviews or presentations shall be limited to those offerors meeting requirements specified in the request for proposals.

(3) Representations made by the offeror during interviews or presentations shall become an addendum to the offeror's proposal and shall be documented. Representations must be consistent with the offeror's original proposal and may only be used for purposes of clarifying or filling in gaps in the offeror's proposal.

(4) The director shall establish a date and time for the interviews or presentations and shall notify eligible offerors of the procedures. Interviews and presentations will be at the offeror's expense.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-712 Best and Final Offers

Best and Final Offers shall be conducted in accordance with Section 63G-6a-707.5. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

(1) The best and final offers process is an optional step in the evaluation phase of the request for proposals process in which offerors are requested to change their proposals.

(a) An evaluation committee may request best and final offers when:

(i) no single proposal addresses all the specifications;

(ii) all or a significant number of the proposals received are unclear and the evaluation committee requires further clarification;

(iii) additional information is needed for the evaluation committee to make a decision;

(iv) the differences between proposals in one or more categories are too slight to distinguish;

(v) all cost proposals are too high or over the budget; or

(vi) multiple contract awards are necessary to achieve regional or statewide coverage for a procurement item under a request for proposals and there are insufficient cost proposals within the budget to award the number of contracts needed to provide regional or statewide coverage.

(2) Only offerors meeting the qualifications, or scores described in the request for proposals are eligible to respond to best and final offers.

(3) Proposal modifications submitted in response to a request for best and final offers may only address the specific issues or sections of the request for proposals described in the request for best and final offers.

(4) Offerors may not use the best and final offers process to correct deficiencies in their proposals not addressed in the request for best and final offers issued by the division.

(5) When a request for best and final offers is issued to reduce cost proposals, offerors shall submit itemized cost proposals clearly indicating the tasks or scope reductions that can be accomplished to bring costs within the available budget.

(a) The cost information of one offeror may not be disclosed to competing offerors during the best and final offers process and further, such cost information shall not be shared with other offerors until the contract is awarded.

(b) The division shall ensure that auction tactics are not used in the discussion process, including discussing and comparing the costs and features of other proposals.

(6) The best and final offers process may not be conducted as part of the contract negotiation process. It may only be conducted during the evaluation phase of the request for proposals process.

(7) The division may not use the best and final offers process to allow offerors a second opportunity to respond to the entire request for proposals.

(8) If a proposal modification is made orally during the interview or presentation process, the modification must be confirmed in writing.

(9) A request for best and final offers issued by the division shall:

(a) comply with all public notice requirements provided in Section 63G-6a-112;

(b) include a deadline for submission that allows offerors a reasonable opportunity for the preparation and submission of their responses; and

(10) If an offeror does not submit a best and final offer, its immediately previous proposal will be considered its best and final offer.

(11) Unsolicited best and final offers will not be accepted from offerors.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-713 Best Value Analysis Exception: Construction Manager/General Contractor

(1) An evaluation committee is not required to explain how a recommended proposal provides the best value to the division under Section 63G-6a-707 if the contract is awarded solely on the qualifications of the construction manager/general contractor and the management fee described in Section 63G-6a-707 provided:

(a) a competitive process is maintained by the issuance of a request for proposals that requires the offeror to provide, at a minimum:

(i) a management plan;

(ii) references;

(iii) statements of qualifications; and

(iv) a management fee if requested by the division; and

(b) the management fee contains only the following:

(i) preconstruction phase services;

(ii) monthly supervision fees for the construction phase; and

(iii) overhead and profit for the construction phase.

(2) The evaluation committee may, as described in the solicitation, weight and score the management fee as a fixed rate or a fixed percentage of the estimated contract value.

(3) The management fee may not be requested by the division if the management fee is not part of the criteria for the evaluation committee. The division may use a fee table for this management fee.

(4) The contract awarded must be in the best interest of the division.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-714 Only One Proposal Received

(1) If only one proposal is received in response to a request for proposals, the evaluation committee may:

(a) conduct a review to determine if:

(i) the proposal meets the requirements;

(ii) pricing and terms are reasonable; and

(iii) the proposal is in the best interest of the division.

(b) if the evaluation committee determines the proposal meets the requirements, pricing and terms are reasonable, and the proposal is in the best interest of the division, the division may make an award.

(2) If an award is not made, the division may either cancel the procurement or re-solicit to obtain additional proposals.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-715 Publicizing Awards

(1) In addition to the requirements of Section 63G-6a-112, the following shall be disclosed after receipt of a GRAMA request and payment of any lawfully enacted and applicable fees:

(a) the contracts entered as a result of the selection and the successful proposals, except for those portions that are to be non-disclosed under Section R23-1-703;

(b) the unsuccessful proposals, except for those portions that are to be non-disclosed under Section R23-1-703;

(d) the names of the members of any selection committee, reviewing authority;

(e) the final scores used by the selection committee to make the selection, except that the names of the individual scorers shall not be associated with their individual scores or rankings; and

(f) the written justification statement supporting the selection, except for those portions that are to be non-disclosed under Section R23-1-703.

(2) After due consideration and public input, the following has been determined by the division to impair governmental procurement proceedings or give an unfair advantage to any person proposing to enter into a contract or agreement with a governmental entity, and will not be disclosed by the governmental entity at any time to the public including under any GRAMA request:

(a) the names of individual scorers or evaluators in relation to their individual scores or rankings;

(b) any individual scorer's or evaluator's notes, drafts, and working documents;

(d) past performance and reference information, which is not provided by the offeror, and which is obtained as a result of the efforts of the governmental entity. To the extent such past performance or reference information is included in the written justification statement; it is subject to public disclosure.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-801 Sole Source - Award of Contract Without Competition

(1) Sole source procurements shall be conducted in accordance with the requirements set forth in Section 63G-6a-802. All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule. This administrative rule provides additional requirements and procedures and should be used in conjunction with the Utah Procurement Code.

(2) A sole source procurement may be conducted if:

(a) there is only one source for the procurement item;

(b) the award to a specific supplier, service provider, or contractor is in accordance with the requirements imposed by the source of the funds used to procure the procurement item; or

(c) the procurement item is needed for trial use or testing to determine whether the procurement item will benefit the procurement unit.

(3) An urgent or unexpected circumstance or requirement for a procurement item does not justify the award of a sole source procurement.

(4) Requests for a procurement to be conducted as a sole source shall be submitted in writing to the director for approval.

(5) The sole source request shall be submitted to the director and shall include:

(a) a description of the procurement item;

(b) the total dollar value of the procurement item, including, when applicable, the actual or estimated full life-cycle cost of maintenance and service agreements;

(d) an authorized signature of the requester;

(e) unless the sole source procurement is conducted under Subsection R23-1-801(2)(b) or (c), research completed by the requester documenting that there are no other competing sources for the procurement item; and

(f) any other information requested by the director.

(6) a sole source request form containing all the requirements of Subsection R23-1-801(5) may be available on the division's website or may be described in specifications or other contract documents.

(7) Except as provided in Subsection (b), sole source procurements over $50,000 shall be published in accordance with Section 63G-6a-112.

(a) Sole source procurements under $50,000 are not required to be published but may be published at the discretion of the director.

(b) The requirement for publication of notice for a sole source procurement is waived:

(i) for public utility services;

(ii) if the award to a specific supplier, service provider, or contractor is in accordance with the requirements imposed by the source of the funds used to procure the procurement item;

(iii) when the circumstances of the request are clear that there can only be one source;

(iv) as provided in Section R23-1-806; or

(v) for other circumstances as determined in writing by the director.

(8) A person may contest a sole source procurement before the closing of the public notice period set forth in Section 63G-6a-112, when public notice is required under Section R23-1-801 by submitting the following information in writing to the director:

(a) the name of the contesting person; and

(b) a detailed explanation of the challenge, including documentation showing that there are other competing sources for the procurement item.

(9) Upon receipt of information contesting a sole source procurement, the director shall investigate to determine the validity of the challenge and make a written determination either supporting or denying the challenge.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-802 Trial Use or Testing of a Procurement Item, Including New Technology

The trial use or testing of a procurement item, including new technology, shall be conducted as set forth in Section 63G-6a-802.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-803 Alternative Procurement Methods

(1) The director may utilize alternative procurement methods to acquire procurement items such as those listed in this section when it is determined in writing by the director, to be more practicable or advantageous to the division:

(a) used vehicles;

(b) livestock;

(d) speaker honorariums;

(e) hosting out-of-state and international dignitaries;

(f) international promotion of the state; and

(g) any other procurement item for which a standard procurement method is not reasonably practicable.

(2) When making this determination, the director may take into consideration whether:

(a) the potential cost of preparing, soliciting, and evaluating bids or proposals is expected to exceed the benefits normally associated with such solicitations;

(b) the procurement item cannot be acquired through a standard procurement process; and

(3) If it is so determined, the director may elect to utilize an alternative procurement method which may include any of the following:

(a) informal price quotations;

(b) direct negotiations; and

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-804 Emergency Procurement

(1) Emergency procurements shall be conducted in accordance with the requirements set forth in Section 63G-6a-803, and this rule.

(2) An emergency procurement is a procurement procedure where the division may obtain a procurement item without using a standard competitive procurement process.

(3) Emergency procurements are limited to those procurement items necessary to mitigate the emergency.

(4) While a standard procurement process is not required under an emergency procurement, when practicable, the division should seek to get as much competition as possible through use of phone quotes, internet quotes, limited invitations to bid, or other selection methods while avoiding harm, or risk of harm, to the public health, safety, welfare, property, or impairing the ability of a public entity to function or perform required services.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-805 Declaration of "Official State of Emergency."

Upon a declaration of a state of emergency by the governor under the Utah Emergency Management Act, the director shall implement the division's Continuity of Operations Plan, or COOP. When activated, the division shall follow the procedures outlined in the plan and take appropriate actions as directed by the governor.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-806 Procurement Items Used for or in Connection with the Establishment of a State Store

Notwithstanding anything in Rule R23-1 to the contrary, the director may award a contract for a procurement item without engaging in a standard procurement process if the director determines in writing that the procurement item is intended to be used for, or in connection with the establishment of, a state store, as defined in Section 32B-1-102.

(1) Except as provided in Subsection (b), notice of a procurement under this Section R23-1-806 shall be published in accordance with Section 63G-6a-112.

(2) Notice of a procurement under Subsection 63G-6a-802(1)(d) or this rule is not required if:

(a) the cost of the procurement does not exceed $50,000; or

(b) the procurement item is procured from an entity that is developing the state store or developing real property on which the state store will be located or developing real property adjacent to the real property where the state store will be located.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-901 General Provisions

An invitation for bids, a request for proposals, or other solicitation may be cancelled before the deadline for receipt of bids, proposals, or other submissions, when it is in the best interests of the division as determined by the director. In the event a solicitation is cancelled, the reasons for cancellation shall be made part of the contract file and shall be available for public inspection and the division may:

(1) re-solicit new bids or proposals using the same or revised specifications; or

(2) withdraw the solicitation for the procurement items.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-902 Re-solicitation

(1) In the event there is no initial response to an initial solicitation, the director may:

(a) contact the known supplier community to determine why there were no responses to the solicitation;

(b) research the potential vendor community; and

(2) If the division has modified the solicitation documents and after the re-issuance of a solicitation, there is still no competition or there is insufficient competition, the director, may:

(a) require the division to further change the procurement documents; or

(b) cancel the solicitation for the procurement items.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-903 Cancellation Before Award

(1) Solicitations may be cancelled before award but after opening all bids or offers when the director determines in writing that:

(a) inadequate or ambiguous specifications were cited in the solicitation;

(b) the specifications in the solicitation have been or must be revised;

(d) the solicitation did not provide for consideration of all factors of cost to the division or using agency, such as cost of transportation, warranties, service, or maintenance;

(e) bids or offers received show that the needs of the division or using agency can be satisfied by a less expensive procurement item differing from that in the solicitation;

(f) except as provided in Section 63G-6a-606, all otherwise acceptable bids or offers received are at unreasonable prices, or only one bid or offer is received, and the director cannot determine the reasonableness of the bid price or cost proposal;

(g) the responses to the solicitation were not independently arrived at in open competition, were collusive, or were submitted in bad faith; or

(h) no responsive bid or offer has been received from a responsible bidder or offeror.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-904 Alternative to Cancellation

In the event administrative difficulties are encountered before award but after the deadline for submissions that may delay award beyond the bidders' or offerors' acceptance periods, the bidders or offerors may be requested, before expiration of their bids or offers, to extend in writing the acceptance period, with consent of sureties, if any, to avoid the need for cancellation.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-905 Continuation of Need

If the solicitation has been cancelled for the reasons specified in Subsection R23-1-903(1)(f), (g) or (h) and the director has made the written determination in Subsection R23-1-903(1) and the division has an existing contract, the division may permit an extension of the existing contract under Section 63G-6a-802.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-906 Rejections and Suspension or Debarment

(1) The division may reject any bids, offers or other submissions, in whole or in part, as may be specified in the solicitation, when it is in the best interest of the division. In the event of a rejection of any bids, offers or other submissions, in whole or in part, the reasons for rejection shall be made part of the contract file and shall be available for public inspection.

(2) Bids, offers, or other submissions, received from any person that is suspended, debarred, or otherwise ineligible as of the due date for receipt of bids, proposals, or other submissions shall be rejected.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-907 Rejection for Nonresponsibility or Nonresponsiveness

(1) Subject to Section 63G-6a-903, the director shall reject a bid or offer from a bidder or offeror determined to be nonresponsible. A responsible bidder or offeror is defined in Subsection 63G-6a-103(74).

(2) In accordance with Subsection 63G-6a-606(3) the director may not accept a bid that is not responsive. Responsive is defined in Subsection 63G-6a-103(75).

(3) If there is any deficiency or failure to submit a required subcontractor list or bid bond, the division may request that the bidder or offeror who is not in compliance, submit the required subcontractor list or bid bond by 5 p.m. of the next business day after notice is provided by the division. Failure to cure the deficiency or failure to submit any required subcontractor list or bid bond by 5 p.m. of the next business day after notice is provided by the division, shall make the bidder or offeror nonresponsive and therefore ineligible for consideration of award of the contract.

(4) The originals of all rejected bids, offers, or other submissions, and all written findings with respect to such rejections, shall be made part of the contract file and available for public inspection.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-908 Debarment or Suspension from Consideration for Award of Contracts -- Process -- Causes for Debarment -- Appeal

The procedures for a debarment or suspension from consideration for award of contracts, including appellate rights, are provided in Section 63G-6a-904. Upon any suspension or debarment, the person that is suspended or debarred shall be considered nonresponsible and ineligible for the award of contracts by the division in accordance with the determination of suspension or debarment.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1001 Providers of State Products

(1) In addition to the reciprocal preference requirements contained in Section 63G-6a-1002 for the providers of procurement items produced, manufactured, mined, grown, or performed in Utah, Section R23-1-10 outlines the process for award of a contract when there is more than one equally low preferred bidder. All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

(2) In the event there is more than one equally low preferred bidder, the director shall consider the preferred bidders as tie bidders and shall follow the process specified in Section 63G-6a-608 and Section R23-1-611.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1002 Preference for Resident Contractors

(1) In addition to the reciprocal preference requirements contained in Section 63G-6a-1003 for resident Utah contractors, this rule outlines the process for award of a contract when there is more than one equally low preferred resident contractor.

(2) In the event there is more than one equally low preferred resident contractor, the director shall consider the preferred resident contractors as tie bidders and shall follow the process specified in Sections 63G-6a-608 and R23-1-611.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1003 Exception for Federally Funded Contracts

This section does not apply to the extent it conflicts with federal requirements relating to a procurement that involves the expenditure of federal assistance, federal contract funds, or federal financial participation funds.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1101 Definitions

(1) When used in this rule, the terms "bid," "bidder," and "bid security" apply to all procurements, including non- construction procurements, when the procurement documents, regardless of the procurement type, require securities or bonds.

(2) All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1102 Bid Security Requirements for Projects

(1) Application. The requirements for bid security and bonds under this Section R23-1-11 shall apply as follows:

(a) for the division, the award of construction contracts where the face amount of the contract is $100,000 or more.

(b) For other state agencies that are required to use the same or similar documents as the division for their construction contracts, the award of construction contracts where the face amount of the contract is $50,000 or more, unless the director, in writing, approves a $100,000 or more requirement for bid security and bonds similar to the division, based on:

(i) The director's finding that the agency has a selection process for such contracts that are under $100,000, that ensures a responsible, financially solvent contractor is selected; and

(ii) that the agency has the financial capability to absorb the potential responsibility that can occur due to the lack of the bid security and bonding requirements for the contract under $100,000.

(c) At any time, the division or any other state agency can require acceptable bid security as well as performance and payment bonds on contracts that are for amounts below the standard requirements set forth in this rule.

(2) Acceptable Bid Security. The term "bid" as used in this rule shall also be deemed to apply to "offer."

(a) Invitations for bids and requests for proposals shall require the submission of acceptable bid security in an amount equal to at least 5% of the bid, when the bid is submitted. If a contractor fails to accompany its bid with acceptable bid security, the bid shall be deemed nonresponsive, unless this failure is found to be nonsubstantial.

(b) If acceptable bid security is not furnished in accordance with Subsection R23-1-907(3), the bid shall be rejected as nonresponsive, unless the failure to comply is determined by the director to be nonsubstantial. Failure to submit an acceptable bid security may be deemed nonsubstantial if:

(i) the bid security is submitted on a form other than the division's required bid bond form and the bid security meets all other requirements including being issued by a surety meeting the requirements of Subsection (5);

(ii) the contractor provides acceptable bid security by 5 p.m. of the next business day after notice is provided by the division of the defective bid security; or

(iii) only one bid is received.

(3) Payment and Performance Bonds. Except as provided in this subsection, payment and performance bonds in the amount of 100% of the contract price are required for all contracts over $100,000. These bonds shall cover the division and be delivered by the contractor to the division at the same time the contract is executed. If a contractor fails to deliver the required bonds, the contractor's bid shall be found nonresponsive, and its bid security shall be forfeited.

(4) Forms of Bonds. Bid bonds, payment bonds, and performance bonds must be from sureties meeting the requirements of Subsection R23-1-1102(5) and must be on:

(a) for a bid bond, the most current version of American Institute of Architects Document A310 Bid Bond, or equivalent; and

(b) for a performance bond or payment bond, the most current version of American Institute of Architects form A312 Performance and Payment Bond, or equivalent.

(5) Surety firm requirements. All surety firms must be authorized to do business in Utah and be listed in the U.S. Department of the Treasury Circular 570, Companies Holding Certificates of Authority as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring Companies for an amount not less than the amount of the bond to be issued. A co-surety may be utilized to satisfy this requirement.

(6) Waiver. The director may waive any bonding requirements set forth in this rule if the director finds circumstances in which the director considers any of the bonds to be unnecessary to protect the division. Any such waiver shall be stated in writing, explaining the circumstances why the bonds are not necessary to protect the division, and the waiver shall be made part of the project file.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1201 Required Contract Clauses

(1) The division shall comply with Section 63G-6a-1202 in establishing standard contract clauses. The division will establish standard contract clauses to assist the division and to help contractors and potential contractors to understand applicable requirements. These standard contract clauses may be modified as needed to meet the requirements of the particular project.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1202 Establishment of Terms and Conditions

The division may use the Standard Terms and Conditions adopted by the Division of Purchasing and General Services for a particular procurement with modifications.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1203 Leases of Personal Property

Leases of personal property are subject to the following:

(1) Leases are subject to Section 63G-6a-1209 and all other laws or rules applicable to the lease.

(2) Executive Branch Procurement Unit Leases with Purchase Option. A purchase option in a lease may be exercised if the lease containing the purchase option was awarded under an authorized procurement process. Before exercising this option, the division shall:

(a) investigate alternative means of procuring comparable procurement items; and

(b) compare estimated costs and benefits associated with the alternative means and the exercise of the option, for example, the benefit of buying new state of the art data processing equipment compared to the estimated, initial savings associated with exercise of a purchase option.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1204 Requirements for Cost or Pricing Data

(1) For contracts that expressly allow price adjustments, cost or pricing data shall be required in support of a proposal leading to the adjustment of any contract pricing.

(2) Cost or pricing data exceptions:

(a) need not be submitted when the terms of the contract state established market indices, catalog prices or other benchmarks are used as the basis for contract price adjustments or when prices are set by law or rule;

(b) if a contractor submits a price adjustment higher than established market indices, catalog prices or other benchmarks established in the contract, the director may request additional cost or pricing data; or

(c) the director may waive the requirement for cost or pricing data provided a written determination is made supporting the reasons for the waiver. A copy of the determination shall be kept in the contract file.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1205 Defective Cost or Pricing Data

(1) If defective cost or pricing data was used to adjust a contract price, the vendor and the division may enter into discussions to negotiate a settlement.

(2) If a settlement cannot be negotiated, either party may seek relief as provided by applicable laws and rules.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1206 Cost Analysis

Cost analysis includes the verification of cost data. Cost analysis may be used to evaluate:

(1) specific elements of costs;

(2) total cost of ownership and life-cycle cost;

(3) supplemental cost schedules;

(4) market basket cost of similar items;

(5) the necessity for certain costs;

(6) the reasonableness of allowances for contingencies;

(7) the basis used for allocation of indirect costs; and

(8) the reasonableness of the total cost or price.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1207 Inspections

Circumstances under which the division may perform inspections include inspections of the contractor's manufacturing or production facility or place of business, or any location where the work is performed to determine:

(1) whether the definition of "responsible," as defined in Subsection 63G-6a-103(74) and in the solicitation documents, has been met or are capable of being met; and

(2) if the contract is being performed in accordance with its terms.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1208 Access to Contractor's Manufacturing or Production Facilities

The division may enter a contractor's or subcontractor's manufacturing or production facility or place of business to:

(1) inspect procurement items for acceptance by the division pursuant to the terms of a contract;

(2) audit cost or pricing data pursuant to Section 63G-6a-1206 or audit the books and records of any contractor or subcontractor pursuant to Section 63G-6a-1206.3; and

(3) investigate in connection with an action to debar or suspend a person from consideration for award of contracts.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1209 Inspection of Supplies and Services

Contracts may provide that the director or division may inspect procurement items at the contractor's or subcontractor's facility and perform tests to determine whether the procurement items conform to solicitation and contract requirements.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1210 Conduct of Inspections

(1) No inspector may change any provision of the specifications or the contract without written authorization of the director. The presence or absence of an inspector or an inspection shall not relieve the contractor or subcontractor from any requirements of the contract.

(2) When an inspection is made, the contractor or subcontractor shall provide without charge all reasonable facilities and assistance for the safety and convenience of the person performing the inspection or testing.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1301 Purpose

The purpose of this rule is to comply with Section 63G-6a-1302 All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1302 Construction Management Rule

As required by Section 63G-6a-1302, this rule contains provisions applicable to:

(1) selecting the appropriate method of management for construction contracts;

(2) documenting the selection of a particular method of construction contract management; and

(3) the selection of a construction manager/general contractor.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1303 Application

Sections R23-1-1302 through R23-1-1307 shall apply to all procurements of construction.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1304 Methods of Construction Contract Management

(1) This rule contains provisions applicable to the selection of the appropriate type of construction contract management.

(2) It is intended that the director have sufficient flexibility in formulating the construction contract management method for a particular project to fulfill the needs of the division. The methods for achieving the purposes set forth in this rule are not to be construed as an exclusive list.

(3) Before choosing the construction contracting method to use, a careful assessment must be made by the director of the requirements the project. The director shall consider, at a minimum, the following factors:

(a) when the project must be ready to be occupied;

(b) the type of project, for example, housing, offices, labs, heavy or specialized construction;

(d) the location of the project;

(e) the size, scope, complexity, and economics of the project;

(f) the amount and type of financing available for the project, including whether the budget is fixed or what the source of funding is, for example, general or special appropriation, federal assistance moneys, general obligation bonds or revenue bonds, lapsing or non-lapsing status and legislative intent language;

(g) the availability, qualification, and experience of the division's personnel to be assigned to the project and how much time the division's personnel can devote to the project;

(h) the availability, qualifications and experience of outside consultants and contractors to complete the project under the various methods being considered;

(i) the results achieved on similar projects in the past and the methods used; and

(j) the comparative advantages and disadvantages of the construction contracting method and how they might be adapted or combined to fulfill the needs of the using agencies.

(5) The following descriptions are provided for the more common construction contracting management methods which may be used by the division. The methods described are not all mutually exclusive and may be combined on a project. These descriptions are not intended to be fixed in respect to all construction projects. In each project, these descriptions may be adapted to fit the circumstances of that project.

(a) Single Prime (General) Contractor. The single prime general contractor method is typified by one business, acting as a general contractor, contracting with the division to timely complete an entire construction project in accordance with drawings and specifications provided by the division. Generally, the drawings and specifications are prepared by an architectural or engineering firm under contract with the division. Further, while the general contractor may take responsibility for successful completion of the project, much of the work may be performed by specialty contractors with whom the general contractor has entered into subcontracts.

(b) Design-Build. In a design-build project, an entity, often a team of a general contractor and a designer, contract directly with the division to meet the division's requirements as described in a set of performance specifications or a program. Design responsibility and construction responsibility both rest with the design-build contractor. This method can include instances where the design-build contractor supplies the site as part of the package.

(c) Construction Manager/General Contractor (Construction Manager at Risk). The division may contract with the construction manager early in a project to assist in the development of a cost-effective design. In a Construction Manager/General Contractor (CM/GC) method, the CM/GC becomes the general contractor and is at risk for all the responsibilities of a general contractor for the project, including meeting the specifications, complying with applicable laws, rules, and regulations, that the project will be completed on time and will not exceed a specified maximum price.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1305 Selection of Construction Method Documentation

The director shall include in the contract file a written statement describing the facts that led to the selection of a particular method of construction contract management for each project.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1306 Special Provisions Regarding Construction Manager/General Contractor

(1) In the selection of a construction manager/general contractor, a standard procurement process as defined in Section 63G-6a-103 may be used or an exception allowed under Part 8 of the Utah Procurement Code.

(2) When the construction manager/general contractor enters into any subcontract that was not specifically included in the construction manager/general contractor's cost proposal, the construction manager/general contractor shall procure the subcontractors by using a standard procurement process as defined in Section 63G-6a-103 or an exception to the requirement to use a standard procurement process, described in Part 8 of the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1307 Special Provisions Regarding Design-Build

(1) For state building construction projects, the division may use a design-build provider as one method of construction contracting management.

(2) A design-build contract may include a provision for obtaining the site for the construction project.

(3) A design-build contract or a construction manager/general contractor contract may include provision by the contractor of operations, maintenance, or financing.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1308 Drug and Alcohol Testing Required for State Contracts: Definitions

The rules applicable to the division for drug and alcohol testing are in Rule 23-7 of the Utah Administrative Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1401 Procurement of Design-Build Transportation Project Contracts

The Utah Department of Transportation is the rulemaking authority for rules under Subsection 63G-6a-1402(3)(a)(ii) governing the procurement of design-build transportation projects and under Subsection 63G-6a-1403(2)(c) establishing requirements for the procurement of tollway development agreements.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1501 Architect-Engineer Procurement Process, General Process

(1) Application. Except as otherwise provided in Section 63G-6a-1502, Part 15 of the Utah Procurement Code apply to every procurement of services within the scope of the practice of architecture as defined by Section 58-3a-102, or professional engineering as defined in Section 58-22-102. All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

(2) Architect-Engineer Evaluation Committee. The director shall designate members of the Architect-Engineer Evaluation Committee. The evaluation committee must consist of at least three members who are qualified under Section 63G- 6a-1503.

(3) Request for Statement of Qualifications. The division shall issue a public notice for a request for statement of qualifications to rank architects or engineers. The division shall:

(a) state in the request for statement of qualifications:

(i) the type of procurement item to which the request for statement of qualifications relates;

(ii) the scope of work to be performed;

(iii) the instructions and the deadline for providing information in response to the request for statement of qualifications; and

(iv) criteria used to evaluate statements of qualifications including:

(A) basic information about the person or firm;

(B) experience and work history;

(D) qualifications and certification;

(E) licenses and certifications;

(F) applicable performance ratings;

(G) financial statements; and

(H) other pertinent information.

(b) Key personal identified in the statement of qualifications may not be changed without the advance written approval of the division.

(4) Not include Cost in Response. Architects and engineers shall not include price or a cost component in a response to a request for statement of qualifications.

(5) Evaluation of Statement of Qualifications. The evaluation committee shall evaluate statements of qualifications in accordance with Section 63G-6a-1503.5 to rank or score architects or engineers without considering price or a cost component.

(6) Negotiation and Award of Contract. The director shall negotiate a contract with the most qualified firm for the required services at compensation determined to be fair and reasonable based on the division's rate table or as may be reasonably adjusted by the director for the particular scope of work, location, or other aspects of the services.

(7) Failure to Negotiate Contract with the Highest Ranked Firm.

(a) If fair and reasonable compensation, contract requirements, or contract documents cannot be agreed upon with the highest ranked firm, the director shall advise the firm in writing of the termination of negotiations.

(b) Upon failure to negotiate a contract with the highest ranked firm, the director shall proceed in accordance with Section 63G-6a-1505.

(8) Notice of Award.

(a) The director shall award a contract to the highest ranked firm with which the fee negotiation was successful.

(b) Notice of the award shall be made available to the public.

(9) Written Justification Statements. The division shall issue a statement justifying the ranking of the firm with which fee negotiation was successful.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1502 Disclosure of Submittals, Performance Evaluations, and References

(1) Except as provided in this rule, submittals shall be open to public inspection after notice of the selection results.

(2) The classification of records as protected, and the treatment of such records shall be as provided in Section R23-1- 703.

(3) The division finds that it is necessary to maintain the confidentiality of performance evaluations and reference information to avoid competitive injury and to encourage those persons providing the information to respond in an open and honest manner without fear of retribution. Accordingly, records containing performance evaluations and reference information are classified as protected records under Subsection 63G-2-305(6) and shall be disclosed only to those persons involved with the performance evaluation, the architect or engineer that the information addresses and persons involved with the review and selection of submittals. The division may, however, provide reference information to other governmental entities for use in their procurement activities and to other parties when requested by the architect or engineer that is the subject of the information. Any other disclosure of such performance evaluations and reference information shall only be as required by applicable law.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1503 Publicizing Selections

(1) Notice. After the selection of the successful firm, notice of the selection shall be available in the principal office of the division in Taylorsville, Utah and may be available on the internet.

(2) Information Disclosed. The following shall be disclosed with the notice of selection:

(a) the ranking of the firms;

(b) the names of the selection committee members;

(c) the final scores used by the selection committee to make the selection, except that the names of the individual scorers shall not be associated with their individual scores; and

(d) the written justification statement supporting the selection.

(3) Information Classified as Protected. After due consideration and public input, the following has been determined by the division to impair governmental procurement proceedings or give an unfair advantage to any person proposing to enter into a contract with the division and shall be classified as protected records:

(a) the names of individual selection committee scorers in relation to their individual scores or rankings; and

(b) non-public financial statements, subject to Sections 63G-2-309 and R23-1-703.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1504 Performance Evaluation

(1) The division shall evaluate the performance of the architectural or engineering firm and shall provide an opportunity for the using agency to comment on the division's evaluation.

(2) This evaluation shall become a part of the record of that architectural or engineering firm within the division. The architectural or engineering firm shall be provided a copy of its evaluation at the end of the project and may enter its response in the file.

(3) Confidentiality of the evaluation information shall be addressed as provided in Sections R23-1-1502 and R23-1- 1503.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1601 Conduct

Protests shall be conducted in accordance with the requirements set forth in Sections 63G-6a-1601 through 13G-6a- 603. All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1602 Verification of Legal Authority

A person filing a protest may be asked to verify that the person has legal authority to file a protest on behalf of a public or private corporation, limited liability company, sole proprietorship, partnership, or unincorporated association.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1603 Intervention in a Protest

(1) Application. This rule contains provisions applicable to intervention in a protest, including who may intervene and the time and manner of intervention.

(2) Period of Time to File. After a timely protest is filed in accordance with the Utah Procurement Code, the Protest Officer shall notify awardees of the subject procurement and may notify others of the protest. A Motion to Intervene must be filed with the Protest Officer no later than ten days from the date such notice is sent by the Protest Officer. Only those Motions to Intervene made within the time prescribed in this rule will be considered timely. The division and using agency are automatically considered a Party of Record and need not file any Motion to Intervene.

(3) Contents of a Motion to Intervene. A copy of the Motion to Intervene shall also be mailed or emailed to the person protesting the procurement.

(4) Any Motion to Intervene must state, to the extent known, the position taken by the person seeking intervention and the basis in fact and law for that position. A Motion to Intervene must also state the person's interest in sufficient factual detail to demonstrate that:

(a) the person seeking to intervene has a right to participate which is expressly conferred by statute or by rule, order, or other authority; or

(b) the person seeking to intervene has or represents an interest which may be directly affected by the outcome of the proceeding, including any interest as a:

(i) consumer;

(ii) customer;

(iii) competitor;

(iv) security holder of a party; or

(v) the person's participation is in the public interest.

(5) Granting of Status. If no written objection to the timely Motion to Intervene is filed with the Protest Officer within seven calendar days after the Motion to Intervene is received by the protesting person, the person seeking intervention becomes a party at the end of this seven-day period. If an objection is timely filed, the person seeking intervention becomes a party only when the motion is expressly granted by the Protest Officer based on a determination that a reason for intervention exists as stated in this rule. Notwithstanding this rule, an awardee of the procurement that is the subject of a protest will not be denied their Motion to Intervene, regardless of its content, unless it is not timely filed with the Protest Officer.

(6) Late Motions. If a Motion to Intervene is not timely filed, the motion shall be denied by the Protest Officer.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1701 Statutory and Rule Requirements

Appeals to a protest decision shall be conducted in accordance with the requirements set forth in Sections 63G-6a-1701 through 63G-6a-1705. Sections R33-117-101 through R33-117-105 shall also apply.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1801 Process

(1) A person who receives an adverse decision, or the division may appeal a decision of a procurement appeals panel to the Utah Court of Appeals within seven days after the day on which the decision is issued.

(2) All appeals to the Utah Court of Appeals are subject to the requirements set forth in Section 63G-6a-1802.

(3) The division may only appeal a procurement appeals panel decision in accordance with Subsection 63G-6a- 1802(2).

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-1901 Encouraged to Get Legal Advice from Legal Counsel

(1) All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

(2) Part 19 of the Utah Procurement Code, Sections 63G-6a-901 through 63G-6a-1911 contain provisions regarding:

(a) limitations on challenges of:

(i) a procurement;

(ii) a procurement process;

(iii) the award of a contract relating to a procurement;

(iv) a debarment; or

(v) a suspension; and

(b) the effect of a timely protest or appeal;

(d) the effect of earlier determinations by employees, agents, or other persons appointed by the procurement unit;

(e) the effect of a violation found after award of a contract;

(f) the effect of a violation found before the award of a contract;

(g) interest rates; and

(h) a listing of determinations that are final unless they are arbitrary and capricious or clearly erroneous.

(3) Due to the complex nature of protests and appeals, any person involved in the procurement process, protest, or appeal, is encouraged to seek advice from the person's own legal counsel.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2001 General Provisions Related to Records

General provisions related to records are in Part 20 of the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2101 Cooperative Purchasing

Cooperative purchasing shall be conducted in accordance with the requirements set forth in Section 63G-6a-2105.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2201 Reserved

Part 22 of Title 63G, Chapter 6a, Utah Procurement Code, did not exist at the point in time that this rule was amended. At such time as Part 22 of the Utah Procurement Code contains statutory language, the division will propose corresponding rules, as appropriate, pursuant to the Utah Administrative Rulemaking Act.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2301 Reserved

Part 23 of Title 63G, Chapter 6a, Utah Procurement Code, did not exist at the point in time that this rule was amended. At such time as Part 23 of the Utah Procurement Code contains statutory language, the division will propose corresponding rules, as appropriate, pursuant to the Utah Administrative Rulemaking Act.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2401 Unlawful Conduct

Unlawful conduct shall be governed in accordance with the requirements set forth in Sections 63G-6a-2401 through 63G-6a-2407. All definitions in the Utah Procurement Code shall apply to this rule unless otherwise specified in this rule. This administrative rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2402 Laws and Executive Orders Pertaining to Gifts, Meals, and Gratuities for Executive Branch Procurement Professionals

A division employee classified as a "Procurement Professional" shall be governed by:

(1) Part 24 of the Utah Procurement Code, "Unlawful Conduct and Penalties:"

(2) Executive Order EO/002/2014 issued by the Governor (http://www.rules.utah.gov/execdocs/2014/ExecDoc155325.htm);

(3) Title 67, Part 16 "Utah Public Officers' and Employees' Ethics Act;"

(4) Section 76-8-105, "Receiving or soliciting a Bribe or Bribery by a Public Servant;" and

(5) any other applicable law.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2403 Laws and Executive Orders Pertaining to Gifts, Meals, and Gratuities for Executive Branch Employees

A division employee not classified as a "Procurement Professional" shall be governed by:

(1) Executive Order EO/002/2014 issued by the Governor (http://www.rules.utah.gov/execdocs/2014/ExecDoc155325.htm);

(2) Title 67, Part 16 "Utah Public Officers' and Employees' Ethics Act;"

(3) Section 76-8-105, "Receiving or soliciting a Bribe or Bribery by a Public Servant;" and

(4) any other applicable law.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2404 Socialization with Vendors and Contractors

(1) A division procurement professional shall not:

(a) participate in social activities with vendors or contractors that will interfere with the proper performance of the division procurement professional's duties;

(b) participate in social activities with vendors or contractors that will lead to unreasonably frequent disqualification of the division procurement professional from the procurement process; or

(c) participate in social activities with vendors or contractors that would appear to a reasonable person to undermine the division procurement professional's independence, integrity, or impartiality.

(2) If a division procurement professional participates in a social activity prohibited under Subsection R23-1-2404(1) or has a close personal relationship with a vendor or contractor, the division procurement professional shall promptly notify their supervisor and the supervisor shall take the appropriate action, which may include removal of the division procurement professional from the procurement or contract administration process that is affected.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2405 Financial Conflict of Interests Prohibited

(1) A procurement conflict of interest is a situation in which the potential exists for a division employee's personal financial interests, or for the personal financial interests of a division employee's family member, to influence, or have the appearance of influencing, the division employee's judgment in the execution of the division employee's duties and responsibilities when conducting a procurement or administering a contract.

(2) To keep the integrity of the division's procurement process, a division employee may not take part in any procurement process, contracting or contract administration decision:

(a) relating to the division employee or a family member of the division employee; or

(b) relating to any entity in which the division employee or a family member of the division employee is an officer, director or partner, or in which the division employee or a family member of the division employee owns or controls 10% or more of the stock of such entity or holds or directly or indirectly controls an ownership interest of 10% or more in such entity.

(3) If a procurement process, contracting or contract administration matter arises relating to a division employee or a family member of division employee, the division employee must advise the division employee's supervisor of the relationship, and must be recused from any discussions or decisions relating to the procurement, contracting or administration matter. The division employee must also comply with all disclosure requirements in Title 67 Chapter 16, Utah Public Officers and Employees' Ethics Act.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

Utah Admin. Code R23-1-2406 Professional Relationships and Social Acquaintances Not Prohibited

It is not a violation for a division employee who participates in discussions or decisions relating to the procurement, contracting or administration process to have a professional relationship or social acquaintance with a person, contractor or vendor responding to a solicitation, or that is under contract with the state, provided that there is compliance with Section R33- 124-107.

History

KEY: contracts, procurement, public buildings
Date of Last Change: August 8, 2024
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63G-2-101 et seq.; 63G-6a-101 et seq.

R23-3 Planning, Programming, Request for Capital Development Projects and Operation and Maintenance Reporting for State Owned Facilities

Utah Admin. Code R23-3-1 Purpose and Authority

(1) This rule establishes policies and procedures for the authorization, funding, and development of programs for capital development and capital improvement projects and the use and administration of the planning fund.

(2) The director's authority to administer the planning process for state facilities is contained in Section 63A-5b-501.

(3) The statute governing the planning fund is contained in Section 63A-5b-503.

(4) The director's authority to make rules for programming and program documents is set forth in Subsection 63A-5b- 502(3).

(5) The director's authority to make rules for the division or the director to perform the division or director's duties is set forth in Subsection 63A-5b-305(2)(c).

(6) This rule provides the standards and requirements required by Subsection 63A-5b-402(3).

(7) The director's authority to require agencies to report operation and maintenance expenditures is set forth in Subsection 63A-5b-702(2)(f).

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-2 Definitions

(1) "Agency" means as defined in Subsection 63A-1-103(1).

(2) "Capital Development Project" is defined in Section 63A-5b-401.

(3) "Capital Improvement Project" is defined in Section 63A-5b-401.

(4) "Director" means the director of the division, including unless otherwise stated, the director's authorized designee.

(5) "Division" means the Division of Facilities Construction and Management established pursuant to Section 63A-5b- 301.

(6) "Planning Fund" means the revolving fund created pursuant to Section 63A-5b-503.

(7) "Program Document" is defined in Section 63A-5b-502.

(8) "Programming" is defined in Section 63A-5b-502.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-3 When a Program Document is Required

(1) For capital development projects, a program document must be completed before the design may begin unless the director determines that a program document is not needed for that specific project. Examples of capital development projects that may not require a program document include land purchases, building purchases requiring little or no remodeling, and projects repeating a previously used design.

(2) For capital improvement projects, the director shall determine whether the nature of the project requires that a program document be prepared.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-4 Authorization of Programming

(1) An agency shall receive approval from the director before the agency begins programming for a new facility that requires legislative approval under Section 63A-5b-404.

(2) When requesting the director's approval, the agency shall justify the need for initiating the programming process at that point in time and also address the level of support for funding the project soon after the program document is completed.

(3) The director may approve the programming of a new facility before the Legislature makes an appropriation for the new facility under Subsection 63A-5b-406(4)(c). When the program is funded by the agency, programming funds may be reimbursed from an appropriation if, at a later time, the Legislature funds the programming.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-5 Funding of Programs

Programming may be funded from one of the following sources.

(1) Funds appropriated for that purpose by the Legislature.

(2) Funds provided by the agency.

(a) This would typically be the funding source for the development of a program document before the Legislature funds the project.

(b) Funds advanced by agencies for programming costs may be included in the project budget request, but no assurance can be given that project funds will be available to reimburse the agency.

(c) Agencies that advance funds for programming that would otherwise lapse may not be reimbursed in a subsequent fiscal year.

(3) If an agency can demonstrate to the director that there is no other funding source for programming for a project that is likely to be funded in the upcoming legislative session, it may request to borrow funds from the planning fund as provided for in Section R23-3-8.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-6 Administration of Programming

(1) The development of a program document shall be administered by the division in cooperation with the requesting agency unless the director authorizes the requesting agency to administer the programming.

(2) This section does not apply to projects that are exempt from the division's administration pursuant to Subsection 63A-5b-604(6).

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-7 Restrictions of Programming Firm

(1) The division may in its sole discretion based on the interest of the State, determine whether a programming firm or person may be able to participate in any of the design or other similar aspects of a project.

(2) If there is any restriction of a programming firm to participate in future selections of a project, the division, shall provide this restriction in any competitive solicitation, if there is one, which may be issued for selecting a programming firm. If there is no solicitation for the selection of the programming firm such as sole source, small purchase, emergency procurement, then the division may simply provide any restriction of the firm's future participation in any other aspect of the project, by placing the restriction in the contract.

(3) The division may terminate or suspend programming and design contracts at any time consistent with the provisions of the contract.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-8 Use and Reimbursement of Planning Fund

(1) The planning fund may be used for the purposes stated in Section 63A-5b-503 including the development of:

(a) facility master plans;

(b) program documents; and

(c) building evaluations or studies to determine the feasibility, scope, and cost of capital development and capital improvement requests.

(2) Expenditures from the planning fund must be approved by the director.

(3) The planning fund shall be reimbursed from the next funded or authorized project for that agency that is related to the purposes for which the expenditure was made from the planning fund.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-9 Development and Approval of Master Plans

(1) For each major campus of state owned buildings, the agency with primary responsibility for operations occurring at the campus shall, in cooperation with the division, develop and maintain a master plan that reflects the current and projected development of the campus.

(2) The purpose of the master plan is to encourage long term planning and to guide future development.

(3) Master plans for campuses and facilities not covered by Subsection (1) may be developed when the division and the agency determine that a master plan is necessary or appropriate.

(4) The initial master plan for a campus, and any substantial modifications thereafter, shall be presented to the director for approval.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-10 Standards and Requirements for a Capital Development Project Request, Including a Feasibility Study

(1) The director shall establish a form for the consideration of capital development projects which provides the following:

(a) the type of request, including whether it is, in whole or part, state funded, non-state or private funded, or whether it is non-state or private funded with an operations and maintenance request;

(b) defines the appropriateness and the project scope including proposed square footage;

(c) the proposed cost of the project including the preliminary cost estimate, proposed funding, the previous state funding provided, as well as other sources;

(d) the proposed ongoing operating budget funding, new program costs, and new full-time employees for the operations and maintenance and other programs;

(e) an analysis of current facilities and why the proposed facility is needed;

(f) a project executive summary of why the project is needed including the purpose of the project, the benefits to the State, how it relates to the mission of the entity and related aspects;

(g) the feasibility and planning of the project that includes how it corresponds to the applicable master plan, the economic impacts of the project, pedestrian, transportation, and parking issues, various impacts including economic and community impacts, the extent of site evaluation, utility, and infrastructure concerns and all other aspects of a customary feasibility study for a project of the particular type, location, size, and magnitude;

(h) any land banking requests; and

(i) any other federal or state statutory or rule requirements related to the project.

(2) The form referred to in Subsection (1) shall also include the scoring criteria and weighting of the scores to be used in the division's prioritization process, including:

(a) existing building deficiencies and life safety concerns;

(b) essential program growth;

(d) project need, including the improved program effectiveness and support of critical programs or initiatives;

(e) the availability of alternative funding sources that does not include funding from the Utah Legislature; and

(f) weighting for all the criteria as published in the Five Year Building Program for each agency as published and submitted to the Utah Legislature for the General Session immediately preceding the prioritization of the division unless the director has approved a different criteria or weighting system.

(3) The division shall verify the completion and accuracy of the feasibility study referred to in this rule.

(4) An institution of higher education described in Subsection 63A-5b-102(6) shall comply with Section 53B-2a-117 or 53B-22-204, as applicable and the division shall comply with Section 63A-5b-403.

(5) An agency may submit an initial capital development request to the division no later than the third Monday of July before the Utah Legislative Session that the request is related.

(6) An agency shall use best efforts to modify any submitted initial capital development request which was submitted to the division, no later than the last Monday of September before the Utah Legislative Session that the request is related. Notwithstanding, the director reserves the right to modify the request at any time. Any modification under this rule shall be for a correction, or to better meet the standards or requirements of this rule.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-11 Standards and Requirements Related to Operations and Maintenance of State Owned Facilities

(1) No later than October 1 of each calendar year, each agency shall report operations and maintenance expenditures for state owned facilities covering the prior fiscal year to the director in accordance with Section 63A-5b-702 and this rule.

(2) The facility maintenance standards shall include utility metering requirements to track the utility costs as well as all other necessary requirements to monitor facility maintenance costs. Culinary Irrigation metering is included and should be reported per Section 63A-5b-1108.

(3) The adopted facility management standards including annual reporting requirements shall be published on the division website.

(4) The director shall oversee the conducting of facility maintenance audits for state owned facilities.

(5) Each agency shall create operations and maintenance programs in accordance with this rule and have it included in the agency institutional line items. On or before September 1, 2025, and each September 1 of every following year, each agency shall revise the agency's budget to comply with Section 63A-5b-702 and this rule, including the inclusion of the amount the agency received and expended on operations and maintenance for the immediately preceding fiscal year. The director may request when it is in the interest of the division to understand the amount of operations and maintenance funding available for a building, that an agency provide the information of the amounts received and expended on a per-building basis.

(6) The director in the annual capital needs request sent to the agencies, shall provide an adjustment for inflationary costs of goods and services for the previous 12 months from the issuance of the annual needs request. When the annual report of each agency is submitted to the Office of the Legislative Fiscal Analyst and the Governor's Office of Management and Budget, it shall include the review and adjustment for inflationary costs of goods and services. All matters in this subsection shall be in accordance with Subsection 63A-5b-402(3) and this rule.

(7) The report by the agencies to the director shall also include the actual cost for operations and management requests for a new facility, when applicable.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

Utah Admin. Code R23-3-12 Operations and Maintenance Standards, Facilities Maintenance Programs, and Standards

The purpose of these programs and standards is to outline the minimum requirements for maintaining state owned facilities and infrastructures in a manner that will maximize the usefulness and cost effectiveness of these facilities in enhancing the quality of life of Utah state employees, citizens, and visitors. Additional work may be required to satisfy code or statutory requirements. All agencies and institutions shall comply and will be audited against these standards by the division. Exempt agencies are to review their maintenance programs against these standards and to report the degree of compliance for each of their individual building level or complexes to the Legislature through the division. All Agencies and institutions shall comply with the adopted editions of the International Building Code, International Fire Code, and other applicable codes in all new construction, remodels, or additions to existing facilities. All Agencies and institutions shall follow the requirements of Occupational Safety and Health Administration (OSHA) and Utah Occupational Safety and Health (UOSH).

(1) Documentation.

(a) As-Built Drawings and Operations and Maintenance Manuals.

(i) At least one copy of the Operations and Maintenance Manuals shall be maintained at the facility or complex. Electronic or hard copies are acceptable.

(ii) At least one copy of the architectural, mechanical, and electrical as-built drawings shall be maintained at the facility or complex. Electronic or hard copies are acceptable.

(iii) A mechanism shall be provided whereby as-built drawings are promptly updated upon changes in the structural, mechanical, electrical, or plumbing systems.

(iv) As-built drawings shall be reviewed periodically to ensure that they reflect the current building or infrastructure configuration to be maintained at the facility or complex.

(v) Reserve electronic or hard copies of all building documentation shall be archived in an appropriate and separate location from the facility.

(vi) Customer service surveys shall be made available onsite.

(b) The agency and institution shall report to the division the current and accurate O&M costs tracked to the individual building level for any facility measuring 3,000 GSF or greater. Locations consisting of multiple facilities that individually do not meet the minimum GSF requirement shall be required to report O&M costs at the campus or complex level. Individual building O&M costs shall be reported between October 1 and December 31, of each year.

(i) All operations and maintenance expenditure reports for both direct and indirect cost shall contain current and accurate costs including utilities, electrical, gas or fuel, and water and in certain cases steam, high temperature water, chilled water, sewer, labor, materials, custodial, landscape and grounds services, insurance, travel, leasing, and rent and 3 rd party repair costs. The direct and indirect costs shall be adjusted for inflation based on the applicable portion of the consumer price index in the reasonable discretion of the director.

(2) Equipment Database and Tagging.

(a) An appropriate equipment numbering system shall be utilized and metal, plastic tags, or labels placed on all building equipment and electrical panels.

(b) All equipment nameplate data shall be collected, documented, and filed in the computerized maintenance management system (CMMS).

(c) When Facility Condition Assessments are conducted QR or Barcode asset tags will be installed that match the information in the CMMS.

(3) Computerized Maintenance Management Systems (CMMS).

(a) Corrective Maintenance.

(i) A work request system shall be defined and made available in the CMMS to the user of the facility or infrastructure so that maintenance problems can be reported and logged promptly by the maintenance department. A log of all requests shall be maintained indicating the date of the request and the date of completion.

(ii) A work order system shall be established within the CMMS to govern the procedures for corrective maintenance work. The work order system shall capture maintenance time, costs, nature of repair, and shall provide a basis for identifying maintenance backlog on the facility or infrastructure. The CMMS shall track the following for corrective maintenance work.

Date of the request.
Category of repair: including mechanical, plumbing, electrical, fire life safety and security This is not an inclusive list; each facilities team should create categories for their needs. Some agencies may also want sub-categories layered below the main categories.
Priority of request: as an example, an emergency (fire, flood or major security issue), some time that day, within three days, within a week, as time allows. This is an example of a priority system and each facilities team should work within their CMMS to create a clear prioritization structure.
Description of the work being requested. Each agency should determine what pertinent information needs to be gathered at the initial request to support an efficient work process for the facilities team.
The shop or technician to which the work is assigned. The assignment of technician may happen after the shop assignment at the initial request, but the information should be captured in the CMMS.
The cost of the work once completed, including the time the technician spent on the work order.
The date the work was completed.
All notes added to the work as it moved through to completion.

(iii) Maintenance backlogs on the facility or infrastructure shall be regularly reviewed and older requests processed so that no request goes unheeded, and all requests are acted upon in a timely manner.

(iv) A priority system for corrective maintenance shall be established so that maintenance work is accomplished in an orderly and systematic manner. The facility user shall be made aware of the priority of requested maintenance and the time expected to accomplish the correction. If the stated goal cannot be met, the user shall be informed of the new goal for completing the request.

(b) Preventive Maintenance.

(i) State facilities managers shall use a CMMS to automate preventive maintenance scheduling.

(ii) All equipment including chillers, boilers, air handlers and associated controls, air compressors, restroom exhaust fans, domestic hot water circulating pumps, automatic door operators, temperature control devices, shall be on a computer based preventive maintenance schedule. The frequency of preventive maintenance procedures shall be determined by manufacturer's recommendations and local craft expertise and site-specific conditions.

(iii) A filter maintenance schedule shall be established for HVAC filters and a record of filter changes maintained.

(iv) Preventive maintenance work orders shall be issued for both contract and in-house preventive maintenance and the completion of the prescribed maintenance requirements documented.

(v) Emergency generators shall be test run at least monthly. If test runs are not automatic, records of these test runs shall be maintained at the site. At least yearly, the transfer from outside power to emergency power shall be scheduled and successfully performed.

(vi) All interior and exterior spaces should be kept clean, accessible and organized.

(c) Maintenance work completed by contractors needs to be recorded, either through the CMMS with a work order creation, or through a contracting process that can be reviewed by the building auditor if requested. Invoices may be requested.

(4) Boilers.

(a) Steam Boilers.

(i) Steam boilers shall be checked daily when operational or on an automated tracking system.

(ii) Low water cut off devices shall be checked for actual boiler shut down at the beginning of the heating season and at least quarterly thereafter by duplicating an actual low-water condition.

(iii) All boiler relief valves shall be tested for proper operation at least annually.

(iv) A record of these tests shall be maintained near the location of the boiler.

(v) A daily log of the operating parameters shall be maintained on boilers when they are operational to include pressures, temperatures, water levels, condition of makeup and boiler feed water, and name of individual checking parameters.

(b) Hot Water And Steam Boilers.

(i) All boilers 200,000 and over shall receive inspections and certification as required from an authorized state agent or insurance inspector. The certificate of compliance shall be maintained at the boiler.

(ii) Monthly tests of boiler water pH and Total Dissolved Solids shall constitute the basis upon which to add water treatment chemicals. A log of these tests shall be maintained in the boiler room.

(5) Life Safety.

(a) All elevators shall receive regular inspections and maintenance by certified elevator maintenance contractors. Records of such maintenance shall be maintained at the site. Telephones within elevators shall be checked monthly for proper operation.

(b) All elevators shall have current Permits to Operate posted near the elevator equipment room or available one site as required by the Utah State Labor Commission.

(i) Detection and notification systems including control panel, smoke detection devices, heat sensing devices, strobe alarm lights, audible alarm indicating devices, phone line communication module, shall be inspected annually and tested for operation at least semi-annually by a properly certified technician. A record of these inspections shall be maintained and the FACP needs to be properly tagged as required by the Utah State Fire Marshal.

(ii) Halon or Ansul pre-action systems shall be inspected and tested by a certified inspector semi-annually to ensure their readiness in the event of a fire. Testing and inspection of these systems shall be documented.

(iii) Fire extinguishers shall be inspected monthly and tagged annually by a certified inspector and all tags should be properly and legibly completed.

(iv) Automatic fire sprinkler systems, standpipes, and fire pumps shall be inspected annually by a certified technician. Tags should be properly and completely filled out including the type of inspection, month and year those inspections were performed, the person who performed the inspection, and the certificate of registration number of the person performing the inspection.

(d) Uninterruptible power supply systems for data processing centers shall be inspected and tested appropriately to ensure their readiness in the event of external power interruptions. Maintenance on these systems shall be documented.

(e) Emergency directional and exit devices including exit signs, emergency lights, ADA assist equipment, and alarm communicators, shall be inspected at least quarterly for proper operation.

(f) Intrusion alarm systems that communicate via phone line shall be tested monthly to ensure proper operation.

(6) Air Conditioning and Refrigerated Equipment.

(a) Chillers.

(i) A daily log or computerized log of important data including chilled water supply and return temperature, condenser water supply and return temperature, current draw, outside air temperature, oil level and pressure, should be kept, and the information trended to identify changes in the system operation. The causes of change should then be determined and corrected to prevent possible system damage.

(ii) The systems shall be leak checked on a quarterly basis during the operating season and once during the winter.

(iii) A factory-trained or other qualified technician should perform a service inspection annually to include an oil analysis by a third party. Any abnormal results should be discussed with the chiller manufacturer to determine a proper course of action.

(iv) Chillers may not be permitted to leak more than 15% of their total charge annually.

(v) Should refrigerant need to be added to a system, document the amount of refrigerant added; the cause of the loss; and type of repairs done.

(vi) An adequate supply of refrigerant for the uninterrupted operation of existing CFC chillers shall be maintained until the chiller is converted or replaced. Examples of CFCs are R11, R12, R113, R502.

(vii) Maintenance personnel that perform work other than daily logs and visual inspections on CFC chillers or refrigeration equipment containing CFCs or HCFCs must by law have an EPA certification matching the type of equipment being serviced.

(viii) The condition of refrigerant cooling water systems such as cooling towers shall be checked visually at least weekly for algae growth and scaling and appropriate treatment administered.

(b) Roof Top and Package Units.

(i) Annually check and clean as needed the condenser coil and evaporator coil.

(ii) The following preventive maintenance items shall be completed annually: tighten belts, oil motors, leak check, clean evaporator pans and drains.

(iii) Quarterly check filters and replace them where necessary.

(i) Annually clean condenser coil.

(ii) Annually oil the condenser fan motor and visually inspect the equipment and make necessary repairs as needed.

(7) Plumbing.

(a) All Backflow Prevention Devices shall be tested by a certified technician at least annually and proper documentation shall be filed with the appropriate agency. Proper documentation shall be kept on site and readily available.

(b) Cross-connection control shall be provided on any water operated equipment or mechanism using water treating chemicals or substances that may cause pollution or contamination of domestic water supply.

(c) Any water system containing storage water heating equipment shall be provided with an approved, UL listed, adequately sized combination temperature and pressure relief valve and must also be seismically strapped.

(d) Pressure vessels must be tested annually or as required and all certificates must be kept current and available on site.

(e) If the backflow prevention device is tagged, the tag shall be current.

(8) Electrical Systems.

(a) All electrical panels and transformers shall have a thermal-scan test performed bi-annually on all components to identify hot spots or abnormal temperatures. The results of the test shall be documented.

(b) A clearance of three feet, or as required by NEC, shall be maintained around all electrical panels and electrical rooms may not be used for general storage.

(c) Every electrical panel shall be properly labeled identifying the following: panel identifier; area being serviced by each individual breaker; and equipment being serviced by each breaker or disconnect.

(d) All pull boxes, junction boxes, electrical termination boxes shall have proper covers in place and panels accessible to persons other than maintenance personnel shall remain locked to guard against vandalism or personal injury.

(e) Only qualified electrical personnel shall be permitted to work on electrical equipment.

(9) Roofing.

(a) Roofs will be inspected in the spring and fall and after every major storm event. Inspections shall be recorded in the CMMS. For questions or concerns contact the division Roofing Program Manager.

(b) Roofs will be kept free of debris.

(d) All equipment is permanently mounted. Nothing resting on the membrane is permitted.

(e) Roof warranty information shall be available.

(f) Roof access shall be secure.

(g) Inspections will include all exterior cladding.

(10) Paving.

(a) All Parking lots, sidewalks, curbs, gutters, storm drains, and ADA ramps will be inspected no less than annually. Inspections shall be recorded in the CMMS. For questions or concerns contact the division Paving Program Manager.

(b) All Parking lots, sidewalks, curbs, gutters, storm drains, and ADA ramps shall be clean and free of debris.

(d) ADA compliant signage shall be installed and in good repair.

(e) Handrails shall be checked for stability and kept in good repair.

(f) Manhole covers and valve box covers shall be installed and in good repair.

(g) Parking bumper blocks shall be secure and in good repair.

(h) Parking lot lighting shall be in working condition.

(11) Hazardous materials. Any activity involving demolition, cutting or any other activity that could make building material friable, create dust or fumes requires that a hazmat survey has been conducted on the material being affected and is on site. For questions or concerns contact the division Hazardous Materials Program Manager.

(12) Grounds. Grounds shall be maintained with a clean appearance. This includes mowing and weeding where appropriate. All outdoor irrigation systems shall be maintained and regularly inspected for leaks and efficient configurations of distribution. All turfgrass irrigation schedules shall comply with current recommendations established by the Department of Natural Resources Division of Water Resources.

(13) Building Inspections. Following any significant natural event, including earthquakes, especially those above magnitude 4 or 5, severe weather, or accidents that could compromise building integrity, it is imperative that all buildings undergo inspection. licensed engineers should be engaged to review any mechanical, electrical, or structural concerns identified during these inspections. Any concerns or potential losses must be reported to Risk Management without delay.

(a) A post-earthquake inspection by a qualified engineer should be undertaken for facilities with any evidence of damage following an earthquake, regardless of magnitude or distance from the epicenter.

(b) Facilities within a 25 mile radius of the epicenter of an earthquake having a magnitude of 4.0 or greater shall be thoroughly examined by facilities personnel who are familiar with the building.

(c) Upon discovery of damage potentially caused by the earthquake, a qualified engineer should be retained to review and comment on the apparent damage.

(d) An earthquake sufficiently large to trigger a declared state of emergency within a specified region by the authority having jurisdiction will automatically trigger a prohibition of re-entry.

(e) All buildings within the region will require a post-earthquake assessment in accordance with ATC-20 Protocol. This assessment must be performed by individuals holding the appropriate credentials for such assessments. Following the assessment, the reviewer will placard the building with instructions regarding the potential for re-occupancy.

(f) Agencies should contact the division if they require any support or assistance with these inspections.

(14) Preventative Maintenance Audit and Inspections.

(a) Facilities shall receive a detailed and comprehensive preventative maintenance audit no less than every 2 years. The audit shall include HVAC filter condition, mechanical room cleanliness and condition, corrective and preventive maintenance programs, facility condition, ADA compliance, level of performance of the janitorial service, condition of the grounds, and a recent customer service survey to determine the level of user satisfaction with the facility, facility management and maintenance services.

(b) A copy of the Preventative Maintenance Audit shall be maintained at the facility. The audit will be reviewed and a copy sent to facility management.

(c) The Division of Risk Management sends out random building Risk Assessments that are required to be returned to the Risk Management Division of the Department of Government Operations. Corrections should be made in a timely manner as requested by Risk Management.

(d) The Preventative Maintenance Audit will verify that the facility is following the Risk Management requirements for insurability. See Rule R37-1.

(e) Periodic inspections of facilities may be requested by local fire departments and the identified deficiencies promptly corrected. These inspections and corrections shall be documented and kept on file at the facility.

(f) All state facilities over 3,000 sq. ft. or over $1,500,000 in value will have an Audit performed. In the case of a complex with multiple buildings under 3,000 sq. ft., the entire complex will be assessed on a cumulative sq. ft. or value basis under one Audit.

(g) Agencies shall comply with specific recommendations made in the preventive maintenance audit report within 90 days. The division inspectors may schedule follow-up site visits to verify compliance. Failure to comply may result in reporting to the director.

(15) Indoor Air Quality and Energy Management.

(a) Indoor air quality shall be maintained within pertinent ASHRAE, OSHA, and State of Utah guidelines.

(b) All individual building utility costs such as gas, electric, and water at facilities shall be metered and reported back to the director by October 1 of each year and made available at the facility so that energy usage can be accurately determined and optimized.

(c) Based on the ongoing analysis of energy usage, appropriate energy conservation measures shall be budgeted for, implemented, and the resulting energy savings documented.

(16) Additional Resources. The following documents shall be on hand at the facility maintenance office or where applicable:

(a) SDS (Safety Data Sheets);

(b) Lead and Asbestos Awareness Program;

(d) A Lockout or Tagout Program;

(e) A Blood-Borne Pathogen Program;

(f) An Emergency Management Plan to include emergency evacuation and disaster recovery; and

(i) A Respirator Program;

(ii) Hearing Conservation Program;

(iii) Confined Space Permit Program; and

(iv) Hot Works Permit Program.

(17) Facility Condition Assessment Inspections. The objective data delivered by an FCA should accurately quantify and strategically prioritize deferred maintenance and capital renewal needs. When done properly, defensible information is received to advocate for limited investment resources and prioritizing within these limited budgets. These results can exist as a communication tool between those responsible for maintaining facilities and the decision makers they report to.

(a) Every five years the facility shall be inspected and evaluated by an Architect/Engineer (A/E), qualified third party or qualified in-house personnel to determine structural and infrastructural maintenance and preventive maintenance needs.

(b) The inspection and evaluation will include roofing, paving, structural integrity and building cladding and may include interior and exterior painting, foundations, walls, carpeting, windows, doors, ADA and OSHA compliance, brick work, landscaping, sidewalks, and exterior surface cleanliness.

(c) The mechanical and electrical evaluation shall include the HVAC systems, plumbing systems, security, fire prevention and warning systems, electrical distribution systems including emergency power systems.

(d) The inspection shall be documented and shall serve as a basis for budgeting for needed capital improvements.

(e) A pre-survey questionnaire is required for all Facility Condition Assessments- whether it is done in-house or by a 3 rd party.

(f) The person conducting the Facility Condition Assessment will have access and be escorted by maintenance employees that are knowledgeable of each of the systems being inspected.

(g) Facilities will be evaluated to Uniformat Levels 1-4 depending on the system. Each system will have a detailed narrative that describes the system, age and condition and recent repairs or upgrades.

(h) Uniformat levels of inspection required:

A Substructure

A10 Foundations

A1010 Standard Foundations

A1020 Special Foundations

A1030 Slab on Grade

A20 Basement Construction

A2020 Basement Walls

B Shell

B10 Super Structure

B1010 Floor Construction

B1020 Roof Construction

B1030 Structural Frame

B20 Exterior Enclosure

B2010 Exterior Walls

B2020 Exterior Windows

B2030 Exterior Doors

B2034 Overhead Doors

B30 Roofing

B3010 Roof Coverings

B3020 Roof Openings

C Interiors

C10 Interior Construction

C1010 Partitions

C1020 Interior Doors

C20 Stairs

C30 Interior Finishes

C3010 Wall Finishes

C3020 Floor Finishes

C3030 Ceiling Finishes

D Services

D10 Conveying

D1010 Elevators & Lifts

D1011 Passenger Elevators

D1012 Freight Elevators

D1020 Escalators & Moving Walks

D1090 Other Conveying Systems

D1094 Conveyors

D20 Plumbing

D2010 Plumbing Fixtures

D2020 Domestic Water Distribution

D2030 Sanitary Waste

D2040 Rain Water Drainage

D2090 Other Plumbing Systems

D30 HVAC

D3010 Energy Supply

D3020 Heat Generating Systems

D3021 Boilers

D3030 Cooling Generating Systems

D3031 Chilled Water Systems

D3040 Distribution Systems

D3041 Air Distribution Systems

D3042 Exhaust Ventilation Systems

D3043 Steam Distribution Systems

D3044 Hot Water Distribution

D3045 Chilled Water Distribution Systems

D3050 Terminal & Package Units

D3051 Terminal Self-Contained Units

D3052 Package Units

D3053 Split-Systems

D3060 Controls & Instrumentation

D3063 Heating/Cooling Air Handling Units

D3068 Building Automation Systems

D3090 Other HVAC Systems & Equipment

D3093 Dust & Fume Collectors

D40 Fire Protection

D4010 Sprinklers

D4020 Standpipes

D4030 Fire Protection Specialties

D4090 Other Fire Protection Systems

D4091 Carbon Dioxide Systems

D50 Electrical

D5010 Electrical Service & Distribution

D5020 Lighting & Branch Wiring

D5022 Lighting Equipment

D5030 Communications & Security

D5037 Fire Alarm Systems

D5090 Other Electrical System

D5092 Emergency Light & Power Systems

F Special Construction

F10 Special Construction

F1010 Special Structures

G Building Sitework

G20 Site Improvements

G2010 Roadways

G2020 Parking Lots

G2030 Pedestrian Paving

G2040 Site Development

G30 Site Mechanical Utilities

G3010 Water Supply

G3020 Sanitary Sewer

G3023 Septic Disposal Systems

G3024 Lift Stations

G3030 Storm Sewer

G3034 Lift Stations

G3040 Heating Distribution

G3041 Steam Supply

G3050 Cooling Distribution

G3060 Fuel Distributions

G40 Site Electrical Utilities

G4010 Electrical Distribution

G4020 Site Lighting

G4024 Site Lighting Controls

G4030 Site Communication & Security

G4090 Other Site Electrical Utilities

G4092 Site Emergency Power Generation

(i) Facility Condition Assessment will provide projections for a 10 year period. Immediate needs, 1-2 year needs, 3-5 year needs, 6-10 year needs. The main focus of FCA should be 1-5 year needs. Focus should be on major systems and utilities.

(j) All FCA information will be uploaded into a FCA Program as determined by the division, each state agency and institution will be given access. Capital Improvement requests will be requested and documented.

(k) All state facilities over 3,000 sq. ft. or over $1,500,000 in value will have FCA's performed. In the case of a complex with multiple buildings under 3,000 sq. ft., the entire complex will be assessed on a cumulative sq. ft. or value basis under one FCA.

(l) FCA shall include Seismic information -- this shall be a preliminary seismic risk screening based on occupancy, construction year, and UBC seismic zone.

(m) Buildings constructed within the last 20 years are deemed sufficiently compliant with contemporary code provisions that earthquake assessment is unnecessary. For buildings more than 20 years old, routine maintenance FCA should include a Rapid Visual Screening (RVS) Assessment in accordance with FEMA 154 Protocol. This is a screening assessment generally meant to assess the potential for collapse in a significant earthquake. Facilities scoring lower than 2.0 (scoring is based on a range of 0 to 7.0) should be deemed vulnerable and further, more thorough seismic assessment should be undertaken. ASTM E2018-15 should be used for a baseline for the condition assessment process.

History

KEY: planning, public buildings, design, procurement
Date of Last Change: October 2, 2025
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-402

R23-5 Contingency Funds

Utah Admin. Code R23-5-1 Purpose

(1) This rule establishes policies and procedures regarding contingency funds held by the division.

(2) It provides guidelines for the source, use, and reporting of contingency funds as provided in Section 63A-5b-609.

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

Utah Admin. Code R23-5-2 Authority

This rule is authorized under Subsection 63A-5b-305(2)(c), which authorizes the director to make rules necessary for the division or director to perform the division or director's duties.

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

Utah Admin. Code R23-5-3 Definitions

(1) "Appropriated Funds" means funds appropriated to the division for capital projects to be administered by the division. This includes state funds such as the General Fund as well as proceeds from state General Obligation Bonds.

(2) "Director" means the director of the division appointed under Section 63A-5b-302.

(3) "Division" means the Division of Facilities Construction and Management established under Section 63A-5b-301.

(4) "Non-appropriated Funds" means any funds which are provided for a project which are not appropriated funds.

(5) "Project Reserve" means the account provided for in Subsection 63A-5b-609(3).

(6) "Statewide Contingency Reserve" means the account provided for in Subsection 63A-5b-609(1)(c).

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

Utah Admin. Code R23-5-4 Applicability

(1) This rule shall apply to all projects or portions of projects funded through appropriated funds.

(2) This rule may be waived to the extent necessary to comply with specific requirements associated with the project funds such as specific legislative direction or requirements associated with state revenue bonds.

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

Utah Admin. Code R23-5-5 General Provisions

(1) The balances in the statewide contingency reserve and the project reserve may be redirected to other purposes by the Legislature.

(2) New projects may not be initiated from the statewide contingency reserve nor from the project reserve unless authorized by the Legislature. This prohibition does not apply to remedial work associated with previously authorized and completed projects.

(3) The division may utilize any number of subaccounts required to maintain separate accounting of appropriated funds as required by the source of the funds.

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

Utah Admin. Code R23-5-6 Funding of Statewide Contingency Reserve

(1) All appropriated funds budgeted for contingencies shall be transferred to the statewide contingency reserve upon their receipt by the division. This includes budget elements previously referred to as "design contingency" and "project contingency."

(2) The division shall budget for contingencies based upon a sliding scale percentage of the construction cost.

(a) For new construction, the sliding scale shall range from 4-1/2% to 6-1/2%.

(b) For remodeling projects, the sliding scale shall range from 6% to 9-1/2%.

(d) When projects are funded from both appropriated funds and non-appropriated funds, the amount budgeted for contingencies shall be prorated so that only that portion associated with the appropriated funds' share of the project is transferred to the statewide contingency reserve.

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

Utah Admin. Code R23-5-7 Use of Statewide Contingency Reserve

(1) The statewide contingency reserve may provide additional funding to a project when:

(a) necessary construction costs arise on projects after the construction has been bid;

(b) costs for other elements of a project exceed the amount budgeted; or

(2) Unbudgeted costs included in Subsection R23-5-6(1)(c) may include legal services, insurance, surveys, testing and inspection, and bidding costs.

(3) The statewide contingency reserve may be used to fund changes in scope only if the scope change is necessary for the proper functioning of the program that was provided for in the approved project scope. The division shall take steps as necessary to minimize the utilization of the statewide contingency reserve for scope changes.

(4) With the prior approval of the director, the statewide contingency reserve may be used to fund unanticipated costs on projects funded through non-appropriated funds.

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

Utah Admin. Code R23-5-8 Funding of Project Reserve

(1) After all major construction contracts for a project have been awarded, and after setting aside adequate reserves for any remaining construction work which was not included in the construction contracts, any remaining balance of appropriated funds in the construction budget shall be transferred to the project reserve.

(2) Upon completion of the project, any residual balance of appropriated funds in any budget category shall be transferred to the project reserve; however, if the residual balance is the result of a reduction in a contract balance which had previously been funded from the statewide contingency reserve, the residual balance shall be transferred instead to the statewide contingency reserve.

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

Utah Admin. Code R23-5-9 Use of Project Reserve

The division may utilize the project reserve only for the award of construction contracts which exceed the available construction budget. This may only be done after a review of other options to bring the cost within available funding and a determination that this action is necessary to meet the intent of the project.

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

Utah Admin. Code R23-5-10 Reporting Requirements

(1) The five-year building plan published annually by the director shall include a summary report on the statewide contingency reserve and the project reserve. This report shall include information on each reserve summarized as follows for the most recently completed fiscal year:

(a) beginning balance;

(b) increases and decreases by type; and

(2) At least annually, the division shall analyze the balance in each reserve and the projected needs based on already approved projects and determine if the balance is more than or less than the projected need. The results of this analysis shall be reported to the Legislature in its regular session.

(3) The division shall report regularly to the executive director of the Department of Government Operations on the status of the statewide contingency reserve and the project reserve.

History

KEY: buildings, contingency fund
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-609

R23-6 Value Engineering and Life Cycle Costing of State Owned Facilities Rules

Utah Admin. Code R23-6-1 Purpose

(1) This rule implements Subsections 63A-5b-602(1) and 63A-5b-702(3)(a).

(2) The purpose of this rule is to ensure that the state owned facilities shall be life cycle cost effective. To achieve this objective, value engineering and life cycle cost analysis is to be used in the facility design process by the division.

History

KEY: construction costs, public buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-602; 63A-5b-702

Utah Admin. Code R23-6-2 Authority

This rule is authorized under Subsection 63A-5b-305(2)(c), which authorizes the director to make rules necessary for the division or director to perform the division or director's duties.

History

KEY: construction costs, public buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-602; 63A-5b-702

Utah Admin. Code R23-6-3 Definitions

(1) Director means the director of the division, appointed under Section 63A-5b-302, or the director's designee.

(2) Division means the Division of Facilities Construction and Management created under Section 63A-5b-301.

(3) GSF means Gross Square Feet.

(4) Value Engineering means a structured methodology that analyzes functional requirements, identifies alternatives to perform these functions and evaluates the alternatives using life cycle costing techniques.

History

KEY: construction costs, public buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-602; 63A-5b-702

Utah Admin. Code R23-6-4 Scope

(1) To the extent appropriated by the Legislature, value engineering will be applied to achieve cost effective design solutions and informed decision-making by the division, for the following activities:

TABLE

PROGRAMMING

Site Selection

as feasible

Existing Facilities

Over 30,000 GSF

Energy Conservation

Always

New Facilities

Over 30,000 GSF

DESIGN FOR CONSTRUCTION

New Construction

Over 30,000 GSF

Renovation

Over 30,000 GSF

Energy Conservation

Always

(2) Only facilities which fall below these area requirements will be automatically exempted. Other projects may be subjected to life cycle cost analysis at the discretion of the director.

History

KEY: construction costs, public buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-602; 63A-5b-702

Utah Admin. Code R23-6-5 Special Exemption Procedures

The director may issue a special exemption for a facility from meeting the life cycle costing requirements of this rule if the director determines that the public interest is best served by approval of the exemption.

History

KEY: construction costs, public buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-602; 63A-5b-702

Utah Admin. Code R23-6-6 Methodology

One or more methods of economic evaluation may be used as appropriate to assess the life cycle cost effectiveness for each of the activities identified in Section R23-6-4. Methods may include:

(1) The most current edition of the Standard Practice for Measuring Life-Cycle Costs of Buildings and Building Systems. American Society for Testing and Materials (ASTM designation E917).

(2) Recommended Practice for Measuring Net Benefits and Internal Rates of Return for Investments in Buildings and Building Systems. National Institute of Standards and Technology (NBSIR 83-2657).

(3) Recommended Practice for Measuring Simple and Discounted Payback for Investments in Buildings and Building Systems. National Institute of Standards and Technology (NBSIR 84-2850).

(4) The most current edition of the Standard Practice for Measuring Benefit-to-Cost and Savings-to-Investment Ratios for Buildings and Building Systems. American Society for Testing Materials (ASTM E964).

History

KEY: construction costs, public buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-602; 63A-5b-702

Utah Admin. Code R23-6-7 Application

(1) The division shall issue life cycle cost guidelines for use by architects, engineers and consultants that include:

(a) Rules;

(b) basis for the calculation of total life cycle costing;

(d) requirements for life cycle cost analysis.

(2) The division will issue specific instructions at the outset of each project describing the extent of value engineering or life cycle cost analysis required for the project.

(3) The division will use an independent value engineering program to review the architect's, engineer's or consultant's design and use value engineering techniques to assist in identifying alternative viable design options to be subject to life cycle cost analysis.

History

KEY: construction costs, public buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-602; 63A-5b-702

Utah Admin. Code R23-6-8 Responsibilities

(1) The division shall:

(a) Manage and monitor the implementation of the value engineering and life cycle costing program.

(b) Recommend budgets to the Legislature to:

(i) Fund value engineering and life cycle costing analysis for programming activity.

(ii) Fund value engineering and life cycle costing analysis for design and construction activity.

(c) Select suitably trained and qualified persons to conduct the value engineering and life cycle costing analysis program.

(d) Develop methods for evaluating, selecting, and implementing preferred alternatives from the output of the value engineering and life cycle costing program.

History

KEY: construction costs, public buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-602; 63A-5b-702

R23-7 State Construction Contracts and Drug and Alcohol Testing

Utah Admin. Code R23-7-1 Purpose

The purpose of this rule is to comply with Section 63G-6a-1303 of the Utah Procurement Code.

History

KEY: drug and alcohol testing, contracts, contractors
Date of Last Change: February 8, 2023
Notice of Continuation: May 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-6a-1303

Utah Admin. Code R23-7-2 Authority

History

KEY: drug and alcohol testing, contracts, contractors
Date of Last Change: February 8, 2023
Notice of Continuation: May 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-6a-1303

Utah Admin. Code R23-7-3 Definitions

(1) The following definitions of Section 63G-6a-1303 shall apply to any term used in this rule:

(a) "Contractor" means a person who is or may be awarded a state construction contract.

(b) "Covered individual" means an individual who:

(i) on behalf of a contractor or subcontractor provides services directly related to design or construction under a state construction contract; and

(ii) is in a safety sensitive position, including a design position that has responsibilities that directly affect the safety of an improvement to real property that is the subject of a state construction contract.

(c) "Drug and alcohol testing policy" means a policy under which a contractor or subcontractor tests a covered individual to establish, maintain, or enforce the prohibition of:

(i) the manufacture, distribution, dispensing, possession, or use of drugs or alcohol, except the medically prescribed possession and use of a drug; or

(ii) the impairment of judgment or physical abilities due to the use of drugs or alcohol.

(d) "Random testing" means that a covered individual is subject to periodic testing for drugs and alcohol:

(i) in accordance with a drug and alcohol testing policy; and

(ii) based on a random selection process.

(e) "State Executive Entity" means a state executive branch:

(i) department;

(ii) division including the Division of Facilities Construction and Management;

(iii) agency;

(iv) board;

(v) commission;

(vi) council;

(vii) committee;

(viii) institution; or

(ix) a state institution of higher education, as defined under Section 53B-3-102.

(f) "State construction contract" means a contract for design or construction entered into by the division.

(g)(i) "Subcontractor" means a person under contract with a contractor or another subcontractor to provide services or labor for design or construction.

(ii) "Subcontractor" includes a trade contractor or specialty contractor.

(iii) "Subcontractor" does not include a supplier, distributor, or other vendor who provides only materials, equipment, or supplies to a contractor or subcontractor.

(2) In addition:

(a) "Director" means the director of the division, appointed pursuant to Section 63A-5b-302, including, unless otherwise stated, the director's authorized designee.

(b) "Division" means the Division of Facilities Construction and Management established pursuant to Section 63A-5b- 301 as well as entities entering into state construction contracts under delegation authority by the director.

History

KEY: drug and alcohol testing, contracts, contractors
Date of Last Change: February 8, 2023
Notice of Continuation: May 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-6a-1303

Utah Admin. Code R23-7-4 Applicability

(1) Except as provided in Section R23-7-5, after June 30, 2010, the division may not enter into a state construction contract unless the state construction contract requires that the contractor demonstrate to the division that the contractor:

(a) has and will maintain a drug and alcohol testing policy during the period of the state construction contract that applies to the covered individuals hired by the contractor;

(b) posts in one or more conspicuous places notice to covered individuals hired by the contractor that the contractor has the drug and alcohol testing policy described in Subsection R23-7-4(1)(a);

(c) subjects the covered individuals to random testing under the drug and alcohol testing policy described in Subsection R23-7-4(1)(a) if at any time during the period of the state construction contract there are ten or more individuals who are covered individuals hired by the contractor; and

(d) requires that as a condition of contracting with the contractor, a subcontractor:

(i) has and will maintain a drug and alcohol testing policy during the period of the state construction contract that applies to the covered individuals hired by the subcontractor;

(ii) posts in one or more conspicuous places notice to covered individuals hired by the subcontractor that the subcontractor has the drug and alcohol testing policy described in Subsection R23-7-4(d)(i); and

(iii) subjects the covered individuals hired by the subcontractor to random testing under the drug and alcohol testing policy described in Subsection R23-7-4(d)(i) if at any time during the period of the state construction contract there are ten or more individuals who are covered individuals hired by the subcontractor.

(2) A contractor shall demonstrate to the division under Subsection R 23-7-4(1), by a provision in the contract where the contractor acknowledges this rule and agrees to comply with all aspects of this rule and that the contractor require this compliance by a subcontractor, which includes consultants under contract with the designer.

(3)(a) Except as otherwise provided in this Subsection R23-7-4(2), if a contractor or subcontractor fails to comply with Subsection R23-7-4(1), the contractor or subcontractor may be suspended or debarred in accordance with Section 63G-6a-904.

(b) After June 30, 2010, the division shall include in a state construction contract a reference to this rule.

(c)(i) A contractor is not subject to penalties for the failure of a subcontractor to comply with Subsection R23-7-4(1).

(ii) A subcontractor is not subject to penalties for the failure of a contractor to comply with Subsection R23-7-4(1).

(4)(a) The requirements and procedures a contractor shall follow to comply with Subsection R23-7-4(1) is that the contractor, by executing the construction contract with the division, is deemed to certify to the division that the contractor, and all subcontractors under the contractor that are subject to Subsection R23-7-4(1), shall comply with this rule as well as Section 63G- 6a-1303.

(b) A contractor or subcontractor may be suspended or debarred in accordance with Section 63G-6a-904, if the contractor or subcontractor violates Section 63G-6a-1303 or this rule. The contractor or subcontractor shall be provided reasonable notice and opportunity to cure a violation of Section 63G-6a-1303 or this rule before suspension or debarment of the contractor or subcontractor in light of the circumstances of the state construction contract or the violation.

(5) The failure of a contractor or subcontractor to meet the requirements of Subsection R23-7-4(1):

(a) may not be the basis for a protest or other action from a prospective bidder, offeror, or contractor under Title 63G, Chapter 6a, Part 17, Procurement Appeals Board, or Part 18, Appeals to Court and Court Proceedings; and

(b) may not be used by a state executive entity, a prospective bidder, an offeror, a contractor, or a subcontractor as a basis for an action that would suspend, disrupt, or terminate the design or construction under a state construction contract.

(6)(a) After the division enters into a state construction contract in compliance with Section 63G-6a-1303, the state, including the division, is not required to audit, monitor, or take any other action to ensure compliance with Section 63G-6a-1303.

(b) The state is not liable in any action related to Section 63G-6a-1303 and this rule, including not being liable in relation to:

(i) a contractor or subcontractor having or not having a drug and alcohol testing policy;

(ii) failure to test for a drug or alcohol under a contractor's or subcontractor's drug and alcohol testing policy;

(iii) the requirements of a contractor's or subcontractor's drug and alcohol testing policy;

(iv) a contractor's or subcontractor's implementation of a drug and alcohol testing policy, including procedures for:

(A) collection of a sample;

(B) testing of a sample;

(D) disciplinary or rehabilitative action based on a test result;

(v) an individual being under the influence of drugs or alcohol; or

(vi) an individual under the influence of drugs or alcohol harming another person or causing property damage.

History

KEY: drug and alcohol testing, contracts, contractors
Date of Last Change: February 8, 2023
Notice of Continuation: May 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-6a-1303

Utah Admin. Code R23-7-5 Non-applicability

Rule R23-7 and Section 63G-6a-1303 does not apply if the state executive entity, including the division, determines that the application of this rule or Section 63G-6a-1303 would severely disrupt the operation of a procurement unit to the detriment of the procurement unit or the general public, including:

(1) jeopardizing the receipt of federal funds;

(2) causing the state construction contract to be a sole source contract; or

(3) causing the state construction contract to be an emergency procurement.

History

KEY: drug and alcohol testing, contracts, contractors
Date of Last Change: February 8, 2023
Notice of Continuation: May 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-6a-1303

Utah Admin. Code R23-7-6 Not Limit Other Lawful Policies

If a contractor or subcontractor meets the requirements of Section 63G-6a-1303 and this rule, Section 63G-6a-1303 and this rule may not be construed to restrict the contractor's or subcontractor's ability to impose or implement an otherwise lawful provision as part of a drug and alcohol testing policy.

History

KEY: drug and alcohol testing, contracts, contractors
Date of Last Change: February 8, 2023
Notice of Continuation: May 5, 2025
Authorizing, and Implemented or Interpreted Law: 63G-6a-1303

R23-10 Naming of State Buildings

Utah Admin. Code R23-10-1 Purpose

This rule defines which entities have the authority to name state buildings.

History

KEY: buildings, naming process
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305(2)(c)

Utah Admin. Code R23-10-2 Authority

History

KEY: buildings, naming process
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305(2)(c)

Utah Admin. Code R23-10-3 Policy

It is the policy of the division that the governmental entity that holds legal title to a given facility has the authority to determine an appropriate name for that facility, if the facility is of a significant size or function and the entity deems the naming of the facility to be appropriate. Specifically, the division will have responsibility for naming those buildings for which title is held by the division or the State Building Ownership Authority. The Utah Board of Higher Education will govern the naming of buildings in the State System of Higher Education.

History

KEY: buildings, naming process
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305(2)(c)

Utah Admin. Code R23-10-4 Naming of Buildings Under the Authority of the Division

Buildings for which the division has responsibility for naming as provided for in Section R23-10-3 shall be addressed as follows.

(1) Descriptive names, such as those identifying functions housed in the building or names based on geographic location, may be determined by the entity occupying the building. For buildings that house more than one agency, the division shall be responsible for determining the building's name. Any concerns with names under Subsection (1) shall be raised with the Executive Director of the Department of Government Operations for final resolution.

(2) Honorary names must be approved by the division. Before consideration by the division, information shall be provided demonstrating the appropriateness of the naming request. This may include information about the individual to be honored, the desires of the individual's family, and the basis for honoring the individual by naming the specific building.

History

KEY: buildings, naming process
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305(2)(c)

Utah Admin. Code R23-10-5 Legislative Actions to Name a Building

Any legislative action to name a building supersedes this rule.

History

KEY: buildings, naming process
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305(2)(c)

R23-12 Building Code Appeals Process

Utah Admin. Code R23-12-1 Purpose and Authority

(1) In accordance with Section 15A-1-207, this rule establishes procedures for the appeal of decisions made by the building official in regard to the application and interpretation of building codes.

