Iowa Administrative Bulletin

Inquiries may be sent to Michael L. Fitzgerald, Treasurer of State, State Capitol, Des Moines, Iowa 50319.

July 1, 1997 -- July 31, 1997 8.75%

August 1, 1997 -- August 31, 1997 8.50%

September 1, 1997 -- September 30, 1997 8.25%

October 1, 1997 -- October 31, 1997 8.25%

November 1, 1997 -- November 30, 1997 8.25%

December 1, 1997 -- December 31, 1997 8.00%

January 1, 1998 -- January 31, 1998 8.00%

February 1, 1998 -- February 28, 1998 7.75%

March 1, 1998 -- March 31, 1998 7.50%

April 1, 1998 -- April 30, 1998 7.50%

May 1, 1998 -- May 31, 1998 7.75%

June 1, 1998 -- June 30, 1998 7.75%

July 1, 1998 -- July 31, 1998 7.75%

August 1, 1998 -- August 31, 1998 7.50%

1998 Iowa Acts, Senate File 2292, requires the Department to establish procedures for risk assessment on offenders required to register with the Iowa sex offender registry program. These assessments will determine the level of risk that each offender might present to the community and the type of public notification to be exercised when necessary.

1998 Iowa Acts, Senate File 2398, requires the Department, in conjunction with the Board of Parole, to establish a hormonal intervention therapy program for the control of offender deviant sexual behavior through the use of pharmaceutical agents. This program will be applied to offenders being released from incarceration by parole or work release as well as those offenders that have been placed under community corrections supervision.

Pursuant to Iowa Code section 17A.4(2), the Department finds that notice and public participation prior to the adoption of this new chapter are impracticable, as the intent of the General Assembly for the Department to implement these new standards for the Iowa sex offender registry, offender risk assessment, pursuant to 1998 Iowa Acts, Senate File 2292, and hormonal intervention therapy pursuant to 1998 Iowa Acts, Senate File 2398, as of the effective date of the Act (July 1, 1998) is clear.

Pursuant to Iowa Code section 17A.5(2)"b"(2), the Department finds that the normal effective date of these rules, 35 days after publication, should be waived and the rules made effective July 10, 1998, after filing with the Administrative Rules Coordinator. These rules confer a benefit upon the public by providing for immediate implementation of new standards for the Iowa sex offender registry and the implementation of the hormonal intervention therapy program and for the clear understanding that the provisions of 1998 Iowa Acts, Senate Files 2292 and 2398, be in force as soon as possible following the effective date of the law.

Notice of Intended Action is published herein as ARC 8213A. The Notice of Intended Action provides for a period of public comment and participation, including a public hearing. This process will culminate in this chapter's being adopted through the normal rule-making process after consideration of any public input received during the comment period.

This chapter is intended to implement Iowa Code Supplement chapter 692A as amended by 1998 Iowa Acts, Senate File 2292, and 1998 Iowa Acts, Senate File 2398, section 21.

These rules became effective July 10, 1998.

The following new chapter is adopted.

201--38.2(692A,77GA,SF2398) Definitions.

"Hormonal intervention therapy" means a comprehensive treatment program inclusive of education, counseling, and pharmaceutical applications to control sexual deviant behavior.

"Risk assessment" means a comprehensive assessment of an offender's potential risk to the community.

"Serious sex offense" means a criminal offense as de-fined in 1998 Iowa Acts, Senate File 2398, section 21, sub-section 4.

"Sexual offense" means a criminal offense as defined in Iowa Code Supplement section 692A.1 as amended by 1998 Iowa Acts, Senate File 2292.

201--38.3(692A) Sex offender risk assessment.

38.3(1) Risk assessment. The department of corrections, department of human services, and department of public safety shall utilize a risk assessment instrument designated by the department of public safety, division of criminal investigation. The risk assessment instrument is designed to determine one of two risk levels for the purpose of community notification: The assessed offender is "low risk" to the community; or the assessed offender is "at risk" to the community.

38.3(2) Agency responsibility. The department of corrections, department of human services, and the division of criminal investigation of the department of public safety shall complete the risk assessment on all offenders under each agency's authority in accordance with the requirements of Iowa Code section 692A.12(6) as amended by 1998 Iowa Acts, Senate File 2292.

38.3(3) Other offenses considered for assessment. Other criminal offenses may be considered if the specific circumstances of the offense(s) support the conclusion that the offense in any manner was sex related. Offenses involving a minor victim not included within the definition of "sexual offense" will also be considered. Any doubtful or questionable circumstances shall be referred to the department of public safety sex offender registry program for assistance.

38.3(4) Public notification. Affirmative public notification procedures are published in department of public safety rules 661--paragraph 8.304(1)"c."

38.3(5) Training requirements. All agency personnel conducting sex offender risk assessments shall complete the training program as developed and provided cooperatively by the responsible agencies.

