UNIFORM RULES ON AGENCY PROCEDURE

The Uniform Rules on Agency Procedure, which were drafted in 1985*, have been amended by the Iowa Attorney General’s office to comply with 1998 Iowa Acts, chapter 1202, effective July 1, 1999. The amendments were drafted by Elizabeth Osenbaugh, Julie Pottorff, Pam Griebel, Lucy Hardy, Dan Hart, and Libby Nelson and approved for publication by Governor Thomas J. Vilsack’s Administrative Rules Coordinator, Brian Gentry.

PETITIONS FOR RULE MAKING

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DECLARATORY ORDERS

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AGENCY PROCEDURE FOR RULE MAKING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 8

FAIR INFORMATION PRACTICES

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CONTESTED CASES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 23

*Note: Governor Terry E. Branstad appointed a nine-member task force in the summer of 1985 to draft uniform rules on agency procedure suitable for adoption by all or most state agencies. The members of the task force were Arthur E. Bonfield, Chair, Barbara B. Burnett, Robert F. Holz, Jr., Kathryn L. Hove, Dennis J. Nagel, Elizabeth M. Osenbaugh, Julie F. Pottorff, Joseph A. Royce, and Ted Yanecek.

CHAPTER X PETITIONS FOR RULE MAKING

Agency No.—X.1(17A) Petition for rule making. Any person or agency may file a petition for rule making with the agency at (designate office).  A petition is deemed filed when it is received by that office. The agency must provide the petitioner with a file-stamped copy of the petition if the petitioner provides the agency an extra copy for this purpose. The petition must be typewritten, or legibly hand- written in ink and must substantially conform to the following form:

Petition by (Name of Petitioner) for the (adoption, amendment, or repeal) of rules relating to
(state subject matter).

(AGENCY NAME)
}

PETITION FOR RULE MAKING

The petition must provide the following information:
1.    A statement of the specific rule-making action sought by the petitioner including the text or a summary of the contents of the proposed rule or amendment to a rule and, if it is a petition to amend or repeal a rule, a citation and the relevant language to the particular portion or portions of the rule pro- posed to be amended or repealed.
2.    A citation to any law deemed relevant to the agency’s authority to take the action urged or to the desirability of that action.
3.	A brief summary of petitioner’s arguments in support of the action urged in the petition.
4.	A brief summary of any data supporting the action urged in the petition.
5.    The names and addresses of other persons, or a description of any class of persons, known by petitioner to be affected by or interested in, the proposed action which is the subject of the petition.
6.	Any request by petitioner for a meeting provided for by rule X.4(17A).
X.1(1)  The petition must be dated and signed by the petitioner or the petitioner’s representative. It must also include the name, mailing address, and telephone number of the petitioner and petitioner’s representative, and a statement indicating the person to whom communications concerning the petition should be directed.
X.1(2)  The agency may deny a petition because it does not substantially conform to the required
form.

Agency No.—X.2(17A) Briefs. The petitioner may attach a brief to the petition in support of the ac- tion urged in the petition. The agency may request a brief from the petitioner or from any other person concerning the substance of the petition.

Agency No.—X.3(17A) Inquiries. Inquiries concerning the status of a petition for rule making may be made to (designate official by full title and address).

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Agency No.—X.4(17A)  Agency consideration.
X.4(1)  Within 14 days after the filing of a petition, the agency must submit a copy of the petition and any accompanying brief to the administrative rules coordinator and to the administrative rules re- view committee. Upon request by petitioner in the petition, the agency must schedule a brief and infor- mal meeting between the petitioner and the agency, a member of the agency, or a member of the staff of the agency, to discuss the petition. The agency may request the petitioner to submit additional informa- tion or argument concerning the petition. The agency may also solicit comments from any person on the substance of the petition. Also, comments on the substance of the petition may be submitted to the agency by any person.
X.4(2)  Within 60 days after the filing of the petition, or within any longer period agreed to by the petitioner, the agency must, in writing, deny the petition, and notify petitioner of its action and the spe-
cific grounds for the denial, or grant the petition and notify petitioner that it has instituted rule-making
proceedings on the subject of the petition. Petitioner shall be deemed notified of the denial or grant of the petition on the date when the agency mails or delivers the required notification to petitioner.
X.4(3)  Denial of a petition because it does not substantially conform to the required form does not preclude the filing of a new petition on the same subject that seeks to eliminate the grounds for the agency’s rejection of the petition.

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CHAPTER X DECLARATORY ORDERS

Agency No.—X.1(17A) Petition for declaratory order. Any person may file a petition with the (des- ignate agency) for a declaratory order as to the applicability to specified circumstances of a statute, rule, or order within the primary jurisdiction of the (designate agency), at (designate office). A petition is deemed filed when it is received by that office. The (designate agency) shall provide the petitioner with a file-stamped copy of the petition if the petitioner provides the agency an extra copy for this pur- pose. The petition must be typewritten or legibly handwritten in ink and must substantially conform to the following form:

}

(AGENCY NAME)

Petition by (Name of Petitioner)
for a Declaratory Order on
(Cite provisions of law involved).

PETITION FOR DECLARATORY ORDER

The petition must provide the following information:
1.	A clear and concise statement of all relevant facts on which the order is requested.
2.    A citation and the relevant language of the specific statutes, rules, policies, decisions, or or- ders, whose applicability is questioned, and any other relevant law.
3.	The questions petitioner wants answered, stated clearly and concisely.
4.    The answers to the questions desired by the petitioner and a summary of the reasons urged by the petitioner in support of those answers.
5.    The reasons for requesting the declaratory order and disclosure of the petitioner’s interest in the outcome.
6.    A statement indicating whether the petitioner is currently a party to another proceeding involv- ing the questions at issue and whether, to the petitioner’s knowledge, those questions have been de- cided by, are pending determination by, or are under investigation by, any governmental entity.
7.    The names and addresses of other persons, or a description of any class of persons, known by petitioner to be affected by, or interested in, the questions presented in the petition.
8.	Any request by petitioner for a meeting provided for by X.7(17A).
The petition must be dated and signed by the petitioner or the petitioner’s representative.  It must also include the name, mailing address, and telephone number of the petitioner and petitioner’s repre- sentative and a statement indicating the person to whom communications concerning the petition should be directed.
(An agency may wish to describe here a simplified alternative petition form that would be more appropriate for some members of its clientele in light of their particular circumstances.)

Agency No.—X.2(17A) Notice of petition. Within

days (15 or less) after receipt of a petition

for a declaratory order, the (designate agency) shall give notice of the petition to all persons not served by the petitioner pursuant to X.6(17A) to whom notice is required by any provision of law. The (desig- nate agency) may also give notice to any other persons.

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Agency No.—X.3(17A)  Intervention.
X.3(1)   Persons who qualify under any applicable provision of law as an intervenor and who file a

petition for intervention within

days of the filing of a petition for declaratory order (after time

for notice under X.2(17A) and before 30-day time for agency action under X.8(17A)) shall be allowed to intervene in a proceeding for a declaratory order.
X.3(2)   Any person who files a petition for intervention at any time prior to the issuance of an order
may be allowed to intervene in a proceeding for a declaratory order at the discretion of (designate agency).
X.3(3)   A petition for intervention shall be filed at (designate office).  Such a petition is deemed filed when it is received by that office. The (designate agency) will provide the petitioner with a file- stamped copy of the petition for intervention if the petitioner provides an extra copy for this purpose. A petition for intervention must be typewritten or legibly handwritten in ink and must substantially con-
form to the following form:
(AGENCY NAME)

}

Petition by (Name of Original Petitioner)
for a Declaratory Order on
(Cite provisions of law cited in original petition).

PETITION FOR INTERVENTION

The petition for intervention must provide the following information:
1.	Facts supporting the intervenor’s standing and qualifications for intervention.
2.    The answers urged by the intervenor to the question or questions presented and a summary of the reasons urged in support of those answers.
3.	Reasons for requesting intervention and disclosure of the intervenor’s interest in the outcome.
4.     A statement indicating whether the intervenor is currently a party to any proceeding involving the questions at issue and whether, to the intervenor’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity.
5.    The names and addresses of any additional persons, or a description of any additional class of persons, known by the intervenor to be affected by, or interested in, the questions presented.
6.	Whether the intervenor consents to be bound by the determination of the matters presented in
the declaratory order proceeding.
The petition must be dated and signed by the intervenor or the intervenor’s representative. It must also include the name, mailing address, and telephone number of the intervenor and intervenor’s repre- sentative, and a statement indicating the person to whom communications should be directed.
(An agency may wish to describe here a simplified alternative petition for intervention form that would be more appropriate for some members of its clientele in light of their particular circumstances.)

Agency No.—X.4(17A)  Briefs.  The petitioner or any intervenor may file a brief in support of the position urged. The (designate agency) may request a brief from the petitioner, any intervenor, or any other person concerning the questions raised.

Agency No.—X.5(17A) Inquiries. Inquiries concerning the status of a declaratory order proceeding may be made to (designate official by full title and address).

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Agency No.—X.6(17A)  Service and filing of petitions and other papers.
X.6(1)   When service required.  Except where otherwise provided by law, every petition for de- claratory order, petition for intervention, brief, or other paper filed in a proceeding for a declaratory order shall be served upon each of the parties of record to the proceeding, and on all other persons iden- tified in the petition for declaratory order or petition for intervention as affected by or interested in the questions presented, simultaneously with their filing.  The party filing a document is responsible for service on all parties and other affected or interested persons.
X.6(2)   Filing—when required.  All petitions for declaratory orders, petitions for intervention, briefs, or other papers in a proceeding for a declaratory order shall be filed with (specify office and address).  All petitions, briefs, or other papers that are required to be served upon a party shall be filed
simultaneously with the (agency name).
X.6(3)   Method of service, time of filing, and proof of mailing. Method of service, time of filing, and proof of mailing shall be as provided by (uniform rule on contested cases X.12(17A)).

Agency No.—X.7(17A)  Consideration.  Upon request by petitioner, the (designate agency) must schedule a brief and informal meeting between the original petitioner, all intervenors, and the (desig- nate agency), a member of the (designate agency), or a member of the staff of the (designate agency), to discuss the questions raised.  The (designate agency) may solicit comments from any person on the questions raised. Also, comments on the questions raised may be submitted to the (designate agency) by any person.
(The agency may specify any provisions of Iowa Code sections 17A.10 through 17A.18 on con-
tested case proceedings to apply to proceedings for declaratory orders.)

Agency No.—X.8(17A)  Action on petition.
X.8(1)   Within the time allowed by 1998 Iowa Acts, chapter 1202, section 13(5), after receipt of a petition for a declaratory order, the (designate agency head) or designee shall take action on the petition as required by 1998 Iowa Acts, chapter 1202, section 13(5).
X.8(2)   The date of issuance of an order or of a refusal to issue an order is as defined in (contested
case uniform rule X.2(17A)).

Agency No.—X.9(17A)  Refusal to issue order.
X.9(1)   The (designate agency) shall not issue a declaratory order where prohibited by 1998 Iowa Acts, chapter 1202, section 13(1), and may refuse to issue a declaratory order on some or all questions raised for the following reasons:
1.	The petition does not substantially comply with the required form.
2.    The petition does not contain facts sufficient to demonstrate that the petitioner will be ag- grieved or adversely affected by the failure of the (designate agency) to issue an order.
3.	The (designate agency) does not have jurisdiction over the questions presented in the petition.
4.    The questions presented by the petition are also presented in a current rule making, contested case, or other agency or judicial proceeding, that may definitively resolve them.
5.    The questions presented by the petition would more properly be resolved in a different type of proceeding or by another body with jurisdiction over the matter.
6.	The facts or questions presented in the petition are unclear, overbroad, insufficient, or other-
wise inappropriate as a basis upon which to issue an order.