(2) The statutory provisions governing the application and enforcement of building codes with state facilities are contained in Title 15A, State Construction and Fire Codes Act, a nd in Section 63A-5b-604.

(3) Subsection 63A-5b-305(2)(c) authorizes the director to make rules necessary for the division or director to perform the division or director's duties.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-2 Definitions

(1) Except as otherwise stated in this rule, terms used in this rule have the same meaning as such terms are used in Section 63A-5b-604.

(2) The following additional terms are defined for this rule.

(a) "Appeals Board" means appeals board convened by the director pursuant to Section R23-12-4.

(b) "Building Code" has the same meaning as "Code" as defined in Section 15A-1-202.

(c) "Building Official" means the person designated by the director or the delegated agency as the case may be to be responsible for the enforcement of building codes.

(d) "Day" means calendar day.

(e) "Delegated Agency" means a state entity to which the director has delegated the responsibility of administering the construction of facilities when the delegated responsibility includes the role of Compliance Agency as that term is defined in Section 15A-1-202.

(f) "Director" means the director of the division, including, unless otherwise stated, the director's authorized designee.

(g) "Division" means the Division of Facilities Construction and Management established pursuant to Section 63A-5b- 301.

(h) "State Agency" means any department, commission, institution, authority, agency, or other administrative unit of the state.

(i) "State Project" means the construction of a "Facility" as that term is defined in Section 63A-5b-601.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-3 Applicability

(1) The appeal of decisions of the building official for state projects administered by the division or a delegated agency shall be conducted in accordance with this rule.

(2) Other entities authorized by Subsection 63A-5b-604(7) to act as Compliance Agency for a state project are responsible for providing an appeals process. The appeals process provided for in this rule shall apply if the entity does not provide an appeals process or it fails to hear an appeal filed with that entity.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-4 Designation of Appeals Board

(1) The director shall identify a pool of individuals who are knowledgeable of various aspects of the buildings codes and who are willing to serve on the appeals board when requested.

(2) When an appeal is filed with the director, the director shall appoint either three or five individuals, depending on the nature of the appeal, to act as the appeals board for that specific appeal. In selecting the members of the appeals board, the director shall consider the portions of the building code that are in dispute.

(3) Each member of the appeals board shall certify that the member does not have a conflict of interest in regard to the matter being heard.

(4) The director shall designate one of the members to act as presiding officer of the appeals board.

(5) The division shall provide administrative support to the appeals board and shall maintain a record of matters submitted to the appeals board and the resolution thereof.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-5 Authority of Appeals Board

(1) The appeals board shall resolve disputes regarding the application or interpretation of the building code as it relates to a specific state project.

(2) The appeals board may not have the authority to waive requirements of the building code or to interpret the administrative provisions of the building code.

(3) Decisions of the appeals board shall be by majority vote.

(4) Decisions of the appeals board are final.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-6 Initial Actions for Decisions Prior to Construction

(1) If the issue being appealed arises prior to its construction, the architect, engineer, or contractor, shall submit a written request for interpretation to the building official which shall include:

(a) the basis for the requestor's interpretation of the building code, and

(b) other decisions related to the application of the building code that have an impact on the interpretation in question.

(2) Within 21 days of receipt of the written request, the building official shall provide a written decision. If the building official does not agree with the requested interpretation, the decision shall include the basis for the building official's interpretation of the building code.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-7 Initial Actions for Inspection Exceptions During Construction

(1) If the issue being appealed is an inspection exception regarding work constructed, the contractor shall, within 10 days of receiving the inspection report, submit a request in writing to the building official for reconsideration of the inspector's exception.

(2) Within 10 days of receipt of the written request, the building official shall provide a written decision either reaffirming the inspector's findings or stating how the inspector's exception is modified.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-8 Appeal of Delegated Agency's Decision

For state projects administered by a delegated agency, the following procedure shall be followed before an appeal may be heard by the appeals board.

(1) Within 10 days of receipt of the decision of the building official representing the delegated agency, the entity requesting the appeal shall submit the following to the division's building official:

(a) a copy of the documentation required by Section R23-12-6 or R23-12-7, and

(b) a written statement explaining the basis for the appeal.

(2) Within 10 days of receipt of the appeal, the division's building official shall provide a written decision either reaffirming the delegated agency's findings or stating how the delegated agency's findings are modified.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-9 Filing of Appeal and Appeals Board Action

(1) Within 21 days of receipt of the written decision provided for in Section R23-12-6, R23-12-7, or R23-12-8, the entity appealing the decision shall submit the following documents to the director:

(a) a letter stating that the entity is appealing a decision regarding the building code including an explanation of the basis for the appeal;

(b) a copy of the documentation required by Sections R23-12-6, R23-12-7, and R23-12-8 as applicable;

(2) If the building official did not provide a written decision, the entity shall submit an affidavit to this effect in lieu of the written decision.

(3) The director shall convene an appeals board within 21 days after an appeal is filed.

(4) Both the entity appealing the decision and the building official shall be given an opportunity to present their position.

(5) A written decision of the appeals board shall be issued within 7 days after the appeal is heard.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-10 Time Extensions

Upon a showing of good cause, the time periods provided for in this rule may be extended by the director before the convening of the appeals board or by the presiding officer upon or after the convening of the appeals board.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-11 Forms

The division may establish forms to be used in the filing of an appeal.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

Utah Admin. Code R23-12-12 Costs of Appeal

Each party is responsible for its own costs in the appeal process except that the division may assess the party that loses the appeal for any costs incurred by the appeals board in evaluating the appeal.

History

KEY: appeals, building codes, construction
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 15A-1-207; 63A-5b-604

R23-13 State of Utah Parking Rules for Facilities Managed by the Division of Facilities Construction and Management

Utah Admin. Code R23-13-1 Purpose

This rule establishes standards for parking at state facilities which are managed by the Division of Facilities Construction and Management (the "Division").

History

KEY: transportation law, parking facilities
Date of Last Change: February 8, 2023
Notice of Continuation: December 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-13-2 Authority

This rule is authorized under Section 63A-5b-305, which authorizes the director of the division to make rules necessary for the division or director to perform the division or director's duties.

History

KEY: transportation law, parking facilities
Date of Last Change: February 8, 2023
Notice of Continuation: December 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-13-3 General Rules and Information

(1) The state Traffic Code, Title 41, Chapter 6a, shall apply to all traffic using facilities under the management of the division.

(2) Painted curb color codes, intersection parking clearance, and all other traffic control markings shall conform with the state Traffic Code and all applicable ordinances.

(3) All facilities under the direct management of the division shall have signs at main entrances designating public parking areas, employee parking, parking for persons with disabilities, loading-unloading areas, bus parking areas, and overnight parking areas.

(4) Employees with permanent disabilities - employees in this category displaying the disability license plate or disability parking permit shall be assigned parking in proximity to their work at each facility.

(5) Employees with temporary disability - upon request an employee in this category may be allowed, by special permit, to park in disabled priority and public areas. The department or division directors of the employee with a disability shall contact the division or this privilege. The department or division director shall provide the division's building manager with the following information concerning the request: the type of disability; the length of time special permit will be required; and, a description of vehicle and license plate information.

(6) Overnight parking:

(a) Those employees who must leave vehicles at any facility are urged to contact facility designated security personnel to provide license numbers and expected return dates for security purposes.

(b) A designated parking area shall be established at all facilities managed by the division for employees to utilize for overnight parking between November 1 and April 1. Employees using this parking area shall be required to notify facility designated security personnel regarding the use of said parking area. Due to snow removal needs any vehicles parked outside of this designated area shall be subject to impoundment.

History

KEY: transportation law, parking facilities
Date of Last Change: February 8, 2023
Notice of Continuation: December 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-13-4 Designated Parking Areas

(1) Employee and visitor parking - designated parking areas for reserved parking and general parking for employees and visitors shall be noted on facilities signs as described in Section R23-13-3 .

(2) Parking for the disabled - designated parking stalls, reserved exclusively for automobiles, including vans, displaying disability license plates or permits, shall be provided as required. All parking areas will meet the minimum number of reserved stalls required by state and federal laws, rules, and regulations governing public services and accessibility for individuals with disabilities.

History

KEY: transportation law, parking facilities
Date of Last Change: February 8, 2023
Notice of Continuation: December 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-13-5 Parking Restrictions

(1) Parking is prohibited in areas with a red curb or posted "No Parking".

(2) All reserved areas are restricted to the reserved use.

(3) All Americans with Disabilities Act parking zones will be strictly enforced.

(4) Areas reserved for state vehicles are restricted for that use only.

(5) Parking is prohibited in front of any public stairs or entrances or blocking any public walkways and in Bus zones.

(6) Loading dock parking, where applicable, shall be limited to short-term delivery and service vehicles only, except as otherwise specifically marked in the dock areas.

(7) Vehicles left sitting more than seven days will be considered abandoned and will be towed away, unless arrangements are made with the facility designated security personnel.

(8) Vehicles in front of or blocking any public stairs, building entrance, sidewalk or walkway and vehicles parking in or blocking any fire lane or fire hydrant are subject to being towed away and stored at the owner's expense.

(9) No vehicles, including service, delivery, or otherwise, shall park on any walkways.

(10) Construction or long-term service vehicle parking shall be arranged as needed by contacting the division's building manager and the facility designated security personnel.

History

KEY: transportation law, parking facilities
Date of Last Change: February 8, 2023
Notice of Continuation: December 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-13-6 Enforcement

(1) All traffic and parking signs and markings shall be strictly enforced by frequent observation and monitoring by facility designated security personnel.

(2) Facility designated security personnel shall be authorized to issue citations or other enforcement actions as may be necessary for parking control and regulation at all facilities.

(3) Those security personnel having full authority as peace officers shall enforce the state Traffic Code in its entirety including accident investigation, as well as parking restrictions established pursuant to this rule.

(4) Enforcement of this rule shall be accomplished in a prudent, effective manner including the following procedures:

(a) Issuance of citation for violation and subsequent payment of fine;

(b) Towing of any vehicle violating rules as listed in this rule at owner's expense;

(c) Reporting employees who consistently disregard the rules to their respective department or division head for discipline; discipline for constant offenders should include a notice of the discipline in the employee's personnel file.

(5) Fine amounts shall be those set under the jurisdiction of the facility designated security personnel.

History

KEY: transportation law, parking facilities
Date of Last Change: February 8, 2023
Notice of Continuation: December 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-13-7 Right to Waive Rules

The division reserves the right to waive any or all of these parking rules if it is deemed by the division to be in the best interest of or for the convenience of the state.

History

KEY: transportation law, parking facilities
Date of Last Change: February 8, 2023
Notice of Continuation: December 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

R23-14 Management of Roofs on State Buildings

Utah Admin. Code R23-14-1 Purpose and Authority

(1) This rule provides for the management of roofs on state buildings to prevent damage to the roof and to improve security of state buildings.

(2) This rule is authorized under Section 63A-5b-305 which authorizes the director to make rules necessary for the division or director to perform the division or director's duties.

History

KEY: public buildings, security, roofs
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-14-2 Definitions

(1) "Agency" means each department, agency, institution, commission, board, or other administrative unit of the state. "Agency" does not mean the State Capitol Preservation Board.

(2) "Director" means the director of the division, including, unless otherwise stated, their authorized designee.

(3) "Division" means the Division of Facilities Construction and Management established pursuant to Section 63A-5b- 301.

(4) "Employee" means a person employed by the division or a responsible agency.

(5) "Responsible agency" means the agency responsible for managing a state building. "Responsible agency" does not mean the division.

History

KEY: public buildings, security, roofs
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-14-3 Buildings Managed by the Division

(1) The division shall maintain control of and restrict access to the roof of buildings managed by the division. The division shall allow access only to authorized persons as provided in this section.

(2) The division shall maintain a register of all persons granted ongoing or limited access to the roofs it manages. This shall include a list of division employees that are granted ongoing access.

(3) The register required under Subsection (2) as well as a file of the completed roof access application and agreement forms shall be retained for a period of not less than three years.

(4) To obtain access, a person, who is not an employee of the division, must complete and execute a roof access application and agreement form.

(5) The roof access application and agreement form shall include:

(a) the name of the person granted access, the period of time for which access is granted, the reason for the access, and any restrictions on the access;

(b) an agreement from the person granted access to accept responsibility for and pay for the repair of any damage resulting from that person's access;

(c) an agreement to hold the agency and the state harmless from any liability or claim resulting from the person's access;

(d) a statement by the person requesting access that the person has obtained adequate fall protection training as appropriate for the roof to be accessed and the activity to be performed thereon;

(e) the signature of the person requesting access; and

(f) the signature of the person granting access.

(6) Any person accessing a roof must have fall protection equipment as required by any applicable authority.

(7) The access limitations of this rule may be modified or reduced by the division to provide access to roofs or portions of roofs that are designed and constructed for such access.

History

KEY: public buildings, security, roofs
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-14-4 Buildings Managed by Responsible Agencies

(1) Responsible agencies shall adopt and implement policies and procedures at least as stringent as those contained in Section R23-14-3 to provide for the control of and restricted access to roofs of buildings managed by the responsible agency.

(2) The responsible agency shall develop its own means of documenting those granted access and shall identify persons authorized to grant access to roofs.

(3) In applying the requirements of Subsection R23-14-4(1), references to employees of the division in Section R23- 14-3 shall mean employees of the responsible agency.

(4) Employees of the division shall have access to these roofs after checking in with the responsible agency. The responsible agency will not need to document access by employees of the division.

History

KEY: public buildings, security, roofs
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-14-5 Access to Capital Improvement Funds for Roofing Repairs

(1) The division may refuse to use capital improvement funds appropriated to the division for the repair of roof damage if the responsible agency fails to implement or comply with the policies and procedures required by Section R23-14-4.

(2) The division may require a review of roof access records before accepting financial responsibility for the cost of repairing damage to a roof.

History

KEY: public buildings, security, roofs
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

R23-19 Facility Use Rules

Utah Admin. Code R23-19-1 Purpose

The purpose of this rule is to regulate the use of state facilities and grounds as defined in Section R23-19-3 , providing rules regarding political signs, as well as authorizing written policies to be created pursuant to this rule.

History

KEY: public buildings, facilities use, space heaters
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-19-2 Authority and Applicability

(1) This rule is authorized under Section 63A-5b-305 which authorizes the director to make rules necessary for the division or director to carry out the division or director's duties.

(2) This rule shall apply to all state facilities and grounds except as follows:

(a) To the extent not authorized by law or the Utah Constitution, this rule does not apply to state facilities and grounds under the jurisdiction of the legislative and judicial branches of state government.

(b) This rule does not apply to state facilities and grounds under the jurisdiction of the Utah Board of Higher Education.

(d) This rule does apply to state facilities and grounds under a lease to the extent consistent with the lease agreement, as the lease agreement shall control the use of the property under the lease. Notwithstanding this, the requirements of the constitutions of the United States and the state of Utah shall supersede the provisions of any such lease agreement and, in the exercise of freedom of speech or assembly rights under such constitutions in any such leased facilities and grounds, this rule and Rule R23-20 regarding time, place and manner shall apply.

History

KEY: public buildings, facilities use, space heaters
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-19-3 Definitions

(1) "Agency" means a state department, division, or agency.

(2) "Division" means the Division of Facilities Construction and Management, a division within the Department of Government Operations.

(3) "Event" or "events" are commercial, community service, private and state sponsored activities involving one or more persons. A free speech activity is not an event for purposes of this rule. The term "activity" or "activities" may be substituted in this rule for the term "event" or "events."

(4) "Facility Use Application" means a form, if required by the policies of the managing agency, which may require information identifying the event, time, location, and purpose for a facility use permit that needs to be completed by a prospective user and submitted to the managing agency.

(5) "Facility Use Permit" means a written permit issued by the managing agency authorizing the use of an area of state facilities and grounds for an event in accordance with this rule.

(6) "Freedom of Speech Activity" is as defined in Rule R23-20.

(7) "State Sponsored Activity" means any event sponsored by the state that is related to state business. This does not include extra-curricular activities.

(8) "Private Activity" means an event sponsored by private individuals, business or organizations that is not a commercial or community service activity.

(9) "Managing Agency" means the agency responsible for the management, operations, and use of the facility. If the division is responsible for the maintenance of state facilities and grounds, an agreement between the division and the occupying agency shall identify the "Managing Agency." If the division is responsible for the maintenance of state facilities and grounds, and no agreement between the division and the occupying agency identifies the "Managing Agency," the division is the "Managing Agency."

(10) "State Facilities and Grounds" means state facilities and grounds where the principal use of the facility or grounds is related to state office or program functions or is under the control of any state agency; all of which is subject to the exclusions of Subsection R 23-19-2(2).

(11) "Community Service Activities" means events sponsored by governmental, quasi-governmental and charitable organizations, city and county government departments and agencies, public schools, and charitable organizations held to support or recognize the public or charitable functions of such sponsoring group.

(12) "Commercial Activities" means events that are sponsored or conducted for the promotion of commercial products or services, and include advertising, private parties, private company or organization meetings, and any other non-public organization event. Commercial activities do not include private, community service, state sponsored, or free speech activities.

(13) "Political Sign" means a sign regarding a candidate for political office or regarding a political issue to be considered in an election.

(14) "Commercial Solicitation" is as defined in Section R23-19-6.

(15) "State" means the state of Utah and any of its agencies, departments, divisions, officers, and legislators, members of the judiciary, persons serving on state boards or commissions, and employees of such entities and persons.

History

KEY: public buildings, facilities use, space heaters
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-19-4 State Facilities and Grounds Use Requirements

(1) The managing agency may adopt policies, which require a facility use permit to be submitted. Such policies may provide for a waiver of the policy adopted under this subsection under criteria specified in the policies. The policies may specify the form of the application, including:

(a) The time, place, purpose, and scope of the proposed activity;

(b) Whether the applicant requests a waiver of any requirement of this rule or provision of the facility use permit;

(d) Any required fee subject to the following:

(i) Fees may be assessed for the use of state facilities and grounds through the written policies of the managing agency. When any activity is subject to a fee, the managing agency shall consider at a minimum the actual cost to the state including utilities, janitorial, security and rental cost for equipment. The following applies to specific activities:

(ii) "Freedom of Speech Activities." There are no fees for freedom of speech activities, but costs for requested use of state equipment or supplies may be assessed through the uniformly applied policies of the managing agency.

(ii) Commercial activities or private activities" shall be assessed a fee, which is reasonably comparable to fees charged for similar activities within the county of the state facilities and grounds. There shall be no fee waiver allowed for commercial activities or private activities.

(iii) Community service activities" shall be assessed a fee of 50% of the fee for a commercial activity and such fee may only be waived if requested in a facility use application and granted by the managing agency. There shall be no waiver of the fee related to the costs of requested use of state equipment and supplies, which is assessed through the uniformly applied policies of the managing agency.

(iv) State sponsored activities." There are no fees for state sponsored activities, except that state agencies will be required to pay the costs and fees identified in the uniform policies of the managing agency when the activity is not required for the conducting of state business, such as after-hour social events, employee recognition events, and holiday parties.

(2) The proposed activity shall not interfere with the operation of governmental business or public access. No persons shall unlawfully intimidate or interfere with persons seeking to enter or exit any facility, or interfere with the use of any state facilities or grounds.

(3) The consumption, distribution, or open storage of alcoholic beverages in state facilities and grounds is prohibited. This provision shall not apply to state facilities and grounds under the jurisdiction of or training activities conducted by the Department of Alcoholic Beverage Services or golf courses under the Division of Parks and Recreation.

(4) Open flames, flammable fluids, candles, burning incense or explosives are prohibited, except that a gelled alcohol food warming fuel used for food preparation or warming, whether catered or not, is allowed if it is in:

(a) a one-ounce capacity container (29.6 ml) on a noncombustible surface; or

(b) a container on a noncombustible surface, not exceeding one quart (946.g ml) capacity with a controlled pouring device that will limit the flow to a one ounce (29.6 ml) serving.

(5)(a) The use of a personal space heater is prohibited, except as provided in Subsection (b).

(b) Any person with a medical related condition may obtain approval by the managing agency to use a personal space heater provided the person submits a signed statement by a Utah licensed physician verifying that the medical related condition requires a change in the standard room temperature and the use of the space heater meets the specifications in Subsection (c).

(i) not exceed 900 watts at its highest setting;

(ii) be equipped with a self-limiting element temperature setting for the ceramic elements;

(iii) have a tip-over safety device;

(iv) be equipped with a built-in timer not to exceed eight hours per setting;

(v) be equipped with a programmable thermostat; and

(vi) be equipped with an overheat protection feature.

(d) Notwithstanding any other provision of this rule, if the space heater is to be placed in a facility leased by the state through the division, the placement must also be approved by the Real Estate Section of the division.

(6) For personal appliances, other than space heaters regulated under Subsection R23-19-4(5), the following applies:

(a) Personal appliances are prohibited in a private office or cubical but are allowed in break areas.

(b) "Personal appliances" for purposes of this rule include: coffee makers, refrigerators, air conditioners, food warmers, hot plates, microwaves, waffle makers, toasters, and toaster ovens.

(d) Any person with a medical related condition may obtain approval by the managing agency to use a personal appliance that would otherwise be prohibited, if the person submits a signed statement by a Utah licensed physician verifying that the medical related condition requires the use of the personal appliance in the employee's private office or cubicle.

(7) No displays, including signs, shall be affixed to state facilities and grounds.

(8) A permit holder may not change the purpose of the permitted activity without the written consent of the managing agency.

(9) Alteration and damage to state facilities and grounds including grass, shrubs, trees, paving or concrete, is prohibited.

(10) All costs to repair any damage or replace any destruction, regardless of the amount or cost of restoration or refurbishing shall be at the expense of the persons responsible for such damage or destruction.

(11) Service animals are permitted, but the presence of other animals is allowed only with advance written permission of the managing agency. Owners and caretakers are responsible for the safety to the animal, persons, grounds, and facilities.

(12) Littering is prohibited.

(13) Decorations.

(a) All cords must be taped down with 3M #471 tape or equivalent as determined by the managing agency.

(b) There shall be no posting or affixing of placards, banners, or signs attached to any part of any building or on the grounds. All signs or placards shall be hand held.

(d) Nothing may be used as a decoration, or be used in the process of decorating, that marks or damages structures.

(e) All decorations and supporting structures shall be temporary.

(f) Any writing or use of ink, paint or sprays applied to any area of any building is prohibited.

(g) The outside of a facility or any portion of the grounds may not be decorated without permission of the managing agency.

(h) Signs, posters, decorations, displays, or other media shall be in compliance with the state law regarding Pornographic and Harmful Materials and Performances, Section 76-10-1201 et seq.

(14) Live cut trees. Any live cut trees placed inside a building must be treated with fire retardant as approved by the facility manager.

(15) The following applies to artificial trees:

(a) Artificial trees shall be listed flame retardant by an independently nationally recognized laboratory with evidence of the listing available to the facility manager.

(16) The facility manager has the right to deem a tree unsafe and request an agency to remove the tree immediately if this rule is not strictly followed.

(17) All electrical decorations, including those on trees, shall be UL listed in good condition without frayed wiring, loose connections, or broken sockets. They must be used according to the manufacturers' recommendations. The electrical connection, including cabling must be approved in advance by the facility manager. Any electrical decorations shall be turned off at the end of the business day for each agency.

(18) Set up and Clean up.

(a) All deliveries and loading or unloading of materials shall be limited to routes and elevators as specified by the managing agency.

(b) All decorations, displays and exhibits shall be taken down by the designated end time of the event in a manner that is least disruptive to state business.

(19) Parking. There shall be compliance with the written parking requirements adopted by the managing agency.

(20) Compliance with Laws.

(a) Users shall conform to all applicable and constitutional laws and requirements, including health, safety, fire, building and other codes and similar requirements. Occupancy limits as posted in or applicable to any public area will dictate, unless otherwise limited for public safety, the number of persons who can assemble in the public areas. Under no circumstance will occupancy limits be exceeded. State security personnel shall use reasonable efforts to ensure compliance with occupancy, safety, and health requirements.

(b) Safety requirements as used in this rule include safety and security requirements made known to the managing agency by the Utah Department of Public Safety or the federal government for the safety and security of special events and persons.

(c) "No Smoking" statutes, rules, and policies, including the Utah Indoor Clean Air Act, Section 26-38-1 et seq. shall be observed.

(d) All persons must obey all applicable firearm laws.

(21) Security and Supervision at Events.

(a) The managing agency may adopt written policies regarding security requirements for events, which shall be followed.

(b) At least one representative of the applicant identified in the application and permit shall be present during the entire activity.

(22) Photography, Portraits, Video, and Filming.

(a) Any photography, videotaping or filming, shall require advance notice to, and permission from the managing agency for scheduling.

(b) This Subsection (22) shall not apply to tourists and does not apply to the extent it is the exercise of a free speech activity.

(23) Commercial, Private and Community Service Activities. A managing agency may determine through its written policies to categorically not allow any commercial, private or community service activities. However, if commercial or private activities are allowed, then community service activities shall be allowed subject to all the requirements of this rule and a permit.

(24) Liability.

(a) The state, managing agency and their designees, employees and agents shall not be deemed in default of any issued permit, or liable for any damages if the performance of any or all of their obligations under the permit are delayed or become impossible because of any act of God, terrorism, war, riot or civil disobedience, epidemic, strike, lock-out or labor dispute, fire, or any other cause beyond their reasonable control.

(b) Except as required by law, the state shall not be responsible for any property damage or loss, nor any personal injury sustained during, or as a result of, any use, activity, or event.

(c) Users and applicants shall be responsible for any personal injury, vandalism, damage, loss, or other destruction of property caused by the user or an attendee at the applicant's event.

(25) Insurance. Users and applicants shall at all times during the use of state facilities and grounds, without interruption, carry and maintain commercial general liability insurance from an insurance company authorized to do business in Utah. The limits of this insurance will be no less than $1,000,000 per occurrence and $2,000,00) aggregate. An applicant for a permit shall provide proof of the general liability insurance policy with the applicant's application for a permit. The state must be an additional insured with notice of cancellation. Failure to provide proof of insurance as required will result in denial of the application.

(26) Indemnification. Users and applicants shall be fully liable for the actions of their members, agents and employees and, to the fullest extent permitted by law, shall indemnify, defend and save harmless the managing agency and the state of Utah from all claims, losses, suits, actions, damages, and costs of every name and description arising out of, in whole or in part, any intentional act or negligence of the user and applicant, its members, agents, or employees, without limitation; except that the managing agency and the state shall not be indemnified for any claim, loss or damage arising due to the sole fault of the managing agency or state of Utah. With respect to any limitations of the user's and applicant's liability, including a limitation of liability clause for anyone for whom the user and applicant is responsible, such limitations of liability will not apply to injuries to persons, including death, or to damages to property of the managing agency or state of Utah.

(27) Enforcement of Rules. If any person or group is found to be in violation of any of the applicable laws and rules, a law enforcement officer or state security officer may issue a warning to cease and desist from any non-complying acts. If the law enforcement or security officer observes a non-compliant act after a warning, the officer may take disciplinary action including citations, fines, cancellations of event or activity, or removal from the state facility and grounds.

History

KEY: public buildings, facilities use, space heaters
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-19-5 Facility Use Permit - Denial - Appeal - Cancellation - Revocation - Transfer

(1) Within ten working days of receipt of a completed application, the managing agency shall issue a facility use permit or notice of denial of the application.

(2) The managing agency may deny an application if:

(a) The application does not comply with the applicable rules;

(b) The event would conflict or interfere with a state sponsored activity, a time or place reserved for freedom of speech activities, the operation of state business, or a legislative session; or

(3) The managing agency may place conditions on the approval that alleviates such concerns.

(a) If the applicant disagrees with a denial of the application or conditions placed on the approval, the applicant may request a reconsideration of the managing agency's determination by delivering the written request for reconsideration and reasons for the disagreement to the managing agency within five working days of the issuance of the notice of denial or approval with conditions.

(b) Within ten days after the managing agency receives the written request for reconsideration, the managing agency may modify or affirm the determination.

(c) If the matter is still unresolved after the issuance of the managing agency's reconsideration determination, the applicant may appeal the matter, in writing, within ten calendar days to the Executive Director of the Department of Government Operations who will determine the process of the appeal.

(5) Facility Use Permits are non-transferable. The purpose, time, place, and other conditions of the facility use permit may not be changed without the advance written consent of the managing agency.

(6) An event may be re-scheduled if the managing agency determines that an event will conflict with a governmental function, free speech activity or state sponsored activity.

(a) The managing agency may revoke any issued permit if this rule, any applicable law, or any provision of the permit is being violated. The permit may also be revoked if the safety or health of any person is threatened.

(b) The permittee may cancel the permit and receive a refund of fees, less any incurred costs to the state or managing agency, and any deposits if written notice of cancellation is received by the managing agency at least 48 hours before the scheduled event. Failure to timely cancel the event will result in the forfeiture of any deposit and fees.

History

KEY: public buildings, facilities use, space heaters
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-19-6 Commercial Solicitation Policy

(1) In general, commercial solicitation is prohibited.

(2) Nothing in this rule shall be interpreted as to infringe upon anyone's constitutional right of freedom of speech and freedom of association.

(3) In addition to the definitions in Section R23-19-3, the following definitions shall also apply to Section R23-19-6:

(a) "Commercial Solicitation" means any commercial activity conducted for the purpose of advertising, promoting, fundraising, buying, or selling any product or service, encouraging membership in any group, association or organization, or the marketing of commercial activities by distributing handbills, leaflets, circulars, advertising or dispersing printed materials for commercial purposes.

(b) "Commercial Solicitation" for the purpose of this rule does not include free speech activities as defined in Rule R23-20.

(c) "Commercial Solicitation" for the purpose of this rule does not include filming or photographic activities, but such activities shall be subject to Rule R23-19 et seq.

(d) "Commercial Solicitation" for the purpose of this rule does not include solicitation by the state or federal government; solicitation related to the business of the state, solicitation related to the procurement responsibilities of the state, solicitation allowed as a matter of right under applicable federal or state law; or solicitation made pursuant to a contract or lease with the state.

(4) Commercial Solicitation Allowed under a facility use permit.

(a) Commercial solicitation, not prohibited by Subsection R23-19-6(5), may be allowed in conjunction with the issuance of a facility use permit under Rule R23-19 and such commercial solicitation must comply with the facility use requirements of this rule.

(b) All materials allowed shall be displayed only on bulletin boards or in areas that have been approved in advance by the managing agency.

(c) The issuance of a facility use permit shall not be construed as state endorsement of the solicitor's product, service, charity, or event.

(d) Soliciting activities are subject to all littering laws and rules.

(5) Prohibited Commercial Solicitation. The following commercial solicitation activities are prohibited, and no facility use permit shall be issued for such:

(a) Door-to-door commercial solicitation of items, services, or donations.

(b) Commercial solicitation to persons in vehicles or by leaving any commercial solicitation materials on vehicles or parking lots.

(c) Any sale of food or beverage products that would be in any violation of any contract entered into by the state or the managing agency.

History

KEY: public buildings, facilities use, space heaters
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-19-7 Waivers

(1) The managing agency may waive, in writing, the requirements of Rule R23-19 upon being presented with compelling reasons that the waiver will substantially benefit the public and that the facilities, grounds and persons will be appropriately protected. Conditions may be placed on any approved waiver to assure the appropriate protection of facilities, grounds, and persons. An appeal of a denial of a request for such waiver may be filed and processed similarly to the denial of a facility use permit as described in Section R23-19-5.

(2) Costs and fees shall be waived for state sponsored activities. However, state agencies will be required to pay the costs and fees identified in the Schedule of Costs and Fees when the activity is not required for the conducting of state business, such as after-hour social events, employee recognition events, and holiday parties. Costs and fees will not be waived for commercial activities, private activities, and commercial solicitation activities.

(3) Notwithstanding the waiver provisions of this rule, the following may not be waived by the managing agency: Subsections R23-19-4(2), (4), (5) (8), (9), (10), (11), (15), (16), (18), (19), (20) and (21) as well as Section R23-19-6.

History

KEY: public buildings, facilities use, space heaters
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-19-8 Political Signs

(1) Political signs, except for hand-carried signs during permitted events under a facility use permit, are prohibited on all state owned or leased properties except as allowed under a freedom of speech activity or as protected under the state of Utah or United States constitutions.

(2) Section R23-19-8 shall not apply to Utah Department of Transportation right-of-ways, properties of the State Institutional Trust Lands Administration or properties of the Board of Higher Education, any of which may have its own laws or rules applicable to political signs.

History

KEY: public buildings, facilities use, space heaters
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

R23-20 Free Speech Activities

Utah Admin. Code R23-20-1 Purpose

(1) The purpose of this rule is to:

(a) facilitate constitutionally protected free speech and assembly at state facilities and grounds;

(b) preserve the right of every person to exercise free speech and freedom of assembly as protected by the constitutions of Utah and the United States subject to lawful time, place, and manner rules regarding free speech activities necessary to protect the public health, safety, and welfare, including safety and security considerations, the rights of others to exercise free speech and freedom of assembly, and minimizing the disruption to governmental business;

(d) designate areas under the managing agency's control, for free speech activities as specified in this rule that are necessary to protect the public health, safety, and welfare, including safety and security considerations, the rights of others to exercise free speech and freedom of assembly, and minimizing the disruption to governmental business; and

(e) establish guidelines to facilitate constitutionally protected free speech activities and public assembly.

(2) This rule is intended to further the following governmental interests:

(a) to facilitate constitutionally protected free speech activities and public assembly;

(b) to provide for lawful time, place, and manner rules regarding free speech activities necessary to protect the public health, safety, and welfare;

(d) to minimize disruption to or interruption of the conduct of state business;

(e) to maintain unobstructed and efficient flow of pedestrian and vehicular traffic between and within state facilities and grounds to provide safety and security of persons, emergency vehicle access, and assure accessibility to public services;

(f) to provide all persons their guaranteed right of free speech and freedom of assembly without harm or interruption; and

(g) to inform persons of their responsibilities regarding littering, damage to, and vandalism of state facilities and grounds.

History

KEY: rally, free speech, assembly
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-20-2 Authority

This rule is authorized under Section 63A-5b-305 which authorizes the director to make rules necessary for the division or director to perform the division or director's duties.

History

KEY: rally, free speech, assembly
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-20-3 Definitions

The definitions of Section R23-19-3 shall apply to this rule. In addition, the following definitions shall apply for purposes of this rule:

(1) "Free Speech" and "Freedom of Assembly" means the exercise of free speech and freedom of assembly as protected by the constitutions of Utah and the United States.

(2) "Free Speech Activity" or "Free Speech Activities" means the use of an area of the state facilities and grounds for a demonstration, rally, leafleting, press conference, vigil, march, or parade that is available for such activity under this rule, by one or more persons for constitutionally protected free speech or assembly.

(a) "Advanced Planned Free Speech Activity" means a free speech activity that can be reasonably scheduled in advance of its occurrence, such that the managing agency may lawfully require compliance with certain requirements as specified in this rule.

(b) "Short-Notice Free Speech Activity" means a free speech activity that arises out of or is related to events or other public issue activities which cannot be reasonably anticipated far enough in advance of the occurrence to reasonably allow compliance with the requirements for an advanced planned free speech activity.

(3) "Demonstration" means the assembly of a group of individuals that join together to express a point of view openly.

(4) "Rally" means to hold an open gathering of a group of individuals of similar purpose to join together to express a point of view openly.

(5) "Leafleting" means the continuous unsolicited distribution of leaflets, buttons, handbills, pamphlets, flyers, or any other written or similar materials indiscriminately to pedestrians or passersby.

(6) "Press Conference" means an organized formal assembly called by an individual or group to announce or express a point of view to the public utilizing the press and other media.

(7) "Vigil" means an assembly of individuals who come together to demonstrate their solidarity by an occasion or devotional watching or observance.

(8) "March" or "Parade" means the organized assembly of individuals who are celebrating or expressing a point of view while moving from one location to another.

(9) "Public Areas" means all areas of the state facilities and grounds open to the public.

History

KEY: rally, free speech, assembly
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-20-4 Free Speech and Freedom of Assembly; In General

Unless specifically regulated by this rule as to time, place, or manner, all free speech and freedom of assembly may occur in all public areas of the state facilities and grounds in any lawful form or manner as guaranteed by the constitutions of Utah and the United States.

History

KEY: rally, free speech, assembly
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-20-5 Time, Place, and Manner of Free Speech Activities

(1) Free Speech and Assembly Promoted and Encouraged. Free speech and freedom of assembly, as protected by the constitutions of Utah and United States, is promoted, and encouraged at state facilities and grounds. Free speech activities, as specifically defined in this rule, are subject to lawful time, place, and manner rules regarding free speech activities necessary to protect the public health, safety, and welfare, including safety and security considerations, the rights of others to exercise free speech and freedom of assembly, and minimizing the disruption to governmental business.

(2) Subject to Facility Use Rules, Exception. Free speech activities shall be subject to Section R23-19-1 et seq., except that, in the case of conflict, Rule R23-20 shall control.

(3) Time.

(a) Free speech activities held outdoors may take place 24 hours a day subject to duration requirements specified in this rule.

(b) Free speech activities held indoors may take place during the hours such public areas are open to the public, generally between 8 a.m. to 5 p.m.

(4) Place.

(a) Health, safety, and welfare restricted areas that may not be reserved for a free speech activity are the vehicular traveled portions of roads, roadways or parking lots, areas directly in front of or adjacent to parking garages' entrances or exits, paths of egress or access to emergency stairs and emergency egress hallways, areas under construction which are hazardous to non-construction workers, and those specific portions of the state facilities and grounds that contain storage, utilities, and technology servicing the state facilities and grounds or other areas, which either must be available for prompt repair, are not open for public use or represent a danger to members of the public.

(b) To protect the public health, safety, and welfare and allow for public accessibility to and the conduct of state business, a demonstration, rally, parade, march, or vigil may only be conducted on the public areas of the grounds and not inside the facilities.

(c) Notwithstanding any other provision of this rule, there is no registration requirement for free speech leafleting. To protect the public, health, safety, and welfare and allow for public accessibility to and the conduct of state business, free speech activity leafleting, as defined in this rule, is allowed at state facilities and grounds in public areas, without interference from state security, provided that it is done in a non-aggressive manner and does not prevent other individuals from passing along sidewalks and through doorways. The state is allowed to enforce all applicable statutes and ordinances regarding blocking public sidewalks, blocking hallways, disorderly conduct, blocking entrances to public buildings, garage entries, assault, battery and the like consistent with the requirements of the constitutions of Utah and the United States. Leafleting is not allowed by placing leaflets on vehicles on state facilities and grounds.

(5) Manner.

(a) Registration and Scheduling.

(i) All free speech activities shall comply with the following requirements, except that leafleting shall not be subject to any registration requirements.

(ii) An advanced planned free speech activity shall register as soon as reasonably possible, but not less than seven days in advance of the free speech activity by registering with the managing agency.

(iii) Persons registering will provide the following information: the name of the sponsoring organization; the name and contact information of a contact person or agent; the type of free speech activity; the date, time, and duration of the free speech activity; the public area requested for use; the number of anticipated participants; and a list of equipment and services to be used in connection with the free speech activity. Registration shall be on a standard form prepared by the managing agency.

(iv) If a person or group fails to register due to a short-notice free speech activity, they may still conduct the free speech activity provided it does not create a problem of public safety or interfere with the time and location of a previously scheduled free speech activity in the same public area and meets all the other requirements of this rule. In the case of such problem of public safety or interference, the managing agency will coordinate with the applicant in reasonable efforts to find an alternative reasonable time or location.

(b) Priority.

(i) The scheduling assignment of public areas shall be made on a first come, first-serve basis.

(ii) In the case of scheduling conflicts, priority in the use of the public areas shall be given to government business or state sponsored activities where the authorized governmental official is reserving the public area for an expressed governmental or state need. Free speech activities shall be given priority over community service, commercial, and private activities. In the case of such problem of public safety or interference, the managing agency will coordinate with the applicant in reasonable efforts to find an alternative reasonable time or location.

(iii) No group or individual will be denied access to or use of a public area unless the proposed free speech activity violates this rule, applicable law, conflicts with a scheduled state sponsored activity, or conflicts with the time and location of a previously scheduled free speech activity.

(c) Consistent with the protections of the Utah and United States constitutions to preserve the free speech rights of others, outbursts or similar actions which disrupts or is likely to disrupt any government meeting or proceeding, are prohibited.

History

KEY: rally, free speech, assembly
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-20-6 Expedited Appeals-Free Speech Activities

(1) Claims eligible for expedited appeal. The following determinations of claims regarding a free speech activity may be appealed as provided in Section in R23-20-6.

(a) A determination by the managing agency that a proposed event or activity is a commercial activity and not exempted as a free speech activity;

(b) A claim by an applicant that the managing agency's denial, or condition of approval, of a proposed route, time or location for a free speech activity constitutes a violation of this rule or an unlawful time, place, or manner restriction; or

(c) Any other claim by an applicant that any action by the state regarding the proposed free speech activity impermissibly burdens constitutionally protected rights of the applicant, sponsor, participants, or spectators.

(2) Process for Expedited Appeal:

(a) The state acknowledges an obligation to process appeals regarding a free speech activity promptly to not unreasonably inhibit or unlawfully burden constitutionally protected activities. Any time limit stated in Section R23-20-6 may be lengthened if agreed to by the appellant and the managing agency.

(i) As soon as reasonably possible, but no later than two working days after receipt of a completed registration, the managing agency shall issue a determination, which may include lawful conditions, or notice of denial of the registration application.

(b) The managing agency may deny the requested activity if:

(i) the requested activity does not comply with the applicable rules;

(ii) the registrant attempts to register a free speech activity, but the managing agency determines that it is a commercial activity;

(iii) the event would disrupt, conflict, or interfere with a state sponsored activity, a time or place reserved for another free speech activity, the operation of state business, and such determination is in accordance with applicable constitutional provisions; or

(iv) the event poses a safety or security risk to persons or property and such determination is in accordance with applicable constitutional provisions.

(c) The managing agency may place conditions on the approval that alleviates such concerns, and such conditions are in accordance with this rule and applicable constitutional provisions.

(i) If the applicant disagrees with a denial of the request or conditions placed on the approval, the applicant may appeal the managing agency's determination by delivering the written appeal and reasons for the disagreement to the managing agency.

(ii) Within three working days after the managing agency receives the written appeal, the managing agency may modify or affirm the determination.

(iii) If the matter is still unresolved after the issuance of the managing agency's reconsideration determination, the applicant may appeal the matter, in writing, within ten calendar days to the Executive Director of the Department of Government Operations who will determine the process of the appeal and provide for a determination within five working days.

(e) If the applicant for a free speech activity needs a more expeditious process of an appeal, upon written request of the applicant, the Attorney General or designee may advise the Executive Director of the Department of Government Operations or the managing agency of the need to make an immediate consideration of the appeal.

History

KEY: rally, free speech, assembly
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

Utah Admin. Code R23-20-7 Expedited Review of Free Speech Concern

If any person claims to be inhibited from the exercise of constitutionally protected free speech by a public officer, officer or other person at any state facilities and grounds, such person is advised to promptly notify the managing agency. The managing agency will then take reasonable steps in an attempt to resolve the matter.

History

KEY: rally, free speech, assembly
Date of Last Change: February 8, 2023
Notice of Continuation: January 10, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305

R23-21 Division of Facilities Construction and Management Procedures for Conveyances, Leases, Purchases, and Exchanges of Real Property

Utah Admin. Code R23-21-1 Purpose and Authority

(1) This rule is authorized under Section 63A-5b-305 which authorizes the director to make rules necessary for the division or director to perform the division or director's duties, under Section 63A-5b-806 which requires the division to make rules to ensure that, if the division buys or exchanges real property, the value of the real property is congruent with the proposed price and other terms of the purchase or exchange and under Section 63A-5b-903 which authorizes the director to make rules regarding the transfer of ownership or lease of vacant division-owned property.

(2) The statutory provisions governing the conveyance, leasing, purchase, and exchange of real property by the division are contained in Section 63A-5b-303, Title 63A, Chapter 5b, Part 8, Acquisitions of Real Property Interests and Title 63A, Chapter 5b, Part 8, Disposal of Division-owned property.

History

KEY: leases, leasing services, purchases and exchanges of real property
Date of Last Change: January 22, 2025
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-806

Utah Admin. Code R23-21-2 New Leases

(1) Agency Request and Justification.

An agency requesting leased space shall submit a request and justification statement to the division at least six months before the required date of occupancy. A space utilization program shall be prepared by the agency. Assistance is available, if needed, from the staff of the division. The staff of the division, along with the agency, shall review the program and criteria for the space requested.

(2) The justification statement shall include the following:

(a) planned agency use;

(b) present agency location;

(d) any options;

(e) lease term;

(f) present lease rate and what services are included;

(g) present square footage; and

(h) requested square footage.

(2) Securing Space.

If a new lease is required, an advertisement may be prepared by the division, and competitive proposals may be solicited, however the division may use any other process consistent with the best interests of the state, the requirements of the agency and the anticipated use of the property. Proposals shall be reviewed jointly by the division staff and the agency.

The review shall include compliance to codes that are required by state and federal laws.

(3) Negotiations.

The division shall negotiate or may allow the agency to participate in the negotiations, so that space can be leased in the best interest of the state, the requirements of the agency and the anticipated use of the property.

(4) Lease Agreements.

A standard lease agreement has been prepared for use by the division. An approved alternate may be used. The lessor, agency, and staff of the division should be involved in the preparation of the final written lease agreement.

(5) Lease Approval and Processing.

The lease shall be distributed for approval signatures of the lessor, the Agency Budget Officer, the Agency Director, the Attorney General, and the division.

The lease will be recorded by the division on a computerized lease file for updating, renewal, and control.

Approval of the Division of Finance is required to establish a payment schedule and issue a contract number.

History

KEY: leases, leasing services, purchases and exchanges of real property
Date of Last Change: January 22, 2025
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-806

Utah Admin. Code R23-21-3 Renewal of Leases and Options

The division shall notify each agency at least six months in advance as to the expiration date of the lease. The division shall consult with the agency on whether to renew an existing lease or seek new space. This shall be based on space requirements and needs of the agency.

If the agency decides to renew a lease, the agency shall submit a request to the division at least 120 days before the expiration date. If the leased space is conducive to the agency needs, then long-term leasing may be considered. Previously outlined procedures shall be followed for lease renewals and options that agencies may wish to exercise.

History

KEY: leases, leasing services, purchases and exchanges of real property
Date of Last Change: January 22, 2025
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-806

Utah Admin. Code R23-21-4 Requirements for Purchasing or Exchange of Real Property

Unless exempt under Section 63A-5b-806 or waived under Section R23-21-6, the division shall comply with the following in regard to the purchase, accepting a donation of, or acquisitions effectuated through the exchange, of real property that is subject to this rule:

(1) Selection Process. In accordance with state law, the division shall either perform the selection process or assist the state agency with the selection process. The selection process shall comply with applicable state laws and rules. The division may use the services of a real estate professional in accordance with state law and selected pursuant to the Utah Procurement Code, if applicable, and applicable rules.

(2) Financing Requirements. As authorized by the Utah Legislature, the division may assist, as appropriate, with financing requirements, including, coordinating financing requirements through the State Building Ownership Authority, or other authorized bonding authority.

(3) Document Preparation and Approvals. In accordance with state law, the division shall negotiate, draft, and execute the applicable Contract for the Purchase of Real Estate and transaction documents with due consideration to the state agency's comments. The state agency may be required by the division to be a signatory to the acquisition contract. Legal documents shall either be on a form approved by the Utah Attorney General or submitted for approval to the Utah Attorney General. Closing documents prepared by a title company shall either be on a form approved by the Utah Attorney General or submitted for approval to the Utah Attorney General.

(4) Substantive Requirements. Unless a provision of Section R23-21-4 is waived under Section R23-21-6, the division shall obtain and review the following:

(a) Title Insurance. For all real estate acquisition transactions, the division shall obtain a preliminary title report and an Owner's Policy of Title Insurance on the acquired property, however, the director may waive the obtaining of the Policy of Title Insurance for real estate transactions with an estimated value by the division of under $500,000 if the director finds that the circumstances show that there is no potential of title risk or if the transaction is between public entities;

(b) Environmental Assessment. A Phase I environmental assessment shall be conducted on the acquired property and a higher level environmental assessment may be performed if the property presents a risk of being contaminated with hazardous materials;

(c) Engineering Assessment. The division shall obtain an engineering assessment of mechanical systems and structural integrity of improvements located on the acquired property;

(d) A study of available services to the acquired property shall be conducted, which shall include an analysis of any required utilities, including water, sewer, gas, electricity and the like;

(e) A geotechnical analysis shall be obtained;

(f) A flood plan analysis shall be accomplished;

(g) Drainage issues shall be studied;

(h) Code Review. The division shall review the real property to be acquired to ascertain its suitability under all applicable codes, including the Americans with Disabilities Act, guidelines, laws, regulations, and requirements;

(i) Appraisal. Except for transactions where state law does not require a certain value to be established or where the division is authorized to estimate the value, and subject to Section R23-21-5, the value used by the division in the negotiation shall be based upon an appraisal completed by an appraiser that is a state-certified general appraiser under Section 61-2g-314, and, when determined by the director that it is in the interest of the state, the director may require that the appraiser be a State of Utah licensed MAI appraiser;

(j) Maintenance and Operation History. The division shall obtain, if reasonably available, an analysis of past maintenance and operational expenses;

(k) Land Use Information. The division shall obtain, if reasonably available, the plat map, zoning, and planning information;

(l) Survey. The division shall obtain an ALTA/ACSM Land Title Survey, current revision, of the property to be acquired, provided, however, an ALTA survey shall not be required if an ALTA survey has already been performed within the past 12 months unless otherwise determined by the division;

(m) Historic Assessment. The division shall undertake a historic property assessment under Section 9-8a-404; and

(n) Other. The division shall also comply with other requirements determined necessary by law, rule, regulation, or by the division.

History

KEY: leases, leasing services, purchases and exchanges of real property
Date of Last Change: January 22, 2025
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-806

Utah Admin. Code R23-21-5 Conveyances, Leases or Disposal of Division-Owned Real Property for Fair Market Value

(1) Ordinarily, for a conveyance, lease, or disposal of division-owned real property for fair market value pursuant to Subsection 63A-5b-303(1)(a)(viii), the division shall follow the procedures established in Section 63A-5b-905, Section 63A-5b- 906 and Section 63A-5b-907 for a transfer of ownership or lease of vacant division-owned property for less than fair market value.

(2) A conveyance, lease, or disposal of division-owned real property for fair market value pursuant to Subsection 63A- 5b-303(1)(a)(viii) that does not follow the procedures established in Section 63A-5b-905, Section 63A-5b-906 and Section 63A- 5b-907 for a transfer of ownership or lease of vacant division-owned property for less than fair market value requires the written approval of the Executive Director or the Executive Director's designee, after consultation with the Governor or the Governor's designee.

(3) In making the determination whether to approve a conveyance, lease, or disposal of division-owned real property pursuant to Subsection (2), the Executive Director or the Executive Director's designee and the Governor or the Governor's designee shall consider the best interests of the state and may consider the applicable "Benefit to the State" criteria established in Section R23-22-4, as well as any other factors relevant to a determination whether a conveyance, lease, or disposal of division- owned real property pursuant to Subsection (2) is in the best interest of the state.

(4) For conveyances of division-owned real property for fair market value pursuant to Subsection 63A-5b- 303(1)(a)(viii), the division shall establish the fair market value of the property to be conveyed based upon an appraisal completed by an appraiser that is a state-certified general appraiser under Section 61-2g-314, or, if determined by the director that it is in the interest of the state, a State of Utah licensed MAI appraiser.

(5) For exchanges of division-owned real property for fair market value pursuant to Subsection 63A-5b-303(1)(a)(viii) and (c)(ii), the division shall establish the fair market value of the property to be conveyed based upon an appraisal completed by an appraiser that is a state-certified general appraiser under Section 61-2g-314, or, if determined by the director that it is in the interest of the state, a State of Utah licensed MAI appraiser. Additionally, the director shall establish that the fair market value of the property to be acquired by exchange is adequate consideration for the property conveyed based upon an appraisal of the property to be acquired completed by an appraiser that is a state-certified general appraiser under Section 61-2g-314, or, if determined by the director that it is in the interest of the state, a State of Utah licensed MAI appraiser.

(6) For leases of division-owned real property by the state as landlord for fair market value pursuant to Subsection 63A-5b-303(1)(a)(viii), the division shall compare the proposed rent to current market rates and ensure that the proposed rent is reasonable under current market conditions and shall compare proposed significant lease terms to the current market, and ensure that the proposed terms are reasonable under current market conditions.

(7) The requirements of Section R23-21-5 may not be waived by the director undersection R23-21-6.

History

KEY: leases, leasing services, purchases and exchanges of real property
Date of Last Change: January 22, 2025
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-806

Utah Admin. Code R23-21-6 Waiver of Requirements

To the extent allowed by law, any provision of this rule may be waived by the director when the adherence to the provision show that the enforcement of the rule would not be in the public interest.

History

KEY: leases, leasing services, purchases and exchanges of real property
Date of Last Change: January 22, 2025
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-806

R23-22 Disposal of Division owned Property -- Qualified Proposal Requirements

Utah Admin. Code R23-22-1 Purpose

This rule establishes the criteria that a written proposal shall satisfy to be a qualified proposal.

History

KEY: procedures, selling, surplus, real property
Date of Last Change: February 8, 2023
Notice of Continuation: December 12, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-903

Utah Admin. Code R23-22-2 Authority

This rule is authorized under Section 63A-5b-903, which authorizes the division, in accordance with the Utah Administrative Rulemaking Act, to make rules that establish criteria that a written proposal shall satisfy to be a qualified proposal and define criteria that the director will consider in making a determination whether a proposed use, occupancy, transfer of ownership, or lease of vacant division-owned property provides a material benefit to the state.

History

KEY: procedures, selling, surplus, real property
Date of Last Change: February 8, 2023
Notice of Continuation: December 12, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-903

Utah Admin. Code R23-22-3 Requirements for Qualified Proposals

(1) For sales of vacant division-owned property, the division may require a qualified proposal to propose a minimum acceptable purchase price, to be established by the division.

(2) For leases of vacant division-owned property, the division may require a qualified proposal to propose a minimum acceptable rent, to be established by the division, as well as proposed lease term, options for extension, if any, and material lease terms and conditions.

(3) A written proposal submitted by a local government entity or public purpose nonprofit entity shall explain the public purpose for which the local government entity or public purpose nonprofit entity seeks a transfer or lease of the vacant division-owned property to be a qualified proposal.

(4) To be a qualified proposal, a written proposal shall address how the written proposal, if accepted and implemented, provides a material benefit to the state.

History

KEY: procedures, selling, surplus, real property
Date of Last Change: February 8, 2023
Notice of Continuation: December 12, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-903

Utah Admin. Code R23-22-4 Benefit to the State Criteria

The director may consider the following criteria in making a determination whether a proposed use or occupancy, transfer or ownership, or lease of vacant division-owned property provides a material benefit to the state.

(1) The fair market value of the vacant division-owned property.

(2) The purchase price, rent, or value of property to be exchanged and financial terms of all qualified proposals.

(3) The relative benefits to the state of the proposed uses of the vacant division-owned property as stated in qualified proposals.

(4) If the vacant division-owned real property is located within a municipality, comments from the municipality regarding the proposed transaction or, if the vacant division-owned property is not located within a municipality, comments from the county where the vacant division-owned property is located.

(5) Comments from the owners of property adjacent to the vacant division-owned property.

(6) Comments from affected utilities and local service districts.

(7) The compatibility of the proposed uses of the vacant division-owned property with existing uses of adjacent property.

(8) Any other factor specific to the proposed transaction which the director determines should be considered as to whether a proposed use or occupancy, transfer or ownership, or lease of vacant division-owned property provides a material benefit to the state.

History

KEY: procedures, selling, surplus, real property
Date of Last Change: February 8, 2023
Notice of Continuation: December 12, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5b-903

R23-23 Health Reform -- Health Insurance Coverage in State Contracts -- Implementation

Utah Admin. Code R23-23-1 Purpose

The purpose of this rule is to comply with Section 63A-5b-607.

History

KEY: health insurance, contractors, contracts, contract requirements
Date of Last Change: February 8, 2023
Notice of Continuation: February 27, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-607

Utah Admin. Code R23-23-2 Authority

This rule is authorized under Section 63A-5b-305, which authorizes the director to make rules necessary for the division or director to perform the division or director's duties as well as Section 63A-5b-607 which requires this rule related to health insurance provisions in certain design or construction contracts.

History

KEY: health insurance, contractors, contracts, contract requirements
Date of Last Change: February 8, 2023
Notice of Continuation: February 27, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-607

Utah Admin. Code R23-23-3 Demonstration of Compliance

(1) At such time as a contractor becomes subject to the requirements of Section 63A-5b-607, the contractor shall obtain and submit to the director a written Statement of Compliance in the form published on the division's website.

(2) At such time as a subcontractor of a contractor becomes subject to the requirements of Section 63A-5b-607, the contractor shall obtain from the subcontractor a written Statement of Compliance in the form published on the division's website.

History

KEY: health insurance, contractors, contracts, contract requirements
Date of Last Change: February 8, 2023
Notice of Continuation: February 27, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-607

Utah Admin. Code R23-23-4 Compliance Subject to Audit

A contractor or subcontractor's compliance with Section 63A-5b-607 is subject to an audit by the division or the Office of the Legislative Auditor General.

History

KEY: health insurance, contractors, contracts, contract requirements
Date of Last Change: February 8, 2023
Notice of Continuation: February 27, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-607

Utah Admin. Code R23-23-5 Penalties

The penalties that may be imposed if a contractor or subcontractor intentionally violates Section 63A-5b-607 may include:

(1) a three-month suspension of the contractor or subcontractor from entering into future contracts with the state upon the first violation;

(2) a six-month suspension of the contractor or subcontractor from entering into future contracts with the state upon the second violation;

(3) an action for debarment of the contractor or subcontractor in accordance with Section 63G-6a-904 upon the third or subsequent violation; and

(4) monetary penalties which may not exceed 50% of the amount necessary to purchase qualified health insurance coverage for an employee and the dependents of an employee of the contractor or subcontractor who were not offered qualified health insurance coverage during the duration of the contract.

History

KEY: health insurance, contractors, contracts, contract requirements
Date of Last Change: February 8, 2023
Notice of Continuation: February 27, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-607

Utah Admin. Code R23-23-6 Benchmark Available on Division's Website

The commercially equivalent benchmark for the qualified health insurance coverage that is provided by the Department of Health in accordance with Subsection 26-40-115(2) is available on the division's website.

History

KEY: health insurance, contractors, contracts, contract requirements
Date of Last Change: February 8, 2023
Notice of Continuation: February 27, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 63A-5b-607

R23-24 Capital Projects Utilizing Non-appropriated Funds

Utah Admin. Code R23-24-1 Purpose

The purpose of this rule is to establish the policy of the division relative to projects which are funded partially or totally by non-appropriated funds; establishing requirements for verification of funding and the timing of reimbursements to the division for expenditures made.

History

KEY: buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5-1101

Utah Admin. Code R23-24-2 Authority

This rule is authorized under Section 63A-5b-305, which authorizes the director to make rules necessary for the division or director to perform the division or director's duties.

History

KEY: buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5-1101

Utah Admin. Code R23-24-3 Background

(1) The division is charged with the responsibility of administering the design and construction of capital facilities costing over $100,000 for all state agencies and institutions regardless of funding source. The only exception to the division's administration is when a project is delegated to an agency or institution by the division or when the division authorizes a facility owner who will own, operate, and maintain a facility located on state property to administer design and construction of the facility.

(2) When projects are funded through Legislative appropriation, the funding is generally made available to the division before entering into contracts on those funds. However, many projects receive all or a part of their funding from other sources. Examples of these sources include donations, auxiliary funds, discretionary funds, reimbursed overhead, revenue bonds, and federal funds. In addition, some projects are made as a joint effort between state agencies or institutions and local governmental units. In these situations, the division needs to receive adequate assurance that the funding is in fact in place and that it will be reimbursed for expenditures as they are made.

History

KEY: buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5-1101

Utah Admin. Code R23-24-4 Policy

The following policy will apply to all projects funded in whole or in part by non-appropriated funds.

(1) Before initiating the project, an executive having the authority to bind the agency or institution shall provide the division with a letter stating the funding to be provided by the agency or institution and committing to reimburse the division in accordance with this policy. In the case of a joint project with a non-state entity, a formal agreement shall be entered into.

(2) Before bidding the construction of the project, the agency or institution must provide the division with the following:

(a) A breakdown of the funding for the project showing the amount of cash available, the amount outstanding on legally enforceable contracts and commitments payable to the agency or institution and dedicated to the project, and the remaining difference.

(b) An explanation will be provided regarding how and when the remaining difference will be obtained. This difference may not exceed 25% of the project funding. The division reserves the right to require that a higher percentage of the funding be available if it determines that this is necessary to protect the state's interests.

(c) The agency or institution may commit that it will cover the remaining difference from other funds available to it until the full funding is obtained as long as this commitment is within the legal and financial capability of the agency or institution.

(d) Any exception to this policy must be approved by the director of the division and the state Director of Finance.

(3) The agency or institution will be responsible for providing its proportionate share of the funding. If the funding sources anticipated by the agency or institution do not meet its share of costs, the agency or institution must either provide alternate sources of funding or reduce the cost of the project to bring it back within the level of available funding.

(4) Any non-monetary assets donated as a funding source must be liquidated by the agency or institution before the bidding of construction. Exceptions may be granted by the director and the state Director of Finance when alternate funding can be assured.

(5) It is the responsibility of the agency or institution to inform the division immediately of any restrictions on the funding provided, including federal grants or donor restrictions.

(6) Agencies and institutions will be required to reimburse the division for their share of expenditures ratably throughout the project. An exception may be made if the agency or institution is providing funding for a specific element of the project such as equipment, furnishings, or fountains. This exception will not be granted if the funding is for items which are a basic and necessary element of the construction of the project.

(7) The division will submit monthly billings to agencies and institutions for their share of the expenditures made. Payment will be due back to the division within 16 working days of the billing date or the mailing date whichever is later. The division will notify the state Division of Finance of any billings not paid within seven days of the due date. The Division of Finance may deduct any delinquent invoices for the division from the next appropriation allotment to the institutions or transfer the funds to the division as may be appropriate. Before taking any action, the Division of Finance will consult with the governing body or head of the agency or institution as appropriate.

History

KEY: buildings
Date of Last Change: February 8, 2023
Notice of Continuation: August 30, 2022
Authorizing, and Implemented or Interpreted Law: 63A-5-1101

R23-25 Administrative Rules Adjudicative Proceedings

Utah Admin. Code R23-25-1 Purpose and Authority

(1) Under the authority of Section 63A-5b-305, this rule establishes procedures for adjudicative proceedings in accordance with the Utah Administrative Procedures Act, Section 63G-4-101 et seq., except as provided in Subsections (2) through (4).

(2) This rule does not apply to an agency action that is not governed by the Administrative Procedures Act and the laws of the state of Utah, including:

(a) Section 63G-4-102, Administrative Procedures Act;

(b) Title 63G, Chapter 6a, Utah Procurement Code; and

(3)(a) This rule does not govern actions or proceedings that a federal statute or regulation requires be conducted solely in accordance with federal procedures.

(b) If a federal statute or regulation requires a modification to these procedures, the federal procedures prevail.

(4) To the extent that this rule conflicts with a similar rule governing the agency, the conflicting provisions of the other rule shall govern.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-2 Designation of Proceedings

The agency designates all agency action subject to the scope and applicability of the Utah Administrative Procedures Act, Section 63G-4-101 et seq. as informal proceedings.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-3 Definitions

(1) The terms used in this rule are defined in Section 63G-4-103.

(2) In addition:

(a) "Agency" means the Division of Facilities Construction and Management.

(b) "Presiding officer" means the director of the Division of Facilities Construction and Management, or the director's designee.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-4 Procedure

Pursuant to Section 63G-4-203, the procedure for informal adjudicative proceedings is as follows:

(1)(a) The respondent to a notice of agency action or request for agency action shall file and serve a written response, signed by the respondent or the respondent's representative, within 30 days of mailing of the notice of agency action, or within 30 days of notice of the agency setting the matter for an informal adjudicative proceeding.

(b) The response shall be filed with the agency and one copy shall be sent by mail to each party.

(2)(a) A hearing shall be provided to any party to the proceeding requesting a hearing.

(b) The agency shall hold a hearing if required by statute or rule.

(c) A request for a hearing shall be in writing and filed at the same time the respondent submits a written response as provided in Subsection (1)(a).

(3) In the hearing, the parties named in the notice of agency action or in the request for agency action may be represented by counsel and shall be permitted to testify, present evidence, and comment on the issues.

(4) Hearings will be held only after timely notice to all parties.

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

(b) Each party to the proceeding is responsible for ensuring the appearance and associated costs of witnesses.

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

(7) Intervention is prohibited, except that intervention is allowed where a federal statute or rule requires that the state allow intervention.

(8) All hearings are open to all parties, except the presiding officer may take appropriate measures to preserve the integrity of the hearing, including the exclusion of a witness if requested by a party, and the protection of confidentiality of records or other information protected by law.

(9) Within a reasonable time after the close of the hearing, or after the party's failure to request a hearing, the presiding officer shall issue a signed order in accordance with Subsections 63G-4-203(1)(i), (j), and (k).

(10) All hearings shall be recorded at the agency's expense.

(11) Nothing in this section restricts or precludes any investigative right or power given to the agency by statute.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-5 Agency Review or Reconsideration

(1)(a) If the agency director is the presiding officer, and not a designee, there is no agency review permitted pursuant to Section 63G-4-301.

(b) If the agency director designates another person as the presiding officer, then a party may seek review of the presiding officer's order by filing a written request with the agency director.

(2)(a) Nothing contained in this rule prohibits a party from filing a petition for reconsideration pursuant to Utah Administrative Procedures Act, Section 63G-4-302.

(b) The requirements provided in Section 63G-4-302 shall apply to any agency reconsideration.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-6 Public Petition for Declaratory Orders

Petitions for declaratory orders shall be made and processed in accordance with the Department of Government Operations Rule R13-1.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-7 Emergency Orders

Emergency orders may be issued by the agency in accordance with Section 63G-4-502.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-8 Exhaustion of Administrative Remedies

(1) A person must exhaust their administrative remedies in accordance with Section 63G-4-401 before seeking judicial review.

(2) In any adjudicative proceeding before the agency there shall be an opportunity for an affected party to respond and participate.

(3) Only an aggrieved party that has exhausted the available and adequate remedies before the presiding officer, including any agency review or reconsideration by the agency director, may seek judicial review of the final decision of the agency director.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-9 Civil Enforcement

In addition to any other remedy provided by law or any other rule applicable to the agency, civil enforcement may be pursued as provided under Section 63G-4-501.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-10 Waivers

(1) In addition to any other waiver allowed by law or this rule, any procedural matter, including any right to notice or hearing, may be waived by the affected person by signing a written waiver in a form approved by the agency.

(2) The waiver provision of this rule may not be construed to prohibit a finding of default as provided in Subsection R23-25-4(1)(c) or Section 63G-4-209.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

Utah Admin. Code R23-25-11 Agency Rights and Remedies

Agency reserves all rights, remedies, and available procedures under the Utah Administrative Procedures Act, Section 63G-4-101, et seq., unless the reservation is in conflict with the provisions of this rule.

History

KEY: administrative law, adjudicative proceedings
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-102

R23-26 Dispute Resolution

Utah Admin. Code R23-26-1 Purpose and Scope

(1) The purpose of this rule is to establish a process for resolving disputes involved with contracts under the division's procurement authority. The objectives of the procedure are to:

(a) encourage the payment of the appropriate and fair amount on a timely basis for work or services performed;

(b) encourage the resolution of issues on an informal basis to minimize disputes and claims;

(d) provide a process that is as simple as possible and minimizes the costs to all parties in achieving a resolution;

(e) maintain effective contractual relationships and responsibilities;

(f) when possible, resolve related issues and responsibilities as a package;

(g) discourage bad faith, frivolous or excessive claims;

(h) avoid having claims interfere with the progress of the work;

(i) assure that the presentation of good faith and non-frivolous issues and claims do not negatively affect selection processes for future work, while bad faith and frivolous issues, as well as the failure of a contractor or subcontractor to facilitate resolution of issues, may be considered in the evaluation of the contractor or subcontractor; and

(j) provide a process where subcontractors at any tier, which have a claim that involves a good faith issue related to the responsibility of the division or anyone for whom the division is liable, has the ability to present the matter for resolution in a fair and timely manner to those of any higher tier and ultimately to the division without creating any contractual relationship between the division and the subcontractor.

(2) This rule does not apply to any protest under Section 63G-6a-1602.

(3) A claim under this rule that does not include a monetary claim against the division, or its agents, is not limited to the dispute resolution process provided for in this rule.

(4) Persons pursuing claims under the process required by this rule:

(a) are bound by the decision reached under the process unless the decision is properly appealed; and

(b) may not pursue a claim under the dispute resolution process established in Title 63G, Chapter 6a, Utah Procurement Code.

(5) This rule does not apply to tort or other claims subject to the Utah Governmental Immunity Act.

(6) This rule shall not limit the right of the division to have any of the division's issues, disputes, or claims considered in accordance with the applicable contract or law.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-2 Authority

This rule is authorized pursuant to Section 63A-5b-305 and Section 63A-5b-606.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-3 Definitions

For purposes of this rule:

(1) "Claim" means a dispute, demand, assertion, or other matter submitted by a contractor that has a contract under the procurement authority of the division, including subcontractors as provided for in this rule. The claimant may seek, as a matter of right, modification, adjustment, or interpretation of contract terms, payment of money, extension of time, or other relief with respect to the terms of the contract. A request for preliminary resolution effort (PRE) shall not be considered a "Claim." A requested amendment requested change order, or a construction change directive (CCD) is not a PRE or claim unless agreement cannot be reached, and the procedures of this rule are followed.

(2) "Contractor" means a person or entity under direct contract with the division and under the division's procurement authority.

(3) "DFCM representative" means the division person directly assigned to work with the contractor on a regular basis.

(4) "Director" means the director of the division, including unless otherwise stated, the director's authorized designee.

(5) "Division" means the Division of Facilities Construction and Management established pursuant to Section 63A-5b- 301. It may also be referred to in this rule as "DFCM."

(6) "Executive Director" means the Executive Director of the Department of Government Operations, including unless otherwise stated, the executive director's authorized designee.

(7) "Preliminary Resolution Effort" or "PRE" means the processing of a request for preliminary resolution or any similar notice about a problem that could potentially lead to a claim and is before reaching the status of a claim.

(8) "Resolution of the claim" means the final resolution of the claim by the director, but does not include any administrative appeal, judicial review, or judicial appeal thereafter.

(9) "Subcontractor" means any subcontractor or subconsultant at any tier under the contactor, including any trade contractor, specialty contractor, or consultant but does not include suppliers who provide only materials, equipment, or supplies to a contractor, subcontractor, or subconsultant. "Subcontractor" does not include any person or entity, at any tier, under contract with a lessor.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-4 Procedure for Preliminary Resolution Efforts

(1) Request for Preliminary Resolution Effort (PRE). If a contractor wishes to raise an issue related to an alleged breach of contract by the division or an issue concerning time or money, the contractor shall file a PRE as a prerequisite for any consideration of the issue by the division. The labeling of the notice or request shall not preclude the consideration of the issue by the division.

(2) Time for Filing. The PRE must be filed in writing with the DFCM representative within 21 days after any of the following:

(a) The issuance of a construction change directive that states the adjustment in contract price or contract time, if any, if contractor disagrees with such adjustment;

(b) Issuance of a statement of DFCM's position with respect to the adjustment in the contract price or contract time, if the contractor disagrees with such statement;

(d) In the case of a subcontractor, after the expiration of the time period for the contractor or subcontractor PRE process under Section R23-26-4; or

(e) Except as provided in Subsections R23-26-4(2)(a) through (e), when contractor knows or should have known about any other issue where contractor seeks an adjustment in the contract price, contract time, or other relief from DFCM.

(3) Content Requirement. The PRE shall be required to include in writing to the extent information is reasonably available at the time of filing of the PRE:

(a) a description of the issue;

(b) the potential impact on the work, contract, price or contract time; and

(4) Supplementation. Additional detail of the content requirement shall be provided later if the detail is not yet available at the initial filing as follows:

(a) While the issue is continuing or the impact is being determined, the contractor shall provide a written updated status report every 30 days or as otherwise reasonably requested by the DFCM representative; and

(b) After the issue is concluded or the impact is determinable, complete information, including any impacts on contract price, contract time or other relief requested, if any, must be provided to the DFCM representative within 21 days of the earlier of the date the issue is concluded, or the impact is determinable.

(5) Subcontractors.

(a) Under no circumstances shall any provision of this rule be interpreted or construed to create any contractual relationship between the division and any subcontractor.

(b) The contractor must include Subsection (5) in its subcontracts with each first tier subcontractor and require each first-tier subcontractor to do likewise in each first tier subcontractor's sub-subcontracts with sub-subcontractors. At the contractor's discretion, the contractor may allow a subcontractor at the 2nd tier and beyond to submit the PRE directly with the contractor.

(c) In order for a subcontractor at any tier to be involved with the preliminary resolution process of the division, the following conditions and process shall apply:

(i) The subcontractor must have attempted to resolve the issue with the contractor including the submission of a PRE with the contractor.

(ii) The subcontractor must file a copy of the PRE with the DFCM representative.

(iii) The PRE to the contractor must meet the time, content, and supplementation requirements of Section R23-26-4. The triggering event for a subcontractor to file a PRE shall be the time at which the issue cannot be resolved through negotiation.

(iv) The PRE submitted to the contractor shall only be eligible for consideration in the division's PRE process to the extent the issue is reasonably related to the performance of the division or an entity for which the division is liable.

(v) The contractor shall resolve the PRE with the subcontractor within 60 days of its submittal to the contractor or such other time period as subsequently agreed to by the subcontractor in writing. If the contractor fails to resolve the PRE with the subcontractor within the required time period, the subcontractor may submit in writing the PRE with the contractor and the division. To be eligible for division consideration of the PRE, the subcontractor must submit the PRE within 21 days of the expiration of the time period for the contractor/subcontractor PRE process. The division shall consider the PRE as being submitted by the contractor on behalf of the subcontractor.

(vi) Upon such PRE being submitted, the contractor shall cooperate with the DFCM representative in reviewing the issue.

(vii) The division shall not be obligated to consider any submission which is not in accordance with this rule.

(viii) The subcontractor may accompany the contractor in participating with the division regarding the PRE raised by the subcontractor. The division is not precluded from meeting with the contractor separately and it shall be the responsibility of the contractor to keep the subcontractor informed of any such meetings.

(ix) Notwithstanding any provision of this rule, a subcontractor shall be entitled to pursue a payment bond claim.

(6) PRE Resolution Procedure. The DFCM representative may request additional information and may meet with the parties involved with the issue.

(7) Contractor Required to Continue Performance. Pending the final resolution of the issue, unless otherwise agreed upon in writing by the DFCM representative, the contractor shall proceed diligently with performance of the contract and the division shall continue to make payments of undisputed amounts in accordance with the contract.

(8) Decision. The division shall issue to the contractor, and any other party brought into the process by the DFCM representative as being liable to the division, a written decision providing the basis for the decision on the issues presented by all parties within 30 days of receipt of all the information required under Subsections R23-26-4(3) and (4).

(9) Decision Final Unless Claim Submitted. The decision by the division shall be final, and not subject to any further administrative or judicial review, not including judicial enforcement, unless a claim is submitted in accordance with this rule.

(10) Extension Requires Mutual Agreement. Any time period specified in this rule may be extended by mutual agreement of the contractor and the division.

(11) If Decision Not Issued. If the decision is not issued within the 30 day period, including any agreed to extensions, the issue may be pursued as a claim.

(12) Payment for Performance. Except as provided in this rule, any final decision where the division is to pay additional monies to the contractor shall not be delayed by any PRE, claim or appeal by another party. Payment to the contractor in accordance with any final decision shall be made by the division consistent with the contract. Notwithstanding any other provision of this rule, payment to the contractor shall be subject to any set-off claims or counterclaims of the division. Payment to the contractor for a subcontractor issue submitted by the contractor shall be paid by the contractor to the subcontractor in accordance with the subcontract between the contractor and the subcontractor. Any payment or performance determined owing by the contractor to the division shall be made in accordance with the contract.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-5 Resolution of Claim

(1) Claim. If the decision on the PRE is not issued within the required timeframe or if the contractor is not satisfied with the decision, the contractor or other party brought into the process by the division may submit a claim in accordance with this rule as a prerequisite for any further consideration by the division or the right to any judicial review of the issue giving rise to the claim.

(2) Subcontractors. In order for a subcontractor to have its issue considered in the claim process by the division, the subcontractor that had its issue considered under Subsection R23-26-4(5) may submit the issue as a claim by filing it with the contractor and the division within the same timeframe and with the same content requirements as required of a claim submitted by the contractor under this rule. The division shall consider the claim as being submitted by the contractor on behalf of the subcontractor. Under no circumstances shall any provision of this rule be interpreted or construed so as to create any contractual relationship between the division and any subcontractor.

(a) Upon such claim being submitted, the contractor shall fully cooperate with the director, the persons evaluating the claim and any subsequent reviewing authority.

(b) The director shall not be obligated to consider any submission which is not in accordance with this rule.

(c) The subcontractor may accompany the contractor in participating with the director, the persons evaluating the claim and any subsequent reviewing authority regarding the claim. The director, the person evaluating the claim, and any subsequent reviewing authority is not precluded from meeting with the contractor separately, and it shall be the responsibility of the contractor to keep the subcontractor informed of any such meetings and matters discussed.

(d) Notwithstanding any provision of this rule, a subcontractor shall be entitled to pursue a payment bond claim.

(3) Time for Filing. The claim must be filed in writing promptly with the director, but in no case more than 21 days after the decision is issued on the PRE under Subsection R23-26-4(8) or no more than 21 days after the decision is not issued under Subsection R23-26-4(11), whichever is later.

(4) Content Requirement. The written claim shall include:

(a) a description of the issues in dispute;

(b) the basis for the claim, including documentation and analysis required by the contract and applicable law and rules that allow for the proper determination of the claim;

(d) a specific identification of the relief sought.

(5) Extension of Time to Submit Documentation. The time period for submitting documentation and any analysis to support a claim may be extended by the director upon written request of the claimant showing just cause for such extension, which request must be included in the initial claim submittal.

(6) Contractor Required to Continue Performance. Pending the final determination of the claim, including any judicial review or appeal process, and unless otherwise agreed upon in writing by the director, the contractor shall proceed diligently with performance of the contract and the division shall continue to make payments in accordance with the contract.

(7) Agreement of Claimant on Method and Persons Evaluating the Claim. The director shall first attempt to reach agreement with the claimant on the method and persons to evaluate the claim. If such agreement cannot be made within 14 days of filing of the claim, the director shall select the method and persons, considering the purpose of this rule as stated in Section R23-26-1. Unless agreed to by the director and the claimant, any selected person shall not have a conflict of interest or appearance of impropriety. Any party and the persons evaluating the claim has a duty to promptly raise any circumstances regarding a conflict of interest or appearance of impropriety. If such a reasonable objection is raised, and unless otherwise agreed to by the director and the claimant, the director shall take appropriate action to eliminate the conflict of interest or appearance of impropriety. The dispute resolution methods and persons may include any of the following:

(a) A single expert or hearing officer qualified in the field that is the subject of the claim;

(b) An expert panel, consisting of members that are qualified in a field that is the subject of the claim;

(d) A mediator; or

(e) Any other method that best accomplishes the purpose of Section R23-26-1.

(8) Evaluation Process.

(a) No Formal Rules of Evidence. There shall be no formal rules of evidence but the persons evaluating the claim shall consider the relevancy, weight, and credibility of the evidence.

(b) Questions. Parties and the persons evaluating the claim have the right to ask questions of each other.

(c) Investigation and Documents. The persons evaluating the claim has the right to investigate and request documents, consider any claims or counterclaims of the division, may set deadlines for producing documents, and may meet with the parties involved with the claim together or separately as needed. Copies of submitted documents shall be provided to all parties.

(d) Failure to Cooperate. The failure of a party to cooperate with the investigation or provide requested documentation may be a consideration by the persons evaluating the claim in reaching the findings in its report.

(e) Record of the Proceeding. The persons evaluating the claim shall determine the extent to which formal minutes, transcripts, or recordings shall be made of the meetings or hearings and shall make copies available to all parties.

(f) Certification. The persons evaluating the claim may require certification of documents provided.

(9) Timeframe for Persons Evaluation of the Claim and Director's Determination. The claim shall be resolved no later than 60 days after the proper filing of the claim, which includes any extension of time approved under Subsection R23-26-5(5). The persons evaluating the claim may extend the time period for resolution of the claim by not to exceed 60 additional days for good cause. The time period may also be extended if the claimant agrees. The persons evaluating the claim shall issue to the parties a schedule providing the timeframe for the issuance of the following:

(a) a preliminary resolution report including the preliminary findings regarding the claim;

(b) the receipt of written comments concerning the preliminary resolution report. A copy of such comments must be delivered to the other parties to the claim within the same timeframe;

(c) a reply to written comments, which must also be delivered to the other parties to the claim within the same timeframe; and

(d) a final report and recommendation which must be delivered to the director and the other parties no later than seven days before the expiration of the required timeframe for resolution of the claim.

(10) Director's Final Resolution. The director shall consider the final recommendation and report and issue the final resolution of the claim, with any modifications, before the expiration of the required timeframe for resolution of the claim.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-6 Administrative Appeal to the Executive Director of the Department of Government Operations

(1) Administrative Appeal. The contractor may file a written administrative appeal of the director's final resolution of the claim with the executive director. The administrative appeal is the prerequisite for any further consideration by the state, or to judicial review of the issue giving rise to the claim. It shall be considered that the contractor, or another party brought into the process by the division, has not exhausted its administrative remedies if such an administrative appeal is not undertaken.

(2) Time for Filing. The administrative appeal must be filed in writing promptly with the executive director and delivered to the other parties to the claim, but in no case more than 14 days after the contractor's receipt of the director's final resolution of the claim.

(3) Content. The administrative appeal must state the basis for the appeal.

(4) Response. Within five days of receipt of the administrative appeal, any party may deliver to executive director written comments concerning the appeal. A copy of such comments must be delivered to the other parties to the claim within the same five day time period.

(5) Reply to Written Comments. Within five days of receipt of written comments, any party may deliver to the executive director a reply to the written comments concerning the appeal. A copy of such reply must be delivered to the other parties to the claim within the same five day time period.

(6) Executive Director's Decision. Within 30 days of receipt of the administrative appeal, and after considering the appeal, the director's final resolution, responses, and replies, the executive director or their designee shall issue a final decision of the appeal in writing and shall state the basis of the decision. Failure of the executive director to issue a written decision within the 30 day time period shall entitle the appellant to seek judicial review of the claim. The time period for the executive director's decision may be extended by agreement of the executive director and the appellant.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-7 Payment of Claim

(1) When a stand-alone component of a claim has received a final determination, and is no longer subject to review or appeal, that amount shall be paid in accordance with the payment provisions of the contract or judicial order.

(2) When the entire claim has received a final determination, and is no longer subject to review or appeal, the full amount shall be paid within 14 days of the date of the final determination unless the work or services has not been completed, in which case the amount shall be paid in accordance with the payment provisions of the contract to the point that the work or services is completed.

(3) The final determination date is the earlier of the date upon which the claimant accepted the settlement in writing with an executed customary release document and waived its rights of appeal, or the expiration of the appeal period, with no appeal filed, or the determination made resulting from the final appeal.

(4) Any final determination where the division is to pay additional monies to the contractor shall not be delayed by any appeal or request for judicial review by another party brought into the process by the division as being liable to the division.

(5) Notwithstanding any other provision of this rule, payment of all or part of a claim is subject to any set-off claims or counterclaims of the division.

(6) Payment to the contractor for a subcontractor issue (claim) deemed filed by the contractor, shall be paid by the contractor to the subcontractor in accordance with the subcontract between the contractor and the subcontractor.

(7) The execution of a customary release document by the claimant related to any payment may be required as a condition of making the payment. Except to the extent expressly and specifically released in writing by DFCM, settlement of a contractor or subcontractor claim by DFCM shall not be deemed a release of any claim by DFCM.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-8 Judicial Review

(1) The executive director's decision on the appeal, or the failure to provide a decision within the required time period under Subsection R23-26-6(6), shall be deemed a final agency action subject to judicial review as provided in Sections 63G-4- 401 and 63G-4-402, including, requirements for exhaustion of administrative remedies, the requirements for a petition of judicial review, jurisdiction, and trial de novo.

(2) The participation of a person in the claim evaluation process does not preclude the person from testifying in a judicial proceeding to the extent allowed by Utah law.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-9 Allocation of Costs of Claim Resolution Process

(1) To file a claim, a claimant must pay a $1,500 filing fee to the division. When the claim is a pass-through from a subcontractor in accordance with Subsection R23-26-4(5), the payment of the fee shall be made by the subcontractor.

(2) Unless otherwise agreed to by the parties to the claim, the costs of resolving the claim shall be allocated among the parties on the same proportionate basis as the determination of financial responsibility for the claim.

(3) The costs of resolving the claim that are subject to allocation include the claimant's filing fee, the costs of any persons evaluating the claim, the costs of making any required record of the process, and any additional testing or inspection procured to investigate or evaluate the claim.

(4) Each party is responsible for its own attorney fees.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-10 Alternative Procedures

To the extent otherwise permitted by law, if all parties to a claim agree in writing, a protocol for resolving a claim may be used that differs from the process described in this rule.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-11 Impact on Future Selections

(1) The presentation of a good faith and non-frivolous issue or claim shall not be considered in the division's selection process for a future award of contract; and

(2) The submission of a bad faith and frivolous issue or claim or the failure by a contractor to facilitate resolution of a claim, may be considered in the division's evaluation of performance.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

Utah Admin. Code R23-26-12 Delegated Projects

Projects delegated by the division shall provide for contract provisions which provide a similar dispute resolution process as provided for in this rule.

History

KEY: resolutions, settlements, disputes
Date of Last Change: November 8, 2024
Notice of Continuation: October 29, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5-208(6); 63A-5-103(1)(e); 63G-6-208(2)

R23-29 Categorical Delegation of Project Management

Utah Admin. Code R23-29-1 Purpose

This rule provides the terms and conditions for delegation of construction projects to the University of Utah, Utah State University, regional universities as defined in Subsection 53H-3-602(1)(b)(ii) (Regional Universities), comprehensive community colleges as defined in 53H-3-602(1)(b)(iii) (Comprehensive Community Colleges); technical colleges as defined in Subsection 53H-1-102(1)(b) (Technical Colleges); the Utah Department of Transportation (UDOT); and other state entities on a categorical basis for projects within a particular dollar range and particular project type. The University of Utah, Utah State University, Regional Universities, Comprehensive Community Colleges and Technical Colleges are referred to collectively in this rule as "Institutions". UDOT and other state entities are referred to collectively in this rule as "Entities".

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-2 Authority

This rule is authorized under Subsection 63A-5b-305(2)(c), which authorizes the director to make rules necessary for the division or director to perform the division or director's duties. This rule is also authorized under Subsection 63A-5b-604(4) which provides that in accordance the Utah Administrative Rulemaking Act, the director may delegate control of design, construction, and all other aspects of any project to entities of state government on a categorical basis for projects within a particular dollar range and particular project type.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-3 Authority and Extent of Categorical Delegation

(1) Projects Delegated on a Categorical Basis. As permitted by Subsection 63A-5b-604(4), authority is delegated to Institutions and Entities to exercise direct supervision over the design and construction of all projects on their respective properties or facilities up to the dollar amounts stated. If an Institution or Entity proceeds with a project under this rule, the Institution or Entity shall be deemed to have accepted delegation for all projects that qualify for categorical delegation under this rule.