38.3(6) Reporting requirements. Assessment completion and reporting results to the department of public safety sex offender registry program shall be fulfilled within 45 days of anticipated release or supervision placement.

38.3(7) Records maintenance.

a. Original sex offender registration and risk assessment documents shall be sent to the department of public safety sex offender registry program.

b. Copies of the sex offender registration and risk assessment documents shall be permanently maintained in the offender master file maintained by the reporting agency.

38.3(8) Additional rules. Additional department of public safety rules are published in 661--Chapter 8, Division III.

201--38.4 (77GA,SF2398) Hormonal intervention therapy.

38.4(1) Affected offenders. All offenders convicted of a "serious sex offense" or younger offenders or offenders convicted of a second or subsequent offense may be required to undergo hormonal intervention therapy as ordered by the court or board of parole in accordance with the provisions of 1998 Iowa Acts, Senate File 2398, section 21.

38.4(2) Agency responsibility. The department of corrections, judicial districts' departments of correctional services, and the board of parole responsibilities are defined in 1998 Iowa Acts, Senate File 2398, section 21.

38.4(3) Assessment of affected offenders.

a. Psycho-sexual assessment. A psycho-sexual assessment shall be conducted on all "affected" offenders, as a part of the presentence investigation (PSI) prior to sentencing or upon entry into judicial district department of correctional services supervision or institutional placement.

(1) The psycho-sexual assessment shall be conducted by or under the direction of:

* A licensed psychologist; or

* A person specifically trained and experienced in the professional administration, scoring and interpretation of psychological tests (graduate level coursework in testing and assessment); or

* A staff member that meets the requirements of the Iowa department of personnel's psychologist classification.

(2) The psycho-sexual assessment shall include:

* Tests of emotional and mental stability.

* I.Q. to measure capability.

* Measure of denial of deviant sexual characteristics.

* Polygraphy by July 1, 1999.

* Plethysmography (optimal).

(3) The assessment shall follow the department of corrections standardized format and shall include a determination as to the need and effectiveness of hormonal intervention therapy as well as treatment recommendations.

b. Medical assessment. If hormonal intervention therapy is recommended as an appropriate treatment component, the offender shall receive a medical assessment to determine biological factors as related to hormonal intervention therapy.

38.4(4) Pharmaceuticals and distribution. The director of corrections may contract the purchase and distribution proc-ess to reduce pharmaceutical costs and ensure effective distribution and management of all pharmaceuticals related to the hormonal therapy program.

38.4(5) Educational/treatment programming.

a. Hormonal intervention therapy is to be utilized in conjunction with a sex offender educational/treatment program (SOTP). The offender should be involved in concurrent cognitive-behavioral treatment. In all cases where the treatment plan includes hormonal therapy, the plan shall also include monitoring and counseling.

b. All institutional or community-based corrections SOTP programs shall meet Iowa board for the treatment of sexual abusers (IBTSA) standards by July 1, 1999.

38.4(6) Application of hormonal therapy.

a. Utilization of hormonal therapy.

(1) Therapy shall utilize medroxyprogesterone acetate (MPA) or other approved pharmaceutical agents.

(2) Therapy shall be initiated as soon as reasonably possible after the offender is sentenced.

1. If the offender is incarcerated within a local jurisdiction (jail, residential facility), the judicial district department of correctional services shall coordinate initiation of treatment prior to the release of the offender from custody.

2. If the offender is incarcerated within the department of corrections, initiation of treatment shall be determined by department of corrections medical staff.

(3) Requests for hormonal therapy by the offender when the aforementioned criteria are not met shall be reviewed for consideration by the agency of jurisdiction.

(4) At any time during the course of supervision, the agency of jurisdiction may conduct a reassessment to determine if hormonal therapy should be considered or reconsidered as part of the treatment plan.

b. Monitoring/termination of hormonal therapy.

(1) Monitoring. The agency of jurisdiction shall continue to monitor the offender's therapy throughout the offender's confinement or supervision. The agency of jurisdiction may adjust, initiate other medication, or continue prescribed therapy with medical approval.

(2) Termination. Hormonal therapy may be discontinued only by the medical authority, with consent of the supervising officer. Termination requires a reassessment conclusion that the therapy has been determined ineffective or is no longer necessary.

38.4(7) Offender fees. Offenders are required to pay a reasonable fee for the costs related to hormonal therapy. Offender fees shall be based on the offender's ability to pay as determined by the supervising office.

38.4(8) Maintenance/transfer of records. Offender file information shall be available and shared upon request between responsible agencies including court of jurisdiction.

These rules are intended to implement Iowa Code Supplement chapter 692A as amended by 1998 Iowa Acts, Senate File 2292, and 1998 Iowa Acts, Senate File 2398, section 21.

ARC 8185A

This amendment adds a description of the HAWK-I Board to the organizational rules of the Department and sets forth the organization, duties and powers, and procedures of the Board.

