Terms Used In Utah Code > Title 32B > Chapter 3 - Disciplinary Actions and Enforcement Act

• Adverse claim: means a claim that a claimant has a property interest in a financial asset and that it is a violation of the rights of the claimant for another person to hold, transfer, or deal with the financial asset. See Utah Code 70A-8-101
• Affirmed: In the practice of the appellate courts, the decree or order is declared valid and will stand as rendered in the lower court.
• Aggravating circumstances: means :
       (1)(a) prior warnings about compliance problems;
       (1)(b) a prior violation history;
       (1)(c) a lack of written policies governing employee conduct;
       (1)(d) multiple violations during the course of an investigation;
       (1)(e) efforts to conceal a violation;
       (1)(f) an intentional violation;
       (1)(g) the violation involved more than one patron or employee; or
       (1)(h) a violation that results in injury or death. See Utah Code 32B-3-102
• Alcoholic beverage: means the following:
       (3)(a) beer; or
       (3)(b) liquor. See Utah Code 32B-1-102
• Alcoholic product: includes an alcoholic beverage. See Utah Code 32B-1-102
• Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
• Annuity: A periodic (usually annual) payment of a fixed sum of money for either the life of the recipient or for a fixed number of years. A series of payments under a contract from an insurance company, a trust company, or an individual. Annuity payments are made at regular intervals over a period of more than one full year.
• Appellate: About appeals; an appellate court has the power to review the judgement of another lower court or tribunal.
• Applicant: means a person at whose request or for whose account a letter of credit is issued. See Utah Code 70A-5-102
• Attachment: A procedure by which a person's property is seized to pay judgments levied by the court.
• Bailee: means a person that by a warehouse receipt, bill of lading, or other document of title acknowledges possession of goods and contracts to deliver them. See Utah Code 70A-7a-102
• Bankruptcy: Refers to statutes and judicial proceedings involving persons or businesses that cannot pay their debts and seek the assistance of the court in getting a fresh start. Under the protection of the bankruptcy court, debtors may discharge their debts, perhaps by paying a portion of each debt. Bankruptcy judges preside over these proceedings.
• Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. ^{Source: OCC}
• Beneficiary: means a person who under the terms of a letter of credit is entitled to have its complying presentation honored. See Utah Code 70A-5-102
• Brewer: means a person engaged in manufacturing:
       (16)(a) beer;
       (16)(b) heavy beer; or
       (16)(c) a flavored malt beverage. See Utah Code 32B-1-102
• Broker: means a person defined as a broker or dealer under the federal securities laws, but without excluding a bank acting in that capacity. See Utah Code 70A-8-101
• Carrier: means a person that issues a bill of lading. See Utah Code 70A-7a-102
• Certificate of approval: means a certificate of approval obtained from the department under Section 32B-11-201. See Utah Code 32B-1-102
• Certificated security: means a security that is represented by a certificate. See Utah Code 70A-8-101
• Clearing corporation: means :
            (1)(e)(i) a person that is registered as a "clearing agency" under the federal securities laws;
            (1)(e)(ii) a federal reserve bank; or
            (1)(e)(iii) any other person that provides clearance or settlement services with respect to financial assets that would require it to register as a clearing agency under the federal securities laws but for an exclusion or exemption from the registration requirement, if its activities as a clearing corporation, including promulgation of rules, are subject to regulation by a federal or state governmental authority. See Utah Code 70A-8-101
• Commission: means the Alcoholic Beverage Services Commission created in Section 32B-2-201. See Utah Code 32B-1-102
• Communicate: means to:
            (1)(f)(i) send a signed writing; or
            (1)(f)(ii) transmit information by any mechanism agreed upon by the persons transmitting and receiving the information. See Utah Code 70A-8-101
• Consignee: means a person named in a bill of lading to which or to whose order the bill promises delivery. See Utah Code 70A-7a-102
• Consignor: means a person named in a bill of lading as the person from which the goods have been received for shipment. See Utah Code 70A-7a-102
• Critical infrastructure materials: means sand, gravel, or rock aggregate. See Utah Code 17-27a-1001
• Critical infrastructure materials operations: means the extraction, excavation, processing, or reprocessing of critical infrastructure materials. See Utah Code 17-27a-1001
• Critical infrastructure materials operator: means a natural person, corporation, association, partnership, receiver, trustee, executor, administrator, guardian, fiduciary, agent, or other organization or representative, either public or private, including a successor, assign, affiliate, subsidiary, and related parent company, that:
       (3)(a) owns, controls, or manages a critical infrastructure materials operations; and