(2) Delegation Dollar Limitations. The delegation referred to in this rule is granted to Institutions and Entities for projects having a budget for construction, excluding soft costs, consistent with the division's Construction Budget Estimate (CBE) form, of:

(a) $10,000,000 or less for Utah State University;

(b) $30,000,000 or less for the University of Utah;

(d) $1,000,000 or less for Comprehensive Community Colleges;

(e) $250,000 or less for Technical Colleges;

(f) $350,000 or less for the Utah Department of Transportation; and

(g) $100,000 or less for Entities other than the Utah Department of Transportation.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-4 Annual Review and Revocation of Categorical Delegation

Categorical delegation under this rule is subject to renewal in writing by the director on an annual basis. In the event the director does not renew a categorical delegation under this rule, such delegation shall be deemed revoked. The director shall have the right to audit the use of funds on projects delegated under this rule. At any time the director may revoke a delegation on a categorical basis and the division may assume control of the design, construction, or other aspect of a category of delegated projects or specific project delegated on a categorical basis if the director considers revocation of the delegation and assumption of control to be necessary to protect the interests of the state.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-5 No Artificial Division of Projects

Projects may not be divided into multiple projects to create projects which are small enough to meet the dollar limits for delegation. Projects that are designed to be constructed in conjunction with each other and are to be constructed by the same construction contractor, including construction manager/general contractor, are projects that are prohibited from being artificially divided under this rule.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-6 When Legislative Authorization and a Program Is Required

When applicable, this delegation authority may not take effect for a specific project until the following requirements are met:

(1) legislative authorization, when required, for design and construction has been obtained for the construction; and

(2) the requirements of Section R23-29-18, when applicable, regarding the completion of a division administered architectural program have been satisfied.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-7 Building Official

Pursuant to Subsection 63A-5b-604(7)(a)(iv), for projects delegated on a categorical basis pursuant to this rule, the role of compliance agency under Title 15A, State Construction and Fire Codes Act, shall be filled by the division's building official for Regional Universities, for Comprehensive Community Colleges, for Technical Colleges and for Entities. The University of Utah and Utah State University shall use an in-house building official or contract for a building official; all as approved by the division's building official. The director may change the foregoing designations at any time.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-8 Procurement

The Institution or Entity delegated a project on a categorical basis under this rule shall be responsible for compliance with the Utah Procurement Code, Title 63G, Chapter 6a and all applicable procurement rules.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-9 Contract Documents

The Institution or Entity delegated a project on a categorical basis under this rule shall utilize substantially the same standard Contract Documents as used by the division. Any substantive differences must be approved by the division.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-10 Transfer of State Funds

State funds appropriated to the division for projects delegated to an Institution or Entity under this rule shall be transferred to the respective Institution or Entity in a timely manner upon the receipt of such funds by the division and on a reimbursement basis after the Institution or Entity provides such supporting documents as may be required by the division. As provided in Subsection 63A-5b-303(4), the division shall be entitled to deduct fees established pursuant to Section 63J-1-410 or 63J-1-504 from such funds to reimburse the division for division services provided by the division to an Institution or Entity in connection with a project delegated to an Institution or Entity under this rule.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-11 Contingency Funds, Contingency Reserve, and Project Reserve

An Institution or Entity delegated a project on a categorical basis under this rule shall be subject to the same laws and rules regarding contingency funds as is the division except that:

(1) contingency funds for delegated projects shall be segregated from the contingency funds held by the division for non-delegated projects and released upon justification and such documentation as may be required by the division; and

(2) the Institution or Entity may not access for the delegated project, the division's statewide contingency reserve and project reserve authorized in Section 63A-5b-609.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-12 Space Standards

An Institution or Entity delegated a project on a categorical basis under this rule shall comply with the space standards as adopted by the division. Any significant deviations from these standards must be approved in advance by the director.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-13 Design Criteria

An Institution or Entity delegated a project on a categorical basis under this rule shall utilize the design criteria adopted by the division. These may be supplemented by special requirements that are unique to each Institution or Entity delegated a project on a categorical basis under this rule.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-14 Value Engineering

An Institution or Entity delegated a project on a categorical basis under this rule shall comply with applicable laws and rules regarding the value engineering and life cycle costing of facilities. The division may assist the Institution or Entity as requested by the Institution or Entity in complying with these requirements.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-15 Record Drawings

At the completion of each delegated project, each Institution or Entity delegated a project on a categorical basis under this rule shall be responsible for retention of record drawings and other closeout documents and shall submit a copy of all record drawings and other closeout documents of any new facility to the division as well as record drawings and other closeout documents for any other project when requested by the division.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-16 Specific Statutory Requirements

(1) In addition to the statutory requirement specified elsewhere in this rule, each Institution or Entity shall comply with the following requirements:

(a) laws relating to bid security and payment and performance bonds;

(b) laws relating to retention;

(d) laws relating to historical preservation;

(e) laws relating to the protection of the environment;

(f) laws relating to the notification to local governments or any person regarding certain types of projects;

(g) the Percent-for-Art program as provided in the Utah Code;

(h) Section 63A-5b-406 relating to the reporting of completed projects to the Office of the Legislative Fiscal Analyst;

(i) Section 63A-5b-605 relating to the listing and changing of subcontractors and the disclosure of subcontractor bids; and

(j) all applicable constitutional provisions, laws, rules, codes, and regulations.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-17 Reporting

(1) Unless more frequent reporting is required pursuant to subsection (3), Institutions and Entities shall report quarterly to the division on the status of their delegated projects of over $100,000.00.

(2) Reports, at a minimum, must include:

(i) the current project status including all contracts, change orders and modifications;

(ii) a description of any issues that materially impact the project; and

(iii) an accounting of project balances, amounts spent to date, amounts obligated and remaining balances.

(3) The director may at any time indicate minimum requirements for reports as well as ask for additional information.

(3) The division may require the reports to be submitted more often than quarterly in the discretion of the director.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-18 Programming for Delegated Projects

(1) For delegated projects within the definition of "New Facility" as defined in Title 63a, Chapter 5b, Administration of State Facilities, a facility program shall be developed under the supervision of the division unless this requirement is waived by the division.

(2) For delegated projects where a program is not required under this rule, the Institution or Entity may determine the extent of programming or scope definition required and supervise the development of such documents.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

Utah Admin. Code R23-29-19 Sharing of Resources

The division and the Institution or Entity delegated a project on a categorical basis under this rule shall coordinate to share personnel resources to make sure that all personnel resources from both the division and the Institution or Entity delegated a project on a categorical basis under this rule are sufficient for the delegated project. The Institution or Entity and the division shall enter into a separate agreement to accomplish this sharing of resources.

History

KEY: buildings, delegation
Date of Last Change: July 8, 2026
Notice of Continuation: February 7, 2024
Authorizing, and Implemented or Interpreted Law: 63A-5b-604

R23-31 Executive Residence Commission

Utah Admin. Code R23-31-1 Purpose

The purpose of this rule is to outline the duties of the Executive Residence Commission.

History

KEY: Governor's Mansion, Executive Residence Commission, preservation
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 67-1-8.1; 52-4-207

Utah Admin. Code R23-31-2 Authority and Applicability

This rule is authorized under Subsection 63A-5b-305(2)(c), which authorizes the director of the Division of Facilities Construction and Management to make rules necessary for the division or director to perform the division or director's duties. This rule is also authorized under Section 52-4-207 which provides that a public body may not hold an electronic meeting unless the public body has adopted a rule governing the use of electronic meetings.

History

KEY: Governor's Mansion, Executive Residence Commission, preservation
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 67-1-8.1; 52-4-207

Utah Admin. Code R23-31-3 Definitions

(1) Terms used in this rule are defined in Section 67-1-8.1.

(2) In addition, "Preservation Zones" are those zones described in Section R23-31-5.

History

KEY: Governor's Mansion, Executive Residence Commission, preservation
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 67-1-8.1; 52-4-207

Utah Admin. Code R23-31-4 Preservation Zones of the Thomas Kearns Mansion

(1) Preservation Zone One: The following applies to Preservation Zone One:

(a) Zone One contains very important character-defining features, consisting of all floor, wall, and ceiling finishes. All decorative elements and furnishings existing as of May 10, 2011, have been carefully researched and selected to reflect the historic significance of the Thomas Kearns Mansion. Zone One is described in Section R23-31-5.

(b) Any changes to the decorative elements and furnishings in Zone One require the review and recommendation of the Commission to the division. Approval may be given by the division after considering input from the Commission and the State Historic Preservation Officer.

(c) There must be compelling reasons presented to the division for changes to the decorative elements and furnishings in Zone One.

(d) Provided that the Zone One characteristics are not affected, it is recognized that the Thomas Kearns Mansion acts as the temporary home of the First Family. Placement of personal art and memorabilia is encouraged throughout the Thomas Kearns Mansion to personalize the spaces and allow the Thomas Kearns Mansion to provide a home life for the Governor and the Governor's family. The placement of said personal art and memorabilia shall be carefully considered to ensure that character- defining features are preserved.

(2) Preservation Zone Two. The following applies to Preservation Zone Two:

(a) The area described in Section R23-31-5 as Zone Two has been previously altered, but contains some Zone One character-defining features, which features shall be considered part of Zone One. Examples of such features include ceiling plasterwork, woodwork, certain wall locations, fireplaces, windows and window surrounds, original flooring, light fixtures, and other character-defining features.

(b) Temporary furnishings may be altered without going through the Commission; but the Commission shall be made aware of any such alteration request in writing.

History

KEY: Governor's Mansion, Executive Residence Commission, preservation
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 67-1-8.1; 52-4-207

Utah Admin. Code R23-31-5 Specific Descriptions of the Preservation Zones for Purposes of this Rule

The following provides the specific descriptions of the Preservation Zones for purposes of this rule:

(1) Thomas Kearns Mansion Exterior.

All exterior surfaces are considered Preservation Zone One.

(2) Thomas Kearns Mansion Floor One (Main Level).

All areas on the main level are considered Preservation Zone One.

(3) Thomas Kearns Mansion Floor Two:

(a) Main stairs and north stairs and well area is considered Preservation Zone One.

(b) The private residence area on level two is considered Preservation Zone Two with the following exceptions which are considered Preservation Zone One:

(i) Private Quarters Entry Hall:

(A) permanent fixtures;

(B) wall treatments;

(D) flooring.

(ii) Den and Living Room:

(A) birdseye maple;

(B) flooring;

(D) plasterwork; and

(E) woodwork.

(iii) Dining Room and TV Area:

(A) plasterwork;

(B) fireplace;

(D) flooring.

(iv) All Bedrooms:

(A) fireplaces where applicable;

(B) permanent fixtures;

(D) wall sconces; and

(E) flooring.

(4) Thomas Kearns Mansion Floor Three.

All areas on level three are considered Preservation Zone One.

(5) Thomas Kearns Mansion Basement Level.

All areas on basement level are considered Preservation Zone Two with the following exceptions which are Preservation Zone One:

(a) All wood doors and historic wood partition; and

(b) Windows and window surrounds.

(6) Carriage House Exterior.

All exterior surfaces are considered Preservation Zone One.

(7) Carriage House Interior.

All interior areas are considered Preservation Zone One, with the exception of the executive security control room and office area, which are Preservation Zone Two.

History

KEY: Governor's Mansion, Executive Residence Commission, preservation
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 67-1-8.1; 52-4-207

Utah Admin. Code R23-31-6 Report to the Executive Director

The division shall report to the Executive Director of the Department of Government Operations about the Commission as needed.

History

KEY: Governor's Mansion, Executive Residence Commission, preservation
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 67-1-8.1; 52-4-207

Utah Admin. Code R23-31-7 Electronic Meetings

(1) Purpose. Section 52-4-207 requires any public body that convenes or conducts an electronic meeting to adopt a rule governing the use of electronic meetings. This rule establishes procedures for conducting Commission meetings by electronic means.

(2) Procedure. The following provisions govern any meeting at which one or more Commission members appear electronically pursuant to Section 52-4-207.

(a) If one or more members of the Commission desire to participate electronically, such member shall contact the chair. The chair shall assess the practicality of facility requirements needed to conduct the meeting electronically in a manner that allows for the attendance, participation, and monitoring as required by this rule. If it is practical, the chair shall determine whether to allow for such electronic participation, and the public notice of the meeting shall so indicate. In addition, the notice shall specify the anchor location where the members of the Commission not participating electronically will be meeting and where interested persons and the public may attend, monitor, and participate in the open portions of the meeting.

(b) Notice of the meeting and the agenda shall be posted at the anchor location and be provided in accordance the Open and Public Meetings Act.

(c) Notice of the possibility of an electronic meeting shall be given to Commission members at least 24 hours before the meeting. In addition, the notice shall describe how a Commission member may participate in the meeting electronically.

(d) When notice is given of the possibility of a Commission member appearing electronically, any Commission member may do so and any voting Commission member, whether at the anchor location or participating electronically, shall be counted as present for purposes of a quorum and may fully participate and vote. At the commencement of the meeting, or at such time as any Commission member initially appears electronically, the chair shall identify for the record all those who are appearing electronically. Commission members who are not at the anchor location of the meeting shall be confirmed by the chair. Except for a unanimous vote, in an electronic meeting all votes, shall be taken by roll call.

(e) The anchor location is the physical location from which the electronic meeting originates or from which the participants are connected. The anchor location shall be identified in the public notice for the meeting. Unless otherwise designated in the notice, the anchor location shall be a room in the Taylorsville State Office Building where the Commission would normally meet if the Commission was not holding an electronic meeting.

(f) The anchor location will have space and facilities so that interested persons and the public may attend, monitor, and participate in the open portions of the meeting, as appropriate.

History

KEY: Governor's Mansion, Executive Residence Commission, preservation
Date of Last Change: February 8, 2023
Notice of Continuation: May 14, 2026
Authorizing, and Implemented or Interpreted Law: 63A-5b-305; 67-1-8.1; 52-4-207

R23-34 Modular Buildings

Utah Admin. Code R23-34-1 Purpose

The purpose of this rule is to comply with legislative directive in Section 15A-1-306.1 for DFCM to make rules to implement a continuing education requirement for modular building and installation contractors and regulate third party inspection agencies and third party inspectors and legislative directive in Section 15A-1-308 for DFCM to establish by rule criteria demonstrating the ability of modular building unit manufacturing plant personnel to perform required duties.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-2 Authority

This rule is authorized under Subsections 15A-1-306.1(7), 15A-1-308(4)(b) and 63A-5b-305(2)(c).

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-3 Definitions

The definitions set forth in Sections 15A-1-102, 15A-1-202 and 15A-1-302 apply to this rule. Additionally, the following words and terms shall have the following meanings.

(1) "DFCM" means the Division of Facilities Construction and Management created by Section 63A-5b-301.

(2) "Modular building unit construction and installation contractor" means a person engaged in the construction and installation or modular building units licensed or required to be licensed as a B100 General Building Contractor or B200 -- Modular Unit Installation Contractor under the Utah Construction Trades Licensing Act and R156-55a Utah Construction Trades Licensing Act Rule.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-4 Third Party Inspection Agencies

(1) Application shall be made to DFCM for approval as a third party inspection agency. Application shall be made under oath and shall be accompanied by information and evidence that is adequate for DFCM to determine whether the applicant is specially qualified by reason of licensure, facilities, personnel, experience, and demonstrated reliability to investigate, test, and evaluate modular building units for compliance with the State Construction Code applicable to modular building units and this rule and to provide offsite construction documents review and inspection.

(2) Following a determination by DFCM that an application is complete, the information contained in the application and any other information deemed necessary by DFCM will be reviewed for approval or disapproval. If the application is approved, the applicant will be notified with an approval letter. If the application is disapproved, the applicant will be notified in writing of the reasons for the disapproval. The applicant may then resubmit the application within 30 days of the receipt of the notification of disapproval for reconsideration of approval.

(3) DFCM may suspend or revoke the approval of a third party inspection agency upon a determination that:

(a) approval was based upon fraudulent or inaccurate information;

(b) a change in facts or circumstances renders the third part inspection agency incapable of meeting its duties and responsibilities as a third party inspection agency in a satisfactory manner; or

(c) the third party inspection agency failed to discharge its duties and responsibilities as a third party inspection agency in a satisfactory manner. In such cases, DFCM will issue a suspension or revocation notice to the third party inspection agency outlining the reasons for the actions and the terms, if any, for reinstatement.

(3) A third party inspection agency shall carry professional errors and omissions insurance in an amount of at least $2,000,000 per claim or annual aggregate with a deductible or self-insured retention of not greater than $100,000, unless different amounts are authorized by DFCM in writing. Unless covered by the professional errors and omissions insurance of a third party inspection agency under the previous sentence, a third party inspector shall carry professional errors and omissions insurance in an amount of at least $2,000,000 per claim or annual aggregate with a deductible or self-insured retention of not greater than $100,000, unless different amounts are authorized by DFCM in writing.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-5 Freedom From Conflict of Interest

A third party inspection agency or third party inspector may not be affiliated with, nor influenced or controlled by, modular manufacturers in any manner which might affect its or their capacity to create reports of findings objectively and without bias. A third party inspection agency or third party inspector is judged to be free of such affiliation, influence and control if it or they comply with all the following conditions:

(1) The third party inspection agency or third party inspector has no managerial affiliation with modular manufacturers or is engaged in the sale or promotion of modular building units.

(2) The results of the third party inspection agency's or third party inspector's work accrue no financial benefits to the third party inspection agency or third party inspector through stock ownership of, or other similar affiliation to, any modular manufacturer.

(3) A third party inspection agency's directors and other management personnel and a third party inspector receive no stock option or other financial benefit from any modular manufacturer.

(4) A third party inspection agency or third party inspector has sufficient business that the loss or award of a specific contract to determine compliance of a particular modular manufacturer's modular building unit with the State Construction Code applicable to modular building units and this rule would not be a determining factor in the third party inspection agency's or third party inspector's financial well-being.

(5) The employment security status of the third party inspection agency's or third party inspector's personnel is free of influence or control by modular manufacturers.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-6 Information Required by DFCM

All the following information and criteria will be considered by DFCM in designating approval of third party inspection agencies:

(1) Names of officers and location of offices.

(2) Specification and description of services proposed to be furnished.

(3) Description of qualifications of personnel and their responsibilities, including an assurance that personnel involved in system analysis, design and plan review, and compliance assurance inspections and their supervisors comply with the requirements of the American Society for Testing and Material (ASTM) Standard Number E541- 22 - Standard Specification for Agencies Engaged in System Analysis and Compliance Assurance for Manufactured Building or shall have International Code Council (ICC) certifications in the appropriate subject area and maintain such certifications in an active status.

(4) Summary of experience within the organization.

(5) General description of procedures and facilities to be used in proposed services, including evaluation of the model, factory follow-up, quality assurance, labeling of modular building units, and specific information to be furnished on or with labels.

(6) Procedures to deal with any defective modular building units.

(7) Acceptance of these services by independent accrediting organizations.

(8) Proof of independence and absence of conflict of interest.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-7 Third Party Inspection Agency Certification Label

(1) Modular building units shall be marked with certification labels supplied by the third party inspection agency that includes the name and address of the third party inspection agency and the numbers of the certification labels. The labels shall be applied to modular building units intended for sale or use in Utah and shall be applied before the shipment of the modular building unit from the manufacturing plant. The labels shall be applied by the third party inspection agency or by the modular manufacturer when so authorized by the third party inspection agency.

(2) Modular building units shall bear one certification label on each module, or as an alternative, the certification label for each module may be placed in one location in the completed modular building unit.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-8 Mounting of Third Party Inspection Agency Certification Label

To the extent practicable, the third party inspection agency certification label shall be installed so that it cannot be removed without destroying it. The label shall be applied in the vicinity of the electrical distribution panel or in another location that is readily accessible for inspection and shall be installed near the decal.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-9 Control of Third Party Inspection Agency Certification Label

The third party inspection agency certification labels shall be under direct control of the third party inspection agency and shall be applied to modular building units that comply fully with the State Construction Code applicable to modular building units and this rule. The labels shall be applied by the third party inspection agency or by the modular manufacturer when authorized to do so by the third party inspection agency. The modular manufacturer shall place its order for third party inspection agency certification labels with the third party inspection agency. The modular manufacturer is not permitted to acquire third party inspection agency certification labels from any other source. Each third party inspection agency shall keep a list of the serial numbers of third party inspection agency certification labels issued to each modular manufacturer's manufacturing plant in such manner that a copy of the record can be submitted to DFCM upon request.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-10 Registration Decals for Modular Building Units

(1) Registered modular building units shall be marked with approved decals issued by DFCM. The decals shall be applied to a registered modular building unit intended for sale or use in Utah before the shipment of the modular building unit from the manufacturing plant. The decals shall be applied by the third party inspection agency or by the modular manufacturer when authorized to do so by the third party inspection agency.

(2) Registered modular building units shall bear one decal on each module, or, as an alternative, the decal for each module may be placed in one location in the completed modular building unit.

(3) Panelized systems shall require one decal for every 600 square feet, or part thereof, of floor area.

(4) Approved decals shall be purchased by the third party inspection agency from DFCM in advance of use. The fee for each decal shall be established pursuant to Section R23-34-14. Fees shall be submitted by checks made payable to "Treasurer of Utah" or shall be submitted by electronic means. Payment for the decals must be received by DFCM before the decals can be sent to the third party inspection agency. The third party inspection agency shall maintain permanent records of decals purchased, including a record of any modular manufacturers receiving such decals.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-11 Modular Manufacturer Quality Assurance Employee Requirements

(1) Quality assurance personnel at a modular building unit manufacturing plant shall demonstrate to the satisfaction of DFCM that the quality assurance personnel have the ability to perform the following duties.

(a) Examination of individual components used in modular building units to verify they meet quality standards and are free from defects.

(b) Regularly checking the manufacturing processes to ensure consistency and adherence to established procedures.

(c) Conducting inspections on completed modular building units at different stages of production, including dimensional checks, material verification, and functionality testing.

(d) Documenting any quality discrepancies or non-conformances found during inspections and communicating them to the production team for corrective action.

(e) Collaboration with design engineers and project managers to establish and update quality standards for modular building units.

(f) Creation and enforcement of quality control plans to ensure consistent quality throughout the manufacturing process.

(g) Assessment of the quality of components sourced from external suppliers to maintain standards.

(h) Maintenance of thorough documentation of inspection findings, non-conformance reports, and corrective actions taken.

(i) Ensuring modular building units comply with relevant local and national building codes and regulations.

(j) Leveraging the benefits of a controlled factory setting to consistently produce high-quality modular units.

(k) Maintaining records to track individual components throughout the manufacturing process.

(2) The demonstration to DFCM that modular manufacturer quality assurance personnel have the ability to perform the quality assurance duties required by this rule may be accomplished, at the discretion of DFCM, by a site visit conducted by or on behalf of DFCM at the modular manufacturer's manufacturing plant, or by the submission by the modular manufacturer of documentary evidence satisfactory to DFCM to verify that modular manufacturer quality assurance personnel have the ability to perform the quality assurance duties required by this rule.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-12 Modular Manufacturer's Installation Instructions and Responsibilities of Installers

(1) As a component of a modular manufacturer's quality assurance and control plan, the modular manufacturer of each modular building unit shall provide specifications or instructions, or both, with each modular building unit for handling, installing, or erecting the modular building unit. Such instructions may be included as part of the third party inspection agency certification label from the third party inspection agency or may be furnished separately by the modular manufacturer. The modular manufacturer may not be required to provide the foundation and anchoring equipment for the modular building unit.

(2) Modular building unit construction and installation contractors shall install or erect the modular building units in accordance with the modular manufacturer's instructions.

(3) Where the installation or erection of a modular building unit utilizes modules that are to be concealed, the modular building unit construction and installation contractor shall notify and obtain approval from the local regulator before concealment of such module unless the local regulator has agreed to an alternative method of verification.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-13 Modular Building Unit Construction and Installation Contractors - Continuing Education - Standards

(1) Modular building unit construction and installation contractors shall complete 2 hours of continuing education in modular building unit construction and installation each calendar year. The 2 hours may consist of live in-class attendance, online courses, or a combination of both.

(2) The following course subject matter is not acceptable as modular building unit construction and installation education:

(a) mechanical office and business skills, such as typing, speed reading, memory improvement and report writing;

(b) physical well-being or personal development, such as personal and business motivation, stress management, time management, dress for success, or similar subjects;

(c) presentations by a modular manufacturer or a modular manufacturer representative to promote a particular modular building unit or brand of modular building units; and

(d) meetings held in conjunction with the general business of the attendee.

(3) DFCM may defer or waive continuing education requirements for good cause.

(4) A continuing education course shall meet the following standards:

(a) Each hour of credit shall consist of 50 minutes of education in the form of seminars, lectures, conferences, training sessions or distance learning modules. The remaining ten minutes is to allow for breaks.

(b) The course provider shall have recognized expertise in modular building unit construction and installation.

(c) The content of the course should be relevant to the construction and installation of modular building units and consistent with the laws and rules of this state.

(d) The learning objectives of the course should be reasonably and clearly stated.

(e) The course shall be presented in a competent, well organized and sequential manner consistent with the stated purpose and objective of the program.

(f) The course shall be prepared and presented by individuals who are qualified by education, training and experience.

(g) An internet or home study course may be utilized for continuing education if the course verifies registration and participation by a test demonstrating that the participant has learned the material. Test questions shall be randomized for each participant. A home study course shall include no fewer than five variations of the final examination, distributed randomly to participants. Providers shall track the following:

(i) the amount of time each student has spent in the course;

(ii) what activities the student did or did not access; and

(iii) student's test scores.

(h) The course provider shall:

(i) have a competent method of registration of individuals who completed the course;

(ii) maintain records of attendance available for review by DFCM; and

(iii) provide individuals completing the course with a certificate that contains the following information:

(A) date of the course;

(B) name of the course provider;

(D) course title;

(E) hours of continuing education credit;

(F) attendee's name; and

(G) signature of the course provider.

(5) DFCM may assign monitors at no charge to attend a course for evaluating the course and the instructor.

(6)(a) Modular building unit construction and installation contractors shall maintain adequate documentation as proof of compliance with this rule, such as certificates of completion, course handouts and materials. This proof shall be retained for two years from the end of the period for which the continuing education is due.

(b) Each attendee shall ensure that the course provider has submitted the verification of attendance to DFCM on behalf of the attendee as specified in Subsection (7). Alternatively, the attendee may submit verification of attendance to DFCM.

(7) A course provider shall submit continuing education courses to DFCM and shall submit verification of attendance and completion on behalf of attendees attending and completing the course to DFCM in the format required by DFCM.

(8) DFCM shall review continuing education courses that have been submitted and shall approve only those courses that meet the standards of this rule.

(9) DFCM may refuse to renew or may revoke, suspend, restrict, place on probation, issue a public reprimand to, or otherwise act upon the approval of any course or provider, if the course or provider fails to meet any of the requirements of this rule or the provider has engaged in unlawful or unprofessional conduct.

(10) DFCM shall:

(a) through its internet site electronically receive applications from continuing education course providers, and approve only those applications from programs that meet the standards of this rule;

(b) publish on DFCM's website listings of continuing education programs that have been approved by DFCM, and that meet the standards for continuing education credit under this rule;

(d) maintain accurate records of verification of attendance and completion, by individual attendee, that the attendee may review for compliance with this rule.

(11) Notwithstanding any other provision of this rule, training in modular building unit construction and installation that fulfills the requirements of Sections 58-55-302.5 and R156-55a-303b fulfills the requirements of this rule.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

Utah Admin. Code R23-34-14 Fees

DFCM shall have authority to set and collect fees associated with the provision of decals to support the administration of the modular building program. Fees shall be established in compliance with Section 63J-1-504.

History

KEY: modular buildings
Date of Last Change: March 4, 2025
Authorizing, and Implemented or Interpreted Law: 15A-1-306.1; 15A-1-307; 15A-1-308

R25 Finance

R25-2 Finance Adjudicative Proceedings

Utah Admin. Code R25-2-1 Informal Proceedings

(1) Matters over which the division has jurisdiction and which are subject to Section 63G-4-203 will be informal in nature for purposes of adjudication. The division director or the division director's designee will preside over any proceeding.

(2) Procedures Governing Informal Adjudicatory Proceedings.

(a) No response need be filed to the notice of division action or hearing or to the request for division action or hearing.

(b) The division shall hold a hearing only if a hearing is required by statute.

(c) Only the parties named in the notice of division action or hearing or in the request for division action or hearing will be permitted to testify, present evidence, and comment on the issues.

(d) A hearing will be held only after timely notice of the hearing has been given.

(e) No discovery, either compulsory or voluntary will be permitted except that each party to the action shall have access to information contained in the division's files and investigatory information and materials not rest ricted by law.

(f) No person, as defined in the Utah Administrative Procedures Act, Subsection 63G-4-103(1)(g), may intervene in a division action unless federal statute or rule requires the division to permit intervention.

(g) Any hearing held under this rule is open to all parties.

(h) Within 30 days after the close of any hearing held under this rule, the division director or the division director's designee shall issue a written order stating the decision, the reasons for the decision, notice of right of judicial review, and the time limits for requesting agency review and for filing an appeal to the appropriate district court.

(i) The order and decision of the division director or the division director's designee shall be based on the facts in the division file and if a hearing is held, the facts based on evidence presented at the hearing.

(j) The division shall notify the parties of the division order by promptly mailing a copy thereof to each at the address indicated in the file. If a party agrees to receive the order through email, the division may email a copy of the division order to an email address provided by the party, instead of mailing a copy to that party.

(k) Whether a hearing is held or not, an order issued under this rule shall be the final order of the division and may be appealed to the appropriate district court, as provided in the Utah Administrative Procedures Act.

(3) A request for agency review of a division order must be made in writing within 30 days of the date of the division order to be reviewed, and must be directed to the division director of the Division of Finance, Taylorsville State Office Building, 4315 South 2700 West, Floor 3, Taylorsville, UT 84129-2128.

(4) Any other appeals or requests for review that are allowed by Section 63G-4-203, and Subsection 63G-4-103(1)(g), must be made in writing and directed to the division director of the Division of Finance, Taylorsville State Office Building, 4315 South 2700 West, Floor 3, Taylorsville, UT 84129-2128.

History

KEY: government hearings, finance
Date of Last Change: April 29, 2022
Notice of Continuation: March 10, 2026
Authorizing, and Implemented or Interpreted Law: 63G-4-203

R25-3 Personal Use Expenditures Administrative Penalty Appeal Procedures

Utah Admin. Code R25-3-1 Authority and Purpose of Rule for Appeal Procedures

(1) The authority for the rule on these appeal procedures is found in Section 63A-3-110.

(2) This rule establishes official procedures and standardized practices for administering these appeal procedures.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-2 Definitions

Terms used in this rule are defined in Subsection 63A-3-110(1).

In addition:

"Administrator" means the Department of Government Operations Division of Finance director or designee.

"Appeal" means a formal request to a higher level of review of a lower level decision.

"Appeal Authority" means the individual designated by the administrator to act as the appeal authority hearing officer.

"Appellant" means the person who requested the review hearing.

"Extraordinary Circumstances" means a failure to take proper steps at the proper time, not in consequence of the person's own carelessness, inattention, lack of preparation, or willful disregard in the processing of an appeal, but in consequence of some unexpected or unavoidable hindrance or accident.

"Party" means the officer or employee commencing a request for review, all respondents, and all persons authorized by statute or agency rule to participate as parties in an adjudicative proceeding.

"Personal Use Expenditure" means an expenditure made without the authority of law that is not directly related to the performance of an activity as a state officer or employee; primarily furthers a personal interest or a state officer or employee or a state officer's or employee's family, friend, or associate; and would constitute taxable income under federal law. It does not include a de minimis or incidental expenditure, or a state vehicle or a monthly stipend for a vehicle that an officer or employee uses to travel to and from the officer's or employee's official duties, including a minimal allowance for a detour as provided by the state.

"Request for Review" means a formal request, in writing, for an informal hearing before the appeal authority.

"Responsible Governmental Entity" means the governmental entity from whose fund or account the personal use expenditure or the payment for the indebtedness or liability for a personal use expenditure was disbursed.

"Responsible Governmental Entity Head" means the executive director, commissioner, chief justice, or other top executive of the responsible governmental entity, or a designee.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-3 Appeal and Request for Review Process

Person acting on an appeal and request for review pursuant to Subsection 63A-3-110(4), and in accordance with Title 63G, Chapter 4, Utah Administrative Procedures Act, and these rules, shall conduct the appeal process according to the following steps:

(1) A review hearing before the appeal authority may be requested only after the responsible governmental entity has determined in accordance with its own investigative and appeal processes the following:

(a) an employee or officer intentionally made a personal use expenditure or incurred indebtedness or liability on behalf of, or payable by, the responsible governmental entity for a personal use expenditure in violation of Subsection 63A-3-110(2); furthermore,

(b) the responsible governmental entity head imposed upon the employee or officer the administrative penalties specified in Subsection 63A-3-110(3), in writing.

(2) Should an employee or officer disagree with the responsible governmental entity head's finding or authorization of the administrative penalties, the aggrieved party may file a request for review with the administrator.

(a) The request for review must be submitted to the administrator in writing, using the form available from the Division of Finance, within 30 calendar days of the day the responsible governmental entity head's formal notice of the finding and authorized administrative penalties is issued. All related documentation required by the Division of Finance form must also be submitted with the form.

(b) Copies of the form and the required documentation must be submitted to the responsible governmental entity head and other parties by the employee or officer requesting the hearing.

(3) Within 15 days of submission of the request for review, any party to the hearing may file a response with the administrator. The party who submits a response shall send a copy of the response to other parties.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-4 Administrator's Initial Review of Eligibility and Merit of the Request for Review

(1) Upon receipt of the request for review, the administrator shall make an initial determination on the basis of Sections 63A-3-110 and 63G-4-201 that the appeal authority has authority to review or decide the requested appeal:

(a) Procedural Issues. The administrator shall make an initial determination of the timeliness, jurisdiction, standing, and eligibility of the issues to be advanced.

(b) Determination. The administrator has authority to determine which types of appeals may be heard by the appeal authority. Those types of appeals found to have been resolved by a preponderance of the evidence at the level of the responsible governmental entity head or those that do not qualify for advancement to the appeal authority are precluded from further consideration and review by the appeal authority.

(c) Preclusion. When an appeal request is precluded from an appeal authority review, the matter under dispute shall be deemed as final at the level of the responsible government head.

(2) The administrator shall notify within 30 days the requesting party and the responsible governmental entity head in writing that the request for review is either granted or denied, constituting the final action by the administrator. The decision letter must describe the factual findings and conclusions of the administrator's review. The letter must state that any party may file with the administrator a written request for reconsideration within 30 days after the date the administrator issues the decision, in accordance with Section 63G-4-302.

(a) Filing of a request for reconsideration is not a prerequisite for seeking judicial review of the decision.

(3) The decision letter should include a statement that a party aggrieved may obtain judicial review of the decision, in accordance with Section 63G-4-401, by filing a petition within 30 days after the date the decision is issued; or, in the case of a request for reconsideration, by filing a petition within 30 days after the date the decision is issued, in accordance of Section 63G- 4-302.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-5 Commencement of Informal Adjudicative Proceedings

(1) Purpose. An informal review hearing provides a fair and impartial opportunity for the parties to be heard and to present evidence. The adjudicative process allows the appeal authority to be completely informed about the case. After having considered the parties' evidence, the appeal authority may then render a decision based upon the facts, circumstances, and applicable laws, rules, and policies.

(2) After granting the request for review, the administrator shall promptly designate the appeal and authority and its presiding hearing officer, as authorized in Subsection 63A-3-110(4)(b).

(3) The presiding appeal authority hearing officer shall schedule a hearing date at least 30 days from the mailing date of the hearing notice.

(4) A written notice of the review hearing, signed by the presiding appeal authority hearing officer, shall be mailed to the administrator and all parties and any other person who has a right to notice under statute or rule in accordance with Section 63G-4-201, and shall include the following:

(a) the names and mailing addresses of all persons to whom notice is being given, and the name, title, and mailing address of any attorney or employee who has been designated to appear for the responsible governmental entity;

(b) the case file number or other reference number, if applicable;

(d) the date that the notice of the review hearing was mailed;

(e) a statement that the review hearing is to be conducted informally according to the rules adopted under Sections 63G-4-202 and 63G-4-203;

(f) a statement of the time and place of the scheduled review hearing, a statement of the purpose for which the hearing is to be held, and, to the extent known by the presiding authority hearing officer, the questions to be decided;

(g) a statement that a party who fails to attend or participate in a scheduled and noticed hearing may be held in default;

(h) a statement of the legal authority and jurisdiction under which the review hearing is to be maintained, Subsection 63A-3-110(4);

(i) the name, title, mailing address, and telephone number of the presiding appeal authority hearing officer.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-6 Commencement of Informal Adjudicative Proceedings -- Granting Continuance or Extension of Time

(1) Notwithstanding Subsection R25-3-5(3), after the review hearing date has been set, each party may be granted one continuance or extension of time for the hearing, provided there are extraordinary circumstances justifying such continuance or extension. A party desiring an extension of time or a continuance of the review hearing shall file a written request with the presiding appeal authority hearing officer.

(a) Every petition for a continuance shall specify the reason for the requested delay.

(b) In considering a request for continuance, the appeal authority shall take into account:

(i) whether the request was timely made in writing; and

(ii) whether the request is based on extraordinary circumstances.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-7 Informal Adjudicative Proceedings

(1) An informal review hearing will be held only after timely notice to all parties; timely notice being at least 30 days before the scheduled hearing in accordance with Subsection R25-3-5(3).

(2) In reference to Section 63G-4-203, the following procedures for informal adjudicative proceedings apply:

(a) A hearing may be conducted without adherence to the rules of evidence required in judicial proceedings. Irrelevant, immaterial, and unduly repetitious evidence shall be excluded. The weight to be given to evidence shall be determined by the presiding appeal authority hearing officer. Any relevant evidence may be admitted if it is the type of evidence commonly relied upon by prudent persons in the conduct of their affairs. Hearsay evidence may be used to supplement or explain other evidence, but it shall not be sufficient in itself to support a finding.

(b) Discovery is prohibited, but the appeal authority may issue subpoenas and other orders to compel production of necessary evidence.

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

(d) Intervention is prohibited, except as stated in Subsection 63G-4-203(1)(g).

(e) A review hearing shall be open to all parties named in the hearing notice, and all parties shall be entitled to introduce evidence, examine and cross-examine witnesses, make arguments, and fully participate in the proceeding.

(f) The testimony and statements received at a review hearing may be under oath.

(g) The proceedings may be recorded electronically by the Department of Government Operations Division of Finance at the division's expense. At its own expense any party may have a reporter, who is approved by the division, prepare a transcript from the record of the hearing. If a party desires that the testimony be recorded by a court reporter, that party may employ a court reporter at its own expense and shall furnish a transcript of the testimony to the division free of charge. This transcript shall be available at the Division of Finance to any party to the hearing.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-8 Informal Adjudicative Proceedings -- Subpoenas

(1) Subpoena power. Pursuant to Subsection 63G-4-203(1)(e), the appeal authority may issue subpoenas to witnesses and may obtain documents or other evidence in conjunction with any inquiry, investigation, hearing, or other proceedings.

(a) The appellant has the right to require the production of books, papers, records, documents, and other items pertinent to the facts at issue that are within the control of the governmental entity against which the appeal is lodged, and which are not held to be protected or privileged by law. Affidavits and ex parte statements offered during a hearing may be received and considered by the appeal authority.

(b) A person receiving a subpoena issued by the appeal authority will find the title of the proceeding posted thereon, and the person to whom it is directed shall be compelled to attend and give testimony. A subpoena duces tecum may be used to produce designated books, or other items at a specified time and place when these items are under an agency's or a person's control.

(c) A request by counsel or a party's representative to issue a subpoena must be reasonable and timely. At least five full working days' notice a scheduled hearing must be given to the appeal authority, not counting preparation and delivery time. The requesting party shall simultaneously notify the other parties of the request.

(d) The original of each subpoena is to be presented to the person named therein, and, if applicable, a copy shall be issued to the counsel or representative of each party.

(2) Service of subpoenas. Service of subpoenas shall be made by the requesting party delivering the subpoena to the person named, unless the appeal authority is requested to deposit the subpoena properly addressed and postage prepaid, with the U.S. Postal Service, or to send it by State Mail and Distribution Services, or to send it by email, or in any combination.

(3) Proof of service. If service has not been acknowledged by the witness, the server may make an affidavit of service. Failure to make proof of service does not affect the validity of the service.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-9 Informal Adjudicative Proceedings -- Witnesses

(1) Availability of employees to testify. A governmental entity shall be responsible for making available any of its employees who are subpoenaed to testify in a review hearing.

(a) Off-duty employees. Agencies are not responsible for making available an employee who is: off-duty; on sick, annual or other approved leave; or who, for any other reason, is not at work during the time the hearing is in progress.

(b) Non-disruption. The parties and their representatives and the appeal authority shall make every effort to avoid disruption to the operation of state government or other governmental entities in the calling of employees to testify in hearings under these appeal procedures.

(c) Witness failure. If a requested witness does not appear at the scheduled hearing, the witness's failure to appear may not require the postponement of any proceedings.

(d) Excessive witnesses. If the number of witnesses requested by a party is excessive, the appeal authority may require the party to justify the request or face denial of part or all of the request.

(2) Hostile witnesses. When the presiding appeal authority hearing officer determines that a witness is uncooperative or even hostile, the witness may be examined by the party calling that witness as if under cross-examination. The party calling the witness may, upon showing that the witness was called in good faith but that the testimony is a surprise, proceed to impeach the witness by proof of prior inconsistent statements.

(3) Exclusion or sequestering of witnesses.

(a) The appeal authority presiding hearing officer may sequester witnesses from the hearing until they are called to testify.

(b) Witnesses not presently testifying may be sequestered on motion by one or both parties or in the presiding hearing officer's discretion.

(c) The presiding appeal authority hearing officer will counsel the witnesses not to discuss the case with those witnesses who have not yet testified.

(4) Management representative. Before a hearing, the responsible governmental entity may designate one person to serve as the agency's management representative. The agency's management representative may remain throughout the hearing to represent the agency at any proceeding even if called to testify, unless the presiding appeal authority hearing officer determines it is reasonable to expel the management representative for any or part of the hearing.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-10 Informal Adjudicative Proceedings -- Failure to Appear; Default

When a party or the party's authorized representative to a proceeding fails to appear at a review hearing after due notice has been given, the presiding appeal authority hearing officer, at their discretion, may continue the matter, or may enter an order of default, pursuant to Section 63G-4-209, or may proceed to hear the matter in the absence of the defaulting party.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-11 Informal Adjudicative Proceedings -- Issuance of Decisions; Final Action

(1) Within 30 days after the close of the informal review hearing, the presiding appeal authority hearing officer shall issue in writing a signed decision, constituting the final action, which states the following:

(a) the decision;

(b) the reasons for the decision based on the facts appearing in the case files and on the facts presented in evidence at any review hearings;

(c) a statement that a party aggrieved may within 20 days after the date that the decision is issued file with the presiding appeal authority hearing officer a written request for reconsideration;

(i) Filing of a request for reconsideration is not a prerequisite for seeking judicial review of the decision.

(d) a statement that a party aggrieved may obtain judicial review of the decision in accordance with Section 63G-4-401 by filing a petition within 30 days after the date the decision constituting the final appeal authority action is issued; or, in the case of a request for a reconsideration, by filing a petition within 30 days after the date the decision is issued, in accordance of Section 63G-4-302;

(e) the names and mailing addresses of all persons to whom the decision is being given, and the name, title, and mailing address of any attorney or employee who was designated to appear for the responsible governmental entity;

(f) the name, title, mailing address, and telephone number of the presiding appeal authority hearing officer.

(2) The distribution of the decision to all parties, as well as to the administrator, is accomplished when any of the following occurs:

(a) deposit postage prepaid with the U.S. Postal Service;

(b) deposit with State Mail and Distribution Services;

(d) email transmission.

(3) A mailing certificate must be attached to the decision, bearing the date of mailing and the names and addresses of those persons to whom the decision is originally distributed.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-12 Informal Adjudicative Proceedings -- Request for Reconsideration

(1) Reconsideration. A written request for reconsideration may be filed by any party with the presiding appeal authority hearing officer. It must be filed within 20 days after the date the decision is issued. The written reconsideration request must contain specific reasons why reconsideration is warranted with respect to the factual findings and conclusions of the appeal authority final action. New or additional evidence may not be considered. A copy of the request for reconsideration shall be mailed to each party by the person making the request.

(a) The presiding appeal authority hearing officer shall issue a written decision granting or denying the reconsideration request to the person making the request and shall send a copy of the decision to the other parties.

(b) If the presiding appeal authority hearing officer does not issue a decision within 20 days after the filing of the request, the request for reconsideration shall be denied.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-13 Record Retention

(1) The Department of Government Operations Division of Finance shall retain the record copy of the decision along with the minutes, or electronic recording, or court reporter transcript, if available of the proceedings according to the designated State of Utah retention schedules.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

Utah Admin. Code R25-3-14 Appellant's Rights

(1) Representation. An appellant may be represented by an attorney of law. However, the state neither provides legal counsel or representation to employees or officers who request a review hearing nor pays the fees for their representation in the course of the appeal proceedings.

(2) Pro Se Status. A party to an appeal proceeding may appear pro se. When a party appears pro se, the party may request the issuance of subpoenas, directly examine and cross-examine witnesses, make opening and closing statements, submit documentary evidence, summarize testimony, and in all respects fully present one's own case.

(3) No Reprisal. Pursuant to Subsection 67-19a-303(3), no appointing authority, director, manager, or supervisor may take action to retaliate against an appellant, a representative, or a witness who participates in or is scheduled to participate in an appeal proceeding.

History

KEY: informal adjudicative proceedings, hearings, Finance appeals
Date of Last Change: April 29, 2022
Notice of Continuation: November 29, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-110

R25-5 Payment of Meeting Compensation (Per Diem) to Boards

Utah Admin. Code R25-5-1 Purpose

The purpose of this rule is to establish the procedures for payment of meeting per diem, and travel expenses to defray the costs for attendance at an official meeting of a board by an officer or employee who is a board member.

History

KEY: per diem allowances, rates, state employees, boards
Date of Last Change: December 6, 2023
Notice of Continuation: February 7, 2023
Authorizing, and Implemented or Interpreted Law: 63A-3-106

Utah Admin. Code R25-5-2 Authority

This rule is established pursuant to Section 63A-3-106, which authorizes the Director of Finance to make rules establishing per diem rates.

History

KEY: per diem allowances, rates, state employees, boards
Date of Last Change: December 6, 2023
Notice of Continuation: February 7, 2023
Authorizing, and Implemented or Interpreted Law: 63A-3-106

Utah Admin. Code R25-5-3 Definitions

Terms used in this rule are defined in Subsection 63A-3-106(1). Additional terms are defined as follows:

(1) "Finance" means the Division of Finance.

(2) "Per diem" means the taxable compensation paid for attendance at an official meeting of a board by an officer or employee who is a board member.

(3) "Rate" means an amount of money.

(4) "Independent Corporation Board" means the board of directors of any independent corporation subject to Title 63E, Chapter 2, Independent Corporations Act that is subject to this rule by its authorizing statute.

History

KEY: per diem allowances, rates, state employees, boards
Date of Last Change: December 6, 2023
Notice of Continuation: February 7, 2023
Authorizing, and Implemented or Interpreted Law: 63A-3-106

Utah Admin. Code R25-5-4 Rates

(1)(a) Each board member within state government shall receive per diem not to exceed $135 for each official meeting attended that lasts up to four hours and per diem not to exceed $200 for each official meeting attended that is longer than four hours.

(b) The per diem rates are applicable to:

(i) except as provided under Subsection (1)(b)(ii), an officer or employee of the executive branch; and

(ii) an officer or employee of higher education unless higher education pays the per diem.

(2) Travel expenses shall also be paid to a board member in accordance with Rule R25-7.

(3) A board member may decline to receive per diem or travel expenses for a board member's services.

(4) Upon approval by Finance, a board member of an independent corporation board may receive per diem, at rates exceeding those established in Subsection R25-5-4(1):

(a) for each official meeting attended as part of their official duties; and

(b) for reasonable preparation associated with official meetings of the full board or the board's subcommittees.

History

KEY: per diem allowances, rates, state employees, boards
Date of Last Change: December 6, 2023
Notice of Continuation: February 7, 2023
Authorizing, and Implemented or Interpreted Law: 63A-3-106

Utah Admin. Code R25-5-5 Governmental Employees

(1) A board member may not receive the per diem in Subsection R25-5-4(1) or travel expenses if the board member is being compensated as an officer or employee of a governmental entity, including the state, while performing the member's service on the board.

(2) A governmental employee serving on a board may receive the per diem in Subsection R25-5-4(1) if the board member:

(a) attends an official meeting held at a time other than the board member's regular working hours; and

(b) receives no compensation or leave comp time for the additional hours of the meeting.

(3) In accordance with Rule R25-7, a governmental employee serving on a board may be paid travel expenses if:

(a) the expenses are related to the attendance of an official board meeting; and

(b) the governmental employee does not receive reimbursement from other sources.

(4) A governmental employee may decline to receive per diem and travel expenses for a governmental employee's service on the board.

History

KEY: per diem allowances, rates, state employees, boards
Date of Last Change: December 6, 2023
Notice of Continuation: February 7, 2023
Authorizing, and Implemented or Interpreted Law: 63A-3-106

Utah Admin. Code R25-5-6 Payment of Meeting Compensation (Per Diem)

Each board member shall be paid the per diem through the payroll system to calculate and withhold the appropriate taxes.

History

KEY: per diem allowances, rates, state employees, boards
Date of Last Change: December 6, 2023
Notice of Continuation: February 7, 2023
Authorizing, and Implemented or Interpreted Law: 63A-3-106

Utah Admin. Code R25-7-1 Purpose

The purpose of this rule is to establish procedures to pay travel-related reimbursements to travelers of an agency or board that is subject to this rule.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-2 Authority

This rule is established under Section 63A-3-107, which authorizes the Division of Finance to make rules governing in- state and out-of-state travel expenses.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-3 Definitions

( 1) "Actual cost" means the total amount of money that was paid for an expense.

(2) "Administratively assigned office" means the state building officially assigned to an employee for reporting and supervisory functions.

(3)(a) "Agency" means any department, division, bureau, office, or other administrative subunit of state government under the executive branch.

(b) "Agency" includes any board subject to this rule.

( 4) "Board" means a board, commission, council, committee, task force, or similar body established to perform a governmental function.

(5) "Commissioner" means a department commissioner, department executive director, chief of staff, or equivalent of a chief executive officer.

(6) "Commute" means travel by an employee between their residence and their administratively assigned office.

(7) "Compliance officer" means an employee assigned by the agency who is knowledgeable in travel policy and ensures travel reimbursement requests comply with policies.

(7) "Conference hotel" means the hotel designated by the conference host, as specified in the conference materials.

(8) "Department" means an executive department of state government.

( 9)(a) "Designee" means the person who has written permission from the commissioner to act on the commissioner's behalf.

( b) The commissioner is responsible for selecting a designee who has the knowledge, skills, and experience to make decisions in the best interest of the agency.

( 10) "Fleet vehicle" means a vehicle owned or leased by an agency. This also includes vehicles rented for use as motor pool vehicles by an agency.

( 11)(a) "Ground transportation" means the use of taxi, rideshare, shuttle, or public transportation for state business.

( b) "Ground transportation" does not include the use of taxi, rideshare, shuttle, or public transportation for a commute to and from a traveler's home and regular place of work.

( 12)(a) "Hotel" means an establishment that provides lodging for travelers.

( b) "Hotel" does not include a vacation rental.

( 13)(a) "International travel" means travel outside the 48 contiguous states.

( b) "International travel" includes travel to Alaska, Hawaii, and US Territories and Possessions.

( 14) "Out-of-state travel" means travel outside Utah but within the contiguous United States.

( 15) "Per diem" means the reimbursement rates established for travel by the following agencies:

( a) the US General Services Administration for the contiguous United States as set forth in 41 CFR 301-11.6 (2004), which is incorporated by reference;

( b) the Department of Defense for Alaska, Hawaii, and US Territories and Possessions as set forth in 41 CFR 301-11.6 (2004); and

( c) the Department of State for foreign travel as set forth in 41 CFR 301-11.6 (2004).

( 16) "Rate" means an amount of money.

( 17) "Reimbursement" means money paid to compensate a traveler for money spent.

( 18) "Sufficient documentation" means the documents that show the merchant, amount paid, method of payment, date incurred, and description of the item purchased or service received. A combination of supporting documents may be needed to verify each element of the expense. Sufficient documentation includes the following official evidence of transaction:

( a) itemized receipts;

( b) invoices;

( c) cash register tape receipts;

( d) canceled checks or other documents reflecting proof of payment or electronic funds transferred;

( e) account statements; and

( f) credit card statements.

( 19)(a) "Traveler" means any person who is traveling for state business for an agency.

( b) This includes employees, board members, elected officials, vendors, volunteers, and grant recipients or award beneficiaries.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-4 Limitation on Travel-Related Reimbursements

( 1) Nothing in this rule may be construed to apply to a person's relocation expenses.

( 2) Reimbursement for relocation expenses is covered by policy.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-5 Eligible Expenses

( 1) Reimbursements are intended to cover ordinary travel-related expenses that are reasonable under the circumstances.

( 2) Alcoholic beverages may not be reimbursed.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-6 Requirements for Requesting to Travel

( 1)(a) State business travel, whether reimbursed or not, must be approved by the appropriate authority before a traveler departs.

( b) This includes non-employees when the agency pays for the travel expenses.

( c) In-state travel must be approved by the traveler's supervisor.

( d) Out-of-state travel must be approved by the traveler's commissioner.

( e) International travel must be approved by the traveler's commissioner and the governor's chief of staff.

( 2)(a) A traveler shall use the state's travel system to request approval to travel if:

( i) traveling outside Utah; or

( ii) requesting a cash advance.

( b) If a traveler leaves for an unexpected, urgent out-of-state trip without using the state's travel system to get approval, the agency's commissioner or designee may approve the trip after the traveler departs. The traveler shall explain in writing why the trip was urgent.

( c) If a traveler cannot use the state's travel system, the traveler shall use the FI 5 travel request form or an alternative process that includes the same information required by the form.

( d) A traveler shall include each expected travel expense when requesting approval to travel. Estimates for expenses shall be reasonable and reflect realistic costs.

( 3) A traveler is not required to use the state's travel system to request approval for in-state travel, but in-state travel must still be approved by the traveler's supervisor.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-7 Requirements for Requesting Reimbursement

( 1) To be reimbursed according to the rates in this rule, a traveler must comply with this rule.

( a) If a traveler does not comply and does not have an approved exception, the commissioner or designee shall be notified.

( b) The commissioner or designee shall take appropriate corrective action and decide whether the traveler is reimbursed for the expense.

( c) If the commissioner or designee approves reimbursement, the approval shall be included with the sufficient documentation needed for the expense as explained in Subsection R25-7-7(3)(c).

( 2) Reimbursement for state travel shall be approved by the traveler's agency designated compliance officer.

( 3)(a) A traveler shall use the state's travel system to request reimbursement.

( b) If a traveler cannot use the state's travel system, the traveler shall use the FI 51 reimbursement request form or an alternative process that includes the same information required by the form. If the reimbursement request is for mileage only, the traveler shall use the FI 40 mileage reimbursement request form or an alternative process that includes the same information required by the form.

( c) A reimbursement request shall include sufficient documentation for each travel expense, except for expenses for which there is a flat allowance amount.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-8 Reimbursement for Meals

( 1) A traveler may be reimbursed for meals.

( 2) A traveler is reimbursed per diem for meals as explained in 41 CFR 301-11.6, 301-11.17 301-11.18, 301-11.101 (2004).

( 3) A provided meal, such as a meal included in a registration cost, is deducted from the per diem.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-9 Reimbursement for Incidental Expenses

( 1) A traveler may be reimbursed for incidental expenses.

( 2) A traveler is reimbursed per diem for incidental expenses as explained in 41 CFR 301-11.6 and 301-11.101 (2004).

( 3) The following are considered incidental expenses and are included in the incidental expenses per diem rate:

( a) laundry expenses; and

( b) fees and tips given to porters, baggage carriers, and hotel staff.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-10 Booking a Hotel

( 1)(a) If staying at a conference hotel, a traveler shall book a conference hotel room either directly through the hotel or through the contracted travel agency by using the state's travel system or the State Travel Office. The room rate must be the best available rate within 300% of the per diem.

( b) If the conference hotel rate is more than 300% of the per diem, the traveler shall book a non-conference hotel according to Subsection R25-7-10(2).

( 2) If staying at a non-conference hotel, a traveler shall book a room through the contracted travel agency by using the state's travel system or the State Travel Office if the room rate is not within the per diem. If the room rate is within the per diem or the traveler is paying the difference between the higher rate and per diem, a traveler may book a room outside of the state's travel system or the State Travel Office.

( a) If there are no hotels in the area that have rooms within the per diem, the traveler shall book the hotel that has the best available rate within 300% of the per diem.

( b) If there are no hotels in the area that have rooms within 300% of the per diem, the traveler shall contact the State Travel Office to book a hotel room.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-11 Booking Other Types of Lodging

( 1) A traveler may book a vacation rental site if:

( a) the vacation rental site is in the best interest of the state; and

( b) the cost per person is within per diem.

( 2) A traveler may stay with a friend or relative.

( 3) A traveler may stay in a personal camper or trailer home.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-12 Reimbursement for Lodging

( 1) A traveler may be reimbursed for lodging.

( 2) The destination must be 50 miles or more from the traveler's personal residence.

( 3)(a) The commissioner or designee may approve lodging that is less than 50 miles from the traveler's personal residence if:

( i) there is an unusual circumstance, such as the traveler is required to work at the destination after work hours or there are safety issues; and

( ii) the traveler requests the exception before the trip.

( b) The request for the exception and the approval shall be included with the sufficient documentation needed for the expense as explained in Subsection R25-7-7(3)(c).

( 4)(a) For a conference hotel, a traveler is reimbursed the actual cost up to 300% of the per diem.

( b) The traveler shall include the conference registration materials when requesting reimbursement.

( 5)(a) For a non-conference hotel, a traveler is reimbursed the actual cost of the hotel if the room was booked in accordance with Section R25-7-10.

(b) If the room was not booked in accordance with Section R25-7-10, a traveler is only reimbursed up to the actual cost or per diem, whichever is lower.

(6) For a vacation rental site, the traveler who paid for the vacation rental site is reimbursed the actual cost up to the per diem per person.

( 7) For staying with a family member or friend, a traveler may receive a taxable allowance of $25 per night.

( 8) For staying in a personal camper or trailer home, a traveler may be reimbursed:

( a) the actual cost up to the per diem if the traveler has sufficient documentation from the facility; or

( b) a taxable allowance of $25 per night if the traveler does not have sufficient documentation.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-13 Booking Air Travel

( 1) A traveler shall book airfare through the contracted travel agency by using the state's travel system or the State Travel Office.

( 2) A traveler shall use a contracted airline unless:

( a) the airline cannot meet the business needs of the traveler; or

( b) a non-contracted airline offers a lower fare.

( 3) A traveler shall book economy or main cabin fares.

( 4) Airline tickets and service fees shall be charged directly to the state-operated account designated for airfare.

( 5)(a) If a traveler needs to change a flight, the traveler shall document a business reason for the change.

(b) A traveler shall contact the State Travel Office to change a flight before the day of departure.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-14 Reimbursement for Expenses Related to Air Travel

( 1)(a) A traveler may be reimbursed mileage for driving to and from the airport. See Subsection R25-7-16(2) for the reimbursement rate.

( b) A traveler who is driven to the airport by a friend or family member is reimbursed for two round trips to and from the airport.

( 2)(a) A traveler may be reimbursed for airport parking.

( b) A traveler is reimbursed the actual cost up to the airport's lowest daily parking rate for each day of parking.

( 3) A traveler may be reimbursed for taking ground transportation to and from the airport. See Section R25-7-15.

( 4) A traveler is not reimbursed for priority seating or seat upgrades, except for rare circumstances.

( a) A request for a seat upgrade must be approved in writing by the commissioner or designee before the traveler departs.

( b) In the request, the traveler shall explain in writing why a seat upgrade is necessary.

( c) The request for the seat upgrade and the approval shall be included with the sufficient documentation needed for the expense as explained in Subsection R25-7-7(3)(c).

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-15 Reimbursement for Ground Transportation

( 1) A traveler may be reimbursed for using ground transportation.

( 2) A traveler is reimbursed the actual cost of ground transportation that is related to state business travel, such as transportation to and from the airport.

( 3) A traveler is not reimbursed for personal use of ground transportation, such as transportation to a restaurant or movie theater.

( 4) A traveler is not reimbursed for an upgrade to a rideshare unless there is a documented business purpose.

( 5) A traveler may be reimbursed for tips for ground transportation if a tip is shown on an original, itemized receipt.

( 6)(a) A traveler is reimbursed the actual cost of tips up to 20% of the total fare, including taxes and fees.

( b) If a 20% tip results in an amount less than $5, a traveler may tip up to $5. The traveler is reimbursed the actual cost of the tip up to $5.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-16 Reimbursement for Mileage

( 1) A traveler may be reimbursed for mileage when using a private vehicle.

( 2) A traveler may be reimbursed one of two mileage rates as selected by the agency's commissioner: a calculated mileage rate rounded to the nearest cent based on the average of the two federal mileage automobile rates or the federal mileage automobile rate labeled, "If use of privately owned automobile is authorized or if no government-furnished automobile is authorized and available," as explained in 41 CFR 301-10.303 (2004).

( 3) A traveler is not reimbursed for mileage that is for personal use, such as driving to a restaurant or movie theater.

( 4)(a) A traveler shall use the state's travel system to calculate mileage.

( b) If unable to use the state's travel system, the traveler may calculate mileage using a generally accepted route planning website. The traveler is reimbursed based on the most commonly traveled route.

( 5) Only the owner of the vehicle may be reimbursed for mileage regardless of the number of people in the vehicle.

( 6)(a) A traveler may choose to drive their personal vehicle instead of taking a flight if the request is approved in writing by the commissioner or designee before the traveler departs.

( b) The commissioner or designee shall consider whether the reimbursement cost for the traveler's mileage and time driving is more than the cost of flying and whether the benefit of driving justifies those costs.

(7)(a) Over 50 Miles: Travelers residing more than 50 miles from their administratively assigned office may be reimbursed for taxable commute mileage at the commissioner's discretion.

(b) Within 50 Miles: Travelers residing within 50 miles of their administratively assigned office are ineligible for commute mileage reimbursements. If allowed by agency policy, a traveler may be reimbursed for taxable commute mileage if they are required to commute more than one-round trip in a day.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-17 Booking Rental Vehicles

( 1) A traveler may rent a vehicle if approved in writing before the traveler departs. See Subsections R25-7-6(1)(c) through R25-7-6(1)(e) for who shall approve a rental vehicle.

( 2) A vehicle shall be rented in the traveler's own name.

( 3)(a) A traveler shall book a rental vehicle through a contracted rental company by using the state's travel system or the State Travel Office.

( b) A traveler shall use a vehicle rented through a state contract only for business travel days.

( 4) When booking a vehicle, a traveler shall reserve the type of vehicle based on business needs.

( 5) A traveler may not rent a vehicle if staying at a conference hotel, except for rare circumstances.

( a) A request for a rental vehicle at a conference hotel must be approved in writing by the commissioner or designee before the traveler departs.

( b) In the request, the traveler shall explain in writing why renting a vehicle is necessary.

( c) The request for a rental and the approval shall be included with the sufficient documentation needed for the expense as explained in Subsection R25-7-7(3)(c).

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-18 Billing and Reimbursement for Rental Vehicles

( 1) For in-state rentals, an agency is billed directly for the rental vehicle.

( 2) For out-of-state rentals, a traveler is reimbursed the actual cost of the rental.

( 3) A traveler is reimbursed the actual cost of fuel unless the traveler chooses the prepaid fuel option when picking up the rental vehicle. A traveler is not reimbursed for fuel purchased from the rental company.

( 4) A traveler is not reimbursed for upgrades in size or model made when picking up the rental vehicle.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

Utah Admin. Code R25-7-19 Reimbursement for Parking

( 1) A traveler is reimbursed the actual cost of parking if:

( a) parking is necessary for official business; and

( b) the use of a private or rental vehicle is approved before the traveler departs.

( 2) A traveler is not reimbursed for parking that is related to personal use, such as parking at a restaurant.

History

KEY: air travel, per diem allowances, state travelers, transportation
Date of Last Change: July 17, 2026
Notice of Continuation: February 8, 2018
Authorizing, and Implemented or Interpreted Law: 63A-3-107

R25-14 Payment of Attorney's Fees in Death Penalty Cases

Utah Admin. Code R25-14-1 Authority and Purpose

(1) This rule is enacted pursuant to Section 78B-9-202.

(2) The purpose of the rule is to establish the procedures for payment of attorney's fees and litigation expenses by the Division of Finance to legal counsel appointed by courts to represent indigent persons sentenced to death who request representation to file an action under Title 78B, Chapter 9, Post-Conviction Remedies Act.

(3) All payments under this rule are subject to the availability of funds appropriated by the Utah State Legislature for the purpose of making these payments.

(4) This rule applies to fees and expenses incurred on and following the effective date of this rule.

History

KEY: attorney's, fees, capital punishment, post-conviction
Date of Last Change: August 19, 2008
Notice of Continuation: March 10, 2026
Authorizing, and Implemented or Interpreted Law: 78B-9-202

Utah Admin. Code R25-14-2 Request for Payment

To obtain payment for attorney's fees and litigation expenses, counsel appointed by a court, pursuant to Section 78B-9-202, shall:

(1) Present to the Division of Finance a certified copy of the court order of appointment before or at the time the first request for payment is submitted.

(2) Obtain the court's review and written approval certifying that the fees and expenses were reasonable in accordance with Section 78B-9-202 and this rule.

(3) Submit the court's written approval and a request for payment to the Division of Finance.

(4) The request for payment must verify that the work has been performed as provided by this rule and Section 78B-9-202 and be signed by the appointed counsel. The request for payment must be sufficiently itemized to describe the services performed and such other information as may be reasonably required by the Division of Finance to properly review and process the payment. Original invoices must be submitted for all litigation expenses for which payment is requested.

(5) Before making payment, the Division of Finance may request additional supporting documentation.

(6) The Division of Finance may withhold payment for any item in a request for payment when such item conflicts with this rule or the Post-Conviction Remedies Act pending resolution of the amount requested.

History

KEY: attorney's, fees, capital punishment, post-conviction
Date of Last Change: August 19, 2008
Notice of Continuation: March 10, 2026
Authorizing, and Implemented or Interpreted Law: 78B-9-202

Utah Admin. Code R25-14-3 Scope of Services

(1) All appointed counsel, by accepting the court appointment to represent an indigent client sentenced to death and by presenting a request for payment to the Division of Finance, agree in accordance with the Post-Conviction Remedies Act to provide all reasonable and necessary post-conviction legal services for the client, and represent the client in all legal proceedings conducted thereafter including, if requested by the client, an appeal to the Utah Supreme Court.

(2) Full compensation for the legal services performed and litigation costs incurred shall be the amounts provided in the Post- Conviction Remedies Act and this rule.

History

KEY: attorney's, fees, capital punishment, post-conviction
Date of Last Change: August 19, 2008
Notice of Continuation: March 10, 2026
Authorizing, and Implemented or Interpreted Law: 78B-9-202

Utah Admin. Code R25-14-4 Schedule of Payments of Attorney's Fees

(1) The Division of Finance shall pay reasonable attorney's fees for appointed counsel up to the maximum rate of $125 per billable hour not to exceed a total amount on $60,000, except as provided in the subsection (2).

(2) The Division of Finance shall pay amounts exceeding the total amount if:

(a) before services were performed, appointed counsel files a request with the court to exceed the total amount allowed by subsection (1);

(b) appointed counsel serves the request upon the Division of Finance before or on the date of filing the request with the court;

(d) the court determines there is sufficient cause to exceed the amount in accordance with Section 78B-9-202.

History

KEY: attorney's, fees, capital punishment, post-conviction
Date of Last Change: August 19, 2008
Notice of Continuation: March 10, 2026
Authorizing, and Implemented or Interpreted Law: 78B-9-202

Utah Admin. Code R25-14-5 Payment of Reasonable Litigation Expenses

The Division of Finance shall pay reasonable litigation expenses not to exceed a total amount of $20,000 except as provided in subsection (2).

(2) The Division of Finance shall pay amounts exceeding the total amount if:

(a) before services are performed or expenses are incurred, appointed counsel files a request with the court to exceed the total amount;

(b) appointed counsel serves the request upon the Division of Finance before or on the date of filing the request with the court;

(d) the court determines there is sufficient cause to exceed the total amount in accordance with Section 78B-9-202.

(3) Travel costs, including mileage, per diem for meals, and lodging will be reimbursed based on state rates and criteria published in rule or policy by the Division of Finance. Travel is not reasonable when the purpose of the travel can reasonably be accomplished in another way, such as by telephone or correspondence.

History

KEY: attorney's, fees, capital punishment, post-conviction
Date of Last Change: August 19, 2008
Notice of Continuation: March 10, 2026
Authorizing, and Implemented or Interpreted Law: 78B-9-202

R25-15 Change Date and Set Aside Provisions for Annual Leave II

Utah Admin. Code R25-15-1 Authority, Purpose, and Definitions

(1) This rule is authorized under Subsection 67-19-14.6(2) which requires the division to establish a change date, and Subsection 67-19-14.6(7)(b) which requires the division to make rules for the set aside provisions under Subsections 67-19- 14.6(4) and 67-19-14.6(5).

(2) Terms used in this rule are defined in Subsection 67-19-14.6(1).

History

KEY: annual leave, trust fund, liability, state employees
Date of Last Change: April 29, 2022
Notice of Continuation: December 1, 2025
Authorizing, and Implemented or Interpreted Law: 67-19-14.6(2); 67-19-14.6(7)(b); 67-19-14.6(4); 67-19-14.6(5); 67-19- 14.6(1)

Utah Admin. Code R25-15-2 Change Date

For the purposes of Subsection 67-19-14.6(2):

(1) The change date established by the division is June 20, 2015.

(2) Annual leave accrued on or after the change date, to an employee who is eligible to receive paid leave, will be considered annual leave II.

(3) State agencies are required to offer annual leave II in lieu of annual leave to eligible employees on or after the change date.

History

KEY: annual leave, trust fund, liability, state employees
Date of Last Change: April 29, 2022
Notice of Continuation: December 1, 2025
Authorizing, and Implemented or Interpreted Law: 67-19-14.6(2); 67-19-14.6(7)(b); 67-19-14.6(4); 67-19-14.6(5); 67-19- 14.6(1)

Utah Admin. Code R25-15-3 Determination of Set Aside

(1) The division may contract with a qualified actuary to help the division determine the expected change in the annual leave liability for a fiscal year.

(2) As required by generally accepted accounting principles and with consideration of Subsection 67-19-14.6(4), the division will calculate the annual leave liability to include applicable employer paid taxes and other employer paid benefits that would be required if the employee were paid for the annual leave.

(3) For each fiscal year, if the division expects the annual leave liability to increase, the division, in consultation with the Governor's Office of Planning and Budget, will determine a rate for set aside for each applicable subfund of the annual leave trust.

(4) The division will inform the Legislative Fiscal Analyst of the proposed set aside rates.

(5) The set aside rates will be determined as a percentage of gross pay of an employee who is eligible to receive paid leave, which if put into effect, would be expected to generate the amount of the projected increase in the annual leave liability applicable to each subfund of the annual leave trust.

(6) In accordance with Subsection 67-19-14.6(4)(c) and Subsection 67-19f-201(3)(b), the proposed set aside rates will also be adjusted or eliminated as applicable if the accrual of funding in a subfund of the annual leave trust is expected to reach 10% of the annual leave liability attributable to the subfund.

(7) At the beginning of each fiscal year, the division will put into effect the set aside rates authorized by the Legislature for the fiscal year.

History

KEY: annual leave, trust fund, liability, state employees
Date of Last Change: April 29, 2022
Notice of Continuation: December 1, 2025
Authorizing, and Implemented or Interpreted Law: 67-19-14.6(2); 67-19-14.6(7)(b); 67-19-14.6(4); 67-19-14.6(5); 67-19- 14.6(1)

Utah Admin. Code R25-15-4 Collection and Deposit of Set Aside in Subfunds of the Annual Leave Trust

(1) To implement Title 67 Chapter 19f, State Employees' Annual Leave Trust Fund Act, the division created the following subfunds within the trust:

(a) Public Safety,

(b) Transportation,

(d) General.

(2) The Public Safety subfund applies to all employees within the Department of Public Safety.

(3) The Transportation Subfund applies to all employees within the Department of Transportaion.

(4) The Public Education subfund applies to all employees within the Utah State Board of Education.

(5) The General subfund applies to all other employees in the Executive, Legislative, and Judicial Branches of the State.

(6) The division shall deposit in each applicable subfund, the amount of funds generated by applying the authorized set aside rates to each employee eligible to receive paid leave.

(7) In consultation with the Governor's Office of Planning and Budget, in accordance with Subsection 67-19-14.6(4)(c) and Subsection 67-19f-201(3)(b), the division will reduce or stop charging a set aside rate if the funding in a subfund of the annual leave trust reaches or is expected to reach 10% of the annual leave liability attributable to the subfund.

History

KEY: annual leave, trust fund, liability, state employees
Date of Last Change: April 29, 2022
Notice of Continuation: December 1, 2025
Authorizing, and Implemented or Interpreted Law: 67-19-14.6(2); 67-19-14.6(7)(b); 67-19-14.6(4); 67-19-14.6(5); 67-19- 14.6(1)

R25-20 Indigent Defense Funds Board, Procedures for Electronic Meetings

Utah Admin. Code R25-20-1 Purpose and Authority

(1) Purpose. Utah Code Section 52-4-207 requires any public body that convenes or conducts an electronic meeting to establish written procedures for such meetings. This rule establishes procedures for conducting Indigent Defense Funds Board meetings by electronic means.

(2) Authority. This rule is enacted under the authority of Utah Code Sections 52-4-207, 63G-3-201, and 78B-22-502.

History

KEY: electronic meetings, Indigent Defense Fund Board
Date of Last Change: December 3, 2021
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 52-4-207; 63G-3-201; 78B-22-502

Utah Admin. Code R25-20-2 Meeting Procedure

(1) The following provisions govern any meeting at which one or more board members appear telephonically or electronically pursuant to Utah Code Section 52-4-207:

(a) If one or more members of the board participates in any meeting electronically or telephonically, public notices of the meeting shall so indicate. In addition, the notices shall specify the anchor location where the members of the board who are not participating electronically or telephonically will be meeting and where interested persons and the public may attend, monitor, and participate in the open portions of the meeting.

(b) In accordance with Utah Code Section 52-4-202 and Section 52-4-207, notice of the meeting and the agenda shall be posted at the anchor location. Written or electronic notice shall also be provided at least 24 hours before the meetings on the Public Notice Website and to at least one newspaper of general circulation within the state or to a local media correspondent.

(c) Notice of the possibility of an electronic meeting shall be given to the board members at least 24 hours before the meeting. In addition, the notice shall describe how a board member may participate in the meeting electronically or telephonically.

(d) When notice is given of the possibility of a board member(s) appearing electronically or telephonically, any member(s) may do so and shall be counted as present for purposes of a quorum and may fully participate and vote on any matter coming before the board. At the commencement of the meeting, or at such time as any member initially appears electronically or telephonically, the chair shall identify for the record all those who are appearing telephonically or electronically. Votes by members of the board who are not at the physical location of the meeting shall be confirmed by the chair.

(e) The anchor location, unless otherwise designated in the notice, shall be at the Division of Finance, Taylorsville State Office building, 4315 South 2700 West, Floor 3, Taylorsville, Utah. The anchor location is the physical location from which the electronic meeting originates or from which the participants are connected. In addition, the anchor location shall have space and facilities so that interested persons and the public may attend, monitor, and participate in the open portions of the meeting.

History

KEY: electronic meetings, Indigent Defense Fund Board
Date of Last Change: December 3, 2021
Notice of Continuation: June 29, 2026
Authorizing, and Implemented or Interpreted Law: 52-4-207; 63G-3-201; 78B-22-502

R25-25 Digital User Asset Service Provider and Agency Standards

Utah Admin. Code R25-25-1 Purpose and Authority

(1) Purpose. This rule establishes the functional, technical, and other standards a vendor must meet to be eligible to enter a contract as a service provider to conduct virtual currency transactions in the state and establishes requirements an agency must meet to be a participating agency to accept virtual currency transactions.

(2) Authority. This rule is enacted under the authority of Subsection 63A-3-112(6).

History

KEY: cryptocurrency, agency requirements, service provider
Date of Last Change: December 16, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-112

Utah Admin. Code R25-25-2 Definitions

Terms used in this rule are defined in Subsection 63A-3-112(1)

In addition:

(1) "Blockchain" means underlying technology used by nearly all cryptocurrencies. A blockchain is a complete ledger of transactions held simultaneously by multiple nodes on a network.

(2) "Virtual currency" means a digital representation of value only available in electronic form. Transactions involving virtual currencies occur through secure, dedicated networks or over the Internet.

(3) "Cryptocurrency" means a digital asset that can be used as a store of value or a medium of exchange for goods and services. Transactions are verified and recorded using cryptography by a distributed network of participants, rather than a centralized authority such as a bank or government agency.

(4) "Wallet" means a software program or physical device that allows a user to store virtual currency and send or receive cryptocurrency transactions.

(5) "Fiat Currency" means a government-issued currency that is not backed by a commodity such as gold. In the United States, it is the U.S. dollar.

(6) "Agency" means the same as defined in Section 63A-1-103.

(7) "SOC1 Type 2 Report" is a report on management's description of a service organization's system and the suitability of the design and operating effectiveness of controls.

(8) "SOC2 Type 2 Report" means a report on how a cloud-based service provider handles sensitive information. It covers both the suitability of a company's controls and its operating effectiveness.

History

KEY: cryptocurrency, agency requirements, service provider
Date of Last Change: December 16, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-112

Utah Admin. Code R25-25-3 Participating Agency Requirements

(1) An agency that wishes to be a participating agency and accept payments made through a service provider must comply with the following requirements:

(a) allow virtual currency payments only for customer accounts where a payment delay of two business days to allow for conversion is appropriate;

(b) select a service provider that has a cooperative contract with the state;

(c) be responsible for system enhancements and application programming interfaces to connect customers with the service provider and to accept and properly credit the converted payment;

(d) establish a record series with the Division of Archives and keep records of all virtual currency transactions from the service provider and the customer for at least five years; and

(e) establish adequate internal controls and reconciliation procedures to ensure that the service provider is complying with service provider standards in Section R25-25-4 and is remitting payments properly and timely.

(2) Agencies receiving virtual currency converted to U.S. dollars for payment on account will issue any related customer refund requests in U.S. dollars to the holder of the customer account.

(3) An agency may charge a fee in addition to the service provider conversion fee that meets the requirements of Section 63J-1-504.

(a) The agency must ensure that any fees charged for conversion of virtual currency are transparent and properly approved before accepting virtual currency payments; and

(b) may not reduce the payment amount for agency specific fees.

History

KEY: cryptocurrency, agency requirements, service provider
Date of Last Change: December 16, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-112

Utah Admin. Code R25-25-4 Service Provider Standards

(1) A service provider must have certification of liability insurance or regulatory capital and balance sheet strength sufficient to cover the full value of the transactions processed for the state.

(2) A service provider must provide a good and sufficient Surety Bond as a guarantee that the service provider will execute and settle all virtual currency conversion transactions as outlined in the contract. The Surety Company shall be a Surety Company legally authorized to do business in the state.

(3) A service provider must assume the costs associated with converting virtual currency to U.S. fiat currency.

(a) Any fees that a service provider charges for conversion must be added to the payment amount as opposed to netting fees from the payment amount.

(b) A service provider must be able to collect and remit any additional charges specified by the agency.

(4)(a) A service provider must convert virtual currency to fiat currency and deposit the full payment amount in U.S. dollars to the bank account specified by the agency within two business days.

(b) A service provider may not require the transactions to be deposited in a wallet owned by the agency.

(5) A service provider must provide information necessary for the agency to properly credit the customer account and enable any necessary procedures for the payment to be posted correctly.

(6) A service provider must be able to provide SOC 1, Type 2 and SOC 2, Type 2 reports to the state, to provide assurance their blockchain or public record is secure when completing transactions.

(7) The State of Utah will publish a list of eligible assets. A service provider must accept eligible digital assets identified by the state.

(8) Digital asset issuers, exchanges and trading platforms, and intermediaries whose activities may increase risks to financial stability, should, as appropriate, be subject to and in compliance with regulatory and supervisory standards that govern traditional market infrastructures and financial firms, in line with the general principle of "same business, same risks, same rules." Two things to cite: White House Fact Sheet about President Biden signing Exe Order on Ensuring Responsible Development of Digital Assets and a Federal Register about Ensuring Responsible Development of Digital Assets.

(9) The service provider must be compliant with Financial Crimes Enforcement Network (FinCEN), Office of Foreign Assets Control (OFAC), Know Your Customer (KYC) and Anti-Money Laundering requirements as established by the Securities Exchange Commission.

(10) A service provider must comply with any applicable state level money transmitter laws.

History

KEY: cryptocurrency, agency requirements, service provider
Date of Last Change: December 16, 2022
Authorizing, and Implemented or Interpreted Law: 63A-3-112

R27 Fleet Operations

R27-1 Definitions

Utah Admin. Code R27-1-1 Authority and Purpose

(1) This rule is established pursuant to Subsection 63A-9-401(1)(d), which requires the division to create rules governing procedures and policies used for managing the state's vehicle fleet.

History

KEY: definitions
Date of Last Change: February 21, 2023
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401

Utah Admin. Code R27-1-2 Definitions

(1) The following terms are defined for use under Title R27.

(a) "Accident" means any mishap in which a state vehicle is involved, which results in harm or injury to persons, or damage to property, regardless of fault, total cost of treatments, or repairs.

(b) "Agency" has the same meaning as provided in Subsections 63A-9-101(1)(a), (b), and (c).

(c) "Alternative Fuel Vehicle (AFV)" means a vehicle designed and manufactured by an original equipment manufacturer to operate on one or more fuels other than traditional gasoline or diesel fuel. Examples of alternative fuels include electricity, biodiesel, compressed natural gas, propane, hydrogen, methanol, ethanol, and any other vehicle fuel source approved by the federal government's Department of Energy (DOE).

(d) "Authorized Driver" means any agency employee who has been identified as having the authority, within their scope of employment, to operate a state vehicle on the agency's behalf. An authorized driver shall hold a valid driver license and shall successfully complete the specific authorized driver training and other criteria required by the division, Risk Management, and the employing agency for the vehicle type that will be operated. An authorized driver may also be referred to as operator, driver, employee, or customer.

(e) "Authorized Passenger" means any state employee acting within the scope of their employment, or any other person or animal whose transport is either necessary for the performance of the authorized driver's or passenger's employment duties or has been pre-approved by the agency head to accompany an authorized driver or passenger.

(f) "Capital Lease Vehicle" means any vehicle with a lease designed to recover the vehicle cost. The division also charges rates for administrative costs. Maintenance, repair, and safety recalls costs are the responsibility of the agency that leases the vehicle from the division. Capital leases are subject to division approval.

(g) "Citizen Complaint" means a complaint reported by a citizen to the division.

(h) "Commute Use" means use of a state vehicle by an employee driving between the employee's residence and the employee's assigned work location more than one calendar day per month. Commute use is subject to the Commuting Rule as outlined in 26 CFR 1.61-21 .

(i) "Department" means the Department of Government Operations.

(j) "Division" means the Division of Fleet Operations.

(k) "Driver Eligibility Board" means the panel formed to determine an authorized driver's state vehicle driving privileges.

(l) "Emergency Vehicle" means a state vehicle which is primarily used for providing law enforcement and public safety services, including fire services or emergency medical services.

(m)(i) "Employee" includes:

(A) a governmental entity's officers, employees, servants, trustees, or commissioners;

(B) members of a governing body;

(D) members of a governmental entity's commission;

(E) members of an advisory body, officers, and employees of a Children's Justice Center;

(F) student teachers holding a license issued by the State Board of Education;

(G) educational aides;

(H) students engaged in internships;

(I) volunteers as defined by Subsection 67-20-2(3); and

(J) tutors.

(ii) "Employee" includes the positions identified in Subsection (m)(i) whether or not the individual holding that position receives compensation.

(iii) "Employee" does not include an independent contractor.

(iv) "Employee" does not include an individual serving in a correctional program.

(n) "Expansion Vehicle" means an additional permanent vehicle requested by an agency. The purchase of an expansion vehicle requires legislative approval.

(o) "Feature" means any option or accessory that is available from the vehicle manufacturer.

(p) "Full-Service Lease" means a type of lease designed to recover vehicles costs. The division also charges rates to cover administrative costs, maintenance and repair costs, and other variable costs.

(q) "Heavy-duty Vehicle" means any motor vehicle having a gross vehicle weight rating (GVWR) greater than 26,001 pounds.

(r) "Light-duty Vehicle" means any motor vehicle having a GVWR of 10,000 pounds or less.

(s) "Medium-duty Vehicle" means any motor vehicle having a GVWR of 10,001 to 26,000 pounds.

(t) "Miscellaneous Equipment" means any equipment, enhancement, or accessory that is installed on or in a motor vehicle by persons other than the original vehicle manufacturer, and other non-fleet related equipment. Includes light bars, 800 MHz radios, transits, surveying equipment, traffic counters, semaphores, and diagnostic-related equipment.

(u) "Motor Pool" means a centrally located group of state vehicles that is made available to agencies for lease on a short-term basis.

(v)(i) "Motor Vehicle" has the same meaning as provided in Subsection 63A-9-101(7).

(w) "Motor Vehicle Review Committee (MVRC)" means the committee created under Section 63A-9-301.

(x) "Moving Violation" means a breach of traffic laws which occurs while the driver's vehicle is in motion.

(y) "Non-preventable Accident" means any occurrence involving a state vehicle which results in an accident in which everything that could have been reasonably done to prevent it was done and the accident still occurred. Non-preventable accidents shall include vandalism of state vehicles being used to conduct state business.

(z) "Non-road Vehicle" means a vehicle, regardless of GVWR, that is not licensed for on-road use. Non-road vehicles include vehicles used principally for construction, golf carts, airplanes, farm tractors, snowmobiles, forklifts, off-highway vehicles, and boats.

(aa) "Personal Use" means the use of a state vehicle to conduct an employee's personal affairs, not related to state business.

(bb) "Preventable Accident" means any occurrence involving a state vehicle, which results in property damage or personal injury, regardless of who was injured, what property was damaged, to what extent, or where it occurred, in which the authorized driver in question failed to do everything that could have reasonably been done to prevent it.

(i) Preventable accidents are not limited to collisions.

(ii) Preventable accidents include damage to the interior of the state vehicle due to improperly locked doors, smoke or burn damage caused by smoking in the vehicle, or lack of general care of the vehicle's interior.

(cc) "Preventive Maintenance (PM)" means vehicle services conducted at regular time intervals to deter mechanical breakdowns, including lube, oil, and filter changes.

(dd) "Replacement Cycle" means the criteria established by the division to determine when the replacement of a state vehicle is necessary.

(ee) "Replacement Vehicle" means a vehicle purchased to replace a state vehicle that has met replacement cycle criteria.

(ff) "SSFV" means a "Standard State Fleet Vehicle," which is the vehicle designated by the division as the default replacement vehicle for the state fleet.

(gg) "State Fuel Network" means the state program that provides an infrastructure for fueling state vehicles.

(hh) "State of Utah Fuel Card" means a purchase card assigned to a vehicle person or other motorized equipment by the State Fuel Network program, to be used when purchasing fuel.

(ii) "State Vehicle" means each motor vehicle owned, operated, or in the possession of an agency, also to include any vehicle procured with state funds for state business such as a rental vehicle.

(jj) "Take-home Use" means use of a state vehicle by an employee driving a state vehicle between the employee's place of residence and the employee's assigned work location more than one calendar day per month. Take-home use is exempt from the Commuting Rule as outlined in 26 CFR 1.61-21 .

(kk) "Variable Costs" means costs including, fuel, oil, tires, services, repairs, maintenance, and PM.

(ll) "Vehicle Identification Number (VIN)" means the number issued by the vehicle manufacturer to identify the vehicle in the event of a theft. This number can be found on the driver's side of the dashboard below the windshield.

(mm) "Vendor" means any third party offering sales or services for state vehicles, such as PM or repair services.

History

KEY: definitions
Date of Last Change: February 21, 2023
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401

R27-2 Fleet Operations Adjudicative Proceedings

Utah Admin. Code R27-2-1 Informal Proceedings

(1) The following categories of proceedings are hereby designated as informal proceedings under Title 63G, Chapter 4, Utah Administrative Procedures Act:

(a) Determinations regarding employee driving privileges for operation of division vehicles within state government; or

(b) Any agency action not exempted under the Administrative Procedures Act.

(2) Procedures governing informal proceedings.

(a) No response need be filed to the notice of agency action or request for agency action.

(b) The agency shall hold a hearing only if a hearing is required by statute, or is permitted by statute and a request for agency action, otherwise, at the discretion of the agency head no hearing shall be held.

(c) Only the parties named in the notice of agency action or request for agency action may be permitted to testify, present evidence, and comment on the issues.

(d) A hearing may be held only after timely notice of the hearing has been given.

(e) No discovery, either compulsory or voluntary, may be permitted except that all parties to the action shall have access to information contained in the agency's files and investigatory information and materials not restricted by law.

(f) No person, as defined in Subsection 63G-4-103(1)(g), may intervene in an agency action unless federal statute or rule requires the agency to permit intervention.

(g) Any hearing held under this rule is open to all parties.

(3) Within 30 days after the close of any hearing held under this rule, or after the failure of a party to request a hearing, the agency head shall issue a written decision stating the decision, the reasons for the decision, a notice of right of judicial review, and the time limits for filing an appeal to the appropriate district court.

(4) The agency head's decision shall be based on the facts in the agency file and, if a hearing is held, the facts based on evidence presented at the hearing.

(5) Decisions from the division may be appealed to the executive director of the department.

(6) The agency shall notify all parties of the agency order by promptly mailing a copy thereof to each at the address indicated in the file.

(7) Whether a hearing is held or not, an order issued under this rule shall be the final order of the agency and may be appealed to the appropriate district court.

History

KEY: appellate procedures, administrative procedures
Date of Last Change: November 25, 2021
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63G-4-102

R27-3 Vehicle Use Standards

Utah Admin. Code R27-3-1 Authority and Purpose

(1) This rule is established pursuant to Subsection 63A-9-401(1)(d), which authorizes the division to establish the requirements for the use of state vehicles, including business and personal use practices, and commute standards.

(2) This rule defines the vehicle use standards for state employees while operating a state vehicle.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-2 Agency Contact

Each agency shall appoint and designate, in writing to the division, a main contact person from within the agency to act as a liaison between the division and the agency.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-3 Agency Authorization of Drivers

(1) Agencies authorized to enter information into the division's fleet information system shall enter the agency's authorized driver information into the division's fleet information system, to include the following:

(a) driver's name;

(b) driver license number;

(d) each Risk Management-approved driver training program taken;

(e) date each driver training program was completed;

(f) the type of vehicle used for each training program.