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7.    There is no need to issue an order because the questions raised in the petition have been settled due to a change in circumstances.
8.    The petition is not based upon facts calculated to aid in the planning of future conduct but is, instead, based solely upon prior conduct in an effort to establish the effect of that conduct or to chal- lenge an agency decision already made.
9.    The petition requests a declaratory order that would necessarily determine the legal rights, du- ties, or responsibilities of other persons who have not joined in the petition, intervened separately, or
filed a similar petition and whose position on the questions presented may fairly be presumed to be
adverse to that of petitioner.
10.  The petitioner requests the (designate agency) to determine whether a statute is unconstitu- tional on its face.
(Where the agency’s experience enables it to define in advance other specific reasons for refusing to issue a declaratory order, it should include them here.)
X.9(2)  A refusal to issue a declaratory order must indicate the specific grounds for the refusal and constitutes final agency action on the petition.
X.9(3)  Refusal to issue a declaratory order pursuant to this provision does not preclude the filing of
a new petition that seeks to eliminate the grounds for the refusal to issue an order.

Agency No.—X.10(17A) Contents of declaratory order—effective date.  In addition to the order itself, a declaratory order must contain the date of its issuance, the name of petitioner and all interve- nors, the specific statutes, rules, policies, decisions, or orders involved, the particular facts upon which it is based, and the reasons for its conclusion.
A declaratory order is effective on the date of issuance.

Agency No.—X.11(17A) Copies of orders. A copy of all orders issued in response to a petition for a declaratory order shall be mailed promptly to the original petitioner and all intervenors.

Agency No.—X.12(17A) Effect of a declaratory order. A declaratory order has the same status and binding effect as a final order issued in a contested case proceeding.  It is binding on the (designate agency), the petitioner, and any intervenors (who consent to be bound) and is applicable only in cir- cumstances where the relevant facts and the law involved are indistinguishable from those on which the order was based.  As to all other persons, a declaratory order serves only as precedent and is not binding on the (designate agency). The issuance of a declaratory order constitutes final agency action on the petition.

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CHAPTER X
AGENCY PROCEDURE FOR RULE MAKING

Agency No.—X.1(17A) Applicability. Except to the extent otherwise expressly provided by statute, all rules adopted by the agency are subject to the provisions of Iowa Code chapter 17A, the Iowa ad- ministrative procedure Act, and the provisions of this chapter.

Agency No.—X.2(17A) Advice on possible rules before notice of proposed rule adoption. In addi- tion to seeking information by other methods, the agency may, before publication of a Notice of In- tended Action under Iowa Code section 17A.4(1)“a,” solicit comments from the public on a subject matter of possible rule making by the agency by causing notice to be published in the Iowa Administra- tive Bulletin of the subject matter and indicating where, when, and how persons may comment.

Agency No.—X.3(17A)  Public rule-making docket.
X.3(1)  Docket maintained.  The agency shall maintain a current public rule-making docket.
X.3(2)  Anticipated rule making.  The rule-making docket shall list each anticipated rule-making proceeding.  A rule-making proceeding is deemed “anticipated” from the time a draft of proposed rules is distributed for internal discussion within the agency. For each anticipated rule-making proceeding the docket shall contain a listing of the precise subject matter which may be submitted for consider-
ation by the (commission, board, council, director) for subsequent proposal under the provisions of Iowa Code section 17A.4(1)“a,” the name and address of agency personnel with whom persons may communicate with respect to the matter, and an indication of the present status within the agency of that possible rule. The agency may also include in the docket other subjects upon which public comment is desired.
X.3(3)  Pending rule-making proceedings.  The rule-making docket shall list each pending rule- making proceeding. A rule-making proceeding is pending from the time it is commenced, by publica- tion in the Iowa Administrative Bulletin of a Notice of Intended Action pursuant to Iowa Code section
17A.4(1)“a,” to the time it is terminated, by publication of a Notice of Termination in the Iowa Admin-
istrative Bulletin or the rule becoming effective.  For each rule-making proceeding, the docket shall indicate:
a.	The subject matter of the proposed rule;
b.	A citation to all published notices relating to the proceeding;
c.	Where written submissions on the proposed rule may be inspected;
d.	The time during which written submissions may be made;
e.     The names of persons who have made written requests for an opportunity to make oral presen- tations on the proposed rule, where those requests may be inspected, and where and when oral presen- tations may be made;
f.     Whether a written request for the issuance of a regulatory analysis, or a concise statement of reasons, has been filed, whether such an analysis or statement or a fiscal impact statement has been
issued, and where any such written request, analysis, or statement may be inspected;
g.	The current status of the proposed rule and any agency determinations with respect thereto;
h.	Any known timetable for agency decisions or other action in the proceeding;
i.	The date of the rule’s adoption;
j.	The date of the rule’s filing, indexing, and publication; k.	The date on which the rule will become effective; and l.	Where the rule-making record may be inspected.

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Agency No.—X.4(17A)  Notice of proposed rule making.
X.4(1)  Contents.  At least 35 days before the adoption of a rule the agency shall cause Notice of Intended Action to be published in the Iowa Administrative Bulletin. The Notice of Intended Action shall include:
a.	A brief explanation of the purpose of the proposed rule;
b.	The specific legal authority for the proposed rule;
c.	Except to the extent impracticable, the text of the proposed rule;
d.	Where, when, and how persons may present their views on the proposed rule; and
e.     Where, when, and how persons may demand an oral proceeding on the proposed rule if the notice does not already provide for one.
Where inclusion of the complete text of a proposed rule in the Notice of Intended Action is impracti- cable, the agency shall include in the notice a statement fully describing the specific subject matter of the omitted portion of the text of the proposed rule, the specific issues to be addressed by that omitted text of the proposed rule, and the range of possible choices being considered by the agency for the reso- lution of each of those issues.
X.4(2)  Incorporation by reference. A proposed rule may incorporate other materials by reference only if it complies with all of the requirements applicable to the incorporation by reference of other materials in an adopted rule that are contained in subrule X.12(2) of this chapter.
X.4(3)  Copies of notices. Persons desiring to receive copies of future Notices of Intended Action by subscription must file with the agency a written request indicating the name and address to which
such notices should be sent. Within seven days after submission of a Notice of Intended Action to the administrative rules coordinator for publication in the Iowa Administrative Bulletin, the agency shall mail or electronically transmit a copy of that notice to subscribers who have filed a written request for either mailing or electronic transmittal with the agency for Notices of Intended Action.  The written
request shall be accompanied by payment of the subscription price which may cover the full cost of the subscription service, including its administrative overhead and the cost of copying and mailing the No- tices of Intended Action for a period of (specify time period).

Agency No.—X.5(17A)  Public participation.
X.5(1)  Written comments. For at least 20 days after publication of the Notice of Intended Action, persons may submit argument, data, and views, in writing, on the proposed rule. Such written submis- sions should identify the proposed rule to which they relate and should be submitted to (identify office and address) or the person designated in the Notice of Intended Action.
X.5(2)  Oral proceedings. The agency may, at any time, schedule an oral proceeding on a proposed
rule. The agency shall schedule an oral proceeding on a proposed rule if, within 20 days after the pub- lished Notice of Intended Action, a written request for an opportunity to make oral presentations is submitted to the agency by the administrative rules review committee, a governmental subdivision, an agency, an association having not less than 25 members, or at least 25 persons. That request must also
contain the following additional information:
1.	A request by one or more individual persons must be signed by each of them and include the
address and telephone number of each of them.
2.    A request by an association must be signed by an officer or designee of the association and must contain a statement that the association has at least 25 members and the address and telephone number of the person signing that request.
3.    A request by an agency or governmental subdivision must be signed by an official having au- thority to act on behalf of the entity and must contain the address and telephone number of the person signing that request.

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X.5(3)  Conduct of oral proceedings.
a.	Applicability.  This subrule applies only to those oral rule-making proceedings in which an
opportunity to make oral presentations is authorized or required by Iowa Code section 17A.4(1)“b” as amended by 1998 Iowa Acts, chapter 1202, section 8, or this chapter.
b.    Scheduling and notice.  An oral proceeding on a proposed rule may be held in one or more locations and shall not be held earlier than 20 days after notice of its location and time is published in the Iowa Administrative Bulletin.  That notice shall also identify the proposed rule by ARC number
and citation to the Iowa Administrative Bulletin.
c.     Presiding officer. The agency, a member of the agency, or another person designated by the agency who will be familiar with the substance of the proposed rule, shall preside at the oral proceeding on a proposed rule. If the agency does not preside, the presiding officer shall prepare a memorandum for consideration by the agency summarizing the contents of the presentations made at the oral pro- ceeding unless the agency determines that such a memorandum is unnecessary because the agency will personally listen to or read the entire transcript of the oral proceeding.
d.    Conduct of proceeding.  At an oral proceeding on a proposed rule, persons may make oral statements and make documentary and physical submissions, which may include data, views, com- ments or arguments concerning the proposed rule. Persons wishing to make oral presentations at such a proceeding are encouraged to notify the agency at least one business day prior to the proceeding and indicate the general subject of their presentations. At the proceeding, those who participate shall indi- cate their names and addresses, identify any persons or organizations they may represent, and provide any other information relating to their participation deemed appropriate by the presiding officer. Oral proceedings shall be open to the public and shall be recorded by stenographic or electronic means.
(1)   At the beginning of the oral proceeding, the presiding officer shall give a brief synopsis of the proposed rule, a statement of the statutory authority for the proposed rule, and the reasons for the agency decision to propose the rule.  The presiding officer may place time limitations on individual oral presentations when necessary to ensure the orderly and expeditious conduct of the oral proceed- ing. To encourage joint oral presentations and to avoid repetition, additional time may be provided for persons whose presentations represent the views of other individuals as well as their own views.
(2)   Persons making oral presentations are encouraged to avoid restating matters which have al- ready been submitted in writing.
(3)   To facilitate the exchange of information, the presiding officer may, where time permits, open the floor to questions or general discussion.
(4)   The presiding officer shall have the authority to take any reasonable action necessary for the
orderly conduct of the meeting.
(5)   Physical and documentary submissions presented by participants in the oral proceeding shall be submitted to the presiding officer.  Such submissions become the property of the agency.
(6)   The oral proceeding may be continued by the presiding officer to a later time without notice other than by announcement at the hearing.
(7)   Participants in an oral proceeding shall not be required to take an oath or to submit to cross-ex- amination. However, the presiding officer in an oral proceeding may question participants and permit the questioning of participants by other participants about any matter relating to that rule-making pro- ceeding, including any prior written submissions made by those participants in that proceeding; but no participant shall be required to answer any question.
(8)   The presiding officer in an oral proceeding may permit rebuttal statements and request the fil- ing of written statements subsequent to the adjournment of the oral presentations.

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X.5(4)  Additional information. In addition to receiving written comments and oral presentations on a proposed rule according to the provisions of this rule, the agency may obtain information concern- ing a proposed rule through any other lawful means deemed appropriate under the circumstances.
X.5(5)  Accessibility. The agency shall schedule oral proceedings in rooms accessible to and func- tional for persons with physical disabilities.  Persons who have special requirements should contact
(designate office and telephone number) in advance to arrange access or other needed services.