       (3)(b) has produced commercial quantities of critical infrastructure materials from the critical infrastructure materials operations. See Utah Code 17-27a-1001
• Damages: Money paid by defendants to successful plaintiffs in civil cases to compensate the plaintiffs for their injuries.
• Decedent: A deceased person.
• Delivery order: means a record that contains an order to deliver goods directed to a warehouse, carrier, or other person that in the ordinary course of business issues warehouse receipts or bills of lading. See Utah Code 70A-7a-102
• Department: means the Department of Alcoholic Beverage Services created in Section 32B-2-203. See Utah Code 32B-1-102
• Department compliance officer: means an individual who is:
       (31)(a) an auditor or inspector; and
       (31)(b) employed by the department. See Utah Code 32B-1-102
• Dependent: A person dependent for support upon another.
• Disciplinary proceeding: means an adjudicative proceeding permitted under this title:
       (35)(a) against a person subject to administrative action; and
       (35)(b) that is brought on the basis of a violation of this title. See Utah Code 32B-1-102
• Document: means a draft or other demand, document of title, investment security, certificate, invoice, or other record, statement, or representation of fact, law, right, or opinion:
       (6)(a) which is presented in a written or other medium permitted by the letter of credit or, unless prohibited by the letter of credit, by the standard practice referred to in Subsection 70A-5-108(5); and
       (6)(b) which is capable of being examined for compliance with the terms and conditions of the letter of credit. See Utah Code 70A-5-102
• Entitlement: A Federal program or provision of law that requires payments to any person or unit of government that meets the eligibility criteria established by law. Entitlements constitute a binding obligation on the part of the Federal Government, and eligible recipients have legal recourse if the obligation is not fulfilled. Social Security and veterans' compensation and pensions are examples of entitlement programs.
• Entitlement holder: means a person identified in the records of a securities intermediary as the person having a security entitlement against the securities intermediary. See Utah Code 70A-8-101
• Entitlement order: means a notification communicated to a securities intermediary directing transfer or redemption of a financial asset to which the entitlement holder has a security entitlement. See Utah Code 70A-8-101
• Equitable: Pertaining to civil suits in "equity" rather than in "law." In English legal history, the courts of "law" could order the payment of damages and could afford no other remedy. See damages. A separate court of "equity" could order someone to do something or to cease to do something. See, e.g., injunction. In American jurisprudence, the federal courts have both legal and equitable power, but the distinction is still an important one. For example, a trial by jury is normally available in "law" cases but not in "equity" cases. ^{Source: U.S. Courts}
• Financial asset: except as otherwise provided in Section 70A-8-102, means:
                 (1)(i)(i)(A) a security;
                 (1)(i)(i)(B) an obligation of a person or a share, participation, or other interest in a person or in property or an enterprise of a person, which is or is of a type, dealt in or traded on financial markets, or which is recognized in any area in which it is issued or dealt in as a medium for investment; or
                 (1)(i)(i)(C) any property that is held by a securities intermediary for another person in a securities account if that securities intermediary has expressly agreed with the other person that the property is to be treated as a financial asset under this chapter. See Utah Code 70A-8-101
• Foreclosure: A legal process in which property that is collateral or security for a loan may be sold to help repay the loan when the loan is in default. ^{Source: OCC}
• Fraud: Intentional deception resulting in injury to another.
• Good faith: means honesty in fact and the observance of reasonable commercial standards of fair dealing. See Utah Code 70A-7a-102
• Goods: means all things that are treated as movable for the purposes of a contract for storage or transportation. See Utah Code 70A-7a-102
• Guarantor: A party who agrees to be responsible for the payment of another party's debts should that party default. ^{Source: OCC}
• Indemnification: In general, a collateral contract or assurance under which one person agrees to secure another person against either anticipated financial losses or potential adverse legal consequences. ^{Source: FDIC}
• Indorsement: means a signature that alone or accompanied by other words is made on a security certificate in registered form or on a separate document for the purpose of assigning, transferring, or redeeming the security or granting a power to assign, transfer, or redeem it. See Utah Code 70A-8-101
• Instruction: means a notification communicated to the issuer of an uncertificated security which directs that the transfer of the security be registered or that the security be redeemed. See Utah Code 70A-8-101
• intoxication: means that

       an individual exhibits plain and easily observable outward manifestations of behavior or physical signs produced by or as a result of the use of:

       (60)(a) an alcoholic product;
       (60)(b) a controlled substance;
       (60)(c) a substance having the property of releasing toxic vapors; or
       (60)(d) a combination of products or substances described in Subsections (60)(a) through (c). See Utah Code 32B-1-102
• Investigator: means an individual who is:
       (61)(a) a department compliance officer; or
       (61)(b) a nondepartment enforcement officer. See Utah Code 32B-1-102
• Issuer: means a bank or other person that issues a letter of credit, but does not include an individual who makes an engagement for personal, family, or household purposes. See Utah Code 70A-5-102
• Issuer: means a bailee that issues a document of title or, in the case of an unaccepted delivery order, the person that orders the possessor of goods to deliver. See Utah Code 70A-7a-102
• Land company: means a mutual benefit corporation, as defined in Section 16-6a-102, that bases the use of the corporation's land on issued share ownership. See Utah Code 70A-8-101
• Letter of credit: means a definite undertaking that satisfies the requirements of Section 70A-5-104 by an issuer to a beneficiary at the request or for the account of an applicant or, in the case of a financial institution, to itself or for its own account, to honor a documentary presentation by payment or delivery of an item of value. See Utah Code 70A-5-102
• License: means :
       (62)(a) a retail license;
       (62)(b) a sublicense;
       (62)(c) a license issued in accordance with Chapter 7, Part 4, Off-premise Beer Retailer State License;
       (62)(d) a license issued in accordance with Chapter 11, Manufacturing and Related Licenses Act;
       (62)(e) a license issued in accordance with Chapter 12, Liquor Warehousing License Act;
       (62)(f) a license issued in accordance with Chapter 13, Beer Wholesaling License Act; or
       (62)(g) a license issued in accordance with Chapter 17, Liquor Transport License Act. See Utah Code 32B-1-102
• Licensee: means a person who holds a license. See Utah Code 32B-1-102
• Lien: A claim against real or personal property in satisfaction of a debt.
• Liquor: includes :
                 (66)(a)(ii)(A) heavy beer;
                 (66)(a)(ii)(B) wine; and
                 (66)(a)(ii)(C) a flavored malt beverage. See Utah Code 32B-1-102
• Member: means an individual who, after paying regular dues, has full privileges in an equity licensee or fraternal licensee. See Utah Code 32B-1-102
• Military installation: means a base, air field, camp, post, station, yard, center, or homeport facility for a ship:
            (75)(a)(i)

                 (75)(a)(i)(A) under the control of the United States Department of Defense; or

                 (75)(a)(i)(B) of the National Guard;
            (75)(a)(ii) that is located within the state; and
            (75)(a)(iii) including a leased facility. See Utah Code 32B-1-102
• Minor: means an individual under 21 years old. See Utah Code 32B-1-102
• Mitigating circumstances: means :
       (3)(a) no prior violation history for the licensee or permittee;
       (3)(b) no prior violation history for the individual who committed the violation;
       (3)(c) motive for the individual who engaged in or allowed the violation to retaliate against the licensee or permittee; or
       (3)(d) extraordinary cooperation with the investigation of the violation that demonstrates that the licensee or permittee and the individual who committed the violation accept responsibility for the violation. See Utah Code 32B-3-102
• Nominated person: means a person whom the issuer:
       (11)(a) designates or authorizes to pay, accept, negotiate, or otherwise give value under a letter of credit; and
       (11)(b) undertakes by agreement or custom and practice to reimburse. See Utah Code 70A-5-102
• Nondepartment enforcement agency: means an agency that:
       (78)(a)