(2) Agencies without authorization to enter information into the division's fleet information system shall provide the information required in Subsection R27-3-3(1) to the division for entry into the division's fleet information system.

(3) Any employee whose fleet information system record does not have all the information required in Subsection R27-3-3(1) shall be deemed unauthorized to drive state vehicles.

(4) To operate a state vehicle, authorized drivers whose names have been entered into the division's fleet information system shall have:

(a) a valid driver license for the class of vehicle being operated; and

(b) completed an approved driver training course as required by the Division of Risk Management for the class of vehicle being operated.

(5) Agencies shall develop and establish procedures to prevent driving for business by any employee that does not meet the qualifications of an authorized driver as defined in this rule.

(6) The division shall conduct a Utah driver license verification check on a regular basis to verify the validity of the driver license of each authorized driver whose name appears in the division's fleet information system. The agency is responsible for verifying the license of an authorized driver with a driver license issued outside of Utah.

(7) If an authorized driver is found not to have a valid driver license, the division shall notify the agency within three business days of the results of the driver license verification check.

(8) Any employee whose driver license has become invalid shall have their authorized state vehicle driving privileges immediately withdrawn.

(9) Any authorized driver who has an invalid driver license may not have the authority to operate a state vehicle reinstated until the authorized driver provides proof to the division that their driver license is once again valid.

(10) Authorized drivers shall operate a state vehicle in accordance with the restrictions or limitations imposed upon their driver license.

(11) Agencies shall comply with the requirements set forth in Subsection R37-1-8(9).

(12) If an agency has only approved driving a non-road vehicle, the driver does not need to be an authorized driver under this rule.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-4 Authorized and Unauthorized Use of State Vehicles

(1) Unless otherwise permitted by the agency's applicable statutes and policies, the following are examples of the unauthorized use of a state vehicle:

(a) transporting family, friends, pets, associates, or other persons who are not state employees or are not serving the interests of the state;

(b) transporting hitchhikers;

(c) transporting acids, explosives, hazardous materials, flammable materials, weapons, or ammunition except as authorized by federal or state laws. Otherwise, the transport of these items or materials is authorized when it is specifically related to employment duties;

(d) extending the length of time that the state vehicle is in the operator's possession beyond the time needed to complete the official purposes of the trip;

(e) operating a state vehicle for personal use except as allowed by law;

(f) except as necessary for the performance of employment duties, the use of a state vehicle for activities such as shopping, participating in sporting events, hunting, or fishing is not authorized; and

(f) using a state vehicle for personal convenience, such as when a personal vehicle is not operational.

(2) Pursuant to Section R27-7-3, the unauthorized use of a state vehicle may result in the suspension or revocation of state driving privileges.

(3) Except in cases where it is customary to travel out of state to perform an employee's regular employment duties and responsibilities, the use of a state vehicle outside of the state shall be included in the description of out-of-state travel requests.

(4) State vehicle use for travel outside of the continental United States shall be included in the travel plan description and approval required for non-CONUS travel. The employing agency shall, before the departure date, provide the division and the Division of Risk Management with proof that proper automotive insurance has been obtained. The employing agency shall be responsible for any damage to vehicles operated outside of the United States regardless of fault.

(5) Under no circumstances shall the total number of occupants exceed the maximum number of passengers recommended by the manufacturer or the Division of Rick Management.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-5 Personal Use Standards

(1) Except as described in this rule, personal use of state vehicles requires statutory authorization.

(2) Employees authorized for personal use of vehicles in statute must comply with 26 CFR 1.61-21 and agency policies established according to Section R27-3-9.

(3) An employee or representative of the state spending at least one night on approved travel to conduct state business may use a state vehicle in the general vicinity of the overnight lodging for the following approved activities:

(a) travel to and from restaurants and stores for meals, breaks, and personal needs;

(b) travel to and from grooming, medical, fitness, or laundry facilities; and

(c) travel to and from recreational activities, such as to theaters, parks, or to the home of friends or relatives, provided the employee or representative has received prior approval for such travel from their supervisor.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-6 Application for Commute Use

(1) Each petitioning agency shall be responsible for submitting names and applicable information to the division for authorized drivers granted commute or take-home privileges along with proof of the agency executive director's or designee's approval.

(2) Law enforcement officers who have received statutory personal use authorization of their law enforcement vehicles do not need to report to the division for approval.

(3) The division shall enter the approved request into the fleet information system and shall make the assigned identification number available to both the driver and the agency.

(4) Agencies are responsible for notifying the division when adjustments to approvals need to be made, including terminations and reassignments.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-7 Criteria for Commute and Personal Use Approval

(1) An agency executive director or designee may approve commute or take-home use when one or more of the following conditions exist:

(a) 24-hour On-call Emergency. When the agency clearly demonstrates that the nature of a potential emergency is such that an increase in response time, if a commute or take-home use privilege is not authorized, could endanger a human life or cause significant property damage. Each driver shall keep a complete list of callouts. The authorized driver shall create and maintain a trip log beginning with the first trip of the day and ending with the last trip of the day for commute use vehicles. The trip log must contain at least the starting and ending points of the commute;

(b) Virtual Office. When the agency clearly demonstrates that an employee is required to work out of a vehicle a minimum of 80% of the time and the assigned vehicle is required to perform the critical duties assigned to the employee;

(c) Practicality. When the agency clearly demonstrates that it is more practical for the employee to go directly to an alternate work site rather than report to a specific office to pick up a state vehicle;

(d) Compensation Vehicle. When a vehicle is provided to appointed or elected government officials who are specifically allowed by law to have an assigned vehicle as part of their compensation package.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-8 Exemptions from IRS-Imputed Daily Fringe Benefits

(1) Commute and personal use of vehicles are considered a taxable fringe benefit as outlined in 26 CFR 1.61-21. Approved commute use drivers shall be assessed the IRS-imputed daily fringe benefit rate while using a state vehicle for commute or personal use. The division shall notify the Division of Finance of this authorization. The Division of Finance shall then enter the authorized driver's fringe benefit into the payroll system.

(2) The State standard for tracking and recording daily fringe benefits is established by the Division of Finance in policy.

(3) Tax exemptions for commuting or personal use must be in accordance with 26 CFR 1.61-21 and must be approved by the employing agency.

(4) Any agency claiming an IRS exemption must maintain a file justifying the exemption and must be prepared to explain the agency's position in the case of an IRS audit.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-9 Enforcement of Commute and Personal Use Standards

(1) Agencies with drivers who have been granted commute or personal use privileges shall establish internal policies to enforce the standards established in this rule, in IRS internal revenue bulletins, and in 26 CFR 1.61-21. Agencies may not adopt policies that are less stringent than the standards established in this rule.

(2) Agencies are responsible for keeping appropriate records, including call out and trip logs where applicable.

(3) Commute or personal use that is unauthorized shall result in the suspension or revocation of the commute or personal use privilege by the agency. Additional instances of unauthorized use may result in the suspension or revocation of the state driving privilege by the agency.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-10 Use Requirements for Monthly Lease Vehicles

(1) Agencies that lease state vehicles from the division on a monthly basis shall:

(a) ensure that only authorized drivers operate the vehicles;

(b) report the correct odometer reading when refueling the vehicle. If an incorrect odometer reading is reported, agencies may be assessed a fee when the agency fails to correct the mileage within three business days of the agency's receipt of the notification that the incorrect mileage was reported. When circumstances indicate that there was an intentional falsification of the vehicle's actual odometer reading at the time of refueling, a fee may be assessed to the agency even if the agency corrected the error;

(c) return the vehicle to the division in good repair and in clean condition at the completion of the replacement cycle period or when the agency and the division have agreed to return the vehicle for replacement, reassignment, or reallocation;

(i) Agencies shall be assessed the total cost of the detailing fee for returned vehicles that need extensive cleaning; and

(ii) Agencies shall pay the insurance deductible associated with repairs made to a vehicle that has been damaged.

(d) return the vehicle unaltered and in conformance with the manufacturer's specifications with the exception of agencies whose jobs require altering of the vehicle. The agency and the division will come to a written agreement as to which alterations can be made to the division's vehicles;

(e) pay the applicable insurance deductible if a monthly lease vehicle in their possession or control is involved in an accident;

(f) not place advertising or bumper stickers on state vehicles without prior approval of the division.

(2) Section R27-4-9 shall govern agencies when requesting a monthly lease.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-11 Use Requirements for Daily Motor Pool Vehicles

(1) The division, at select locations, offers state vehicles for use on a daily basis at an approved daily rental rate. Authorized drivers renting a state vehicle offered through the daily pool shall:

(a) read and obey any instructions provided by the division, containing information regarding the use and rental of the vehicle;

(b) verify the current condition of the rental vehicle and notify the division of any current damages and any damages that occur during the rental period;

(c) report the correct odometer reading when refueling the vehicle at authorized refueling sites, and when the vehicle is returned. If an incorrect odometer reading is reported, agencies may be assessed a fee when the agency fails to correct the mileage within three business days of the agency's receipt of the notification that the incorrect mileage was reported. When circumstances indicate that there was an intentional falsification of the vehicle's actual odometer reading at the time of refueling, a fee may be assessed to the agency even if the agency corrected the error;

(d) return vehicles with a full tank of fuel and if the vehicle has a plug-in charge, begin the charge cycle. Agencies shall be assessed a fee for vehicles that are returned with less than a full tank of fuel;

(e) return rental vehicles in good repair and in clean condition;

(i) agencies shall be assessed a detailing fee for returned vehicles that need extensive cleaning; and

(ii) notify the division if a vehicle is damaged.

(f) call to extend the reservation if they need to keep rental vehicles longer than scheduled. Agencies shall be assessed a late fee, in addition to applicable daily rental fees, for vehicles that are not returned on time;

(g) use their best efforts to return rented vehicles during regular office hours. Agencies may be assessed a late fee equal to one day's rental for vehicles that are not returned on time;

(h) call the daily pool location, at least one hour before the scheduled pick-up time, to cancel the reservation. Agencies shall be assessed a fee for any unused reservation that has not been canceled;

(i) not place advertising or bumper stickers on state vehicles without prior approval from the division.

(2) The vehicle shall be inspected upon its return. The agency shall either be held responsible for any damages not acknowledged before rental, or any applicable insurance deductibles associated with any repairs to the vehicle.

(3) Agencies are responsible for paying applicable insurance deductibles when a vehicle operated by an authorized driver is involved in an accident.

(4) The division shall hold items left in daily rental vehicles for ten days. Items not retrieved within the ten-day period shall be turned over to the State Surplus Property Program for sale or disposal.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-12 Alcohol and Drugs

(1) While under the influence or with any detectable amount of alcohol, illegal drugs, or impairment from legal medication in their body, no authorized driver shall operate or be in actual physical control of a state vehicle.

(2) No operator of a state vehicle shall transport alcohol or illegal drugs of any type in a state vehicle unless they are:

(a) a law enforcement officer, as defined in Section 53-13-103, in the process of investigating criminal activities;

(b) an employee of the Department of Alcoholic Beverage Control conducting business within the guidelines of their daily operations; or

(c) an investigator for the Department of Commerce in the process of enforcing Title 58, Chapter 37, Utah Controlled Substances Act.

(3) Except as provided in Subsection R27-3-13(2), any authorized driver who uses a state vehicle for the transportation of alcohol or drugs may have their state driving privileges withdrawn, suspended, or revoked.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-13 Violations of Motor Vehicle Laws

(1) Authorized drivers shall obey motor vehicle laws while operating a state vehicle.

(2) Any authorized driver who receives a citation for a violation of motor vehicle laws shall be personally responsible for paying fines associated with citations. Failure to pay fines associated with citations for the violation of motor vehicle laws shall result in the loss of state driving privileges.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-14 Seat Restraint Use

(1) Authorized drivers and passengers in state vehicles shall wear seat belt restraints while in the vehicle.

(2) Children being transported in state vehicles shall be placed in proper safety restraints for their age and size as stated in Section 41-6a-1803.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

Utah Admin. Code R27-3-15 Smoking in State Vehicles

State vehicles are designated as "nonsmoking." Agencies shall be assessed fees for any damage and detailing costs incurred as a result of smoking in vehicles.

History

KEY: state vehicle use
Date of Last Change: October 28, 2024
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)

R27-4 Vehicle Replacement and Expansion of State Fleet

Utah Admin. Code R27-4-1 Authority and Purpose

This rule is established pursuant to Subsection 63A-9-401(5).

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-2 Fleet Standards

(1) The division shall ensure that the state can obtain optimal utilization of, and the greatest residual value for all state vehicles

(2) The division shall review agency motor vehicle utilization on an annual basis to identify state vehicles that, on the basis of the applicable replacement cycle, are either being under or over utilized.

(3) The division shall provide the results of the motor vehicle utilization review to each agency for use in agency efforts to ensure full utilization of all state vehicles.

(4) The division shall establish replacement cycles for state vehicles. The replacement cycles shall be based on vehicle time in service.

(a) Factors including a vehicle's intended use, agreements with an agency, and the intended miles per year may be used in determining the appropriate time in service.

(b) Vehicles may be replaced subject to negotiations with the agency, regardless of whether the time in service is met.

(5) If a vehicle is turned in for replacement as scheduled but did not reach mileage intended under the applicable replacement cycle, the division shall conduct a utilization review of that agency's fleet to ensure the vehicle is needed. The review may result in the vehicle being:

(a) replaced with a new vehicle;

(b) sold; or

(6) Pursuant to Subsections 63J-I-410(8)(f)(ii), (iii), and (iv), vehicles acquired by agencies, or monies appropriated to agencies for vehicle purchases, may be transferred to the division and, when transferred, become part of the Fleet Internal Services Fund.

(7) An agency may transfer vehicles throughout its agency as needs change.

(8) Vehicles that are used exclusively in education for the purposes of teaching automotive technology or developing and testing new automotive technologies are outside the scope of this rule.

(9) The SSFV is a compact sedan, which shall be the vehicle type most commonly used when conducting state business. When adequate infrastructure is available, the SSFV will be an AFV.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-3 Vehicle Acquisition Criteria

(1) All state vehicles shall, subject to budgetary or market constraints, be replaced in accordance with the established replacement cycle for that vehicle, unless the division and the leasing agency agree to other terms.

(2) Before purchasing expansion or replacement vehicles, the division shall provide each agency contact with a list identifying any underutilized vehicles within their fleet, all vehicles that are due for replacement, and the SSFV that will be purchased to take the place of each vehicle that is on the list as due for replacement.

(3) The division shall work with the agency to determine the appropriate vehicle to purchase.

(4) Agencies may request a non-SSFV only if one or more of the following justifications are cited:

(a) passenger space;

(b) type of items carried;

(d) police pursuit capacity;

(e) off-road capacity;

(f) 4x4 capacity;

(g) emergency service capacity;

(h) attached equipment capacity;

(i) average driving range; or

(j) other justifications as approved by the division director or designee.

(5) If a non-SSFV is replaced, it will be replaced with a non-SSFV matching the specification of the prior vehicle unless the agency requests a change.

(6) Agencies may petition the executive director of the department, or the executive director's designee, for a review if the division director or designee denies a request to replace a state vehicle with a non-SSFV.

(7) Where practical, an AFV will be purchased for use in the state fleet.

(a) The division is responsible for ensuring that the state fleet complies with federal AFV and Environmental Protection Agency (EPA) mandates.

(b) The division may require that a certain number of vehicles, regardless of the requesting agency, be alternative fuel vehicles to ensure compliance with these mandates.

(8) All agencies exempted from the division's replacement program shall provide the division with a complete list of intended state vehicle purchases before placing the order with the vendor.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-4 Vehicle Replacement

(1) Agencies may request replacement of vehicles with a history of excessive repairs. A request to replace vehicles with a history of excessive repairs is subject to budgetary constraints and the approval of the division director or their designee.

(2) Agencies may petition the department's executive director, or the executive director's designee, for a review if the division director or their designee denies a request for the replacement of state vehicles with a history of excessive repairs.

(3) The division and agency shall coordinate timely exchange of vehicles upon delivery of a new vehicle.

(4) Agencies that have a need to keep an already replaced vehicles are to inform the division in writing of this need. The division shall offer a Memorandum of Understanding to the agency to allow the agency to continue to lease the already replaced vehicle for an agreed upon term, typically 18 months. When the term expires, the vehicle must be returned to the division for disposal.

(5)(a) If the requesting agency receives legislative approval for placing a do not replace vehicle on a replacement cycle, the requesting agency shall provide the division with proof of approval.

(b) In no event shall the division purchase a replacement for the do not replace vehicle if the requesting agency fails to provide funds necessary to cover the depreciation costs.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-5 Fleet Expansion

(1) Any expansion of the state fleet requires legislative approval.

(2) Before seeking legislative approval, Agency must contact division to discuss available options.

(3) Agencies shall provide proof to the division of the requisite legislative approval and funding for any requests to purchase a vehicle which will expand the state fleet, or for any requests to place do not replace vehicles on a replacement cycle. An agency shall be deemed to have the requisite legislative approval for purchasing expansion vehicles or for placing do not replace vehicles on a replacement cycle only if these actions are explicitly authorized by the Legislature.

(4) The following constitute acceptable proof of Legislative approval of the requested expansion or placement of a do not replace vehicle on a replacement cycle:

(a) written communication with the agency confirming authorization and citing the specific line item in the appropriations bill providing said authorization;

(b) written verification from the agency's analyst in the Governor's Office of Planning and Budget or the Legislative Fiscal Analyst indicating that the request for expansion was authorized by the Legislature; or

(5) When needed, the division shall provide copies of the proof to the division of Finance to transfer funds from the requesting agency to the division.

(6) Upon purchase, the expansion vehicle shall be added to the state fleet and a replacement cycle shall be established.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-6 Vehicle Feature and Miscellaneous Equipment Upgrade

(1) Any additional vehicle features or miscellaneous equipment added to vehicle which increase the overall cost of the vehicle shall be deemed vehicle feature and miscellaneous equipment upgrades. A feature or miscellaneous equipment upgrade occurs when an agency requests:

(a) that a replacement vehicle have a non-standard feature. For example, when an agency requests that an otherwise standard replacement vehicle have a diesel rather than a gasoline engine; or

(b) the installation of additional miscellaneous equipment is not installed by the vehicle manufacturer. For example, when an agency requests that light bars or water tanks be installed on an otherwise standard replacement vehicle.

(2) Requests for miscellaneous equipment upgrades shall be made in writing by the agency's assigned fleet contact and, shall present reasons why the upgrades are necessary to meet the agency's needs.

(3) All requests for miscellaneous equipment upgrades shall be subject to review and approval by the division director or their designee. The division director or their designee shall approve any vehicle feature or miscellaneous equipment upgrades upon determining that they are necessary and appropriate for meeting the agency's needs.

(4) Agencies may petition the executive director of the department, or the executive director's designee, for a review if the division director or their designee denies a request for a miscellaneous equipment upgrade.

(5) Miscellaneous equipment upgrades must be paid for by the agency. A miscellaneous equipment upgrade fee shall be assessed to the agency, which will cover the total cost associated with providing the additional miscellaneous equipment. The agency may pay the fee in installments or upon purchase as agreed upon with the division.

(6) Agencies that agree to installment payments shall indemnify and make the division whole for any losses incurred from damage to or loss associated with the state vehicle or its miscellaneous equipment.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-7 Agency Installation of Miscellaneous Equipment

(1) The division may enter into a Memorandum of Understanding allowing agencies to install miscellaneous equipment on state vehicles if the agency has the necessary resources and skills to perform the installations.

(2) The agency shall enter the following information regarding the miscellaneous equipment into the division's fleet information system, regardless of whether the item is held in inventory, currently installed on a vehicle, or sent to surplus:

(i) item description or nomenclature;

(ii) manufacturer of item;

(iii) item identification information for ordering purposes;

(iv) procurement source;

(v) purchase price of item;

(vi) expected life of item in years;

(vii) warranty period;

(viii) serial number;

(ix) initial installation date;

(x) current location of item;

(xi) anticipated replacement date of item;

(xii) actual replacement date of item;

(xiii) date item was sent to surplus; and

(xiv) SP-1 number;

(3) Agencies shall indemnify the division for any damage to, or loss of, miscellaneous equipment installed on state vehicles;

(4) The division shall provide training and support services for the fleet information system and charge agencies a Management Information System (MIS) fee to recover these costs.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-8 Cost Recovery

(1) State vehicles shall be assessed rates designed to recover vehicle costs; a division administrative fee; MIS fee; and where applicable, the variable costs associated with each vehicle.

(2) The division shall calculate the vehicle payback and associated rates according to the vehicle's cost, the vehicle's expected service period, and any agreement made with the agency.

(3) If a vehicle is turned in for replacement earlier than expected under the applicable replacement cycle:

(a) the division may require the agency to pay the remaining balance of the vehicle; and

(b) a rate containing a shorter replacement cycle period may be implemented for the replacement vehicle.

(4) The division shall begin the monthly billing process when the agency receives notice in writing that the vehicle is ready for service.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-9 Executive Vehicle Replacement

(1) Executive vehicles are available only to employees who are assigned a vehicle as part of their compensation package, in accordance with state statute.

(2) Executives may select any vehicle that is reasonable, allowed within purchasing code and rule, and within the budget available from their agency.

(3) Executives may elect to replace their assigned vehicle at the beginning of each elected term or appointment period, or as deemed necessary for the personal safety and security of the elected or appointed official.

(4) An executive vehicle shall be sold in accordance with State Surplus Property Program policies and procedures.

(5) The agency shall budget and pay for executive vehicles the same as other vehicles in their fleet.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-10 Capital Credit or Reservation of Vehicle Allocation for Surrendered Vehicles

(1) If an agency voluntarily surrenders a vehicle to the division under the capitalization credit program, the agency shall receive a capital credit allowing the agency to retain authorization toward a replacement vehicle.

(2) If an agency voluntarily surrenders a vehicle to the division the division shall:

(a) hold the vehicle allocation open; and

(b) maintain the surrendering agency's capital credit for a period not to exceed the remainder of the fiscal year within which the surrender took place, plus an additional five fiscal years.

(3) If the surrendering agency does not use the credit within the timeframe established in Subsection (2)(b), the credit will be transferred to the Division for an additional five fiscal years. The division may use the credits to:

(a) expand shared motor pools; or

(b) reallocate an authorized vehicle count to another agency.

(4) Before reallocation under Subsection (3)(b), the following requirement shall be met:

(a) the requesting agency shall undergo a utilization assessment lead by the Division; and

(b) the division shall report the reallocation to the Office of the Legislative Fiscal Analyst.

(5) Upon expiration of an unused credit transferred to the division under Subsection (3), the authorized count of vehicles in the state fleet shall be reduced.

(6) The division shall not hold vehicle allocations or provide capital credit to an agency when the vehicle that is being surrendered:

(a) has been identified for removal from the state fleet to comply with legislatively mandated reductions in state fleet size;

(b) is identified as a do not replace vehicle in the fleet information system;

(d) is a seasonal vehicle that has already been replaced.

(7) Any agency that fails to request the return of a voluntarily surrendered vehicle before the end of the period set forth in this section must comply with the requirements of Section R27-4-5, Fleet Expansion, to obtain a vehicle to replace the one surrendered.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

Utah Admin. Code R27-4-11 Inter-agency Vehicle Reassignment or Reallocation Guidelines

(1) The division may reassign, reallocate, or eliminate the replacement of vehicles that are chronically out of compliance with the applicable utilization standards when:

(a) intra-agency reassignment or reallocation of vehicles fails to bring vehicles into compliance with applicable replacement cycle mileage schedules within a replacement cycle; or

(b) a cost-benefit analysis on the time the vehicle is used does not warrant the vehicle to remain within the agency.

(2) If the division requires an agency to relinquish a vehicle due to a reassignment or reallocation, the agency may petition the executive director of the GOPB, or the executive director's designee, for a review. Vehicles that are the subject matter of petitions for review shall remain with the agency until the executive director of the GOPB or the executive director's designee renders a decision on the matter.

History

KEY: fleet expansion, vehicle replacement
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(a); 63A-9-401(1)(d)(v); 63A-9-401(1)(d)(ix); 63A-9- 401(1)(d)(x); 63A-9-401(1)(d)(xi); 63A-9-401(1)(d)(xii); 63A-9-401(4)(ii)

R27-5 Fleet Tracking

Utah Admin. Code R27-5-1 Authority and Purpose

(1) This rule is established pursuant to Subsection 63A-9-401(1)(d).

(2) The purpose of this section is to ensure that all state vehicles and miscellaneous equipment are accounted for and properly inventoried. Proper management of this inventory supports the requirements in Subsection R27-5-1(1).

History

KEY: state fleet information system
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-402(1)(b)

Utah Admin. Code R27-5-2 Items Tracked in the Fleet Information System

(1) All state vehicles shall be tracked in the division's fleet information system.

(2) Each vehicle in the fleet information system must be assigned a category according to definitions established in Section R27-1-2. A vehicle may be assigned one of the following categories of state vehicles:

(a) "Light-duty Vehicle;"

(b) "Medium-duty Vehicle;"

(d) "Non-road Vehicle."

(3) Miscellaneous equipment shall be tracked in the division's fleet information system.

(4) Each agency shall be responsible for entering and maintaining accurate data about each state vehicle that it owns, operates, or otherwise controls into the division's fleet information system.

(5) The division shall provide each agency with program access, software updates, licensing fee requirements, system reports, local area network coordination, user manuals, help desk access, and any user training necessary to maintain and operate the division's fleet information system.

(6) The division shall assist agencies, including agencies exempted from the division's replacement program, in their efforts to ensure that all vehicles in the possession, control, and ownership of agencies are entered into the fleet information system.

History

KEY: state fleet information system
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-402(1)(b)

R27-6 Fuel Dispensing Program

Utah Admin. Code R27-6-1 Authority and Purpose

This rule is established pursuant to Subsection 63A-9-401(5) which requires the division to make rules establishing requirements for fuel dispensing.

History

KEY: fuel dispensing
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(c)(vi); 63A-9-401(1)(e)

Utah Admin. Code R27-6-2 State Fuel Network

The State Fuel Network consists of:

(1) all fuel sites owned, leased, or under the control of the division;

(2) all state agencies including institutions of higher education;

(3) counties, municipalities, school districts, and special districts that subscribe to the services provided by the division; and

(4) privately owned fuel sites that participate in the State of Utah Fuel Card program.

History

KEY: fuel dispensing
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(c)(vi); 63A-9-401(1)(e)

Utah Admin. Code R27-6-3 Authority to Issue a State of Utah Fuel Card

(1) Unless otherwise authorized by the division, the authority to issue State of Utah Fuel Cards and assign Personal Identification Numbers (PIN) resides exclusively with the division.

(2) Fuel cards associated with vehicles shall be documented in the fleet information system. Only one fuel card shall be issued to each vehicle. Use of the fuel cards are restricted to the vehicles to which the fuel card was issued.

(3) Standard State Fuel Network Vehicle and Employee PIN worksheets provided by the division, shall be used when requesting fuel cards and PINs.

(4) If a fuel card is either lost or stolen, the authorized driver shall immediately report the loss or theft of the fuel card to the division.

(5) If a fuel card is expired, malfunctioned, lost, misused, or the vehicle is disposed of, the card shall be deleted from the fleet fuel card system and shall be identified as "expired" in the fleet information system. No modifications to the fuel card shall be allowed.

(6) Unless otherwise authorized by the division, only state fuel technicians have the authority to make changes to fuel card information and to delete fuel cards from the system.

History

KEY: fuel dispensing
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(c)(vi); 63A-9-401(1)(e)

Utah Admin. Code R27-6-4 Authorized Use of a State of Utah Fuel Card

(1) The following procedures shall be followed when purchasing fuel from either a state-run or a participating commercial fueling site:

(a) verify that the vendor is a participant in the State Fuel Network Program; and

(b) follow the fueling site's procedures and enter the correct information when prompted to purchase fuel.

(2) Except as provided in Subsection R27-6-5(3), the fuel card shall only be used to purchase:

(a) fuel; and

(b) fluids, car washes, and minor miscellaneous items for vehicles whose value, taken together, shall not exceed the monthly monetary limits determined by the division.

(3) Agency requests for a fuel card for use by a supervisor for emergency purposes, or for use with small miscellaneous equipment shall be approved provided the agency:

(a) represents that they have a reconciliation or fuel transaction auditing processes in place for the review of miscellaneous transactions to prevent theft, abuse, and fraud relating to the use of the card; and

(b) cooperates with the division to ensure that fuel dispensed into a fleet vehicle using cards not assigned to specific vehicles is properly documented in the fleet information system.

History

KEY: fuel dispensing
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(c)(vi); 63A-9-401(1)(e)

Utah Admin. Code R27-6-5 Reimbursements

Reimbursements for the use of the authorized driver's personal funds to purchase fuel or other services shall be granted at the discretion of the agency paying for the fuel.

History

KEY: fuel dispensing
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(c)(vi); 63A-9-401(1)(e)

Utah Admin. Code R27-6-6 Meter Rejects

(1) Drivers of state vehicles are required to enter the correct mileage, excluding tenths of miles, when using the fuel card assigned to the vehicle.

(2) If the driver makes an error in the mileage update, the driver or the agency's contact shall provide the division with a correct mileage update.

(3) Repeated or blatant reports of vehicle mileage may result in a charge to the agency.

(4) Agency contacts shall, within three business days of the request, respond to a division request to investigate a meter reject. If the agency fails to respond or make arrangements for an extension of the time period in which to investigate the meter reject, the division may impose a charge upon the agency.

History

KEY: fuel dispensing
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(c)(vi); 63A-9-401(1)(e)

Utah Admin. Code R27-6-7 Bulk Fuel Purchases

For fuel sites for which the division purchases fuel:

(a) the authority to purchase bulk fuel resides exclusively with the division; and

(b) fuel that is stored at, or contained in, fuel sites for which the division purchases fuel shall be the division's property.

History

KEY: fuel dispensing
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(c)(vi); 63A-9-401(1)(e)

Utah Admin. Code R27-6-8 Fuel Site Maintenance

(1) The division shall manage fuel sites in the State Fuel Network for which the division purchases fuel. Fuel sites for which the division does not purchase fuel shall be managed by the agency, subscribing county, municipality, school district, or special district that has ownership, possession, or control of the site.

(2) Except for privately owned, leased, or controlled fuel sites, maintenance at all other fuel sites in the State Fuel Network shall be performed by the division or their authorized agents.

(3) Only the division and their authorized agents shall be authorized to disconnect power to or communication from any fueling equipment, including tanks and monitoring equipment.

(4) Agency personnel, subscribing counties, municipalities, school districts and special districts shall not perform, or give authorization to perform, any fuel site maintenance.

(5) Agency personnel, subscribing counties, municipalities, school districts, and special districts shall report any fuel site maintenance concerns to the division.

(6) Agency personnel, subscribing counties, municipalities, school districts, and special districts shall provide the division, and authorized agents 24-hour access to fuel sites for any maintenance or service needs.

(7) If a fuel site operated by an agency, subscribing county, municipality, school district, or special district is not part of the Utah Fuel Card system, it shall be the responsibility of the fuel site personnel to keep records of the following information for entry into the fleet information system:

(a) a correct odometer reading;

(b) the authorized driver's PIN;

(d) any other information as required by the division.

History

KEY: fuel dispensing
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(c)(vi); 63A-9-401(1)(e)

Utah Admin. Code R27-6-9 Abuse and Neglect of Fueling Equipment

Damage to fuel equipment that results from an authorized driver's abuse or neglect shall be the responsibility of the agency employing the authorized driver at the time of the incident.

History

KEY: fuel dispensing
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(c)(vi); 63A-9-401(1)(e)

R27-7 Safety and Loss Prevention of State Vehicles

Utah Admin. Code R27-7-1 Authority and Purpose

This rule is established pursuant to Subsection 63A-9-401(1)(d)(iii) which requires the division to make rules establishing requirements for fleet safety and loss prevention programs.

History

KEY: accidents, incidents, tickets, Driver Safety Committee
Date of Last Change: February 21, 2023
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(iii)

Utah Admin. Code R27-7-2 Reporting Accidents and Violations of Motor Vehicle Laws

(1) If an accident involving a state vehicle occurs, either the authorized driver of the vehicle or the employing agency shall notify the division, the Division of Risk Management, and the agency's management, within 24 hours.

(2) Any authorized driver who, while operating a state vehicle, receives a citation for violating a motor vehicle law shall immediately report the receipt of the citation to their respective supervisor. Failure to report the receipt of a citation may result in the withdrawal, suspension, or revocation of state driving privileges.

(3) The agency shall determine if an accident was preventable.

(a) A driver may appeal an agency determination to the Driver Safety Committee in writing within 30 days from the date the agency decision is issued.

History

KEY: accidents, incidents, tickets, Driver Safety Committee
Date of Last Change: February 21, 2023
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(iii)

Utah Admin. Code R27-7-3 Driver Eligibility to Operate a State Vehicle

(1) The authority to operate a state vehicle is subject to withdrawal, suspension, or revocation.

(2) Any employee on the list of authorized drivers who is convicted of driving under the influence of alcohol or drugs (DUI), reckless driving, or any felony in which a motor vehicle is used, either on or off duty, and whether in the state vehicle or their personal vehicle, may have their state driving privileges withdrawn, suspended, or revoked.

(3) Any authorized driver who receives a citation for violating a motor vehicle law while operating a state vehicle shall attend an additional Risk Management-approved mandatory defensive driver training program. Failure to attend the additional mandatory defensive driver training program shall result in the loss of state driving privileges.

(4) The authority to operate a state vehicle shall be automatically withdrawn, suspended, or revoked if an authorized driver's license is not in a valid status.

(5) The authority to operate a state vehicle shall, at a minimum, be withdrawn, suspended, or revoked for the period of denial, cancellation, disqualification, suspension, or revocation of the authorized driver's license.

(6) The authority to operate a state vehicle shall not be reinstated until the authorized driver provides proof that their driver license has been reinstated or the division verifies the license has been reinstated.

(7) The authority to operate a state vehicle may be suspended or revoked for up to three years by the Driver Safety Committee or the Driver Eligibility Board.

(8) The Driver Safety Committee or the Driver Eligibility Board may withdraw an authorized driver's authority to operate a state vehicle. The withdrawal of authority shall be in addition to agency-imposed disciplinary, corrective, or remedial action, except when the withdrawal of authority conflicts with an internal review and disciplinary process that is approved by the division and substantially meets the requirements outlined in rule.

(9) An authorized driver declared ineligible to operate a state vehicle by the Driver Safety Committee may appeal that determination to the Driver Eligibility Board. An appeal to the Driver Eligibility Board must be made in writing within 30 days from the date the Driver Safety Committee issues its decision.

History

KEY: accidents, incidents, tickets, Driver Safety Committee
Date of Last Change: February 21, 2023
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(iii)

Utah Admin. Code R27-7-4 Driver Safety Committee

(1) Each agency utilizing a state vehicle shall establish and maintain a Driver Safety Committee or an internal review and disciplinary process that is approved by the division and substantially meets the requirements outlined in rule.

(2) The purpose of the Driver Safety Committee is to increase the safe operation of state vehicles.

(3) The Driver Safety Committee shall have no less than three voting members. The members shall consist of, at a minimum, from a participating agency, a risk coordinator, a human resource representative, and a fleet manager. In the absence of the fleet manager the authorized driver's supervisor may fill the position.

(4) Each agency's Driver Safety Committee shall meet regularly, except in cases when there are no items to review.

(a) The items to review and act on are:

(i) any major threshold violations committee in the previous period;

(ii) driver appeals of preventable accident determinations;

(iii) the validity of citizen complaints; and

(iv) imposing driving suspensions under this rule.

(b) If meeting less than monthly, the regular schedule determined by the agency must be approved by the division.

(5) The agency shall report to the division its determination and any actions taken.

(6) The Driver Safety Committee has discretion in assessing penalties as guided by Section R27-7-5.

(7) The Driver Eligibility Board may recommend disciplinary actions for authorized drivers to the agency when the Board is acting on behalf of the agency Driver Safety Committee.

(8) If an agency has fewer than five employees, the agency head may perform the duties of the Driver Safety Committee as outlined in rule. If the agency head is the driver to be reviewed, the review may be done by the Driver Eligibility Board. Appeals from the affected agency head will be heard by the executive director of the department, or the executive director's designee and shall follow the appeal process outlined in rule.

(9) State vehicle driving eligibility suspensions should begin within two weeks of the Driver Safety Committee meeting unless a differing timeline is outlined in rule.

History

KEY: accidents, incidents, tickets, Driver Safety Committee
Date of Last Change: February 21, 2023
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(iii)

Utah Admin. Code R27-7-5 Determination Standards

(1) An accident shall be classified as preventable if any of the following factors are involved:

(a) driving too fast for current road conditions;

(b) failure to observe clearance;

(d) failure to properly lock the vehicle;

(e) following too closely;

(f) improper care of the vehicle;

(g) improper backing;

(h) improper parking;

(i) improper turn or lane change;

(j) reckless driving as defined in Section 41-6a-528;

(k) unsafe driving practices, including:

(i) using electronic equipment or cellular phone while driving in violation of Subsection 41-6A-1716(2);

(ii) smoking while driving;

(iii) engaging in personal grooming;

(iv) initiating a U-turn; or

(v) driving with an animal loose in the vehicle.

(2) An accident shall be classified as non-preventable when:

(a) the state vehicle is struck while properly parked;

(b) the state vehicle is vandalized while parked at an authorized location; or

(i) at the time of the accident the authorized driver was in the line of duty and was operating the vehicle in accordance with their respective agency's applicable policies, guidelines, or regulations;

(ii) damage to the vehicle occurred during the chase or apprehension of people engaged in or potentially engaged in unlawful activities; or

(iii) damage to the vehicle occurred in the course of responding to an emergency to save or protect the lives, property, health, welfare, and safety of the public.

(3) Major threshold violations committed by an authorized driver shall be determined as follows:

(a) Preventable Accidents:

(i) preventable accidents may be considered major threshold violations if three preventable accidents as determined by the agency, are committed within a three-year period; or

(ii) any single preventable accident is committed and aggravating factors as defined in this rule are determined to be a factor.

(b) Moving Violations:

(i) moving violations may be considered major threshold violations if three moving violations are committed in a state vehicle within a 12-month period; or

(ii) the authorized driver has been convicted of any of the following:

(i) alcohol-related driving violations;

(ii) reckless, careless, or negligent driving, including excessive speed violations;

(iii) driving violations that have resulted in injury or death;

(iv) felony-related driving violations;

(v) hit-and-run violations;

(vi) impaired driving;

(vii) using a handheld wireless communication device while operating a state vehicle in violation of Subsection 41-6A- 1716(2).

(c) Validated Citizen Complaints: Validated citizen complaints may be considered a major threshold violation at the discretion of the Driver Safety Committee or Driver Eligibility Board utilizing the aggravating factors outlined in this rule.

(d) Telematics threshold violations may be considered major threshold violations if:

(i) three telematics threshold violations are committed within a 12-month period; or

(ii) any single telematics threshold violation is committed and aggravating factors as defined in this rule are determined to be a factor.

(e) Agencies collecting telematics data must track violations reported through telematics and review in the Driver's Safety Committee.

(4) Major threshold violations committed by an authorized driver may result in the following state vehicle driving privilege suspensions. Reducing or increasing the penalty may be considered due to other factors.

(a) First major threshold violation may receive a driving suspension of two working days.

(b) The second major threshold violation committed within 12 months of the first major threshold violation may receive a driving suspension of 14 calendar days. If the second major threshold violation does not occur within a 12-month period of the first, then it is at the discretion of the Driver Safety Committee as to whether it is considered the first or second major threshold violation.

(c) The third major threshold violation committed within 12 months of the second major threshold violation may receive a driving suspension of 30 calendar days. If the third major threshold violation does not occur within a 12-month period of the second, then it is at the discretion of the Driver Safety Committee as to whether it will be considered the second or third major threshold violation.

(d) The fourth major threshold violation committed within 12 months of the third major threshold violation may receive a driving suspension of 60 calendar days. If the fourth major threshold violation does not occur within a 12-month period of the third, then it is at the discretion of the Driver Safety Committee as to whether it will be considered the third or fourth major threshold violation.

(5) The following aggravating factors are items the agency shall consider when reviewing whether a single accident should be considered a major threshold violation and the Driver Safety Committee when determining driver eligibility suspension to be imposed:

(a) the accident resulted in bodily harm;

(b) the accident had a high likelihood of causing bodily harm;

(d) the accident had a high likelihood of causing damage;

(e) the accident damaged the reputation of the state or agency;

(f) the accident had a high likelihood of damaging the reputation of the state or agency; and

(g) the frequency of the accidents under consideration.

(6) If the agency becomes aware of unlawful driving behavior on personal time or in a personal vehicle, the Driver Safety Committee shall address those actions under this rule.

History

KEY: accidents, incidents, tickets, Driver Safety Committee
Date of Last Change: February 21, 2023
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(iii)

Utah Admin. Code R27-7-6 Effects of Accident Preventability Classification

(1) If the agency determines that an accident was preventable and not a major threshold violation, they shall require the following:

(a) after the first preventable accident, the authorized driver shall attend a Division of Risk Management-approved driver safety program;

(b) after the second preventable accident, the authorized driver shall attend, at their own expense, a state-certified or nationally recognized defensive driving course and;

(c) after the third preventable accident within a three-year period, the authorized driver shall receive a major threshold violation and be subject to the standards of the Driver Safety Committee.

History

KEY: accidents, incidents, tickets, Driver Safety Committee
Date of Last Change: February 21, 2023
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(iii)

Utah Admin. Code R27-7-7 Driver Eligibility Board

(1) The Driver Eligibility Board shall have at least four voting members. Members of the Board shall include a representative from the division, the Division of Risk Management, the Division of Human Resource Management and a representative of the authorized driver's agency. Each member of the Board shall be assigned by the executive director of the department or designee.

(2) The Driver Eligibility Board shall meet within 30 calendar days of an appeal to the Driver Eligibility Board.

(3) The employing agency supervisor and the authorized driver being reviewed shall be notified of the Driver Eligibility Board's meeting place and the date and time of the meeting. Each authorized driver reviewed by the Driver Eligibility Board will be given the opportunity to speak to the Board and answer questions during the meeting if they choose to attend the Board meeting.

(4) The Driver Eligibility Board may uphold, modify, or overturn a Driver Safety Committee decision within the guidelines of this rule.

History

KEY: accidents, incidents, tickets, Driver Safety Committee
Date of Last Change: February 21, 2023
Notice of Continuation: September 22, 2025
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(iii)

R27-8 State Vehicle Maintenance Program

Utah Admin. Code R27-8-1 Authority and Purpose

(1) This rule is established pursuant to Subsections 63A-9-401(1)(d)(i) and (iv), which require the division to establish rules governing maintenance operations and PM programs for state vehicles.

(2) Unless specifically exempted in writing by the division, agencies shall comply with this rule.

History

KEY: vehicle maintenance, repair, vendor approval
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(i); 63A-9-401(1)(d)(iv)

Utah Admin. Code R27-8-2 Preventive Maintenance

(1) PM shall be performed in accordance with the schedule set forth in the Preventive Maintenance Program Coupon Book that accompanies each full-service lease vehicle. The Preventive Maintenance Program Coupon Book is located in the glove compartment of each full-service lease vehicle.

(2) The authorized driver or agency shall take the state vehicle to a vendor that participates in the division's service network. If an authorized driver needs to locate a service facility, the division will direct the authorized driver to the nearest service facility that participates in the division's service network.

(3) Agencies leasing state vehicles are responsible for complying with annual inspections.

(a) Inspection compliance certificates shall be forwarded to the division's offices for vehicle registration.

(4) When taking a state vehicle for PM, the authorized driver shall present the Preventive Maintenance Coupon Book to the vendor.

History

KEY: vehicle maintenance, repair, vendor approval
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(i); 63A-9-401(1)(d)(iv)

Utah Admin. Code R27-8-4 Repairs

(1) If a state vehicle is in need of repairs, either the authorized driver or the service facility shall contact the division before having any services performed. A toll-free telephone number is listed on the front cover of the Driver Operating Manual and the Program Information Booklet located in the glove compartment.

(2) The authorized driver or the service facility shall provide the VIN and the odometer reading to the division.

(3) If a driver needs to locate a service facility, the division will direct the driver to the nearest service facility that participates in the division's service network.

(4) If the vehicle is already in a service facility, the authorized driver shall direct the service facility to contact the division. Authorization to perform the required repairs shall be given by the division.

(5) When taking a state vehicle in for repairs, the authorized driver shall identify the vehicle as belonging to the division, and not to the agency or department to which the vehicles are leased.

History

KEY: vehicle maintenance, repair, vendor approval
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(i); 63A-9-401(1)(d)(iv)

Utah Admin. Code R27-8-5 Agency-Maintained Repair Shop

(1) Agencies with capital lease vehicles may, at their own expense, maintain and operate maintenance and repair facilities to care for leased vehicles.

(2) Maintenance and repair shop personnel working on capital lease vehicles shall be trained in the use of the division's fleet information system, specifically for the system's work-order ticket module.

(3) All maintenance and repairs performed on capital-only lease vehicles shall be entered into the fleet information system work-order module within 24 hours of the next business day, following the completion of the work.

(4) All maintenance and repairs performed or done on full-service leased vehicles shall require prior approval from the division for PM and repair services. The agency maintenance and repair facility shall bill the division for services rendered.

(5) Agency maintenance and repair facilities shall comply with state and federal laws, rules and regulations governing vehicle maintenance and repair facilities.

History

KEY: vehicle maintenance, repair, vendor approval
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 63A-9-401(1)(d)(i); 63A-9-401(1)(d)(iv)

R27-10 Identification Markings for State Motor Vehicles

Utah Admin. Code R27-10-1 Authority and Purpose

(1) Pursuant to Subsection 63A-9-601(5), the division is responsible for ensuring that state vehicles for agencies are marked as required by Section 41-1a-407. If "EX" license plates are required, then the identification mark is also required.

(2) This rule is authorized by Subsection 63A-9-601(1)(c).

History

KEY: motor vehicles
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 41-1a-407; 63A-9-401; 63A-9-601(1)(c)

Utah Admin. Code R27-10-2 Identification Markings

(1) The standard identification mark shall be a likeness of the Great Seal of the state of Utah.

(a) Light-, Medium-, and Heavy-duty trucks, service vehicles, and off-road equipment shall be clearly marked, on each front door, with an eight-inch State Seal. At the option of the entity operating the state vehicle or equipment, the identification mark may include a banner not more than four inches high which may bear the agency's logo and the name of the department or division. All identification markings must be approved by the division before use.

(b) Non-law enforcement passenger vehicles shall be marked with a translucent identification sticker, four inches in diameter on the furthest rearward window in the lower-most rearward corner, on each side of the vehicle.

(2) Identification mark requirements are not intended to preclude other markings used to identify special purpose vehicles.

(3) Vehicles used for law enforcement purposes may, at the discretion of the operating agency, display a likeness of the Great Seal of the state of Utah in the center of a gold star for identification purposes. Other emergency response vehicles are not precluded from displaying additional appropriate markings. At the option of the agency, the State Seal may be placed on the front door above any molding and, where practicable, shall be at least four inches below the window. The optional banner portion of the identification mark shall be placed immediately below the State Seal.

(4) Identification markings shall clearly identify vehicles or equipment as being the property of the state. Additional markings should be applied with discretion so as not to detract from that intent.

History

KEY: motor vehicles
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 41-1a-407; 63A-9-401; 63A-9-601(1)(c)

Utah Admin. Code R27-10-3 License Plates

(1) Every vehicle owned, operated, or leased for the exclusive use of the state shall bear a license plate displaying the letters "EX."

(2) Plates issued to Utah Highway Patrol vehicles may bear the capital letters "UHP" a beehive logo, and the call number of the vehicle for which the plate is issued. In lieu of the identification mark described in this rule, the Utah Highway Patrol may use a substitute identification mark of its own specification.

History

KEY: motor vehicles
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 41-1a-407; 63A-9-401; 63A-9-601(1)(c)

Utah Admin. Code R27-10-4 Exceptions

(1) Neither the "EX" license plates nor the standard identification marks need be displayed on state vehicles if:

(a) the state vehicle is in the direct service of the Governor, Lieutenant Governor, Attorney General, State Auditor, or State Treasurer;

(b) the state vehicle is used in official investigative work where secrecy is essential;

(c) the state vehicle is provided to an official as part of a compensation package allowing unlimited personal use of that vehicle; or

(d) the personal security of the state vehicle's occupants would be jeopardized if the identification mark were in place.

(2) If a vehicle does not have EX plates, the agency must assist the division with annual registration requirements.

(3) An agency marker that does not meet the specifications of Section R27-10-3 must be approved by the division.

History

KEY: motor vehicles
Date of Last Change: February 21, 2023
Notice of Continuation: August 3, 2026
Authorizing, and Implemented or Interpreted Law: 41-1a-407; 63A-9-401; 63A-9-601(1)(c)

R30 Inspector General of Medicaid Services (Office of)

R30-1 Office Procedures

Utah Admin. Code R30-1-1 Purpose

The purpose of this rule is to describe the manner in which the office shall execute the requirements of Title 63A, Chapter 13 and the program integrity functions described in the Memorandum of Understanding and Agreement for Services between the department and the office.

History

KEY: Office of the Inspector General of Medicaid Services, Medicaid fraud, Medicaid waste, Medicaid abuse
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13

Utah Admin. Code R30-1-2 Authority

This rule is authorized by Section 63A-13-602.

History

KEY: Office of the Inspector General of Medicaid Services, Medicaid fraud, Medicaid waste, Medicaid abuse
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13

Utah Admin. Code R30-1-3 Definitions

Terms used in this rule are defined in Section 63A-13-102, in addition:

(1) "audit" means an independent, objective review of a program or process and associated controls to determine the effectiveness, efficiency and or compliance of the program or process.

History

KEY: Office of the Inspector General of Medicaid Services, Medicaid fraud, Medicaid waste, Medicaid abuse
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13

Utah Admin. Code R30-1-4 Audit Procedures

(1)(a) When commencing an audit, the office's audit unit shall:

(i) contact the entity to be audited to advise the entity an audit will be performed;

(ii) send a written announcement memorandum to the entity when the audit begins; and

(iii) obtain background information from the entity to be used in determining the parameters of the audit.

(b) In the course of the audit, the audit unit shall:

(i) hold an entrance conference with the entity to discuss the scope, objectives and timeframe of the audit;

(ii) obtain information from the entity to conduct the audit; and

(iii) keep the entity apprised of issues that arise and any proposed audit findings or conclusions.

(i) review any recommendations resulting from the audit; and

(ii) provide the entity with a draft of the audit report.

(d) The entity shall have fourteen days to respond to the audit unit regarding the findings in the audit report.

(e) The entity's response shall be included in a final audit report, which will then be made available to the public.

(2) The audit unit shall seek to incorporate the audit standards created by the Council of Inspectors General on Integrity and Efficiency, the Association of Inspector Generals, and the Generally Accepted Government Auditing Standards created by the United States Government Accountability Office.

History

KEY: Office of the Inspector General of Medicaid Services, Medicaid fraud, Medicaid waste, Medicaid abuse
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13

Utah Admin. Code R30-1-5 Requests for Records

(1) Requests for records sent by the office shall be:

(a) in writing and identify the records to be copied; and

(b) mailed by first class postage to the mailing address on file with the department unless the provider or entity notifies the office in writing of an alternative physical or email address to be used for requests for records.

(2)(a) The records requested shall be returned within thirty calendar days of the date of the written request.

(b) A provider's response to a request for records shall include the complete record of all services and supporting services for which reimbursement is claimed.

(3)(a) If a provider has not provided any records within the first 20 days from the date of a request, the office shall:

(i) verify the request for records was sent to the correct address; and

(ii) attempt to contact the provider before the end of the thirty-day period and remind the provider the records must be provided within 30 days from the date of the original request for records.

(b)(i) If the provider fails to provide any records within the thirty-day period, the office shall notify the provider in writing that the records requested were not received.

(ii) The written notice to the provider shall indicate the provider has an additional 15 days from the date of the notification to submit the records or a credit adjustment on the claim shall be instituted pursuant to Section R414-1-14, the Utah Medicaid General Information Provider Manual, and Section 63G-13-202.

History

KEY: Office of the Inspector General of Medicaid Services, Medicaid fraud, Medicaid waste, Medicaid abuse
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13

Utah Admin. Code R30-1-6 On-site Inspections

(1)(a) Unless there is a credible allegation of fraud, the office shall contact a provider or entity prior to an on-site inspection.

(b) The notification to the provider or entity shall identify the information sought to be reviewed during the on-site visit.

(2) If a provider is unable to produce records requested by the office during an on-site inspection, the provider shall have fifteen business days to provide a copy of the records to the office.

History

KEY: Office of the Inspector General of Medicaid Services, Medicaid fraud, Medicaid waste, Medicaid abuse
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13

Utah Admin. Code R30-1-7 Self-Audits

(1) When billing concerns are identified, the office may send out a self-audit packet to a provider, which notifies the provider of:

(a) the type of potential billing errors identified by the office;

(b) a list of claims, which may have been billed incorrectly;

(d) instructions on conducting a self-audit;

(e) information about refunding any payments the provider identifies as an overpayment; and

(f) the period for conducting the self-audit and responding to the office.

(2) Once the time for responding to the self-audit has passed, the office shall review any information received from a provider to determine if the provider has fully resolved the issues identified by the office.

(3) If the office is not satisfied the provider fully addressed the concerns identified by the office, the office may:

(a) contact the provider about the issues, which were not fully resolved;

(b) conduct a full investigation and initiate a recovery action if appropriate; or

(4) Participation in the self-audit program does not preclude any entity from pursuing any criminal, civil, or administrative remedies or to obtain additional damages, penalties, or fines related to the subject of the self-audit.

History

KEY: Office of the Inspector General of Medicaid Services, Medicaid fraud, Medicaid waste, Medicaid abuse
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13

Utah Admin. Code R30-1-8 Human Resources

(1) The Department of Human Resource Management rules found in R477 shall apply to all office employees.

(2) All office employees shall comply with the requirements of the office's internal policies and procedures.

History

KEY: Office of the Inspector General of Medicaid Services, Medicaid fraud, Medicaid waste, Medicaid abuse
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13

R30-2 Adjudicative Procedures

Utah Admin. Code R30-2-1 Purpose

The purpose of this rule is to describe the procedures to be followed in adjudicative proceedings handled by the office.

History

KEY: Office of the Inspector General of Medicaid Services, adjudicative procedures
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G-4

Utah Admin. Code R30-2-2 Authority

This rule is authorized by Section 63A-13-602 and Title 63G, Chapter 4.

History

KEY: Office of the Inspector General of Medicaid Services, adjudicative procedures
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G-4

Utah Admin. Code R30-2-3 Definitions

Terms used in this rule are defined in Section 63A-13-102, in addition:

(1) "agency action" means an adjudicative proceeding initiated by the office under Title 63G, Chapter 4 against a provider, including a:

(a) recovery action seeking repayment of division funds from a provider; or

(b) payment suspension action under Section 63A-13-205 or 42 CFR Section 455.23; and

(2) "ALJ" means an impartial administrative law judge who has been appointed by the inspector general to conduct an adjudicative proceeding according to these rules.

History

KEY: Office of the Inspector General of Medicaid Services, adjudicative procedures
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G-4

Utah Admin. Code R30-2-4 Agency Action

(1) When the office determines a division payment made to a provider was incorrect or that a provider's payments from the division should be suspended, the office may file a notice of agency action pursuant to Section 63G-4-201.

(2) The notice of agency action and any other documents associated with the agency action shall be mailed by first class postage to the provider's mailing address on file with the department unless the provider notifies the office in writing of an alternative physical or email address to be used for the adjudicative proceedings.

(3) An agency action initiated by the office shall be an informal adjudicative proceeding under Section 63G-4-202.

(4) Unless otherwise provided by these rules, the rules regarding the calculation of time found in Rule 6 of the Utah Rules of Civil Procedure shall be applicable to an action.

(5) After the initiation of an agency action, the ALJ may issue an order of default against a provider pursuant to Section 63G-4-209 if the ALJ finds a provider:

(a) fails to appear or participate in any step of the adjudicative process; or

(b) unreasonably prolongs the adjudicative process without good cause.

History

KEY: Office of the Inspector General of Medicaid Services, adjudicative procedures
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G-4

Utah Admin. Code R30-2-5 Request for Agency Review

(1) If a provider disagrees with the findings contained in a notice of agency action, a provider may file a written request for review within thirty days from the date of the notice of agency action.

(2) The request for review shall be filed with the office and include:

(a) a fully completed "Request for Review" form provided with the notice of agency action;

(b) a copy of the notice of agency action sent by the office; and

(3)(a) A request for review shall be considered filed on the date it is received by the office as indicated by the date and time:

(i) hand-delivered to the office;

(ii) of the postmark if it is mailed; or

(iii) logged on an email or fax.

(b) If the postmark date is illegible, erroneous, or omitted, the request for review shall be considered filed on the date the office receives it, unless the provider can demonstrate through competent evidence it was mailed before the date of receipt.

(4)(a) If a provider does not request review in a recovery action, a provider shall repay the money sought to be recovered in the notice of agency action within 30 days.

(b) A provider may repay money to the division by:

(i) sending in a check to the address listed in the notice of recovery;

(ii) contacting the office to arrange for a credit adjustment; or

(iii) voiding the original claim paid by the division.

(c) If a provider has not repaid the division within 60 days from the date of the notice of recovery, the office shall issue a final order and request the division initiate a credit adjustment in the amount listed on the notice of recovery.

(5) If a provider does not request review in a payment suspension action, the suspension shall become effective on the date indicated in the notice of suspension.

(6)(a) If a provider does not object to the remedy requested in the notice of agency action after having requested review, the provider may send a withdrawal of the request for hearing to the office.

(b) In response to the provider's withdrawal of the request for hearing, the office shall enter a final order closing the case and canceling any further proceedings.

History

KEY: Office of the Inspector General of Medicaid Services, adjudicative procedures
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G-4

Utah Admin. Code R30-2-7 Review Process

(1)(a) If a provider requests review of an agency action initiated by the office, the matter shall be set for a settlement conference between the parties.

(b) The purpose of the settlement conference is to give the parties an opportunity to discuss the issues in the case and attempt to resolve the matter without a hearing.

(2) If the parties are able to resolve the matter, the office shall memorialize the resolution reached in writing and send a copy to the provider.

(3)(a) If after negotiation, the parties are unable to resolve the matter, a party may request the matter be set for a prehearing conference with the ALJ.

(b) The purpose of the prehearing with the ALJ is to set the matter for hearing.

(4) A party may be represented by counsel in the agency review process and at a hearing.

History

KEY: Office of the Inspector General of Medicaid Services, adjudicative procedures
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G-4

Utah Admin. Code R30-2-8 Hearing

(1) Hearings before the ALJ shall be governed by the procedures in Section 63G-4-203.

(2)(a) A provider may have access to relevant information contained in the office's files the office intends to use in an action as provided in Title 63G, Chapter 2.

(b) A provider's right to discovery is limited and does not extend to interrogatories, requests for admissions, requests for the production of documents, requests for the inspection of items, or depositions.

(c) Subpoenas and orders to secure the attendance of witnesses or the production of evidence may be issued by the ALJ when requested by a party or on the ALJ's own motion.

(3) At the conclusion of a hearing, the ALJ shall issue a final order as provided in Section 63G-4-203.

History

KEY: Office of the Inspector General of Medicaid Services, adjudicative procedures
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G-4

Utah Admin. Code R30-2-9 Reconsideration

(1) A party may seek reconsideration of the ALJ's decision pursuant to Section 63G-4-302.

(2) If a party files a request for reconsideration with the office, the inspector general shall review the request for reconsideration, along with the ALJ's decision, and may:

(a) uphold the ALJ's decision;

(b) reject the ALJ's decision or any portion of the decision, and make an independent determination based upon the record; or

(3)(a) The decision of the Inspector General constitutes final administrative action and is subject to judicial review.

(b) The Inspector General shall send a copy of the final decision to each party, which includes notice of the parties' right to judicial review and the time limits for filing an appeal.

History

KEY: Office of the Inspector General of Medicaid Services, adjudicative procedures
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G-4

R30-3 Declaratory Orders

Utah Admin. Code R30-3-1 Purpose

The purpose of this rule is to describe the procedures the office shall follow in declaratory proceedings.

History

KEY: Office of the Inspector General of Medicaid Services, declaratory orders
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G- 4-503

Utah Admin. Code R30-3-2 Authority

This rule is authorized by Section 63A-13-602 and Section 63G-4-503.

History

KEY: Office of the Inspector General of Medicaid Services, declaratory orders
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G- 4-503

Utah Admin. Code R30-3-3 Definitions

(1) Terms used in this rule are defined in Section 63A-13-102.

(2) In addition, "ALJ" means an impartial administrative law judge who has been appointed by the inspector general to conduct adjudicative proceedings according to these rules.

History

KEY: Office of the Inspector General of Medicaid Services, declaratory orders
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G- 4-503

Utah Admin. Code R30-3-4 Petition Form and Filing

(1) A petition for a declaratory order shall be delivered to the office as provided by Subsection R30-2-6(3).

(2) The petition shall:

(a) be clearly designated as a request for declaratory order;

(b) identify the statute, rule or order to be reviewed;

(d) describe the reason or need for the review, addressing in particular, why the review should not be considered frivolous;

(e) include an address and telephone where the petitioner can be contacted during regular business hours; and

(f) be signed by the petitioner.

History

KEY: Office of the Inspector General of Medicaid Services, declaratory orders
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G- 4-503

Utah Admin. Code R30-3-5 Reviewability

(1) The agency may not issue a declaratory order if the subject matter is:

(a) excluded from review under Subsection 63G-4-503(3);

(b) not within the jurisdiction and expertise of the agency;

(d) otherwise excluded by state and federal law.

History

KEY: Office of the Inspector General of Medicaid Services, declaratory orders
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G- 4-503

Utah Admin. Code R30-3-6 Petition Review and Disposition

(1) A petition for declaratory relief shall be referred to the ALJ for review and consideration.

(2) The ALJ may request input from the petitioner and the office prior to issuing a written order as provided in Subsection 63G-4-503(6).

History

KEY: Office of the Inspector General of Medicaid Services, declaratory orders
Date of Last Change: June 1, 2018
Notice of Continuation: May 17, 2023
Authorizing, and Implemented or Interpreted Law: 63A-13; 63G- 4-503

R30-4 Office of Inspector General of Medicaid Services Advisory Board

Utah Admin. Code R30-4-1 Authority and Purpose

This rule is authorized by Section 63A-13-701, which directs the Department of Government Operations to establish rules for the composition and operation of the Office of Inspector General of Medicaid Services Advisory Board. The purpose of this board is to promote coordination of Medicaid program integrity activities and provide oversight and recommendations regarding the office's operations and audit activities.

History

KEY: Government Operations, Office of Inspector General, advisory board
Date of Last Change: July 8, 2026
Authorizing, and Implemented or Interpreted Law: 63A-13-701

Utah Admin. Code R30-4-2 Composition and Appointments

(1) The advisory board shall consist of the following members appointed by the commissioner of the Department of Government Operations:

(a) The commissioner of the Department of Health and Human Services (DHHS) or the commissioner's designee;

(b) The state Medicaid director;

(d) The director of the Medicaid Fraud and Patient Abuse Division within the Office of the Utah Attorney General or the director's designee;

(e) The director of the Governor's Office of Planning and Budget or the director's designee;

(f) The state finance director or the director's designee; and

(g) Other individuals identified by the commissioner of the Department of Government Operations who would meaningfully contribute to the board.

(2) The commissioner of the Department of Government Operations shall appoint a chair and a vice-chair for the board.

History

KEY: Government Operations, Office of Inspector General, advisory board
Date of Last Change: July 8, 2026
Authorizing, and Implemented or Interpreted Law: 63A-13-701

Utah Admin. Code R30-4-3 Terms of Service and Vacancies

(1) The term of service for advisory board members shall run from the time of appointment through July 1, 2029, at which time the board shall end its work.

(2) If a member misses two consecutive meetings without notifying the Office of Inspector General, the commissioner of the Department of Government Operations may terminate their membership and appoint a replacement.

(3) Members serve without compensation or benefits but may receive per diem and travel expenses in accordance with Sections 63A-3-106, 63A-3-107, and applicable Division of Finance rules.

History

KEY: Government Operations, Office of Inspector General, advisory board
Date of Last Change: July 8, 2026
Authorizing, and Implemented or Interpreted Law: 63A-13-701

Utah Admin. Code R30-4-4 Meetings

(1) The chair shall call meetings at least two times each year.

(2) Additional meetings may be called at the request of the commissioner of the Department of Government Operations or as the chair deems necessary.

(3) Meetings are subject to Title 52, Chapter 4, Open and Public Meetings Act.

(4) Electronic meetings are permitted. Members participating via telephone or electronic means are considered present for purposes of a quorum and may vote.

History

KEY: Government Operations, Office of Inspector General, advisory board
Date of Last Change: July 8, 2026
Authorizing, and Implemented or Interpreted Law: 63A-13-701

Utah Admin. Code R30-4-5 Quorum and Voting

(1) A majority of the members of the advisory board constitutes a quorum for the transaction of business.

(2) An appointed member may send a representative to a meeting, but the representative may not vote in place of the member.

(3) A quorum must be present for business to be voted upon.

(4) Business shall be transacted by a majority vote of those present.

(5) A majority of a quorum constitutes a decision by the board.

(6) Abstentions do not count as support or opposition to a motion and do not impact the count for a quorum.

History

KEY: Government Operations, Office of Inspector General, advisory board
Date of Last Change: July 8, 2026
Authorizing, and Implemented or Interpreted Law: 63A-13-701

Utah Admin. Code R30-4-6 Duties and Coordination

(1) The board shall review employee concerns, annual risk assessments, audit plans, and the implementation of audit recommendations.

(2) The board shall make recommendations regarding the prioritization of audit activities and improvements to office operations.

(3) In carrying out its duties, the board shall coordinate with the legislative auditor general.

History

KEY: Government Operations, Office of Inspector General, advisory board
Date of Last Change: July 8, 2026
Authorizing, and Implemented or Interpreted Law: 63A-13-701

R33 Purchasing and General Services

R33-101 General Procurement Provisions

Utah Admin. Code R33-101-101 Definitions

(1) Terms used in the procurement rules are defined in Section 63G-6a-103.

(2) In addition:

(a) "Award" means the identification and selection of a vendor who may, upon satisfying the procurement unit's due diligence inquiry, contract with the state or procurement unit as the result of a standard procurement process or an exception allowed under Title 63G, Chapter 6a, Part 8, Exceptions to procurement requirements. Unless otherwise explicitly written in the standard procurement process or exception award documentation, an award or notice of an award does not create or constitute a binding contract until the resulting contract has been fully executed by each party and approving authority, or the purchase order documentation has been signed and delivered to the awarded vendor.

(b) "Bias" means:

(i) a predisposition or a preconceived opinion that prevents an individual from impartially performing any duty or responsibility in Title 63G, Chapter 6a, Utah Procurement Code, or other applicable law or rule; or

(ii) a prejudice in favor of or against a thing, individual, or group that results in an action or treatment that a reasonable person would consider to be unfair or have the appearance of being unfair.

(c) "Bid Bond" is an insurance agreement, accompanied by a monetary commitment, by which a third party accepts liability and guarantees that the bidder will not withdraw the bid. The bidder will furnish bonds in the required amount and if the contract is awarded to the bonded bidder, the bidder will accept the contract as bid, or else the surety will pay a specific amount.

(d) "Bid Rigging" means an agreement among potential competitors to manipulate the competitive bidding process, for example, by agreeing not to bid, to bid a specific price, to rotate bidding, or to give kickbacks.

(e) "Bid Security" means the deposit of cash, certified check, cashier's check, bank draft, money order, or bid bond submitted with a bid and serving to guarantee to the owner that the bidder, if awarded the contract, will execute such contract in accordance with the bidding requirements and the contract documents.

(f) "Brand Name or Equal Specification" means a specification which uses a brand name specification to describe the standard of quality, performance, and other characteristics being solicited, and which invites the submission of equivalent products.

(g) "Brand Name Specification" means a specification identifying one or more products by manufacturer name, product name, unique product identification number, product description, SKU, or catalog number.

(h) "Collusion" means when two or more persons act together to achieve a fraudulent or unlawful act. Collusion inhibits free and open competition in violation of law.

(i) "Cost Analysis" means the evaluation of cost data to arrive at estimates of costs to be incurred, prices to be paid, costs to be reimbursed, or costs actually incurred.

(j) "Cost Data" means factual information concerning the cost of labor, material, overhead, and other cost elements expected to be incurred or that have been actually incurred by the contractor in performing the contract.

(k) "Evaluation Criteria" means the objective or subjective criteria that will be used to evaluate a vendor's solicitation response.

(l) "Mandatory Requirement" means a condition set out in the specifications or statement of work that must be met without exception.

(m) "New Technology" means any invention, discovery, improvement, or innovation, that was not available to the acquiring agency on the effective date of the contract, whether or not patentable, including:

(i) new processes, emerging technology, machines, and improvements to, or new applications of, existing processes, machines, manufactures, and software;

(ii) new computer programs, and improvements to, or new applications of, existing computer programs, whether or not copyrightable; and;

(iii) any new process, machine, including software, and improvements to, or new applications of, existing processes, machines, manufactures, and software.

(n) "Objective Criteria" means the solicitation criteria that will be evaluated and scored based solely on the measurable and verifiable facts, evidence, and documentation provided in each vendor's solicitation response.

(o) "Payment Bond" is a bond that guarantees payment for labor and materials expended on the contract.

(p) "Performance Bond" means a promise to pay the obligee or owner a certain amount if the principal or contractor fails to meet some obligation, such as fulfilling the terms of a contract.

(q) "Person" means:

(i) an individual;

(ii) an association;

(iii) an institution;

(iv) a corporation;

(v) a company;

(vi) a trust;

(vii) a limited liability company;

(viii) a partnership;

(ix) a political subdivision;

(x) a government office, department, division, bureau, or other body of government; and

(xi) any other organization or entity.

(r) "Price Analysis" means the evaluation of price data without analysis of the separate cost components and profit.

(s) "Price Data" means factual information concerning prices for procurement items.

(t) "Reasonable Person Standard" means an objective test to determine if a reasonably prudent person who exercises an average degree of care, skill, and judgment would be justified in drawing the same conclusions under the same circumstances or having knowledge of the same facts.

(u) "Subjective Criteria" means the solicitation criteria that will be evaluated and scored based on the personal judgment, interpretations, and opinions of the evaluators after reviewing and analyzing the information provided in each vendor's solicitation response.

(v) "Steering a Contract to a Favored Vendor" is defined as a person involved in any phase of the procurement process who acts with bias or prejudice in violation of the law to favor one vendor over another vendor in awarding a government contract. Steering a contract to a favored vendor includes:

(i) taking part in collusion or manipulation of the procurement process.

(ii) accepting any form of illegal gratuity, bribe, or kickback from a vendor in exchange for a contract award.

(iii) awarding a contract to a vendor without engaging in a standard procurement process without proper justification.

(iv) involvement in a bid rigging scheme.

(v) writing specifications that are overly restrictive, beyond the reasonable needs of the procurement unit, or that gives an unfair advantage to a particular vendor without proper justification.

(vi) intentionally dividing a purchase to avoid engaging in a standard competitive procurement process as set forth in Subsection 63G-6a-506(8).

(vii) leaking solicitation or other information to a particular vendor that is prejudicial to other vendors.

(viii) improperly avoiding engaging in a standard procurement process to extend the duration of a vendor's existing contract through means of a contract extension; or

(ix) participating in the procurement process while having a financial conflict of interest as set forth in Section R33- 124-105.

(w) "Technology" means any type of technology defined as "Information Technology" in Subsection 63A-16-102(8).

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-102 Applicability of Rules

Title R33 shall apply to:

(1) a procurement unit for which the Utah State Procurement Policy Board is identified in Section 63G-6a-103 as the applicable rulemaking authority, except to the extent the procurement unit has adopted its own administrative rules as authorized under Subsection 63G-6a-103(77); and

(2) a procurement unit with independent procurement authority or a procurement unit for which the Utah State Procurement Policy Board is not identified in Section 63G-6a-103 as the applicable rulemaking authority, and the procurement unit has adopted Title R33 or a portion of Title R33 by rule, ordinance, policy, or other authorized means.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-102 5. Use of Similar Laws and Rules to Establish Precedent or Extrapolate Legal Intent

When making a determination and a specific law or rule pertaining to the issue does not exist, the procurement official may refer to other applicable laws that are similar in nature to the issue to establish a precedent or extrapolation of legal intent to assist in making a determination based on the reasonable person standard in Section R33-101-1.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-103 Determinations by Procurement Official

(1) Unless specifically stated otherwise, determinations under Title 63G, Chapter 6a, Utah Procurement Code and Title R33 shall be made by the procurement official.

(2) A determination by the procurement official shall be made:

(a) in accordance with the provisions set forth in Sections 63G-6a-106 and 63G-6a-303 and other rules and laws if applicable; or

(b) by applying the reasonable person standard to determine:

(i) if the actions of a person involved in the procurement process would cause a reasonable person to conclude that the person has acted in violation of Title 63G, Chapter 6a, Utah Procurement Code, or Title R33;

(ii) if the circumstances surrounding a procurement would cause a reasonable person to conclude that a violation of Title 63G, Chapter 6a, Utah Procurement Code, or Title R33 has occurred; or

(iii) if the evidence presented would cause a reasonable person to conclude that certain facts associated with a procurement are true.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-104 Competitive Procurement Required for Expenditure of Public Funds or Use of Public Property or Other Public Assets to Acquire a Procurement Item Unless Exception is Authorized

(1) Unless the procurement official issues a written exception in accordance with Title 63G, Chapter 6a, Utah Procurement Code, and applicable rules documenting why a competitive procurement process is not required and why it is in the best interest of the procurement unit to award a contract without engaging in a standard procurement process, a procurement unit shall conduct a standard procurement process when:

(a) public funds are expended or used to acquire a procurement item; or

(b) a procurement unit's property, name, influence, assets, resources, programs, or other things of value are used as consideration in the formation of a contract for a procurement item.

(2) This rule does not apply to procurements made under Section 63G-6a-2503 or 63G-6a-2504.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-112 Mandatory Minimum Requirements in a Solicitation

Mandatory minimum requirements may be used in a solicitation to assist the conducting procurement unit in identifying the most qualified vendors responding to a solicitation and to limit the number of vendors eligible to move forward to subsequent stages in the solicitation or evaluation process.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-113 Pre-Solicitation Conferences and Site Visits

(1) A pre-solicitation conference and site visit may be held to explain the procurement requirements in accordance with the following:

(a) Persons submitting a solicitation response must attend pre-solicitation conferences and site visits, except as authorized in writing by the procurement official.

(b) Pre-solicitation conferences or site visits may be attended in person or via any of the following electronic means:

(i) teleconference;

(ii) webinar; or

(iii) other electronic media approved by the procurement official.

(c) Pre-solicitation conferences and site visits must be attended by an authorized representative of the vendor submitting a response and as may be further specified in the procurement documents.

(d) If the pre-solicitation conference or site visit is mandatory, the solicitation must state that failure to attend shall result in the disqualification of any vendor that does not have an authorized representative present for the entire duration of the pre-solicitation conference or site visit.

(e) An audio or video recording of a pre-solicitation conference and site visit may be made at the discretion of the procurement unit.

(f) Listening to or viewing an audio or video recording of a mandatory pre-solicitation conference or site visit may not be substituted for attendance unless the procurement official grants an exception to the mandatory requirement in writing.

(2)(a) If a pre-solicitation conference or site visit is held, the procurement unit shall maintain:

(i) an attendance log including the name of each attendee, the entity the attendee is representing, and the attendee's contact information;

(ii) minutes of the pre-solicitation conference or site visit; and

(iii) a copy of any document distributed by the procurement unit to the attendees.

(b) After the pre-solicitation conference or site visit, the procurement unit shall publish an addendum to the solicitation that includes:

(i) the attendance log;

(ii) minutes of the pre-bid conference or site visit;

(iii) a copy of any document distributed to attendees; and

(iv) any verbal modification made to any solicitation document during the pre-solicitation conference or site visit.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-114 Addenda to Solicitation

(1) Before the deadline for receipt of a solicitation response, a procurement unit may issue addenda modifying any aspect of the solicitation.

(2) After the due date and time for submitting a response, at the discretion of the procurement official, addenda to the solicitation may be limited to vendors who submitted a solicitation response, provided the addenda does not make a change to the solicitation that, in the opinion of the procurement official, likely would have impacted the number of persons responding to the solicitation.

(3) Any addenda shall be distributed within a reasonable time to allow a person to consider the addenda in preparing a response to the solicitation.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-115 Rejection of a Late Response -- Delivery and Time Requirements

(1) Except as provided in Subsection (4), a procurement unit may not accept a response after the deadline for receipt of solicitation responses.

(2) When submitting a response electronically, vendors must allow sufficient time to complete the online forms and finish uploading the documents before the closing time posted in the electronic system. Solicitation responses still in the process of being uploaded at the posted closing time will not be accepted.

(3) When submitting a solicitation response by physical delivery, which includes US mail, courier service, hand- delivery, or other physical means the vendor is solely responsible for meeting the deadline. Any delay caused by a delivery service or other physical means will not be considered an acceptable reason for a response being late.

(4) Responses received by physical delivery will be date and time stamped by the procurement unit.

(5) If an error by the procurement unit or an employee of a procurement unit results in a response not being received by the established due date and time, the response shall be accepted as being on time.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-116 Voluntary Withdrawal of a Response

A vendor may voluntarily withdraw a response at any time before a contract is awarded with respect to the solicitation for which the response was submitted provided the vendor is not engaged in any type of bid rigging, collusion, or other anti- competitive practice made unlawful under other applicable law.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-101-117 Errors Discovered After the Award of Contract

(1) An error discovered after the award of a contract may only be corrected if, after consultation with the procurement official and the applicable legal counsel, it is determined that correction of the error does not violate the requirements of Title 63G, Chapter 6a, Utah Procurement Code or Title R33.

(2) Any correction made under Subsection (1) must be supported by a written determination signed by the procurement official.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

R33-102 Rules of Procedure for Procurement Policy Board

Utah Admin. Code R33-102-101 Purpose

The purpose of this rule is to establish procedures for the meetings of the Procurement Policy Board. This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-102 Authority

This Rule R33-102 is authorized under Subsection 63G-6a-202(5) which directs that the Procurement Policy Board "adopt rules of procedure for conducting its business." The Procurement Policy Board is also authorized to make rules under Sections 63G-6a-107.7 and 63G-6a-203.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-104 Composition of Board

(1) The Board consists of 15 voting members, as well as a nonvoting secretary appointed by the Chief Procurement Officer, who must be an employee of the Division.

(2) The Secretary may not be considered as part of the quorum requirement for Board meetings or determinations.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-106 Chair, Presiding Officer and Basic Responsibilities

(1) The Chair shall be the Presiding Officer at all Board meetings.

(2) The Chair may designate, either because of unavailability or any other reason, an alternate Presiding Officer, who is a member of the Board.

(3) The Presiding Officer may make or second a motion and have a vote on each matter before the Board.

(4) Unless otherwise directed by vote of the Board, the Presiding Officer shall be responsible for the operation of the meeting, shall have control over the items on the agenda, the order of the agenda, time limits that are needed, and other matters that relate to the orderly running of the meeting.

(5) The Chair shall be elected by the Board and serve for one year. The Chair may be elected to succeeding terms.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-107 Secretary to the Board

(1) The Chief Procurement Officer shall appoint an employee of the Division to serve as Secretary to the Board.

(2) The Secretary shall:

(a) attend each meeting of the Board;

(b) provide the posting of notice, minutes, any required recording, and all secretarial related requirements related to the Open and Public Meetings Act;

(d) maintain a record of Board meetings which shall include minutes, agendas and submitted documents, including those submitted electronically; and

(e) make records available at reasonable times to the public.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-108 Meetings

(1) The Chair or any three voting members may call meetings of the Board.

(2) The date, time and location of a meeting may be identified or modified by the Chair at any time when it is in the interest of the Board and the public.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-109 Electronic Meetings

(2) Procedure. The following provisions govern any meeting at which one or more Board members appear electronically pursuant to Section 52-4-207:

(a) If a member of the Board desires to participate electronically:

(i) the member of the Board shall contact the Director or Secretary;

(ii) the Director shall assess the practicality of facility requirements necessary to conduct the meeting electronically in a manner that is required by this rule; and

(iii) the Presiding Officer shall determine whether to allow electronic participation.

(b) If electronic participation is approved, the public notice of the meeting shall specify the anchor location where the members of the Board not participating electronically will be present and where interested persons and the public may attend, monitor, and participate in the open portions of the meeting.

(d) A member of the Board, whether at the anchor location or participating electronically, shall be counted as present for purposes of a quorum and may fully participate and vote.

(e) At the commencement of the meeting, or as any member of the Board initially appears electronically, the Presiding Officer shall identify for the record all those who are participating electronically.

(f) The anchor location will have space and facilities so that interested persons and the public may attend, monitor and participate in the open portions of the meeting, as appropriate.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-110 Compliance with Open and Public Meetings Act

(1) All meetings of the Board shall be conducted in accordance with the Open and Public Meetings Act.

(2) All meetings are open to the public unless closed in whole or in part pursuant to the requirements of the Open and Public Meetings Act.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-111 Notice and Agenda

(1) Notice of each meeting shall be given in accordance with the Title 52, Chapter 4, Open and Public Meetings Act.

(2) Items may be placed on the agenda by:

(a) The Chair;

(b) A member of the Board contacting the Chair and requesting an item be placed on the agenda; or

(c) A member of the Board, the Division, governmental agency, or the public submitting a request to the Secretary of the Board for an item to be placed on the agenda subject to review and approval by the Chair.

(3) The order of business shall be in the order placed on the agenda, unless the Presiding Officer or vote of the Board alters the order of business and there is no prejudice to interested persons.

(4) Each agenda shall include an agenda item that allows a Board member to request that an item be placed on a future agenda.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-112 Attendance, Quorum and Voting

(1) Eight members of the Board are required for a quorum to transact business.

(2) Any determination of the Board must be approved by a majority vote of those voting members present and must receive an affirmative vote from at least five members.

(3) Voting shall be:

(a) expressed publicly when called for by the Presiding Officer;

(b) the number of affirmative, negative, and abstaining votes announced by the Presiding Officer; and

(4) A member must be in attendance, either in person or by electronic means in accordance with this rule, to vote.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-113 Motions, Second to a Motion, Discussion, Continuances and Resolutions

(1) Any voting member may make or second a motion.

(2) Items may be continued to any subsequent meeting by vote of the Board.

(3) A second to a motion is required before discussion by Board members.

(4) After a motion is seconded, the Presiding Officer shall ask for discussion of the matter. The Presiding Officer shall call upon those who request to discuss the matter. The Presiding Officer retains the authority to place reasonable restrictions on the discussion to assure that the discussion is orderly and relevant to the motion. After the discussion, or if no Board member desires to discuss the matter, the Board shall proceed to vote on the matter without the need for a formal call to question.

(5) The Board may enact resolutions.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-114 Committees and Appeals Panel

The Chair may appoint committees to investigate or report on any matter which is of concern to the Board. The appointment of an Appeals Panel is described in Rule R33-117.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-115 Order at Meetings

(1) The Presiding Officer shall preserve order and decorum at all meetings of the Board and shall determine questions of order, which may be subject to a vote of the Board.

(2) A person creating a disturbance or otherwise obstructing the orderly process of a Board meeting may be ordered to leave the meeting.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-116 Rules of Order

All matters not covered by this rule shall be determined by Robert's Rules of Order, latest published edition; an abbreviated edition of Robert's Rules of Order as determined by the Presiding Officer; or abbreviated procedures as determined by the Presiding Officer.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

Utah Admin. Code R33-102-117 Suspension of the Rules

By a vote of the Board, and to the extent allowed by law, any requirement of Sections R33-102-101 through R33-102- 117 may be suspended when necessary to better serve the public in the conduct of a Board meeting.

History

KEY: government purchasing, Procurement Policy Board, rules of procedure
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-202(5); 63G-6a-203(1)

R33-103 Procurement Organization

Utah Admin. Code R33-103-101 Delegation of Authority of the Chief Procurement Officer

Pursuant to Section 63G-6a-304, the Chief Procurement Officer may delegate in writing:

(1) authority to an employee of the Division; and

(2) authority to an executive branch procurement unit provided:

(a) the executive director of the department agrees to the delegation;

(b) the authorized procurement duties are outlined;

(d) the delegation remains in effect unless modified or revoked in writing.

History

KEY: government purchasing, chief procurement officer, delegation of authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

R33-104 Supplemental Procurement Procedures

Utah Admin. Code R33-104-103 Specifications

(1) A public entity shall include in solicitation documents specifications for the procurement item sought.

(2) Each specification shall:

(a) be drafted with the objective of clearly describing the procurement unit's requirements and encouraging competition; and

(b) emphasize the functional or performance criteria necessary to meet the needs of the procurement unit.

(3) A person with a conflict of interest, or who anticipates responding to the solicitation for which the specifications are written, may not participate in writing specifications. A procurement unit may retain the services of a person to assist in writing specifications, scopes of work, requirements, qualifications, or other components of a solicitation. The person retained to assist in writing specifications may not, at any time during the procurement process, be employed in any capacity by, nor have an ownership interest in, an individual, public or private corporation, governmental entity, partnership, or unincorporated association bidding on or submitting a proposal in response to the solicitation.

(a) Subsection R33-104-103(3) does not apply to the following:

(i) a design build construction project; and

(ii) other procurements determined in writing by the procurement official.

(b) Violations of Subsection R33-104-103(3) may result in:

(i) the bidder or offeror being declared ineligible for the award of the contract;

(ii) the solicitation being canceled;

(iii) termination of an awarded contract; or

(iv) any other action determined to be appropriate by the procurement official.

(4) Requirements for brand name and equal specifications are as follows:

(a) Brand name or equal specifications may be used when:

(i) the phrase "or equivalent" is included within the specification; and

(ii) as many other brand names as practicable are also included in the specification.

(b) Brand name or equal specifications shall include a description of the particular design and functional or performance characteristics required. Specifications unique to the brands shall be described in sufficient detail that another person can respond with an equivalent brand.

(c) When a manufacturer's specification is used in a solicitation, the solicitation shall state the minimum acceptable requirements for an equivalent. When practicable, the procurement unit shall name at least three manufacturer's specifications.

(5) A brand name may be required if:

(a) only one brand can meet the requirements set forth in the specifications, and the procurement unit solicits from as many providers of the brand as practicable; and

(b) there is only one provider that can meet the requirements set forth in the specifications and the procurement unit conducts the procurement in accordance with Section 63G-6a-802 and Section R33-108-101.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-104-109 Procedures When Two Bids, Quotes, or Statement of Qualifications Cannot Be Obtained

(1) The requirement that a procurement unit obtain a minimum of two bids, quotes, or statements of qualifications can be waived by the procurement official when only one vendor submits a bid, provides a quote, or submits a statement of qualifications under the following circumstances:

(a) a solicitation meeting the public notice requirements of Section 63G-6a-112 results in only one vendor submitting a solicitation response;

(b) vendors on a multiple award contract, prequalification, or approved vendor list fail to respond to the procurement unit; or

(c) a procurement unit makes a reasonable effort to invite each vendor known to the procurement unit to submit a solicitation response.

(2) "Reasonable effort" as used in Subsection (c) means:

(a) public notice under Section 63G-6a-112;

(b) an electronic or manual search for vendors within the specific industry;

(d) a determination by the procurement official that a reasonable effort has been made.

(3) Before accepting a solicitation response from only one vendor, the procurement official, shall consider:

(a) whether pricing is fair and reasonable;

(b) canceling the procurement; and

(4) The procurement official shall maintain records documenting the circumstances and reasons why fewer than two solicitation responses were obtained.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-104-110 Use of Electronic, Telephone, or Written Quotes

(1) "Electronic quote" means a price quotation provided by a vendor through electronic means such as the internet, online sources, email, an interactive web-based market center, or other technology.

(2) "Quote" means a purchasing process that solicits pricing information from several sources.

(3) "Quotation" means a statement of price, terms of sale, and description of the procurement item offered by a vendor to a procurement unit. A quotation is nonbinding and does not obligate a procurement unit to make a purchase or a vendor to make a sale.

(4) A procurement unit may use electronic, telephone, or written quotes to obtain pricing and other information for a procurement item within the small purchase or approved vendor threshold limits established by rule provided:

(a) quotations are for the same procurement item, including terms of sale, description, and quantity of goods or services;

(b) the procurement unit informs the vendor that the quote is for a governmental entity and an inquiry is made as to whether the vendor is willing to provide a price discount to a governmental entity; and

(i) the name of each vendor supplying a quotation; and

(ii) the amount of each vendor's quotation.

(5) An executive branch procurement unit, subject to this rule:

(a) may obtain electronic, telephone, or written quotations for a procurement item costing less than $10,000, unless the procurement official determines a lower amount by policy;

(b) shall send a request to obtain quotations for a procurement item costing more than $10,000, unless the procurement official determines a lower amount by policy, to the Division of Purchasing who shall obtain quotations for executive branch procurement units for procurement items costing more than $10,000; and

(c) may not obtain quotations for a procurement item available on a state contract unless otherwise specified in the terms of a solicitation or contract or authorized by rule or statute.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

R33-105 Other Standard Procurement Processes

Utah Admin. Code R33-105-101 Request for Information

In addition to the requirements of Title 63G, Chapter 6a, Part 5, Other Standard Procurement Processes, a request for information should show the procedure for business confidentiality claims and other protections provided by Title 63G, Chapter 2, Utah Government Records and Access Management Act.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

Utah Admin. Code R33-105-102 Small Purchases

(1) A small purchase shall be conducted in accordance with Section 63G-6a-506 and this administrative rule.