Agency No.—X.6(17A)  Regulatory analysis.
X.6(1)  Definition of small business.  A “small business” is defined in 1998 Iowa Acts, chapter
1202, section 10(7).
X.6(2)  Mailing list. Small businesses or organizations of small businesses may be registered on the agency’s small business impact list by making a written application addressed to (designate office).
The application for registration shall state:
a.	The name of the small business or organization of small businesses;
b.	Its address;
c.	The name of a person authorized to transact business for the applicant;
d.    A description of the applicant’s business or organization. An organization representing 25 or more persons who qualify as a small business shall indicate that fact.
e.     Whether the registrant desires copies of Notices of Intended Action at cost, or desires advance notice of the subject of all or some specific category of proposed rule making affecting small business.
The agency may at any time request additional information from the applicant to determine whether the applicant is qualified as a small business or as an organization of 25 or more small businesses. The agency may periodically send a letter to each registered small business or organization of small busi- nesses asking whether that business or organization wishes to remain on the registration list. The name of a small business or organization of small businesses will be removed from the list if a negative re- sponse is received, or if no response is received within 30 days after the letter is sent.
X.6(3)  Time of mailing. Within seven days after submission of a Notice of Intended Action to the administrative rules coordinator for publication in the Iowa Administrative Bulletin, the agency shall mail to all registered small businesses or organizations of small businesses, in accordance with their request, either a copy of the Notice of Intended Action or notice of the subject of that proposed rule making. In the case of a rule that may have an impact on small business adopted in reliance upon Iowa Code section 17A.4(2), the agency shall mail notice of the adopted rule to registered businesses or or- ganizations prior to the time the adopted rule is published in the Iowa Administrative Bulletin.
X.6(4)  Qualified requesters for regulatory analysis—economic impact. The agency shall issue a regulatory analysis of a proposed rule that conforms to the requirements of 1998 Iowa Acts, chapter
1202, section 10(2a) after a proper request from:
a.	The administrative rules coordinator;
b.	The administrative rules review committee.
X.6(5)  Qualified requesters for regulatory analysis—business impact.  The agency shall issue a regulatory analysis of a proposed rule that conforms to the requirements of 1998 Iowa Acts, chapter
1202, section 10(2b), after a proper request from:
a.	The administrative rules review committee;
b.	The administrative rules coordinator;

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c.     At least 25 or more persons who sign the request provided that each represents a different small business;
d.    An organization representing at least 25 small businesses.  That organization shall list the name, address and telephone number of not less than 25 small businesses it represents.
X.6(6)  Time period for analysis.  Upon receipt of a timely request for a regulatory analysis the agency shall adhere to the time lines described in 1998 Iowa Acts, chapter 1202, section 10(4).
X.6(7)  Contents of request.  A request for a regulatory analysis is made when it is mailed or deliv- ered to the agency.  The request shall be in writing and satisfy the requirements of 1998 Iowa Acts,
chapter 1202, section 10(1).
X.6(8)  Contents of concise summary.  The contents of the concise summary shall conform to the requirements of 1998 Iowa Acts, chapter 1202, section 10(4,5).
X.6(9)  Publication of a concise summary. The agency shall make available, to the maximum ex-
tent feasible, copies of the published summary in conformance with 1998 Iowa Acts, chapter 1202, section 10(5).
X.6(10)  Regulatory analysis contents—rules review committee or rules coordinator. When a regu- latory analysis is issued in response to a written request from the administrative rules review commit-
tee, or the administrative rules coordinator, the regulatory analysis shall conform to the requirements of 1998 Iowa Acts, chapter 1202, section 10(2a), unless a written request expressly waives one or more of the items listed in the section.
X.6(11)  Regulatory analysis contents—substantial impact on small business.  When a regulatory
analysis is issued in response to a written request from the administrative rules review committee, the administrative rules coordinator, at least 25 persons signing that request who each qualify as a small business or by an organization representing at least 25 small businesses, the regulatory analysis shall conform to the requirements of 1998 Iowa Acts, chapter 1202, section 10(2b).

Agency No.—X.7(17A,25B)  Fiscal impact statement.
X.7(1)  A proposed rule that mandates additional combined expenditures exceeding $100,000 by all affected political subdivisions or agencies and entities which contract with political subdivisions to provide services must be accompanied by a fiscal impact statement outlining the costs associated with the rule.  A fiscal impact statement must satisfy the requirements of Iowa Code section 25B.6.
X.7(2)  If the agency determines at the time it adopts a rule that the fiscal impact statement upon which the rule is based contains errors, the agency shall, at the same time, issue a corrected fiscal im-
pact statement and publish the corrected fiscal impact statement in the Iowa Administrative Bulletin.

Agency No.—X.8(17A)  Time and manner of rule adoption.
X.8(1)  Time of adoption. The agency shall not adopt a rule until the period for making written sub- missions and oral presentations has expired. Within 180 days after the later of the publication of the Notice of Intended Action, or the end of oral proceedings thereon, the agency shall adopt a rule pur- suant to the rule-making proceeding or terminate the proceeding by publication of a notice to that effect in the Iowa Administrative Bulletin.
X.8(2)  Consideration of public comment. Before the adoption of a rule, the agency shall consider fully all of the written submissions and oral submissions received in that rule-making proceeding or
any memorandum summarizing such oral submissions, and any regulatory analysis or fiscal impact
statement issued in that rule-making proceeding.
X.8(3)  Reliance on agency expertise. Except as otherwise provided by law, the agency may use its own experience, technical competence, specialized knowledge, and judgment in the adoption of a rule.

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Agency No.—X.9(17A)  Variance between adopted rule and published notice of proposed rule adoption.
X.9(1)  The agency shall not adopt a rule that differs from the rule proposed in the Notice of In- tended Action on which the rule is based unless:
a.	The differences are within the scope of the subject matter announced in the Notice of Intended
Action and are in character with the issues raised in that notice; and
b.    The differences are a logical outgrowth of the contents of that Notice of Intended Action and the comments submitted in response thereto; and
c.     The Notice of Intended Action provided fair warning that the outcome of that rule-making pro- ceeding could be the rule in question.
X.9(2)  In determining whether the Notice of Intended Action provided fair warning that the out- come of that rule-making proceeding could be the rule in question, the agency shall consider the fol- lowing factors:
a.	The extent to which persons who will be affected by the rule should have understood that the
rule-making proceeding on which it is based could affect their interests;
b.    The extent to which the subject matter of the rule or the issues determined by the rule are differ- ent from the subject matter or issues contained in the Notice of Intended Action; and
c.     The extent to which the effects of the rule differ from the effects of the proposed rule contained in the Notice of Intended Action.
X.9(3)  The agency shall commence a rule-making proceeding within 60 days of its receipt of a petition for rule making seeking the amendment or repeal of a rule that differs from the proposed rule contained in the Notice of Intended Action upon which the rule is based, unless the agency finds that the differences between the adopted rule and the proposed rule are so insubstantial as to make such a rule-making proceeding wholly unnecessary. A copy of any such finding and the petition to which it responds shall be sent to petitioner, the administrative rules coordinator, and the administrative rules review committee, within three days of its issuance.
X.9(4)  Concurrent rule-making proceedings.  Nothing in this rule disturbs the discretion of the agency to initiate, concurrently, several different rule-making proceedings on the same subject with
several different published Notices of Intended Action.

Agency No.—X.10(17A)  Exemptions from public rule-making procedures.
X.10(1)  Omission of notice and comment. To the extent the agency for good cause finds that public notice and participation are unnecessary, impracticable, or contrary to the public interest in the process of adopting a particular rule, the agency may adopt that rule without publishing advance Notice of In- tended Action in the Iowa Administrative Bulletin and without providing for written or oral public sub- missions prior to its adoption. The agency shall incorporate the required finding and a brief statement of its supporting reasons in each rule adopted in reliance upon this subrule.
X.10(2)  Categories exempt.  The following narrowly tailored categories of rules are exempted from the usual public notice and participation requirements because those requirements are unneces- sary, impracticable, or contrary to the public interest with respect to each and every member of the de- fined class:
(List here narrowly drawn classes of rules where such an exemption is justified and a brief statement
of the reasons for exempting each of them.)

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X.10(3)  Public proceedings on rules adopted without them.  The agency may, at any time, com- mence a standard rule-making proceeding for the adoption of a rule that is identical or similar to a rule it adopts in reliance upon subrule X.10(1).  Upon written petition by a governmental subdivision, the administrative rules review committee, an agency, the administrative rules coordinator, an association having not less than 25 members, or at least 25 persons, the agency shall commence a standard rule- making proceeding for any rule specified in the petition that was adopted in reliance upon subrule X.10(1).  Such a petition must be filed within one year of the publication of the specified rule in the Iowa Administrative Bulletin as an adopted rule.  The rule-making proceeding on that rule must be commenced within 60 days of the receipt of such a petition. After a standard rule-making proceeding commenced pursuant to this subrule, the agency may either readopt the rule it adopted without benefit of all usual procedures on the basis of subrule X.10(1), or may take any other lawful action, including the amendment or repeal of the rule in question, with whatever further proceedings are appropriate.

Agency No.—X.11(17A)  Concise statement of reasons.
X.11(1)  General. When requested by a person, either prior to the adoption of a rule or within 30 days after its publication in the Iowa Administrative Bulletin as an adopted rule, the agency shall issue a concise statement of reasons for the rule.  Requests for such a statement must be in writing and be delivered to (specify the office and address).  The request should indicate whether the statement is sought for all or only a specified part of the rule.  Requests will be considered made on the date re- ceived.
X.11(2)  Contents.  The concise statement of reasons shall contain:
a.	The reasons for adopting the rule;
b.    An indication of any change between the text of the proposed rule contained in the published Notice of Intended Action and the text of the rule as finally adopted, with the reasons for any such change;
c.     The principal reasons urged in the rule-making proceeding for and against the rule, and the agency’s reasons for overruling the arguments made against the rule.
X.11(3)  Time of issuance. After a proper request, the agency shall issue a concise statement of rea- sons by the later of the time the rule is adopted or 35 days after receipt of the request.

Agency No.—X.12(17A)  Contents, style, and form of rule.
X.12(1)  Contents. Each rule adopted by the agency shall contain the text of the rule and, in addi- tion:
a.	The date the agency adopted the rule;
b.    A brief explanation of the principal reasons for the rule-making action if such reasons are re- quired by 1998 Iowa Acts, chapter 1202, section 8, or the agency in its discretion decides to include such reasons;
c.	A reference to all rules repealed, amended, or suspended by the rule;
d.	A reference to the specific statutory or other authority authorizing adoption of the rule;
e.     Any findings required by any provision of law as a prerequisite to adoption or effectiveness of the rule;
f.     A brief explanation of the principal reasons for the failure to provide for waivers to the rule if no waiver provision is included and a brief explanation of any waiver or special exceptions provided in
the rule if such reasons are required by 1998 Iowa Acts, chapter 1202, section 8, or the agency in its
discretion decides to include such reasons; and
g.	The effective date of the rule.

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X.12(2)  Incorporation by reference.  The agency may incorporate by reference in a proposed or adopted rule, and without causing publication of the incorporated matter in full, all or any part of a code, standard, rule, or other matter if the agency finds that the incorporation of its text in the agency proposed or adopted rule would be unduly cumbersome, expensive, or otherwise inexpedient.  The reference in the agency proposed or adopted rule shall fully and precisely identify the incorporated matter by location, title, citation, date, and edition, if any; shall briefly indicate the precise subject and the general contents of the incorporated matter; and shall state that the proposed or adopted rule does not include any later amendments or editions of the incorporated matter. The agency may incorporate such matter by reference in a proposed or adopted rule only if the agency makes copies of it readily available to the public. The rule shall state how and where copies of the incorporated matter may be obtained at cost from this agency, and how and where copies may be obtained from the agency of the United States, this state, another state, or the organization, association, or persons, originally issuing that matter. The agency shall retain permanently a copy of any materials incorporated by reference in a rule of the agency.
If the agency adopts standards by reference to another publication, it shall provide a copy of the
publication containing the standards to the administrative rules coordinator for deposit in the state law library and may make the standards available electronically.
X.12(3)  References to materials not published in full. When the administrative code editor decides to omit the full text of a proposed or adopted rule because publication of the full text would be unduly cumbersome, expensive, or otherwise inexpedient, the agency shall prepare and submit to the adminis- trative code editor for inclusion in the Iowa Administrative Bulletin and Iowa Administrative Code a summary statement describing the specific subject matter of the omitted material. This summary state- ment shall include the title and a brief description sufficient to inform the public of the specific nature and subject matter of the proposed or adopted rules, and of significant issues involved in these rules. The summary statement shall also describe how a copy of the full text of the proposed or adopted rule, including any unpublished matter and any matter incorporated by reference, may be obtained from the agency. The agency will provide a copy of that full text (at actual cost) upon request and shall make copies of the full text available for review at the state law library and may make the standards available electronically.
At the request of the administrative code editor, the agency shall provide a proposed statement ex-
plaining why publication of the full text would be unduly cumbersome, expensive, or otherwise inex- pedient.
X.12(4)  Style and form. In preparing its rules, the agency shall follow the uniform numbering sys- tem, form, and style prescribed by the administrative rules coordinator.