            (78)(a)(i) is a state agency other than the department; or

            (78)(a)(ii) is an agency of a county, city, or town; and
       (78)(b) has a responsibility to enforce one or more provisions of this title. See Utah Code 32B-1-102
• Nuisance activity: means :
       (1)(a) a judicial finding that a licensed establishment is a nuisance under Section 32B-4-208; or
       (1)(b) an act described in Section 32B-3-303. See Utah Code 32B-3-302
• Objecting governmental entity: means :
       (2)(a) a local government entity;
       (2)(b) a prosecutor's office; or
       (2)(c) a law enforcement agency. See Utah Code 32B-3-302
• offer for sale: means a transaction, exchange, or barter whereby, for consideration, an alcoholic product is either directly or indirectly transferred, solicited, ordered, delivered for value, or by a means or under a pretext is promised or obtained, whether done by a person as a principal, proprietor, or as staff, unless otherwise defined in this title or the rules made by the commission. See Utah Code 32B-1-102
• Package agency: means a retail liquor location operated:
       (85)(a) under an agreement with the department; and
       (85)(b) by a person:

            (85)(b)(i) other than the state; and

            (85)(b)(ii) who is authorized by the commission in accordance with Chapter 2, Part 6, Package Agency, to sell packaged liquor for consumption off the premises of the package agency. See Utah Code 32B-1-102
• Package agent: means a person who holds a package agency. See Utah Code 32B-1-102
• Patron: means an individual to whom food, beverages, or services are sold, offered for sale, or furnished, or who consumes an alcoholic product including:
       (87)(a) a customer;
       (87)(b) a member;
       (87)(c) a guest;
       (87)(d) an attendee of a banquet or event;
       (87)(e) an individual who receives room service;
       (87)(f) a resident of a resort; or
       (87)(g) a hospitality guest, as defined in Section 32B-6-1002, under a hospitality amenity license. See Utah Code 32B-1-102
• Permittee: means a person issued a permit under:
       (89)(a) Chapter 9, Event Permit Act; or
       (89)(b) Chapter 10, Special Use Permit Act. See Utah Code 32B-1-102
• Person: means :
       (24)(a) an individual;
       (24)(b) an association;
       (24)(c) an institution;
       (24)(d) a corporation;
       (24)(e) a company;
       (24)(f) a trust;
       (24)(g) a limited liability company;
       (24)(h) a partnership;
       (24)(i) a political subdivision;
       (24)(j) a government office, department, division, bureau, or other body of government; and
       (24)(k) any other organization or entity. See Utah Code 68-3-12.5
• Person subject to administrative action: means :
       (90)(a) a licensee;
       (90)(b) a permittee;
       (90)(c) a manufacturer;
       (90)(d) a supplier;
       (90)(e) an importer;
       (90)(f) one of the following holding a certificate of approval:

            (90)(f)(i) an out-of-state brewer;

            (90)(f)(ii) an out-of-state importer of beer, heavy beer, or flavored malt beverages; or

            (90)(f)(iii) an out-of-state supplier of beer, heavy beer, or flavored malt beverages; or
       (90)(g) staff of:

            (90)(g)(i) a person listed in Subsections (90)(a) through (f); or

            (90)(g)(ii) a package agent. See Utah Code 32B-1-102
• Plat: means an instrument subdividing property into lots as depicted on a map or other graphical representation of lands that a licensed professional land surveyor makes and prepares in accordance with Section 17-27a-603 or 57-8-13. See Utah Code 17-27a-103
• Pleadings: Written statements of the parties in a civil case of their positions. In the federal courts, the principal pleadings are the complaint and the answer.
• Premises: means a building, enclosure, or room used in connection with the storage, sale, furnishing, consumption, manufacture, or distribution, of an alcoholic product, unless otherwise defined in this title or rules made by the commission. See Utah Code 32B-1-102
• Presentation: means delivery of a document to an issuer or nominated person for honor or giving of value under a letter of credit. See Utah Code 70A-5-102
• Presenter: means a person making a presentation as or on behalf of a beneficiary or nominated person. See Utah Code 70A-5-102
• Presiding officer: A majority-party Senator who presides over the Senate and is charged with maintaining order and decorum, recognizing Members to speak, and interpreting the Senate's rules, practices and precedents.
• Record: includes :
            (103)(b)(i) a book;
            (103)(b)(ii) a book of account;
            (103)(b)(iii) a paper;
            (103)(b)(iv) a contract;
            (103)(b)(v) an agreement;
            (103)(b)(vi) a document; or
            (103)(b)(vii) a recording in any medium. See Utah Code 32B-1-102
• Record: means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form. See Utah Code 70A-7a-102
• Reporter: Makes a record of court proceedings and prepares a transcript, and also publishes the court's opinions or decisions (in the courts of appeals).
• Retail license: means one of the following licenses issued under this title:
       (113)(a) a full-service restaurant license;
       (113)(b) a master full-service restaurant license;
       (113)(c) a limited-service restaurant license;
       (113)(d) a master limited-service restaurant license;
       (113)(e) a bar establishment license;
       (113)(f) an airport lounge license;
       (113)(g) an on-premise banquet license;
       (113)(h) an on-premise beer license;
       (113)(i) a reception center license;
       (113)(j) a beer-only restaurant license;
       (113)(k) a hospitality amenity license;
       (113)(l) a resort license;
       (113)(m) a hotel license; or
       (113)(n) an arena license. See Utah Code 32B-1-102
• Securities intermediary: means :
            (1)(o)(i) a clearing corporation; or
            (1)(o)(ii) a person, including a bank or broker, that in the ordinary course of its business maintains securities accounts for others and is acting in that capacity. See Utah Code 70A-8-101
• Security: except as otherwise provided in Section 70A-8-102, means an obligation of an issuer or a share, participation, or other interest in an issuer or in property or an enterprise of an issuer that:
            (1)(p)(i) is represented by a security certificate in bearer or registered form, or the transfer of which may be registered upon books maintained for that purpose by or on behalf of the issuer;
            (1)(p)(ii) is one of a class or series or by its terms is divisible into a class or series of shares, participations, interests, or obligations; and
            (1)(p)(iii)