(2) Unless statute, rule, or policy mandate use of a state cooperative contract or other source, a procurement unit may directly award to the best source without completing a solicitation process when:

(a) the individual cost of each procurement item does not exceed the Individual Procurement Item threshold; and

(b) the aggregate cost of all procurement items being procured at the same time does not exceed the Single Procurement Aggregate threshold; and

(3) The Individual Procurement Item threshold is $5,000 unless the procurement official determines a lower amount in writing.

(4) The Single Procurement Aggregate threshold is $10,000 for multiple individual procurement items purchased from one source at one time unless the procurement official determines a lower amount in writing.

(5) The Annual Cumulative threshold is $50,000 for small purchases made by direct award without a solicitation process from the same source in one year.

(6) When practicable, a procurement unit shall use a rotation system or other system designed to allow for competition when using the small purchases process.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

Utah Admin. Code R33-105-103 Quotes for Small Purchases from $5,000 to $50,000

(1) A procurement unit shall complete a quotes for small purchase solicitation process when:

(a) the individual cost of a procurement item exceeds the Individual Procurement Item threshold established in Section R33-105-102; and

(b) the aggregate cost of all procurement items to be procured does not exceed $50,000.

(2) When completing a quotes for small purchases solicitation process, the procurement unit:

(a) shall determine the minimum specifications for award including a vendor response due date and time;

(b) shall provide the minimum specifications to multiple vendors;

(d) shall purchase from the responsible vendor offering the lowest quote that meets the specifications.

(3) Executive Branch procurement units, to the extent they do not have independent procurement authority:

(a) may not obtain quotes when aggregate of the procurement exceeds $10,000; and

(b) shall send a request for solicitation to the Division.

(4) A procurement unit with independent procurement authority:

(a) may not obtain quotes when the aggregate of the procurement exceeds $50,000 or a lower amount determined in writing by the procurement official; and

(b) shall conduct an invitation for bids or other procurement process outlined in the Utah Procurement Code.

(5) The names of the vendors offering quotations and bids and the date and amount of each quotation or bid shall be recorded and maintained as a governmental record.

(6)(a) To ensure the fair and equitable treatment of all vendors on an approved vendor list, a procurement unit shall, when using this rule in conjunction with an approved vendor list, obtain a minimum of two quotes from vendors on the approved vendor list using one or more of the following methods to select vendors from whom to obtain quotes:

(i) a rotation system, organized alphabetically, numerically, or randomly;

(ii) assignment of vendors to a specified geographic area;

(iii) assignment of vendors based on each vendor's particular expertise or field; or

(iv) another method approved by the procurement official.

(b) Each procurement unit using an approved vendor list under this rule shall document that all vendors on the approved vendor list have a fair and equitable opportunity to obtain a contract.

(c) When using one of the methods listed in Subsection (6)(a) to select vendors to provide quotes, a procurement unit may also obtain an additional quote from the vendor that provided the lowest quote on the most recently completed procurement conducted by the procurement unit using the approved vendor list.

(d) When practicable, a procurement unit may obtain quotes from all vendors on an approved vendor list.

(e) A procurement unit shall purchase the procurement item from the vendor on the approved vendor list that provides the lowest quote for the procurement item.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

Utah Admin. Code R33-105-104 Small Purchases of Professional Service Providers and Consultants

(1) For a small purchase for professional service providers and consultants solicitation, the procurement unit shall:

(a) limit the solicitation to a maximum amount to $100,000 per project;

(b) review the qualifications of a minimum of three firms or individuals;

(d) begin direct negotiation with the highest ranked firm or individual.

(2) If an agreement cannot be reached with the highest ranked firm or individual, the procurement unit shall:

(a) move to the next highest ranked firm or individual for negotiation and so on until a fee agreement is reached; or

(b) select and review three additional professional service provides and consultants prior to negotiating with the highest ranked firm or individual.

(3) The small purchase threshold for medical providers is a maximum of $100,000 per year, by direct negotiation after reviewing the qualification of medical providers.

(4) Executive branch procurement units, to the extent they do not have independent procurement authority, shall involve the Division of Purchasing at the beginning of the quote or solicitation process, in the procurement of professional services or consulting services.

(5) When using an approved vendor list:

(a) a procurement unit shall, when using this rule, select a minimum of three professional service providers or consultants from the approved vendor list using one or more of the following methods:

(i) a rotation system, organized alphabetically, numerically, or randomly;

(ii) assignment of vendors to a specified geographic area;

(iii) assignment of vendors based on each vendor's particular expertise or field; or

(iv) another method approved by the procurement official.

(b) After selecting a minimum of three firms or individuals from the approved vendor list using one of the methods specified in Subsection (5)(a), the procurement unit shall rank the firms or individuals in order and begin fee negotiations, up to $100,000 with the highest ranked firm or individual. If an agreement cannot be reached with the highest ranked firm or individual, the procurement unit shall move to the next highest ranked firm or individual and so on until a fee agreement is reached.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

Utah Admin. Code R33-105-105 Small Purchases Threshold for Design Professional Services

(1) The small purchase threshold for design professional services is a maximum amount of $100,000 per project.

(2) Design professional services of $100,000 or less may be procured by direct negotiation after reviewing the qualifications of a minimum of three design professional firms.

(3)(a) To ensure the fair and equitable treatment of each vendor on an approved vendor list, a procurement unit shall when using this rule in conjunction with an approved vendor list, select a minimum of three design professional firms from the approved vendor list using one or more of the following methods:

(i) a rotation system, organized alphabetically, numerically, or randomly;

(ii) assignment of vendors to a specified geographic area;

(iii) assignment of vendors based on each vendor's particular expertise or field; or

(iv) another method approved by the procurement official.

(b) After selecting a minimum of three firms from the approved vendor list using one of the methods specified in Subsection (3)(a), the procurement unit shall rank the firms in order and begin fee negotiations, up to $100,000, with the highest ranked firm. If an agreement cannot be reached with the highest ranked firm, the procurement unit shall move to the next highest ranked firm and so on until a fee agreement is reached.

(c) If a fee agreement cannot be reached with any of the firms in the first group of firms selected, the procurement unit may select additional firms from the approved vendor list using the same process set forth in Subsections (3)(a) and (b) or the procurement unit may cancel the procurement.

(d) Each procurement unit using an approved vendor list under this rule shall document that each vendor on the approved vendor list has a fair and equitable opportunity to obtain a contract.

(4) A procurement unit shall include minimum specifications when using the small purchases threshold for design professional services.

(5) Executive Branch procurement units, to the extent they do not have independent procurement authority, shall involve the Division in the qualification process described under Section 63G-6a-410, the approved vendor list process described under Section 63G-6a-507, and the evaluation and fee negotiation process described in Title 63G, Chapter 6a, Part 15, Design Professional Services, in the procurement of design professional services.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

Utah Admin. Code R33-105-106 Small Purchases Threshold for Construction Projects

(1) The small purchase threshold for an individual construction project is $100,000 for direct construction costs, including design and allowable furniture or equipment costs.

(2) A procurement unit shall include minimum specifications when using the small purchases threshold for construction projects.

(3) Executive Branch procurement units, to the extent they do not have independent procurement authority, shall involve the Division in the qualification process described under Section 63G-6a-410, the approved vendor list process described under Section 63G-6a-507, and the obtaining of quotes, bids or proposals in the procurement of small construction projects.

(4) The procurement official may procure individual small construction projects up to a maximum of $25,000 by direct award without seeking competitive bids or quotes after documenting that all building code approvals, licensing requirements, permitting and other construction related requirements are met. The awarded contractor must certify that it is capable of meeting the minimum specifications of the project.

(5) The procurement official may procure individual small construction projects costing more than $25,000 up to a maximum of $100,000 by obtaining a minimum of two competitive quotes that include minimum specifications and shall award to the contractor with the lowest quote that meets the specifications after documenting that all applicable building code approvals, licensing requirements, permitting and other construction related requirements are met.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

Utah Admin. Code R33-105-106 5. Small Purchases Threshold for Construction Projects Using an Approved Vendor List

(1) The small construction project threshold per individual project using an approved vendor list is a maximum of $2,500,000 for direct construction costs, including design and allowable furniture or equipment costs.

(2) To ensure the fair and equitable treatment of all vendors on an approved vendor list, a procurement unit shall:

(a) For individual construction projects up to a maximum of $25,000 contract with a vendor or contractor by direct award using one of the following methods to select the vendor or contractor:

(i) a rotation system, organized alphabetically, numerically, or randomly;

(ii) assignment of vendors to a specified geographic area;

(iii) assignment of vendors based on each vendor's particular expertise or field; or

(iv) another method approved by the procurement official.

(b) For individual construction projects over $25,000 up to a maximum of $100,000 by obtaining a minimum of two competitive quotes from vendors or contractors on the approved vendor list.

(i) Procurement units shall use one of the following methods to select vendors from whom quotes are obtained:

(A) a rotation system, organized alphabetically, numerically, or randomly;

(B) assignment of vendors to a specified geographic area;

(D) another method approved by the procurement official.

(ii) When using one of the methods listed in Subsection (2)(b) to select vendors to provide quotes, a procurement unit may also obtain an additional quote from the vendor that provided the lowest quote on the most recently completed procurement conducted by the procurement unit using the approved vendor list; and

(iii) when quotes or bids are obtained under Subsection (2)(b), procurement units shall purchase the procurement item from the vendor or contractor on the approved vendor list that provides the lowest quote for the procurement item.

(c) For individual construction projects over $100,000 up to a maximum of $2.5 million, by inviting all vendors or contractors on the approved vendor list to submit bids in accordance with the provisions set forth in Title 63G, Chapter 6a, Part 6, Bidding, except public notice requirements in Part 6 are waived.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

Utah Admin. Code R33-105-202 Contract Award Based on Established Terms

(1) In accordance with Section 63G-6a-113 and Subsection 63G-6a-507(6)(b), a procurement unit may award a contract to a vendor on an approved vendor list at an established price based on:

(a) A price list, rate schedule, or pricing catalog:

(i) Submitted by a vendor and accepted by the procurement unit; or

(ii) Mandated by the procurement unit or a federal agency; or

(b) A federal regulation for a health and human services program.

(2) When awarding a contract to an approved vendor based on a price list, rate schedule, or pricing catalog submitted by the vendor, the procurement unit shall, as applicable:

(a) Assign work or purchase from the approved vendor with the lowest price, rate or catalog price;

(i) In case of a tie for the lowest price, the procurement unit shall follow the process described in Section R33-106-111 to resolve the tie; and

(ii) If the lowest-cost approved vendor cannot provide the procurement item or quantity needed, then work shall be assigned or the purchase made from the next lowest-cost vendor, and so on, until the procurement unit's needs are met;

(b) Establish a cost threshold based on cost analysis as set forth in Sections R33-112-603 and R33-112-604, and assign work or purchase from an approved vendor meeting the cost threshold using one of the following methods:

(i) a rotation system, organized alphabetically, numerically, or randomly;

(ii) assignment of vendors to a specified geographic area;

(iii) assignment of vendors based on each vendor's particular expertise or field; or

(iv) another method approved by the procurement official; and

(c) In accordance with Section 63G-6a-1206.5, an approved vendor may lower its price, rate, or catalog price at any time during the time a contract is in effect to be assigned work or receive purchases under Subsections (i) and (ii).

(3) When awarding a contract to an approved vendor based on a price list, rate schedule, or pricing catalog mandated by the procurement unit or a federal agency, the procurement unit shall use one of the following methods to assign work or purchase from a vendor on an approved vendor list:

(a) a rotation system, organized alphabetically, numerically, or randomly;

(b) assignment of vendors to a specified geographic area;

(d) another method approved by the procurement official.

(4) When awarding a contract to an approved vendor based on a price list, rate schedule, or pricing catalog based on a federal regulation for a health and human services program the procurement unit shall follow the requirements set forth in the applicable federal regulation to assign work or make a purchase.

(5) In accordance with the provisions set forth in Section 63G-6a-2105, the procurement official may award contracts to vendors on an approved vendor list on a statewide, regional, or combined statewide and regional basis.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

Utah Admin. Code R33-105-203 Performance Rating System for Vendors

(1) A procurement unit may develop a performance rating system to evaluate the performance of vendors, provided the performance rating system is described in the solicitation and includes:

(a) the minimum performance rating threshold that approved vendors must achieve to remain in good standing; and

(b) a statement indicating that vendors whose performance does not meet the minimum performance rating threshold may be subject to a corrective action plan, which may include termination of the contract.

(2) A procurement unit that places a vendor on a corrective action plan shall:

(a) make a written finding that:

(i) describes the performance rating system;

(ii) identifies the minimum performance rating threshold; and

(iii) explains the performance rating achieved by the vendor; and

(b) provide a copy of the written finding to the vendor.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

Utah Admin. Code R33-105-204 Approved Vendor Lists -- Using Small Purchase Process

(1) When awarding a contract to an approved vendor using the small purchasing process, the procurement unit shall follow the small purchase requirements set forth in Section 63G-6a-506 and the following Administrative Rules as applicable:

(a) Section R33-105-104. Small Purchases;

(b) Section R33-105-105. Small Purchases Threshold for Design Professional Services;

(d) Section R33-105-107. Quotes for Small Purchases from $1,001, to $50,000;

(e) Section R33-105-108. Small Purchases of Professional Service Providers and Consultants;

(2) Executive branch employees are required to use state contracts for all small purchases for procurement items available on state contracts.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-506(2)

R33-106 Bidding

Utah Admin. Code R33-106-101 Competitive Sealed Bidding; Multiple Stage Bidding

Competitive sealed bidding shall be conducted in accordance with the requirements in Title 63G, Chapter 6a, Part 6, Bidding. This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-106-108 Re-solicitation of a Bid

(1) Re-solicitation of a bid may occur only if the procurement official determines that:

(a) a material change in the scope of work or specifications has occurred;

(b) procedures outlined in Title 63G, Chapter 6a, Utah Procurement Code were not followed;

(d) there was a lack of adequate competition; or

(e) other reasons exist that are in the best interests of the procurement unit.

(2) Re-solicitation may not be used to avoid awarding a contract to a qualified vendor in an attempt to steer the award of a contract to a favored vendor.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-106-110 Multiple or Alternate Bids

(1) Multiple or alternate bids will not be accepted, unless otherwise specifically required or allowed in the invitation for bids.

(2) If a bidder submits multiple or alternate bids that are not requested in the invitation for bids, the procurement official will only accept the bidder's first bid and will not accept any other bids constituting multiple or alternate bids.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-106-111 Methods to Resolve Tie Bids

(1) In accordance with Section 63G-6a-608, in the event of tie bids, and only one of the tie bids was submitted by a Utah resident bidder, the contract shall be awarded to the Utah resident bidder, provided the bidder indicated on the invitation to bid form that it is a Utah resident bidder.

(2) If a Utah resident bidder is not identified, the preferred method for resolving tie bids shall be for the procurement official to toss a coin in the presence of a minimum of three witnesses with the bidder first in alphabetical order being designated as "heads" for the coin toss.

(3) Other methods to resolve a tie bid may be used as deemed appropriate by the procurement official.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-106-112 Publication of Award

The procurement unit shall, on the day on which the award of a contract is announced, make available to each bidder and to the public, a notice that includes:

(1) the name of the bidder to which the contract is awarded and the price of the procurement item; and

(2) the names and the prices of each bidder to which the contract is not awarded.

History

KEY: government purchasing, general procurement provisions, specifications, small purchases
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

R33-107 Request for Proposals

Utah Admin. Code R33-107-101 Conducting the Request for Proposals Standard Procurement Process

The request for proposals standard procurement process shall be conducted in accordance with the requirements set forth in Chapter 63G, Title 6a, Part 7, Requests for Proposals. The request for proposals process may be used by a procurement unit to select the proposal that provides the best value or is the most advantageous to the procurement unit. This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-104 Exceptions to Terms and Conditions Published in the RFP

(1) Offerors requesting exceptions or additions to the standard terms and conditions published in the request for proposal (RFP) must include the exceptions or additions with the proposal response.

(2) Exceptions or additions submitted after the date and time for receipt of proposals will not be considered unless there is only one offeror that responds to the RFP, the exceptions or additions have been approved by the Attorney General's Office or other applicable legal counsel, and it is determined by the procurement official that it is not in the best interest of the procurement unit to republish the solicitation.

(3) Offerors may not submit requests for exceptions or additions by reference to a vendor's website or URL

(4) A procurement unit may refuse to negotiate exceptions or additions:

(a) that are determined to be excessive;

(b) that are inconsistent with similar contracts of the procurement unit;

(c) to warranties, insurance, or indemnification provisions that are necessary to protect the procurement unit after consultation with the Attorney General's Office or other applicable legal counsel;

(d) where the solicitation specifically prohibits exceptions or additions; or

(e) that are not in the best interest of the procurement unit.

(5) If negotiations are permitted, a procurement unit may negotiate exceptions or additions with offerors, beginning in order with the offeror submitting the fewest exceptions or additions to the offeror submitting the greatest number of exceptions or additions. Contracts may become effective as negotiations are completed.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-105 Protected Records

The following are protected records and may be redacted by the vendor subject to the procedures described in this section in accordance with Title 63G, Chapter 2, Governmental Records Access and Management Act (GRAMA).

(1) Trade Secrets, as defined in Section 13-24-2.

(2) Commercial information or non-individual financial information subject to Subsection 63G-2-305(2).

(3) Other Protected Records under GRAMA.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-105 5. Process for Requesting Non-Disclosure

Any person requesting that a record be protected shall include with the proposal or submitted document:

(1) a written indication of which provisions of the proposal or submitted document are claimed to be considered for business confidentiality or protected, including trade secrets or other reasons for non-disclosure under GRAMA; and

(2) a concise statement of the reasons supporting each claimed provision of business confidentiality or protected record.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-106 Notification

(1) A person who complies with Section R33-107-105 shall be notified by the procurement unit before the public release of any information for which a claim of confidentiality has been asserted.

(2) Except as provided by court order, the procurement unit to whom the request for a record is made under GRAMA may not disclose a record claimed to be protected under Section R33-107-105 but which the procurement unit or State Records Committee determines should be disclosed until the period in which to bring an appeal expires or the end of the appeals process, including judicial appeal, is reached. Section R33-107-106 does not apply where the claimant, after notice, has waived the claim by not appealing or intervening before the State Records Committee. To the extent allowed by law, the parties to a dispute regarding the release of a record may agree in writing to an alternative dispute resolution process.

(3) Allowable disclosure of public records submitted in the RFP process will only be available after the selection of the successful offeror has been made public.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-107 Process for Submitting Proposals with Protected Business Confidential Information

If an offeror submits a proposal that contains information claimed to be business confidential or protected information, the offeror must submit two separate proposals:

(1) One redacted version for public release, with any protected business confidential information either blacked-out or removed, clearly marked as "Redacted Version"; and

(2) One non-redacted version for evaluation purposes clearly marked as "Protected Business Confidential."

(a) Pricing may not be classified as business confidential and will be considered public information.

(b) An entire proposal may not be designated as "PROTECTED," "CONFIDENTIAL" or "PROPRIETARY" and shall be considered non-responsive unless the offeror removes the designation.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-501 5. Minimum Score Thresholds

(1) A procurement unit may establish minimum score thresholds to advance proposals from one stage in the RFP process to the next, including contract award.

(2) If used, minimum score thresholds must be set forth in the RFP and clearly describe the minimum score threshold that proposals must achieve to advance to the next stage in the RFP process or to be awarded a contract.

(3) Minimum score thresholds:

(a) may be based on:

(i) minimum scores for each evaluation category;

(ii) the total of each minimum score in each evaluation category based on the total points available; or

(iii) a combination of Subsections (i) and (ii).

(b) may not be based on:

(i) a natural break in scores that was not defined and set forth in the RFP; or

(ii) a predetermined number of offerors, unless a written exception is provided by the procurement official.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-601 Best and Final Offers

Best and Final Offers (BAFO) shall be conducted in accordance with the requirements set forth in Section 63G-6a- 707.5. Rule R33-107 provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code.

(1) BAFO process is an optional step in the evaluation phase of the RFP process in which offerors are requested to modify their proposals.

(2) The BAFO process may not be conducted as part of the contract negotiation process. It may only be conducted during the evaluation phase of the RFP process.

(3) A procurement unit may not use the BAFO process to allow offerors a second opportunity to respond to the entire RFP.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-703 Evaluation Committee Procedures for Scoring Non-Priced Technical Criteria

(1)(a) The procurement unit may conduct a review of proposals to determine if:

(i) the person submitting the proposal is responsible;

(ii) the proposal is responsive; and

(iii) the proposal meets the mandatory minimum requirements set forth in the RFP.

(b) An evaluation committee may not evaluate proposals deemed non-responsive or not meeting the mandatory minimum requirements of the RFP, or from vendors determined to be not responsible.

(2) Before the evaluation and scoring of proposals, the procurement unit will meet to:

(a) explain the evaluation and scoring process;

(b) discuss requirements and prohibitions pertaining to:

(i) socialization with vendors as set forth in Section R33-124-104;

(ii) financial conflicts of interest as set forth in Section R33-124-105;

(iii) personal relationships, favoritism, or bias as set forth in Section R33-124-106;

(iv) disclosing confidential information contained in proposals or the deliberations and scoring of the evaluation committee; and

(v) ethical standards for an employee of a procurement unit involved in the procurement process as set forth in Section R33-124-108.

(d) provide a copy of Section R33-107-703 to the evaluation committee, employees of the procurement unit involved in the procurement, and any other person that will have access to the proposals.

(3) Before participating in any phase of the RFP process, each member of the evaluation committee must sign a written statement certifying that they do not have a conflict of interest.

(4) At each stage of the procurement process, the conducting procurement unit shall ensure that evaluation committee members, employees of the procurement unit and any other person participating in the procurement process:

(a) do not have a conflict of interest with any of the offerors;

(b) do not contact or communicate with an offeror concerning the procurement outside the official procurement process; and

(c) conduct or participate in the procurement process in a manner that ensures a fair and competitive process and avoids the appearance of impropriety.

(5) In accordance with Section 63G-6a-707, the procurement unit shall appoint an evaluation committee.

(a) The evaluation committee shall:

(i) evaluate each responsive proposal submitted by a responsible offeror that has not been rejected from consideration under Title 63G, Chapter 6a, Utah Procurement Code using the criteria described in the RFP.

(ii) exercise independent judgment in the evaluation and scoring of the non-priced technical criteria in each proposal.

(b) Proposals must be evaluated solely on the criteria listed in the RFP.

(6) After each proposal has been independently evaluated by each member of the evaluation committee, each committee member independently shall assign a preliminary draft score for each proposal for each of the non-priced technical criteria listed in the RFP.

(a) After completing the preliminary draft scoring of the non-priced technical criteria for each proposal, the evaluation committee shall enter into deliberations to:

(i) review each evaluation committee member's preliminary draft scores;

(ii) resolve any factual disagreements;

(iii) modify their preliminary draft scores based on their updated understanding of the facts; and

(iv) derive the committee's final recommended consensus score for the non-priced technical criteria of each proposal.

(b) During the evaluation process, the evaluation committee may make a recommendation to the procurement unit that:

(i) a proposal be rejected for:

(A) being non-responsive;

(B) not meeting the mandatory minimum requirements; or

(ii) an offeror be rejected for not being responsible.

(c) If an evaluation committee member does not attend an evaluation committee meeting, the meeting may be canceled and rescheduled.

(d) To score proposals fairly, an evaluation committee member must be present at each evaluation committee meeting and must review each proposal, including any presentations, interviews, or demonstrations. If an evaluation committee member fails to attend an evaluation committee meeting or leaves a meeting early or fails for any reason to fulfill the duties and obligations of a committee member, that committee member shall be removed from the committee. The remainder of the evaluation committee members may proceed with the evaluation, provided there are at least three evaluation committee members remaining.

(e) Attendance or participation on an evaluation committee via electronic means such as a conference call, a webcam, an online business application, or other electronic means is permissible.

(7)(a) The evaluation committee shall derive its final recommended consensus score for the non-priced technical criteria of each proposal using the following methods:

(i) the total of each individual evaluation committee member's scores for each proposal shall be the consensus score for the evaluation committee; or

(ii) an average of each individual evaluation committee member's scores for each proposal shall be the consensus score for the evaluation committee.

(b) The evaluation committee shall submit its final score sheet, signed and dated by each committee member, to the procurement unit for review.

(8) The evaluation committee may not change its consensus final recommended scores of the non-priced technical criteria for each proposal after the scores have been submitted to the procurement unit, unless the procurement unit authorizes that a best and final offer process is to be conducted.

(9) In accordance with Section 63G-6a-707, the issuing procurement unit shall:

(a) review the evaluation committee's final recommended scores for each proposal's non-priced technical criteria and correct any errors, scoring inconsistencies, and reported noncompliance with this chapter or cancel the solicitation;

(b) score the cost of each proposal based on the applicable scoring formula; and

(10)(a) The procurement official may remove a member of an evaluation committee for:

(i) having a conflict of interest or the appearance of a conflict of interest with a person responding to a solicitation;

(ii) having an unlawful bias or the appearance of unlawful bias for or against a person responding to a solicitation;

(iii) having a pattern of arbitrary, capricious, or clearly erroneous scores that are unexplainable or unjustifiable;

(iv) having inappropriate contact or communication with a person responding to a solicitation;

(v) socializing inappropriately with a person responding to a solicitation;

(vi) engaging in any other action or having any other association that causes the procurement official to conclude that the individual cannot fairly evaluate a solicitation response; or

(vii) any other violation of a law, rule, or policy.

(b) The procurement official may reconstitute an evaluation committee in any way deemed appropriate to correct an impropriety described in Subsection (10)(a). If an impropriety cannot be cured by replacing a member, the head of the issuing procurement unit may appoint a new evaluation committee, cancel the procurement or cancel and reissue the procurement.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-704 Scoring of Evaluation Criteria, Other Than Cost, for Proposals in the RFP Process

Scoring shall be based upon each applicable evaluation criteria as set forth in the RFP.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-705 Evaluation Committee Members Required to Exercise Independent Judgment

(1) Evaluators shall exercise independent judgment and not be inappropriately influenced by others.

(2) Evaluators may seek to increase their knowledge before scoring by asking questions and seeking appropriate information from the procurement unit. Otherwise, evaluators should not discuss proposals or the scoring of proposals with other persons not on the evaluation committee.

(3)(a) The exercise of independent judgment applies not only to possible inappropriate influences from outside the evaluation committee, but also to inappropriate influences from within the committee. It is acceptable for there to be discussion and debate within the committee regarding how well a proposal meets the evaluation criteria. However, open discussion and debate may not lead to coercion or intimidation by one committee member to influence the scoring of another committee member.

(b) Evaluators may not act on their own or in concert with another evaluation committee member to inappropriately steer an award to a favored vendor or to disfavor a particular vendor.

(c) Evaluators are required to report any attempts by others to improperly influence any evaluator's scoring to favor or disfavor a particular offeror.

(d) If an evaluator feels that the evaluator's independence has been compromised, the evaluator must recuse themselves from the evaluation process.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-802 Publicizing Awards

(1) The following shall be disclosed after receipt of a GRAMA request and payment of any lawfully enacted and applicable fees:

(a) the contract entered into as a result of the selection and the successful proposal, except for those portions that are to be non-disclosed under Section R33-107-105;

(b) the unsuccessful proposals, except for those portions that are to be non-disclosed under Section R33-107-105;

(d) the names of the members of any evaluation committee;

(e) the final scores used by the evaluation committee to make the selection, except that the names of the individual scorers may not be associated with their individual scores or rankings; and

(f) the written justification statement supporting the selection, except for those portions that are to be non-disclosed under Section R33-107-105.

(2) After due consideration and public input, the following has been determined by the Procurement Policy Board to impair governmental procurement proceedings or give an unfair advantage to any person proposing to enter into a contract or agreement with a governmental entity, and will not be disclosed by the governmental entity at any time to the public including under any GRAMA request:

(a) the names of individual scorers or evaluators in relation to their individual scores or rankings;

(b) any individual scorer's or evaluator's notes, drafts, and working documents;

(d) past performance and reference information, which is not provided by the offeror and which is obtained as a result of the efforts of the governmental entity. To the extent such past performance or reference information is included in the written justification statement; it is subject to public disclosure.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

Utah Admin. Code R33-107-900 Public-Private Partnerships

Except as provided in Section 63G-6a-802, a procurement unit shall award a contract for a public-private partnership, as defined in Section 63G-6a-103, by the RFP standard procurement process set forth in Title 63G, Chapter 6a, Part 7, Requests for Proposals.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-707.5(13); 63G-6a-712(8)

R33-108 Exceptions to Standard Procurement Process

Utah Admin. Code R33-108-101 Award of Contract Without Engaging in a Standard Procurement Process

Award of a contract without engaging in a standard procurement process shall be conducted in accordance with the purpose and policies of Title 63G, Chapter 6a, Part 8, Exceptions to Procurement Requirements.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

Utah Admin. Code R33-108-101a Sole Source Contract Awards

(1) A sole source contract does not involve a standard procurement process and shall be awarded in accordance with Title 63G, Chapter 6a, Part 8, Exceptions to Procurement Requirements.

(2) Circumstances for which a sole source contract award may be justified include procurements for:

(a) a procurement item for which there is no comparable product or service, such as a one-of-a-kind item available from only one vendor;

(b) a component or replacement part for which there is no commercially available substitute, and which can be obtained only directly from the manufacturer; or

(3) Before awarding a sole source contract, the procurement official shall, when practicable, conduct a price analysis in accordance with Section R33-112-603.

(4) An urgent or unexpected circumstance or requirement for a procurement item does not justify the award of a contract without engaging in a standard procurement process.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

Utah Admin. Code R33-108-101b Transitional Costs -- Cost-Benefit Analysis

(1) For this section, the following definitions shall apply:

(a) "Competing type of procurement item" means a type of procurement item that is the same, equivalent, or superior to the existing type of procurement item currently under contract in all material aspects including:

(i) performance;

(ii) specifications;

(iii) scope of work; and

(iv) provider qualifications, certifications, and licensing.

(b) "Competing provider" means another provider other than the existing provider under contract that provides a competing type of procurement item.

(c) "Significant," "unreasonable or cost-prohibitive" transitional costs are defined as costs associated with changing from an existing provider of a procurement item to another provider of that procurement item or from an existing type of procurement item to another type that:

(i) constitute a measurably large amount that would likely have an influence or effect on the award of a contract if a competitive procurement were to be conducted for the procurement item being considered; and

(ii) provides a compelling justification for not conducting a competitive standard procurement process.

(2) Transitional costs that must be considered in a cost-benefit analysis include:

(a) costs that are directly associated with changing from an existing provider of a procurement item to a competing provider of that procurement item or from an existing type of procurement item to a competing type of procurement item; and

(b) a full life-cycle cost analysis of the existing type of procurement item and competing type of procurement items to determine which procurement item is more cost-effective.

(3) Transitional costs that may be considered in a cost-benefit analysis include:

(a) costs identified in Section 63G-6a-103;

(b) costs offered by a competing provider for a competing type of procurement item in a competitive bid or request for proposals process conducted within the last 12 months;

(c) costs offered by a competing provider for a competing type of procurement item in a competitive bid or RFP process conducted before the most recent 12 months, updated using an applicable price index;

(d) written cost estimates obtained by the procurement unit from a competing provider for a competing type of procurement item; and

(e) other transitional costs determined to be applicable by the procurement official.

(4) Transitional costs or other information that may not be considered in a cost-benefit analysis include:

(a) costs prohibited in Section 63G-6a-103;

(b) data provided by the existing provider for establishing:

(i) the market value of the existing type of procurement item; or

(ii) a competing provider's price for a competing type of procurement item;

(c) costs associated with any other procurement item other than the existing type of procurement item or a competing type of procurement item;

(d) non-monetary factors, such as the provider's performance, agency preference, and other data or information not specific to the transitional costs associated with the existing type of procurement item or a competing type of procurement item;

(e) factors other than the monetary transitional costs directly associated with changing from an existing provider of a procurement item to a competing provider of that procurement item or from an existing type of procurement item to a competing type of procurement item; and

(f) other transitional costs or other information deemed inappropriate by the procurement official.

(5) The conducting procurement unit shall complete a written cost-benefit analysis and submit it to the issuing procurement unit for approval.

(6) The cost-benefit analysis should not be overly time-consuming to complete or involve hiring costly consultants or financial analysts.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

Utah Admin. Code R33-108-101c Other Circumstances That May Make Awarding a Contract Through a Standard Procurement Process Impractical

In accordance with Subsection 63G-6a-802(1)(c), the procurement official may consider, as applicable, the following circumstances when making a determination as to whether awarding a contract through a standard procurement process is impractical and not in the best interest of the procurement unit:

(1) a contract award to a specific supplier, service provider, or contractor is a condition of a donation or grant that will fund the full cost of the supply, service, or construction item;

(2) public utility services, when only one public utility service is available in an area;

(3) an item where compatibility is the overriding consideration; or

(4) a used procurement item that presents a unique, specialized, or time-limited buying opportunity.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

Utah Admin. Code R33-108-101d Notice of Intent to Award a Contract Without Engaging in a Standard Procurement Process

(1) The division shall make available a form that requires the procurement unit to provide, at a minimum, the following information:

(a) a description of the procurement item, including, when applicable, the proposed scope of work;

(b) the total dollar value of the procurement item, including, when applicable, the actual or estimated full life-cycle cost of maintenance and service agreements;

(d) research completed by the procurement unit documenting that:

(i) there are no other competing vendors or sources for the procurement item in accordance with the provisions set forth in Section R33-108-101a;

(ii) transitional costs are a significant consideration in selecting a procurement item and the results of a cost-benefit analysis documenting that transitional costs are unreasonable or cost-prohibitive and awarding a contract without engaging in a standard procurement process is in the best interest of the procurement unit in accordance with the provisions set forth in Section R33-108-101b; or

(iii) other circumstances that make awarding a contract through a standard procurement process impractical and not in the best interest of the procurement unit in accordance with the provisions set forth in Section R33-108-101c.

(2) A procurement unit with independent procurement authority may use the division's notice of intent to award a contract without engaging in a standard procurement process form or develop its own form to provide notice of intent to award a contract without engaging in a standard procurement process that contains, at a minimum, the same basic information in Subsection (1).

(3) The conducting procurement unit shall submit in writing a completed notice of intent to award a contract without engaging in a standard procurement process form to the procurement official for approval to award a contract without engaging in a standard procurement process.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

Utah Admin. Code R33-108-101e Public Notice -- Waiver of Public Notice

(1) Except as provided in Subsection (2), publication of a notice of intent to award a contract without engaging in a standard procurement process shall be published in accordance with Section 63G-6a-112 if the cost of the procurement being considered under this rule exceeds $50,000.

(2)(a) When making a determination under Section R33-108-101a, R33-108-101b, or R33-108-101c, the procurement official may waive the requirement to publish a notice of intent to award a contract without engaging in a standard procurement process for the following procurements:

(ii) public utility services;

(iii) conference and convention facilities with unique or specialized amenities, abilities, location, or services;

(iv) conference fees, including materials;

(v) speakers or trainers with unique or proprietary presentations or training materials;

(vi) hosting of in-state, out-of-state, and international dignitaries;

(vii) international, national, or local promotion of the state or a public entity;

(viii) an award when the Legislature identifies the intended recipient of a contract;

(ix) an award to a specific supplier, service provider, or contractor if the award is a condition of a donation or grant that will fund the full cost of the supply, service, or construction item;

(x) catering services at government functions where the event requires a caterer with unique and specialized qualifications, skills, and abilities; or

(xi) other circumstances as determined in writing by the procurement official.

(b) The procurement official may require publication of a notice of intent to award a contract without engaging in a standard procurement process for any procurement identified in Subsection (2)(a) if deemed necessary to uphold the fair and equitable treatment of any person who deals with the procurement system.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

Utah Admin. Code R33-108-101f Contesting a Notice of Intent to Award a Contract Without Engaging in a Standard Procurement Process

(1) A person may contest the notice of intent to award a contract without engaging in a standard procurement process before the closing of the public notice period set forth in Section 63G-6a-112 by submitting the following information in writing to the procurement official:

(a) the name of the contesting person; and

(b) a detailed explanation of the contest, including documentation that:

(i) there are other competing sources for the procurement item;

(ii) transitional costs are not significant, unreasonable, or cost-prohibitive; or

(iii) a standard procurement process is in the best interest of the conducting procurement unit.

(2) Upon receipt of a contest of an award of a contract without engaging in a standard procurement process, the procurement official shall conduct an investigation to determine the validity of the contest and make a written determination either supporting or denying the contest.

(a) If a contest is upheld, the procurement unit shall conduct a standard procurement process for the procurement item being considered or cancel the procurement;

(b) If a contest is not upheld, the procurement unit may proceed with awarding a contract without engaging in a standard procurement process.

(3) A vendor's right to file a protest under Title 63G, Chapter 6a; Part 16, Protests, is not waived by a vendor's actions to contest a procurement unit's notice of intent to award a contract without engaging in a standard procurement process under Section R33-108-101f.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

Utah Admin. Code R33-108-110 Extension of a Contract Without Engaging in a Standard Procurement Process

(1) One of the underlying purposes and policies of Title 63G, Chapter 6a, Utah Procurement Code is to ensure the fair and equitable treatment of any person who deals with the procurement system and to foster effective broad-based competition within the free enterprise system. The most effective way to achieve this is by conducting a standard procurement process when public funds are expended for a procurement item. A contract extension does not involve a standard procurement process and should only be used after thorough analysis and proper justification.

(2) Pursuant to Section 63G-6a-103, "contract administration" is a duty of the conducting procurement unit and includes any functions, duties, and responsibilities associated with closing out a contract. In fulfillment of these duties, the conducting procurement unit shall maintain a process or system for tracking contract expiration dates to determine well in advance of a contract expiration date if there is a continuing need for the procurement item.

(a) If the conducting procurement unit determines there is a continuing need for the procurement item, the conducting procurement unit shall when practicable:

(i) initiate a standard procurement process no later than 90 days before the contract expiration date of an existing contract; and

(ii) no later than 45 days before the contract expiration date, publish, if applicable, a solicitation for the procurement item; or

(b) if the procurement unit determines that a procurement will be complex or involve a change in industry standards or new specifications requiring negotiations;

(i) initiate a standard procurement process no later than 180 days before the contract expiration date; and

(ii) no later than 45 days before the contract expiration date, publish, if applicable, a solicitation for the procurement item.

(3) The following do not justify an extension of a contract under Section 63G-6a-802.7:

(a) a conducting procurement unit's intentional delay in conducting a standard procurement process to award a contract to replace an expiring contract; and

(b) a conducting procurement unit or vendor's intentional delay in executing a contract to replace an expiring contract.

(4) Improperly avoiding engaging in a standard procurement process to extend the duration of a vendor's existing contract through means of a contract extension, may be classified as steering a contract to a favored vendor which is reportable as unlawful conduct under Section 63G-6a-2407.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

Utah Admin. Code R33-108-401 Emergency Procurement

(1) Emergency procurements shall be conducted in accordance with the requirements set forth in Section 63G-6a-803, and this rule.

(2) An emergency procurement is a procurement procedure where the procurement unit may obtain a procurement item without using a standard competitive procurement process.

(3) An emergency procurement may only be used to avoid a lapse in critical government services, when circumstances create harm or risk of harm to public health, welfare, safety, or property, or to protect the legal interests of a public entity.

(a) Circumstances that may create harm or risk to health, welfare, safety, or property include:

(i) damage to a facility or infrastructure resulting from flood, fire, earthquake, storm, or explosion;

(ii) failure or imminent failure of a public building, equipment, road, bridge or utility;

(iii) terrorist activity;

(iv) epidemics;

(v) civil unrest;

(vi) events that impair the ability of a public entity to function or perform required services;

(vii) situations that may cause harm or injury to life or property; or

(viii) other conditions as determined in writing by the procurement official, or as applicable, the head of a procurement unit with independent procurement authority.

(4) Emergency procurements are limited to those procurement items necessary to mitigate the emergency.

(5) While a standard procurement process is not required under an emergency procurement, when practicable, procurement units should seek to obtain as much competition as possible through use of phone quotes, internet quotes, limited invitations to bid, or other selection methods while avoiding harm, or risk of harm, to the public health, safety, welfare, property, or impairing the ability of a public entity to function or perform required services.

(6) The procurement unit shall make a written determination documenting the basis for the emergency and the selection of the procurement item. A record of the determination and selection shall be kept in the contract file. The documentation may be made after the emergency condition has been alleviated.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

Utah Admin. Code R33-108-501 Declaration of "Official State of Emergency."

Upon a declaration of an "Official State of Emergency" by the authorized state official, the procurement official shall implement the division's Continuity of Operations Plan. When activated, the division shall follow the procedures outlined in the plan and take appropriate actions as directed by the procurement unit responsible for authorizing emergency acquisitions of procurement items.

History

KEY: government purchasing, Utah procurement rules, general procurement provisions, definitions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-802.3(5)

R33-109 Cancellations, Rejections, and Debarment

Utah Admin. Code R33-109-101 Cancellation Before Opening

A solicitation under a standard procurement process may be canceled before the deadline for receipt of a solicitation response when it is in the best interests of the procurement unit as determined by the procurement official. In the event a solicitation is canceled, the reasons for cancellation shall be made part of the procurement file and shall be available for public inspection and the procurement unit shall:

(1) re-solicit new responses to a solicitation using a standard procurement process using the same or revised specifications; or

(2) withdraw the requisition for the procurement item.

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

Utah Admin. Code R33-109-102 Re-solicitation

(1) In the event there is no response to an initial solicitation, the procurement official may:

(a) contact the known supplier community to determine why there were no responses to the solicitation;

(b) research the potential vendor community; and

(c) based upon the information in Subsections (a) and (b) require the procurement unit to modify the solicitation documents.

(2) If the procurement unit has modified the solicitation documents and after the re-issuance of a solicitation, there is still no competition or there is insufficient competition, the procurement official shall:

(a) require the procurement unit to further modify the procurement documents; or

(b) cancel the requisition for the procurement item.

(3) An executive branch procurement unit may not reissue a canceled solicitation unless the procurement official determines the issues identified in the written justification for canceling the solicitation set forth in Section R33-109-103 have been resolved.

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

Utah Admin. Code R33-109-103 Cancellation Before Award but After Opening

(1) A solicitation under a standard procurement process may be canceled before award but after the opening of solicitation responses when the issuing procurement unit determines in writing that:

(a) the scope of work or other requirements contained in the solicitation documents were not met by any person and any solicitation responses have been determined to be either nonresponsive or not responsible;

(b) an infraction of code, rule, or policy has occurred;

(d) the specifications in the solicitation have been or must be revised;

(e) the procurement item being solicited are no longer required;

(f) the solicitation did not provide for consideration of all factors of cost to the procurement unit, such as cost of transportation, warranties, service, and maintenance;

(g) solicitation responses received show that the needs of the procurement unit can be satisfied by a less expensive procurement item differing from that in the solicitation;

(h) except as provided in Section 63G-6a-607, any otherwise acceptable solicitation responses received are at unreasonable prices, or only one solicitation response is received, and the procurement official cannot determine the reasonableness of the bid price or cost proposal;

(i) other reasons specified in Title 63G, Chapter 6a, Utah Procurement Code or administrative rule; or

(j) other circumstances deemed to constitute reasonable cause by the procurement official.

(2) Regardless of Subsection R33-109-103(1) a procurement unit may not cancel and reissue a solicitation:

(a) To steer a contract to a favored vendor; or

(b) Except as permitted under the protest and appeal provisions set forth in Title 63G, Chapter 6a Part 16, Protests and Title 63G, Chapter 6a Part 17, Procurement Appeals Board, to make a vendor who was previously disqualified or rejected in a solicitation for the procurement item eligible for a contract award for the same procurement item.

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

Utah Admin. Code R33-109-104 Alternative to Cancellation

In the event administrative difficulties are encountered before award but after the deadline for receipt of solicitation responses that may delay award beyond the vendors', offerors', or person's acceptance periods, the procurement unit should request the vendors, before expiration of their solicitation responses, to extend in writing the acceptance period, with consent of sureties, if any, to avoid the need for cancellation.

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

Utah Admin. Code R33-109-105 Award of a Contract After Cancellation for Cause or by Mutual Agreement

(1) If a contract awarded through a standard procurement process is canceled for cause or by mutual agreement within the first 12 months of the contract term and the procurement item is still needed by the procurement unit, the procurement official shall make a determination as to whether it is in the best interest of the procurement unit to award a contract for the balance of the scope of work, as set forth in the solicitation, to:

(a) the responsible vendor with a responsive solicitation response, meeting any minimum score thresholds set forth in the solicitation:

(i) having the next lowest bid in an invitation for bids procurement process and in accordance with the provisions set forth in 63G-6a, Part 6 Bidding, and Title R33; or

(ii) with the next highest total score or other authorized method to award a contract in accordance with:

(A) the request for proposals procurement process set forth in 63G-6a, Part 7, Requests for Proposals and Title R33;

(B) the approved vendor list procurement process set forth in Section 63G-6a-507 and Title R33; or

(C) the professional service or design professional procurement process set forth in 63G-6a, Part 15, Design Professional Services and Title R33; or

(b) issue a new solicitation for the procurement item.

(2) The procurement official shall consider the following when making a determination under Subsection (1):

(a) the fair and equitable treatment of any persons currently involved or that may be involved in the procurement process pertaining to the procurement item;

(b) the length of time that has passed between the initial procurement and cancellation of the awarded contract;

(d) the willingness of the vendor to maintain prices submitted in the vendor's initial response to the solicitation for the full scope of work or, as applicable, remaining proportionate scope of work;

(e) the vendor's availability and ability to perform the work;

(f) the existence of additional or new vendors who may be available and willing to submit responses to a new solicitation for the procurement item;

(g) costs and time delays to the procurement unit associated with conducting a new procurement; and

(h) other applicable issues unique to the solicitation or procurement item.

(3) This rule may not be used:

(a) If a contract is canceled by a procurement unit for convenience;

(b) To extend the contract beyond the contract period identified in the solicitation; or

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

Utah Admin. Code R33-109-106 Cancellation of Award Before Contract Execution

(1) After an award is made, but before the execution of a contract or purchase order, the procurement official may cancel an award when it is in the best interest of the procurement unit or other allowable reasons under Utah Procurement Code in accordance with Sections 63G-6a-102, 63G-6a-902, and 63G-6a-903.

(2) To promote the purposes of the Utah Procurement Code and to ensure fairness and transparency, canceling an award under this section may occur when new information or changed circumstances become known to the procurement unit that made the award.

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

Utah Admin. Code R33-109-201 Rejection of a Solicitation Response

An issuing procurement unit may reject any solicitation responses, in whole or in part, as may be specified in the solicitation, when it is in the best interest of the procurement unit. In the event of a rejection of any bids, offers or other submissions, in whole or in part, the reasons for rejection shall be made part of the procurement file and shall be available for public inspection.

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

Utah Admin. Code R33-109-202 Conformity to Solicitation Requirements

(1) Any solicitation response that fails to conform to the essential requirements of the solicitation shall be rejected.

(2) Any solicitation response that does not conform to the applicable specifications shall be rejected unless the solicitation authorized the submission of alternate solicitation responses and the procurement item offered as alternates meet the requirements specified in the solicitation.

(3) Any solicitation response that fails to conform to the delivery schedule or permissible alternates stated in the solicitation shall be rejected.

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

Utah Admin. Code R33-109-204 Rejection for Nonresponsibility or Nonresponsiveness

(1) The procurement official:

(a) Shall, subject to Section 63G-6a-903 and, as applicable, Section 63G-6a-604, reject a bid if the bid is determined not responsive or the bid is submitted by a bidder determined to be not responsible;

(b) May reject a solicitation response to any other type of standard procurement process if the solicitation response is determined to be not responsive or the solicitation response is submitted by a person determined to be not responsible; and

(c) Subsections (a) and (b) shall be conducted in accordance with the definitions of Responsible and Responsive set forth in Section 63G-6a-103.

(2) When a bid security is required and a bidder fails to furnish the security in accordance with the requirements of the invitation for bids, the bid shall be rejected.

(3) Any written findings with respect to such rejections shall be made part of the procurement file and available for public inspection.

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

Utah Admin. Code R33-109-301 Rejection for Suspension or Debarment

Solicitation responses received from any person that is suspended, debarred, or otherwise ineligible as of the deadline for receipt of solicitation responses shall be rejected.

History

KEY: government purchasing, cancellations, rejections, debarment
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-904(6)

R33-110 Preferences

Utah Admin. Code R33-110-101 Providers of State Products

(1) In addition to the reciprocal preference requirements contained in Section 63G-6a-1002 for the providers of procurement items produced, manufactured, mined, grown, or performed in Utah, Rule R33-110 outlines the process for award of a contract when there is more than one equally low preferred bidder. This rule provides additional requirements and procedures and must be used in conjunction with Sections 63G-6a-608, and 63G-6a-1003. Definitions in the Utah Procurement shall apply to this rule.

(2) In the event there is more than one equally low preferred bidder, the procurement official shall consider the preferred bidders as tie bidders and shall follow the process specified in Section 63G-6a-608 and Section R33-106-110.

History

KEY: preferences for resident contractors, reciprocal preferences, state products
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-608; 63G-6a-1003

Utah Admin. Code R33-110-102 Preference for Resident Contractors

(2) In the event there is more than one equally low preferred resident contractor, the procurement official shall consider the preferred resident contractors as tie bidders and shall follow the process specified in Section 63G-6a-608 and Section R33-106-110.

History

KEY: preferences for resident contractors, reciprocal preferences, state products
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-608; 63G-6a-1003

R33-111 Form of Bonds

Utah Admin. Code R33-111-101 Definitions

(1) When used in this rule, the terms "bid," "bidder," and "bid security" apply to any procurements, including non- construction procurements, when the procurement documents, regardless of the procurement type, require securities or bonds.

(2) This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: bid security, performance bonds, payment bonds, procurement procedures
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1103(3)

Utah Admin. Code R33-111-201 Bid Security Requirements for Projects

(1) Invitations for bids and requests for proposals for construction contracts estimated to exceed $50,000 shall require the submission of bid bond in an amount equal to at least 5% of the bid, when the bid is submitted.

(2) Invitations for Bids and Requests for Proposals for other procurements may require the submission of a bid security, including specifications for the form and type of bid security, when the procurement official determines it is in the best interest of the procurement unit.

(3) If a person fails to include the required bid security, the bid shall be deemed nonresponsive and ineligible for consideration of award except as provided by Section R33-106-108, R33-106-109, or R33-111-202.

(4) The procurement official may require an acceptable bid security on projects that are for amounts less than the standard amount set forth in Subsection R33-111-201(1).

History

KEY: bid security, performance bonds, payment bonds, procurement procedures
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1103(3)

Utah Admin. Code R33-111-202 Acceptable Bid Security Not Furnished

(1) If acceptable bid security is not furnished, the bid shall be rejected as nonresponsive, unless the failure to comply is determined by the procurement officer to be nonsubstantial. Failure to submit an acceptable bid security may be deemed nonsubstantial if:

(a) the bid security is submitted on a form other than the required bid bond form and the bid security meets any other requirements including being issued by a surety meeting the requirements of Subsection R33-111-303(1)(b) and the contractor provides acceptable bid security by the close of business of the next succeeding business day after the procurement notified the contractor of the defective bid security; or

(b) only one bid is received, and there is not sufficient time to re-solicit; or

(c) the amount of the bid security submitted, though less than the amount required by the Invitation for Bids, is equal to or greater than the difference in the price stated in the next higher acceptable bid; or

(d) the bid security becomes inadequate as a result of the correction of a mistake in the bid or bid modification, if the bidder increases the amount of guarantee to required limits within 48 hours after the bid opening.

(2) If the successful bidder fails or refuses to enter into the contract or furnish the additional bonds required under Section R33-111-2, then the bidder's bid security may be forfeited.

History

KEY: bid security, performance bonds, payment bonds, procurement procedures
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1103(3)

Utah Admin. Code R33-111-301 Performance Bonds for Construction Contracts

A performance bond is required for construction contracts exceeding $50,000, in the amount of 100% of the contract price. The performance bond shall be delivered by the contractor to the procurement unit within 14 days of the contractor receiving notice of the award of the construction contract. If a contractor fails to deliver the required performance bond, the contractor's bid or offer shall be rejected, its bid security may be enforced, and award of the contract may be made to the responsible bidder or offeror with the next lowest responsive bid or highest ranked offer.

History

KEY: bid security, performance bonds, payment bonds, procurement procedures
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1103(3)

Utah Admin. Code R33-111-302 Surety or Performance Bonds for Non-construction Procurement Items

(1) A surety or performance bond may be required on any non-construction contract if the procurement official deems it necessary to guarantee the satisfactory completion of a contract, provided:

(a) the solicitation contains a statement that a surety or performance bond is required in an amount:

(i) equal to the amount of the bid, offer, or other response;

(ii) equal to the project budget or estimated project cost, if the budget or estimated project cost is published in the solicitation documents;

(iii) equal to the previous contract cost, if the previous contract cost is published in the solicitation documents; or

(iv) the Invitation for Bids or Request for Proposals contains a statement that a surety or performance bond, in an amount less than the amounts contained in Subsection R33-111-302(1)(a), is required; and

(b) The solicitation contains a detailed description of the work to be performed for which the surety or performance bond is required.

(2) Surety or performance bonds should not be used to unreasonably eliminate competition or be of such unreasonable value as to eliminate competition.

History

KEY: bid security, performance bonds, payment bonds, procurement procedures
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1103(3)

Utah Admin. Code R33-111-303 Payment Bonds

(1) A payment bond is required for construction contracts exceeding $50,000, in the amount of 100% of the contract price. If a contractor fails to deliver the required payment bond, the contractor's bid or offer shall be rejected, its bid security may be enforced, and award of the contract shall be made to the responsible bidder or offeror with the next lowest responsive bid or highest ranked offer. For executive branch procurement units:

(a) bid bonds, payment bonds and performance bonds submitted by vendors to executive branch procurement units must be from sureties meeting the requirements of Subsection R33-111-303(1)(b) and must be on the required bond forms; and

(b) a surety firm must be authorized to do business in Utah and be listed in the US Department of the Treasury Circular 570, "Companies Holding Certificates of Authority as Acceptable Securities on Federal Bonds and as Acceptable Reinsuring Companies," for an amount not less than the amount of the bond to be issued.

(2) If the procurement unit fails to obtain a payment bond, it shall be subject to Section 14-1-19.

History

KEY: bid security, performance bonds, payment bonds, procurement procedures
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1103(3)

Utah Admin. Code R33-111-304 Bond Waivers

The procurement official may waive any bonding requirement if it is determined in writing by the procurement official that:

(1) bonds cannot reasonably be obtained for the work involved;

(2) the cost of the bond exceeds the risk to the procurement unit; or

(3) bonds are not necessary to protect the interests of the procurement unit.

History

KEY: bid security, performance bonds, payment bonds, procurement procedures
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1103(3)

R33-112 Terms and Conditions, Contracts, Change Orders, and Costs

Utah Admin. Code R33-112-101 Required Contract Clauses

Public entities shall comply with Section 63G-6a-1202 concerning clauses for contracts. This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-201 Establishment of Terms and Conditions

(1) Executive branch procurement units without independent procurement authority shall use the standard terms and conditions established the division for each particular procurement unless exceptions or additions are granted by the procurement official after consultation with the Attorney General's Office. Public entities, other than executive branch procurement units, may enact similar requirements. Terms and conditions may be established for:

(a) a category of procurement items;

(b) a specific procurement item;

(d) the special needs of a procurement unit; or

(e) the requirements of federal funding.

(2) In addition to the required standard terms and conditions, executive branch procurement units without independent procurement authority may submit their own additional special terms and conditions subject to the following:

(a) the chief procurement officer may reject terms and conditions submitted by a conducting procurement unit if:

(i) the terms and conditions are unduly restrictive;

(ii) will unreasonably increase the cost of the procurement item; or

(iii) places the state at increased risk.

(b) the procurement official may require the conducting procurement unit's Assistant Attorney General to approve any additional special terms and conditions.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-301 Awarding a Multiple Award Contract

(1) A multiple award contract is a procurement process where two or more bidders or offerors are awarded a contract under a single solicitation. Purchases are made through an order placed with a vendor on a multiple award contract pursuant to the procedures established in Section R33-112-301b.

(2) As authorized under Section 63G-6a-1204.5, the division or a procurement unit with independent procurement authority may enter into multiple award contracts.

(3) A multiple award contract may be awarded under a single solicitation when two or more bidders or offerors for similar procurement items are needed for:

(a) coverage on a statewide, regional, combined statewide and regional basis, agency specific requirement, or other criteria specified in the solicitation such as:

(i) delivery;

(ii) service;

(iii) product availability; or

(iv) compatibility with existing equipment or infrastructure.

(4) In addition to the requirements set forth in Sections 63G-6a-603 and 63G-6a-703, when it is anticipated that a procurement will result in multiple contract awards, the solicitation shall include a statement that:

(a) indicates that contracts may be awarded to more than one bidder or offeror;

(b) specifies whether contracts will be awarded on a statewide, regional, combined statewide and regional basis, or agency specific requirement; and

(5) A multiple award contract in an invitation for bids shall be conducted and awarded in accordance with Title 63G, Chapter 6a, Part 6, Other Standard Procurement Processes to the lowest responsive and responsible bidder who meet the objective criteria described in the invitation for bids and may be awarded to provide adequate regional, statewide, or combined regional and statewide coverage, agency specific requirement, or delivery, or product availability using the following methods:

(a) lowest bids for procurement items solicited provided the solicitation indicates that multiple contracts will be awarded to the lowest bidders for procurement items being solicited as determined by the following methods:

(i) bids within a specified percentage, not to exceed 5% of the lowest responsive and responsible bid, unless otherwise approved in writing by the procurement official;

(ii) responsive and responsible bidders will be awarded a contract, provided the contract specifically directs that orders must be placed first with low bidder unless the lowest bidder cannot provide the needed procurement item, then with the second lowest bidder unless the second lowest bidder cannot provide the needed procurement item, then with the third lowest bidder unless the third lowest bidder cannot provide the needed procurement item, and so on in order from the lowest responsive and responsible bidder to the highest responsive and responsible bidder; or

(iii) other methodology described in the solicitation to award contracts;

(b) lowest bid by category provided:

(i) the solicitation indicates that a contract will be awarded based on the lowest bid per category; and

(ii) only one bidder may be awarded a contract per category;

(i) the solicitation indicates that a contract will be awarded based on the lowest bid per line item, task, or service; and

(ii) only one bidder may be awarded a contract per line item, task, or service; or

(d) other specific objective methodology described in the solicitation, such as Section R33-112-302 for primary and secondary contracts, approved by the procurement official.

(6) Multiple award contracts in a request for proposals shall be conducted and awarded in accordance with Title 63G, Chapter 6a, Part 7, Requests for Proposals, and may be awarded on a statewide, regional, combination statewide and regional basis, agency specific requirement, or other criteria set forth in the solicitation and in accordance with point thresholds and other methodology set forth in the request for proposals describing how multiple award contracts will be awarded with enough specificity as to avoid the appearance of any favoritism affecting the decision of whether to award a multiple contract and who should receive a multiple award contract.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-301a Multiple Award Contracts for Unidentified Procurement Items

(1) An unidentified procurement item is defined as a procurement item when the solicitation is issued:

(a) Has not been specifically identified but will be identified in the future, such as an approved vendor list or approved consultant list;

(b) Does not have a clearly defined project or procurement specific scope of work; and

(2) Unidentified procurement items may be procured under the approved vendor list thresholds established by the applicable rule making authority or Section R33-104-102.

(3) An RFP, request for statements of qualifications, or multi-stage solicitation issued for a multiple award contract for unidentified procurement item must specify the methodology that the procurement unit will use to determine which vendor under the multiple award contract will be selected.

(a) The methodology must include a procedure to document that the procurement unit is obtaining best value, including an analysis of cost and other evaluation criteria outlined in the solicitation.

(b) The methodology must also ensure the fair and equitable treatment of each multiple award contract vendor, including using methods to select a vendor such as:

(i) a rotation system, organized alphabetically, numerically, or randomly;

(ii) assigning a potential vendor or contractor to a specified geographical area;

(iii) classifying each potential vendor or contractor based on the potential vendor's or contractor's field or area of expertise; or

(iv) obtaining quotes or bids from two or more vendors or contractors.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-301b Ordering From a Multiple Award Contract

(1)(a) When buying a procurement item from a multiple award contract solicited through an invitation for bids, a procurement unit shall:

(i) obtain a minimum of two quotes for the procurement item if the contract was awarded based on the method described in Subsection R33-112-301(5)(a)(i) and place the order for the procurement item with the vendor or contractor with the lowest quoted price;

(ii) place the order for the procurement item with the lowest bidder on contract unless the lowest bidder cannot provide the needed procurement item, then the order may be placed with the second lowest bidder unless the second lowest bidder cannot provide the needed procurement item and on, in order, from lowest bidder to highest bidder as described in Subsection R33-112- 301(5)(a)(ii);

(iii) place the order in accordance with instructions contained in the contract for the procurement item if the contract was awarded based on the method described in Subsection R33-112-301(5)(a)(iii);

(iv) place the order for the procurement item if the contract was awarded based on the method described in Subsection R33-112-301(5)(b); or

(v) place the order for the procurement item if the contract was awarded based on the method described in Subsection R33-112-301(5)(c);

(b) The requirement to obtain two or more quotes in Subsection (1)(a)(i) is waived when there is only one bidder award for the particular procurement item or only one bidder is awarded per geographical area.

(2) When buying a procurement item from a multiple award contract solicited through an RFP, a procurement unit may place orders with any vendor or contractor under contract based on which procurement item best meets the needs of the procurement unit. Contracts awarded through the RFP process are awarded based on best value as determined by cost and non- price criteria specified in the RFP. As a result, vendors, contractors, and procurement items under contract issued through an RFP have been determined to provide best value to procurement units buying from these contracts.

(3) A procurement unit may not use a multiple award contract to steer purchases to a favored vendor or use any other means or methods that do not result in fair consideration being given to vendors that have been awarded a contract under a multiple award.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-302 Primary and Secondary Contracts

(1) Designations of multiple award contracts as primary and secondary may be made provided a statement to that effect is contained in the solicitation documents.

(2) When the procurement official determines that the need for procurement items will exceed the capacity of any single primary contractor, secondary contracts may be awarded to additional contractors.

(3) Purchases under primary and secondary contracts shall be made initially to the primary contractor offering the lowest contract price until the primary contractor's capacity has been reached or the items are not available from the primary contractor, then to secondary contractors in progressive order from lowest price or availability to the next lowest price or availability.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-303 Intent to Use

If a multiple award is anticipated before issuing a solicitation, the method of award shall be stated in the solicitation.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-401 Contracts and Change Orders -- Contract Types

A procurement unit may use contract types to the extent authorized under Section 63G-6a-1205.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-402 Prepayments

(1) The procurement official may determine that it is necessary or beneficial for the procurement unit to pay for the procurement item before the procurement unit receives the procurement item.

(2) In accordance with Subsection 63G-6a-1208(2)(b), a procurement official's written determination is not necessary for the following circumstances:

(a) the procurement item is:

(i) software subscription services;

(ii) online information, media, or database subscription services;

(iii) online Marketplace purchases;

(iv) trade show booth space rentals; or

(v) deposits for venue rental for group gatherings; and

(b) the prepayment is:

(i) below the individual procurement threshold, unless the procurement official determines a lower amount; or

(ii) for a procurement item available through an existing contract entered into in compliance with Title 63G, Chapter 6a, Utah Procurement Code.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-403 Leases of Personal Property

(1) Leases shall be conducted in accordance with Section 63A-3-103 and Section 63G-6a-1209.

(2) A lease may be entered into provided the procurement unit complies with Section 63G-6a-1209 and:

(a) it is in the best interest of the procurement unit;

(b) any conditions for renewal and costs of termination are set forth in the lease; and

(2) Lease contracts shall be conducted with as much competition as practicable.

(3) Executive Branch Procurement Unit Leases with Purchase Option. A purchase option in a lease may be exercised if the lease containing the purchase option was awarded under an authorized procurement process. Before exercising this option, the procurement unit shall:

(a) investigate alternative means of procuring comparable procurement items; and

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-404 Multi-Year Contracts

Procurement units may issue multi-year contracts for any solicitation process in accordance with Section 63G-6a-1204.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-405 Installment Payments

Procurement units may make installment payments in accordance with Section 63G-6a-1208.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-501 Change Orders

(1) In addition to the requirements in Section 63G-6a-1207, for executive branch procurement units without independent procurement authority, the certifications required under Subsections 63G-6a-1207(1) and 63G-6a-1207(2) must be submitted in writing by the procurement unit to the procurement official before the commencement of any work to be performed under a contract change order unless:

(a) the procurement unit has authority Subsection 63G-6a-304(1) and Section R33-103-101 to authorize contract change orders up to the amount delegated; or

(b) the change order is:

(i) requisite to avert an emergency; or

(ii) required as an emergency.

(2) For purposes of Subsection (1)(b) "emergency" is described in Subsection R33-108-401(3) and is subject to Section 63G-6a-803.

(3) Any contract change order authorized by a procurement unit under Subsection R33-112-501(1)(c) shall, as soon as practicable, be submitted to the procurement official and included in the division's contract file.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-502 Contract Modifications for New Technology and Technological Upgrades

(1) A contract for a procurement item may be modified to include new technology or technological upgrades associated with the procurement item, provided:

(a) The solicitation contains a statement indicating that:

(i) the awarded contract may be modified to incorporate new technology or technological upgrades associated with the procurement item being solicited, including new or upgraded:

(A) systems;

(B) apparatuses;

(D) components; and

(E) other supplementary items;

(ii) a maintenance or service agreement associated with the procurement item under contract may be modified to include any new technology or technological upgrades; and

(iii) any contract modification incorporating new technology or technological upgrades is specific to the procurement item being solicited and substantially within the scope of the original procurement or contract.

(2) Any contract modification incorporating new technology or technological upgrades is agreed upon by all parties and is executed using the process set forth in the contract for other contract modifications.

(3) Before executing a contract modification incorporating new technology or technological upgrades, executive branch procurement units shall obtain the approval of the Director of the Division of Technology Services.

(4) A contract modification for new technology or technology upgrades may not extend the term of the contract except as provided in the Utah Procurement Code.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-601 Requirements for Cost or Pricing Data

(1) For contracts that expressly allow price adjustments, cost or pricing data shall be required in support of a proposal leading to the adjustment of any contract pricing.

(2) Cost or pricing data exceptions:

(a) need not be submitted when the terms of the contract state established market indices, catalog prices, or other benchmarks are used as the basis for contract price adjustments or when prices are set by law or rule;

(b) if a contractor submits a price adjustment higher than established market indices, catalog prices, or other benchmarks established in the contract, the procurement official may request additional cost or pricing data; or

(c) the procurement official may waive the requirement for cost or pricing data provided a written determination is made supporting the reasons for the waiver. A copy of the determination shall be kept in the contract file.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-602 Defective Cost or Pricing Data

(1) If defective cost or pricing data was used to adjust a contract price, the vendor and the procurement unit may enter into discussions to negotiate a settlement.

(2) If a settlement cannot be negotiated, either party may seek relief through the courts.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-603 Price Analysis

(1) Price analysis may be used to determine if a price is reasonable and competitive, such as when:

(a) there are a limited number of vendors, bidders, or offerors;

(b) awarding a sole source or other contract without engaging in a standard procurement process; or

(2) Price analysis involves a comparison of prices for the same or similar procurement items, including quality, warranties, service agreements, delivery, contractual provisions, terms, and conditions, and so on.

(3) Examples of a price analysis include:

(a) prices submitted by other prospective bidders or offerors;

(b) price quotations;

(d) comparisons to the existing contracts of other public entities; and

(e) prices published in catalogs or price lists.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-604 Cost Analysis

Cost analysis includes the verification of cost data. Cost analysis may be used to evaluate:

(1) specific elements of costs;

(2) total cost of ownership and life-cycle cost;

(3) supplemental cost schedules;

(4) market basket cost of similar items;

(5) the necessity for certain costs;

(6) the reasonableness of allowances for contingencies;

(7) the basis used for allocation of indirect costs; and

(8) the reasonableness of the total cost or price.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-605 Right to Audit

(1) As used in this section:

(a) "Authorized representative" includes:

(i) a purchasing procurement unit;

(ii) an internal auditor or other employee of the procurement unit;

(iii) an audit firm, consultant, or examiner under contract with the procurement unit;

(iv) the State Auditor;

(v) the Legislative Auditor General; or

(vi) federal auditors.

(b) "Books and records" mean written or electronic information pertaining to the applicable contract between the procurement unit and the contractor including:

(i) accounting information, financial statements, files, invoices, reports, and statements;

(ii) pricing data;

(iii) usage reports;

(iv) transaction histories;

(v) delivery logs;

(vi) contracts, contract amendments, and other legal documents; and

(vii) performance evaluations.

(2) Any contract between a contractor and a procurement unit that involves the expenditure of public funds may include or incorporate by reference a right to audit clause that may contain the following provisions:

(a) a statement indicating that the procurement unit or its authorized representative has the right to audit the books and records of a contractor or any subcontractor under any contract or subcontract to the extent that the books and records relate to the performance of the contract or subcontract;

(b) notification procedures for initiating an audit and reporting audit findings;

(c) dispute resolution procedures, including, to the extent practicable, negotiation, settlement, and final resolution of audit findings;

(d) a statement requiring the contractor and its subcontractors to:

(i) maintain books and records relating to a contract for six years after the day on which the contractor receives the final payment under the contract, or until audits initiated under this section within the six-year period have been completed, whichever is later;

(ii) establish and maintain an accounting and record-keeping system that enables the procurement unit or its authorized representative to readily have access to the contractor's books and records in both written and electronic format;

(iii) upon request, provide to the procurement unit or its authorized representative an electronic copy of the contractor's books and records within 30 days of the request;

(iv) allow the procurement unit or its authorized representative to interview the contractor's employees, agents, subcontractors, partners, resellers, and any other person who might reasonably have information related to the contractor's performance of the contract;

(v) correct errors and repay overcharges to the contracting procurement unit within 30 days of receiving written notice of the errors or overcharges documented in an audit finding;

(A) payments relating to overcharges or other audit findings involving state cooperative contracts shall be repaid to the Utah Division of Purchasing; and

(vi) if contract errors or overcharges are in dispute, correct errors and repay overcharges within 30 days of receipt of a notice of decision issued by the procurement official after a hearing has been conducted to attempt to resolve the dispute, or a court order;

(e) a statement indicating that:

(i) the procurement unit or its authorized representative have the right to audit the contract at any time during or after the term of the contract between the contractor and the procurement unit; including the right to examine, make copies of, or extract data from any record required to be maintained by the contractor; and

(ii) an audit or other request shall:

(A) be limited to records or other information related to or pertaining to the applicable contract;

(B) include access to records necessary to properly account for the contractor's performance under the contract and the payments made by the procurement unit to the contractor; and

(f) a notice that if a contractor fails to maintain or provide records in accordance with the contract, the procurement unit may:

(i) consider the contractor to be in breach of its contract with the procurement unit;

(ii) enter into negotiations with the contractor to initiate a corrective action plan to bring the contractor into compliance; or

(iii) cancel the contract;

(g) a notice that the procurement unit may initiate debarment or suspension proceedings against a contractor under Section 63G-6a-904, or pursue other legal action, for any of the following:

(i) failure to respond to an audit;

(ii) failure to correct errors or repay overcharges;

(iii) an illegal act or fraud documented in an audit; or

(iv) other reasons as determined by the procurement official.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-607 Applicable Credits

Applicable credits are receipts or price reductions which offset or reduce expenditures allocable to contracts as direct or indirect costs. Examples include purchase discounts, rebates, allowance, recoveries or indemnification for losses, sale of scrap and surplus equipment and materials, adjustments for overpayments or erroneous charges, and income from employee recreational or incidental services and food sales.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-608 Use of Federal Cost Principles

(1) In dealing with contractors operating according to federal cost principles, the procurement official may use the federal cost principles, including the determination of allowable, allocable, and reasonable costs, as guidance in contract negotiations.

(2) In contracts not awarded under a program which is funded by federal assistance funds, the procurement official may explicitly incorporate federal cost principles into a solicitation and thus into any contract awarded pursuant to that solicitation. The procurement official and the contractor by mutual agreement may incorporate federal cost principles into a contract during negotiation or after award.

(3) In contracts awarded under a program which is financed in whole or in part by federal assistance funds, requirements set forth in the assistance document including specified federal cost principles, must be satisfied. To the extent that the cost principles specified in the grant document conflict with the cost principles issued pursuant to Section 63G-6a-1206, the cost principles specified in the grant shall control.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-609 Authority to Deviate from Cost Principles

If a procurement unit desires to deviate from the cost principles set forth in this rule, a written determination shall be made by the procurement official specifying the reasons for the deviation and the written determination shall be made part of the contract file.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-701 Inspections

Circumstances under which the procurement unit may perform inspections include inspections of the contractor's manufacturing or production facility or place of business, or any location where the work is performed:

(1) whether the definition of "responsible," has been met or is capable of being met; and

(2) if the contract is being performed in accordance with its terms.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-702 Access to Contractor's Manufacturing or Production Facilities

The procurement unit may enter a contractor's or subcontractor's manufacturing or production facility or place of business to:

(1) inspect procurement items for acceptance by the procurement unit pursuant to the terms of a contract;

(2) audit cost or pricing data or audit the books and records of any contractor or subcontractor pursuant to Section R33-112-605; and

(3) investigate related to an action to debar or suspend a person from consideration for award of contracts.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-703 Inspection of Supplies and Services

Contracts may provide that the procurement unit or procurement official may inspect procurement items at the contractor's or subcontractor's facility and perform tests to determine whether the procurement items conform to solicitation and contract requirements.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

Utah Admin. Code R33-112-704 Conduct of Inspections

(1) Inspections or tests shall be performed so as not to unduly delay the work of the contractor or subcontractor. No inspector may change the specifications or the contract without written authorization of the procurement official. The presence or absence of an inspector or an inspection may not relieve the contractor or subcontractor from any requirements of the contract.

History

KEY: terms and conditions, contracts, change orders, costs
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1202; 63G-6a-1204; 63G-6a-1205; 63G-6a- 1207; 63G-6a-1208; 63G-6a-1209

R33-113 General Construction Provisions

Utah Admin. Code R33-113-101 Purpose

The purpose of this rule is to comply with Sections 63G-6a-1302 and 63G-6a-1303. This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

Utah Admin. Code R33-113-201 Construction Management Rule

As required by Section 63G-6a-1302, this rule contains provisions applicable to:

(1) selecting the appropriate method of management for construction contracts;

(2) documenting the selection of a particular method of construction contract management; and

(3) the selection of a construction manager/general contractor.

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

Utah Admin. Code R33-113-202 Application

Sections R33-113-201 through R33-113-205 shall apply to any procurements of construction. Section R33-105-106 establishes the requirements and thresholds for small construction projects. Construction procurement bid security, and bonding requirements are contained in Title 63G, Chapter 6a, Part 11, Bond and Rule R33-111.

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

Utah Admin. Code R33-113-203 Methods of Construction Contract Management

(1) This section contains provisions applicable to the selection of the appropriate type of construction contract management.

(2) It is intended that the procurement official have sufficient flexibility in formulating the construction contract management method for a particular project to fulfill the needs of the procurement unit. The methods for achieving the purposes set forth in this rule are not to be construed as an exclusive list.

(3) Before choosing the construction contracting method to use, a careful assessment must be made by the procurement official of requirements the project shall consider, at a minimum, the following factors:

(a) when the project must be ready to be occupied;

(b) the type of project, for example, housing, offices, labs, heavy or specialized construction;

(d) the location of the project;

(e) the size, scope, complexity, and economics of the project;

(g) the availability, qualification, and experience of the procurement unit's personnel to be assigned to the project and how much time the procurement unit's personnel can devote to the project;

(h) the availability, qualifications and experience of outside consultants and contractors to complete the project under the various methods being considered;

(i) the results achieved on similar projects in the past and the methods used; and

(j) the comparative advantages and disadvantages of the construction contracting method and how they might be adapted or combined to fulfill the needs of the procuring agencies.

(4) The following descriptions are provided for the more common construction contracting management methods which may be used by the procurement unit. The methods described are not mutually exclusive and may be combined on a project. These descriptions are not intended to be fixed in respect to construction projects. In each project, these descriptions may be adapted to fit the circumstances of that project.

(a) Single Prime Contractor or General Contractor. The single prime contractor method is typified by one business, acting as a general contractor, contracting with the procurement unit to timely complete an entire construction project in accordance with drawings and specifications provided by the procurement unit. Generally, the drawings and specifications are prepared by an architectural or engineering firm under contract with the procurement unit. Further, while the general contractor may take responsibility for successful completion of the project, much of the work may be performed by specialty contractors with whom the prime contractor has entered into subcontracts.

(b) Multiple Prime Contractors. Under the multiple prime contractor method, the procurement unit contracts directly with a number of general contractors or specialty contractors to complete portions of the project in accordance with the procurement unit's drawings and specifications. The procurement unit may have primary responsibility for successful completion of the entire project, or the contracts may provide that one or more of the multiple prime contractors has this responsibility.

(c) Design-Build. In a design-build project, an entity, often a team of a general contractor and a designer, contract directly with a procurement unit to meet the procurement unit's requirements as described in a set of performance specifications, program, or both. Design responsibility and construction responsibility both rest with the design-build contractor. This method can include instances where the design-build contractor supplies the site as part of the package.

(d) Construction Manager Not at Risk. A construction manager is a person experienced in construction that has the ability to evaluate and to implement drawings and specifications as they affect time, cost, and quality of construction and the ability to coordinate the construction of the project, including the administration of change orders as well as other responsibilities as described in the contract.

(e) Construction Manager or General Contractor, also known as Construction Manager at Risk. The procurement unit may contract with the construction manager early in a project to assist in the development of a cost-effective design. In a Construction Manager/General Contractor (CM/GC) method, the CM/GC becomes the general contractor and is at risk for the responsibilities of a general contractor for the project, including meeting the specifications, complying with applicable laws, rules and regulations, that the project will be completed on time and will not exceed a specified maximum price.

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

Utah Admin. Code R33-113-204 Selection of Construction Method Documentation

The procurement official shall include in the contract file a written statement describing the facts that led to the selection of a particular method of construction contract management for each project.

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

Utah Admin. Code R33-113-205 Special Provisions Regarding Construction Manager/General Contractor

(1) In the selection of a construction manager/general contractor, a standard procurement process as defined in Section 63G-6a-103 may be used or an exception allowed under Title 63G, Chapter 6a, Part 8, Exceptions to Procurement Requirements.

(2) When the CM/GC enters into any subcontract that was not specifically included in the construction manager or general contractor's cost proposal, the CM/GC shall procure the subcontractor by using a standard procurement process as defined in Section 63G-6a-103 of the Procurement Code or an exception to the requirement to use a standard procurement process, described in Title 63G, Chapter 6a, Part 8, Exceptions to Procurement Requirements.

(3)(a) As used in this rule, "management fee" includes only the following fees of the CM/GC:

(i) preconstruction phase services;

(ii) monthly supervision fees for the construction phase; and

(iii) overhead and profit for the construction phase.

(b) When selecting a CM/GC for a construction project, the evaluation committee:

(i) may score a CM/GC based upon criteria contained in the solicitation, including qualifications, performance ratings, references, management plan, certifications, and other project specific criteria described in the solicitation;

(ii) may, as described in the solicitation, weight and score the management fee as a fixed rate or as a fixed percentage of the estimated contract value;

(iii) may, at any time after the opening of the responses to the request for proposals, have access to, and consider, the management fee proposed by the offerors; and

(iv) except as provided in Section 63G-6a-707, may not know or have access to any other information relating to the cost of construction submitted by the offerors, until after the evaluation committee submits its final recommended scores on other criteria to the procurement unit.

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

Utah Admin. Code R33-113-301 Drug and Alcohol Testing Required for State Contracts: Definitions

(1) The following definitions shall apply to any term used in Sections R33-113-301 through R33-113-304:

(a) "Covered individual" means an individual who:

(i) on behalf of a contractor or subcontractor provides services directly related to design or construction under a state construction contract; and

(ii) is in a safety sensitive position, including a design position, that has responsibilities that directly affect the safety of an improvement to real property that is the subject of a state construction contract.

(b) "Drug and alcohol testing policy" means a policy under which a contractor or subcontractor tests a covered individual to establish, maintain, or enforce the prohibition of:

(i) the manufacture, distribution, dispensing, possession, or use of drugs or alcohol, except the medically prescribed possession and use of a drug; or

(ii) the impairment of judgment or physical abilities due to the use of drugs or alcohol.

(i) in accordance with a drug and alcohol testing policy; and

(ii) on the basis of a random selection process.

(d) For purposes of Subsection R33-113-302(5), "state" includes any of the following of the state:

(i) a department;

(ii) a division;

(iii) an agency;

(iv) a board, including the Procurement Policy Board;

(v) a commission;

(vi) a council;

(vii) a committee; and

(viii) an institution, including a state institution of higher education, as defined under Section 53B-3-102.

(e) "State construction contract" means a contract for design or construction entered into by a State Public Procurement Unit that is subject to this Sections R33-113-302 through R33-113-304.

(2) In addition:

(a) "Board" means the Procurement Policy Board created under created under Title 63G, Chapter 6, Utah Procurement Code.

(b) "State Public Procurement Unit" means a public procurement unit that is subject to Section 63G-6a-1303.

(c) "State" as used throughout this Sections R33-113-302 through R33-113-304 means the State of Utah except that it also includes those entities described in Subsection R33-113-302(1)(e) as the term "state" is used in Subsection R33-113-302(5).

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

Utah Admin. Code R33-113-302 Drug and Alcohol Testing

(1) Except as provided in Section R33-113-303, after June 30, 2010, a State Public Procurement Unit may not enter into a state construction contract, includes a contract for design or construction, unless the state construction contract requires the following:

(a) A contractor shall demonstrate to the State Public Procurement Unit that the contractor:

(i) has and will maintain a drug and alcohol testing policy during the period of the state construction contract that applies to the covered individuals hired by the contractor;

(ii) posts in one or more conspicuous places notice to covered individuals hired by the contractor that the contractor has the drug and alcohol testing policy described in Subsection R33-113-302(1)(a)(i); and

(iii) subjects the covered individuals to random testing under the drug and alcohol testing policy described in Subsection R33-113-302(1)(a)(i) if at any time during the period of the state construction contract there are ten or more individuals who are covered individuals hired by the contractor.

(b) A contractor shall demonstrate to the State Public Procurement Unit, which shall be demonstrated by a provision in the contract where the contractor acknowledges Sections R33-113-302 through R33-113-304 and agrees to comply with all aspects of Sections R33-113-302 through R33-113-304, that the contractor requires that as a condition of contracting with the contractor, a subcontractor, which includes consultants under contract with the designer:

(i) has and will maintain a drug and alcohol testing policy during the period of the state construction contract that applies to the covered individuals hired by the subcontractor;

(iii) subjects the covered individuals hired by the subcontractor to random testing under the drug and alcohol testing policy described in Subsection R33-113-302(1)(b)(i) if at any time during the period of the state construction contract there are ten or more individuals who are covered individuals hired by the subcontractor.

(2)(a) Except as otherwise provided in this Subsection R33-113-302(2), if a contractor or subcontractor fails to comply with Subsection R33-113-302(1), the contractor or subcontractor may be suspended or debarred in accordance with Sections R33-113-302 through R33-113-304.

(b) After June 30, 2010, a State Public Procurement Unit shall include in a state construction contract a reference to Sections R33-113-302 through R33-113-304.

(c)(i) A contractor is not subject to penalties for the failure of a subcontractor to comply with Subsection R33-113- 302(1).

(ii) A subcontractor is not subject to penalties for the failure of a contractor to comply with Subsection R33-113- 302(1).

(3)(a) The requirements and procedures a contractor shall follow to comply with Subsection R33-113-302(1) is that the contractor, by executing the construction contract with the State Public Procurement Unit, is deemed to certify to the State Public Procurement Unit that the contractor, and any subcontractors under the contractor that are subject to Subsection R33-113-302(1), shall comply with Sections R33-113-302 through R33-113-304 and Section 63G-6a-1303; and that the contractor shall on a semi- annual basis throughout the term of the contract, report to the State Public Procurement Unit in writing information that indicates compliance with Sections R33-113-302 through R33-113-304 and Section 63G-6a-1303.

(b) A contractor or subcontractor may be suspended or debarred in accordance with the applicable Utah statutes and rules, if the contractor or subcontractor violates Section 63G-6a-1303. The contractor or subcontractor shall be provided reasonable notice and opportunity to cure a violation of Section 63G-6a-1303 before suspension or debarment of the contractor or subcontractor in light of the circumstances of the state construction contract or the violation. The greater the risk to person or property as a result of noncompliance, the shorter this notice and opportunity to cure shall be, including the possibility that the notice may provide for immediate compliance if necessary to protect person or property.

(4) The failure of a contractor or subcontractor to meet the requirements of Subsection R33-113-302(1):

(a) may not be the basis for a protest or other action from a prospective bidder, offeror, or contractor under the Utah Procurement Code; and

(b) may not be used by a State Public Procurement Unit, a prospective bidder, an offeror, a contractor, or a subcontractor as a basis for an action that would suspend, disrupt, or terminate the design or construction under a state construction contract.

(5)(a) After a State Public Procurement Unit enters into a state construction contract in compliance with Section 63G- 6a-1303, the state is not required to audit, monitor, or take any other action to ensure compliance with Section 63G-6a-1303.

(b) The state is not liable in any action related to Section 63G-6a-1303 and Sections R33-113-302 through R33-113- 304, including not being liable in relation to:

(i) a contractor or subcontractor having or not having a drug and alcohol testing policy;

(ii) failure to test for a drug or alcohol under a contractor's or subcontractor's drug and alcohol testing policy;

(iii) the requirements of a contractor's or subcontractor's drug and alcohol testing policy;

(iv) a contractor's or subcontractor's implementation of a drug and alcohol testing policy, including procedures for:

(A) collection of a sample;

(B) testing of a sample;

(D) disciplinary or rehabilitative action on the basis of a test result;

(v) an individual being under the influence of drugs or alcohol; or

(vi) an individual under the influence of drugs or alcohol harming another person or causing property damage.

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

Utah Admin. Code R33-113-303 Non-applicability

Sections R33-113-302 through R33-113-304 and Section 63G-6a-1303 does not apply if the State Public Procurement Unit determines that the application of Sections R33-113-302 through R33-113-304 or Section 63G-6a-1303 would severely disrupt the operation of a state agency to the detriment of the state agency or the general public, including:

(1) jeopardizing the receipt of federal funds;

(2) the state construction contract being a sole source contract; or

(3) the state construction contract being an emergency procurement.

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

Utah Admin. Code R33-113-304 Not Limit Other Lawful Policies

If a contractor or subcontractor meets the requirements of Section 63G-6a-1303 and Sections R33-113-302 through R33-113-304, Rule R33-113 may not be construed to restrict the contractor's or subcontractor's ability to impose or implement an otherwise lawful provision as part of a drug and alcohol testing policy.

History

KEY: construction management, general construction provisions, drug and alcohol testing, state contracts
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1303

R33-114 Procurement of Design-Build Transportation Project Contracts

Utah Admin. Code R33-114-101 Procurement of Design-Build Transportation Project Contracts

(1) The Utah Department of Transportation makes rules governing the procurement of design-build transportation projects in accordance with Subsection 63G-6a-1402(3)(a)(ii). Rule R916-3 provides guidance under which the Utah Department of Transportation may use the design-build approach for transportation projects.

(2) At the request of the Utah Department of Transportation, the Procurement Policy Board can review the proposed rules to ensure that they are not inconsistent with Title 63G, Chapter 6a, Utah Procurement Code or rules under Title R33.

History

KEY: design-build transportation projects, contracts, procurement
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-1402(3)(a)

R33-115 Procurement of Design Professional Services

Utah Admin. Code R33-115-101 Application

Title 63G, Chapter 6a, Part 15, Design Professional Services applies to each procurement of services within the scope of the practice of architecture as defined by Section 58-3a-102, or professional engineering as defined in Section 58-22-102, except as authorized by Section R33-104-109. This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: architects, engineers, government purchasing
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-15

Utah Admin. Code R33-115-201 Architect-Engineer Evaluation Committee

The procurement official shall designate members of the Architect-Engineer Evaluation Committee. The evaluation committee must consist of at least three members who are qualified under Section 63G-6a-707, at least one of which is well qualified in the profession of architecture or engineering.

History

KEY: architects, engineers, government purchasing
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-15

Utah Admin. Code R33-115-301 Request for Statement of Qualifications

(1) A procurement unit shall issue a public notice for a request for a statement of qualifications to rank architects or engineers.

(2) A procurement unit that issues a request for statement of qualifications shall:

(a) state in the request for statement of qualifications:

(i) the type of procurement item to which the request for statement of qualifications relates;

(ii) the scope of work to be performed;

(iii) the instructions and the deadline for providing information in response to the request for statement of qualifications;

(iv) criteria used to evaluate statements of qualifications including:

(A) basic information about the person or firm;

(B) experience and work history;

(D) qualifications and certification;

(E) licenses and certifications;

(F) applicable performance ratings;

(G) financial statements; and

(H) other pertinent information.