Agency No.—X.13(17A)  Agency rule-making record.
X.13(1)  Requirement.  The agency shall maintain an official rule-making record for each rule it proposes by publication in the Iowa Administrative Bulletin of a Notice of Intended Action, or adopts. The rule-making record and materials incorporated by reference must be available for public inspec- tion.
X.13(2)  Contents.  The agency rule-making record shall contain:
a.	Copies of all publications in the Iowa Administrative Bulletin with respect to the rule or the
proceeding upon which the rule is based and any file-stamped copies of agency submissions to the ad- ministrative rules coordinator concerning that rule or the proceeding upon which it is based;
b.    Copies of any portions of the agency’s public rule-making docket containing entries relating to the rule or the proceeding upon which the rule is based;

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c.     All written petitions, requests, and submissions received by the agency, and all other written materials of a factual nature as distinguished from opinion that are relevant to the merits of the rule and that were created or compiled by the agency and considered by the (agency head), in connection with the formulation, proposal, or adoption of the rule or the proceeding upon which the rule is based, except to the extent the agency is authorized by law to keep them confidential; provided, however, that when any such materials are deleted because they are authorized by law to be kept confidential, the agency shall identify in the record the particular materials deleted and state the reasons for that deletion;
d.    Any official transcript of oral presentations made in the proceeding upon which the rule is based or, if not transcribed, the stenographic record or electronic recording of those presentations, and any memorandum prepared by a presiding officer summarizing the contents of those presentations;
e.	A copy of any regulatory analysis or fiscal impact statement prepared for the proceeding upon
which the rule is based;
f.	A copy of the rule and any concise statement of reasons prepared for that rule;
g.	All petitions for amendment or repeal or suspension of the rule;
h.    A copy of any objection to the issuance of that rule without public notice and participation that was filed pursuant to Iowa Code section 17A.4(2) by the administrative rules review committee, the governor, or the attorney general;
i.     A copy of any objection to the rule filed by the administrative rules review committee, the gov- ernor, or the attorney general pursuant to Iowa Code section 17A.4(4), and any agency response to that
objection;
*j.   A copy of any significant written criticism of the rule, including a summary of any petitions for waiver of the rule; and
k.	A copy of any executive order concerning the rule.
X.13(3)  Effect of record.  Except as otherwise required by a provision of law, the agency rule- making record required by this rule need not constitute the exclusive basis for agency action on that rule.
*X.13(4)  Maintenance of record. The agency shall maintain the rule-making record for a period of not less than five years from the later of the date the rule to which it pertains became effective, the date
of the Notice of Intended Action, or the date of any written criticism as described in X.13(2), “g,” “h,” “i,” or “j.”
(Alternatively, the agency can maintain the file indefinitely.)
(*NOTE:  Alternatively to X.13(2)“j” and the amendment to X.13(4), an agency could keep a sepa- rate file of significant written criticisms to rules and maintain those for five years.)

Agency No.—X.14(17A) Filing of rules. The agency shall file each rule it adopts in the office of the administrative rules coordinator.  The filing must be executed as soon after adoption of the rule as is practicable. At the time of filing, each rule must have attached to it any fiscal impact statement and any concise statement of reasons that was issued with respect to that rule.  If a fiscal impact statement or statement of reasons for that rule was not issued until a time subsequent to the filing of that rule, the note or statement must be attached to the filed rule within five working days after the note or statement is issued. In filing a rule, the agency shall use the standard form prescribed by the administrative rules coordinator.

Agency No.—X.15(17A)  Effectiveness of rules prior to publication.
X.15(1)  Grounds. The agency may make a rule effective after its filing at any stated time prior to 35 days after its indexing and publication in the Iowa Administrative Bulletin if it finds that a statute so provides, the rule confers a benefit or removes a restriction on some segment of the public, or that the effective date of the rule is necessary to avoid imminent peril to the public health, safety, or welfare. The agency shall incorporate the required finding and a brief statement of its supporting reasons in each rule adopted in reliance upon this subrule.

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X.15(2)  Special notice. When the agency makes a rule effective prior to its indexing and publica- tion in reliance upon the provisions of Iowa Code section 17A.5(2)“b”(3), the agency shall employ all reasonable efforts to make its contents known to the persons who may be affected by that rule prior to the rule’s indexing and publication.  The term “all reasonable efforts” requires the agency to employ the most effective and prompt means of notice rationally calculated to inform potentially affected par- ties of the effectiveness of the rule that is justified and practical under the circumstances considering the various alternatives available for this purpose, the comparative costs to the agency of utilizing each of those alternatives, and the harm suffered by affected persons from any lack of notice concerning the contents of the rule prior to its indexing and publication.  The means that may be used for providing notice of such rules prior to their indexing and publication include, but are not limited to, any one or more of the following means: radio, newspaper, television, signs, mail, telephone, personal notice or electronic means.
A rule made effective prior to its indexing and publication in reliance upon the provisions of Iowa
Code section 17A.5(2)“b”(3) shall include in that rule a statement describing the reasonable efforts that will be used to comply with the requirements of subrule X.15(2).

Agency No.—X.16(17A)  General statements of policy.
X.16(1)  Compilation, indexing, public inspection.  The agency shall maintain an official, current, and dated compilation that is indexed by subject, containing all of its general statements of policy with- in the scope of Iowa Code section 17A.2(10)“a,” “c,” “f,” “g,” “h,” “k.” Each addition to, change in, or deletion from the official compilation must also be dated, indexed, and a record thereof kept. Except for those portions containing rules governed by Iowa Code section 17A.2(10)“f,” or otherwise autho- rized by law to be kept confidential, the compilation must be made available for public inspection and copying.
X.16(2)  Enforcement of requirements. A general statement of policy subject to the requirements of this subsection shall not be relied on by the agency to the detriment of any person who does not have actual, timely knowledge of the contents of the statement until the requirements of subrule X.16(1) are
satisfied.  This provision is inapplicable to the extent necessary to avoid imminent peril to the public health, safety, or welfare.

Agency No.—X.17(17A)  Review by agency of rules.
X.17(1)  Any interested person, association, agency, or political subdivision may submit a written request to the administrative rules coordinator requesting the agency to conduct a formal review of a specified rule. Upon approval of that request by the administrative rules coordinator, the agency shall conduct a formal review of a specified rule to determine whether a new rule should be adopted instead or the rule should be amended or repealed. The agency may refuse to conduct a review if it has con- ducted such a review of the specified rule within five years prior to the filing of the written request.
X.17(2)  In conducting the formal review, the agency shall prepare within a reasonable time a writ- ten report summarizing its findings, its supporting reasons, and any proposed course of action.  The report must include a concise statement of the agency’s findings regarding the rule’s effectiveness in achieving its objectives, including a summary of any available supporting data. The report shall also
concisely describe significant written criticisms of the rule received during the previous five years, including a summary of any petitions for waiver of the rule received by the agency or granted by the agency. The report shall describe alternative solutions to resolve the criticisms of the rule, the reasons any were rejected, and any changes made in the rule in response to the criticisms as well as the reasons
for the changes. A copy of the agency’s report shall be sent to the administrative rules review commit- tee and the administrative rules coordinator. The report must also be available for public inspection.

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CHAPTER X
FAIR INFORMATION PRACTICES

Agency No.—X.1(17A,22)  Definitions.  As used in this chapter:
“Agency” in these rules means the (official or body issuing these rules).
“Confidential record” in these rules means a record which is not available as a matter of right for examination and copying by members of the public under applicable provisions of law. Confidential records include records or information contained in records that the agency is prohibited by law from making available for examination by members of the public, and records or information contained in records that are specified as confidential by Iowa Code section 22.7, or other provision of law, but that may be disclosed upon order of a court, the lawful custodian of the record, or by another person duly authorized to release the record. Mere inclusion in a record of information declared confidential by an applicable provision of law does not necessarily make that entire record a confidential record.
“Custodian” in these rules means the agency, or a person lawfully delegated authority by the agency to act for the agency in implementing Iowa Code chapter 22.
“Open record” in these rules means a record other than a confidential record.
“Personally identifiable information” in these rules means information about or pertaining to an individual in a record which identifies the individual and which is contained in a record system.
“Record” in these rules means the whole or a part of a “public record” as defined in Iowa Code section 22.1, that is owned by or in the physical possession of this agency.
“Record system” in these rules means any group of records under the control of the agency from which a record may be retrieved by a personal identifier such as the name of an individual, number, symbol, or other unique retriever assigned to an individual.

Agency No.—X.2(17A,22)  Statement of policy.  The purpose of this chapter is to facilitate broad public access to open records. It also seeks to facilitate sound agency determinations with respect to the handling of confidential records and the implementation of the fair information practices Act. This
agency is committed to the policies set forth in Iowa Code chapter 22; agency staff shall cooperate with
members of the public in implementing the provisions of that chapter.

Agency No.—X.3(17A,22)  Requests for access to records.
X.3(1)  Location of record. A request for access to a record should be directed to the (insert agency head) or the particular agency office where the record is kept. If the location of the record is not known by the requester, the request shall be directed to (insert agency name and address). If a request for ac- cess to a record is misdirected, agency personnel will promptly forward the request to the appropriate person within the agency.
X.3(2)  Office hours.  Open records shall be made available during all customary office hours, which are (insert customary office hours and, if agency does not have customary office hours of at least thirty hours per week, insert hours specified in Iowa Code section 22.4).
X.3(3)  Request for access. Requests for access to open records may be made in writing, in person, or by telephone. Requests shall identify the particular records sought by name or description in order to facilitate the location of the record.  Mail or telephone requests shall include the name, address, and telephone number of the person requesting the information.  A person shall not be required to give a
reason for requesting an open record.

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X.3(4)  Response to requests.  Access to an open record shall be provided promptly upon request unless the size or nature of the request makes prompt access infeasible. If the size or nature of the re- quest for access to an open record requires time for compliance, the custodian shall comply with the request as soon as feasible. Access to an open record may be delayed for one of the purposes authorized by Iowa Code section 22.8(4) or 22.10(4). The custodian shall promptly give notice to the requester of the reason for any delay in access to an open record and an estimate of the length of that delay and, upon request, shall promptly provide that notice to the requester in writing.
The custodian of a record may deny access to the record by members of the public only on the
grounds that such a denial is warranted under Iowa Code sections 22.8(4) and 22.10(4), or that it is a confidential record, or that its disclosure is prohibited by a court order. Access by members of the pub- lic to a confidential record is limited by law and, therefore, may generally be provided only in accor- dance with the provisions of rule X.4(17A,22) and other applicable provisions of law.
X.3(5)  Security of record.  No person may, without permission from the custodian, search or re- move any record from agency files. Examination and copying of agency records shall be supervised by the custodian or a designee of the custodian. Records shall be protected from damage and disorganiza- tion.
X.3(6)  Copying.  A reasonable number of copies of an open record may be made in the agency’s office. If photocopy equipment is not available in the agency office where an open record is kept, the custodian shall permit its examination in that office and shall arrange to have copies promptly made
elsewhere.
X.3(7)  Fees.
a.	When charged. The agency may charge fees in connection with the examination or copying of
records only if the fees are authorized by law. To the extent permitted by applicable provisions of law, the payment of fees may be waived when the imposition of fees is inequitable or when a waiver is in the public interest.
b.    Copying and postage costs.  Price schedules for published materials and for photocopies of records supplied by the agency shall be prominently posted in agency offices. Copies of records may
be made by or for members of the public on agency photocopy machines or from electronic storage
systems at cost as determined and posted in agency offices by the custodian. When the mailing of cop- ies of records is requested, the actual costs of such mailing may also be charged to the requester.
c.     Supervisory fee. An hourly fee may be charged for actual agency expenses in supervising the examination and copying of requested records when the supervision time required is in excess of (spec-
ify time period). The custodian shall prominently post in agency offices the hourly fees to be charged
for supervision of records during examination and copying. That hourly fee shall not be in excess of the hourly wage of an agency clerical employee who ordinarily would be appropriate and suitable to perform this supervisory function.  (An agency wishing to deal with search fees authorized by law should do so here.)
d.	Advance deposits.
(1)   When the estimated total fee chargeable under this subrule exceeds $25, the custodian may require a requester to make an advance payment to cover all or a part of the estimated fee.
(2)   When a requester has previously failed to pay a fee chargeable under this subrule, the custo- dian may require advance payment of the full amount of any estimated fee before the custodian pro- cesses a new request from that requester.