                 (1)(p)(iii)(A) is, or is of a type, dealt in or traded on securities exchanges or securities markets; or

                 (1)(p)(iii)(B) is a medium for investment and by its terms expressly provides that it is a security governed by this chapter. See Utah Code 70A-8-101
• Security certificate: means a certificate representing a security. See Utah Code 70A-8-101
• Security entitlement: means the rights and property interest of an entitlement holder with respect to a financial asset specified in Part 5, Security Entitlements. See Utah Code 70A-8-101
• Serve: means to place an alcoholic product before an individual. See Utah Code 32B-1-102
• Shipper: means a person that enters into a contract of transportation with a carrier. See Utah Code 70A-7a-102
• Signature: includes a name, mark, or sign written with the intent to authenticate an instrument or writing. See Utah Code 68-3-12.5
• Staff: includes :
            (128)(b)(i) an officer;
            (128)(b)(ii) a director;
            (128)(b)(iii) an employee;
            (128)(b)(iv) personnel management;
            (128)(b)(v) an agent of the licensee, including a managing agent;
            (128)(b)(vi) an operator; or
            (128)(b)(vii) a representative. See Utah Code 32B-1-102
• Store: means to place or maintain in a location an alcoholic product. See Utah Code 32B-1-102
• Subdivision: includes :
            (73)(b)(i) the division or development of land, whether by deed, metes and bounds description, devise and testacy, map, plat, or other recorded instrument, regardless of whether the division includes all or a portion of a parcel or lot; and
            (73)(b)(ii) except as provided in Subsection (73)(c), divisions of land for residential and nonresidential uses, including land used or to be used for commercial, agricultural, and industrial purposes. See Utah Code 17-27a-103
• Supplier: means a person who sells an alcoholic product to the department. See Utah Code 32B-1-102
• Testify: Answer questions in court.
• Testify: means to make an oral statement under oath or affirmation. See Utah Code 68-3-12.5
• Transcript: A written, word-for-word record of what was said, either in a proceeding such as a trial or during some other conversation, as in a transcript of a hearing or oral deposition.
• Trustee: A person or institution holding and administering property in trust.
• Uncertificated security: means a security that is not represented by a certificate. See Utah Code 70A-8-101
• Uniform Commercial Code: A set of statutes enacted by the various states to provide consistency among the states' commercial laws. It includes negotiable instruments, sales, stock transfers, trust and warehouse receipts, and bills of lading. ^{Source: OCC}
• Vested critical infrastructure materials operations: means critical infrastructure materials operations operating in accordance with a legal nonconforming use or a permit issued by the county that existed or was conducted or otherwise engaged in before:
       (4)(a) a political subdivision prohibits, restricts, or otherwise limits the critical infrastructure materials operations; and
       (4)(b) January 1, 2019. See Utah Code 17-27a-1001
• Warehouse: means a person engaged in the business of storing goods for hire. See Utah Code 70A-7a-102
• Water company: is a s defined in Section 16-4-102. See Utah Code 70A-8-101