(b) Key personnel identified in the statement of qualifications may not be changed without the advance written approval of the procurement unit.

(3) Architects and engineers may not include cost in a response to a request for statement of qualifications

History

KEY: architects, engineers, government purchasing
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-15

Utah Admin. Code R33-115-302 Evaluation of Statement of Qualifications

The evaluation committee shall evaluate statements of qualifications in accordance with Section 63G-6a-707 to rank or score architects or engineers.

History

KEY: architects, engineers, government purchasing
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-15

Utah Admin. Code R33-115-303 Negotiation and Award of Contract

The procurement official shall negotiate a contract with the most qualified firm for the required services at compensation determined to be fair and reasonable.

History

KEY: architects, engineers, government purchasing
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-15

Utah Admin. Code R33-115-304 Failure to Negotiate Contract with the Highest Ranked Firm

(1) If fair and reasonable compensation, contract requirements, and contract documents cannot be agreed upon with the highest ranked firm, the procurement official shall advise the firm in writing of the termination of negotiations.

(2) Upon failure to negotiate a contract with the highest ranked firm, the procurement official shall proceed in accordance with Section 63G-6a-1505.

History

KEY: architects, engineers, government purchasing
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-15

Utah Admin. Code R33-115-305 Notice of Award

(1) The procurement official shall award a contract to the highest ranked firm with which the fee negotiation was successful.

(2) Notice of the award shall be made available to the public.

History

KEY: architects, engineers, government purchasing
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-15

Utah Admin. Code R33-115-401 Written Justification Statements

Executive branch procurement units shall issue a statement justifying the ranking of the firm with which fee negotiation was successful.

History

KEY: architects, engineers, government purchasing
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-15

R33-116 Protests

Utah Admin. Code R33-116-101 Conduct

Protests shall be conducted in accordance with the requirements set forth in 63G-6a, Part 16, Protests. This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: conduct, controversies, government purchasing, protests
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-16

Utah Admin. Code R33-116-101a Grounds for a Protest

(1) This rule applies to protests filed under Section 63G-6a-1602.

(2) In accordance with the requirements in Section 63G-6a-1602, a person filing a protest must include a concise statement of the grounds upon which the protest is made.

(a) A concise statement of the grounds for a protest must include the relevant facts and evidence leading the protestor to contend that a grievance has occurred, including:

(i) an alleged violation of Title 63G, Chapter 6a, Utah Procurement Code;

(ii) an alleged violation of Title R33 or other applicable rule;

(iii) a provision of the solicitation allegedly not being followed;

(iv) a provision of the solicitation alleged to be:

(A) ambiguous;

(B) confusing;

(D) unduly restrictive;

(E) erroneous;

(F) anticompetitive; or

(G) unlawful;

(v) an alleged error made by the evaluation committee or procurement unit;

(vi) an allegation of bias or discrimination by officials representing the procurement unit or the evaluation committee or an individual committee member; or

(vii) a scoring criterion allegedly not being correctly applied or calculated.

(b) "Relevant Facts and Evidence" as referred to in Section 63G-6a-1602, must be specific enough to enable the Protest Officer to determine, if such facts and evidence are proven to be true, whether a legitimate basis for the protest exists.

(i) claims made after the applicable deadlines set forth in law, rule, or the solicitation document, that the specifications, terms and conditions, or other elements of a solicitation are ambiguous, confusing, contradictory, unduly restrictive, erroneous, or anticompetitive;

(ii) vague or unsubstantiated claims or allegations that do not reference specific facts and evidence including vague or unsubstantiated claims or allegations such as:

(A) the protestor should have received a higher score;

(B) another vendor should have received a lower score;

(D) another vendor cannot provide the procurement item for the price bid or perform the services described in the solicitation;

(E) the procurement unit's eProcurement system or other electronic procurement system:

(I) was slow, not operating properly, or was difficult to use or understand;

(II) could not be accessed or did not allow documents to be downloaded; or

(III) did not allow a response to be submitted after the deadline for receiving responses expired;

(F) the protestor did not receive individual notice of a solicitation or was otherwise unaware of a solicitation when a procurement unit has complied with the public notice requirement in Section 63G-6a-112; or

(G) officials representing the procurement unit or the evaluation committee or an individual committee member acted in a biased or discriminatory manner against the protestor;

(iii) filing a protest requesting:

(A) a detailed explanation of the thinking and scoring of evaluation committee members, beyond the written statement described in Section 63G-6a-707;

(B) protected information beyond what is provided under Title 63G, Chapter 6a, Utah Procurement Code; or

(C) other information, documents, or explanations reasonably considered not in compliance with the Utah Procurement Code or this rule by the Protest Officer.

(3) In accordance with Section 63G-6a-1603, a Protest Officer may dismiss a protest if the concise statement of the grounds for filing a protest does not comply with Title 63G, Chapter 6a, Part 16, Protests, or this rule.

History

KEY: conduct, controversies, government purchasing, protests
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-16

Utah Admin. Code R33-116-201 Verification of Legal Authority

A person filing a protest may be asked to verify that the person has legal authority to file a protest on behalf of the public or private corporation, governmental entity, sole proprietorship, partnership, or unincorporated association. A person without legal authority shall be deemed to not have standing to file a protest.

History

KEY: conduct, controversies, government purchasing, protests
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-16

Utah Admin. Code R33-116-301 Intervention in a Protest

(1) This rule contains provisions applicable to intervention in a protest, including who may intervene and the time and manner of intervention.

(2) After a timely protest is filed in accordance with the Utah Procurement Code, the Protest Officer shall notify awardees of the subject procurement and may notify others of the protest.

(a) A Motion to Intervene must be filed with the Protest Officer no later than ten days from the date such notice is sent by the Protest Officer. Only a Motion to Intervene made within the time prescribed in this rule will be considered timely.

(b) The entity or entities who conducted the procurement and those who are the intended beneficiaries of the procurement are automatically considered a Party of Record and need not file any Motion to Intervene.

(3) A copy of the Motion to Intervene shall be mailed or emailed to the person protesting the procurement.

(4) Any Motion to Intervene must state, to the extent known, the position taken by the person seeking intervention and the basis in fact and law for that position.

(a) A Motion to Intervene must also state the person's interest in sufficient factual detail to demonstrate that:

(i) the person seeking to intervene has a right to participate which is expressly conferred by statute or by Commission rule, order, or other action;

(ii) the person seeking to intervene has or represents an interest which may be directly affected by the outcome of the proceeding, including any interest as a:

(A) consumer;

(B) customer;

(D) security holder of a party; or

(E) the person's participation is in the public interest.

(5) If no written objection to the timely Motion to Intervene is filed with the Protest Officer within seven calendar days after the Motion to Intervene is received by the protesting person, the person seeking intervention becomes a party at the end of this seven day period.

(6) If an objection is timely filed, the person seeking intervention becomes a party only when the motion is expressly granted by the Protest Officer based on a determination that a reason for intervention exists as stated in this rule.

(7) Notwithstanding this rule, an awardee of the procurement that is the subject of a protest will not be denied their Motion to Intervene, regardless of its content, unless it is not timely filed with the Protest Officer.

(8) If a Motion to Intervene is not timely filed, the motion shall be denied by the Protest Officer.

History

KEY: conduct, controversies, government purchasing, protests
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-16

Utah Admin. Code R33-116-401 Protest Officer May Correct Noncompliance, Errors, and Discrepancies

At any time during the protest process, if it is discovered that a procurement is out of compliance with any part of Title 63G, Chapter 6a, Utah Procurement Code, or rules established by the applicable rule making authority, including errors or discrepancies, based on the Protest Officer's recommendation, the procurement official may take administrative action to correct or amend the procurement to bring it into compliance, correct errors or discrepancies or cancel the procurement.

History

KEY: conduct, controversies, government purchasing, protests
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-16

R33-117 Procurement Appeals Panel

Utah Admin. Code R33-117-101 Statutory Requirements

Appeals of a protest decision shall be conducted in accordance with the requirements set forth in Title 63G, Chapter 6a, Part 17, Procurement Appeals Board. This rule provides additional requirements and procedures and must be used in conjunction with the Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-117-101 1. Definitions

(1) "Administrative review" as used in this rule means, in accordance with the provisions set forth in Section 63G-6a- 1702, an examination conducted by a procurement appeals panel of:

(a) The notice of appeal;

(b) The protest appeal record pertaining to a protest officer's written decision; and

(c) If an optional informal hearing was held, responses to questions asked by a procurement appeals panel to assist the panel in understanding the basis of the appeal and information contained in the protest appeal record, but otherwise without taking any additional evidence or any additional ground for the appeal.

(2)(a) "Appeal" as used in this rule means: a protestor filing a notice of appeal requesting an administrative review of the protest appeal record pertaining to a protest officer's decision in accordance with provisions set forth in Title 63G, Chapter 6a, Part 17, Procurement Appeals Board; and

(b) Does not include the appeal of a debarment or suspension under Section 63G-6a-904.

(3) "Protestor" as used in this rule means: a person who files a protest under Title 63G, Chapter 6a, Part 16, Protests, including any intervening party authorized under Section 63G-6a-1603 and Section R33-116-301.

(4) "Uphold the Decision of the Protest Officer" as used in this rule means: to support and maintain the decision of the protest officer, including giving deference to the protest officer's decision on questions of fact because the protest officer stands in a superior position, in terms of understanding the procurement, the needs of the agency, applicable laws, rules, ordinances, and policies, from which to evaluate and weigh the evidence and assess the credibility and accuracy of the facts, evidence, laws, and, if applicable, witnesses.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-117-101 5. Procedures for Filing a Notice of Appeal

(1) When filing a notice of appeal, a protestor shall file the notice of appeal in accordance with the requirements set forth in Title 63G, Chapter 6a, Part 17, Procurement Appeals Board and the following procedures:

(a) file the notice of appeal with the chair of the procurement policy board by the deadline for filing and include:

(i) the address of record and email address of record of the party filing the notice of appeal;

(ii) a statement indicating that:

(A) the protestor is filing a notice of appeal; and

(B) requesting an administrative review of the protest officer's decision;

(iii) a copy of the written protest decision;

(iv) the required security deposit or bond, if applicable; and

(v) any other requirement set forth in Title 63G, Chapter 6a, Part 17.

(b) Not base a notice of appeal on a ground not specified in the person's protest under Section 63G-6a-1602 or new or additional evidence not considered by the protest officer.

(2) Any part of a notice of appeal that fails to comply with each of the requirements set forth in Title 63G, Chapter 6a, Part 17, this rule, a ground not specified in the person's protest under Section 63G-6a-1602, or new or additional evidence not considered by the protest officer shall be dismissed by the chair of the procurement policy board or the procurement appeals panel appointed to conduct the administrative review.

(3) The protest appeal record is restricted to the following:

(a) a copy of the protest officer's written decision;

(b) any documentation and other evidence the protest officer relied upon in reaching the protest officer's decision;

(d) a copy of the protestor's written protest; and

(e) any documentation and other evidence submitted by the protestor supporting the protest or the protestor's claim of standing.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-117-101 8. Procedures for Conducting an Administrative Review

(1) When conducting an administrative review of a protest officer's decision, a procurement appeals panel shall:

(a) comply with requirements set forth in Title 63G, Chapter 6a, Part 17, Procurement Appeals Board and this rule;

(b) conduct an administrative review of the appeal within 30 days after the day on which the procurement appeals panel is appointed, or before a later agreed to date, unless the appeal is dismissed by the chair of the procurement policy board;

(i) without conducting a hearing:

(A) the notice of appeal; and

(B) the protest appeal record; or

(ii) if an informal hearing is held:

(A) responses received during the informal hearing;

(B) the notice of appeal; and

(d) not otherwise take any additional evidence or consider any additional ground for the appeal;

(e) not consider any claim in the notice of appeal dismissed by the chair of the procurement policy board in consultation with the attorney general's office for noncompliance with Subsection 63G-6a-1702(2)(3)(4), or Section 63G-6a- 1703;

(f) uphold a protest officer's decision unless the procurement appeals panel determines that the protest officer's decision is arbitrary and capricious or clearly erroneous; and

(g) within seven days after the day on which the procurement appeals panel concludes the administrative review:

(i) issue a written decision of the appeal; and

(ii) mail, email, or hand deliver the written decision on the appeal to the parties to the appeal and to the protest officer.

(2) When conducting an administrative review of a protest officer's decision, a procurement appeals panel may:

(a) consult with the assistant attorney general assigned to the appeal;

(b) conduct the administrative review without conducting a hearing;

(c) at the sole discretion of the procurement appeals panel, conduct an informal hearing if the procurement appeals panel considers a hearing to be necessary:

(i) ask questions and receive responses during the informal hearing to assist the procurement appeals panel in understanding the basis of the appeal and information contained in the protest appeal record;

(ii) not take any additional evidence or consider any additional ground for the appeal; and

(d) dismiss an appeal if the appeal does not comply with the requirements of Title 63G, Chapter 6a, Utah Procurement Code.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-117-101 10. Determination Regarding Arbitrary and Capricious

(1) If, after reviewing the notice of appeal, the protest appeal record, and, if applicable, responses received during an informal hearing, the protest appeals panel determines that:

(a) There is a reasonable basis for the decision made by the protest officer and, given the same facts and evidence as those reviewed by the protest officer, a reasonable person could have reached the same decision as the protest officer, then the protest appeals panel shall conclude that the protest officer's decision was not arbitrary and capricious and shall uphold the decision of the protest officer; or

(b) There is no reasonable basis for the protest officer's decision and, given the same facts and evidence as those reviewed by the protest officer, a reasonable person could not have reached the same decision as the protest officer, then the protest appeals panel shall conclude that the protest officer's decision was arbitrary and capricious and shall remand the matter to the protest officer to cure the problem or render a new decision.

(2) Minor errors and omissions committed by a protest officer during the protest decision process that are irrelevant, immaterial, or inconsequential to the overall protest decision may not be considered sufficient grounds for making a determination that the protest officer's decision was arbitrary and capricious.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-117-101 13. Determination Regarding Clearly Erroneous

(1) If, after reviewing the notice of appeal, the protest appeal record, and, if applicable, responses received during an informal hearing, the protest appeals panel determines that:

(a) There is a reasonable basis for the decision made by the protest officer and, given the same facts, evidence, and laws as those reviewed by the protest officer, a reasonable person could have reached the same decision as the protest officer, then the protest appeals panel shall conclude that the protest officer's decision was not clearly erroneous and shall uphold the decision of the protest officer; or

(b) There is no reasonable basis for the decision made by the protest officer and, given the same facts, evidence, and laws as those reviewed by the protest officer, a reasonable person could not have reached the same decision as the protest officer, then the protest appeals panel shall conclude that the protest officer's decision was clearly erroneous and shall remand the matter to the protest officer to cure the problem or render a new decision.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-117-102 Verification of Legal Authority

A person filing an appeal to a protest decision may be asked to verify that the person has legal authority to file an appeal on behalf of the public or private corporation, governmental entity, sole proprietorship, partnership, or unincorporated association. A person without legal authority shall be deemed to not have standing to file a notice of appeal.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-117-103 Informal Hearing

(1) A hearing conducted under Title 63G, Chapter 6a, Part 17, Procurement Appeals Board shall be an informal procedure wherein the rules of evidence and civil procedures do not apply.

(2) A procurement appeals panel shall establish procedures for conducting an informal hearing including:

(a) establishing time limits and deadlines;

(b) determining who may address the procurement appeals panel; and

(3) Any communication during the informal hearing shall be directed to the coordinator of the procurement appeals panel.

(a) A recording shall be made of each informal hearing held on an appeal under Title 63G, Chapter 6a, Part 17.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-117-104 Expedited Proceedings

A party to a protest having standing may submit a written request to the coordinator of the procurement appeals panel requesting that the administrative review be expedited. The coordinator of the procurement appeals panel shall consider the request and, if possible and practical, accommodate the request.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-117-105 Electronic Participation

Any panel member or, if applicable, participant may participate electronically if:

(1) a request to participate electronically is submitted to the coordinator of the panel at least 24 hours in advance of the proceeding;

(2) the means for electronic participation, by phone, computer or otherwise, is available at the location; and

(3) the electronic means allows other members of the panel and, if applicable, other participants to hear any person participating electronically.

History

KEY: hearings, Procurement Appeals Board, verification of legal authority
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-17

Utah Admin. Code R33-119-101 Encouraged to Obtain Legal Advice from Legal Counsel

(1) This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

(2) Due to the complex nature of protests and appeals, any person involved in the procurement process, protest, or appeal, is encouraged to seek advice from the person's own legal counsel.

(3) The procurement unit will not assist in writing or provide statutory interpretation to the vendor in the filing of a protest or appeal.

History

KEY: appeals, protests, general provisions, procurement code
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-19

R33-121 Interaction Between Procurement Units

Utah Admin. Code R33-121-101 Cooperative Purchasing

Cooperative purchasing shall be conducted in accordance with the requirements set forth in Section 63G-6a-2105. This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: cooperative purchasing, state contracts, procurement units
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-21

Utah Admin. Code R33-121-201 State Cooperative Contracts

(1) An executive branch procurement unit shall obtain procurement items from state cooperative contracts whether statewide or regional unless the chief procurement officer determines, in accordance with Subsection 63G-6a-506(5)(b), that it is in the best interest of the state to obtain an individual procurement item outside the state contract.

(2) In accordance with Section 63G-6a-2105, public entities, nonprofit organizations, and agencies of the federal government may obtain procurement items from state cooperative contracts awarded by the chief procurement officer.

History

KEY: cooperative purchasing, state contracts, procurement units
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-21

Utah Admin. Code R33-121-201e Division May Charge Administrative Fees on State Cooperative Contracts -- Prohibition Against Other Procurement Units Charging Fees on State Contracts

(1) In accordance with Sections 63A-1-109.5, 63A-2-103, Subsection 63G-6a-303(2), and other applicable State of Utah law, the Director of the Division of Purchasing and General Services serving as the chief procurement officer of the state shall administer the state's cooperative purchasing program and may impose or assess an administrative fee on contractors and vendors on state cooperative contracts as part of its internal service fund authorization.

(2) The division shall include a provision in each state cooperative contract prohibiting any other procurement unit from charging any type of fee, surcharge, or rebate on a state cooperative contract issued by the chief procurement officer.

History

KEY: cooperative purchasing, state contracts, procurement units
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-21

Utah Admin. Code R33-121-301 Discount Pricing for Large Volume Purchases for Items on State Contract

(1) Eligible users of state cooperative contracts may seek to obtain additional volume discount pricing for large volume orders provided state cooperative contractors are willing to offer additional discounts for large volume orders.

(a) Eligible users may not coerce, intimidate, or in any way compel vendors on state cooperative contracts to offer additional discount pricing.

(b) Eligible users seeking additional pricing discounts for large volume purchases shall issue a Request for Price Quotations to each vendor on a state cooperative contract for the procurement item being purchased.

(c) Executive branch procurement units without independent procurement authority may contact the division to issue the request for price quotations.

(d) The request for price quotations shall include:

(i) a detailed description of the procurement item;

(ii) the estimated number or volume of procurement items that will be purchased;

(iii) the time period that price quotations will be accepted, including the date and time price quotations will be opened;

(iv) the manner in which price quotations will be accepted;

(v) the place where price quotations shall be submitted; and

(vi) the time period the price quotation must be guaranteed.

(2) The terms and conditions of the state cooperative contract shall remain in effect unless the chief procurement officer approves the modification.

(3) Eligible users may include additional terms and conditions specific to the purchase of a procurement item from the state cooperative contract that do not conflict with the state cooperative contract terms and conditions.

(3) This process may not be used for an anti-competitive practice such as:

(a) bid rigging;

(b) steering a contract to a preferred state cooperative contractor;

(c) utilizing auction techniques where price quotations are improperly disclosed and contractors bid against each other's price;

(d) disclosing pricing or other confidential information prior to the date and time of the opening; or

(e) any other practice prohibited by the Utah Procurement Code.

(4) Sales resulting from the quotations received under the process conducted in accordance with Section R33-121-301 shall be recorded as usage under the existing state cooperative contract are subject to the administrative fee associated with the state cooperative contract, and shall be reported to the division.

History

KEY: cooperative purchasing, state contracts, procurement units
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1); 63G-6a-21

R33-124 Unlawful Conduct and Ethical Standards

Utah Admin. Code R33-124-101 Unlawful Conduct

Unlawful conduct shall be governed in accordance with the requirements set forth in Sections 63G-6a-2401 through 63G-6a-2407. This rule provides additional requirements and procedures and must be used in conjunction with the Title 63G, Chapter 6a, Utah Procurement Code. Definitions in the Utah Procurement shall apply to this rule.

History

KEY: executive branch employees, procurement code, procurement professionals, unlawful conduct
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-124-102 Laws and Executive Orders Pertaining to Gifts, Meals, and Gratuities for Executive Branch Procurement Professionals

Each executive branch employee classified as a Procurement Professional, as defined in Section 63G-6a-2402, shall be governed by:

(1) Title 63G, Chapter 6a, Part 24, Unlawful Conduct and Penalties;

(2) Executive Order EO/002/2014, Establishing an Ethics Policy for Executive Branch Agencies and Employees;

(3) Title 67, Part 16, Utah Public Officers' and Employees' Ethics Act;

(4) Section 76-8-103, Bribery or Offering a Bribe; and

(5) any other applicable law.

History

KEY: executive branch employees, procurement code, procurement professionals, unlawful conduct
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-124-103 Laws and Executive Orders Pertaining to Gifts, Meals, and Gratuities for Executive Branch Employees

Each executive branch employee not classified as a Procurement Professional, as defined in Section 63G-6a-2402, shall be governed by:

(1) Executive Order EO/002/2014, Establishing an Ethics Policy for Executive Branch Agencies and Employees;

(2) Title 67, Part 16, Utah Public Officers' and Employees' Ethics Act;

(3) Section 76-8-103, Bribery or Offering a Bribe; and

(4) any other applicable law.

History

KEY: executive branch employees, procurement code, procurement professionals, unlawful conduct
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-124-104 Socialization with Vendors and Contractors

(1) A procurement professional may not:

(a) participate in social activities with vendors or contractors that will interfere with the proper performance of the procurement professional's duties;

(b) participate in social activities with vendors or contractors that will lead to unreasonably frequent disqualification of the procurement professional from the procurement process; or

(c) participate in social activities with vendors or contractors that would appear to a reasonable person to undermine the procurement professional's independence, integrity, or impartiality.

(2) If a procurement professional participates in a social activity prohibited under Subsection R33-124-104(1) or has a close personal relationship with a vendor or contractor, the procurement professional shall promptly notify their supervisor and the supervisor shall take the appropriate action, which may include removal of the procurement professional from the procurement or contract administration process that is affected.

History

KEY: executive branch employees, procurement code, procurement professionals, unlawful conduct
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-124-105 Financial Conflict of Interests Prohibited

(1) A procurement conflict of interest occurs when the potential exists for an employee's personal financial interests, or for the personal financial interests of a family member, to influence, or have the appearance of influencing, the employee's judgment in the execution of the employee's duties and responsibilities when conducting a procurement or administering a contract.

(2) To preserve the integrity of the state's procurement process, an executive branch employee may not take part in any procurement process, contracting or contract administration decision:

(a) relating to the employee or a family member of the employee; or

(b) relating to any entity in which the employee or a family member of the employee is an officer, director or partner, or in which the employee or a family member of the employee owns or controls 10% or more of the stock of such entity or holds or directly or indirectly controls an ownership interest of 10% or more in such entity.

(3) If a procurement process, contracting, or contract administration matter arises relating to the employee or a family member of the employee, the employee must advise their supervisor of the relationship, and must be recused from any discussions or decisions relating to the procurement, contracting, or administration matter. The employee must also comply with the disclosure requirements in Title 67, Chapter 16, Utah Public Officers' and Employees' Ethics Act.

History

KEY: executive branch employees, procurement code, procurement professionals, unlawful conduct
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-124-106 Personal Relationship, Favoritism, or Bias Participation Prohibitions

(1) Employees are prohibited from participating in discussions or decisions relating to the procurement, contracting, or administration process if they have any type of personal relationship, favoritism, or bias that would appear to a reasonable person to influence their independence in performing their assigned duties and responsibilities relating to the procurement process, contracting, or contract administration or prevent them from fairly and objectively evaluating a proposal in response to a bid, Request for Proposal (RFP), or other solicitation. This provision may not be construed to prevent an employee from having a bias based on the employee's review of a response to the solicitation in regard to the criteria in the solicitation.

(2) If an employee has a personal relationship, favoritism, or bias toward any individual, group, organization, or vendor responding to a bid, RFP, or other solicitation, the employee must make a written disclosure to the supervisor and the supervisor shall take appropriate action, which may include recusing the employee from discussions or decisions relating to the solicitation, contracting, or administration matter in question. This provision may not be construed to prevent an employee from having a bias based on the employee's review of a response to the solicitation in regard to the criteria in the solicitation.

History

KEY: executive branch employees, procurement code, procurement professionals, unlawful conduct
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-124-107 Professional Relationships and Social Acquaintances Not Prohibited

It is not a violation for an executive branch employee who participates in discussions or decisions relating to the procurement, contracting, or administration process to have a professional relationship or social acquaintance with a person, contractor or vendor responding to a solicitation, or that is under contract with the state, provided that there is compliance with:

(1) Section R33-124-105;

(2) Section R33-124-106, Utah Public Officers' and Employees' Ethics Act;

(3) Executive Order EO/002/2014, Establishing an Ethics Policy for Executive Branch Agencies and Employees; and

(4) other applicable state laws.

History

KEY: executive branch employees, procurement code, procurement professionals, unlawful conduct
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

Utah Admin. Code R33-124-108 Ethical Standards for an Employee of a Procurement Unit Involved in the Procurement Process

An employee of a procurement unit involved in the procurement process shall uphold and promote the independence, integrity, and impartiality of the procurement process as required in the Utah Procurement Code and, as applicable, Title R33, and shall avoid impropriety and the appearance of impropriety.

History

KEY: executive branch employees, procurement code, procurement professionals, unlawful conduct
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63G-6a-107.7(1)

R33-126 State Surplus Property

Utah Admin. Code R33-126-101 State-Owned Surplus Property -- General

This rule sets forth policies and procedures which govern the acquisition and disposition of state-owned and federal surplus property items and vehicles. It applies to all state and local public agencies and eligible non-profit educational and health institutions when dealing with federal surplus property. It also applies to all state agencies unless specifically exempted by law and to the general public when dealing with the State Surplus Property Agency.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-102 Requirements

Under Section 63A-2-103, the Division of Purchasing and General Services shall manage and administer the State Surplus Property Agency, including:

(1) The federal surplus property program as the Utah State Agency for Surplus Property and in compliance with 41 CFR 102-37 and Public Law 94-519 through a State Plan of Operation. The standards and procedures governing the contract between the state and the federal government are contained in the Plan of Operation;

(2) The 1033 program as the state and in compliance with Department of Defense (DoD) excess personal property conditionally transferred pursuant to 10 USC 2576a through a State Plan of Operation; and

(3) The disposition of state-owned surplus property items, including vehicles and non-vehicle surplus property and information technology equipment.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-103 Definitions

All definitions in Section 63A-2-101.5 shall apply to Rule R33-126. In addition, the following definitions shall apply to Rule R33-126:

(1) "All-terrain type I vehicle" means any motor vehicle 52 inches or less in width:

(a) having an unladen dry weight of 1,500 pounds or less;

(b) traveling on three or more low pressure tires;

(d) designed for or capable of travel over unimproved terrain.

(2) "All-terrain type II vehicle":

(a) means any other motor vehicle, not defined in Section R33-126-103 designed for or capable of travel over unimproved terrain;

(b) includes a class A side-by-side vehicle; and.

(c) does not include golf carts, any vehicle designed to carry a person with a disability, any vehicle not specifically designed for recreational use, or farm tractors as defined under Section 41-1a-102.

(3) "Aircraft" means any contrivance now known or in the future invented, used, or designed for navigation of or flight in the air.

(4) "Bundled sale" means the act of packaging or grouping multiple State-owned surplus property items together for offering those items for sale in a single transaction in which the buyer receives all surplus property items bundled together and sold in the transaction.

(5) "Camper" means any structure designed, used, and maintained primarily to be mounted on or affixed to a motor vehicle that contains a floor and is designed to provide a mobile dwelling, sleeping place, commercial space, or facilities for human habitation or for camping.

(6) "Disposition" means the act of selling, disposing, or transferring state-owned vehicle and non-vehicle property, declared to be surplus property, to the care, custody, or possession of another person.

(7) "Division" means the Division of Purchasing and General Services within the Department of Government Operations created under Section 63A-2-101.

(8) "Electronic Data Device" means any informational technology device identified by the Division of Technology Services.

(9) "Farm tractor" means every motor vehicle designed and used primarily as a farm implement for drawing plows, mowing machines, and other implements of husbandry.

(10) "Motorboat" means any vessel propelled by machinery, whether or not the machinery is the principal source of propulsion.

(11) "Motorcycle" means a motor vehicle having a saddle for the use of the rider and designed to travel on not more than three wheels in contact with the ground.

(12) "Motor vehicle" means a self-propelled vehicle intended primarily for use and operation on the highways.

(13) "Off-highway vehicle" means any snowmobile, all-terrain type I vehicle, all-terrain type II vehicle, or motorcycle.

(14) "Personal Watercraft" means a motorboat that is:

(a) less than 16 feet in length;

(b) propelled by a water jet pump; and

(c) designed to be operated by a person sitting, standing, or kneeling on the vessel, rather than sitting or standing inside the vessel.

(15) "Pickup truck":

(a) means a two-axle motor vehicle with motive power manufactured, remanufactured, or materially altered to provide an open cargo area; and

(b) includes motor vehicles with the open cargo area covered with a camper, camper shell, tarp, removable tarp, or similar structure.

(16) "Reconstructed vehicle" means every vehicle type required to be registered in this state that is materially altered from its original construction by the removal, addition, or substitution of essential parts, new or used.

(17) "Recreational vehicle":

(a) means a vehicular unit other than a mobile home, primarily designed as a temporary dwelling for travel, recreational, or vacation use, that is either self-propelled or pulled by another vehicle; and

(b) includes:

(i) a travel trailer;

(ii) a camping trailer;

(iii) a motor home;

(iv) a fifth wheel trailer; and

(v) a van.

(18) "Road tractor" means every motor vehicle designed and used for drawing other vehicles and constructed so it does not carry and load either independently or any part of the weight of a vehicle or load this is drawn.

(19) "Sailboat" means any vessel having one or more sails and propelled by wind.

(20) "Semitrailer" means every vehicle without motive power designed for carrying persons or property and for being drawn by a motor vehicle and constructed so that some part of its weight and its load rests or is carried by another vehicle.

(21) "Special mobile equipment":

(a) means every vehicle:

(i) not designed or used primarily for the transportation of persons or property;

(ii) not designed to operate in traffic; and

(iii) only incidentally operated or moved over the highways; and

(b) includes:

(i) farm tractors;

(ii) on or off-road motorized construction or maintenance equipment including backhoes, bulldozers, compactors, graders, loaders, road rollers, tractors, and trenchers;

(iii) ditch-digging apparatus;

(iv) forklifts;

(v) warehouse equipment;

(vi) golf carts; and

(vii) electric carts.

(22) "State agency" means any executive branch department, division, or other agency of the state.

(23) "Trailer" means a vehicle without motive power designed for carrying persons or property and for being drawn by a motor vehicle and constructed so that no part of its weight rests upon the towing vehicle.

(24) "Travel trailer," "camping trailer," or "fifth wheel trailer" means a portable vehicle without motive power, designed as a temporary dwelling for travel, recreational, or vacation use that does not require a special highway movement permit when drawn by a self-propelled motor vehicle.

(25) "Truck tractor" means a motor vehicle designed and used primarily for drawing other vehicles and not constructed to carry a load other than a part of the weight of the vehicle and load that is drawn.

(26) "Vehicle" means:

(i) all-terrain vehicle type I and II;

(ii) aircraft;

(iii) camper;

(iv) farm tractor;

(v) motorboat;

(vi) motorcycle;

(vii) motor vehicle;

(viii) off-highway vehicle;

(ix) personal watercraft;

(x) pickup truck;

(xi) reconstructed vehicle;

(xii) recreational vehicle;

(xiii) road tractor;

(xiv) sailboat;

(xv) semitrailer;

(xvi) special mobile equipment;

(xvii) trailer;

(xviii) travel trailer;

(xix) truck tractor; and

(xx) vessel.

(27) "Vessel" means every type of watercraft, other than a seaplane on the water, used or capable of being used as a means of transportation on water.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-200 Disposition of State-Owned Surplus Property Items

(1) The State Surplus Property Agency shall determine the appropriate method for disposing of state surplus property.

(2) When a state agency determines to dispose of state surplus property that is a non-vehicle item, it shall comply with Subsection 63A-2-401(2) by:

(a) completing a Form SP-1; and

(b) electronically submit the Form SP-1 to State Surplus Property Agency.

(3) Each state agency with state surplus property will be responsible for:

(a) Storing state surplus property on site until:

(i) picked up by the person to whom the item has been sold;

(ii) disposed of or donated by the state agency; or

(iii) picked up by State Surplus Property Agency;

(b) Assigning an employee of the agency to assist the public and State Surplus Property Agency with the sale of the State-owned property; and

(i) assisting the public with lifting and transporting State-owned surplus property items; and

(ii) transporting State-owned surplus property items with a minimal value to charities for donation.

(4) State surplus property with a minimal value as described in Section 63A-2-411 may be disposed of by:

(a) destroying the surplus property;

(b) disposing of the surplus property as waste; or

(i) a public entity;

(ii) a charitable organization; or

(iii) another person or entity approved by the director of the Division of Purchasing and General Services or the director's authorized representative of State Surplus Property Agency.

(5) The State Surplus Property Agency is not authorized to accept or dispose of hazardous waste or any item containing hazardous waste. State agencies must dispose of hazardous waste and items containing hazardous waste in accordance with applicable laws.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-201 Non-vehicle Disposition Procedures

(1) State-owned, non-vehicle personal property may not be destroyed, sold, transferred, traded-in, traded, discarded, donated, or otherwise disposed of unless the procedures set forth in this rule are followed.

(2) This rule applies to and includes any residual that may be remaining from agency cannibalization of property.

(3) When a state agency determines that state-owned non-vehicle personal property is in

(a) transfer the state-owned, non-vehicle surplus property items directly to another state agency with the approval of the division; or

(b) notify the State Surplus Property Agency that the agency has a state-owned surplus property item.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-202 Disposal of State-Owned Surplus Electronic Data Devices

(1) For this rule, Electronic Data Device means any informational

(2) Each state agency shall ensure that all surplus property that is considered an electronic data device is disposed of in accordance with the following procedures identified in this rule.

(3) Before selling or transferring of an electronic data device, the following requirements shall be completed:

(a) remove, or cause to be removed, from the electronic data device any:

(i) software owned or licensed by the agency as required by the software license agreement;

(ii) information that is classified as protected, private, or controlled under the Title 63G, Chapter 2, Government Records Access and Management Act; and

(iii) any other state-owned records and data.

(b) submit an SP-1 to State Surplus Property Agency with a description of the items to be included in the sale of the electronic data device including the make, model, serial number, specifications, list of accessories, software; and

(4) In coordination with the Division of Technology Services, the State Surplus Property Agency may decide on limitations on the selling or transferring of electronic data devices.

(5) Electronic Data devices that are not sold or transferred must be disposed of by an authorized contracted vendor approved by the division or in accordance with the Division of Technology Services if such vendor does not exist.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-204 Federal Surplus Property

(1) Donation of federal surplus property shall be administered in accordance with the procedures identified in the State Plan of Operation for the Federal Property Assistance Program.

(2) Federal surplus property items are not available for sale to the general public.

(3) Public auctions of federal surplus property are authorized under certain circumstances and conditions. The division shall coordinate such auctions when deemed necessary or appropriate. Federal surplus property auctions are primarily conducted online but are regulated and accomplished by the U.S. General Services Administration.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-205 Related Party Transactions

(1) The division has a duty to the public to ensure that state-owned surplus property is disposed of in accordance with Title 63A, Chapter 2, Division of Purchasing and General Services. A conflict of interest may exist or appear to exist when a related party attempts to purchase a state-owned surplus property item.

(2) A related party is defined as someone who may fit into any of the following categories pertaining to the State- owned surplus property item in question:

(a) has purchasing authority;

(b) has maintenance authority;

(d) has authority regarding the disposal price;

(e) has access to restricted information; and

(f) may be perceived to be a related party using other criteria which may prohibit independence.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-206 Priorities

(1) Public agencies are given priority for the purchase of State-owned surplus property items.

(2) Property that is determined by the division to be unique, in short supply or in high demand by public agencies may be held for a period of up to 30 days before being offered for sale to the general public by State Surplus Property Agency.

(3) For this rule, these entities are considered to be public agencies and are listed in priority order for purchasing surplus items:

(a) state agencies;

(b) state universities, colleges, and community colleges;

(c) other tax-supported educational agencies or political subdivisions in the state including cities, towns, counties, and local law enforcement agencies;

(d) other tax-supported educational entities; and

(e) non-profit health and educational institutions.

(4) State-owned surplus property items that are not purchased by or transferred to public agencies may be offered for public sale.

(5) The division shall make the determination as to whether property is subject to a hold period. The decision shall consider the following:

(a) the cost to the State;

(b) the potential liability to the State; and

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-301 Accounting and Reimbursement Procedures

(1) The division will record and maintain records of all transactions related to the acquisition and sale of all state and federal surplus property items.

(2) The division may maintain a federal working capital reserve not to exceed one year's operating expenses. In the event the division accumulates funds in excess of the allowable working capital reserve, they will reduce the Retained Earnings balance accordingly. The only exception is where the division is accumulating excess funds in anticipation of the purchase of new facilities or capital items. Before the accumulation of excess funds, the division must obtain the written approval of the Executive Director of the Department of Government Operations.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-302 Reimbursement

(1) Reimbursement to state agencies from the sale of their surplus property items will be made through the Division of Finance via interagency transfers or warrant requests.

(2) The State Surplus Property Agency may charge a rate for the services provided to an agency.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-401 Public Sale of State-Owned Vehicles

(1) State-owned excess vehicles may be purchased at any time by the general public, subject to any holding period that may be assigned by the division and subject to the division's operating days and hours.

(2) Federal surplus property auctions to the general public may be accomplished on occasions and subject to the limitations as indicated previously.

(3) The frequency of public auctions, for either State-owned vehicles or federal surplus property will be regulated by current law as applicable, the volume of items held in inventory by the division, and the profitability of conducting auctions versus other approaches to disposing of surplus property.

(4) State-owned vehicles available for sale may not have any ancillary or component parts or equipment removed, destroyed, or detached, from the vehicle before sale without the approval of the division.

(5) State agencies are prohibited from removing ancillary or component parts or equipment from vehicles intended for surplus unless:

(a) the state agency intends on using the ancillary or component parts or equipment on other agency vehicles;

(b) the state agency in possession of the vehicle intends to transfer the ancillary or component parts or equipment to another state agency; and

(c) the state agency has obtained prior approval from the division to remove ancillary or component parts or equipment from the vehicle intended for surplus.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-601 Utah State Agency for Surplus Property Adjudicative Proceedings

As required by the Utah Administrative Procedures Act, this rule provides the procedures for adjudicating disputes brought before the division under the authority granted by Section 63A-2-401 and Title 63G, Chapter 4, the Administrative Procedures Act.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-602 Proceedings to Be Informal

All matters over which the division has jurisdiction including bid validity determination and sales issues, which are subject to Title 63G, Chapter 4, the Administrative Procedures Act, will be informal in nature for purposes of adjudication. The director of the Division of Purchasing and General Services or the director's designee will be the presiding officer.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-603 Procedures Governing Informal Adjudicatory Proceedings

(1) No response needs to be filed to the notice of agency action or request for agency action.

(2) The division may hold a hearing at the discretion of the director of the Division of Purchasing and General Services or the director's designee unless a hearing is required by statute. A request for hearing must be made within ten days after receipt of the notice of agency action or request for agency action.

(3) Only the parties named in the notice of agency action or request for agency action will be permitted to testify, present evidence and comment on the issues.

(4) A hearing will be held only after timely notice of the hearing has been given.

(5) No discovery, either compulsory or voluntary, will be permitted except that all parties to the action shall have access to information and materials not restricted by law.

(6) No person may intervene in an agency action unless federal statute or rule requires the agency to permit intervention.

(7) Any hearing held under this rule is open to all parties.

(8) Within 30 days after the close of any hearing, the director of the Division of Purchasing and General Services or the director's designee shall issue a written decision stating:

(a) the decision;

(b) the reasons for the decision;

(d) notice of right of judicial review; and

(e) the time limits for filing an appeal to the appropriate district court.

(9) The decision made by the director of the Division of Purchasing and General Services, or the director's designee shall be based on the facts in the division file and if a hearing is held, the facts based on evidence presented at the hearing.

(10) The agency shall notify the parties of the agency order by promptly mailing a copy thereof to each at the address indicated in the file.

(11) Whether a hearing is held or not, an order issued under this rule shall be the final order and then may be appealed to the appropriate district court.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

Utah Admin. Code R33-126-900 Charges and Fees Assessed for State Surplus Property Agency Services

(1) In accordance with Section 63A-2-405, the State Surplus Property Agency will charge rates and fees, as approved by the Rate Setting Committee as set forth in Sections 63J-1-410 and 63J-1-504, for services associated with the disposition of surplus property items.

(2) The current approved rate and fee schedule is available at: surplus.utah.gov.

History

KEY: government purchasing, procurement rules, state surplus property, general procurement provisions
Date of Last Change: October 22, 2024
Authorizing, and Implemented or Interpreted Law: 63A-2-401

R36 Records Management Committee

R36-1 Records Management Committee

Utah Admin. Code R36-1-1 Authority and Purpose

This rule establishes procedures for Records Management Committee meetings and retention schedule review and approval under Title 63A Chapter 12 Public Records Management Act and Sections 63A-12-112, 63A-12-113, 52-4-203, and 63G- 2-604, as authorized under Section 63A-12-104.

History

KEY: meeting procedures, records management, review procedures, state records
Date of Last Change: October 16, 2020
Notice of Continuation: May 5, 2025

Utah Admin. Code R36-1-2 Definitions for Rules in Title R36

(1) In addition to terms defined in Sections 63G-2-103 and 63A-12-100.5, the following terms are defined for rules under Title R36:

(a) "Committee" means the Records Management Committee in accordance with Section 63A-12-112.

(b) "State Archives support staff" means individuals assigned by the state archivist to provide support services for the Records Management Committee, as required in Subsection 63A-12-113(4).

(c) "Records and Information Management (RIM) Specialist" means a staff member at the Utah Division of Archives and Records Service whose responsibilities include establishing standards for the preparation of retention schedules and providing records management training and consultation services to the records officers of governmental entities, as required in Subsection 63A-12-101(2).

History

KEY: meeting procedures, records management, review procedures, state records
Date of Last Change: October 16, 2020
Notice of Continuation: May 5, 2025

Utah Admin. Code R36-1-3 Records Management Committee Meeting Preparation

(1) Each committee member shall receive a meeting folder from State Archives support staff no later than three business days before the scheduled meeting. Folders shall include an agenda, retention schedules submitted for review and approval, and any other materials requiring review and discussion by the committee.

If a committee member would like clarification regarding a submitted retention schedule prior to the meeting, a committee member may communicate with the Records and Information Management (RIM) Specialist at the State Archives who submitted the item.

History

KEY: meeting procedures, records management, review procedures, state records
Date of Last Change: October 16, 2020
Notice of Continuation: May 5, 2025

Utah Admin. Code R36-1-4 Records Management Committee Meeting Procedures

(1) Meetings shall be held at least once each quarter, as required in Subsection 63A-12-113(1)(b).

(2) A committee chair, appointed from among the committee's members, as required in Subsection 63A-12-113(1)(a), shall be elected by the committee members annually. There is no term limit for chairmanship.

(3) Each meeting shall be called to order by the committee chair and may start once a quorum of four members is present and the meeting is being recorded.

(4) Third party presentations may be permitted. Prior to the hearing, the third party shall notify State Archives support staff of intent to present.

(5) A RIM Specialist from the State Archives shall present a proposed retention schedule. The committee shall discuss the schedule and ask questions as needed.

(6) Each committee member in attendance shall vote whether or not to approve each schedule. A majority vote of members present is required for a motion to pass. If a retention schedule is not approved, a committee member shall make recommendations as to how to modify or improve the schedule for approval at the next meeting, if applicable.

(7) The committee may adjourn, reschedule, or continue a meeting on the motion of a member.

(8) The following provisions govern any meeting at which one or more members of the committee or a party appears telephonically or electronically, pursuant to Section 52-4-207.

(b) If one or more committee members or parties may be participating electronically or telephonically, public notices of the meeting shall so indicate. In addition, the notice shall specify the anchor location where the members of the committee not participating electronically or telephonically shall be meeting and where interested persons and the public may attend and monitor the open portions of the meeting.

(c) When notice is given of the possibility of a member of the committee appearing electronically or telephonically, any member of the committee may do so and shall be counted as present for purposes of a quorum and may fully participate and vote on any matter coming before the committee. At the commencement of the meeting, or at such time as any member of the committee initially appears electronically or telephonically, the committee chair shall identify for the record each of those who are appearing telephonically or electronically. Votes by members of the committee who are not at the physical location of the meeting shall be confirmed by the committee chair.

History

KEY: meeting procedures, records management, review procedures, state records
Date of Last Change: October 16, 2020
Notice of Continuation: May 5, 2025

Utah Admin. Code R36-1-5 Authorizing Approved Retention Schedules

(1) The committee chair and a State Archives support staff member who attended the meeting shall sign the approved retention schedule after the meeting, signifying committee approval.

(2) Committee approval authorizes and requires relevant governmental entities to maintain and destroy records according to the schedule, per Section 63G-2-604. Once a retention schedule is approved and signed, it supersedes previous retention schedules for the applicable records.

(3) Approved retention schedules are posted on the State Archives website and go into effect immediately.

History

KEY: meeting procedures, records management, review procedures, state records
Date of Last Change: October 16, 2020
Notice of Continuation: May 5, 2025

Utah Admin. Code R36-1-6 Records Management Committee Meeting Records

(1) Section 52-4-203 requires any public body to establish and implement procedures for the public body's approval of the written minutes of each meeting. This rule establishes procedures for the Records Management Committee to approve the written minutes of each meeting.

(2) Any meeting of the committee shall be recorded. The recording of the open meeting shall be made available to the public within three business days. Access to the audio recordings shall be provided by State Archives support staff on the Utah Public Notice Website.

(3) Approved written minutes shall be the official record of the meetings and shall be maintained by State Archives support staff.

(a) Written minutes shall be read by members prior to the next scheduled meeting, including electronic meetings.

(b) Written minutes from meetings shall be made available no later than three business days prior to the date of the next regularly scheduled committee meeting.

(d) At the next meeting, at the direction of the committee chair, minutes shall be amended, if necessary, and approved through a committee vote, with individual votes recorded. The minutes shall be then marked as "Approved."

(e) A copy of the approved minutes, as well as public meeting materials, shall be made available for public access on the Utah Public Notice Website.

History

KEY: meeting procedures, records management, review procedures, state records
Date of Last Change: October 16, 2020
Notice of Continuation: May 5, 2025

R37 Risk Management

R37-1 Risk Management General Rules

Utah Admin. Code R37-1-1 Purpose

The purpose of this rule is to describe the Risk Management Fund, hereafter referred to as the "Fund," and prescribe the conditions, underwriting standards, and other rules that govern or control the use of coverage provided or purchased by the Fund and any captive insurance company created by the risk manager.

History

KEY: risk management
Date of Last Change: February 22, 2023
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-101 et seq.

Utah Admin. Code R37-1-2 Authority

This rule is established pursuant to Section 63A-4-101.5, which authorizes the risk manager to enact rules.

History

KEY: risk management
Date of Last Change: February 22, 2023
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-101 et seq.

Utah Admin. Code R37-1-3 Definitions

(1) "Captive" means a captive insurance company created by the risk manager under Title 31A, Chapter 37, Captive Insurance Companies Act.

(2) "Conditions" means specific policy requirements the violation of which will invalidate coverage.

(3) "Coverage or coverage provision" means the type of protection provided against specific risks or losses.

(4) "Covered Entity" means a state department or other state agency not within a state department, a state college or university, a public school district, a participating charter school, or other entity which is covered under the terms of a coverage document issued to it by the Risk Management Fund.

(5) "Fund" means the Risk Management Fund created by Section 63A-4-201.

(6) "Risk manager" means the Director of the Division of Risk Management.

(7) "Underwriting Standard" or "Risk Control Standard" means an action or procedure which must be performed by a covered entity to reduce the risk of loss or to avoid imposition of coverage restrictions, deductibles, increased premiums, or loss of credits or dividends.

History

KEY: risk management
Date of Last Change: February 22, 2023
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-101 et seq.

Utah Admin. Code R37-1-4 Description of the Fund and its Activities

(1) The Fund is a self-insurance mechanism established by statute to handle losses to or claims against its covered entities.

(2) Although coverage through the Fund may be written in formats like insurance policies, the relationship between the Fund and covered entities is not that of insurer and insured.

(3) No special duties, rules of construction or other legal doctrines recognized by the courts or created by statute with respect to the relationship of an insurer to its insured shall apply to the Fund or entities covered by it, except those which are specifically required by Title 31A, Chapter 12, State Risk Management Fund, with respect to some coverage provided to school districts, or those that may be required for a captive under Title 31A, Chapter 37, Captive Insurance Companies Act.

(4) The duty to defend covered entity employees, as defined in Section 63G-7-902, or volunteers, as defined in Section 67-20-2, extends only as far as the covered entities' duty to employees or volunteers under Title 63G, Chapter 7, Governmental Immunity Act of Utah, and no special relationship of insurer to insured exists between the Fund and employees or volunteers of covered entities, unless otherwise required for a captive under Title 31A, Chapter 37, Captive Insurance Companies Act.

History

KEY: risk management
Date of Last Change: February 22, 2023
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-101 et seq.

Utah Admin. Code R37-1-5 Coverage and Conditions

(1) Coverage - Specific risks covered, properties covered, coverage limits, exclusions, deductibles, conditions and other provisions for coverage through the Fund, or through any captive, shall apply in accordance with the terms of annual coverage agreements or policies issued or procured by the Fund, or in accordance with any policies issued by a captive.

(2) Conditions - The following conditions apply to each line of coverage provided by the Fund or any captive:

(a) In the event of an occurrence, loss, personal injury, act, error, omission, incident, or any other situation likely to give rise to a claim covered by the Fund or any captive, each covered entity shall immediately provide written notice to the Fund or captive.

(i) Written notice shall include:

(A) particulars sufficient to identify the covered entity or covered persons;

(B) reasonably obtainable information with respect to the time, place and circumstances thereof; and

(ii) The covered entity shall promptly take all reasonable steps to prevent additional injury or damage arising out of the same or similar conditions.

(iii) A covered entity's failure to take preventive measures shall not constitute a breach of this condition unless the Fund has requested the covered entity, in writing, to undertake the preventive measures.

(iv) Costs incurred by a covered entity to implement preventive measures shall not be recoverable from the Fund or any captive.

(b)(i) If claim is made or suit is brought against the covered entity or person, whether in court or through an administrative proceeding with the Utah Anti-discrimination Division, the Federal Equal Employment Opportunity Commission or similar body, the covered entity or person shall immediately forward to the Fund or captive a copy of each demand, notice, summons or other process received by it or its representative.

(ii) Any covered person who is an employee or volunteer of the covered entity shall comply with Sections 63G-7-902 and 63G-7-903 before the Fund or any captive shall have any duty to defend or pay any judgment against such covered person.

(i) cooperate with the Fund or captive; and

(ii) upon the Fund or captive's request;

(A) provide the Fund or captive with requested information;

(B) assist in making settlements;

(D) assist in the conduct of suits;

(E) assist in enforcing any right of contribution or indemnity against any person or organization who may be liable to the covered entity or person because of bodily injury or property damage with respect to which coverage is afforded by the Fund or captive;

(F) attend hearings and trials; and

(G) assist in securing and providing evidence and obtaining the attendance of witnesses.

(d) The covered entity or person may not, except at its own cost:

(i) voluntarily make any payment;

(ii) assume any obligation; or

(iii) incur any expense other than for qualified first aid to others immediately following an injury or accident.

(e)(i) In the event any employees or volunteers request under the terms of Section 63G-7-902 that the covered entity defend them relative to any action or claim which would be covered by the Fund or captive, the covered entity shall immediately forward the request to the Fund or captive, which shall have the right to determine on behalf of the covered entity whether to:

(A) defend;

(B) defend under a reservation of rights; or

(f) The covered entity or person shall share each record requested by the Fund or captive, relative to any claim under their coverage, to the fullest extent permitted by Title 63G, Chapter 2, Government Records Access and Management Act.

(3) Coverage Disputes and Subrogation -- The following conditions are applicable to all lines of coverage provided by the Fund and any captive:

(a) In the event of any coverage dispute between the Fund or any captive and any covered entity or person, there shall be no right of legal action against the Fund or any captive unless otherwise required by Title 31A, Chapter 37, Captive Insurance Companies Act.

(b) In the event of any payment under any coverage provided through the Fund or any captive:

(i) the Fund or captive shall be subrogated to all the covered entity or person's rights of recovery against any person or organization;

(ii) the covered entity or person shall execute and deliver instruments and papers and do whatever else is necessary to secure these rights; and

(iii) the covered entity or person may not prejudice these rights.

History

KEY: risk management
Date of Last Change: February 22, 2023
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-101 et seq.

Utah Admin. Code R37-1-6 Premium Establishment

In addition to other actuarially sound factors, the risk manager may use the following in determining the appropriate premiums for coverage provided to each covered entity:

(1) Efforts at exposure management including completion of self-inspection surveys, employee training, agency attendance at Fund-sponsored seminars, agency risk control meetings, risk-related policy development and implementation.

(2) Claims and loss history.

(3) State and federal statutes or court decisions affecting covered entities and operations.

(4) Number of employees in the entity and size of the entity's budget.

(5) Value, protection, exposures, and other characteristics of the entity's buildings and contents.

(6) Number, type, and value of entity vehicles.

(7) Characteristics and exposures of operations and activities.

(8) Actuarial studies.

History

KEY: risk management
Date of Last Change: February 22, 2023
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-101 et seq.

Utah Admin. Code R37-1-7 Risk Control Standards

In accordance with Subsection 63A-4-101(2)(b)(i), each covered entity shall comply with the following risk control standards:

(1)(a) Covered entities shall appoint an entity risk coordinator who shall report directly to the covered entity's director, school superintendent or university or college president, or to another individual who reports directly to the covered entity's director, school superintendent or college or university president.

(b) Subordinate risk coordinators or other individuals may be appointed at the division, school or lower levels of the organization as the entity deems appropriate.

(c) The day-to-day implementation or management of the entity's risk management duties may be assigned by the risk coordinator to subordinate individuals, committees, or groups as necessary for efficient operation and implementation.

(2) The covered entity risk coordinator shall be responsible for the following duties:

(a) identifying, evaluating and resolving risk exposures for the entity;

(b) coordinating with the Fund and any captive on the reporting and investigation of all claims or losses;

(d) ensuring that the Fund and any captive is provided with all reasonable information necessary to compute premiums;

(e) ensuring that premium billings are processed and paid;

(f) ensuring that notification is made to the Fund and any captive on all incidents, issues or informal or administrative claims, including claims originating at the EEOC or UALD that may result in a formal claim against the Fund or any captive;

(g) supervising or managing all loss prevention activities; and

(h) chairing the entity Risk Control Committee and ensuring staff support to the Risk Control Committee.

(3) Each covered entity shall appoint a Risk Control Committee, hereinafter referred to as the committee.

(a) Each covered entity shall include on its committee those positions deemed necessary by the risk coordinator and/or the entity director, president, or superintendent to provide comprehensive review and risk management services to the entity's operations.

(b) The following positions should be included on the committee:

(i) Risk coordinator;

(ii) Maintenance director or manager;

(iii) facilities director or manager;

(iv) Human resource director or manager;

(v) Americans with Disabilities Act Coordinator;

(vi) Civil Rights coordinator or director;

(vi) Safety director or manager;

(vii) legal counsel; and

(viii) Staff from the Fund or any captive.

(c) The covered entity should also appoint on either a permanent or ad hoc basis other individuals whose job duties or special expertise may be of use to the committee, and may include:

(i) internal auditor;

(ii) security director;

(iii) transportation or motor pool director or manager;

(iv) a representative from the finance and accounting section; and

(v) employee representatives.

(d) School districts may also include representatives from the district's athletic, vocational, science and other high-risk programs.

(e) Upon request of the covered entity risk coordinator, the Fund or any captive will provide recommendations on the makeup of the committee.

(f) The committee shall be normally chaired by the covered entity's risk coordinator.

(g) The committee shall be responsible for oversight and supervision of the entity's risk coordination and management program and shall meet at least once each quarter. The entity or its committee may appoint other ad hoc or standing committees, or subcommittees to deal with specific issues and problems such as safety, risk control training, civil rights, accident review.

(4) The duties of the committee shall include the following activities:

(a) identifying, evaluating and resolving entity risk exposures;

(b) reviewing the hazards and corrective actions identified during the annual Risk Management self-inspection survey and developing effective and timely plans to eliminate those hazards;

(d) reviewing inspection and other reports from the Fund and any captive and, where applicable, implementing the proposed recommendations;

(e) reviewing and analyzing investigation reports and recommendations regarding all claims, accidents, worker injuries or near accidents, and making recommendations to entity management for reducing accidents or claims;

(f) recommend disciplinary or corrective action for employees who violate safety standards including OSHA, health, hazardous materials, fire and entity-specific standards and other standards, policies or rules that result in claims, accidents, worker injuries, or near accidents. Any disciplinary or corrective action imposed shall be taken in accordance with the entity's rules;

(g) receiving and reviewing recommendations from the entity's driver safety committee to reduce auto accidents and improve driver safety;

(h) developing policies related to risk reduction and accident prevention and recommending their adoption by entity management;

(i) conducting appropriate evaluations or audits of entity operations and developing findings and recommendations for resolution of identified problems or risk exposures;

(j) conducting an annual review or evaluation of the entity's risk reduction efforts and providing the Fund or any captive with a copy of this evaluation; and

(k) performing other related duties as assigned by the entity risk coordinator, by entity management, or as requested by the Fund or any captive.

History

KEY: risk management
Date of Last Change: February 22, 2023
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-101 et seq.

Utah Admin. Code R37-1-8 Underwriting Standards

In accordance with Subsection 63A-4-101(2)(b)(i), covered entities shall comply with the following underwriting standards:

(1) Annually review, update, and submit a Statement of Values to the Fund before July 1 st ;

(2) Within 90 days of acquisition, report to the Fund or any captive the description and value of any after-acquired property in excess of $25,000,000.

(3) Within 30 days of receipt, report each leased, donated, or other non-owned asset with a value in excess of $500,000, and report collections of art or other valuables with an aggregate value in excess of $500,000, located in a single location;

(4) Provide each volunteer and employee with training approved by the Fund on unlawful discrimination and harassment in the workplace and other civil rights and liability issues as required by the Fund:

(a) After initial training all covered entities shall provide updated or refresher training to all staff members every two years;

(b) For state entities this training shall be coordinated with the Division of Human Resource Management and shall be developed and provided by qualified individuals; and

(c) Covered entities shall keep records of the training, including who provided the training, who attended the training and when they attended it.

(5) Covered entities shall implement the following driver safety standards:

(a) conduct or facilitate driver's license verification checks on all new employees and volunteers who will operate entity vehicles or their own vehicles on entity business at time of employment;

(b) annually verify the status of the driver's license of all employees and volunteers who operate entity vehicles or their own vehicles on entity business;

(c) establish procedures to ensure that any employee or volunteer who does not have a valid driver's license is not allowed to operate an entity vehicle or their own vehicle on entity business;

(d) develop procedures to ensure that records of driver's license checks are kept confidential;

(e) include a requirement for maintenance of a valid and appropriate driver's license in all written job descriptions or other job analysis documents or individual performance plans where use of a vehicle is an essential function of the job;

(f) require and document that all employees and volunteers who operate entity vehicles, or their own vehicles on entity business, complete a Fund-approved or Fund-provided driver safety program at the time of initial employment and every two years thereafter;

(g) develop and enforce policies and procedures to deal with unsafe driving behavior and hazardous driving situations, including the following:

(i) prohibit employees or volunteers who are involved in an at-fault accident from operating entity vehicles or their own vehicles on entity business for a reasonable time, not to exceed 30 days;

(ii) require each at-fault employee or volunteer to complete the Fund-approved driver safety program before restoring driving privileges;

(iii) ensure employees and volunteers who are required to operate entity vehicles or their own vehicles on entity business operate those vehicles within the limits or restrictions of their individual licenses; and

(iv) prohibit employees and volunteers who are convicted of Driving under the Influence of Alcohol or Drugs or Reckless Driving from operating entity vehicles or their own vehicles on entity business until their driving privileges are legally restored.

(6) comply with Rule R27-7 if the covered entity is a state agencies or institution of higher education;

(7) if the covered entity is a school district or a charter school, establish and maintain a driver safety committee, composed of three or more employees, including the risk coordinator, to perform the following functions:

(a) evaluate, within 30 days of occurrence, each vehicle accident and traffic violation involving entity-owned vehicles or personal vehicles on entity business;

(b) provide reasonable notice to each employee or volunteer, whose accident or traffic violation will be evaluated, of the driver safety committee meeting and ensure the employee or volunteer can participate in person, via video conference, or by telephone;

(d) determine whether each traffic violation resulted from the employee's or volunteers' hazardous driving behavior;

(e) document the determination of the driver safety committee as to accident preventability and hazardous driving behavior;

(f) develop recommendations regarding driving privileges, remediation, and discipline;

(g) promptly report documented determinations and recommendations to entity management;

(h) promptly notify the employee or volunteer of findings regarding accident preventability and hazardous driving behavior; and

(i) maintain driver safety committee determinations, recommendations, and all reviewed records for a minimum of four years.

(8) review the performance standards and job descriptions of each employee and where appropriate add a standard requiring the use of required safety equipment, adherence to safety standards, or other liability and risk reduction requirements appropriate to the position and duties performed by the employee; and

(9) comply with the adopted editions of the International Building Code, International Fire Code, and other applicable codes in all new construction, remodels, or additions to existing facilities;

(10) ensure existing facilities known to be out of compliance at the time of construction with the adopted edition of the International Building Code, International Fire Code and all other applicable codes are brought up to compliance as a condition of insurability;

(11) covered entities that fail to comply with Subsections (9) and (10) will receive an appropriate premium surcharge or coverage restriction after reasonable notice and an opportunity to cure areas of noncompliance.

History

KEY: risk management
Date of Last Change: February 22, 2023
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-101 et seq.

R37-2 Risk Management State Workers' Compensation Insurance Administration

Utah Admin. Code R37-2-1 Purpose

The purpose of this rule is to establish the responsibilities and guidelines governing the acquisition and administration of workers' compensation insurance, the allocation of costs and the required activities or actions of covered agencies utilizing this coverage.

History

KEY: risk management, workers compensation
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-201

Utah Admin. Code R37-2-2 Authority

This rule is established pursuant to Section 63A-4-101 which authorizes the State's Risk Manager to recommend rules to the Department Director who is authorized to enact rules; and Subsection 63A-4-101(2)(a) which authorizes the State's Risk Manager to acquire and administer workers' compensation insurance for the state.

History

KEY: risk management, workers compensation
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-201

Utah Admin. Code R37-2-3 Workers' Compensation Costs Allocation

The State's Risk Manager shall allocate workers' compensation insurance costs to state entities on the basis of an equitable and actuarially sound distribution of costs. The Risk Manager shall collect these funds through the state's payroll process. The following factors may be considered in developing this allocation:

(1) Covered entity injured workers' compensation claims and accident history and trends.

(2) Covered entity participation in preferred provider programs designated by the Risk Manager.

(3) Covered entity safety, loss prevention and loss control programs.

(4) Covered entity disability prevention efforts.

(5) Covered entity injured worker temporary transitional duty, and return to work programs.

(6) Covered entity case consultation and cooperation with Risk Management.

(7) Covered entity payroll by rate classification.

History

KEY: risk management, workers compensation
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-201

Utah Admin. Code R37-2-4 Expenditure of Workers' Compensation Collections

The expenditure of collected funds shall be made with the approval of the Risk Manager. In addition to other activities which reduce the overall workers' compensation costs to the state, the collected funds may be expended for:

(1) Workers' Compensation Insurance premiums for state entities.

(2) Work site modification and assistive technology to return injured employees to work.

(3) Employee safety and loss control programs.

(4) Disability and injury prevention programs.

(5) Claims management systems.

(6) Claims information systems.

History

KEY: risk management, workers compensation
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-201

Utah Admin. Code R37-2-5 Preferred Provider Program

The Risk Manager may designate a preferred provider program developed by the state's workers compensation insurer, or a preferred provider program developed by Risk Management. Additional contracted facilities or providers may be designated by the Risk Manager. Any designated program shall be in accordance with statutes and rules governing such workers' compensation programs. If the Risk Manager designates any preferred provider program or additional contracted facility or providers state entities shall notify employees of them and require their use by employees for initial treatment.

History

KEY: risk management, workers compensation
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-201

Utah Admin. Code R37-2-6 Temporary Transitional Duty

Covered entities shall develop return to work and temporary transitional duty procedures. Entities shall ensure that these procedures are in accordance with the requirements of the "Americans With Disabilities Act", and other applicable laws and rules. The procedures shall provide for the return of injured employees to work at the earliest appropriate date.

History

KEY: risk management, workers compensation
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-201

Utah Admin. Code R37-2-7 Agency Notice and Other Requirements

All state entities shall do the following with respect to any employee or volunteer injury:

(1) Provide immediate notification to Risk Management through a phone call, E-mail, or facsimile, when any of the following conditions occur:

(a) Serious injury.

(b) An injury which is questionable or appears to be fraudulent.

(d) An accident where a third party action caused the accident, death or injury.

(2) Notify the Division of Industrial Accidents of the Utah State Labor Commission of incidents, as required by Subsection 34a-2-407(4).

(3) Within seven days of an employee injury, complete a "First Report of Injury Form" provided by Risk Management.

(4) Distribute copies of the "First Report of Injury Form", as indicated on the form, to the Division of Industrial Accidents of the Labor Commission, the state's Workers' Compensation insurer, Risk Management, and the injured employee.

History

KEY: risk management, workers compensation
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-4-201

R37-3 Risk Management Adjudicative Proceedings

Utah Admin. Code R37-3-1 Definitions

The terms used in this rule are defined in Section 63G-4-103.

History

KEY: risk management
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-1-110; 63G-4-101

Utah Admin. Code R37-3-2 Authority

This rule is enacted in compliance with the Utah Administrative Procedures Act, Section 63G-4-102 et seq., and Section 63A- 1-110.

History

KEY: risk management
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-1-110; 63G-4-101

Utah Admin. Code R37-3-3 Purpose

(1) The Risk Manager designates all agency action subject to the scope and applicability of the Utah Administrative Procedures Act, Title 63G, Chapter 4, as informal proceedings.

(2) Pursuant to Section 63G-4-102, all agency action with respect to questions of coverage of the risk management Fund, premiums to be charged by the Fund and the interpretation of policies issued by the Fund are actions relating to contracts for the purchase or sale of goods or services by and for the State or by and for an agency of the State and are excluded from the coverage of the Administrative Procedures Act, Section 63G-4-102 et seq., and these rules.

History

KEY: risk management
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-1-110; 63G-4-101

Utah Admin. Code R37-3-4 Procedure

In compliance with Section 63G-4-203, the procedure for the informal adjudicative proceedings is as follows:

(1) The agency shall not be required to respond in writing to a request for agency action.

(2) The respondent to a notice of agency action pursuant to Section 63G-4-301 shall file an answer or responsive pleading to the allegations contained in the notice of agency action within 20 days following receipt of the notice of agency action.

(3) No hearing shall be held in any agency informal adjudication unless required by statute.

(4) If the agency does not respond in writing to a request for agency action, or does not issue a written decision or order pursuant to Section 63G-4-203 within 90 days of the filing of the request for agency action, such request shall be deemed denied by the agency.

History

KEY: risk management
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-1-110; 63G-4-101

Utah Admin. Code R37-3-5 Agency Review

Pursuant to Section 63G-4-301, the risk manager does not recommend and the executive director does not enact a rule permitting agency review.

History

KEY: risk management
Date of Last Change: September 9, 2021
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63A-1-110; 63G-4-101

R37-4 Adjusted Utah Governmental Immunity Act Limitations on Judgments

Utah Admin. Code R37-4-1 Authority and Calculation Process

Pursuant to Subsection 63G-7-605(4), the Risk Manager establishes new limitations of judgments, based upon the adjustments communicated by the Legislative Fiscal Analyst.

History

KEY: limitation on judgments, risk management, Governmental Immunity Act caps
Date of Last Change: September 22, 2025
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-605(4)

Utah Admin. Code R37-4-2 New Limitation of Judgment Amounts

The new limitation of judgment amounts currently required by Subsection 63G-7-604(3) are increased as follows, pursuant to Section 63G-7-605, and are effective July 1, 2022 for claims occurring on or after that date:

(1) The limit for damages for personal injury against a governmental entity, or against an employee whom a governmental entity has a duty to indemnify, is $827,000 for one person in any one occurrence, and $3,329,100 is the aggregate amount of individual awards that be may awarded in relation to a single occurrence; and

(2) the limit for property damages, excluding damages awarded as compensation when a governmental entity has taken or damaged private property for public use without just compensation, against a governmental entity, or against an employee whom a governmental entity has a duty to indemnify, is $326,200 in any one occurrence.

History

KEY: limitation on judgments, risk management, Governmental Immunity Act caps
Date of Last Change: September 22, 2025
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-605(4)

Utah Admin. Code R37-4-3 Limitations of Judgments by Calendar Date

The limitations on judgments are established by the date of the occurrence. The dates and dollar amounts are as follows:

(1) Incidents occurring before July 1, 2001 - $250,000 for one person in an occurrence, $500,000 aggregate for two or more persons in an occurrence; and $100,000 for property damage for any one occurrence.

(2) Incidents occurring on or after July 1, 2001 - $500,000 for one person in an occurrence, $1,000,000 aggregate for two or more persons in an occurrence; and $200,000 for property damage for any one occurrence.

(3) Incidents occurring on or after July 1, 2002 - $532,500 for one person in an occurrence, $1,065,000 aggregate for two or more persons in an occurrence; and $213,000 for property damage for any one occurrence.

(4) Incidents occurring on or after July 1, 2004 - $553,500 for one person in an occurrence, $1,107,000 aggregate for two or more persons in an occurrence, and $221,400 for property damage for any one occurrence.

(5) Incidents occurring on or after July 1, 2006 - $583,900 for one person in an occurrence, $1,167,900 aggregate for two or more persons in an occurrence, and $233,600 for property damage for any one occurrence.

(6) Incidents occurring on or after July 1, 2007 - $583,900 for one person in an occurrence, $2,000,000 aggregate for two or more persons in an occurrence, and $233,600 for property damage for any one occurrence.

(7) Incidents occurring on or after July 1, 2008 - $620,700 for one person in an occurrence, $2,126,000 aggregate for two or more persons in an occurrence, and $248,300 for property damage for any one occurrence.

(8) Incidents occurring on or after July 1, 2010 - $648,700 for one person in an occurrence, $2,221,700 aggregate for two or more persons in an occurrence, and $259,500 for property damage for any one occurrence.

(9) Incidents occurring on or after July 1, 2012 - $674,000 for one person in an occurrence, $2,308,400 aggregate for two or more persons in an occurrence, and $269,700 for property damage for any one occurrence.

(10) Incidents occurring on or after July 1, 2014 - $703,000 for one person in an occurrence, $2,407,700 aggregate for two or more persons in an occurrence, and $281,300 for property damage for any one occurrence.

(11) Incidents occurring on or after July 1, 2016 - $717,100 for one person in an occurrence, $2,455,900 aggregate for two or more persons in an occurrence, and $286,900 for property damage for any one occurrence.

(12) Incidents occurring on or after July 1, 2018 - $745,200 for one person in an occurrence, $2,552,000 aggregate for two or more persons in an occurrence, and $295,000 for property damage for any one occurrence as explained in Subsection R37- 4-2(2).

(13) Incidents occurring on or after July 1, 2020 - $779,600 for one person in an occurrence, $3,138,300 aggregate for two or more persons in an occurrence, and $307,700 for property damage for any one occurrence as explained in Subsection R37- 4-2(2).

(14) Incidents occurring on or after July 1, 2022 - $827,000 for one person in an occurrence, $3,329,100 aggregate for two or more persons in an occurrence, and $326,200 for property damage for any one occurrence as explained in Subsection R37- 4-2(2).

(15) Incidents occurring on of after July 1, 2024 - $911,300 for one person in an occurrence, $3,668,400 aggregate for two or more persons in an occurrence, and $366,900 for property damage for any one occurrence as explained in Subsection R37- 4-2(2).

History

KEY: limitation on judgments, risk management, Governmental Immunity Act caps
Date of Last Change: September 22, 2025
Notice of Continuation: March 21, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-605(4)

R477 Human Resource Management

R477-1 Definitions

Utah Admin. Code R477-1-1 Definitions

The following definitions apply to Title R477 unless otherwise indicated within the text of each rule.

(1) "Abandonment of Position" means an act of resignation resulting when an employee is absent from work for three consecutive working days without approval.

(2) "Actual FTE" means the total number of full time equivalents based on actual hours paid in the state payroll system.

(3) "Actual Hours Worked" means time spent performing duties and responsibilities associated with the employee's job assignments.

(4) "Actual Wage" means the employee's assigned wage rate in the central personnel record maintained by the Division of Human Resource Management.

(5) "ADA" means the Americans With Disabilities Act, 42 U.S.C. 12102.

(6) "Administrative Leave" means leave with pay granted to an employee at management discretion that is not charged against the employee's leave accounts.

(7) "Administrative Adjustment" means a DHRM approved adjustment to a job or salary range that is not a Market Comparability Adjustment, a Structure Adjustment, or a Reclassification. It is for administrative purposes only. An Administrative Adjustment will result in an increase to incumbent pay only when necessary to bring salaries to the minimum of the salary range.

(8) "Administrative Salary Decrease" means a decrease in an employee's current actual wage based on non-disciplinary administrative reasons determined by an agency head.

(9) "Administrative Salary Increase" means an increase in an employee's current actual wage based on special circumstances determined by an agency head.

(10) "Agency" means an entity of state government that is:

(a) directed by an executive director, elected official, or commissioner defined in Title 67, Chapter 22, State Officer Compensation, or in other sections of the code;

(b) authorized to employ personnel; and

(11) "Agency Head" means the executive director or commissioner of each agency or a designated appointee.

(12) "Agency Human Resource Field Office" means an office of the Division of Human Resource Management located at another agency's facility.

(13) "Alternative State Application Program (ASAP)" means a program designed to appoint a qualified person with a disability through an on the job examination period.

(14) "Appeal" means a formal request to a higher level for reconsideration of a grievance decision.

(15) "Appointing Authority" means the officer, board, commission, person, or group of persons authorized to make appointments in their agencies.

(16) "Break in Service" means a point at which an individual has an official separation date and is no longer an employee of the State of Utah.

(17) "Budgeted FTE" means the total number of full time equivalents budgeted by the Legislature and approved by the Governor.

(18) "Career Mobility" means a temporary assignment of an employee to a different position for professional development or to fulfill specific organizational needs.

(19) "Career Service Employee" means an employee who has successfully completed a probationary period in a career service position.

(20) "Career Service Exempt Employee" means an employee who serves at the pleasure of the appointing authority and may be separated from state employment at any time for any reason or for no reason.

(21) "Career Service Exempt Position" means a position in state service that is exempt from career service provisions under Section 63A-17-301.

(22) "Career Service Status" means status granted to an employee who successfully completes a probationary period following appointment to a career service position.

(23) "Category of Work" means a job series an agency head designates as having positions to be eliminated agency wide through a reduction in force. Category of work may be further reduced as follows:

(a) a unit smaller than the agency upon providing justification and rationale for approval, including:

(i) unit number;

(ii) cost centers;

(iii) geographic locations; or

(iv) agency programs.

(b) positions identified by a set of essential functions, including:

(i) position analysis data;

(ii) certificates;

(iii) licenses;

(iv) special qualifications; or

(v) degrees that are required or directly related to the position.

(24) "Change of Workload" means a change in position responsibilities and duties or a need to eliminate or create particular positions in an agency caused by legislative action, financial circumstances, or administrative reorganization.

(25) "Classification Grievance" means the approved procedure by which an agency or a career service employee may grieve a formal classification decision regarding the classification of a position.

(26) "Classified Service" means positions that are subject to the classification and compensation provisions stipulated in Section 63A-17-307.

(27) "Classification Study" means a classification review conducted by DHRM under Section R477-3-4. A study may include single or multiple job or position reviews.

(28) "Compensatory Time" means time off that is provided to an employee in lieu of monetary overtime compensation.

(29) "Contractor" means an individual who is contracted for service, is not supervised by a state supervisor, but is responsible for providing a specified service for a designated fee within a specified time. The contractor shall be responsible for paying any taxes and FICA payments, and may not accrue benefits.

(30) "Critical Incident Drug or Alcohol Test" means a drug or alcohol test conducted on an employee as a result of the behavior, action, or inaction of an employee that is of such seriousness it requires an immediate intervention by management.

(31) "Demotion" means a disciplinary action resulting in a reduction of an employee's current actual wage.

(32) "Position Management Report" means a document that lists an agency's authorized positions, incumbent's name and hourly rate, job identification number, salary range, and schedule.

(33) "DHRM" means the Division of Human Resource Management.

(34) "DHRM Approved Recruitment and Selection System" means the state's recruitment and selection system, which is a centralized and automated computer system administered by the Division of Human Resource Management.

(35) "Direct Supervisor" means an employee's primary supervisor who normally directs day to day job activity such as assigning work, approving time records, and considering leave requests.

(36) "Disability" has the same definition found in the Americans With Disabilities Act of 1990, 42 U.S.C. 12101 (2008); Equal Employment Opportunity Commission regulation, 29 CFR 1630 (2008); including exclusions and modifications.

(37) "Disciplinary Action" means action taken by management under Rule R477-11.

(38) "Dismissal" means a management initiated separation from state employment.

(39) "Dual State Employment" means an employee works for more than one agency and meets the employee criteria which is located in the Division of Finance accounting policy 11-18.00.

(40) "Drug-Free Workplace Act" means a congressional act, 41 U.S.C. Section 8101, et seq., requiring a drug-free workplace certification by state agencies that receive federal grants or contracts.

(41) "Employee Personnel Files" means the files or records maintained by DHRM and agencies as required by Section R477-2-5 for purposes of Title 67, Chapter 18, Employees' Personnel Files and Title 63A, Chapter 17, Utah State Personnel Management Act. This does not include employee information maintained by supervisors.

(42) "Employment Eligibility Verification" means a requirement of the Immigration Reform and Control Act of 1986, 8 U.S.C. 1324 that employers verify the identity and eligibility of individuals for employment in the United States.

(43) "Escalator Principle" means returning veterans are entitled to return back onto their seniority escalator at the point they would have occupied had they not left state employment under the Uniformed Services Employment and Reemployment Rights Act of 1994, 38 U.S.C. 4301, et seq. (USERRA).

(44) "Employee's Family Member" means an employee's relative or household member as defined in Section 52-3-1 but also including, stepsiblings, stepparents, and stepchildren.

(45) "Fitness For Duty Evaluation" means evaluation, assessment, or study by a licensed professional to determine if an individual can meet the performance or conduct standards required by the position held, or is a direct threat to the safety of self or others.

(46) "FLSA Exempt" means employees who are exempt from the overtime and minimum wage provisions of the Fair Labor Standards Act.

(47) "FLSA Non-Exempt" means employees who are not exempt from the overtime and minimum wage provisions of the Fair Labor Standards Act.

(48) "Follow Up Drug or Alcohol Test" means unannounced drug or alcohol tests conducted for up to five years on an employee who has previously tested positive or who has successfully completed a voluntary or required substance abuse treatment program.

(49) "Furlough" means a temporary leave of absence from duty without pay for budgetary reasons or lack of work.

(50) "GOPB" means Governor's Office of Planning and Budget.

(51) "Grievance" means a career service employee's claim or charge of the existence of injustice or oppression, including dismissal from employment resulting from an act, occurrence, omission, condition, discriminatory practice or unfair employment practice not including position classification or schedule assignment, or a complaint by a reporting employee as defined in Section 67-19a-101.

(52) "Grievance Procedures" means the statutory process of grievances and appeals as set forth in Title 67, Chapter 19a, Grievance Procedures, and the rules promulgated by the Career Service Review Office.

(53) "Gross Compensation" means an employee's total earnings, taxable and nontaxable, as shown on the employee's pay statement.

(54) "Highly Sensitive Position" means a position approved by DHRM that includes the performance of:

(a) safety-sensitive functions:

(i) requiring an employee to operate a commercial motor vehicle under 49 CFR 383;

(ii) directly related to law enforcement;

(iii) involving direct access or having control over direct access to controlled substances;

(iv) directly impacting the safety or welfare of the general public; or

(v) requiring an employee to carry or have access to firearms; or

(b) data sensitive functions permitting or requiring an employee to access an individual's highly sensitive, personally identifiable, private information, including:

(i) financial assets, liabilities, and account information;

(ii) social security numbers;

(iii) wage information;

(iv) medical history;

(v) public assistance benefits; or

(vi) driver license.

(55) "Hiring List" means a list of qualified and interested applicants who are eligible to be considered for appointment or conditional appointment to a specific position created in the DHRM approved recruitment and selection system.

(56) "Incompetence" means inadequacy or unsuitability in performance of assigned duties and responsibilities.

(57) "Inefficiency" means wastefulness of government resources including time, energy, money, or staff resources or failure to maintain the required level of performance.

(58) "Intern" means an individual in a college degree or certification program assigned to work in an activity where on the job training or community service experience is accepted.

(59) "Job" means a group of positions similar in duties performed, in degree of supervision exercised or required, in requirements of training, experience, or skill and other characteristics. The same salary range is applied to each position in the group.

(60) "Job Description" means a document containing the duties, distinguishing characteristics, knowledge, skills, and other requirements for a job.

(61) "Job Family" means a group of jobs that have related or common work content, that share common skills, responsibilities, and requirements, and that normally represents a general occupation area.

(62) "Job Requirements" means skill requirements defined at the job level.

(63) "Job Series" means two or more jobs in the same functional area having the same job title, but distinguished and defined by increasingly difficult levels of skills, responsibilities, knowledge, and requirements; or two or more jobs with different titles working in the same functional area that have licensure, certification, or other requirements with increasingly difficult levels of skills, responsibilities, knowledge, and requirements.

(64) "Leave Benefit" means a benefit provided to an employee that includes: Annual leave, sick leave, converted sick leave, and holiday leave. These benefits are not provided to non-benefited employees.

(65) "Legislative Salary Adjustment" means a legislatively approved salary increase for a specific category of employees based on criteria determined by the Legislature.

(66) "Malfeasance" means intentional wrongdoing, deliberate violation of law or standard, or mismanagement of responsibilities.

(67) "Management" means the agency head and any other officers or employees who have responsibility and authority to establish, implement, and manage agency policies and programs.

(68) "Market Based Bonus" means a one-time lump sum monies given to a new hire or a current employee to encourage employment with the state.

(69) "Market Comparability Adjustment" means a legislatively approved adjustment to a salary range that is based upon salary data and other relevant information from comparable jobs in the market that is collected by DHRM or from DHRM approved justifiable sources. The Market Comparability Adjustment may also change incumbent pay resulting in a budgetary impact for an agency.

(70) "Misconduct" means wrongful, improper, unacceptable, or unlawful conduct or behavior that is inconsistent with prevailing agency practices or the best interest of the agency.

(71) "Misfeasance" means the improper or unlawful performance of an act that is lawful or proper.

(72) "Nonfeasance" means failure to perform either an official duty or legal requirement.

(73) "Performance Evaluation" means a formal, periodic evaluation of an employee's work performance.

(74) "Performance Improvement Plan" means a documented administrative action to address substandard performance of an employee under Section R477-10-2.

(75) "Performance Management" means the ongoing process of communication between the direct supervisor and the employee which defines work standards and expectations, and assesses performance leading to a formal annual performance evaluation.

(76) "Performance Plan" means a written summary of the standards and expectations required for the successful performance of each job duty or task. These standards normally include completion dates and qualitative and quantitative levels of performance expectations.

(77) "Performance Standard" means specific, measurable, observable and attainable objectives that represent the level of performance to which an employee and direct supervisor are committed during an evaluation period.

(78) "Personnel Adjudicatory Proceedings" means the informal appeals procedure contained in Title 63G, Chapter 4, Administrative Procedures Act for human resource policies and practices not covered by the state employee's grievance procedure promulgated by the Career Service Review Office, or the classification appeals procedure.

(79) "Phased Retirement" means employment on a half-time basis of a retiree with the same participating employer immediately following the retiree's retirement date where the retiree will receive a reduced retirement allowance.

(80) "Position" means a unique set of duties and responsibilities identified by DHRM authorized job and position management numbers.

(81) "Position Description" means a document that describes the detailed tasks performed, as well as the knowledge, skills, abilities, and other requirements of a specific position.

(82) "Position Identification Number" means a unique number assigned to a position for FTE management.

(83) "Post Accident Drug or Alcohol Test" means a drug or alcohol test conducted on an employee who is involved in a vehicle accident while on duty or driving a state vehicle:

(a) the employee was performing safety-sensitive functions with respect to the vehicle the employee was operating and the accident involves the loss of human life;

(b) the driver receives a citation under state or local law for a moving traffic violation arising from the accident and the accident involved:

(i) the loss of human life or bodily injury to any person who, as a result of the injury, immediately receives medical treatment away from the scene of the accident; or

(ii) one or more motor vehicles incurring disabling damage as a result of the accident, requiring the motor vehicle to be transported away from the scene by a tow truck or other vehicle; or

(c) where there is reasonable suspicion that the employee had been driving while under the influence of alcohol or a controlled substance.

(84) "Pre-employment Drug Test" means a drug test conducted on:

(a) final applicants who are not current employees;

(b) final candidates for a highly sensitive position;

(c) employees who are final candidates for transfer or promotion from a non-highly sensitive position to a highly sensitive position; or

(d) employees who transfer or are promoted from one highly sensitive position to another highly sensitive position.

(85) "Probationary Employee" means an employee hired into a career service position who has not completed the required probationary period for that position.

(86) "Probationary Period" means a period for management to evaluate an employee's ability to perform assigned duties and responsibilities and to determine if career service status should be granted to the employee. The length of the period is identified at the job level and the period is considered part of the selection process.

(87) "Proficiency" means an employee's overall quality of work, productivity, skills demonstrated through work performance and other factors that relate to employee performance or conduct.

(88) "Promotion" means an action moving an employee from a position in one job to a position in another job having a higher salary range maximum.

(89) "Protected Activity" means opposition to discrimination or participation in proceedings covered by the antidiscrimination statutes or the Utah State Grievance and Appeal Procedure. Harassment based on protected activity can constitute unlawful retaliation.

(90) "Random Drug or Alcohol Test" means unannounced drug or alcohol testing of a sample of an employee in a highly sensitive position done in accordance with federal regulations or state rules, policies, and procedures, and conducted in a manner such that each highly sensitive employee has an equal chance of being selected for testing.

(91) "Reappointment" means return to work of an individual from the reappointment register after separation from employment.

(92) "Reappointment Register" means a register of individuals who have, before March 2, 2009:

(a) held career service status and been separated in a reduction in force;

(b) held career service status and accepted career service exempt positions without a break in service and were not retained, unless discharged for cause; or

(93) "Reasonable Suspicion Drug or Alcohol Test" means a drug or alcohol test conducted on an employee based on specific, contemporaneous, articulated observations concerning the appearance, behavior, speech, or body odors of the employee.

(94) "Reassignment" means an action mandated by management moving an employee from one job or position to a different job or position with an equal or lesser salary range maximum for administrative reasons. A reassignment may not include a decrease in actual wage except as provided in federal or state law.

(95) "Reclassification" means a DHRM reallocation of a single position or multiple positions from one job to another job to reflect management initiated changes in duties and responsibilities.

(96) "Reduction in Force (RIF)" means abolishment of positions resulting in the termination of career service employment. RIFs can occur due to inadequate funds, a change of workload, or a lack of work.

(97) "Reemployment" means return to work of an employee who resigned or took military leave of absence from state employment to serve in the uniformed services covered under USERRA.

(98) "Salary Range" means established minimum and maximum wage rates assigned to a job.

(99) "Schedule" means the designation of a position as career service (schedule B) or career service exempt (schedule A) under Title 63A, Chapter 17, Utah State Personnel Management Act.

(100) "Separation" means an employee's voluntary or involuntary departure from state employment.

(101) "Settling Period" means a sufficient amount of time, determined by agency management, for an employee to fully assume new or higher level duties required of a position.

(102) "Structure Adjustment" means a DHRM approved adjustment to a salary range that is based upon salary data and other relevant information from comparable jobs in the market that is collected by DHRM or from DHRM approved justifiable sources.

(103) "Tangible Employment Action" means a significant change in employment status, such as dismissal, demotion, failure to promote, work reassignment, or a decision which changes benefits.