Agency No.—X.4(17A,22) Access to confidential records. Under Iowa Code section 22.7 or other applicable provisions of law, the lawful custodian may disclose certain confidential records to one or more members of the public. Other provisions of law authorize or require the custodian to release spe- cified confidential records under certain circumstances or to particular persons. In requesting the cus- todian to permit the examination and copying of such a confidential record, the following procedures apply and are in addition to those specified for requests for access to records in rule X.3(17A,22).

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X.4(1)  Proof of identity.  A person requesting access to a confidential record may be required to provide proof of identity or authority to secure access to the record.
X.4(2)  Requests. The custodian may require a request to examine and copy a confidential record to
be in writing. A person requesting access to such a record may be required to sign a certified statement or affidavit enumerating the specific reasons justifying access to the confidential record and to provide
any proof necessary to establish relevant facts.
X.4(3)  Notice to subject of record and opportunity to obtain injunction.  After the custodian re- ceives a request for access to a confidential record, and before the custodian releases such a record, the custodian may make reasonable efforts to notify promptly any person who is a subject of that record, is
identified in that record, and whose address or telephone number is contained in that record.  To the extent such a delay is practicable and in the public interest, the custodian may give the subject of such a confidential record to whom notification is transmitted a reasonable opportunity to seek an injunction under Iowa Code section 22.8, and indicate to the subject of the record the specific period of time dur-
ing which disclosure will be delayed for that purpose.
X.4(4)  Request denied. When the custodian denies a request for access to a confidential record, the custodian shall promptly notify the requester. If the requester indicates to the custodian that a written notification of the denial is desired, the custodian shall promptly provide such a notification that is signed by the custodian and that includes:
a.	The name and title or position of the custodian responsible for the denial; and
b.    A citation to the provision of law vesting authority in the custodian to deny disclosure of the record and a brief statement of the reasons for the denial to this requester.
X.4(5)  Request granted. When the custodian grants a request for access to a confidential record to a particular person, the custodian shall notify that person and indicate any lawful restrictions imposed by the custodian on that person’s examination and copying of the record.

Agency No.—X.5(17A,22)  Requests for treatment of a record as a confidential record and its withholding from examination. The custodian may treat a record as a confidential record and with- hold it from examination only to the extent that the custodian is authorized by Iowa Code section 22.7, another applicable provision of law, or a court order, to refuse to disclose that record to members of the public.
X.5(1)  Persons who may request.  Any person who would be aggrieved or adversely affected by disclosure of a record and who asserts that Iowa Code section 22.7, another applicable provision of law, or a court order, authorizes the custodian to treat the record as a confidential record, may request the custodian to treat that record as a confidential record and to withhold it from public inspection.
X.5(2)  Request. A request that a record by treated as a confidential record and be withheld from
public inspection shall be in writing and shall be filed with the custodian. The request must set forth the legal and factual basis justifying such confidential record treatment for that record, and the name, ad- dress, and telephone number of the person authorized to respond to any inquiry or action of the custo- dian concerning the request.  A person requesting treatment of a record as a confidential record may
also be required to sign a certified statement or affidavit enumerating the specific reasons justifying the treatment of that record as a confidential record and to provide any proof necessary to establish rele- vant facts.  Requests for treatment of a record as such a confidential record for a limited time period shall also specify the precise period of time for which that treatment is requested.
A person filing such a request shall, if possible, accompany the request with a copy of the record in
question from which those portions for which such confidential record treatment has been requested have been deleted. If the original record is being submitted to the agency by the person requesting such confidential treatment at the time the request is filed, the person shall indicate conspicuously on the original record that all or portions of it are confidential.

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X.5(3)  Failure to request. Failure of a person to request confidential record treatment for a record does not preclude the custodian from treating it as a confidential record. However, if a person who has submitted business information to the agency does not request that it be withheld from public inspec- tion under Iowa Code sections 22.7(3) and 22.7(6), the custodian of records containing that informa- tion may proceed as if that person has no objection to its disclosure to members of the public.
X.5(4)  Timing of decision. A decision by the custodian with respect to the disclosure of a record to members of the public may be made when a request for its treatment as a confidential record that is not available for public inspection is filed, or when the custodian receives a request for access to the record by a member of the public.
X.5(5)  Request granted or deferred. If a request for such confidential record treatment is granted, or if action on such a request is deferred, a copy of the record from which the matter in question has been deleted and a copy of the decision to grant the request or to defer action upon the request will be made available for public inspection in lieu of the original record.  If the custodian subsequently re-
ceives a request for access to the original record, the custodian will make reasonable and timely efforts to notify any person who has filed a request for its treatment as a confidential record that is not available for public inspection of the pendency of that subsequent request.
X.5(6)  Request denied and opportunity to seek injunction.  If a request that a record be treated as a confidential record and be withheld from public inspection is denied, the custodian shall notify the re-
quester in writing of that determination and the reasons therefor. On application by the requester, the custodian may engage in a good faith, reasonable delay in allowing examination of the record so that the requester may seek injunctive relief under the provisions of Iowa Code section 22.8, or other appli- cable provision of law. However, such a record shall not be withheld from public inspection for any
period of time if the custodian determines that the requester had no reasonable grounds to justify the treatment of that record as a confidential record. The custodian shall notify requester in writing of the time period allowed to seek injunctive relief or the reasons for the determination that no reasonable grounds exist to justify the treatment of that record as a confidential record. The custodian may extend
the period of good faith, reasonable delay in allowing examination of the record so that the requester may seek injunctive relief only if no request for examination of that record has been received, or if a court directs the custodian to treat it as a confidential record, or to the extent permitted by another appli- cable provision of law, or with the consent of the person requesting access.

Agency No.—X.6(17A,22) Procedure by which additions, dissents, or objections may be entered into certain records. Except as otherwise provided by law, a person may file a request with the custo- dian to review, and to have a written statement of additions, dissents, or objections entered into, a re- cord containing personally identifiable information pertaining to that person. However, this does not authorize a person who is a subject of such a record to alter the original copy of that record or to expand the official record of any agency proceeding. Requester shall send the request to review such a record or the written statement of additions, dissents, or objections to the custodian or to (designate office). The request to review such a record or the written statement of such a record of additions, dissents, or objections must be dated and signed by requester, and shall include the current address and telephone number of the requester or the requester’s representative.

Agency No.—X.7(17A,22) Consent to disclosure by the subject of a confidential record. To the extent permitted by any applicable provision of law, a person who is the subject of a confidential record may have a copy of the portion of that record concerning the subject disclosed to a third party. A re- quest for such a disclosure must be in writing and must identify the particular record or records that may be disclosed, and the particular person or class of persons to whom the record may be disclosed (and, where applicable, the time period during which the record may be disclosed). The person who is the subject of the record and, where applicable, the person to whom the record is to be disclosed, may be required to provide proof of identity. (Additional requirements may be necessary for special classes of records.)  Appearance of counsel before the agency on behalf of a person who is the subject of a confidential record is deemed to constitute consent for the agency to disclose records about that person to the person’s attorney.

Agency No.—X.8(17A,22) Notice to suppliers of information. When the agency requests a person to supply information about that person, the agency shall notify the person of the use that will be made of the information, which persons outside the agency might routinely be provided this information, which parts of the requested information are required and which are optional, and the consequences of a failure to provide the information requested. This notice may be given in these rules, on the written form used to collect the information, on a separate fact sheet or letter, in brochures, in formal agree- ments, in contracts, in handbooks, in manuals, verbally, or by other appropriate means. (Each agency should revise its forms to provide this information.)

CHAPTER X CONTESTED CASES

The Governor’s Task Force has developed this set of contested case rules to serve as a model for state agencies.  Although the wide variety of statutory hearings may preclude the adoption of all of these rules by every agency to cover every hearing, the goal of the Task Force is to develop rules which can serve as a model for most agency hearings.
Each agency would designate the appropriate entity or time period in lieu of the language marked by parentheses.  For example, wherever the word “agency” or phrase “board, commission, director” ap-
pears in the draft rules, the agency would need to carefully consider whether the rule should designate a
particular entity within the agency. In the rules governing interagency appeals, the agency should gen- erally substitute the entity designated by statute as having final decision-making authority in a con- tested case for the parenthetical phrase “board, commission, director.”

Agency No.—X.1(17A) Scope and applicability. This chapter applies to contested case proceedings conducted by the (agency name).

Agency No.—X.2(17A)  Definitions.  Except where otherwise specifically defined by law:
“Contested case” means a proceeding defined by Iowa Code section 17A.2(5) and includes any
matter defined as a no factual dispute contested case under 1998 Iowa Acts, chapter 1202, section 14.
“Issuance” means the date of mailing of a decision or order or date of delivery if service is by other means unless another date is specified in the order.
“Party” means each person or agency named or admitted as a party or properly seeking and entitled as of right to be admitted as a party.
“Presiding officer” means the (designate official).
“Proposed decision” means the presiding officer’s recommended findings of fact, conclusions of law, decision, and order in a contested case in which the (agency name) did not preside.

Agency No.—X.3(17A)  Time requirements.
X.3(1)  Time shall be computed as provided in Iowa Code subsection 4.1(34).
X.3(2)  For good cause, the presiding officer may extend or shorten the time to take any action, ex- cept as precluded by statute or by (specify rule number). Except for good cause stated in the record, before extending or shortening the time to take any action, the presiding officer shall afford all parties an opportunity to be heard or to file written arguments.

Agency No.—X.4(17A) Requests for contested case proceeding.  Any person claiming an entitle- ment to a contested case proceeding shall file a written request for such a proceeding within the time specified by the particular rules or statutes governing the subject matter or, in the absence of such law, the time specified in the agency action in question.
The request for a contested case proceeding should state the name and address of the requester, iden-
tify the specific agency action which is disputed, and where the requester is represented by a lawyer identify the provisions of law or precedent requiring or authorizing the holding of a contested case pro- ceeding in the particular circumstances involved, and include a short and plain statement of the issues of material fact in dispute.

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Agency No.—X.5(17A)  Notice of hearing.
X.5(1)  Delivery. Delivery of the notice of hearing constitutes the commencement of the contested case proceeding.  Delivery may be executed by:
a.	Personal service as provided in the Iowa Rules of Civil Procedure; or
b.	Certified mail, return receipt requested; or
c.	First-class mail; or
d.	Publication, as provided in the Iowa Rules of Civil Procedure; or
e.	(other options).
X.5(2)  Contents.  The notice of hearing shall contain the following information:
a.	A statement of the time, place, and nature of the hearing;
b.	A statement of the legal authority and jurisdiction under which the hearing is to be held;
c.	A reference to the particular sections of the statutes and rules involved;
d.    A short and plain statement of the matters asserted.  If the agency or other party is unable to state the matters in detail at the time the notice is served, the initial notice may be limited to a statement of the issues involved.  Thereafter, upon application, a more definite and detailed statement shall be furnished;
e.     Identification of all parties including the name, address and telephone number of the person who will act as advocate for the agency or the state and of parties’ counsel where known;
f.	Reference to the procedural rules governing conduct of the contested case proceeding;
g.	Reference to the procedural rules governing informal settlement;
h.    Identification of the presiding officer, if known. If not known, a description of who will serve as presiding officer (e.g., agency head, members of multimembered agency head, administrative law judge from the department of inspections and appeals); and
i.     Notification of the time period in which a party may request, pursuant to 1998 Iowa Acts, chap- ter 1202, section 15(1), and rule X.6(17A), that the presiding officer be an administrative law judge.