(104) "Transfer" means an action not mandated by management moving an employee from one job or position to another job or position with an equal or lesser salary range maximum for which the employee qualifies. A transfer may include a decrease in actual wage.

(105) "Uniformed Services" means the United States Army, Navy, Marine Corps, Air Force, Coast Guard; Reserve units of the Army, Navy, Marine Corps, Air Force, or Coast Guard; Army National Guard or Air National Guard; Commissioned Corps of Public Health Service, National Oceanic and Atmospheric Administration (NOAA), National Disaster Medical Systems (NDMS) and any other category of persons designated by the President in time of war or emergency. Service in uniformed services includes: voluntary or involuntary duty, including active duty; active duty for training; initial active duty for training; inactive duty training; full time National Guard duty; or absence from work for an examination to determine fitness for any of the types of duty listed in this subsection.

(106) "Unlawful Discrimination" means an action against an employee or applicant based on race, religion, national origin, color, sex, age, disability, pregnancy, sexual orientation, gender identity, protected activity under the antidiscrimination statutes, political affiliation, military status or affiliation, or any other factor, as prohibited by law.

(107) "USERRA" means the Uniformed Services Employment and Reemployment Rights Act of 1994, 38 U.S.C. 4301, et seq. requires state governments to re-employ eligible veterans who resigned or took a military leave of absence from state employment to serve in the uniformed services and who return to work within a specified time period after military discharge.

(108) "Veteran" means the same as that term is defined in Section 68-3-12.5.

(109) "Volunteer" means any person who donates services to the state or its subdivisions without pay or other compensation except actual and reasonable expenses incurred, as approved by the supervising agency.

(110) "Wage" means the fixed hourly rate paid to an employee.

(111) "Work Period" means the maximum number of hours an employee may work before accruing overtime or compensatory hours based on variable payroll cycles outlined in Section 63A-17-502 and 29 CFR 553.230.

History

KEY: personnel management, rules and procedures, definitions
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-301; 63A-17-306

R477-2 Administration

Utah Admin. Code R477-2-1 Rules Applicability

Title R477 applies to the executive branch of Utah State Government and its career service and career service exempt employees. Other entities may be covered in specific sections as determined by statute. Any inclusions or exceptions to Title R477 are specifically noted in applicable sections. Entities which are not bound by mandatory compliance with Title R477 include:

(1) members of the Legislature and legislative employees;

(2) members of the judiciary and judicial employees;

(3) officers, faculty, and other employees of state institutions of higher education;

(4) officers, faculty, and other employees of the public education system, other than those directly employed by the State Board of Education;

(5) employees of the Office of the Attorney General;

(6) elected members of the executive branch and their Schedule A employees;

(7) employees of independent entities, quasi-governmental agencies and special service districts; and

(8) employees in any position that is designated by statute to be exempt from Title 63A, Chapter 17, Utah State Personnel Management Act or Title R477.

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

Utah Admin. Code R477-2-2 Compliance Responsibility

Management shall comply with Title R477.

(1) Except where prohibited by statute, the DHRM Division Director may authorize exceptions to Title R477 when:

(a) applying the rule prevents the achievement of legitimate government objectives; or

(b) applying the rule infringes on the legal rights of an employee.

(2) Agency personnel records, practices, policies and procedures, employment, and actions shall comply with Title R477, and are subject to compliance audits by DHRM.

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

Utah Admin. Code R477-2-3 Fair Employment Practice and Discrimination

State personnel actions shall provide equal employment opportunity for individuals.

(1) Employment actions including appointment, tenure or term, condition, or privilege of employment shall be based on the ability to perform the essential duties, functions, and responsibilities assigned to a particular position.

(2) Employment actions may not be based on race, religion, national origin, color, sex, age, disability, pregnancy, sexual orientation, gender identity, or protected activity under the antidiscrimination statutes, political affiliation, military status or affiliation, or any other non-job related factor, except under Subsection 63A-17-301(2)(b)(ii).

(3) An employee who alleges unlawful discrimination may:

(a) follow the procedures in Section R477-15-3; or

(b) file a charge with the Utah Labor Commission Antidiscrimination and Labor Division within 180 days of the alleged harm, or directly with the Equal Employment Opportunity Commission within 300 days of the alleged harm.

(4) A state official may not impede any employee from timely filing a discrimination complaint in accordance with state or federal requirements.

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

Utah Admin. Code R477-2-4 Control of Personal Service Expenditures

(1) The Governor's Office of Planning and Budget, the Division of Human Resource Management, and the Division of Finance share responsibility for the statewide control of personal service expenditures.

(2) The DHRM Division Director or designee shall approve changes in job identification numbers, salary ranges, or number of positions listed in the position management report.

(3) No person shall be placed or retained on an agency payroll unless that person occupies a position listed in an agency's approved position management report.

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

Utah Admin. Code R477-2-5 Records

Title 63G, Chapter 2, Government Records Access and Management Act (GRAMA) and applicable federal laws govern access to and privacy of personnel records maintained by DHRM. DHRM shall designate and classify any records and record series it maintains under the GRAMA statute.

(1) DHRM shall maintain an electronic record for each employee that contains the following, as appropriate:

(a) Social Security number, date of birth, home address, and private phone number;

(b) performance records; and

(c) records of actions affecting employee salary history, classification history, title and salary range, employment status, and other personal data.

(2) Personally identifiable information in Subsection (1)(a) is classified as private under GRAMA. An agency may have access to this information and shall maintain the privacy of the information.

(3) DHRM shall maintain, on behalf of agencies, personnel files.

(4) DHRM shall maintain, on behalf of agencies, a confidential medical file. Confidentiality shall be maintained in accordance with applicable regulations. Information in the medical file is private, controlled, or exempt in accordance with Title 63G, Chapter 2, Government Records Access and Management Act.

(5) An employee has the right to review the employee's personnel file, upon request, in the presence of a DHRM representative. An employee may request corrections, amendments to, or challenge any information in the employee's electronic or hard copy personnel record by sending a written request to management.

(6) Management shall remove from the employee's personnel file all forms, documents, and records pertaining to a disciplinary action when that action is rescinded or otherwise vacated by proper authority.

(7) DHRM shall retain records according to the applicable record retention schedule.

(8) The former agency shall transfer the employee's personnel file, medical, and I-9 records to the new agency when an employee transfers from one agency to another.

(9) An employee who violates confidentiality is subject to disciplinary action and may be personally liable.

(10) Records related to conduct for which an employee may be disciplined under Subsection R477-11-1(1) are classified as private records under Subsection 63G-2-302(2)(a).

(11) If disciplinary action under Subsection R477-11-1(4) has been sustained and all time periods for administrative appeal have expired, the documents issued in the disciplinary process are classified as public records under Subsection 63G-2- 301(3)(o).

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

Utah Admin. Code R477-2-6 Release of Information in a Reference Inquiry

Reference checks or inquiries made regarding current or former public employees, volunteers, independent contractors, and members of advisory boards or commissions can be released if the information is classified as public, or if the subject of the record has signed and provided a current reference release form for information authorized under Title 63G, Chapter 2, Government Records Access and Management Act.

(1) The employment record is the property of Utah State Government with all rights reserved to utilize, disseminate, or dispose of in accordance with Title 63G, Chapter 2, Government Records Access and Management Act.

(2) Additional information may be provided if authorized by law.

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

Utah Admin. Code R477-2-7 Employment Eligibility Verification (Immigration Reform and Control Act -- 1986)

Employees newly hired, rehired, or placed through reciprocity with or assimilation from another career service jurisdiction shall provide verifiable documentation of their identity and eligibility for employment in the United States by completing all sections of the Employment Eligibility Verification Form I-9 as required under the Immigration Reform and Control Act of 1986, Pub. L. No. 99 603.

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

Utah Admin. Code R477-2-8 Public Officers Supervising a Relative or Household Member

(1) A public officer may not appoint, directly supervise, or make salary, performance, disciplinary, or other employment matter decisions regarding a family member, including a household member.

(2) A public officer supervising a family member, including a household member, shall make a complete written disclosure of any such relationship to the agency head and be recused from any employment matter discussions or decisions relating to the family member, including a household member.

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

Utah Admin. Code R477-2-9 Employee Liability

An employee who becomes aware of any occurrence which may give rise to a lawsuit, who receives notice of claim, or is sued because of an incident related to state employment, shall give immediate notice to management and to the Department of Government Operations, Division of Risk Management.

(1) In most cases, under Title 63G, Chapter 7, Governmental Immunity Act, an employee shall receive defense and indemnification unless the case involves fraud, malice, or the use of alcohol or drugs by the employee.

(2) Before an agency may defend its employee against a claim, the employee shall make a written request for a defense to the agency head under Subsection 63G-7-902(2).

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

Utah Admin. Code R477-2-10 Alternative Dispute Resolution

Management may establish a voluntary alternative dispute resolution program under Title 63G, Chapter 5, Governmental Dispute Resolution Act.

History

KEY: administrative responsibility, confidentiality of information, fair employment practices, public information
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 52-3-1; 63G-2; 63G-5-201; 63G-7; 63A-17-106; 63A-17-306; 63A-17- 307

R477-3 Classification

Utah Admin. Code R477-3-1 Job Classification Applicability

(1) The DHRM Division Director shall prescribe the procedures and methods for classifying positions except for the following positions, which include:

(a) employees already exempted from DHRM rules in Section R477-2-1;

(b) employees in:

(i) the office and residence of the governor;

(ii) the Public Lands Policy Coordinating Council;

(iii) the Office of the Utah State Auditor; and

(iv) the Utah State Treasurer's Office;

(d) employees in any position that is determined by statute to be exempt from classified service;

(e) employees whose agency has authority to make rules regarding performance, compensation, and bonuses for its employees;

(f) other persons appointed by the governor under statute;

(g) temporary employees who work part time indefinite or work on a time limited basis;

(h) patients and inmates designated as schedule AU;

(i) members of state and local boards and councils and other employees designated as schedule AQ; and

(j) educational interpreters and educators as defined by Section 53E-8-102 who are employed by the Utah Schools for the Deaf and the Blind.

(2) The DHRM Division Director may designate specific job titles, job and position identification numbers, schedule codes, and other administrative information for employees exempted in Sections R477-2-1 and R477-3-1 for identification and reporting purposes only. These employees are not considered classified employees.

(3) Employees in schedule codes AD and AR are not considered classified employees but are subject to Sections R477-3-2 and R477-3-3.

History

KEY: administrative procedures, grievances, job descriptions, position classifications
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-307; 63A-17-602

Utah Admin. Code R477-3-2 Job Description

(1) DHRM shall maintain job descriptions, as appropriate.

(2) Job descriptions shall contain:

(a) job title;

(b) distinguishing characteristics;

(d) statements of required knowledge, skills, and other requirements; and

(e) FLSA status and other administrative information as approved by DHRM.

History

KEY: administrative procedures, grievances, job descriptions, position classifications
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-307; 63A-17-602

Utah Admin. Code R477-3-3 Assignment of Duties

(1) Management may assign, modify, or remove any position, task, or responsibility to accomplish reorganization, improve business practices or processes, or for any other reason deemed appropriate by agency management.

(2) Significant changes in the assigned duties may require a position classification review as described in Section R477-3-4.

History

KEY: administrative procedures, grievances, job descriptions, position classifications
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-307; 63A-17-602

Utah Admin. Code R477-3-4 Position Classification Review

(1) DHRM may conduct a formal classification review:

(a) as part of a classification study;

(b) at the request of agency management, with the approval of the DHRM Division Director or designee; or

(2) DHRM shall determine if there have been sufficient significant changes in the duties of a position to warrant a formal review.

(3) DHRM may not conduct a classification review until after an appropriate settling period following reorganization of an agency or position redesign.

(4) The DHRM Division Director or designee shall make final classification decisions unless overturned by a hearing officer or court.

History

KEY: administrative procedures, grievances, job descriptions, position classifications
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-307; 63A-17-602

Utah Admin. Code R477-3-5 Position Classification Grievances

(1) Under Section 63A-17-602, an agency or a career service employee may grieve formal classification decisions regarding the classification of a position.

(a) This rule refers to grievances concerning the assignment of individual positions to appropriate jobs based on duties and responsibilities. The assignment of salary ranges is not included in this rule.

(b) An employee may only grieve a formal classification decision regarding the employee's own position.

(2) DHRM shall send formal notification to grievants under this subsection and retain written record of the notification.

History

KEY: administrative procedures, grievances, job descriptions, position classifications
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-307; 63A-17-602

R477-4 Filling Positions

Utah Admin. Code R477-4-1 Recruitment

(1) Management shall use the DHRM approved recruitment and selection system unless an alternate system has been pre-approved by DHRM.

(2) Management shall notify DHRM of filling any position at least three working days before the employee's start date.

(3) Appointments to fill an employee's position who is on approved leave may not be permanent.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-2 Career Service Exempt Positions

(1) The DHRM Division Director may approve the creation and filling of career service exempt positions, as defined in Section 63A-17-301.

(2) Management shall consult with DHRM regarding the process to select an employee for a career service exempt position. Management may make appointments without competitive examination, provided job requirements are met.

(3) Appointments made on a temporary basis shall be career service exempt and:

(a) be Schedule IN, in which the employee is hired to work part time indefinitely and may not work 1,560 hours or more per fiscal year; or

(b) be Schedule TL, in which the employee is hired to work on a time limited basis.

(4) Agency management shall consult with DHRM to review possible alternative options if the required work hours of the position meet or exceed 1,560 hours per fiscal year for Schedule IN or if the position exceeds anticipated time limits for Schedule TL.

(5) Only career service exempt appointments made from a hiring list under Section R477-4-8 may be considered for conversion to career service.

(6) Management shall ensure that new hire appointees in Schedules AB, AC, AD, AR, and AS submit a disclosure statement and submit to a background check.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-3 Career Service Positions

(1) Management shall select career service employees according to the following:

(a) DHRM standard operating procedures;

(b) career service principles as outlined in Section 63A-17-305, Rule R477-5, and Section R477-2-3;

(d) Section 52-3-1; and

(e) the Americans With Disabilities Act, 42 U.S.C. 12102.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-4 Recruitment and Selection for Career Service Positions

(1) Before initiating a recruitment, management may administer any of the following personnel actions:

(a) reemployment of a veteran eligible under USERRA;

(b) reassignment within an agency initiated by an employee's reasonable accommodation request under the ADA;

(c) fill a position with an employee who is returning to work from long term disability or workers compensation at the same or lesser salary range;

(d) reassignment or transfer made to avoid a reduction in force, or for reorganization purposes;

(e) reassignment, transfer, or career mobility of qualified employees to better utilize skills or assist management in meeting the organization's mission;

(f) reclassification; or

(g) conversion from schedule A to schedule B as authorized by Subsection R477-5-1(3).

(2) Management shall use the DHRM approved recruitment and selection system for any career service position vacancy. This includes recruitments open within an agency, across agency lines, or to the general public. Recruitments shall comply with federal and state laws and DHRM rules and procedures.

(a) Recruitment announcements shall include:

(i) information about the DHRM approved recruitment and selection system; and

(ii) opening and closing dates.

(b) Recruitments for career service positions shall be posted for a minimum of three business days, excluding state holidays.

(3) An agency may carry out the steps for recruitment and selection of vacant career service positions concurrently. Management shall appoint a qualified applicant who meets minimum qualifications from the reappointment register created before March 2, 2009, before making an appointment from a hiring list of qualified applicants for the position, or from another process pre-approved by the DHRM Division Director.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-5 Transfer and Reassignment

(1) Positions may be filled through a transfer or reassignment.

(a) Management shall verify the employee's career service status and that the employee meets the job requirements for the position.

(b) Management receiving a transfer or reassignment of an employee shall accept that employee's previously accrued sick, annual, and converted sick leave on the official leave records.

(d) A reassignment may not include a decrease in actual wage except as provided in federal or state law.

(2) A reassignment or transfer may include assignment to:

(a) a different job or position with an equal or lesser salary range maximum;

(b) a different work location; or

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-6 Rehire

(1) A former employee shall compete for career service positions through the DHRM approved recruitment and selection system and shall serve a new probationary period, as designated in the official job description.

(2) Employees rehired under the Phased Retirement Program under Section 49-11-13 shall be:

(a) classified as time limited (Schedule TL) during a phased retirement employment period; and

(b) placed at or below the employee's wage when the employee retired. Employees cannot be placed below the minimum of the established salary range of the job.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-7 Examinations

(1) Examinations shall be designed to measure and predict applicant job performance.

(2) Examinations shall be based on documented job related criteria and include the following:

(a) an initial, impartial screening of the individual's qualifications;

(b) an impartial evaluation and results; and

(3) Examinations and ratings shall remain confidential and secure pursuant to Subsections 63G-2-302(2)(a) and 63G- 2-305(5).

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-8 Hiring Lists

(1) In consultation with DHRM, management shall:

(a) define criteria related to the job, job series, or position;

(b) evaluate applicants for career service positions; and

(2) The hiring list shall include a unique identifier for each applicant to be considered for appointment or conditional appointment to a specific job, job series, or position.

(3) An individual shall be considered an applicant when the individual applies for a particular position identified through a specific recruitment.

(4) Applicants included on a hiring list shall be examined with the same examination or examinations.

(5) An individual who falsifies any information in the job application, examination or evaluation processes may be disqualified from further consideration before hire, or disciplined if already hired.

(6) The appointing authority shall demonstrate and document that equal consideration was given to applicants on a hiring list whose final score or rating is equal to or greater than that of the applicant hired.

(7) The appointing authority shall ensure that any employee hired meets the job requirements as outlined in the official job description.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-9 Job Sharing

Management may establish a job sharing program as a means of increasing opportunities for part time employment. In the absence of an agency program, individual employees may request approval for job sharing status through management.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-10 Internships

Interns or students in a practicum program may be appointed with or without competitive selection. Intern appointments shall be to temporary, career service exempt positions.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-11 Volunteer Experience Credit

Documented job related volunteer experience shall be given the same consideration as similar paid employment in satisfying the job requirements for career service positions.

(1) Volunteer experience may not be substituted for required licensure, POST certification, or other criteria for which there is no substitution in the job requirements in the job description.

(2) Court ordered community service experience may not be considered.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-12 Reorganization

When an agency is reorganized, but an employee's position does not change substantially, management may not require the employee to compete for the employee's current position.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-13 Career Mobility Programs

(1) A career mobility is a temporary assignment of an employee to a different position for purposes of professional growth or fulfillment of specific organizational needs. Career mobility assignments may be to any salary range.

(2) Management may provide career mobility assignments inside or outside state government in any position for which the employee qualifies.

(3) An employee or management may initiate a career mobility.

(a) Career mobility assignments may be made without going through the competitive process but shall remain temporary.

(b) Career mobility assignments shall only become permanent if:

(i) the position was originally filled through a competitive recruitment process; or

(ii) a competitive recruitment process is used when management determines a need for the assignment to become permanent.

(4) Management shall use a written career mobility agreement with the employee outline any program provisions and requirements. The career mobility shall be both voluntary and mutually acceptable.

(5) A participating employee may choose to retain any rights, privileges, entitlements, career service status subject to Section R477-5-2, and benefits from the previous position while on career mobility.

(a) If a reduction in force affects a position vacated by a participating employee, the participating employee shall be treated the same as other RIF employees.

(b) If a career mobility assignment does not become permanent at its conclusion, the employee shall return to the previous position or a similar position at a salary rate described in Subsection R477-6-6(10).

(6) An employee who has not attained career service status before a career mobility assignment cannot permanently fill a career service position until the employee obtains career service status through a competitive process.

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-14 Assimilation

An employee assimilated by the state from another government career service system to fill a schedule B position shall receive career service status after completing a probationary period if originally selected through a competitive examination process judged by the DHRM Division Director to be equivalent to the process prescribed in DHRM rule.

(1) Assimilation agreements shall specify whether there are employees eligible for reemployment under USERRA in positions affected by the agreement.

(2) An assimilated employee accrues leave based on years of assimilated service plus benefits-eligible state service under Subsection R477-7-3(1).

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

Utah Admin. Code R477-4-15 Hiring of Administrative Law Judges

(1) Section 63A-17-704 applies to hiring Administrative Law Judges. Section 63A-17-704 does not apply to:

(a) an administrative law judge who is appointed by the governor; or

(b) procurement of administrative law judge service under Section 63G-6a-116.

(2) The hiring panel shall consist of:

(a) the head or designee of the hiring agency;

(b) the DHRM Division Director or designee; and

(3) Only the agency heads described in Subsection (2) may designate another individual to serve on the hiring panel on the agency head's behalf in consultation with the designee of the DHRM Division Director.

(4) The hiring agency may select one or more additional subject matter experts to serve on the panel, in consultation with DHRM, in addition to the panel members established in Subsection (2).

History

KEY: employment, fair employment practices, hiring practices
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-8

R477-5 Employee Status and Probation

Utah Admin. Code R477-5-1 Career Service Status

(1) Only an employee who is hired through a pre-approved process shall be eligible for appointment to a career service position.

(2) An employee shall complete a probationary period before receiving career service status.

(3) Management may convert a career service exempt employee to career service status, in a position with an equal or lower salary range, when:

(a) the employee previously held career service status with no break in service between the last career service position held and career service exempt status;

(b) the employee was hired from a public hiring list to a career service exempt position, in the same job title to which they would convert, as prescribed by Section R477-4-8; or

(c) the employee was hired through the Alternative State Application Program (ASAP) and successfully completed a six month on the job examination period.

History

KEY: employment, personnel management, state employees
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-305(5)(b)

Utah Admin. Code R477-5-2 Probationary Period

The probationary period allows management to evaluate an employee's ability to perform the duties, responsibilities, skills, and other related requirements of the assigned career service position. The probationary period shall be considered part of the selection process.

(1) Management shall provide each employee an opportunity to demonstrate competence in a career service position by establishing a performance plan and giving the employee feedback on performance in relation to that plan.

(a) During the probationary period, management may separate an employee from state employment in accordance with Subsection R477-11-2(1).

(b) Management shall evaluate the employee's performance in accordance with Subsection R477-10-1(3).

(2) DHRM shall assign a probationary period to each career service position consistent with its job.

(a) Except for absences covered by USERRA, management may extend the probationary period for any period of absence or temporary transitional assignment.

(b) Management may not reduce the designated probationary period after an employee is appointed to the position.

(c) An employee who has completed a probationary period and obtained career service status may not be required to serve a new probationary period, including when changing agencies, unless there is a break in service.

(3) An employee in a career service position who works at least 50% of the regular work schedule or more shall acquire career service status after working the same amount of elapsed time in hours as a full time employee would work with the same probationary period.

(4) An employee serving probation in a career service position may accept a transfer, reassignment, promotion, or career mobility to another career service position. Each new appointment to a career service position shall include a new probationary period unless management determines that the required duties or knowledge, skills, and abilities of the old and new position are similar enough not to warrant a new probationary period. The probationary period shall be the full probationary period defined in the job description of the new position.

History

KEY: employment, personnel management, state employees
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-305(5)(b)

R477-6 Compensation

Utah Admin. Code R477-6-1 Pay Plans

With approval of the Governor, the DHRM Division Director shall develop salary ranges for pay plans for each job.

(1) DHRM shall include a salary range in each job description.

(2) Management may increase an employee's wage up to the salary range maximum. A wage increase shall be at least 1/2% of the current wage unless the difference between the current wage and the salary range maximum is less than 1/2%.

(3) Management may not increase an employee's wage above the salary range maximum except for pay for performance increases under Subsection R477-6-6(3).

(4) Management may decrease an employee's wage down to the salary range minimum. A wage decrease shall be at least 1/2% of the current wage unless the difference between the current wage and the salary range minimum is less than 1/2%.

(5) Management may not decrease or establish an employee's wage below the salary range minimum.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-2 Allocation to the Pay Plans for Classified Employees

(1) For each job in classified service, DHRM shall:

(a) assign the job to a salary range and job family;

(b) survey the job in the market in accordance with the benchmark jobs; and

(2) DHRM may adjust salary ranges by:

(a) an administrative adjustment determined appropriate by DHRM for administrative purposes that is not based on a change of duties and responsibilities, nor based on a comparison to salary data in the market;

(b) a structure adjustment when any agency involved agrees to resolve budgetary impacts before implementation; or

(c) a market comparability adjustment to a job's salary range based upon salary data and other relevant information for similar jobs in the market through an annual compensation benchmark survey or other sources.

(i) DHRM shall include market comparability adjustment recommendations in the annual compensation plan and are submitted to the Governor.

(ii) If a market comparability adjustment would cause a budgetary impact, DHRM may not make the adjustment unless the Legislature has approved funding for the adjustment.

(iii) If market comparability adjustments are funded and approved for benchmark jobs, DHRM shall adjust salary ranges for other jobs in the same job family by relative ranking with the benchmark job.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-3 Compensation for Unclassified Employees Designated as Schedule AD and AR

(1) Pursuant to Subsection 63A-17-301(4)(d), DHRM shall assign each job with AD or AR pay plan to a salary range that is no more than 40% above and below the salary range midpoint.

(2) DHRM may adjust salary ranges through:

(a) an administrative adjustment determined appropriate by DHRM for administrative purposes; or

(b) a structure adjustment.

(i) DHRM shall consult with the Governor's Office of Planning and Budget (GOPB) before making structure adjustments that require legislative funding. Adjustments that impact deputy directors or issues addressed in state code require GOPB approval.

(ii) If a structure adjustment would cause a budgetary impact, DHRM may not approve the adjustment unless the Legislature has approved funding for the adjustment or any agency involved agrees to resolve budgetary impacts before implementation.

(iii) DHRM may include structure adjustment recommendations that require funding in the annual compensation plan.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-4 Compensation for Unclassified Employees Designated As Schedule AC, AG, AH, AS, AN, AO, AP, IN, TL, AU, AQ, and Employees of the State Board of Education

(1) Pursuant to Subsection 63A-17-301(4)(d), for each job exempted from classified service that is identified in positions under Subsection R477-3-1(1), the affected agency's management shall determine a salary range with a beginning and ending salary.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-5 Appointments

(1) Management shall assign a newly appointed employee a salary within the DHRM approved salary range for the job.

(2) Management shall place qualifying military service members returning to work under USERRA in their previous position or a similar position. Reemployment shall include the same seniority status, wage, including any cost of living adjustments, general increase, reclassification of the service member preservice position, or market comparability adjustments that would have affected the service member's preservice position during the time spent by the affected service member in the uniformed services. Performance related salary increases are not included.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-6 Salary

(1) Promotions.

(a) Management may increase an employee's wage when the employee is promoted.

(b) Management may promote an employee when the employee meets the requirements and skills specified in the job description and position specific criteria as determined by management for the position.

(2) Reclassifications.

(a) Management may grant an employee a wage increase of at least 1/2% or up to the salary range maximum when the employee is reclassified to a job with a salary range maximum exceeding the employee's current salary range maximum. Management shall place the employee within the new salary range.

(b) Management may not decrease the wage of an employee whose job is reclassified to a job with a lower salary range.

(3) Pay for Performance Increase

The agency head authorizes and approves pay for performance increases under the following parameters.

(a) An increase shall be at least 1/2%.

(b) The increase may exceed the salary range maximum.

(c) Management may not grant a pay for performance increase unless the agency has sufficient funding within the enacted budget for the fiscal year in which the increase is given and sufficient ongoing funding to cover the increase in future fiscal years.

(d) Management confirms that the employee has at least two quarters of performance evaluations.

(e) The increase is granted pursuant to an agency policy that meets the requirements of Section R477-10-1.

(f) The agency head determines that the requirements of Section R477-10-1 have been met.

(4) Administrative Adjustment.

Management may not adjust the current actual wage of an employee whose position has been allocated by DHRM from one job to another job or salary range for administrative purposes unless the employee's wage is below the minimum of the new salary range.

(5) Reassignment.

Management may not decrease an employee's current actual wage except as provided in federal or state law.

(6) Transfer.

(a) Management may decrease the current actual wage of an employee who transfers to another job with the same or lower salary range maximum.

(b) An employee who applies for a job with a lower salary range maximum shall be placed within the salary range of the new job.

(7) Demotion.

Management may reduce the current actual wage of an employee demoted under Section R477-11-2 by at least 1/2%, or down to the salary range minimum as determined by the agency head or designee.

(8) Administrative Salary Increase.

The agency head authorizes and approves administrative salary increases under the following parameters.

(a) Any increase shall be at least 1/2% or up to the employee's salary range maximum.

(b) Management may not grant an administrative salary increase unless the agency has sufficient funding within their annualized base budgets for the fiscal year in which the adjustment is given.

(i) in writing;

(ii) approved by the agency head or designee; and

(iii) supported by unique situations or considerations in the agency.

(d) The agency head or designee shall answer any challenge or grievance resulting from an administrative salary increase.

(e) Management may grant an administrative salary increase to an employee during the probationary period.

(f) Management may not grant an administrative salary increase to an employee whose wage is at or above the salary range maximum.

(g) DHRM shall process an administrative salary increase separately from any other action.

(9) Administrative Salary Decrease.

The agency head authorizes and approves administrative salary decreases for nondisciplinary reasons according to the following:

(a) management may not decrease the final wage below the salary range minimum;

(b) management shall decrease the employee's wage by at least 1/2% or down to the salary range minimum;

(i) in writing;

(ii) approved by the agency head; and

(iii) supported by issues such as previous written agreements between management and the employee to include career mobility, reasonable accommodation, or other unique situations or considerations in the agency; and

(d) the agency head or designee shall answer any challenge or grievance resulting from an administrative salary decrease;

(10) Career Mobility.

(a) When commencing a career mobility assignment, management shall determine the new wage by following the rules governing the appropriate underlying action such as:

(i) promotion;

(ii) reassignment; or

(iii) transfer.

(b) If a career mobility assignment does not become permanent at its conclusion, management shall return the employee to the employee's previous position or a similar position and grant, at a minimum, the same wage and the same or higher salary range that the employee would have received had the career mobility assignment not occurred.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-7 Incentive Awards

(1) Management shall write and publish incentive award and bonus policies before rewarding any employee with incentive awards or bonuses. Incentive awards and bonuses are discretionary, not an entitlement, and are subject to the availability of funds in the agency.

(a) DHRM shall review agency incentive award policies to ensure that they are consistent with standards established in this rule and the Department of Government Operations, Division of Finance, rules, and procedures.

(b) Management may not grant individual awards greater than $4,000 per pay period and $8,000 in a fiscal year, except when approved by DHRM and the governor.

(i) Management shall include documentation of the work units affected and any cost savings in a request for an exception to Subsection (b) for a retirement incentive award.

(ii) A single payment of up to $8,000 may be granted as a retirement incentive.

(2) Performance Based Incentive Awards.

(a) Cash Incentive Awards.

(i) Management may grant a cash incentive award to an employee or group of employees that demonstrates exceptional effort or accomplishment beyond what is normally expected on the job for a unique event or over a sustained period.

(ii) To implement a Pay for Performance cash incentive awards program, management shall include the program in the agency's incentive awards policy pursuant to Section R477-10-1.

(A) The policy shall include information supporting the following:

(1) sustainability of the funding for the cash incentive program;

(2) the positions eligible to participate in the Pay for Performance program;

(3) goals of the program;

(4) type of work to be incentivized; and

(5) ability to track the effectiveness of the program.

(iii) The agency head or designee shall approve any cash awards and ensure that documentation relating to the award is maintained.

(b) Noncash Incentive Awards.

(i) Management may recognize an employee or group of employees with noncash incentive awards.

(ii) Individual noncash incentive awards may not exceed the limits in Finance Policy 05-03.06.

(iii) Noncash incentive awards may include cash equivalents such as gift certificates or tickets for admission. Cash equivalent incentive awards shall be subject to payroll taxes and shall follow standards and procedures established by the Department of Government Operations, Division of Finance.

(3) Cost Savings Bonus.

(a) Management may establish a bonus policy to increase productivity, generate savings within the agency, or reward an employee who submits a cost savings proposal.

(i) Management shall document the cost savings involved.

(4) Market Based Bonuses.

Management may award a cash bonus as an incentive to acquire or retain an employee with job skills that are critical to the state and difficult to recruit in the market. Any market based bonuses shall be approved by the DHRM Division Director or designee.

(a) When requesting market based awards, management shall submit documentation specifying how the agency will benefit by granting the bonus based on:

(i) budget;

(ii) recruitment difficulties;

(iii) a mission critical need to attract or retain unique or hard to find skills in the market; or

(iv) other market based reasons.

(b) Eligible reason types for market based bonuses include:

(i) Retention Bonus.

Management may award a bonus to an employee who has unusually high or unique qualifications that are essential for the agency to retain.

(ii) Recruitment or Signing Bonus.

Management may award a bonus to a qualified job candidate to incentivize the candidate to work for the state.

(iii) Scarce Skills Bonus.

Management may award a bonus to a qualified job candidate that has the scarce skills required for the job.

(iv) Relocation Bonus.

Management may award a bonus to a current employee who is required to relocate to accept a position in a different commuting area.

(v) Referral Bonus.

Management may award a bonus to a current employee who refers a job applicant who is subsequently selected.

(vi) Geographic Job Market Bonus.

Management may award a bonus to incentivize an employee to accept or continue an assignment in a specific geographic area.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-8 Employee Benefits

(1) An employee shall be eligible for:

(a) retirement benefits according to Title 49, Utah Retirement and Insurance Benefit Act;

(i) DHRM shall provide eligible employees with information regarding available options for Utah Retirement Systems (URS) retirement programs; and

(ii) An employee shall communicate directly with URS regarding retirement system options, changes in employee contributions, beneficiaries, and investment strategies;

(b) non-retirement benefits when:

(i) in a position designated by management as eligible for benefits; and

(ii) in a position which normally requires working a minimum of 20 hours per workweek.

(2) An eligible employee shall enroll in or decline one of the traditional medical insurance plans within 30 days of the hire date and enroll in or decline one of the HSA-qualified medical insurance plans or other tax-advantaged arrangement offered by PEHP and authorized under the Internal Revenue Code for the benefit of the employee within 60 days of the hire date. An employee may change medical plans only during the annual open enrollment period for state employees or following a qualifying life event.

(3) An eligible employee may enroll in dental, vision, and a flexible spending account within 60 days of the hire date.

(4) An employee shall enroll in guaranteed issue life insurance within 60 days of the hire date to avoid having to provide proof of insurability. An employee may enroll in additional life insurance and accidental death and dismemberment insurance at any time and may be required to provide proof of insurability.

(5) A reemployed veteran under USERRA is entitled to the same employee benefits given to other continuously employed eligible employees to include seniority based increased pension and leave accrual.

(6) Any insurance coverage, excluding COBRA, shall end:

(a) at midnight on the last day of the pay period in which the employee receives a paycheck for employees hired before February 15, 2003; or

(b) at midnight on the last day of the pay period in which the employment termination date became effective for employees hired on February 15, 2003, or later.

(7) An employee who is not eligible for benefits under Subsection R477-6-8(1) but does meet the minimum qualifications under the Affordable Care Act shall be eligible for medical insurance only.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-9 Career Service Status Change

(1) When management changes an occupied schedule B position to schedule AC, AD, AR, AS, or AX, management shall offer the career service employee in that position the opportunity to convert to the new schedule code. The employee may, within 60 days from the date of offer, elect to convert from career service to career service exempt.

(a) If the employee chooses to convert, management shall offer the employee:

(i) an administrative salary increase of at least 1/2% or up to the current salary range maximum; and

(ii) state paid term life insurance coverage if determined eligible by the Group Insurance Office to participate in the Term Life Program, Public Employees Health Plan, as provided in Section R477-6-10.

(b) For an employee at or above the current salary range maximum at the time of conversation, management shall grant, in lieu of the salary adjustment from Subsection (1)(a)(i), a one time bonus, as determined by the agency head or designee, not to exceed limits in Subsection R477-6-7(1)(b).

(c) For an employee electing to convert to career service exempt after the 60 day election period, management may not grant the wage increase, but shall permit the employee to apply for the insurance coverage through the Group Insurance Office.

(d) An employee electing not to convert to career service exempt status retains career service status even though the employee's position shall be designated as schedule AC, AD, AR, AS, or AX. When these career service employees vacate these positions, any subsequent incumbent is career service exempt.

(e) Management shall communicate the conditions and limitations of this incentive program to any employees currently or imminently affected by the program.

(2) An agency head may reorganize so that a current career service exempt position no longer meets the criteria for exemption.

(a) An affected employee:

(i) shall resume career service status if the employee previously earned career service status and had no break in service;

(ii) is no longer eligible for severance pay under Section R477-6-10;

(iii) shall accrue annual leave based on service time under Subsection R477-7-3(1); and

(iv) shall work with management and the Group Insurance Office to discontinue exempt life insurance coverage.

(b) Management may not convert a career service exempt employee to career service status unless:

(i) the employee had prior career service status with no break in service; or

(ii) the employee was hired from a hiring list under Subsection R477-4-2(7).

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-10 State Paid Life Insurance

(1) Management shall pay term life insurance premiums for a benefits eligible career service exempt employee in schedule AA, AB, AD, AR, AT, or AX if the employee is determined eligible by the Group Insurance Office and approved through underwriting to participate in the Term Life Program offered through the Public Employees Health Plan at the following levels:

(a) hourly wage $24.03 or less shall receive $125,000 of term life insurance;

(b) hourly wage between $24.04 and $28.84 shall receive $150,000 of term life insurance;

(d) hourly wage between $36.06 and $48.07 shall receive $300,000 of term life insurance; or

(e) hourly wage of $48.08 or higher shall receive $400,000 of term life insurance.

(2) The appointing authority may provide these benefits to an employee in schedule AC, AE, or AS.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-11 Severance Benefit

(1) For a career service exempt employee on schedule AB, AC, AD, AE, AR, AS, AT, or AX who is separated from state service through an action initiated by management, to include resignation in lieu of termination, management may offer a severance benefit equal to:

(a) one week of salary, up to a maximum of 12 weeks, for each year of consecutive exempt service in the executive branch for schedule AB, AC, AD, AE, AR, AS, AT, or AX employees; and

(b) if the employee is eligible for COBRA, medical insurance coverage at the rate of two pay periods for each year of consecutive exempt service, up to a maximum of 13 pay periods.

(2) Management shall offer the severance benefit when the employee is separated from employment.

(3) Insurance provided under Subsection (1)(b) is medical coverage only and shall be the same plan the employee had at the time of severance.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

Utah Admin. Code R477-6-12 Human Resource Transactions

The DHRM Division Director shall publicize procedures for processing payroll and human resource transactions and documents.

History

KEY: wages, employee benefit plans, insurance, personnel management
Date of Last Change: May 7, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-16-105; 63A-17-106; 63A-17-302(4); 63A-17-307; 63A-17-803

R477-7 Leave

Utah Admin. Code R477-7-1 Conditions of Leave

(1) An employee is eligible for a leave benefit when:

(a) in a position designated by management as eligible for benefits; and

(b) in a position which normally requires working a minimum of 40 hours per pay period.

(2) An eligible employee accrues annual, sick, and holiday leave in proportion to the time paid as determined by DHRM.

(3) An employee shall use leave in no less than quarter hour increments.

(4) An employee may not use annual or sick leave before it is accrued. Leave accrued during a pay period may not be used until the following pay period.

(5) An employee may not use annual leave, converted sick leave used as annual leave, or compensatory hours without advance approval by management.

(6) Management may not require employees to maintain a minimum balance of accrued leave.

(7) Any leave used for purposes described in Subsection R477-7-4(2) is subject to the requirements of Subsections R477-7-4(6) and (7).

(8) An employee transferring from one agency to another retains any accrued annual, sick, and converted sick leave at the new agency.

(9) Management shall make a lump sum payment to an employee separating from state service or changing from a benefited to a non-benefited position for:

(a) annual leave hours;

(b) compensatory hours earned by a FLSA non-exempt employee; and

(c) converted sick leave if the employee is not retiring under Title 49, Utah State Retirement and Insurance Benefit Act.

(10) Management may not approve the use of leave after an employee's last day worked except for:

(a) leave without pay;

(b) administrative leave;

(d) leave granted for other medical or pregnancy related reasons that management approved before the commencement of the leave period.

(11) Management may separate an employee from employment after 18 workweeks cumulative leave in a 24 month period regardless of paid leave status unless prohibited by state or federal law. This rule incorporates by reference 29 CFR 825.205 (March 21, 2021) for purposes of calculating workweeks. The agency head shall make the decision to separate the employee in consultation with DHRM.

(12) Management may not pay contributions to benefits on cashed out leave, other than FICA tax, except as it applies to converted sick leave in Subsection R477-7-5(2) and the retirement benefit in Section R477-7-6.

(13) Management may not deny a leave request from a member of the State Legislature who requests leave under Section 63A-17-513.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-2 Holiday Leave

(1) The following dates are paid holidays for eligible employees:

(a) New Year's Day -- January 1;

(b) Dr. Martin Luther King Jr. Day -- third Monday of January;

(d) Memorial Day -- last Monday of May;

(e) Juneteenth -- June 19;

(f) Independence Day -- July 4;

(g) Pioneer Day -- July 24;

(h) Labor Day -- first Monday of September;

(i) Columbus Day -- second Monday of October;

(j) Veterans' Day -- November 11;

(k) Thanksgiving Day -- fourth Thursday of November;

(l) Christmas Day -- December 25; and

(m) any other day designated as a paid holiday by the Governor.

(2) If a holiday falls or is observed on a regularly scheduled day off, management shall grant an eligible employee equivalent time off or pay.

(a) If a holiday falls on a Sunday, the following Monday shall be observed as a holiday.

(b) If a holiday falls on a Saturday, the preceding Friday shall be observed as a holiday.

(3) If an employee is required to work on an observed holiday, management shall grant the employee appropriate holiday leave or pay.

(4) Management may not grant holiday pay to a new hire before the employee is in a paid status.

(5) Management may not grant holiday pay to a separating employee unless the employee is in a paid status on or after the holiday.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-3 Annual Leave

(1) An eligible employee accrues leave based on the following years of benefits eligible state service:

(a) less than five years -- four hours per pay period;

(b) at least five and less than ten years -- five hours per pay period;

(d) 20 years or more -- seven hours per pay period.

(2) The following employees shall accrue seven hours of annual leave per pay period, effective from the day the employee is appointed through the duration of the appointment:

(a) schedule AB employees;

(b) agency deputy directors;

(d) an employee who is schedule A, FLSA exempt, and who has a direct reporting relationship to an executive director, deputy director, commissioner, or board.

(3) The accrual rate for an employee rehired to a position which receives leave benefits shall be based on any eligible employment in which the employee accrued leave.

(4) An employee's personal preference day under Subsection 63G-1-301(1)(d) is taken as annual leave, subject to all annual leave procedures.

(5) Management may not restrict the use of annual leave used in a calendar year to less than the amount the employee accrues in the year.

(6) An employee forfeits unused accrued annual leave time exceeding 320 hours during year end processing for each calendar year unless the DHRM Division Director authorizes an extension to this timeframe for a specific number of hours.

(7) An agency may payout an employee's annual leave hours under conditions not connected with separation from employment with authorization from the DHRM Division Director and GOPB.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-4 Sick Leave

(1) An eligible employee accrues sick leave, not to exceed four hours per pay period. Sick leave accrues without limit.

(2) Management may approve the use of sick leave when:

(a) an employee becomes a parent as described in Subsection R477-7-20(5);

(b) an employee is absent from duty because of illness, injury, or disability of the employee, their spouse, their child, their parent, or any individual for whom the employee is a legal guardian;

(d) a qualifying FMLA purpose.

(3) Agency management may approve the use of sick leave for other unique medical situations.

(4) When management approves the use of sick leave, an employee may use any combination of Program I, Program II, and Program III sick leave.

(5) An employee shall contact management before the beginning of the scheduled workday the employee is absent due to illness or injury.

(6) Management shall require an employee to produce administratively acceptable evidence to support any request for leave to cover an absence that exceeds three consecutive working days.

(7) Management may require an employee to produce administratively acceptable evidence regardless of the number of leave hours used for the reasons in Subsection (2) or (3) if there is reason to believe that an employee is using the leave for reasons not listed in Subsection (2) or (3).

(8) An employee separating from state employment forfeits any unused sick leave without compensation unless the leave is utilized for the sick leave retirement benefit under Section R477-7-6.

(a) Management shall reinstate forfeited sick leave when an employee is rehired into a benefited position within one year of separation due to a reduction in force. Sick leave shall be reinstated as Program I, Program II, and Program III as accrued before the reduction in force.

(b) Management shall reinstate forfeited sick leave when an employee is appointed to a benefits eligible position within one year of leaving a benefits eligible position for reasons other than a reduction in force. Reinstated sick leave shall be Program III sick leave.

(c) Management may not reinstate forfeited sick leave when an employee retires from state service under Title 49, Utah State Retirement and Insurance Benefit Act and is rehired.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-5 Converted Sick Leave

(1) An employee may not accrue converted sick leave hours on or after January 3, 2014. Converted sick leave hours accrued before January 3, 2014 may be used for retirement under Subsection R477-7-5(6) or cashed out if the employee leaves employment.

(a) Converted sick leave hours accrued before January 1, 2006 shall remain Program I converted sick leave hours.

(b) Converted sick leave hours accrued after January 1, 2006 shall remain Program II converted sick leave hours.

(2) An employee may use converted sick leave as annual leave or as regular sick leave.

(3) When management approves the use of converted sick leave, an employee may use any combination of Program I and Program II converted sick leave.

(4) Employees retiring from LTD who have converted sick leave balances still intact may use these hours for the unused converted sick leave retirement program when they become eligible for retirement.

(5) Upon retirement under Title 49, Utah State Retirement and Insurance Benefit Act, management shall place 25% of the value of an employee's unused converted sick leave, but not to exceed Internal Revenue Service limitations, in the employee's 401(k) account as an employer contribution.

(a) Management shall place converted sick leave hours from Program II in the 401(k) account before hours from Program I.

(b) The employee may use any remaining converted sick leave for:

(i) the purchase of health care insurance and life insurance under Subsection R477-7-6(3)(a) if the converted sick leave was accrued in Program I ; or

(ii) a contribution into the employee's PEHP health reimbursement account under Subsection R477-7-6(6)(b) if the converted sick leave was accrued in Program II.

(6) Upon retirement under Title 49, Utah State Retirement and Insurance Benefit Act, an employee may not suspend or defer for future use any Program I converted sick leave hours. This includes retired employees who reemploy with the state and choose to suspend their defined benefit payments and employees participating in phased retirement.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-6 Sick Leave Retirement Benefit

Upon retirement from active employment or LTD under Title 49, Utah State Retirement and Insurance Benefit Act, including when a retirement eligible employee passes away, management shall grant an employee or surviving spouse an unused sick leave retirement benefit under Sections 63A-17-507 and 63A-17-508.

(1) An employee in the Tier I retirement system or the Tier II hybrid retirement system becomes eligible for this benefit when actively retiring under Title 49, Utah State Retirement and Insurance Benefit Act.

(2) An employee in the Tier II defined contribution system becomes eligible when terminating employment on or after the retirement date established by the Utah Retirement Systems. This date reflects service time accrued by the employee as if the employee were in the Tier II hybrid retirement system.

(3)(a) Sick leave hours accrued before January 1, 2006 shall be Program I sick leave hours.

(b) Sick leave hours accrued on or after January 1, 2006, but before January 4, 2014, shall be Program II sick leave hours.

(c) Sick leave hours accrued on or after January 4, 2014, shall be Program III sick leave hours, which shall have no benefit upon retirement.

(4) Management may offer the Unused Sick Leave Retirement Option Program I to an employee who is eligible to receive retirement benefits. Any decision whether or not to participate in this program shall be agency wide and shall be consistent through an entire fiscal year. If management decides to withdraw for the next fiscal year after initially deciding to participate, management shall notify its employees at least 60 days before the new fiscal year begins.

(5) The Unused Sick Leave Retirement Options Program I provides an employee in a participating agency the following benefit.

(a) Management shall place 25% of the value of the unused sick leave and converted sick leave, but not to exceed Internal Revenue Service limitations, in the employee's 401(k) account as an employer contribution.

(b) Management shall place sick leave hours from Program II in the employee's 401(k) account before hours from Program I.

(c) After the 401(k) contribution, management shall use the remaining Program I sick leave hours and converted sick leave hours from Subsection R477-7-5(5)(b)(i) to provide the following benefit:

(i) The purchase of PEHP health insurance, or a state approved program, and life insurance coverage for the employee until the employee reaches the age eligible for Medicare.

(A) Health insurance is the same or lower level than the level the employee has when they retire pursuant to Section 63A-17-507.

(B) The purchase rate is eight hours of sick leave or converted sick leave for the state paid portion of one month's premium.

(C) The employee shall pay the same percentage of the premium as a current employee on the same plan. The premium amount shall be determined from the approved PEHP retiree rate and not the active employee rates.

(D) The life insurance provided is the minimum authorized coverage provided for state employees when the employee retires.

(ii) When the employee becomes eligible for Medicare, the employee may purchase a Medicare supplement policy provided by PEHP at the rate of eight hours of sick leave or converted sick leave for one month's premium.

(iii) When the employee becomes eligible for Medicare, the employee may purchase a PEHP health insurance policy, or another state approved policy, for a spouse until the spouse is eligible for Medicare.

(A) The purchase rate is eight hours of sick leave or converted sick leave for one month's premium.

(B) The employee shall pay the same percentage of the premium as a current employee on the same plan. The premium amount shall be determined from the approved PEHP retiree rate and not the active employee rates.

(iv) When the spouse reaches the age eligible for Medicare, the employee may purchase a Medicare supplement policy provided by PEHP for the spouse at the rate of eight hours of sick leave or converted sick leave for one month's premium.

(v) In the event an employee is killed in the line of duty, the employee's spouse is eligible to use the employee's available sick leave hours for the purchase of additional medical coverage under Section 63A-17-804.

(d) Employees retiring from LTD who have sick leave balances still intact may use these hours for the unused sick leave retirement program when they become eligible for retirement.

(e) Upon retirement under Title 49, Utah State Retirement and Insurance Benefit Act, an employee may not suspend or defer for future use any Program I sick leave hours. This includes retired employees who reemploy with the state and choose to suspend their defined benefit payments and employees participating in phased retirement.

(6) The Unused Sick Leave Retirement Option Program II provides an employee the following benefit:

(b) After the 401(k) contribution, management shall deposit the remaining sick leave hours and the converted sick leave hours from Subsection R477-7-5(5)(b)(ii) in the employee's PEHP health reimbursement account at the greater of:

(i) the employee's rate of pay at retirement; or

(ii) the average rate of pay of state employees who retired in the same retirement system in the previous calendar year.

(c) A retired employee who is reemployed in a benefited position with the state is not eligible for a benefit calculated on any Program II sick leave hours unless:

(i) the employee voluntarily suspends their pension;

(ii) the employee was separated for one year or more;

(iii) the employee was reemployed before January 2, 2014; and

(iv) the employee works for two years or more after reemployment to receive this benefit.

(7) A retired employee who is reemployed in a benefited position with the state after January 3, 2014 accrues Program III sick leave, which has no benefit upon subsequent retirement.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-7 Administrative Leave

(1) Management may grant administrative leave to any employee consistent with agency policy for the following reasons:

(a) administrative;

(i) governor approved holiday leave;

(ii) during management decisions that benefit the organization;

(iii) when no work is available due to unavoidable conditions or influences; or

(iv) other reasons consistent with agency policy;

(b) protected;

(i) suspension with pay pending hearing results;

(ii) personnel decision-making before discipline;

(iii) removal from adverse or hostile work environment situations;

(iv) fitness for duty or employee assistance; or

(v) other reasons consistent with agency policy;

(i) the agency head or designee may grant paid administrative leave up to one day per occurrence;

(ii) management may not grant administrative leave exceeding one day without written approval from the agency head;

(iii) management may not grant more than 40 hours of administrative leave per fiscal year as a reward in lieu of cash;

(iv) management may grant administrative leave as a reward in lieu of cash to employees of another agency if both agency heads agree in advance; or

(d) employee education assistance.

(2) Management shall grant an employee up to two hours of administrative leave to vote in an official election if the employee has fewer than three total hours off the job between the time the polls open and close, and the employee applies for the leave at least 24 hours in advance. Management may specify the hours when the employee may be absent.

(3) Management shall include employees who are on leave under the FMLA or military leave under USERRA in a grant of administrative leave for non-performance based purposes if the leave would have been given had the employee been in a working status.

(4) Administrative leave taken shall be documented in the employee's leave record.

(5) Administrative leave is not an employee right and management may grant it disparately within its workforce depending on agency needs.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-8 Jury Leave

(1) An employee is entitled to a leave of absence from a regularly scheduled work day with full pay when answering a jury summons or serving on a jury and may choose:

(a) to use their own accrued leave and keep juror's fees; or

(b) to use jury leave and return any juror's fee to agency finance or agency payroll staff for deposit with the State Treasurer.

(2) An employee who participates in a court or administrative proceeding in any capacity as part of the employee's position, in obedience to a subpoena, under direction by proper authority, or as directed by management, shall record such time as work time and may not use jury leave.

(3) An employee may not use work time or jury leave when absent to litigate matters unrelated to state employment.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-9 Bereavement Leave

Upon request from the employee, management shall grant at least three work days of bereavement leave per occurrence with pay following the death of a member of the employee's immediate family or when a pregnancy ends in miscarriage or stillbirth under the conditions set forth in Section 63A-17-106.

(1) "Immediate Family" means relatives of the employee or spouse including in-laws, step-relatives, or equivalent relationship as follows:

(a) spouse;

(b) parents;

(d) children;

(e) any level of grandparents; or

(f) any level of grandchildren.

(2) Management may grant bereavement leave for other unique family relationships.

(3) Management may not charge bereavement leave against an employee's accrued leave balances.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-10 Military Leave

Under Section 71A-8-102, management shall grant up to 160 hours of paid military leave each calendar year to a benefited or non-benefited employee who is a member of the National Guard or Military Reserves and is on official military orders. Military leave for part-time employees is prorated to be no more than the average hours worked in the last 12 months, or if employed less than 12 months, the average hours worked since the date of hire.

(1) An eligible employee may use any combination of military leave, accrued leave, or leave without pay under Section R477-7-13.

(2) An eligible employee may only use accrued sick leave if the reason for leave meets the conditions in Section R477- 7-4.

(3) An employee on military leave is eligible for any service awards or non-performance administrative leave the employee would otherwise be eligible to receive.

(4) An employee shall notify management of official military orders as soon as possible.

(5) Upon an employee's release from official military orders under honorable conditions, management shall place the employee in a position in the following order of priority.

(a) If the period of service was for less than 91 days, management shall place the employee:

(i) in the same position the employee held on the date of the commencement of the service in the uniformed services; or

(ii) in the same position the employee would have held if the continuous employment of the employee had not been interrupted by the service.

(b) If the period of service was for more than 90 days, management shall place the employee:

(i) in a position of like seniority, status, and salary, of the position the employee held on the date of the commencement of the service in the uniformed services; or

(ii) in a position of like seniority, status, and salary the employee would have held if the continuous employment of the employee had not been interrupted by the service.

(c) When a disability is incurred or aggravated while on official military orders, the employing agency shall adhere to the Uniformed Services Employment and Reemployment Rights Act, 38 U.S.C. 4301, et seq.

(d) An employee is entitled to reemployment rights and benefits including increased pension and leave accrual to which the employee would have been entitled had the employee not been absent due to military service. An employee entering military leave may elect to have payment for annual leave deferred.

(6) To be reemployed, an employee shall present evidence of military service, and:

(a) for service less than 31 days, return at the beginning of the next regularly scheduled work period on the first full day after release from service unless impossible or unreasonable through no fault of the employee;

(b) for service of more than 30 days but less than 181 days, submit a request for reemployment within 14 days of release from service, unless impossible or unreasonable through no fault of the employee; or

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-11 Disaster Relief Volunteer Leave

(1) An agency head or designee may grant an employee leave from work with pay for an aggregate of 15 working days in any 12-month period to participate in disaster relief services for a non-governmental disaster relief organization. An employee is not eligible for disaster relief volunteer leave unless they are certified as a disaster relief volunteer and file a written request with the employing agency. The request shall include:

(a) a copy of a written request for the employee's services from an official of the disaster relief organization;

(b) the anticipated duration of the absence;

(d) the nature and location of the disaster where the employee's services will be provided.

(2) Management may not dismiss an employee who is absent from or late to work if the absence or tardiness was a result of the employee acting as an emergency services volunteer as defined in Section 34-55-102.

(a) Management may request a written statement to verify the employee's status as an emergency services volunteer.

(b) An emergency services volunteer is not entitled to paid leave except as provided in Subsection (1), but may use their own accrued leave or leave without pay.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-12 Organ Donor Leave

Management shall grant an employee who serves as a bone marrow or human organ donor paid leave for the donation and recovery as follows:

(1) up to seven days of paid leave for donation of bone marrow; and

(2) up to 30 days of paid leave for donation of a human organ.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-13 Leave Without Pay

(1) An employee shall apply in writing to management and receive management's approval before taking leave without pay.

(2) Management may not grant leave without pay unless the employee is expected to return to work.

(3) Management may deny a request for leave without pay when documentation from one or more qualified healthcare providers clearly establishes that the employee has a permanent condition preventing the employee from returning to the last held regular position unless by state or federal law requires the leave to be granted.

(4) An employee who receives no compensation for a complete pay period shall be responsible for payment of the full premium of state provided benefits.

(5) Management shall place an employee who returns to work on or before the expiration of leave without pay in a position with comparable pay and seniority to the previously held position.

(6) Upon request, an employee who is granted this leave shall provide a monthly return to work status update to the employee's supervisor.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-14 Furlough

Management may furlough employees as a means of saving salary costs in lieu of or in addition to a reduction in force. The agency head shall approve furlough plans subject to the following conditions:

(1) Furlough hours count for purposes of annual, sick, and holiday leave accrual.

(2) Management pays for any state paid benefits:

(a) at the full rate for benefits with fixed costs, regardless of how many days an employee is furloughed; and

(b) as a percentage of actual wages for benefits paid as a percentage of actual wages, including a pay period with no actual wages.

(3) An employee who is furloughed is responsible to pay the employee portion of any benefits. Voluntary benefits remain entirely at the employee's expense.

(4) An employee shall return to the current position.

(5) Management shall apply the furlough equitably to any person in a given class, program staff, or organization.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-15 Family and Medical Leave

(1) An eligible employee may take up to 12 workweeks of family and medical leave each calendar year for any of the following qualifying reasons:

(a) birth of a child;

(b) adoption of a child;

(d) a serious health condition of the employee;

(e) care of a spouse, child, or parent with a serious medical condition; or

(f) a qualifying exigency arising as a result of a spouse, son, daughter or parent being on active duty or having been notified of an impending call or order to active duty in the Armed Forces.

(2) An eligible employee may take up to 26 workweeks of family and medical leave during a 12-month period to care for a spouse, son, daughter, parent, or next of kin who is a covered servicemember as defined by the National Defense Authorization Act.

(3) An employee on FMLA leave continues to receive the same health insurance benefits the employee was receiving before the commencement of FMLA leave provided the employee pays the employee share of the health insurance premium.

(4) An employee on FMLA leave receives any administrative leave given for non-performance based reasons if the leave would have been given had the employee been in a working status.

(5) An employee is eligible for family and medical leave when the employee:

(a) has been employed by the state for at least 12 months; and

(b) has worked 1,250 hours or more, as determined under FMLA, during the 12-month period immediately preceding the commencement of leave.

(6) To request FMLA leave, the employee or an appropriate spokesperson shall notify management of the need for leave:

(a) thirty days in advance for foreseeable needs; or

(b) as soon as practicable in emergencies.

(7) An employee may use accrued annual leave, sick leave, converted sick leave, and compensatory time before going into leave without pay status for the designated period of family and medical leave.

(a) An employee who chooses to use accrued annual leave, sick leave, converted sick leave, and compensatory time before going into leave without pay status for the family and medical leave period shall notify the direct supervisor.

(b) If an employee fails to notify the direct supervisor under this subsection, accrued leave will be used to pay the employee's payroll deductions in the following order:

(i) first, Program III sick leave;

(ii) second, compensatory time or annual leave; and

(iii) third, converted sick leave, Program II sick leave, or Program I sick leave.

(8) When an employee chooses to use FMLA leave, management shall designate as FMLA leave any absences related to that qualifying event which occurred when the employee was eligible for FMLA.

(9) An FMLA eligible employee with a serious health condition covered under workers' compensation may use FMLA leave concurrently with the workers' compensation benefit.

(10) If an employee has gone into leave without pay status and fails to return to work after FMLA leave has ended, management may recover, with certain exceptions under 29 CFR 825.213, the health insurance premiums paid by management on the employee's behalf. An employee is considered to have returned to work if the employee returns for at least 30 calendar days.

(11) When leave is taken after childbirth or placement of a healthy child for adoption or foster care, an employee may not take leave intermittently or on a reduced leave schedule unless the employer agrees.

(12) Medical records created for purposes of FMLA and the Americans with Disabilities Act, 42 U.S.C. 12102 are subject to the confidentiality requirements set forth in Section R477-2-5.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-16 Workers' Compensation Leave

(1) An employee may use accrued leave benefits to supplement the workers' compensation benefit.

(a) The combination of paid leave, wages, and workers' compensation time-loss benefit may not exceed the gross pay the employee would have received if the accident had not intervened.

(b) An employee may not use accrued leave to supplement the workers' compensation benefit when:

(i) the employee is declared medically stable by a licensed medical authority;

(ii) the workers compensation fund terminates the benefit;

(iii) the employee refuses to accept appropriate employment offered by the state; or

(iv) the employee is notified of approval for Long Term Disability or Social Security Disability benefits.

(c) An employee shall refund to the state any accrued leave paid which exceeds the gross pay the employee would have received if the accident had not intervened.

(2) Workers' compensation hours count for purposes of annual, sick, and holiday leave accrual while the employee is receiving a workers' compensation time-loss benefit for up to six months from the last day worked in the regular position.

(3) Health insurance benefits continue for an employee on leave without pay while receiving workers' compensation benefits. The employee is responsible for the payment of the employee share of the premium.

(4) If an employee can return to work in the employee's regular position, management shall place the employee in the previously held position or a similar position at a comparable salary range.

(5) If an employee cannot return to work in the regular position, or if documentation from one or more qualified health care providers clearly establishes that the employee has a permanent condition preventing the employee from returning to the last held regular position, management may separate the employee from state employment unless prohibited by state or federal law. Exceptions may be granted by the agency head in consultation with DHRM.

(6) Management shall take disciplinary action under Rule R477-11 when an employee files a fraudulent workers compensation claim.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-17 Long Term Disability Leave

(1) Upon approval of an LTD claim:

(a) Management shall stop biweekly salary payments to the employee.

(b) Management shall pay the employee for any remaining balances of annual leave and compensatory hours earned by FLSA non-exempt employees in a lump sum payment unless the employee requests in writing to receive it upon separation from state employment. Upon return to work from an approved leave of absence, the employee may buy back annual leave at the current hourly rate.

(c) An employee with a converted sick leave balance when they are approved for LTD may choose to receive a lump sum payout of any part of the balance or to keep the balance intact to pay for health and life insurance upon retirement. The payout shall be at the employee's wage rate when they are approved for LTD.

(d) An employee who has been separated from state employment but retires under Title 49, Utah State Retirement and Insurance Benefit Act while receiving LTD may utilize unused sick leave for health and life insurance under Section R477-7-6 when the employee is otherwise eligible for the sick leave retirement benefit.

(2) An employee in the Tier I retirement system shall continue to accrue service credit for retirement purposes while receiving long term disability benefits.

(3) An employee who was not separated from employment may return to work following long term disability when they provide an administratively acceptable medical release allowing a return to work.

(4) Long term disability benefits are provided to eligible employees under Title 49, Chapter 21, Public Employees' Long-Term Disability Act.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-18 Disabled Law Enforcement Officer Amendments

(1) When a law enforcement officer or state correctional officer, as defined in Section 63A-17-512, is injured in the course of employment, as defined in Section 63A-17-512, management shall approve a leave of absence with 100% of the officer's regular monthly salary and benefits:

(a) during the period the employee has a temporary disability; or

(b) in the case of a total disability, until the employee is eligible for an unreduced retirement under Title 49, Utah State Retirement and Insurance Benefit Act or reaches the retirement age of 62 years, whichever occurs first.

(2) The eligible employee shall disclose to management any time-loss benefit amounts received by, or payable to, the employee, from outside sources, as soon as the employee is made aware. These amounts do not include benefits received from sources in which the employee pays the full premium.

(3) Management shall apply Section R477-7-16, workers compensation leave, and Section R477-7-17, long term disability leave rules first. Management then adds any benefit amounts received under Subsection (2). If the total of these benefits is less than 100% of the employee's monthly salary and benefits, management shall make arrangements through payroll to pay the employee the difference.

(4) DHRM shall work with the Division of Risk Management, Workers' Compensation, and the Public Employee's Health Program on a periodic and case-by-case basis to assure that eligible employees receive full benefits. If at any time it is discovered that the employee is receiving less than 100% of their regular monthly salary and benefits, management shall make up the difference to the employee.

(5) If an employee discloses other time-loss benefits received under Subsection (2) after these additional payments by the agency have been made, the employee shall reimburse the agency for salary and benefits paid in overage.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-19 Leave Bank

Agencies shall operate a leave bank program pursuant to Section 63A-17-516 and the following provisions.

(1) A leave bank program shall include an agency policy with the following provisions.

(a) A statement that access to the leave bank is not an employee right and shall be authorized at management's discretion.

(b) A requirement that any application for leave from the leave bank be supported by administratively acceptable medical documentation.

(c) A provision prohibiting leave donors, supervisors, managers, or management teams from reviewing any employee's medical certifications or physician statements.

(d) A requirement that an employee may not receive donated leave until any individually accrued leave is exhausted.

(e) A statement that leave is accrued if an employee receives sick leave donated from an approved leave bank program.

(f) A requirement that employees using donated leave request and receive written consent from the agency head to work a second job.

(g) A statement that only compensatory time earned by an FLSA non-exempt employee, annual leave, and converted sick leave hours may be donated to a leave bank.

(h) A statement that employees may donate leave hours to another agency only if both agencies agree to allow the donation.

(2) Any medical records created for leave bank program purposes are subject to the confidentiality requirements of Section R477-2-5.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-20 Adoption, Foster, Parental, and Postpartum Recovery Leave

(1) An employee is eligible for adoption, foster, parental, or postpartum recovery leave when the employee:

(a) is eligible for benefits under Subsections R477-6-8(1) and R477-7-1(1);

(b) is not reemployed post retirement as defined in Section 49-11-1202; and

(2) An employee or a spokesperson shall notify management of their plan to use adoption, foster, parental, or postpartum recovery leave:

(a) thirty days in advance; or

(b) as soon as practicable in emergencies.

(3) Management may not charge adoption, foster, parental, or postpartum recovery leave against any accrued leave balance on the employee's record.

(4) No person may interfere with an employee's intent to use adoption, foster, parental, or postpartum recovery leave or retaliate against an employee who receives parental or postpartum recovery leave.

(5) Parental leave is administered as follows:

(a) An employee is qualified for parental leave when the employee is assuming a parental role for a child or incapacitated adult and:

(i) is the child's biological parent;

(ii) is the spouse of the person who gave birth to the child;

(iii) is the adoptive parent of the child, unless the employee is the spouse of the pre-existing parent;

(iv) is the intended parent of a child born under a valid gestational agreement; or

(v) is appointed the legal guardian of a child or incapacitated adult.

(b) Management shall grant up to three weeks of paid parental leave to an employee who gives notice that they intend to use paid parental leave.

(c) Management calculates the amount of leave for each employee based on the number of hours the employee would have worked per week if they had not taken parental leave.

(d) An employee may use parental leave within the six months immediately following the qualifying event from Subsection (5)(a).

(e) An employee may use parental leave intermittently when:

(i) the employee and management have written mutual consent for intermittent use; or

(ii) a health care provider certifies the need for intermittent leave due to the child's serious health condition.

(f) Parental leave:

(i) runs concurrently with leave under the FMLA;

(ii) runs consecutively with postpartum recovery leave pursuant to Subsection (6)(f)(ii);

(iii) is limited to three weeks within any 12-month period; and

(iv) does not increase when:

(A) more than one child is born from the same pregnancy;

(B) more than one child is adopted; or

(6) Postpartum recovery leave is administered as follows:

(a) An employee is qualified for postpartum recovery leave when the employee gives birth at 20 weeks or greater gestation.

(b) Management shall grant up to six weeks of paid postpartum recovery leave to an employee who gives notice that they intend to use paid postpartum recovery leave.

(c) Management calculates the amount of leave for each employee based on the number of hours the employee would have worked per week if they had not taken postpartum recovery leave.

(d) Postpartum recovery leave begins on the date the employee gives birth unless a health care provider certifies the medical necessity of an earlier start date.

(e) An employee shall use postpartum recovery leave in a single continuous period, unless otherwise authorized in writing by the director of the division.

(f) Postpartum recovery leave:

(i) runs concurrently with leave under the FMLA;

(ii) runs consecutively with parental leave under Subsection (6) with postpartum recovery leave used first pursuant to restrictions in Subsection (d); and

(iii) does not increase when more than one child is born from the same pregnancy.

(7) Adoption leave is administered as follows:

(a) An employee is qualified for adoption leave when they legally adopt a young child, who is younger than six years old, unless the employee is the spouse of the pre-existing parent;

(b) Management shall grant up to six weeks of paid adoption leave within a single 12-month period to an employee who gives notice that they intend to use adoption leave. If two adoption leave eligible employees adopt a child, they must share the six weeks of leave;

(c) Management calculates the amount of leave for each employee based on the number of hours the employee would have worked per week if they had not taken adoption leave;

(d) Adoption leave may not begin before the day the employee adopts the child;

(e) An employee may use adoption leave intermittently when:

(i) the employee and management have written mutual consent for intermittent use; or

(ii) a health care provider certifies the need for intermittent leave due to the child's serious health condition;

(f) Adoption leave:

(i) runs concurrently with leave under the FMLA;

(ii) runs consecutively with parental leave taken for the adoption of a child;

(iii) is limited to six weeks within any 12-month period; and

(iv) does not increase when the employee adopts more than one child.

(8) Foster leave is administered as follows:

(a) An employee is qualified for foster leave when a child is placed with the employee for foster care;

(b) Management shall grant up to four weeks of paid foster leave to an employee who gives notice they intend to use paid foster leave. If two foster leave eligible employees foster a child, they must share the four weeks of leave;

(c) Management calculates the amount of leave for each employee based on the number of hours the employee would have worked per week if they had not taken foster leave;

(d) Foster leave may not begin before the day the child is placed with the employee for foster care;

(e) Foster leave may be used intermittently;

(f) Foster leave:

(i) runs concurrently with leave under the FMLA;

(ii) is limited to four weeks within any 12-month period; and

(iii) does not increase when more than one child is placed with an employee for foster care;

(g) An employee who uses any amount of foster leave may not use parental leave with respect to the same child or adoption leave with respect to the same young child.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

Utah Admin. Code R477-7-21 Safe Leave

(1) An employee is eligible for safe leave when the employee:

(a) is eligible for benefits under Subsections R477-6-8(1) and R477-7-1(1);

(b) is not reemployed post retirement as defined in Section 49-11-1202; and

(d) is not an employee of the State Board of Education; and

(e) the employee has exhausted all annual and compensatory leave.

(2) An employee shall notify management of the intended start and stop dates of safe leave:

(a) seven days in advance; or

(b) as soon as practicable when circumstances beyond the employee's control prevent seven days of notice.

(3) Management may not charge safe leave against any accrued leave balance on the employee's record.

(4) No person may interfere with an employee's intent to use safe leave or retaliate against an employee who receives safe leave.

(5) Safe leave is administered as follows:

(a) An employee is qualified for safe leave when the employee or their immediate family member is the victim of domestic violence, sexual assault, stalking, or human trafficking. Immediate family members are parents, spouse, child, sibling, or any other individual whom the employee may claim as a dependent for purposes of state or federal income tax.

(b) Management shall grant up to one week of paid safe leave to an employee who gives notice that they intend to use safe leave.

(c) Management calculates the amount of leave for each employee based on the number of hours the employee would have worked per week if they had not taken safe leave.

(d) An employee may not use safe leave more than two years after the qualifying event from Subsection (5)(a) except to participate in a criminal proceeding related to the event.

(e) An employee may use safe leave intermittently.

(f) Safe leave:

(i) runs concurrently with leave under the FMLA, if applicable;

(ii) is limited to one week within a calendar year; and

(iii) does not increase when more than one qualifying event occurs in a single calendar year.

History

KEY: holidays, leave benefits, vacations
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34-43-103; 39-3-1; 63G-1-301; 63A-17-106; 63A-17-504; 63A-17-505; 71A-8-102(3)

R477-8 Working Conditions

Utah Admin. Code R477-8-1 Workweek

(1) The state's standard workweek begins Saturday at midnight and ends the following Friday at 11:59 p.m. FLSA non-exempt employees may not deviate from this workweek.

(2) State offices are typically open Monday through Friday from 8 a.m. to 5 p.m. Management may adopt alternative business hours under Section 67-27-103.

(3) Management shall establish work schedules and may approve a flexible starting and ending time for an employee as long as scheduling is consistent with Section R477-8-4.

(4) An employee shall work the assigned schedule and be at work on time. When an employee is late, regardless of the reason, including inclement weather, management may require the employee to use accrued leave, leave without pay, or adjust their work schedule to account for the lost time.

(5) An employee's time worked is calculated in increments of 15 minutes. This rule incorporates by reference 29 CFR 785.48 (2012) for rounding practices when calculating time worked.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-2 Telework

Telework is a management option, not a universal employee benefit. Management utilizing a telework program shall:

(1) establish a written policy governing telework;

(2) enter into a written agreement with each participating employee to specify conditions, such as use of state or personal equipment, protecting confidential information, and results such as identifiable benefits to the state and how customer needs are being met;

(3) require participating employees to comply with overtime standards;

(4) prohibit compensation for normal commute time;

(5) require participating employees and their managers to complete telework training provided or approved by DHRM; and

(6) document telework authorization.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-3 Lunch, Break, and Exercise Release Periods

(1) Management may require each full time work day to include a minimum of 30 minutes non-compensated lunch period. An employee's lunch period may not be at the beginning or end of their work day.

(2) An employee may take a 15 minute compensated break period for every four hours worked. Break periods may not be accumulated to accommodate a shorter work day or longer lunch period.

(3) Management may allow compensated exercise release time up to three days per week for 30 minutes.

(a) Management in participating agencies shall have a written policy regarding exercise release time.

(b) Work time exercise that is a bona fide job requirement is not subject to this section.

(4) Management shall document authorization for exercise time in writing.

(5) As requested and after consultation with an employee, management shall grant reasonable, daily break periods for the first year following the birth of a child to allow an employee to express breast milk for her child. Management shall provide:

(a) a private location, other than a restroom; and

(b) appropriate temporary storage for expressed milk.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-4 Overtime Standards

The state's policy for overtime is adopted and incorporated from the Fair Labor Standards Act of 1938, 29 U.S.C. 201, et seq., 29 CFR Parts 500 to 899(2002), and Section 63A-17-502.

(1) Management may direct an employee to work overtime. Management in each agency shall develop internal policies and procedures to ensure overtime usage is efficient and economical. These policies and procedures shall include:

(a) prior supervisory approval for any overtime worked;

(b) recordkeeping guidelines for any overtime worked; and

(2) Overtime compensation designations are identified for each job title in the human resource information system as either FLSA non-exempt or FLSA exempt. An employee may appeal the FLSA designation to the agency human resource field office. Further appeals may be filed directly with the United States Department of Labor, Wage and Hour Division. Sections 63A-17-602, 67-19a-301, and Title 63G, Chapter 4, Administrative Procedures Act may not be applied for FLSA appeals purposes.

(3) An FLSA non-exempt employee may not work more than 40 hours a week without management approval. Overtime accrues when the employee actually works more than 40 hours a week. Leave and holiday time taken within the work period are not hours worked when calculating overtime accrual. Hours worked over two or more weeks may not be averaged with the exception of certain types of law enforcement, fire protection, and correctional employees.

(4) Management shall arrange for an employee's use of compensatory time as soon as possible without unduly disrupting agency operations or endangering public health, safety, or property.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-5 Compensatory Time for FLSA Non-Exempt Employees

(1) An FLSA non-exempt employee shall sign a prior overtime agreement authorizing management to compensate the employee for overtime worked by actual payment or accrual of compensatory time at time and one-half.

(a) An FLSA non-exempt employee may receive compensatory time for overtime up to a maximum of 80 hours. Only with prior approval of the DHRM Division Director may compensatory time accrue up to 240 hours for regular employees or up to 480 hours for peace or correctional officers, emergency, or seasonal employees. Once an employee reaches the maximum, management shall pay any additional overtime on the payday for the period in which it was earned.

(b) Management shall pay compensatory time balances for an FLSA non-exempt employee down to zero at the rate of pay in the old position in the same pay period that the employee is:

(i) transferred from one agency to a different agency; or

(ii) promoted, reclassified, reassigned, or transferred to an FLSA exempt position.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-6 Compensatory Time for FLSA Exempt Employees

(1) An FLSA exempt employee may not work more than 80 hours in a pay period without management approval. Compensatory time accrues when the employee works more than 80 hours in a work period. Leave and holiday time taken within the work period are not hours worked when calculating compensatory time. Management shall compensate an FLSA exempt employee who works overtime by granting time off. For each hour of overtime worked, an FLSA exempt employee accrues an hour of compensatory time.

(2) Management shall establish in written policy a uniform overtime year either for the agency as a whole or by unit number and communicate it to employees. Overtime years shall be set at one of the following pay periods: Five, Ten, Fifteen, Twenty, or the last pay period of the calendar year. If management fails to establish a uniform overtime year, the DHRM Division Director and the Director of Finance, Department of Government Operations, will establish the date for the agency as the last pay period of the calendar year. Management may change the established overtime year for the following calendar year by notifying DHRM of the change by December 31 of the current year. Management may not change the pay period during the current overtime year unless justifiable reasons exist and the DHRM Division Director has granted a written exception.

(a) The limit on compensatory time accrued by an FLSA exempt employee may not be less than 80 hours.

(b) Any compensatory time earned by an FLSA exempt employee over the limit shall be paid out in the pay period it is earned.

(d) Any compensatory time earned by an FLSA exempt employee shall lapse upon occurrence of any one of the following events:

(i) at the end of the employee's established overtime year;

(ii) upon assignment to another agency;

(iii) change in FLSA status to non-exempt;

(iv) change from a benefited to a non-benefited position; or

(v) when an employee terminates, retires, or otherwise does not return to work before the end of the overtime year.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-7 Non-Exempt Public Safety Personnel

(1) To be considered for overtime compensation under this rule, a law enforcement or correctional officer shall:

(a) meet the requirements of 29 CFR 553.211(a) or (f);

(b) be POST certified or scheduled for POST training; and

(2) For employees of the Department of Natural Resources, management shall select one of the following maximum work hour thresholds to determine when overtime compensation is granted to law enforcement or correctional officers designated FLSA non-exempt and covered under this rule:

(a) 171 hours in a work period of 28 consecutive days; or

(b) 86 hours in a work period of 14 consecutive days.

(3) Management shall select one of the following maximum work hour thresholds to determine when overtime compensation is granted to law enforcement of correctional officers designated FLSA non-exempt and covered under this rule:

(a) 160 hours in a work period of 28 consecutive days; or

(b) 80 hours in a work period of 14 consecutive days.

(4) Management shall select one of the following maximum work hour thresholds to determine when overtime compensation is granted to fire protection employees:

(a) 212 hours in a work period of 28 consecutive days; or

(b) 106 hours in a work period of 14 consecutive days.

(5) Management may designate a lesser threshold in a 14 day or 28 day consecutive work period as long as it conforms to the following:

(a) Section 207(k), Fair Labor Standards Act;

(b) 29 CFR 553.230;

(d) the approval of the DHRM Division Director.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-8 Time Reporting

(1) Employees shall complete and submit a state approved biweekly time record that accurately reflects the hours actually worked, including:

(a) approved and unapproved overtime;

(b) on-call time;

(d) meal periods of public safety and correctional officers who are on duty more than 24 consecutive hours; and

(e) approved leave time.

(2) Management may discipline an employee who fails to accurately record time.

(3) Management may not develop or use time records unless the records have the same elements of the state approved time record and are approved by the Department of Government Operations, Division of Finance.

(4) Management may discipline a supervisor who directs an employee to submit an inaccurate time record or knowingly approves an inaccurate time record.

(5) A Non-exempt employee who believes FLSA rights have been violated may submit a complaint directly to the DHRM Division Director or designee.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-9 Hours Worked

(1) An FLSA non-exempt employee shall be compensated for any hours worked. Management may discipline an employee who works unauthorized overtime.

(a) Any time that an FLSA non-exempt employee waits for an assignment while on duty, before reporting to duty, or before performing activities counts as hours worked.

(b) Time spent waiting after being relieved from duty is not hours worked if one or more of the following conditions apply:

(i) the employee arrives voluntarily before their scheduled shift and waits before starting duties;

(ii) the employee is completely relieved from duty and allowed to leave the job;

(iii) the employee is relieved until a definite specified time; or

(iv) the relief period is long enough for the employee to use as the employee sees fit.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-10 On-call Time

(1) Management may direct an employee to be available for on-call work.

(a) Management shall compensate an FLSA non-exempt employee for on-call time at a rate of one hour for every 12 hours the employee is on-call.

(b) Management may compensate an FLSA exempt employee at a rate equal to or less than one hour for every 12 hours the employee is on-call.

(2) Time is considered on-call time when the employee has freedom of movement in personal matters as long as the employee is available for a call to duty. An employee may not be in on-call status while using leave or while otherwise unable to respond to a call to duty.

(3) Management may not enter into on-call agreements with employees unless the agency has a policy consistent with this rule and finance policy.

(4) On-call status shall be designated by management in writing on an annual basis. Carrying a pager or cell phone does not constitute on-call time without this written agreement.

(5) The employee shall record the hours spent in on-call status, and any actual hours worked, on the official time record for the specific date the hours were incurred to be paid.

(6) An employee may not record on-call hours and actual hours worked for the same period of time. On-call hours, actual hours worked, and leave hours cannot exceed 24 hours in a day.

(7) An employee shall round on-call hours to the nearest two decimal places. Hours of on-call pay are calculated by subtracting the number of hours worked in the on-call period from the number of hours in the on-call period then dividing the result by 12.

(8) Management may not compensate on-call employees less than outlined in Subsections (1) through (7) but may provide additional compensation as permitted by budgets and consistent applications of rules, policies, and discretion.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-11 Stand-by Time

(1) Management shall pay an employee restricted to stand-by at a specified location ready for work full time or overtime, as appropriate. Management shall pay an employee for stand-by time if required to stand-by the post ready for duty, even during lunch periods, equipment breakdowns, or other temporary work shutdowns.

(2) The meal periods of police, and other public safety or correctional officers and firefighters who are on duty more than 24 consecutive hours are counted as working time, unless an express agreement excludes the time.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-12 Commuting and Travel Time

(1) Normal commuting time from home to work and back is not hours worked.

(2) Time an employee spends traveling from one job site to another during the normal work schedule is hours worked.

(3) Time an employee spends traveling on a special one-day assignment is hours worked except meal time and ordinary home to work travel.

(4) Travel that keeps an employee away from home overnight is not hours worked if it is time spent outside of regular working hours as a passenger on an airplane, train, boat, bus, or automobile.

(5) Travel as a passenger is hours worked if it is time spent during regular working hours. This applies to non-working days, as well as regular working days. However, regular meal period time is not counted.

(6) Management may compensate employees for travel and meal periods not required by federal law as implemented in Subsections (4) and (5).

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-13 Dual State Employment

An employee who has more than one position within state government, regardless of schedule, is considered to be in a dual employment situation. The following conditions apply to dual employment status.

(1) An employee may work in up to four different positions in state government.

(2) An employee's benefit status for any secondary positions, regardless of schedule of any of the positions, shall be the same as the primary position.

(3) An employee's FLSA status for any non-primary position shall be the same as the primary position.

(4) Leave accrual shall be based on the total number of hours the employee works during a pay period and may not exceed the maximum amount allowed in the primary position.

(5) As a condition of dual employment, an employee in dual employment status may not accrue compensatory hours and the employee's overtime or comp selection shall be paid as overtime regardless of FLSA status.

(6) Overtime is calculated at straight time or time and one-half, depending on the FLSA status of the primary position. Time and a half overtime rates shall be calculated based on the weighted average rate of the multiple positions. Refer to Division of Finance's payroll policies, dual employment section.

(7) The employee and direct supervisors shall complete and sign the Accepting Terms of Dual Employment form and place it in the employee's personnel file with a copy sent to the Division of Finance.

(8) Secondary positions may not interfere with the efficient performance of the employee's primary position or create a conflict of interest. An employee in dual employment status shall comply with Subsection R477-9-2(1).

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-14 Reasonable Accommodation

The agency ADA coordinator shall evaluate each request for reasonable accommodation from employees and applicants under state and federal law.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-15 Fitness for Duty Evaluations

Management may require a fitness for duty medical evaluation under any of the following circumstances:

(1) return to work from injury or illness except as prohibited by federal law;

(2) when management determines that there is a direct threat to the health or safety of self or others;

(3) in conjunction with corrective action, performance or conduct issues, or discipline; or

(4) when a fitness for duty evaluation is a bona fide occupational qualification for selection, retention, or promotion.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-16 Temporary Transitional Assignment

(1) Management may place an employee in a temporary transitional assignment when an employee cannot perform essential job functions due to temporary health restrictions including:

(a) when management determines that there is a direct threat to the health or safety of self or others;

(b) in conjunction with an internal investigation, corrective action, performance or conduct issues, or discipline;

(d) while an employee is being evaluated to determine if reasonable accommodation is appropriate.

(2) Time spent in a temporary transitional assignment may be counted as leave for purposes of Subsections R477-5- 2(2) and R477-7-1(11).

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-17 Change in Work Location

Management may not change an employee's work location if the change requires the employee to commute or relocate 50 miles or more, one-way, beyond the current one-way commute, unless:

(1) the employee agrees to the change;

(2) the change in work location is communicated to the employee at appointment to the position requiring the change in location; or

(3) management complies with relevant finance policies to pay costs associated with the change in work location.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-18 Agency Policies and Exemptions

Management may write agency policies for work schedules, overtime, leave usage, and other working conditions consistent with Title R477.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-19 Background Checks

To protect the citizens of Utah and state resources, and with the approval of the agency head, management may establish background check policies requiring specific employees to submit to a criminal background check through the Department of Public Safety, Bureau of Criminal Identification.

(1) Management at agencies that have statewide responsibility for confidential information, sensitive financial information, or handle state funds may require employees to submit to a background check, including employees who work in other state agencies.

(2) The employing agency bears the cost of the background check.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

Utah Admin. Code R477-8-20 Workers' Compensation Interference Prohibited

(1) Management may not interfere with an employee's effort to make a claim for workers' compensation.

(2) Management may not retaliate against an employee who makes or attempts to make a claim for workers' compensation, reports an employer's non-compliance with Title 34A, Chapter 2, Workers' Compensation Act or Title 34A, Chapter 3, Utah Occupational Disease Act, or testifies or intends to testify in a workers' compensation proceeding.

History

KEY: breaks, telecommuting, overtime, dual employment
Date of Last Change: January 21, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 34A-2-114; 63A-17-106; 63A-17-602; 20A-3-103

R477-9 Employee Conduct

Utah Admin. Code R477-9-1 Standards of Conduct

An employee shall comply with the standards of conduct established in Title R477 and the policies and rules established by management.

(1) Employees shall apply themselves to and shall fulfill their assigned duties during the full time for which they are compensated. An employee shall:

(a) comply with the standards established in the individual performance plans;

(b) maintain an acceptable level of performance and conduct on any other verbal and written job expectations;

(c) report conditions and circumstances, including impairment caused by an employee's use of illicit drugs, controlled substances, alcohol, or other intoxicant, that may prevent the employee from performing their job effectively and safely;

(d) inform their direct supervisor of any unclear instructions or procedures; and

(e) comply with agency policy governing a request to be relieved of a task under Section 67-27-105.

(2) An employee shall make prudent and frugal use of state funds, equipment, buildings, time, and supplies.

(3) Management shall take administrative action in accordance with Section R477-10-2, Rule R477-11, and Rule R477-14 when an employee reports for duty, attempts to perform the duties of the position, or drives a state vehicle while under the influence of alcohol or another intoxicant, including use of illicit drugs, non-prescribed controlled substances, and misuse of volatile substances.

(4) Management may decline to defend and indemnify an employee found violating this rule, under Title 63G, Chapter 7, Utah Governmental Immunity Act.

(5) An employee shall provide management with a current personal mailing address.

(a) The employee shall notify management in writing of any change in address.

(b) Mail sent to the current address on record is considered to be delivered for purposes of Title R477.

History

KEY: conflict of interest, government ethics, Hatch Act, personnel management
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-2; 63A-17-106; 63A-17-904; 5 U.S.C. 1502(a)(3)

Utah Admin. Code R477-9-2 Outside Employment

(1) An employee shall notify management in writing of outside employment. Failure to notify the employer and to gain approval for outside employment is grounds for disciplinary action.

(2) State employment is considered the principal vocation for a full time employee governed by these rules. An employee may engage in outside employment under the following conditions.

(a) Outside employment may not interfere with an employee's performance.

(b) Outside employment may not conflict with the interests of the agency nor the state.

(3) Management may deny an employee permission to engage in outside employment, or to receive payment, if the outside activity is determined to cause a real or potential conflict of interest.