Agency No.—X.6(17A)  Presiding officer.
X.6(1)  Any party who wishes to request that the presiding officer assigned to render a proposed decision be an administrative law judge employed by the department of inspections and appeals must file a written request within 20 days (or such other time period the agency designates) after service of a notice of hearing which identifies or describes the presiding officer as the agency head or members of the agency.
X.6(2)  The agency (or its designee) may deny the request only upon a finding that one or more of the following apply:
a.	Neither the agency nor any officer of the agency under whose authority the contested case is to
take place is a named party to the proceeding or a real party in interest to that proceeding.
b.    There is a compelling need to expedite issuance of a final decision in order to protect the public health, safety, or welfare.
c.     An administrative law judge with the qualifications identified in subrule X.6(4) is unavailable to hear the case within a reasonable time.
d.    The case involves significant policy issues of first impression that are inextricably intertwined with the factual issues presented.
e.     The demeanor of the witnesses is likely to be dispositive in resolving the disputed factual is- sues.
f.	Funds are unavailable to pay the costs of an administrative law judge and an interagency ap-
peal.
g.	The request was not timely filed.
h.	The request is not consistent with a specified statute.
i.	(The agency may specify other good cause by rule.)

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X.6(3)  The agency (or its designee) shall issue a written ruling specifying the grounds for its deci- sion within 20 days (or such other time period the agency designates) after a request for an administra- tive law judge is filed. If the ruling is contingent upon the availability of an administrative law judge with the qualifications identified in subrule X.6(4), the parties shall be notified at least 10 days prior to hearing if a qualified administrative law judge will not be available.
X.6(4)  An administrative law judge assigned to act as presiding officer in (agency specifies class of contested case) shall have the following technical expertness unless waived by the agency.
(Agency to list qualifications, such as specialized training, certifications, degrees or licenses
reasonably required to provide the requisite technical expertness.  A different paragraph should be included for each class of contested case in which technical expertness is re- quired.)
X.6(5)  Except as provided otherwise by another provision of law, all rulings by an administrative law judge acting as presiding officer are subject to appeal to the agency. A party must seek any avail- able intra-agency appeal in order to exhaust adequate administrative remedies.
X.6(6)  Unless otherwise provided by law, agency heads and members of multimembered agency heads, when reviewing a proposed decision upon intra-agency appeal, shall have the powers of and
shall comply with the provisions of this chapter which apply to presiding officers.

Agency No.—X.7(17A) Waiver of procedures. Unless otherwise precluded by law, the parties in a contested case proceeding may waive any provision of this chapter. However, the agency in its discre- tion may refuse to give effect to such a waiver when it deems the waiver to be inconsistent with the public interest.

Agency No.—X.8(17A) Telephone proceedings. The presiding officer may resolve preliminary pro- cedural motions by telephone conference in which all parties have an opportunity to participate. Other telephone proceedings may be held with the consent of all parties. The presiding officer will determine the location of the parties and witnesses for telephone hearings. The convenience of the witnesses or parties, as well as the nature of the case, will be considered when location is chosen.

Agency No.—X.9(17A)  Disqualification.
X.9(1)  A presiding officer or other person shall withdraw from participation in the making of any proposed or final decision in a contested case if that person:
a.	Has a personal bias or prejudice concerning a party or a representative of a party;
b.    Has personally investigated, prosecuted or advocated in connection with that case, the specific controversy underlying that case, another pending factually related contested case, or a pending fac- tually related controversy that may culminate in a contested case involving the same parties;
c.     Is subject to the authority, direction or discretion of any person who has personally investi- gated, prosecuted or advocated in connection with that contested case, the specific controversy under- lying that contested case, or a pending factually related contested case or controversy involving the same parties;
d.    Has acted as counsel to any person who is a private party to that proceeding within the past two years;
e.     Has a personal financial interest in the outcome of the case or any other significant personal interest that could be substantially affected by the outcome of the case;
f.     Has a spouse or relative within the third degree of relationship that: (1) is a party to the case, or an officer, director or trustee of a party; (2) is a lawyer in the case; (3) is known to have an interest that
could be substantially affected by the outcome of the case; or (4) is likely to be a material witness in the
case; or
g.    Has any other legally sufficient cause to withdraw from participation in the decision making in that case.

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X.9(2)  The term “personally investigated” means taking affirmative steps to interview witnesses directly or to obtain documents or other information directly. The term “personally investigated” does not include general direction and supervision of assigned investigators, unsolicited receipt of informa- tion which is relayed to assigned investigators, review of another person’s investigative work product in the course of determining whether there is probable cause to initiate a proceeding, or exposure to factual information while performing other agency functions, including fact gathering for purposes other than investigation of the matter which culminates in a contested case. Factual information rele- vant to the merits of a contested case received by a person who later serves as presiding officer in that case shall be disclosed if required by Iowa Code section 17A.17(3) and subrules X.9(3) and X.23(9).
X.9(3)  In a situation where a presiding officer or other person knows of information which might reasonably be deemed to be a basis for disqualification and decides voluntary withdrawal is unneces- sary, that person shall submit the relevant information for the record by affidavit and shall provide for the record a statement of the reasons for the determination that withdrawal is unnecessary.
X.9(4)  If a party asserts disqualification on any appropriate ground, including those listed in sub- rule X.9(1), the party shall file a motion supported by an affidavit pursuant to 1998 Iowa Acts, chapter
1202, section 19(7).  The motion must be filed as soon as practicable after the reason alleged in the motion becomes known to the party.
If, during the course of the hearing, a party first becomes aware of evidence of bias or other grounds
for disqualification, the party may move for disqualification but must establish the grounds by the introduction of evidence into the record.
If the presiding officer determines that disqualification is appropriate, the presiding officer or other person shall withdraw. If the presiding officer determines that withdrawal is not required, the presiding
officer shall enter an order to that effect. A party asserting disqualification may seek an interlocutory
appeal under rule X.25(17A) and seek a stay under rule X.29(17A).

Agency No.—X.10(17A)  Consolidation—severance.
X.10(1)  Consolidation. The presiding officer may consolidate any or all matters at issue in two or more contested case proceedings where: (a) the matters at issue involve common parties or common questions of fact or law; (b) consolidation would expedite and simplify consideration of the issues in- volved; and (c) consolidation would not adversely affect the rights of any of the parties to those pro- ceedings.
X.10(2)  Severance.  The presiding officer may, for good cause shown, order any contested case proceedings or portions thereof severed.

Agency No.—X.11(17A)  Pleadings.
X.11(1)  Pleadings may be required by rule, by the notice of hearing, or by order of the presiding officer.
X.11(2)  Petition.
a.	Any petition required in a contested case proceeding shall be filed within 20 days of delivery of
the notice of hearing or subsequent order of the presiding officer, unless otherwise ordered.
b.	A petition shall state in separately numbered paragraphs the following: (1)   The persons or entities on whose behalf the petition is filed;
(2)   The particular provisions of statutes and rules involved;
(3)   The relief demanded and the facts and law relied upon for such relief; and
(4)   The name, address and telephone number of the petitioner and the petitioner’s attorney, if any.

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X.11(3)  Answer. An answer shall be filed within 20 days of service of the petition unless otherwise ordered.  A party may move to dismiss or apply for a more definite and detailed statement when ap- propriate.
An answer shall show on whose behalf it is filed and specifically admit, deny, or otherwise answer
all material allegations of the pleading to which it responds. It shall state any facts deemed to show an affirmative defense and contain as many additional defenses as the pleader may claim.
An answer shall state the name, address and telephone number of the person filing the answer, the person or entity on whose behalf it is filed, and the attorney representing that person, if any.
Any allegation in the petition not denied in the answer is considered admitted. The presiding officer may refuse to consider any defense not raised in the answer which could have been raised on the basis of facts known when the answer was filed if any party would be prejudiced.
X.11(4) Amendment.  Any notice of hearing, petition, or other charging document may be amended before a responsive pleading has been filed.  Amendments to pleadings after a responsive pleading has been filed and to an answer may be allowed with the consent of the other parties or in the discretion of the presiding officer who may impose terms or grant a continuance.

Agency No.—X.12(17A)  Service and filing of pleadings and other papers.
X.12(1)  When service required. Except where otherwise provided by law, every pleading, motion, document, or other paper filed in a contested case proceeding and every paper relating to discovery in such a proceeding shall be served upon each of the parties of record to the proceeding, including the person designated as advocate or prosecutor for the state or the agency, simultaneously with their fil- ing. Except for the original notice of hearing and an application for rehearing as provided in Iowa Code section 17A.16(2), the party filing a document is responsible for service on all parties.
X.12(2)  Service—how made. Service upon a party represented by an attorney shall be made upon the attorney unless otherwise ordered. Service is made by delivery or by mailing a copy to the person’s
last-known address.  Service by mail is complete upon mailing, except where otherwise specifically
provided by statute, rule, or order.
X.12(3)  Filing—when required. After the notice of hearing, all pleadings, motions, documents or other papers in a contested case proceeding shall be filed with (specify office and address). All plead-
ings, motions, documents or other papers that are required to be served upon a party shall be filed si-
multaneously with the (agency name).
X.12(4)  Filing—when made.  Except where otherwise provided by law, a document is deemed filed at the time it is delivered to the (designate office), delivered to an established courier service for
immediate delivery to that office, or mailed by first-class mail or state interoffice mail to that office, so long as there is proof of mailing.
X.12(5)  Proof of mailing. Proof of mailing includes either: a legible United States Postal Service postmark on the envelope, a certificate of service, a notarized affidavit, or a certification in substantial-
ly the following form:
I certify under penalty of perjury and pursuant to the laws of Iowa that, on (date of mailing), I
mailed copies of (describe document) addressed to the (agency office and address) and to the names and addresses of the parties listed below by depositing the same in (a United States post office mailbox with correct postage properly affixed or state interoffice mail).
(Date)                                                             (Signature)

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Agency No.—X.13(17A)  Discovery.
X.13(1)  Discovery procedures applicable in civil actions are applicable in contested cases. Unless lengthened or shortened by these rules or by order of the presiding officer, time periods for compliance with discovery shall be as provided in the Iowa Rules of Civil Procedure.
X.13(2)  Any motion relating to discovery shall allege that the moving party has previously made a good-faith attempt to resolve the discovery issues involved with the opposing party. Motions in regard
to discovery shall be ruled upon by the presiding officer. Opposing parties shall be afforded the oppor- tunity to respond within ten days of the filing of the motion unless the time is shortened as provided in subrule X.13(1). The presiding officer may rule on the basis of the written motion and any response, or may order argument on the motion.
X.13(3)  Evidence obtained in discovery may be used in the contested case proceeding if that evi- dence would otherwise be admissible in that proceeding.

Agency No.—X.14(17A)  Subpoenas.
X.14(1)  Issuance.
a.	An agency subpoena shall be issued to a party on request. Such a request must be in writing. In
the absence of good cause for permitting later action, a request for a subpoena must be received at least three days before the scheduled hearing.  The request shall include the name, address, and telephone number of the requesting party.
b.    Except to the extent otherwise provided by law, parties are responsible for service of their own subpoenas and payment of witness fees and mileage expenses.
X.14(2)  Motion to quash or modify. The presiding officer may quash or modify a subpoena for any lawful reason upon motion in accordance with the Iowa Rules of Civil Procedure. A motion to quash or modify a subpoena shall be set for argument promptly.