(4) This section does not apply when two or more government positions are held by the same individual, unless the personal interest of the individual is not shared by the general public.

History

KEY: conflict of interest, government ethics, Hatch Act, personnel management
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-2; 63A-17-106; 63A-17-904; 5 U.S.C. 1502(a)(3)

Utah Admin. Code R477-9-3 Conflict of Interest

(1) An employee may receive honoraria or paid expenses for activities outside of state employment under the following conditions.

(a) Outside activities may not interfere with an employee's performance, the interests of the agency nor the state.

(b) Outside activities may not give reasons for criticism nor suspicion of conflicting interests or duties.

(2) An employee may not use state time, equipment, property, supplies, or any influence, power, authority, or confidential information received in a state position for private gain.

(3) An employee may not accept economic benefit tantamount to a gift under Section 67-16-5 and the Governor's Executive Order, 6/2/2014, nor accept other compensation that might be intended to influence or reward the employee in the performance of official business.

(4) An employee shall declare a potential conflict of interest when required to do or decide something that could be interpreted as a conflict of interest. Management shall then excuse the employee from making decisions or taking actions that may cause a conflict of interest.

History

KEY: conflict of interest, government ethics, Hatch Act, personnel management
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-2; 63A-17-106; 63A-17-904; 5 U.S.C. 1502(a)(3)

Utah Admin. Code R477-9-4 Political Activity

A state employee may voluntarily participate in political activity, except as restricted by this section or the Hatch Act of 1939, 5 U.S.C. 1501 et seq.

(1) As modified by Section 1502(a)(3), Hatch Modernization Act of 2012, a state employee whose salary is 100% funded by federal loans or grants may be restricted in political activity.

(a) State employees in positions covered by the Hatch Act may run for public office in non-partisan elections, campaign for and hold office in political clubs and organizations, actively campaign for candidates for public office in partisan and non-partisan elections, contribute money to political organizations, and attend political fundraising functions.

(b) State employees in positions covered by the federal Hatch Act may not be candidates for public office in a partisan election, use official authority or influence to interfere with or affect the results of an election or nomination, or directly or indirectly coerce contributions from subordinates in support of a political party or candidate.

(2) Before filing for candidacy, a state employee who is considering running for a partisan office shall submit a statement of intent to become a candidate to the agency head.

(a) The agency head shall consult with DHRM.

(b) DHRM shall determine whether the employee's intent to become a candidate is covered under the Hatch Act.

(3) An employee may not run for partisan political office if an agency head determines that the employee's position is covered by the Hatch Act.

(4) If an employee's position is covered by the Hatch Act and the employee files for candidacy, the agency head shall dismiss the employee.

(5) Management shall grant a leave of absence without pay to any career service employee elected to any partisan or full time non-partisan political office for times when monetary compensation is received for service in political office.

(6) During work time, no employee may engage in any political activity. No person shall solicit political contributions from employees of the executive branch during hours of employment. However, a state employee may voluntarily contribute to any party or any candidate.

(7) Decisions regarding employment, promotion, demotion, dismissal, or any other human resource actions may not be based on partisan political activity.

History

KEY: conflict of interest, government ethics, Hatch Act, personnel management
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-2; 63A-17-106; 63A-17-904; 5 U.S.C. 1502(a)(3)

Utah Admin. Code R477-9-5 Employee Reporting Protections

Under Section 67-21-3, management may not take retaliatory action against an employee who communicates in good faith, and in accordance with statute:

(1) the waste or misuse of public property, manpower, or funds;

(2) gross mismanagement;

(3) unethical conduct;

(4) abuse of authority; or

(5) violation of law, rule, or regulations.

History

KEY: conflict of interest, government ethics, Hatch Act, personnel management
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-2; 63A-17-106; 63A-17-904; 5 U.S.C. 1502(a)(3)

Utah Admin. Code R477-9-6 Employee Indebtedness to the State

(1) The state may withhold non-overtime salary over the minimum federal wage from an employee indebted to the state because of an action or performance in official duties.

(a) The state may withhold salary after:

(i) validating the debt and specifying a legitimately owed amount through physical documentation or other evidence;

(ii) notifying the employee of the debt;

(iii) providing the employee with an opportunity to:

(A) acknowledge the debt; and

(B) provide written authorization to withhold salary;

(iv) notifying the employee of this rule.

(b) The state may withhold salary from the last paycheck of an employee separating from state service.

(c) The state may withhold salary from an employee's last paycheck preceding a period of leave without pay for more than two pay periods.

(d) The state may withhold an employee's salary to satisfy the following specific obligations:

(i) travel advances where travel and reimbursement for the travel has already occurred;

(ii) state credit card obligations where the state's share of the obligation has been reimbursed to the employee but not paid to the credit card company by the employee;

(iii) evidence that the employee negligently caused loss or damage of state property;

(iv) payroll advance obligations that are signed by the employee and that the Division of Finance authorizes;

(v) misappropriation of state assets for unauthorized personal use or for personal financial gain, including reparation for employee theft of state property or use of state property for personal financial gain or benefit;

(vi) overpayment of salary determined by evidence that an employee did not work the hours for which they received salary or was not eligible for the benefits received and paid for by the state;

(vii) excessive reimbursement of funds from flexible reimbursement accounts; and

(viii) other obligations that satisfy the requirements of Subsection R477-9-5(1).

(2) This rule does not apply to state employee obligations to other state agencies where the obligation was not caused by their actions or performance as an employee.

History

KEY: conflict of interest, government ethics, Hatch Act, personnel management
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-2; 63A-17-106; 63A-17-904; 5 U.S.C. 1502(a)(3)

Utah Admin. Code R477-9-7 Acceptable Use of Information Technology Resources

Information technology resources are provided to a state employee to assist in the performance of assigned tasks and in the efficient day to day operations of state government.

(1) An employee shall use assigned information technology resources in compliance with Rule R895-7, Acceptable Use of Information Technology Resources.

(2) Management may discipline an employee who violates the Acceptable Use of Information Technology Resources policy under Rule R477-11.

History

KEY: conflict of interest, government ethics, Hatch Act, personnel management
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-2; 63A-17-106; 63A-17-904; 5 U.S.C. 1502(a)(3)

Utah Admin. Code R477-9-8 Personal Blogs and Social Media Sites

(1) An employee who participates in blogs and social networking sites for personal purposes may not:

(a) claim to represent the position of the state or an agency;

(b) post the seal of the state, or trademark or logo of an agency;

(c) post protected or confidential information, including copyrighted information, confidential information received from agency customers, or agency issued documents without permission from the agency head; or

(d) unlawfully discriminate against, harass, or otherwise threaten a state employee or a person doing business with the state.

(2) Management may establish agency policies to supplement this section.

(3) Management may discipline an employee according to Rule R477-11 for violations of this section or agency policy.

History

KEY: conflict of interest, government ethics, Hatch Act, personnel management
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-7-2; 63A-17-106; 63A-17-904; 5 U.S.C. 1502(a)(3)

R477-10 Employee Development

Utah Admin. Code R477-10-1 Performance Evaluation

Management shall utilize the DHRM approved system for employee performance plans and evaluations unless an alternate system has been pre-approved by DHRM.

(1) Management shall establish a performance management system that:

(a) defines an overall performance rating scale;

(b) identifies performance standards and expectations for each employee in a performance plan; and

(i) incentives to meet or exceed expectations;

(ii) specific standards, goals, or expectations; and

(iii) evaluation procedures.

(2) Management shall notify employees when their performance plans are implemented or modified.

(3) Management shall evaluate an employee's performance in writing at least quarterly. An employee may include written comments pertaining to the employee's performance evaluation.

(4) Management shall provide employees with regular verbal and written feedback based on the standards of performance and behavior outlined in their performance plans.

History

KEY: educational tuition, employee performance evaluations, employee productivity, training programs
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106

Utah Admin. Code R477-10-2 Performance Improvement

When an employee's performance does not meet established standards due to failure to maintain skills, incompetence, or inefficiency, and after consulting with DHRM, management may place an employee on an appropriate and documented performance improvement plan in accordance with this section.

(1) Management shall discuss the substandard performance with the employee and determine appropriate action.

(2) Performance improvement plans shall identify or provide for:

(a) a designated period of time for improvement;

(b) an opportunity for remediation;

(d) closer supervision to include regular feedback of the employee's progress;

(e) notice of disciplinary action for failure to improve; and

(f) a written performance evaluation at the conclusion of the performance improvement plan.

(3) An employee may submit written comment to accompany the performance improvement plan.

(4) Performance improvement plans may also identify or provide for the following based on the nature of the performance issue:

(a) training;

(b) reassignment; or

(5) Following successful completion of a performance improvement plan, management shall notify the employee of disciplinary consequences for a recurrence of the deficient work performance.

History

KEY: educational tuition, employee performance evaluations, employee productivity, training programs
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106

Utah Admin. Code R477-10-3 Written Warnings

Management may use written warnings to address performance or conduct problems.

History

KEY: educational tuition, employee performance evaluations, employee productivity, training programs
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106

Utah Admin. Code R477-10-4 Employee Development and Training

(1) Management may establish programs for training and staff development that shall be agency specific or designed for highly specialized or technical jobs and tasks.

(2) Management shall consult with the DHRM Division Director when proposed training and development activities may have statewide impact or may be offered more cost effectively on a statewide basis. The DHRM Division Director, shall determine whether DHRM will be responsible for the training standards.

(3) The DHRM Division Director shall work with management to establish standards to guide the development of statewide activities and to facilitate sharing of resources statewide.

(4) When management directs an employee to participate in an educational program, management shall pay full costs.

(5) Management shall provide refresher training and make reasonable efforts to requalify veterans reemployed under USERRA, as long as it does not cause an undue hardship to the employing agency.

(6) Management shall ensure that training is presented or made available online unless there is a physical or interactive component, the training takes place over consecutive, full-day sessions, or no attendee travels more than 50 miles from their primary residence or place of employment, whichever is closer to the training site, to attend the training.

History

KEY: educational tuition, employee performance evaluations, employee productivity, training programs
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106

Utah Admin. Code R477-10-5 Supervisor Training

(1) Each supervisor shall complete supervisor training:

(a) within six months of appointment to a supervisory position; and

(b) at least annually thereafter.

(2) Management shall evaluate a supervisor's training completion and effective use of training information and principles in any evaluation of a supervisor's job performance.

(3) Management shall utilize supervisor training provided by or approved by DHRM which includes:

(a) effective employee management and evaluation methods based on the performance management system described in Section R477-10-1;

(b) instruction to improve supervisor and employee communications;

(d) best practices for addressing poor-performing employees; and

(e) any other information and principles identified by the division to improve management or organizational effectiveness.

History

KEY: educational tuition, employee performance evaluations, employee productivity, training programs
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106

Utah Admin. Code R477-10-6 Education Assistance

Management may assist an employee in the pursuit of educational goals by granting administrative leave to attend classes, a subsidy of educational expenses, or both.

(1) Management may grant educational assistance when:

(a) the agency has a written policy governing educational assistance;

(b) the employee discloses any scholarships, subsidies, and grant monies received for the educational program; and

(2) Management shall require the employee to repay educational assistance when:

(a) the employee fails to successfully complete the required course work or educational requirements of a program; or

(b) the employee leaves the agency within one year of completing the educational work.

(3) Education assistance may not exceed $5,250 per employee in any one calendar year unless approved in advance by the agency head.

(4) Management shall reduce the educational assistance provided by the amount of funding disclosed under Subsection (1)(b) except for funding that the employee is expected to repay.

(5) Management shall be responsible for determining the taxable or non-taxable status of educational assistance reimbursements.

History

KEY: educational tuition, employee performance evaluations, employee productivity, training programs
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106

R477-11 Discipline

Utah Admin. Code R477-11-1 Disciplinary Action

(1) Management may discipline any employee for any of the following causes or reasons:

(a) noncompliance with these rules, agency or other applicable policies, including safety policies, agency professional standards, standards of conduct, and workplace policies;

(b) work performance that is inefficient or incompetent;

(d) insubordination or disloyalty to the orders of a superior;

(e) misfeasance, malfeasance, or nonfeasance;

(f) any incident involving intimidation, physical harm, or threats of physical harm against coworkers, management, or the public;

(g) the employee no longer meets the requirements of the position;

(h) conduct, on or off duty, which creates a conflict of interest with the employee's public responsibilities or impacts that employee's ability to perform job assignments;

(i) failure to advance the good of the public service, including conduct on or off duty which demeans or harms the effectiveness or ability of the agency to fulfill its mission;

(j) dishonesty; or

(k) misconduct.

(2) Management shall consult with DHRM before disciplining an employee.

(3) Disciplinary actions for career service employees are governed by principles of due process and Section 63A-17- 306. When administering a disciplinary action, management shall:

(a) notify the employee in writing of the proposed discipline, the reasons supporting the proposed action, and the right to reply within five working days;

(b) grant the employee at least five working days to reply;

(d) impose any discipline in accordance with these rules.

(4) After complying with Subsection (3) for a career service employee or for any career service exempt employee not subject to the same procedural rights, management may impose:

(a) a written reprimand;

(b) a suspension without pay up to 30 calendar days per incident requiring discipline;

(d) a dismissal in accordance with Section R477-11-2.

(5) Management shall notify the employee in writing of the discipline, the reasons for the discipline, the effective date, and length of the discipline when the discipline is imposed.

(6) Management shall notify any career service employee that the imposed disciplinary action is subject to the grievance procedures, except under Section 67-19a-402.5.

History

KEY: discipline of employees, dismissal of employees, grievances, government hearings
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306; 63G-2-3

Utah Admin. Code R477-11-2 Dismissal or Demotion

(1) Management may dismiss or demote a probationary employee or career service exempt employee for any or for no reason without right of appeal, except under Sections 67-21-3.5 and 67-19a-402.5.

(2) An agency head may initiate a dismissal or demotion for cause of a career service employee from a career service position as follows:

(a) the agency head or designee notifies the employee in writing of the reason for the proposed dismissal or demotion;

(b) the agency head or designee grants the employee five working days to submit a written reply;

(d) the agency head provides the employee an opportunity to be heard by the agency head or designee;

(i) This meeting is limited to the specific reasons raised in the notice of intent to demote or dismiss.

(ii) At the meeting, the employee may present, either in person, in writing, or with a representative, comments or reasons as to why the proposed disciplinary action should not be taken. The agency head or designee is not required to receive or allow other witnesses on behalf of the employee.

(iii) The employee may present documents, affidavits, or other written materials at the meeting. However, the employee is not entitled to present or discover documents within the possession or control of the department or agency that are private, protected, or controlled under Section 63G-2-3.

(3) After complying with Subsection (2), the agency head may dismiss or demote the career service employee upon a finding of adequate cause or reason. The agency head notifies the employee in writing of the decision and the reasons for the decision.

History

KEY: discipline of employees, dismissal of employees, grievances, government hearings
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306; 63G-2-3

Utah Admin. Code R477-11-3 Discretionary Factors

When deciding the specific type and severity of agency action, the agency head or representative may consider the following factors:

(1) consistent application of rules and standards;

(a) the agency head or representative need only consider those cases decided under the administration of the current agency head because decisions in cases before the administration of the current agency head are not binding upon the current agency head and are not relevant in determining consistent application of rules and standards;

(b) in determining consistent application of rules and standards, the disciplinary actions imposed by one agency may not be binding upon any other agency and may not be used for comparison purposes in hearings wherein the consistent application of rules and standards is at issue;

(2) prior knowledge of rules and standards;

(3) the severity of the infraction;

(4) the repeated nature of violations;

(5) prior disciplinary actions or performance improvement efforts;

(6) previous oral warnings, written warnings, and discussions;

(7) the employee's past work record;

(8) the potential of the violations for causing damage to persons or property;

(9) the strength of the evidence of conduct;

(10) dishonesty or failing to disclose relevant information;

(11) the effect on agency operations, including:

(a) how the wrongdoing relates to the employee's job duties;

(b) the potential of the conduct to adversely affect public confidence in the agency;

(12) willful or intentional conduct; or

(13) likelihood of recurrence.

History

KEY: discipline of employees, dismissal of employees, grievances, government hearings
Date of Last Change: July 1, 2026
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306; 63G-2-3

R477-12 Separations

Utah Admin. Code R477-12-1 Resignation

An employee may resign or retire by giving written or verbal notice to the direct supervisor or an appropriate representative of management.

(1) After giving notice, an employee may not withdraw the resignation or retirement unless the agency head or designee consents to the withdrawal.

History

KEY: administrative procedures, employees' rights, grievances, retirement
Date of Last Change: July 1, 2023
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306

Utah Admin. Code R477-12-2 Abandonment of Position

Management may consider an employee who is absent from work for three consecutive working days without approval to have abandoned the employee's position and resigned from the employing agency.

(1) Management may process appropriate actions to formally separate an employee who has abandoned their position from state employment.

(a) Management shall send the employee notice that the employee's resignation has been accepted to the employee's last known address.

(b) The notice shall grant the employee five working days from receipt, delivery, or attempted delivery of the notice to request that the agency head reconsider accepting the resignation.

History

KEY: administrative procedures, employees' rights, grievances, retirement
Date of Last Change: July 1, 2023
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306

Utah Admin. Code R477-12-3 Reduction in Force

Reductions in force (RIF) are governed by DHRM rules and standard operating procedures.

(1) When management intends to reduce staff in one or more categories of work, management shall develop a work force adjustment plan (WFAP). Management may only give formal, written notification to a career service employee after a WFAP has been reviewed by the DHRM Division Director or designee and approved by the agency head or designee. The following items shall be addressed in the WFAP:

(a) the categories of work to be eliminated;

(b) specific measures taken, if any, to facilitate the placement of affected employees through reassignment or transfer to vacant positions the employee is qualified to fill;

(d) when more than one employee is affected, employees shall be listed in order of retention points.

(2) Management may RIF a career service employee, including an employee covered by USERRA, only when the employee has been identified in a WFAP and notified of the RIF in accordance with Subsection (5).

(3) Management shall calculate retention points when more than one employee is affected within a category of work by giving appropriate consideration for proficiency and seniority with proficiency being the primary factor.

(a) Management may consider performance evaluations and performance information for the past three years when assessing job proficiency.

(b) Management shall calculate seniority as the length of the most recent continuous career service which commenced in a career service position for which the probationary period was successfully completed. Exempt service time after attaining career service status with no break in service shall be counted for purposes of seniority.

(i) Management shall consult with the DHRM Division Director or designee.

(ii) WFAPs shall comply with current DHRM standard operating procedures.

(4) Management shall separate employees in the following order:

(a) first, temporary employees in schedule IN or TL positions;

(b) second, probationary employees; and

(5) When an employee, including one covered under USERRA, is identified for separation due to a RIF, management shall provide the employee written notification of:

(a) the pending RIF; and

(b) final written notification of separation due to a RIF on the day of separation.

(6) Management shall notify a career service employee separated due to a RIF that they may appeal to the agency head by submitting a written notice of appeal within 20 working days after the date of separation. When an employee submits such an appeal, the agency head shall notify the employee that they may appeal the agency head's decision according to the grievance procedures of the Career Service Review Office.

(7) A career service employee who is separated in a RIF is governed by the rules in place at the time of separation.

(8) When a career service employee who is separated in a RIF applies for a career service position, management shall give preferential consideration to the individual's application score when developing the hiring list as outlined in DHRM standard operating procedures until the individual accepts a career service position.

(9) Management may allow an individual rehired to a career service position to buy back any accumulated annual and converted sick leave that was cashed out when the individual was separated from employment through a RIF.

History

KEY: administrative procedures, employees' rights, grievances, retirement
Date of Last Change: July 1, 2023
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306

R477-13 Volunteer Programs

Utah Admin. Code R477-13-1 Volunteer Programs

(1) Management may establish a volunteer program. A volunteer program shall include:

(a) documented agreement of the type of work and duration for which the volunteer services will be provided;

(b) orientation to the conditions of state service and the volunteer's specific assignments;

(d) documented hours worked by a volunteer; and

(e) compliance with Title 67, Chapter 20, Volunteer Government Workers Act.

(2) A volunteer may not donate any service to an agency unless the volunteer's services are approved by the agency head or designee.

(3) Volunteers may not serve the state or any agency or subdivisions of the state until management approves work programs for volunteers.

(4) A volunteer is considered a government employee for purposes of workers' compensation, operation of motor vehicles or equipment if properly licensed and authorized to do so, and liability protection and indemnification.

(5) State employees who volunteer for any state agency may only perform services that are distinctly different from their primary work activities.

History

KEY: personnel management, administrative rules, rules and procedures, volunteers
Date of Last Change: July 1, 2023
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-20-3; 67-20-4; 67-20-8

R477-14 Substance Abuse and Drug-Free Workplace

Utah Admin. Code R477-14-1 Rules Governing a Drug-Free Workplace

(1) Except as provided in Sections 26B-4-207 and 34A-5-115, this rule implements the federal Drug-Free Workplace Act of 1988, 41 USC 8101, et seq., the Omnibus Transportation Employee Testing Act of 1991, 49 U.S.C. 5331, et seq., and Section 63A-17-1004 authorizing drug and alcohol testing, to:

(a) provide a safe, productive work environment that is free from the effects of drug and alcohol abuse;

(b) identify, correct and remove the effects of drug and alcohol abuse on job performance; and

(2) State employees should report to work fit for duty and able to safely and effectively perform job functions.

(a) State employees are not prohibited from lawful use and possession of prescribed or over-the-counter medications unless the medication adversely affects their ability to safely or effectively perform their job duties. Any employee taking prescribed or over-the-counter medications is responsible for consulting the prescribing physician or pharmacist to ascertain whether the medication may interfere with safe performance of job functions. If the use of a medication could compromise the safety of employees, the public, or property it is the employee's responsibility to avoid unsafe workplace practices by using appropriate personnel procedures such as calling in sick, using leave, requesting a change of duty, notifying a supervisor, or notifying DHRM.

(b) The illegal or unauthorized use of prescription drugs is prohibited. It is a violation of this rule to intentionally misuse or abuse prescription medication. Management may take appropriate personnel action, up to and including dismissal from employment, if job performance deteriorates or other accidents occur.

(3) Except as provided in Sections 26B-4-207 and 34A-5-115, state employees may not unlawfully manufacture, dispense, possess, distribute, use or be under the influence of any controlled substance or alcohol during working hours, on state property, or while operating a state vehicle at any time, or other vehicle while on duty.

(4) Employees shall follow Subsection R477-14-1(2) outside of work if the activity:

(a) directly affects the eligibility of state agencies to receive federal grants or to qualify for federal contracts of $25,000 or more; or

(b) prevents the employee from performing job duties safely or effectively.

(5) Management shall conduct any drug or alcohol testing in compliance with applicable federal and state regulations and policies.

(6) Management shall ensure that any drug or alcohol testing is conducted by a federally certified or licensed physician or clinic, or testing service approved by DHRM.

(7) Drug or alcohol tests with positive results or a possible false positive result shall require a confirmation test.

(8) Management may require final applicants who are not current employees to submit to pre-employment drug testing.

(9) Management may conduct drug or alcohol tests for the following reasons:

(a) reasonable suspicion;

(b) critical incident;

(d) return to duty; and

(e) follow up.

(10) Management may require final candidates for transfer or promotion to a highly sensitive position to submit to pre- employment drug testing.

(11) Management may not require an employee who is reassigned to a highly sensitive position or assigned the duties of a highly sensitive position to submit to pre-employment drug testing.

(12) Management may require employees in highly sensitive positions, as designated by DHRM, to submit to random drug or alcohol testing without justification of reasonable suspicion or critical incident. Except when required by federal regulation or state policy, random drug or alcohol testing of employees in highly sensitive positions is conducted at the discretion of the employing agency.

(13) This rule incorporates by reference the requirements of 49 CFR 40.87.

(14) The state will use a blood alcohol concentration level of .04 for safety sensitive positions and .05 for any other positions as the cut off for a positive alcohol test except where designated otherwise by federal regulations.

(15) Management with employees in federally regulated positions shall administer testing and prohibition requirements and conduct training on these requirements as outlined in the current federal regulation.

(16) When an employee in a federally regulated position has a confirmation test for alcohol results at or in excess of the applicable federal cut off level when tested before, during, or after performing safety sensitive duties, management:

(a) shall remove the employee from duty according to the applicable federal regulations; and

(b) may discipline the employee which may include dismissal.

History

KEY: personnel management, drug/alcohol education, drug abuse, discipline of employees
Date of Last Change: June 10, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-2-3; 63A-17-106; 63A-17-306; 63A-17-1001 through 63A-17- 1006

Utah Admin. Code R477-14-2 Management Action

(1) Under Rules R477-10, R477-11, and Section R477-14-2, supervisors and managers who receive notice of a workplace violation of this rule shall take immediate action.

(2) Except as provided in Sections 26B-4-207 and 34A-5-115, management may take disciplinary action which may include dismissal if:

(a) there is a verified positive test for controlled substances;

(b) results of a confirmation test for alcohol meet or exceed the established alcohol concentration cutoff level;

(c) management determines an employee cannot perform assigned job tasks, even when the result of a chemical test is reported negative;

(d) an employee refuses a request to submit to testing under this policy;

(e) an employee substitutes, adulterates, or otherwise tampers with a drug or alcohol testing sample, or attempts to do so; or

(f) an employee violates any other portion of this rule.

(3) When an employee has a verified positive test for use of a controlled substance or alcohol in violation of these rules, management may require the employee to agree to participate, at the employee's expense, in a rehabilitation program, under Subsection 63A-17-1006(3). If this is required, the following shall apply.

(a) Management shall grant a leave of absence using accrued leave or leave without pay to an employee participating in a rehabilitation program for inpatient treatment.

(b) The employee shall sign a release to allow the transmittal of verbal or written compliance reports between the state agency and the inpatient or outpatient rehabilitation program provider.

(d) Management may require an employee to continue participation in an outpatient rehabilitation program prescribed by a licensed practitioner on the employee's own time and expense.

(e) Management shall reinstate an employee who successfully completes a rehabilitation program to work in the previously held position, or a position with a comparable or lower salary range.

(f) Management shall discipline an employee who fails to complete the prescribed treatment without a valid reason.

(4) Management may require an employee who has a verified positive test for use of a controlled substance or alcohol to submit to follow up testing.

(5) An employee who is convicted of manufacturing, distributing, dispensing, possessing, selling or using a controlled substance, under federal or state criminal law, shall notify the agency head of the conviction no later than five calendar days after the conviction.

(6) The agency head shall notify the federal grantor or agency for which a contract is being performed within ten calendar days of receiving notice of a conviction under Subsection (5) from:

(a) the judicial system;

(b) other sources; or

(c) an employee performing work under the grant or contract who has been convicted of a controlled substance violation in the workplace.

History

KEY: personnel management, drug/alcohol education, drug abuse, discipline of employees
Date of Last Change: June 10, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-2-3; 63A-17-106; 63A-17-306; 63A-17-1001 through 63A-17- 1006

Utah Admin. Code R477-14-3 Drug and Alcohol Test Records

(1) DHRM shall maintain and store a separate confidential file of drug and alcohol test results and documents related rehabilitation in the agency human resource field office.

(2) DHRM shall retain test results in accordance with the retention schedule.

History

KEY: personnel management, drug/alcohol education, drug abuse, discipline of employees
Date of Last Change: June 10, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63G-2-3; 63A-17-106; 63A-17-306; 63A-17-1001 through 63A-17- 1006

R477-15 Workplace Harassment Prevention

Utah Admin. Code R477-15-1 Policy

It is the policy of this state to provide a work environment free from discrimination and harassment based on protected class or activity. This policy regulates behaviors that are harassing, discriminatory, or retaliatory regardless of whether the behavior would constitute a violation of applicable state or federal laws.

(1) Workplace harassment occurs when conduct:

(a) is based on race, religion, national origin, color, sex, age, disability, pregnancy, sexual orientation, gender identity, or protected activity or class under state or federal law;

(b) is unwelcome, pervasive, demeaning, ridiculing, derisive, or coercive; and

(2) Discrimination occurs when a tangible employment action is taken against an employee because of any characteristic or activity listed in Subsection R477-15-1(1)(a).

(3) Management may discipline an employee for violating workplace policies, even if:

(a) the conduct occurs outside of scheduled work time or work location; or

(b) the conduct is not sufficiently severe to constitute a violation of law.

(4) Once a complaint has been filed, the accused may not communicate with the complainant regarding allegations of harassment.

History

KEY: administrative procedures, hostile work environment
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306; 63G-2-305; E.O. No. 2019-1 "Prohibiting Unlawful Workplace Harassment, Discrimination, and Retaliation and Ordering a Mandatory Supervisor Training Program"

Utah Admin. Code R477-15-2 Retaliation

No person may retaliate against any employee who opposes a practice forbidden under this policy, or has filed a charge, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing, or is otherwise engaged in protected activity.

History

KEY: administrative procedures, hostile work environment
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306; 63G-2-305; E.O. No. 2019-1 "Prohibiting Unlawful Workplace Harassment, Discrimination, and Retaliation and Ordering a Mandatory Supervisor Training Program"

Utah Admin. Code R477-15-3 Complaint Procedure

Management shall permit employees who allege workplace harassment or retaliation to file complaints and engage in a review process free from bias, collusion, intimidation, or retaliation. Complainants shall be provided a reasonable amount of work time to prepare for and participate in internal complaint processes.

(1) An employee who feels they are being subjected to workplace harassment or retaliation should do the following:

(a) document the occurrence;

(b) continue to report to work; and

(2) An employee may file an oral or written complaint of workplace harassment or retaliation with their direct supervisor, any other supervisor within their direct chain of command, or the Division of Human Resource Management, including the agency human resource field office the Utah Labor Commission Antidiscrimination and Labor Division, or the Equal Employment Opportunity Commission.

(a) Any employee, witness, volunteer, or other individual may submit a complaint.

(b) A complaint may be made through either oral or written notification and shall be handled in compliance with investigative procedures and records requirements in Sections R477-15-4 and R477-15-5.

(c) Any supervisor who has knowledge of workplace harassment or retaliation shall take immediate, appropriate action in consultation with DHRM and document the action.

(3) Management shall act on any complaints of workplace harassment or retaliation following receipt of the complaint.

(4) Management shall notify the complainant if investigation is unwarranted.

History

KEY: administrative procedures, hostile work environment
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306; 63G-2-305; E.O. No. 2019-1 "Prohibiting Unlawful Workplace Harassment, Discrimination, and Retaliation and Ordering a Mandatory Supervisor Training Program"

Utah Admin. Code R477-15-4 Investigative Procedure

(1) When an investigation is warranted, the investigation shall be conducted based on DHRM standards.

(2) Results of Investigation.

(a) If the investigation finds the allegations to be sustained, management shall take appropriate administrative action.

(b) If an investigation reveals evidence of criminal conduct in workplace harassment or retaliation allegations, the agency head or DHRM Division Director may refer the matter to the appropriate law enforcement agency.

History

KEY: administrative procedures, hostile work environment
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306; 63G-2-305; E.O. No. 2019-1 "Prohibiting Unlawful Workplace Harassment, Discrimination, and Retaliation and Ordering a Mandatory Supervisor Training Program"

Utah Admin. Code R477-15-5 Workplace Harassment Records

(1) DHRM shall maintain and store a separate, confidential file of any workplace harassment and retaliation complaints in the agency human resource field office, or in the possession of an authorized official.

(a) Files shall be retained in accordance with the retention schedule after the active case ends.

(b) Any information contained in the complaint file shall be classified as protected under Section 63G-2-305.

(c) No person may release information contained in the workplace harassment and retaliation file unless the agency head or DHRM Division Director determines the release is required by law.

(2) A supervisor may not keep separate files related to complaints of workplace harassment or retaliation.

(3) Any participant in any workplace harassment or retaliation proceeding shall treat any information pertaining to the case as confidential.

History

KEY: administrative procedures, hostile work environment
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306; 63G-2-305; E.O. No. 2019-1 "Prohibiting Unlawful Workplace Harassment, Discrimination, and Retaliation and Ordering a Mandatory Supervisor Training Program"

Utah Admin. Code R477-15-6 Training

(1) DHRM shall provide employees training, including additional training for supervisors, on the prevention of workplace harassment.

(a) The curriculum shall be approved by the Division of Risk Management.

(b) Management shall ensure employees complete workplace harassment prevention training upon hire and at least every two years thereafter.

(c) Management shall submit training records to DHRM including who provided the training, who attended the training, and when they attended it.

History

KEY: administrative procedures, hostile work environment
Date of Last Change: July 1, 2025
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 63A-17-306; 63G-2-305; E.O. No. 2019-1 "Prohibiting Unlawful Workplace Harassment, Discrimination, and Retaliation and Ordering a Mandatory Supervisor Training Program"

R477-16 Abusive Conduct Prevention

Utah Admin. Code R477-16-1 Policy

It is the policy of this state to provide a work environment free from abusive conduct.

(1) Abusive conduct includes physical, verbal or nonverbal conduct, such as derogatory remarks, insults, or epithets made by an employee that a reasonable person would determine:

(a) was intended to cause intimidation, humiliation, or unwarranted distress;

(b) exploits a known physical or psychological disability; or

(2) The following actions do not constitute abusive conduct unless they are especially severe and egregious:

(a) a single act;

(b) appropriate disciplinary or administrative actions;

(d) reasonable work assignments or job reassignments; or

(e) reasonable differences in styles of management, communication, expression, or opinion.

(3) Management may discipline an employee under this rule even if the conduct occurs outside of scheduled work time or work location.

(4) Once a complaint of abusive conduct has been filed, the accused may not communicate with the complainant regarding allegations in the complaint.

History

KEY: abusive conduct, administrative procedures, hostile work environment
Date of Last Change: July 1, 2023
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-26-101

Utah Admin. Code R477-16-2 Complaint Procedure

Management shall permit employees who allege abusive conduct to file complaints and engage in a review process free from bias, collusion, intimidation, or retaliation.

(1) An employee who feels they are being subjected to abusive conduct should do the following:

(a) document the occurrence;

(b) continue to report to work; and

(2) An employee shall file a written complaint of abusive conduct with their direct supervisor, any other supervisor in their direct chain of command, or the Division of Human Resource Management, including the agency human resource field office.

(a) Any employee, witness, volunteer, or other individual may submit a complaint.

(b) Any supervisor who has knowledge of abusive conduct shall take immediate, appropriate action in consultation with DHRM and document the action.

History

KEY: abusive conduct, administrative procedures, hostile work environment
Date of Last Change: July 1, 2023
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-26-101

Utah Admin. Code R477-16-3 Investigative Procedure

(1) When an investigation is warranted, the investigation shall be conducted based on DHRM standards.

(2) Results of Investigation.

(a) If an investigation finds the allegations of abusive conduct to be sustained, management shall take appropriate administrative action.

(b) If an investigation reveals evidence of criminal conduct in abusive conduct allegations, the agency head or DHRM Division Director may refer the matter to the appropriate law enforcement agency.

(c) At the conclusion of the investigation, management shall ensure that the appropriate parties are notified of investigative findings and the procedure to request an administrative review of findings pursuant to Section 67-19a-501.

(3) Participants in any abusive conduct investigation shall treat any information pertaining to the case as confidential.

History

KEY: abusive conduct, administrative procedures, hostile work environment
Date of Last Change: July 1, 2023
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-26-101

Utah Admin. Code R477-16-4 Abusive Conduct Training

(1) DHRM shall provide employees and supervisors training on the prevention of abusive conduct.

(a) Training shall include information regarding what constitutes abusive conduct, how to prevent it, options available under this rule, and procedures under Title 67, Chapter 19a, Grievance Procedures.

(b) Management shall ensure employees complete training within a reasonable time after hire and at least every two years thereafter.

(c) Management shall submit training records to DHRM including who provided the training, who attended the training and when they attended it.

History

KEY: abusive conduct, administrative procedures, hostile work environment
Date of Last Change: July 1, 2023
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-106; 67-26-101

R477-101 Administrative Law Judge Conduct Committee

Utah Admin. Code R477-101-1 Authority and Purpose

This rule is enacted pursuant to Section 63A-17-703, requiring the DHRM to establish rules governing minimum performance standards for administrative law judges, procedures for addressing and reviewing complaints against administrative law judges, standards for complaints, and standards of conduct for administrative law judges.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-2 Definitions

In addition to the terms defined in Section 63A-17-701:

(1) "Administrative Law Judge" (ALJ) includes hearing officers employed or contracted by a state agency that meet the criteria described in Subsection 63A-17-701(1)(a).

(2) "Chair" means the Division Director, Division of Human Resource Management, or designee.

(3) "Code of conduct" means the Model Code of Judicial Conduct for State Administrative Law Judges, National Association of Administrative Law Judges (November 1993) incorporated by reference.

(4) "Committee" means the Administrative Law Judge Committee created in Section 67-19e-108.

(5) "Committee meeting" means a proceeding at which a complaint is presented to the committee by the investigator. respondent ALJ shall also have the opportunity to appear and speak regarding the complaint and its allegations.

(6) "Complaint" means a written document filed with the Department under Section R477-101-8 alleging misconduct by an ALJ.

(7) "Division" means the Division of Human Resource Management.

(8) "Final agency action" occurs when the substantive rights or obligations of litigants in an administrative proceeding have been determined or legal consequences flow from a determination and when the agency decision is not preliminary, preparatory, procedural, or intermediate.

(9) "Full investigation" means an investigation where the respondent ALJ may respond, in writing, to specific allegations identified in a complaint. A full investigation may also include: examination by the investigator of documents, correspondence, hearing records, transcripts or tapes; interviews of the complainant, counsel, hearing staff, respondent ALJ, interested parties, and other witnesses.

(10) "Good cause" means a cause or reason in law, equity, or justice that provides a responsible basis for action or a decision.

(11) "Interested party" means an individual or entity who participated in an event or proceeding giving rise to a complaint against the respondent ALJ.

(12) "Investigator" means a person employed by the division to perform investigations mandated under Section 63A- 17-707 and present information at the committee meeting.

(13) "Misconduct" means a violation of the code of conduct or Sections 67-19e-101 and 63A-17-701 through 63A-17- 710.

(14) "Preliminary investigation" means that portion of an investigation conducted by the division upon receipt of a complaint. A preliminary investigation may include:

(a) examination of documents or correspondence; and

(b) interviews of the complainant, counsel, hearing staff, and other witnesses.

(15) "Respondent ALJ" means an ALJ against whom a complaint is filed.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-3 Jurisdiction

(1) Administrative Law Judges. The committee has jurisdiction over ALJs to investigate, review, hear, and make recommendations regarding complaints filed against ALJs.

(2) Former ALJs. The committee has continuing jurisdiction over former ALJs regarding allegations that misconduct occurred during service as an ALJ if a complaint is received before the ALJ's appointment concludes.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-4 Records Classification and Retention

(1) Records prepared by and for the committee, including any complaints, investigative reports, recommendations, and votes on recommended action against an ALJ are classified as protected under Section 63G-2-305.

(2) The division shall maintain committee records for a period of three years following the conclusion of any committee activity.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-5 Committee

(1) The Division Director or designee shall serve as chair of the committee, and appoint four executive directors or their designees to serve on the committee.

(2) Only executive directors of agencies that employ or contract with ALJs may serve on the committee.

(3) If a division investigation establishes a complaint requires further action, the chair shall convene the committee.

(4) An executive director of the agency that employs or contracts with the respondent ALJ may not participate in a committee proceeding involving the respondent ALJ.

(5) After convening the committee, the division shall provide a copy of the complaint and its investigative results to the committee and the respondent ALJ.

(6) Within 30 days of the date the committee is convened on a complaint the committee shall schedule a committee meeting. At the committee meeting the respondent ALJ shall be given the opportunity to appear, speak, and present documents in response to a complaint.

(7) Committee members may attend committee meetings in person, by telephone, by videoconference, or by other means approved in advance by the chair.

(8) After consideration of any information provided at the committee meeting, the committee shall dispose of the complaint by issuing a decision or report with a recommendation to the agency containing:

(a) a brief description of the complaint and the investigative results;

(b) findings, and;

(9) Committee members may not, individually or collectively, engage in ex parte communications about proceedings with complainants, witnesses, or ALJs.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-6 Duties of the Chair

(1) The chair shall:

(a) receive, acknowledge receipt of and review complaints;

(b) notify complainants about the status and disposition of their complaints;

(d) stay investigations or committee proceedings pending final agency action of the matter giving rise to the complaint against the respondent ALJ;

(e) maintain records of the committee's operations and actions;

(f) compile data to aid in the administration of the committee's operations and actions;

(g) prepare and distribute an annual report of the committee's operations and actions;

(h) direct the operations of the committee's office, and supervise other members of the committee's staff;

(i) make available to the public the laws, rules, and procedures of the committee and its operations; and

(j) consider requests for extension of time periods and, upon a showing of good cause, grant such requests for a period not to exceed 20 days for each request.

(2) Subject to the duty to direct and supervise, the chair may delegate any of the foregoing duties to other members of the committee's staff.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-7 Code of Conduct

(1) ALJs shall comply with the Model Code of Judicial Conduct for State Administrative Law Judges, National Association of Administrative Law Judges.

(2) To suit a specific agency need, management may make an addendum or modification to the code of conduct. Any such addendum or modification is specific to that agency. In addition, management may not make any addendum or modification to the code of conduct unless the committee reviews and approves the changes before implementation. The chair may convene the committee to review any proposed addendum or modification.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-8 Filing Procedure

(1) Management at each agency shall include a copy of DHRM Rule R477-101 in the administrative rule materials that they provide to parties, or shall otherwise make them readily available to parties, at the commencement of administrative proceedings.

(2) An individual who alleges a violation of the code of conduct or otherwise has a complaint against an ALJ may file a timely written complaint with the division. An interested party shall file a written complaint with the division within 20 working days of final administrative action in the matter in which the individual is an interested party. Any complaint filed after the 20th working day of the final administrative action is untimely.

(3) The filing date is the date the division actually receives the complaint. The division shall date-stamp any complaints on the date received. Any filing and other time periods are based upon the division's working days.

(4) The person filing a complaint or that person's authorized representative shall:

(a) specify facts and allegations of misconduct;

(b) sign the complaint; and

(c) include the name, address, and telephone number of the complainant, and the name, business address, and telephone number of the representative, if applicable.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-9 Investigation

(1) Preliminary investigation.

(a) The division shall review any timely filed complaints and shall, regardless of whether the allegations contained therein would constitute misconduct if true, conduct a preliminary investigation.

(b) If the preliminary investigation determines that the complaint is untimely, frivolous, without merit, or if the complaint merely indicates disagreement with the respondent ALJ's decision, without further alleged misconduct, the complaint may be dismissed without further action.

(c) If, after a preliminary investigation is completed, there is a reasonable basis to find misconduct occurred, the investigator shall initiate a full investigation.

(2) Full investigation.

Within ten days after a determination to conduct a full investigation is made, the investigator shall notify the respondent ALJ that a full investigation is being conducted. The notice shall:

(a) inform the respondent ALJ of the specific facts and allegations being investigated and the canons or statutory provisions allegedly violated;

(b) inform the respondent ALJ that the investigation may be expanded if appropriate;

(d) include a copy of the complaint, any preliminary investigation reports, and any other documentation reviewed in determining whether to authorize a full investigation; and

(e) inform the respondent ALG that a full investigation shall be completed within three months of the determination to conduct a full investigation unless continued by the chair.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-10 Full Investigative Findings

The investigator shall provide the results of the investigation to the chair, who shall determine whether to convene a committee meeting.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-11 Notice

(1) If after review of the full investigative result and findings the chair determines the complaint is factually or legally insufficient to establish misconduct, the chair shall dismiss the complaint and take no further action.

(2) If after review of the full investigative result and findings the chair determines the complaint requires further action, the chair shall convene the committee and order a committee meeting be scheduled.

(3) After convening the committee the chair shall provide respondent ALJ written notice of the ALJ's right to appear, speak, and present documents at the committee meeting. The chair shall also provide the respondent ALJ with a copy of the complaint and the results of the division's investigation.

(4) The chair shall delivery notice that a committee has been convened and a committee meeting ordered by personal service or certified mail upon the respondent ALJ or the respondent ALJ's representative. Service of any other notices or papers may be regular mail.

(5) Within 20 days after receiving written notice from the chair that a committee has been convened the respondent ALJ may provide the committee a written response to the complaint.

(6) After receipt of the respondent ALJ's response or after expiration of the time to respond the committee shall, in consultation with the ALJ, schedule a committee meeting. The committee shall notify the ALJ in writing of the date, time, and place of the committee meeting. Unless continued for good cause, committee meeting shall be held within four months of the date a committee is convened on a complaint.

(7) No later than 20 days before the scheduled committee meeting the chair shall provide the respondent ALJ with copies of any documents proposed for use at the committee meeting or to be relied upon in making its report and recommendation.

(8) respondent ALJ is entitled to representation at every stage of the committee proceedings or the committee meeting.

(9) Neither the Utah Rules of Evidence nor the Utah Rules of Civil Procedure apply in committee proceedings.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-12 Effect of Respondent ALJ's Resignation or Retirement During Proceeding

If the respondent ALJ resigns or retires during the proceedings, the committee shall determine whether to proceed or dismiss the proceedings.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-13 Committee Meetings

(1) The chair shall rule on any motions or objections raised during a committee meeting, set reasonable limits on the statements or documents presented, including any statements from the complainant. The chair may limit the time allowed for the presentation of information, may bifurcate any issues to be considered, and may make any other rulings regarding any committee proceeding or committee meeting.

(2) A committee meeting may not be held unless at least three members of the committee present.

(3) The respondent ALJ may present information to, make statements, and produce witnesses for the committee's consideration.

(4) Committee members may ask questions of any witness including the respondent ALJ.

(5) Immediately following the conclusion of the committee meeting, the committee shall deliberate and decide whether there is sufficient evidence the respondent ALJ violated the code of conduct or otherwise engaged in misconduct. Any such decision shall require a majority vote of the participating committee members.

(6) The committee shall use the preponderance of the evidence standard when making decisions.

(7) Within 30 days of the conclusion of the committee meeting, the chair shall prepare a memorandum decision or report, with a recommendation for any proposed personnel action, and shall forward the decision and recommendation to the respondent ALJ and the agency head of the respondent ALJ.

(8) After deliberation, if the committee finds insufficient evidence or reason to determine misconduct occurred, the complaint shall be dismissed.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-14 Discipline

(1) At any time after the commencement of a full investigation and before any committee action, the ALJ may admit to any of the allegations in exchange for a stated sanction. The committee shall make a recommendation based on the admission.

(2) Management at an employing agency shall comply with applicable division or state rule governing discipline when taking any corrective action or disciplinary action against a career service employee.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-15 Reinstatement of Proceedings

(1) Reinstatement upon request by complainant.

(a) If a complaint is dismissed, the complainant may, within 20 days of the date of the letter notifying the complainant of the dismissal, file a written request that the committee reinstate the complaint. The complainant shall specify the grounds upon which reinstatement is sought in the written request.

(b) The committee shall consider the written request and determine whether to reinstate the complaint at the next available meeting of the committee.

(2) Reinstatement by the chair.

(a) If the committee dismisses a complaint, the chair may, at any time upon the receipt of newly discovered evidence, request that the committee reinstate the complaint. The chair shall specify the grounds upon which the reinstatement is sought in the request.

(b) The committee shall consider the request and determine whether to reinstate the complaint at the next available meeting of the committee.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-16 Performance Standard

(1) The following minimum performance standards apply to each ALJ:

(a) an ALJ may not have more than one agency disciplinary action or one committee recommendation for disciplinary action during the ALJ's four-year evaluation cycle; and

(b) an ALJ shall receive a satisfactory rating on the survey. A satisfactory rating is achieved when an average of at least 65% of collected responses to survey questions for an ALJ is "Agree." Any survey question with a response of "Not enough information to respond" will not be used when calculating the rating.

(2) For any open-ended response option, the committee shall establish the minimum performance standard. Any established performance standard shall be substantially equivalent to the standard required by Section 63A-17-705.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-17 Performance Surveys

(1) The division shall establish and follow a schedule to survey the performance of each ALJ every four years in a staggered schedule to survey the performance of about one-quarter of ALJ's each calendar year.

(2) Survey respondents shall include:

(a) an attorney who has appeared before the administrative law judge as counsel in the proceeding; and

(b) staff who have worked with the administrative law judge.

(3) Additional respondents may include any other persons who have appeared on record before the administrative law judge, including pro se parties and witnesses.

(4) The division shall maintain survey results separate from the ALJ's personnel file.

(5) The division shall make survey results available to the ALJ's direct supervisor for consideration in completing annual performance evaluations.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-18 Training

(1) The division shall provide an annual webcast on the topic of procedural fairness for administrative law judges. The content of the webcast shall comply with the provisions and requirements set forth in Section 63A-17-710.

(2) Each year that an administrative law judge receives a performance evaluation conducted by the division under this section, the administrative law judge shall complete the procedural fairness training program established by the division.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

Utah Admin. Code R477-101-19 Hiring of Administrative Law Judges

(1) Hiring of administrative law judges is governed by Sections 63A-17-704 and R477-4-15.

History

KEY: administrative law judges, conduct committee
Date of Last Change: July 1, 2022
Notice of Continuation: March 9, 2022
Authorizing, and Implemented or Interpreted Law: 63A-17-701 through 63A-17-710

R895 Technology Services

R895-1 Access to Records

Utah Admin. Code R895-1-1 Purpose and Authority

Under authority of Sections 63G-2-204, and 63A-12-104, and Title 63G, Chapter 3, this rule provides procedures for access and denial of access to government records.

History

KEY: freedom of information, public information, confidentiality of information, access to i nformation
Date of Last Change: July 25, 2006
Notice of Continuation: October 9, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-1-2 Definitions

(1) "Division" means the Division of Technology Services.

(2) "Non-Division Record" means a record that is maintained for another entity by the division but is not the property of the division.

(3) "Records officer" means the individual appointed by the executive director to fulfill the function of Subsection 63G-2- 103.

History

KEY: freedom of information, public information, confidentiality of information, access to i nformation
Date of Last Change: July 25, 2006
Notice of Continuation: October 9, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-1-3 Records Officer

(1) The executive director shall appoint a records officer to perform the following functions:

(a) The duties set forth in Section 63A-12-103; and

(b) Review and respond to requests for access to division records.

History

KEY: freedom of information, public information, confidentiality of information, access to i nformation
Date of Last Change: July 25, 2006
Notice of Continuation: October 9, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-1-4 Requests for Access

(1) Request for access to records shall be on a form provided by the division or in another legible written document which contains the following information: the requester's name, mailing address, daytime telephone, a description of the records requested that identifies the record with reasonable specificity, and if the record is not public, information regarding requester's status.

(2) The request shall be submitted to the division records officer. The response to the request may be delayed if not properly directed.

(3) The division shall deny a request for access to non-division records. The records officer, with written permission from the executive director, may redirect a request for non-division records to the owner of the records.

(4) The division shall deny a request for private, controlled, protected or limited access records if the request is not made in writing and does not contain information required in this section.

(5) Notwithstanding the provision of subsection 63G-2-204, the division may, at its discretion, waive the requirement for a written request if the records requested are public, the records are readily accessible and the request is filled promptly by providing access or copying at the time the request is made.

History

KEY: freedom of information, public information, confidentiality of information, access to i nformation
Date of Last Change: July 25, 2006
Notice of Continuation: October 9, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-1-5 Appeal of Agency Decision

(1) If a requester is dissatisfied with the division's initial decision, the requester may appeal the decision to the executive director under the procedures of Section 63G-2-401 et seq.

(2) An individual may contest the accuracy or completeness of a document pertaining to that individual pursuant to Section 63G-2-603. The request should be made to the records officer.

History

KEY: freedom of information, public information, confidentiality of information, access to i nformation
Date of Last Change: July 25, 2006
Notice of Continuation: October 9, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-1-6 Fees

(1) A fee schedule for the direct costs of duplicating or compiling a record may be obtained from the division by contacting the records officer.

(2) Fees for duplication and compilation of a record may be waived under certain circumstances described in Subsection 63G- 2-203. Requests for this waiver of fees may be made to the records officer.

History

KEY: freedom of information, public information, confidentiality of information, access to i nformation
Date of Last Change: July 25, 2006
Notice of Continuation: October 9, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-1-7 Forms

Request forms are available from the records officer of the division.

History

KEY: freedom of information, public information, confidentiality of information, access to i nformation
Date of Last Change: July 25, 2006
Notice of Continuation: October 9, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 63G-2-101 et seq.

R895-2 Americans With Disabilities Act (ADA) Complaint Procedure

Utah Admin. Code R895-2-1 Authority and Purpose

(1) This rule is promulgated pursuant to Section 63G-3-201 of the State Administrative Rulemaking Act. The Division of Technology Services hereby adopts and defines a complaint procedure to provide for prompt and equitable resolution of complaints filed in accordance with Title II of the Americans With Disabilities Act, pursuant to 28 CFR 35.107, 1992 edition.

(2) No qualified individual with a disability, by reason of such disability, shall be excluded from participation in or be denied the benefits of the services, programs, or activities of this division, or be subjected to discrimination by this division.

History

KEY: developmentally disabled, disabilities act
Date of Last Change: November 8, 2024
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201

Utah Admin. Code R895-2-2 Definitions

(1) "Division" mean the Utah Division of Technology Services.

(2) "Division ADA Coordinator" means an individual, appointed by the director of the Division of Technology Services, who has responsibility for investigating and providing prompt and equitable resolution of complaints filed by qualified individuals with disabilities in accordance with the Americans With Disabilities Act, or provisions of this rule.

(3) "Disability" means, with respect to an individual with a disability, a physical or mental impairment that substantially limits one or more of the major life activities of such an individual; a record of such an impairment; or being regarded as having such an impairment.

(4) "Major life activities" include caring for oneself, performing manual tasks, seeing, hearing, eating, sleeping, walking, standing, lifting, bending, speaking, breathing, learning, reading, concentrating, thinking, and working. A major life activity also includes the operation of a major bodily function, such as functions of the immune system, normal cell growth, digestive, bowel, bladder, neurological, brain, respiratory, circulatory, endocrine, and reproductive functions.

(5) "Individual with a disability" (hereinafter "individual") means a person who has a disability which limits one of their major life activities and who meets the essential eligibility requirement for the receipt of services or the participation in programs or activities provided by the Division of Technology Services, or who would otherwise be an eligible applicant for vacant state positions, as well as those who are employees of the state.

History

KEY: developmentally disabled, disabilities act
Date of Last Change: November 8, 2024
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201

Utah Admin. Code R895-2-3 Filing of Complaints

(1) The complaint shall be filed in a timely manner to assure prompt, effective assessment and consideration of the facts, but no later than 60 days from the date of the alleged act of discrimination. However, any complaint alleging an act of discrimination occurring between March 8, 2006 and the effective date of this rule may be filed within 60 days of the effective date of this rule.

(2) The complaint shall be filed with the division's ADA Coordinator in writing or in another accessible format suitable to the individual.

(3) Each complaint shall:

(a) include the individual's name and address;

(b) include the nature and extent of the individual's disability;

(c) describe the division's alleged discriminatory action in sufficient detail to inform the department of the nature and date of the alleged violation;

(d) describe the action and accommodation desired; and

(e) be signed by the individual or by their legal representative.

(4) Complaints filed on behalf of classes or third parties shall describe or identify by name, if possible, the alleged victims of discrimination.

History

KEY: developmentally disabled, disabilities act
Date of Last Change: November 8, 2024
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201

Utah Admin. Code R895-2-4 Investigation of Complaint

(1) The ADA Coordinator shall conduct an investigation of each complaint received. The investigation shall be conducted to the extent necessary to assure all relevant facts are determined and documented. This may include gathering all information listed in Subsection 3(3) of this rule if it is not made available by the individual.

(2) When conducting the investigation, the coordinator may seek assistance from the division's legal, human resource and administrative services staff in determining what action, if any, shall be taken on the complaint. Before making any decision that would involve:

(a) an expenditure of funds which is not absorbable within the agency's budget and would require appropriation authority;

(b) facility modifications; or

History

KEY: developmentally disabled, disabilities act
Date of Last Change: November 8, 2024
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201

Utah Admin. Code R895-2-5 Issuance of Decision

(1) Within 15 working days after receiving the complaint, the ADA Coordinator shall issue a decision outlining in writing or another acceptable suitable format stating what action, if any, shall be taken on the complaint.

(2) If the coordinator is unable to reach a decision within the 15 working day period, the coordinator shall notify the individual with a disability in writing or by another acceptable suitable format why the decision is being delayed and what additional time is needed to reach a decision.

History

KEY: developmentally disabled, disabilities act
Date of Last Change: November 8, 2024
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201

Utah Admin. Code R895-2-6 Appeals

(1) The individual may appeal the decision of the ADA Coordinator by filing an appeal within five working days from the receipt of the decision.

(2) The appeal shall be filed in writing with the division's director or a designee other than the division's ADA Coordinator.

(3) The filing of an appeal shall be considered as authorization by the individual to allow review of all information classified as private or controlled, by the division's director or designee.

(4) The appeal shall describe in sufficient detail why the coordinator's decision is in error, is incomplete or ambiguous, is not supported by the evidence, or is otherwise improper.

(5) The director or designee shall review the factual findings of the investigation and the individual's statement regarding the inappropriateness of the coordinator's decision and arrive at an independent conclusion and recommendation. Additional investigations may be conducted if necessary to clarify questions of fact before arriving at an independent conclusion. Before making a decision that would involve the director or designee to:

(a) an expenditure of funds which is not absorbable and would require appropriation authority;

(b) facility modifications; or

(6) The decision shall be issued within ten working days after receiving the appeal and shall be in writing or in another accessible suitable format to the individual.

(7) If the director or designee is unable to reach a decision within the ten working day period, the director or designee shall notify the individual in writing or by another acceptable suitable format why the decision is being delayed and the additional time needed to reach a decision.

History

KEY: developmentally disabled, disabilities act
Date of Last Change: November 8, 2024
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201

Utah Admin. Code R895-2-7 Relationship to Other Laws

This rule does not prohibit or limit the use of remedies available to individuals under the State Anti-Discrimination Complaint Procedures Section (67-19-32); the Federal ADA Complaint Procedures (28 CFR Part 35.170, 1992 edition); or any other Utah State or federal law that provides equal or greater protection for the rights of individuals with disabilities.

History

KEY: developmentally disabled, disabilities act
Date of Last Change: November 8, 2024
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63G-3-201

R895-3 Computer Software Licensing, Copyright, Control, Retention, and License

Utah Admin. Code R895-3-1 Purpose

The purpose of this rule is to establish the state's position and its intent to:

(1) comply with computer software licensing agreements and applicable federal laws, including copyright and patent laws;

(2) define the methods by which the state will control and protect computer software; and

(3) establish the state's right, title and interest in state-owned computer software, including the sale and license of such software under certain conditions.

History

KEY: computer software, licensing, copyright, transfer
Date of Last Change: October 22, 2025
Notice of Continuation: March 7, 2022
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 34-39-1 et seq.; 63G-2-101 et seq.

Utah Admin. Code R895-3-2 Application

All state agencies of the executive branch of the state government shall comply with this rule, which applies to the use, acquisition and license of all computer software, regardless of the operating environment or source of the software.

History

KEY: computer software, licensing, copyright, transfer
Date of Last Change: October 22, 2025
Notice of Continuation: March 7, 2022
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 34-39-1 et seq.; 63G-2-101 et seq.

Utah Admin. Code R895-3-3 Authority

This rule is issued by the Chief Information Officer under the authority of Section 63A-16-205 of the Technology Governance Act, and in accordance with Section 63G-3-201 of the Utah Rulemaking Act.

History

KEY: computer software, licensing, copyright, transfer
Date of Last Change: October 22, 2025
Notice of Continuation: March 7, 2022
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 34-39-1 et seq.; 63G-2-101 et seq.

Utah Admin. Code R895-3-4 Definitions

As used in this rule:

(1) "Audit" means to review compliance with laws, rules and policies that apply to computer software and related documentation; and to report findings and conclusions.

(2) "Commercial computer software" means computer software that is sold, licensed, or leased in significant quantities to the general public at established market or catalog prices.

(3) "Computer software" means sets of instructions or programs structured in a manner designed to cause a computer to carry out a desired result.

(4) "Spot Audit" means a periodic audit described in Subsection (1) and conducted by a person performing the state software controller function.

(5) "State agency" shall have the same meaning as "Executive Branch Agency" in Section 63A-16-102.

(7) "State-owned computer software" means computer software and related documentation developed under contract with the state or by state employees under the conditions set forth in the Employment Inventions Act, Section 34-39-1 et seq.

History

KEY: computer software, licensing, copyright, transfer
Date of Last Change: October 22, 2025
Notice of Continuation: March 7, 2022
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 34-39-1 et seq.; 63G-2-101 et seq.

Utah Admin. Code R895-3-5 Compliance and Responsibilities: Software Licensing

(1) Each state agency and its employees shall comply with computer software licensing agreements, state laws, federal contracts, federal funding agreements, and federal laws, including copyright and patent laws.

(2) All management personnel will discourage software piracy and take appropriate personnel action up to and including dismissal, against any employee who has been found to be in violation of software license agreements. Personnel action shall be in full accordance with Section R477-11-1.

(3) Each state agency shall:

(a) establish a software coordinating function that will work with the DTS software coordinator to provide responsibility and authority to manage software licenses, software licensing agreements, software inventory;

(b) Inform employees that are engaged in developing or controlling the distribution of software for the state, that any state-owned computer software is an asset owned by the state and controlled according to the terms of this rule.

(4) A state software controller function is established within the Division of Technology Services with the following responsibilities:

(a) coordinate all centralized software purchases;

(b) manage software licenses, software licensing agreements and software inventory for centralized software purchases;

(c) coordinate and provide information to employees who are responsible for the software controller function within each state agency;

(d) assist agencies in keeping and maintaining an inventory of state licensed computer software and software licensing agreements tracked by agency byacquiring and using auditing tools to assist in establishing the inventory baseline and performing the ongoing reconciliation;

(e) coordinate with DTS technical personnel to:

(i) dispose of software in accordance with the software license agreement;

(f) understand the conditions of computer software licensing agreements before purchasing computer software, and inform state employees, whose responsibility it is to monitor the state's compliance with computer software licensing agreements, of these conditions;

(g) coordinate statewide audits or spot audits as needed.

History

KEY: computer software, licensing, copyright, transfer
Date of Last Change: October 22, 2025
Notice of Continuation: March 7, 2022
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 34-39-1 et seq.; 63G-2-101 et seq.

Utah Admin. Code R895-3-6 Compliance and Responsibilities: Retention, Sale, and License of State-Owned Computer Software

(1) Unless otherwise prohibited by federal law, regulation, contract or funding agreement, the state will retain the right, title and interest in any state-owned computer software. To do so, the agency shall:

(a) clearly define in all contracts that it controls the ownership rights for computer software development and related documentation; and

(b) mark all computer software and related documentation with the copyright symbol and publication year, and label "State of Utah" on all media on which the computer software or documentation is stored.

(2) The state may sell or license any state-owned computer software. To carry this out, state agency must do the following:

(a) Obtain approval from the Chief Information Officer before the sale or license of state-owned computer software. The agency's request shall include a copy of the sale or license agreement and any other contractual information. The required forms shall be obtained from the Division of Technology Services.

(b) Clearly specify within the documents whether any costs will be recovered from the receiver.

(c) Clearly specify within the documents that the receiver is responsible for acquiring any commercial computer software upon which the state-owned computer software may be dependent.

(d) Clearly specify within the documents if the state will provide additional services, such as installation, training, or maintenance.

(e) Clearly specify within the documents that the state-owned computer software is being sold or licensed in "as is" condition, and that the state will not be held liable for any damages under any circumstances.

(f) Retain a record of the documents, and process it in accordance with Section 63G-2-101.

(g) Complete a review to ensure all state-owned computer software dependencies are compatible with the chosen distribution method and license type.

(3) The Chief Information Officer may measure compliance of a state agency and its employees with this rule by conducting periodic audits in accordance with Section 63A-16-205 . In performing audits, the Chief Information Officer may utilize external auditors and an agency's internal auditors when such resources are available and the use of such resources is appropriate.

History

KEY: computer software, licensing, copyright, transfer
Date of Last Change: October 22, 2025
Notice of Continuation: March 7, 2022
Authorizing, and Implemented or Interpreted Law: 63G-3-201; 34-39-1 et seq.; 63G-2-101 et seq.

R895-4 Subdomain Naming Conventions for Executive Branch Agencies

Utah Admin. Code R895-4-1 Purpose

This rule establishes standards for executive branch agencies use of the utah.gov subdomain for state websites and compliance with domain requirements for government websites in Section 63D-2-105 of the Information Technology Act.

History

KEY: utah.gov
Date of Last Change: October 4, 2023
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-4-2 Authority

This rule is issued by the Chief Information Officer under the authority of Section 63A-16-205 of the Technology Governance Act, and in accordance with Section 63G-3-201.

History

KEY: utah.gov
Date of Last Change: October 4, 2023
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-4-3 Scope of Application

All state agencies of the executive branch of the State government shall comply with this rule, which provides a consistent internet access identifier for the State through the "utah.gov" subdomain.

History

KEY: utah.gov
Date of Last Change: October 4, 2023
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-4-4 Definitions

(1) "Domain Name" means a meaningful name or identifier used for services such as websites and email provided through the internet and organized in multiple hierarchal levels, including:

(a) com;

(b) us; or

(2) "Subdomain" means a domain name in a subordinate level below a top level domain name in the organization of its hierarchal levels.

(3) "Top level domain" means a domain name at the top hierarchal level above a subdomain level, including:

(a) net;

(b) org; or

(4) "Publicize" means to make accessible, advertise or otherwise publicly disseminate information regarding a domain.

History

KEY: utah.gov
Date of Last Change: October 4, 2023
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-4-5 Compliance and Responsibilities

(1) Any state executive branch agency that develops, hosts, or funds a website shall only register a subdomain using the "utah.gov" naming convention.

(2) No state executive branch agency may publicize a government operated website unless it conforms with the requirements of Section 63D-2-105.

History

KEY: utah.gov
Date of Last Change: October 4, 2023
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-4-6 Exceptions

(1) The requirements of this rule do not apply to funds that are passed-through or contracted to a private entity and subsequently used by that entity for its own website or for the purchase of a domain.

(2) The CIO may provide a waiver for the required use of "utah.gov" subdomains according to Section 63D-2-105.

(3) A nonconforming domain may be obtained or retained to retain ownership of the domain for avoiding identifier misuse, provided the non-conforming domain is not publicized.

History

KEY: utah.gov
Date of Last Change: October 4, 2023
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-4-7 Rule Compliance Management

(1) A state executive branch agency executive director, or designee, upon becoming aware of a violation of this rule, shall enforce the rule.

(2) The CIO may, where appropriate, monitor compliance and report to the executive director any findings or violations of this rule.

(3) The CIO may further enforce this rule by requesting that the entity responsible for providing identifier mapping withhold or remove the offending TLD from state production servers.

History

KEY: utah.gov
Date of Last Change: October 4, 2023
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

R895-5 Acquisition of Information Technology

Utah Admin. Code R895-5-1 Purpose

The purpose of this rule is to identify the standards under which an agency of the executive branch must obtain approval from the Chief Information Officer before acquiring information technology and technology related services.

History

KEY: IT standards, IT bid committee, technology best practices, technology purchases
Date of Last Change: December 10, 2024
Notice of Continuation: January 22, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-205; 63G-3-201

Utah Admin. Code R895-5-2 Authority

The rule is issued by the Chief Information Officer under the authority of Sections 63A-16-205, 63A-16-204, and 63G- 3-201.

History

KEY: IT standards, IT bid committee, technology best practices, technology purchases
Date of Last Change: December 10, 2024
Notice of Continuation: January 22, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-205; 63G-3-201

Utah Admin. Code R895-5-3 Scope of Application

All agencies of the executive branch of state government, as defined in Subsection 63A-16-102(5), are to be included within the scope of this rule.

History

KEY: IT standards, IT bid committee, technology best practices, technology purchases
Date of Last Change: December 10, 2024
Notice of Continuation: January 22, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-205; 63G-3-201

Utah Admin. Code R895-5-4 Definitions

(1) "Hardware" means physical technology used to process, manage, store, send, receive, or deliver information. This term also includes telephony products.

(2) "Software" means non-physical technology used to process, manage, store, send, receive, or deliver information. The term also includes any of the supporting documentation, media containing or storing the software, related materials, modifications, versions, upgrades, enhancements, updates, or replacements.

(3) "Technology services" means any of the services, functions, and activities that facilitate the design, implementation, creation, or use of software, hardware, or telephony products. The term includes data acquisition, seat management, staffing augmentation, maintenance, and subscription services.

History

KEY: IT standards, IT bid committee, technology best practices, technology purchases
Date of Last Change: December 10, 2024
Notice of Continuation: January 22, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-205; 63G-3-201

Utah Admin. Code R895-5-5 Purchase of Hardware, Software, and Technology Services

(1) Agencies shall submit requests for purchase of hardware, software, and technology services to the Chief Information Officer (CIO) or designee for approval through a procedure defined by the division.

(2) Agencies shall submit a business case for CIO or designee approval for hardware, software, and technology services purchase requests through a procedure defined by the division.

History

KEY: IT standards, IT bid committee, technology best practices, technology purchases
Date of Last Change: December 10, 2024
Notice of Continuation: January 22, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-205; 63G-3-201

Utah Admin. Code R895-5-6 Rule Compliance Management

The CIO may monitor compliance of this rule within the state executive branch, and report any findings or violations of this rule to an agency's executive director or designee. A state executive branch agency's executive director, or designee, upon becoming aware of a violation of this rule shall provide the CIO a report of actions taken in response to violation of this rule.

History

KEY: IT standards, IT bid committee, technology best practices, technology purchases
Date of Last Change: December 10, 2024
Notice of Continuation: January 22, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-205; 63G-3-201

R895-6 IT Plan Submission Rule for Agencies

Utah Admin. Code R895-6-1 Purpose

State agencies are required by statute to submit IT plans for review and approval by the Chief Information Officer (CIO) office. This rule provides the format and content requirements for IT Plan submission.

History

KEY: IT planning
Date of Last Change: May 5, 2015
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-204; 63G-3-201

Utah Admin. Code R895-6-2 Authority

This rule is issued by the Chief Information Officer under the authority of Section 63A-16-205 of the Technology Governance Act, in accordance with Section 63G-3-201 of the Utah Rulemaking Act, Utah Code Annotated, and section 63A-16-203 of the Utah code, Agency Information Technology Plans.

History

KEY: IT planning
Date of Last Change: May 5, 2015
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-204; 63G-3-201

Utah Admin. Code R895-6-3 Scope of Application

All state agencies of the executive branch of the State of Utah government shall comply with this rule, which provides a consistent technology planning method for the State of Utah.

History

KEY: IT planning
Date of Last Change: May 5, 2015
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-204; 63G-3-201

Utah Admin. Code R895-6-4 Compliance and Responsibilities

The following are the compliance issues and the responsibilities for state agencies:

(1) Any state executive branch agency that develops, hosts, or funds information technology projects or infrastructure shall submit a plan following the format outlined in R895-6-5 below.

(2) The CIO office shall provide education and instruction to the agencies to enable consistent response.

(3) Finalized and approved Agency IT Plans shall be delivered to the CIO office, in electronic format, by July 1 of each year.

(4) Agency IT Plans shall use document formatting methods as defined in CIO instruction.

(5) Agency IT Plans at a division level, shall be combined for submission to the CIO office at the Agency/Department level.

(6) Amendments to the IT Plan shall be submitted throughout the fiscal year for any change in a project, any new project, or any removal of a project.

History

KEY: IT planning
Date of Last Change: May 5, 2015
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-204; 63G-3-201

Utah Admin. Code R895-6-5 Agency IT Plan Format

The following is the IT plan format:

(1) SUBMIT AN EXECUTIVE SUMMARY.

(a) The information technology objectives of the Agency.

(b) Any performance measures used by the Agency for implementing the Agency's technology objectives.

(d) The agency need for appropriations for information technology.

(e) How the agency's development of information technology coordinates with other state and local governmental entities.

(f) Any efforts the agency has taken to develop public and private partnerships to accomplish information technology objectives of the agency.

(g) The efforts the agency has taken to conduct transactions electronically in compliance with Utah Code Section 46-4-503.

(h) The agency's plan for the timing and method of verifying the division's security standards, if an agency intends to verify the division's security standards for the data that the agency maintains or transmits through t he division's servers.

(2) IT PLAN DETAILS.

(a) Complete a project description for each information technology project, utilizing the document formatting methods as defined by CIO instruction.

History

KEY: IT planning
Date of Last Change: May 5, 2015
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-204; 63G-3-201

Utah Admin. Code R895-6-6 Exceptions

Any variance to format or content as established in this rule shall be approved by the CIO office.

History

KEY: IT planning
Date of Last Change: May 5, 2015
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-204; 63G-3-201

Utah Admin. Code R895-6-7 Rule Compliance Management

The CIO may enforce this rule by non-approval of the IT Plan as defined in Utah Code, Section 63A-16-203 .

History

KEY: IT planning
Date of Last Change: May 5, 2015
Notice of Continuation: April 14, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-204; 63G-3-201

R895-7 Acceptable Use of Information Technology Resources

Utah Admin. Code R895-7-1 Purpose

Information technology resources are provided to state employees to assist in the efficient day to day operations of state agencies. Employees shall use information technology resources in compliance with this rule.

History

KEY: information technology resources, acceptable use
Date of Last Change: September 11, 2014
Notice of Continuation: July 27, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206

Utah Admin. Code R895-7-2 Application

All agencies of the executive branch of state government including its administrative sub-units, except the State Board of Education and the Board of Regents and institutions of higher education, shall comply with this rule.

History

KEY: information technology resources, acceptable use
Date of Last Change: September 11, 2014
Notice of Continuation: July 27, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206

Utah Admin. Code R895-7-3 Authority

This rule is issued by the Chief Information Officer under the authority of Section 63A-16-205 of the Utah Technology Governance Act, Utah Code, and in accordance with Section 63G-3-201 of the Utah Rulemaking Act, Utah Code.

History

KEY: information technology resources, acceptable use
Date of Last Change: September 11, 2014
Notice of Continuation: July 27, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206

Utah Admin. Code R895-7-4 Employee and Management Conduct

(1) Providing IT resources to an employee does not imply an expectation of privacy. Division management may:

(a) View, authorize access to, and disclose the contents of electronic files or communications, as required for legal, audit, or legitimate state operational or management purposes;

(b) Monitor the network or email system including the content of electronic messages, including stored files, documents, or communications as are displayed in real-time by employees, when required for state business and within the officially authorized scope of the person's employment.

(2) An employee may engage in incidental and occasional personal use of IT resources provided that such use does not:

(a) Disrupt or distract the conduct of state business due to volume, timing, or frequency;

(b) Involve solicitation;

(d) Involve actions, which are intended to harm or otherwise disadvantage the state; or

(e) Involve illegal and/or activities prohibited by this rule.

(3) An employee shall:

(a) comply with the Government Records Access and Management Act, as found in Section 63G-2-101 et seq., Utah Code, when transmitting information with state provided IT resources.

(b) Report to division management any computer security breaches, or the receipt of unauthorized or unintended information.

(4) While using state provided IT resources, an employee may not:

(a) Access private, protected or controlled records regardless of the electronic form without data owner authorization;

(b) Divulge or make known his/her own password(s) to another person;

(c) Distribute offensive, disparaging or harassing statements including those that might incite violence or that are based on race, national origin, sex, sexual orientation, age, disability or political or religious beliefs;

(d) Distribute information that describes or promotes the illegal use of weapons or devices including those associated with terrorist activities;

(e) View, transmit, retrieve, save, print or solicit sexually-oriented messages or images;

(f) Use state-provided IT resources to violate any local, state, or federal law;

(g) Use state-provided IT resources for commercial purposes, product advertisements or "for-profit" personal activity;

(h) Use state-provided IT resources for religious or political functions, including lobbying as defined according to Section 36- 11-102, Utah Code, and rule R623-1;

(i) Represent oneself as someone else including either a fictional or real person;

(j) Knowingly or recklessly spread computer viruses, including acting in a way that effectively opens file types known to spread computer viruses particularly from unknown sources or from sources from which the file would not be reasonably expected to be connected with;

(k) Create and distribute or redistribute "junk" electronic communications, such as chain letters, advertisements, or unauthorized solicitations;

(l) Knowingly compromise the confidentiality, integrity or availability of the State's informat ion resources.

(5) Once agency management determines that an employee has violated this rule, they may impose disciplinary actions in accordance with the provisions of DHRM rule R477-11-1.

History

KEY: information technology resources, acceptable use
Date of Last Change: September 11, 2014
Notice of Continuation: July 27, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206

R895-8 State Privacy Policy and Agency Privacy Policies

Utah Admin. Code R895-8-1 Purpose

The purpose of this rule is to:

(1) establish a statewide policy for informing the public how personally identifiable information is collected and used by the State of Utah (State) websites;

(2) describe the relationships that exist between State agency privacy policies and the Privacy Policy Statement for State of Utah Websites (the State Policy);

(3) establish notification and posting requirements for State websites.

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-8-2 Application

All executive branch agencies of State government shall comply with this rule, except the State Board of Education, the Board of Regents and institutions of higher education, regardless of whether the State agency implements the State Policy or issues a website privacy policy of its own.

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-8-3 Authority

This rule is issued by the Chief Information Officer (CIO) under the authority of Section 63A-16-205 of the Technology Governance Act, and in accordance with Section 63G-3-201 of the Utah Rulemaking Act, Utah Code Annotated.

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-8-4 Definitions

As used in this rule:

(1) "Conspicuous" means any material displayed, for example, in a manner that a reasonable person should notice it.

(2) "Link" means a connection marker on a Web page that permits an Internet user to gain access to one web page from another.

(3) "Home page" means the main, or first page retrieved when accessing an Internet Web site. It serves as a table of contents to the rest of the pages on the site or to other Web sites. This may refer to either a department home page or to other state agency pages such as those of an office or division.

(4) "Personally identifiable information" means any information collected online that could serve to identify an individual, including:

(a) first and last name;

(b) physical address;

(d) telephone number;

(e) Social Security number;

(f) credit card information;

(g) bank account information; and

(h) any combination of personal information that could be used to determine identity.

(5) "Privacy policy" means a policy or statement that describes how information collected is gathered, used, stored, retrieved, and protected.

(6) "State agency" means any agency or administrative sub-unit of the executive branch of the State government, except:

(a) the State Board of Education; and

(b) the Board of Regents and institutions of higher education.

(7) "State function" means an activity explicitly, or implicitly assigned by the legislature, as having a specific role in the operation of the state's government.

(8) "Privacy Policy Statement For State of Utah Websites" means a statement approved by the Chief Information Officer and published on the state home page http://www.utah.gov that describes to Website users the state's privacy policy as established through this rule.

(9) "Privacy Risk Assessment" means a series of questions approved by the Chief Information Officer that are designed to:

(a) assist agencies in identifying and reducing potential levels of risk to the privacy of individuals using an online government service through state of Utah Websites;

(b) provide information to assist in determining different levels of security;

(c) collect information needed to determine, and if necessary, create an agency privacy policy if one is needed in addition to the State Policy.

(10) "Website" means a set of documents or pages located on the World Wide Web.

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-8-5 Agency Privacy Policies

(1) A State agency may issue a privacy policy that provides additional detail to, but does not conflict with the terms of this rule.

(2) When a State agency is required by a federal statute, federal regulation, or State statute to collect or use the personally identifiable information of those accessing its website in a manner that is inconsistent with this rule, it shall issue a privacy policy of its own.

(3) An agency privacy policy issued in accordance with this rule shall apply only to the website of the issuing State agency.

(4) An agency may not substitute its own privacy policy for this rule, unless a state law, federal regulation or federal statute requires an agency to treat personally identifiable information in a way that is inconsistent with this rule. In this case, the specific provision or provisions of this rule that conflict with the state statute, federal regulation or federal statute does not apply. If that occurs, the remainder of the provisions of this rule shall apply to the agency.

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-8-6 Use of Personally Identifiable Information

(1) Any personally identifiable information an individual provides to a State website shall be used solely by the State, its entities, and third party agents with whom it has contracted to perform a state function on its behalf, unless:

(a) this rule is superceded by a federal statute, federal regulation, or State statute in which case the personally identifiable information shall be used by other parties only to the extent required by the superseding federal statute, federal regulation or State Statute, or

(b) the information is designated as public record by an individual State agency as authorized under Title 63G, Chapter 2 of the Utah Code, Government Records Access and Management Act.

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-8-7 Notification and Posting Requirements

(1) If either of the exceptions listed in R895-5-6 Subsection (1)(a) or (b) apply or if the State agency issues an agency privacy policy for its website as permitted under this rule, then the agency shall conspicuously post that information on the Web pages where personally identifiable information is collected or on the home page of its Website including the following:

(a) a notice that such personally identifiable information is subject to public access, if such information i s public record;

(b) a notice and a summary or link to the citation of any State statute, federal statute, or federal regulation that supercedes part or all of this rule;

(d) a link from the agency's website to this rule and

(e) a link from the agency's website to the State Policy.

(2) The agency privacy policy shall indicate:

(a) the name of the issuing agency;

(b) a statement that the agency privacy policy applies to its own website only;

(d) a statement defining how its agency privacy policy differs from this rule.

(3) The effective date for this subsection shall be four months from the effective date of this rule for information collected through existing online applications. If requested in writing by the agency, an additional extension for up to 30-days may be given by the chief information officer. For all new online applications the conditions of this subsection must be met prior to the application going "live."

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-8-8 Privacy Risk Assessment for Online Applications

Each state agency shall complete a "Privacy Risk Assessment" that is authorized by the CIO, for all online applications. The agency shall maintain a copy of each completed assessment for a period of four years for the purpose of providing audit documentation.

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-8-9 Periodic Audits

The CIO may measure compliance of a State agency and its employees with this rule by conducting periodic audits in accordance with Section 63A-16-205, Utah Code Annotated. In performing audits, the CIO may utilize external auditors, an agency's internal auditor(s) or both.

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

Utah Admin. Code R895-8-10 Statutes that may affect this Rule

Included among the federal and State statutes that may supersede portions of this rule are the Driver's Privacy Protection Act of 1994, Title 18, Section 2721, United States Code; and Sections 41-1a-116, 53-1-104, 53-1-109, and 59-1-403, Utah Code Annotated.

History

KEY: privacy, website, CIO
Date of Last Change: December 20, 2001
Notice of Continuation: September 30, 2025
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201; 63G-2-101 et seq.

R895-9 Utah Geographic Information Systems Advisory Council

Utah Admin. Code R895-9-1 Purpose

The purpose of this rule is to establish an advisory council to coordinate statewide GIS data efforts for collection, creation, and access, and to mutual collaboration by state entities.

History

KEY: IT standards council, IT bid committee, technology best practices, repository
Date of Last Change: March 9, 2005
Notice of Continuation: November 28, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-9-2 Authority

The rule is issued by the Chief Information Officer under the authority of Section 63A-16-205 of the Technology Governance Act and Section 63G-3-201 of the Utah Rulemaking Act, Utah Code.

History

KEY: IT standards council, IT bid committee, technology best practices, repository
Date of Last Change: March 9, 2005
Notice of Continuation: November 28, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-9-3 Scope of Application

(a) All agencies of the executive branch of state government including its administrative sub-units, except the State Board of Education, the Board of Regents and institutions of higher education, are to be included within the scope of this rule.

(b) This rule also provides for the organizational chairmanship and membership.

History

KEY: IT standards council, IT bid committee, technology best practices, repository
Date of Last Change: March 9, 2005
Notice of Continuation: November 28, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-9-4 Definitions

(a) GIS data means any electronic data with location attributes that can be used by computer-based geographic information systems.

(b) GISAC means the Utah Geographic Information Systems Advisory Council established by this rule.

History

KEY: IT standards council, IT bid committee, technology best practices, repository
Date of Last Change: March 9, 2005
Notice of Continuation: November 28, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-9-5 Advisory Council Responsibilities

(a) There is a geographic information system advisory council (GISAC) established and organized under the authority of the Chief Information Officer (CIO). The Council shall be chaired by the Manager of the Utah Geospatial Resource Center (UGRC).

(b) The responsibilities of the council include:

(i) Serve as a coordinating and collaboration body for the collection, creation, and access of statewide GIS data, and;

(ii) Recommend to the State CIO any GIS policies or standards it believes should be considered by the CIO for implementation, and such as may need to be reviewed for promulgation as administrative rules.

(iii) Submit a progress report to the CIO by September 30 of each year.

History

KEY: IT standards council, IT bid committee, technology best practices, repository
Date of Last Change: March 9, 2005
Notice of Continuation: November 28, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-9-6 Council Membership and Organization

(a) The Manager of the UGRC or designee.

(b) The Council shall meet bi-monthly or as determined by the Chair.

(c) The Council shall be composed of one GIS representative from each participating state entity, and such invited GIS representatives from local government, colleges/universities, and federal agencies as are selected by the chair.

History

KEY: IT standards council, IT bid committee, technology best practices, repository
Date of Last Change: March 9, 2005
Notice of Continuation: November 28, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

Utah Admin. Code R895-9-7 Rule Compliance Management

A state executive branch agency's executive director, or designee, upon becoming aware of a violation, shall institute measures designed to enforce this rule. The CIO may, where appropriate, monitor compliance and report to an agency's executive director any findings or violations of this rule.

History

KEY: IT standards council, IT bid committee, technology best practices, repository
Date of Last Change: March 9, 2005
Notice of Continuation: November 28, 2023
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63G-3-201

R895-14 Access to Information Technology for Users with Disabilities

Utah Admin. Code R895-14-1 Purpose and Authority

(1) This rule establishes minimum standards for accessibility of executive branch agency information technology by an individual with a disability, and a grievance reporting procedure.

(2) This rule is established in accordance with Sections 63A-16-102, 63A-16-204, 63A-16-205, and 63A-16-209.

History

KEY: accessibility guidelines, information technology for users with disabilities, web accessibility
Date of Last Change: September 22, 2025
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-210

Utah Admin. Code R895-14-2 Scope of Application

This rule applies to executive branch agencies that are under the jurisdiction of the state CIO per Title 63A, The Utah Technology Governance Act.

(1) Exceptions.

Agencies excepted include only those agencies specifically excluded by Section 63A-16-102.

(2) Conditions.

Agencies subject to this rule shall ensure that people with and without disabilities can access the same information, perform the same tasks, and receive the same services using information technology.

(3) Limitations.

This rule does not apply to information technology deployed before June 1, 2015.

History

KEY: accessibility guidelines, information technology for users with disabilities, web accessibility
Date of Last Change: September 22, 2025
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-210

Utah Admin. Code R895-14-3 Accessibility Criteria for Agency Websites, Hardware and Software Procured by an Agency, and Information Systems Used by an Agency Employee

Agency websites, hardware and software procured by an agency, and information systems used by an agency employee created after June 1, 2015 will conform at minimum to W3C Web Content Accessibility Guidelines (WCAG) Version 2.1, Level AA. Compliance testing protocols shall include a variety of access limitations and shall be repeated until no errors are indicated using then current DTS accessibility guideline recommendations.

(1) Incorporations by Reference.

W3C Web Content Accessibility Guidelines (WCAG) Version 2.1, Level AA is incorporated by reference.

(2) Agency Discretion.

Agency websites, hardware and software procured by an agency, and information systems used by an agency employee shall either comply with accessibility guidelines or provide an alternative method of access with full functionality.

(3) Vendor Accessibility Certification.

Vendors developing websites, hardware, or software for an agency, or information systems used by an agency, shall comply with applicable accessibility guidelines.

History

KEY: accessibility guidelines, information technology for users with disabilities, web accessibility
Date of Last Change: September 22, 2025
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-210

Utah Admin. Code R895-14-4 Accessibility for Existing Legacy Information Systems used by Executive Branch Agencies

Agencies shall develop plans to address IT accessibility issues in existing systems, subject to available funding. Examples of remediation plans include procurement of accessible IT or providing alternate means of access to the IT product or service.

(1) Agency Discretion.

Agencies will make reasonable efforts to comply with accessibility guidelines for legacy information systems, and must provide individuals with disabilities with an alternative method of access that allows the individual to use legacy information systems.

History

KEY: accessibility guidelines, information technology for users with disabilities, web accessibility
Date of Last Change: September 22, 2025
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-210

Utah Admin. Code R895-14-5 Grievance Reporting Procedures

The Division of Technology Services shall provide accessible forms for reporting accessibility issues that can be accessed in the standard Utah.gov website footer used by agency websites. In addition, a contact number is provided on agency websites to report accessibility issues.

(1) Responding to Accessibility Violations.

DTS shall respond to accessibility violation reports within 30 calendar days with suggestions for remediation.

History

KEY: accessibility guidelines, information technology for users with disabilities, web accessibility
Date of Last Change: September 22, 2025
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-210

Utah Admin. Code R895-14-6 Undue Burden to Agencies

(1) If compliance with this rule causes an undue burden to agencies; agencies may propose an alternative method of access that allows users with disabilities to use information and data. The alternative method must be submitted to the CIO in writing, and the CIO shall approve or deny the proposal in writing.

(2) Accessibility Testing Protocols.

The Division of Technology Services provides guidelines for accessibility testing and revises them on a regular schedule for use by agencies. Current testing protocols measure accessibility against United States Public Access Board Guidelines of 2015, including Section 508 of the Rehabilitation Act of 1973 as amended, and W3C Web Content Accessibility Guidelines (WCAG) Version 2.1, Level AA.

History

KEY: accessibility guidelines, information technology for users with disabilities, web accessibility
Date of Last Change: September 22, 2025
Notice of Continuation: October 25, 2024
Authorizing, and Implemented or Interpreted Law: 63F-1-206; 63F-1-210