Agency No.—X.15(17A)  Motions.
X.15(1)  No technical form for motions is required. However, prehearing motions must be in writ- ing, state the grounds for relief, and state the relief sought.
X.15(2)  Any party may file a written response to a motion within ten days after the motion is
served, unless the time period is extended or shortened by rules of the agency or the presiding officer. The presiding officer may consider a failure to respond within the required time period in ruling on a motion.
X.15(3)  The presiding officer may schedule oral argument on any motion.
X.15(4)  Motions pertaining to the hearing, except motions for summary judgment, must be filed and served at least ten days (or other time period designated by the agency) prior to the date of hearing unless there is good cause for permitting later action or the time for such action is lengthened or short- ened by rule of the agency or an order of the presiding officer.
X.15(5)  Motions for summary judgment.  Motions for summary judgment shall comply with the requirements of Iowa Rule of Civil Procedure 237 and shall be subject to disposition according to the requirements of that rule to the extent such requirements are not inconsistent with the provisions of this rule or any other provision of law governing the procedure in contested cases.
Motions for summary judgment must be filed and served at least (45 days) prior to the scheduled
hearing date, or other time period determined by the presiding officer. Any party resisting the motion shall file and serve a resistance within (15 days), unless otherwise ordered by the presiding officer, from the date a copy of the motion was served. The time fixed for hearing or nonoral submission shall be not less than (20 days) after the filing of the motion, unless a shorter time is ordered by the presiding officer. A summary judgment order rendered on all issues in a contested case is subject to rehearing pursuant to X.28(17A) and appeal pursuant to X.27(17A).

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Agency No.—X.16(17A)  Prehearing conference.
X.16(1)  Any party may request a prehearing conference. A written request for prehearing confer- ence or an order for prehearing conference on the presiding officer’s own motion shall be filed not less than seven days (or other time period designated by the agency) prior to the hearing date. A prehearing conference shall be scheduled not less than three business days (or other time period designated by the agency) prior to the hearing date.
Written notice of the prehearing conference shall be given by the (designate office) to all parties.
For good cause the presiding officer may permit variances from this rule.
X.16(2)  Each party shall bring to the prehearing conference:
a.	A final list of the witnesses who the party anticipates will testify at hearing.  Witnesses not
listed may be excluded from testifying unless there was good cause for the failure to include their names; and
b.    A final list of exhibits which the party anticipates will be introduced at hearing. Exhibits other than rebuttal exhibits that are not listed may be excluded from admission into evidence unless there was good cause for the failure to include them.
c.     Witness or exhibit lists may be amended subsequent to the prehearing conference within the time limits established by the presiding officer at the prehearing conference.  Any such amendments must be served on all parties.
X.16(3)  In addition to the requirements of subrule X.16(2), the parties at a prehearing conference may:
a.	Enter into stipulations of law or fact;
b.	Enter into stipulations on the admissibility of exhibits;
c.	Identify matters which the parties intend to request be officially noticed;
d.	Enter into stipulations for waiver of any provision of law; and
e.	Consider any additional matters which will expedite the hearing.
X.16(4)  Prehearing conferences shall be conducted by telephone unless otherwise ordered. Parties shall exchange and receive witness and exhibit lists in advance of a telephone prehearing conference.

Agency No.—X.17(17A) Continuances. Unless otherwise provided, applications for continuances shall be made to the presiding officer.
X.17(1)  A written application for a continuance shall:
a.	Be made at the earliest possible time and no less than seven days (or other time period desig-
nated by the agency) before the hearing except in case of unanticipated emergencies;
b.	State the specific reasons for the request; and
c.	Be signed by the requesting party or the party’s representative.
An oral application for a continuance may be made if the presiding officer waives the requirement for a written motion. However, a party making such an oral application for a continuance must confirm that request by written application within five days after the oral request unless that requirement is waived by the presiding officer. No application for continuance shall be made or granted without no- tice to all parties except in an emergency where notice is not feasible. The agency may waive notice of such requests for a particular case or an entire class of cases.
X.17(2)  In determining whether to grant a continuance, the presiding officer may consider:
a.	Prior continuances;
b.	The interests of all parties;
c.	The likelihood of informal settlement;
d.	The existence of an emergency;

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e.	Any objection;
f.	Any applicable time requirements;
g.	The existence of a conflict in the schedules of counsel, parties, or witnesses;
h.	The timeliness of the request; and
i.	Other relevant factors.
The presiding officer may require documentation of any grounds for continuance.

Agency No.—X.18(17A) Withdrawals. A party requesting a contested case proceeding may with- draw that request prior to the hearing only in accordance with agency rules.  Unless otherwise pro- vided, a withdrawal shall be with prejudice.

Agency No.—X.19(17A)  Intervention.
X.19(1)  Motion.  A motion for leave to intervene in a contested case proceeding shall state the grounds for the proposed intervention, the position and interest of the proposed intervenor, and the pos- sible impact of intervention on the proceeding. A proposed answer or petition in intervention shall be attached to the motion. Any party may file a response within 14 days of service of the motion to inter- vene unless the time period is extended or shortened by the presiding officer.
X.19(2)  When filed. Motion for leave to intervene shall be filed as early in the proceeding as pos- sible to avoid adverse impact on existing parties or the conduct of the proceeding. Unless otherwise ordered, a motion for leave to intervene shall be filed before the prehearing conference, if any, or at least 20 days before the date scheduled for hearing. Any later motion must contain a statement of good cause for the failure to file in a timely manner.  Unless inequitable or unjust, an intervenor shall be bound by any agreement, arrangement, or other matter previously raised in the case. Requests by un- timely intervenors for continuances which would delay the proceeding will ordinarily be denied.
X.19(3)  Grounds for intervention. The movant shall demonstrate that: (a) intervention would not unduly prolong the proceedings or otherwise prejudice the rights of existing parties; (b) the movant is
likely to be aggrieved or adversely affected by a final order in the proceeding; and (c) the interests of the movant are not adequately represented by existing parties.
X.19(4)  Effect of intervention. If appropriate, the presiding officer may order consolidation of the petitions and briefs of different parties whose interests are aligned with each other and limit the number
of representatives allowed to participate actively in the proceedings. A person granted leave to inter- vene is a party to the proceeding. The order granting intervention may restrict the issues that may be raised by the intervenor or otherwise condition the intervenor’s participation in the proceeding.

Agency No.—X.20(17A)  Hearing procedures.
X.20(1)  The presiding officer presides at the hearing, and may rule on motions, require briefs, issue a proposed decision, and issue such orders and rulings as will ensure the orderly conduct of the pro- ceedings.
X.20(2)  All objections shall be timely made and stated on the record.
X.20(3)  Parties have the right to participate or to be represented in all hearings or prehearing con- ferences related to their case.  Partnerships, corporations, or associations may be represented by any member, officer, director, or duly authorized agent.  Any party may be represented by an attorney or another person authorized by law.
X.20(4)  Subject to terms and conditions prescribed by the presiding officer, parties have the right to introduce evidence on issues of material fact, cross-examine witnesses present at the hearing as nec- essary for a full and true disclosure of the facts, present evidence in rebuttal, and submit briefs and engage in oral argument.

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X.20(5)  The presiding officer shall maintain the decorum of the hearing and may refuse to admit or may expel anyone whose conduct is disorderly.
X.20(6)  Witnesses may be sequestered during the hearing.
X.20(7)  The presiding officer shall conduct the hearing in the following manner:
a.	The presiding officer shall give an opening statement briefly describing the nature of the pro-
ceedings;
b.	The parties shall be given an opportunity to present opening statements;
c.	Parties shall present their cases in the sequence determined by the presiding officer;
d.    Each witness shall be sworn or affirmed by the presiding officer or the court reporter, and be subject to examination and cross-examination. The presiding officer may limit questioning in a man- ner consistent with law;
e.     When all parties and witnesses have been heard, parties may be given the opportunity to pre- sent final arguments.

Agency No.—X.21(17A)  Evidence.
X.21(1)  The presiding officer shall rule on admissibility of evidence and may, where appropriate, take official notice of facts in accordance with all applicable requirements of law.
X.21(2)  Stipulation of facts is encouraged.  The presiding officer may make a decision based on stipulated facts.
X.21(3)  Evidence in the proceeding shall be confined to the issues as to which the parties received notice prior to the hearing unless the parties waive their right to such notice or the presiding officer determines that good cause justifies expansion of the issues. If the presiding officer decides to admit evidence on issues outside the scope of the notice over the objection of a party who did not have actual
notice of those issues, that party, upon timely request, shall receive a continuance sufficient to amend pleadings and to prepare on the additional issue.
X.21(4)  The party seeking admission of an exhibit must provide opposing parties with an opportu- nity to examine the exhibit prior to the ruling on its admissibility. Copies of documents should normal-
ly be provided to opposing parties.
All exhibits admitted into evidence shall be appropriately marked and be made part of the record.
X.21(5)  Any party may object to specific evidence or may request limits on the scope of any ex- amination or cross-examination. Such an objection shall be accompanied by a brief statement of the grounds upon which it is based. The objection, the ruling on the objection, and the reasons for the rul- ing shall be noted in the record. The presiding officer may rule on the objection at the time it is made or may reserve a ruling until the written decision.
X.21(6)  Whenever evidence is ruled inadmissible, the party offering that evidence may submit an offer of proof on the record.  The party making the offer of proof for excluded oral testimony shall briefly summarize the testimony or, with permission of the presiding officer, present the testimony. If the excluded evidence consists of a document or exhibit, it shall be marked as part of an offer of proof and inserted in the record.

Agency No.—X.22(17A)  Default.
X.22(1)  If a party fails to appear or participate in a contested case proceeding after proper service of notice, the presiding officer may, if no adjournment is granted, enter a default decision or proceed with the hearing and render a decision in the absence of the party.
X.22(2)  Where appropriate and not contrary to law, any party may move for default against a party who has requested the contested case proceeding and has failed to file a required pleading or has failed to appear after proper service.

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X.22(3)  Default decisions or decisions rendered on the merits after a party has failed to appear or participate in a contested case proceeding become final agency action unless, within 15 days (or other period of time specified by statute or rule) after the date of notification or mailing of the decision, a motion to vacate is filed and served on all parties or an appeal of a decision on the merits is timely initi- ated within the time provided by rule X.27(17A). A motion to vacate must state all facts relied upon by the moving party which establish that good cause existed for that party’s failure to appear or participate at the contested case proceeding. Each fact so stated must be substantiated by at least one sworn affida- vit of a person with personal knowledge of each such fact, which affidavit(s) must be attached to the motion.
X.22(4)  The time for further appeal of a decision for which a timely motion to vacate has been filed is stayed pending a decision on the motion to vacate.
X.22(5)  Properly substantiated and timely filed motions to vacate shall be granted only for good cause shown. The burden of proof as to good cause is on the moving party. Adverse parties shall have
ten days (or other time specified by the agency) to respond to a motion to vacate. Adverse parties shall be allowed to conduct discovery as to the issue of good cause and to present evidence on the issue prior to a decision on the motion, if a request to do so is included in that party’s response.
X.22(6)  “Good cause” for purposes of this rule shall have the same meaning as “good cause” for setting aside a default judgment under Iowa Rule of Civil Procedure 236.
X.22(7)  A decision denying a motion to vacate is subject to further appeal within the time limit allowed for further appeal of a decision on the merits in the contested case proceeding.  A decision granting a motion to vacate is subject to interlocutory appeal by the adverse party pursuant to rule X.25(17A).
X.22(8)  If a motion to vacate is granted and no timely interlocutory appeal has been taken, the pre- siding officer shall issue another notice of hearing and the contested case shall proceed accordingly.
X.22(9)  A default decision may award any relief consistent with the request for relief made in the petition and embraced in its issues (but, unless the defaulting party has appeared, it cannot exceed the
relief demanded).
X.22(10)  A default decision may provide either that the default decision is to be stayed pending a timely motion to vacate or that the default decision is to take effect immediately, subject to a request for stay under rule X.29(17A).

Agency No.—X.23(17A)  Ex parte communication.
X.23(1)  Prohibited communications. Unless required for the disposition of ex parte matters spe- cifically authorized by statute, following issuance of the notice of hearing, there shall be no commu- nication, directly or indirectly, between the presiding officer and any party or representative of any party or any other person with a direct or indirect interest in such case in connection with any issue of fact or law in the case except upon notice and opportunity for all parties to participate. This does not prohibit persons jointly assigned such tasks from communicating with each other. Nothing in this pro- vision is intended to preclude the presiding officer from communicating with members of the agency or seeking the advice or help of persons other than those with a personal interest in, or those engaged in personally investigating as defined in subrule X.9(2), prosecuting, or advocating in, either the case un- der consideration or a pending factually related case involving the same parties as long as those persons do not directly or indirectly communicate to the presiding officer any ex parte communications they have received of a type that the presiding officer would be prohibited from receiving or that furnish, augment, diminish, or modify the evidence in the record.
X.23(2)  Prohibitions on ex parte communications commence with the issuance of the notice of hearing in a contested case and continue for as long as the case is pending.

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X.23(3)  Written, oral or other forms of communication are “ex parte” if made without notice and opportunity for all parties to participate.
X.23(4)  To avoid prohibited ex parte communications, notice must be given in a manner reason-
ably calculated to give all parties a fair opportunity to participate. Notice of written communications shall be provided in compliance with rule X.12(17A) and may be supplemented by telephone, facsim-
ile, electronic mail or other means of notification. Where permitted, oral communications may be initi- ated through conference telephone call including all parties or their representatives.
X.23(5)  Persons who jointly act as presiding officer in a pending contested case may communicate with each other without notice or opportunity for parties to participate.
X.23(6)  The executive director or other persons may be present in deliberations or otherwise ad- vise the presiding officer without notice or opportunity for parties to participate as long as they are not disqualified from participating in the making of a proposed or final decision under any provision of law and they comply with subrule X.23(1).
X.23(7)  Communications with the presiding officer involving uncontested scheduling or proce- dural matters do not require notice or opportunity for parties to participate. Parties should notify other parties prior to initiating such contact with the presiding officer when feasible, and shall notify other parties when seeking to continue hearings or other deadlines pursuant to rule X.17(17A).
X.23(8)  Disclosure of prohibited communications. A presiding officer who receives a prohibited
ex parte communication during the pendency of a contested case must initially determine if the effect of the communication is so prejudicial that the presiding officer should be disqualified. If the presiding officer determines that disqualification is warranted, a copy of any prohibited written communication, all written responses to the communication, a written summary stating the substance of any prohibited
oral or other communication not available in written form for disclosure, all responses made, and the identity of each person from whom the presiding officer received a prohibited ex parte communication shall be submitted for inclusion in the record under seal by protective order (or disclosed). If the presid- ing officer determines that disqualification is not warranted, such documents shall be submitted for
inclusion in the record and served on all parties. Any party desiring to rebut the prohibited communica- tion must be allowed the opportunity to do so upon written request filed within ten days after notice of the communication.
X.23(9)  Promptly after being assigned to serve as presiding officer at any stage in a contested case
proceeding, a presiding officer shall disclose to all parties material factual information received through ex parte communication prior to such assignment unless the factual information has already been or shortly will be disclosed pursuant to Iowa Code section 17A.13(2) or through discovery. Fac- tual information contained in an investigative report or similar document need not be separately dis-
closed by the presiding officer as long as such documents have been or will shortly be provided to the parties.
X.23(10)  The presiding officer may render a proposed or final decision imposing appropriate sanc- tions for violations of this rule including default, a decision against the offending party, censure, or suspension or revocation of the privilege to practice before the agency. Violation of ex parte commu-
nication prohibitions by agency personnel shall be reported to (agency to designate person to whom violations should be reported) for possible sanctions including censure, suspension, dismissal, or other disciplinary action.

Agency No.—X.24(17A) Recording costs. Upon request, the (agency name) shall provide a copy of the whole or any portion of the record at cost. The cost of preparing a copy of the record or of transcrib- ing the hearing record shall be paid by the requesting party.
Parties who request that a hearing be recorded by certified shorthand reporters rather than by elec-
tronic means shall bear the cost of that recordation, unless otherwise provided by law.

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Agency No.—X.25(17A) Interlocutory appeals.  Upon written request of a party or on its own mo- tion, the (board, commission, director) may review an interlocutory order (of the presiding officer). In determining whether to do so, the (board, commission, director) shall weigh the extent to which its granting the interlocutory appeal would expedite final resolution of the case and the extent to which review of that interlocutory order by the agency at the time it reviews the proposed decision of the pre- siding officer would provide an adequate remedy. Any request for interlocutory review must be filed within 14 days (or other time period designated by the agency) of issuance of the challenged order, but no later than the time for compliance with the order or the date of hearing, whichever is first.

Agency No.—X.26(17A)  Final decision.
X.26(1)  When (the agency) (or a quorum of the agency) presides over the reception of evidence at the hearing, its decision is a final decision.
X.26(2)  When the (agency name) does not preside at the reception of evidence, the presiding offi-
cer shall make a proposed decision. The proposed decision becomes the final decision of the agency without further proceedings unless there is an appeal to, or review on motion of, the (agency name) within the time provided in rule X.27(17A).

Agency No.—X.27(17A)  Appeals and review.
X.27(1)  Appeal by party.  Any adversely affected party may appeal a proposed decision to the (board, commission, director) within 30 days (or other time period designated by the agency) after is- suance of the proposed decision.
X.27(2)  Review. The (board, commission, director) may initiate review of a proposed decision on
its own motion at any time within 30 days (or other time period designated by the agency) following the issuance of such a decision.
X.27(3)  Notice of appeal. An appeal of a proposed decision is initiated by filing a timely notice of appeal with the (agency name). The notice of appeal must be signed by the appealing party or a repre-
sentative of that party and contain a certificate of service.  The notice shall specify:
a.	The parties initiating the appeal;
b.	The proposed decision or order appealed from;
c.     The specific findings or conclusions to which exception is taken and any other exceptions to the decision or order;
d.	The relief sought;
e.	The grounds for relief.
X.27(4)  Requests to present additional evidence. A party may request the taking of additional evi- dence only by establishing that the evidence is material, that good cause existed for the failure to pre sent the evidence at the hearing, and that the party has not waived the right to present the evidence. A written request to present additional evidence must be filed with the notice of appeal or, by a non- appealing party, within 14 days (or other time period designated by the agency) of service of the notice of appeal.  The (board, commission, director) may remand a case to the presiding officer for further hearing or may itself preside at the taking of additional evidence.
X.27(5)  Scheduling.  The (agency name) shall issue a schedule for consideration of the appeal.
X.27(6)  Briefs and arguments. Unless otherwise ordered, within 20 days (or other time period des- ignated by the agency) of the notice of appeal or order for review, each appealing party may file excep-
tions and briefs. Within 20 days thereafter (or other time period designated by the agency), any party may file a responsive brief.  Briefs shall cite any applicable legal authority and specify relevant por- tions of the record in that proceeding. Written requests to present oral argument shall be filed with the briefs.
The (board, commission, director) may resolve the appeal on the briefs or provide an opportunity
for oral argument. The (board, commission, director) may shorten or extend the briefing period as ap- propriate.

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Agency No.—X.28(17A)  Applications for rehearing.
X.28(1)  By whom filed.  Any party to a contested case proceeding may file an application for re- hearing from a final order.
X.28(2)  Content of application. The application for rehearing shall state on whose behalf it is filed,
the specific grounds for rehearing, and the relief sought. In addition, the application shall state whether the applicant desires reconsideration of all or part of the agency decision on the existing record and
whether, on the basis of the grounds enumerated in subrule X.27(4), the applicant requests an opportu- nity to submit additional evidence.
X.28(3)  Time of filing. The application shall be filed with the (agency name) within 20 days after issuance of the final decision.
X.28(4)  Notice to other parties. A copy of the application shall be timely mailed by the applicant to all parties of record not joining therein. If the application does not contain a certificate of service, the (agency name) shall serve copies on all parties.
X.28(5)  Disposition.  Any application for a rehearing shall be deemed denied unless the agency
grants the application within 20 days after its filing.

Agency No.—X.29(17A)  Stays of agency actions.
X.29(1)  When available.
a.	Any party to a contested case proceeding may petition the (agency name) for a stay of an order
issued in that proceeding or for other temporary remedies, pending review by the agency. The petition shall be filed with the notice of appeal and shall state the reasons justifying a stay or other temporary remedy. The (board, commission, director) may rule on the stay or authorize the presiding officer to do so.
b.    Any party to a contested case proceeding may petition the (agency name) for a stay or other temporary remedies pending judicial review of all or part of that proceeding. The petition shall state the reasons justifying a stay or other temporary remedy.
X.29(2)  When granted.  In determining whether to grant a stay, the presiding officer or (board, commission, director, as appropriate) shall consider the factors listed in 1998 Iowa Acts, chapter 1202, section 23(5c).
X.29(3)  Vacation. A stay may be vacated by the issuing authority upon application of the (agency
name) or any other party.

Agency No.—X.30(17A) No factual dispute contested cases. If the parties agree that no dispute of material fact exists as to a matter that would be a contested case if such a dispute of fact existed, the parties may present all relevant admissible evidence either by stipulation or otherwise as agreed by the parties, without necessity for the production of evidence at an evidentiary hearing. If such agreement is reached, a jointly submitted schedule detailing the method and timetable for submission of the record, briefs and oral argument should be submitted to the presiding officer for approval as soon as practica- ble. If the parties cannot agree, any party may file and serve a motion for summary judgment pursuant to the rules governing such motions.

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Agency No.—X.31(17A)  Emergency adjudicative proceedings.
X.31(1)  Necessary emergency action. To the extent necessary to prevent or avoid immediate dan- ger to the public health, safety, or welfare and, consistent with the Constitution and other provisions of law, the agency may issue a written order in compliance with Iowa Code section 17A.18 to suspend a license in whole or in part, order the cessation of any continuing activity, order affirmative action, or take other action within the jurisdiction of the agency by emergency adjudicative order. Before issuing an emergency adjudicative order the agency shall consider factors including, but not limited to, the following:
a.	Whether there has been a sufficient factual investigation to ensure that the agency is proceed-
ing on the basis of reliable information;
b.    Whether the specific circumstances which pose immediate danger to the public health, safety or welfare have been identified and determined to be continuing;
c.     Whether the person required to comply with the emergency adjudicative order may continue to engage in other activities without posing immediate danger to the public health, safety or welfare;
d.    Whether imposition of monitoring requirements or other interim safeguards would be suffi- cient to protect the public health, safety or welfare; and
e.     Whether the specific action contemplated by the agency is necessary to avoid the immediate danger.
X.31(2)  Issuance of order.
a.	An emergency adjudicative order shall contain findings of fact, conclusions of law, and policy
reasons to justify the determination of an immediate danger in the agency’s decision to take immediate action.
b.    The written emergency adjudicative order shall be immediately delivered to persons who are required to comply with the order by utilizing one or more of the following procedures:
(1)   Personal delivery;
(2)   Certified mail, return receipt requested, to the last address on file with the agency; (3)   Certified mail to the last address on file with the agency;
(4)   First-class mail to the last address on file with the agency; or
(5)   Fax. Fax may be used as the sole method of delivery if the person required to comply with the order has filed a written request that agency orders be sent by fax and has provided a fax number for that purpose.
c.     To the degree practicable, the agency shall select the procedure for providing written notice that best ensures prompt, reliable delivery.
X.31(3)  Oral notice. Unless the written emergency adjudicative order is provided by personal de- livery on the same day that the order issues, the agency shall make reasonable immediate efforts to contact by telephone the persons who are required to comply with the order.
X.31(4)  Completion of proceedings.  After the issuance of an emergency adjudicative order, the agency shall proceed as quickly as feasible to complete any proceedings that would be required if the
matter did not involve an immediate danger.
Issuance of a written emergency adjudicative order shall include notification of the date on which
agency proceedings are scheduled for completion. After issuance of an emergency adjudicative order, continuance of further agency proceedings to a later date will be granted only in compelling circum- stances upon application in writing.