The HAWK-I Board was created by the Seventy-seventh General Assembly in 1998 Iowa Acts, House File 2517, section 6, to make policy and provide direction for the development, implementation, and administration of all aspects of the Healthy and Well Kids in Iowa Program which is administered by the Division of Medical Services. This program will provide health care coverage to eligible uninsured children up to the age of 19 whose family income does not exceed 185 percent of the federal poverty level.

This seven-member board consists of the Commissioner of Insurance or the Commissioner's designee, the Director of the Department of Education or the Director's designee, the Director of the Department of Public Health or the Director's designee, and four public members appointed by the Governor, subject to confirmation by two-thirds of the members of the Senate. The board shall also include two members of the Senate and two members of the House of Representatives, serving as ex officio members.

In compliance with Iowa Code section 17A.4(2), the Department of Human Services finds that notice and public participation are unnecessary because this amendment implements 1998 Iowa Acts, House File 2517, section 14, which authorizes the Department to adopt rules without notice and public participation.

The Department also finds, pursuant to Iowa Code section 17A.5(2)"b"(1), that the normal effective date of this amendment should be waived and this amendment made effective July 1, 1998, as authorized by 1998 Iowa Acts, House File 2517, section 14.

This amendment is also published herein under Notice of Intended Action as ARC 8184A to allow for public comment.

The HAWK-I Board adopted this amendment June 29, 1998.

This amendment is intended to implement Iowa Code section 17A.3(1) and 1998 Iowa Acts, House File 2517, section 6.

This amendment became effective July 1, 1998.

The following amendment is adopted.

Amend 441--Chapter 1 by adding the following new rule:

441--1.10(17A) HAWK-I board. The director of the department has, by statute, the advice and counsel of the HAWK-I board on the healthy and well children in Iowa program. This seven-member board consists of the commissioner of insurance or the commissioner's designee, the director of the department of education or the director's designee, the director of the department of public health or the director's designee, and four public members appointed by the governor, subject to confirmation by two-thirds of the members of the senate. The board shall also include two members of the senate and two members of the house of representatives, serving as ex officio members.

1.10(1) Organization.

a. The members of the board shall annually elect from the board's voting membership a chairperson of the board.

b. Members appointed by the governor and the legislative members shall serve two-year terms.

1.10(2) Duties and powers of the board. The board's powers and duties are to make policy and to provide direction for the administration of all aspects of the healthy and well kids in Iowa program which is administered by the division of medical services. In carrying out these duties, the board shall do all of the following:

a. Adopt rules of the department.

b. Develop criteria for and approve all contracts.

c. Establish a clinical advisory committee.

d. Establish an advisory committee on children with special health care needs.

e. Conduct studies and evaluations and provide reports as directed by legislation.

f. Define regions of the state for which plans are offered.

g. Solicit input from the public about the program.

h. Improve interaction between the program and other public and private programs which provide services to eligible children.

i. Receive and accept grants, loans, or other advances of funds from any person and may receive and accept from any source contributions of money, property, labor, or any other thing of value, to be held, used, and applied for the purpose of the program.

1.10(3) Board action.

a. A quorum shall consist of two-thirds of the membership appointed and qualified to vote.

b. Where a quorum is present, a position is carried by a majority of the qualified members of the board.

1.10(4) Board minutes.

a. Copies of administrative rules and other materials considered are made part of the minutes by reference.

b. Copies of the minutes are kept on file in the office of the administrator of the division of medical services.

1.10(5) Board meetings.

a. The board shall meet at regular intervals at least ten times each year and may hold special meetings at the call of the chairperson or at the request of a majority of the voting members.

b. Any person wishing to make a presentation at a board meeting shall notify the Administrator, Division of Medical Services, Department of Human Services, Hoover State Office Building, Des Moines, Iowa 50309-0114, telephone (515)281-8794, at least 15 days prior to the board meeting.

1.10(6) Robert's Rules of Order. In cases not covered by these rules, Robert's Rules of Order shall govern.

This rule is intended to implement Iowa Code paragraph 17A.3(1)"a" and 1998 Iowa Acts, House File 2517, section 6.

ARC 8190A

This amendment changes the name of the division and the titles of commissioners within the division.

In compliance with Iowa Code section 17A.4(2), the Industrial Commissioner finds that notice and public participation are unnecessary. This change implements 1998 Iowa Acts, House File 2465, which became effective July 1, 1998. The change should be effective on the same date as the legislation.

The Division also finds, pursuant to Iowa Code section 17A.5(2)"b"(1) and (2) that the normal effective date of this amendment, 35 days after publication, should be waived and the amendment be made effective July 1, 1998, as the statute so provides, and because it confers a benefit upon the public.

The Division has determined that the amendment will have no impact on small business within the meaning of Iowa Code section 17A.31.

This amendment is intended to implement 1998 Iowa Acts, House File 2465, which became effective July 1, 1998.

This amendment became effective on July 1, 1998.

The following amendment is adopted.

Amend 873--Chapters 1 to 10 by striking "Division of Industrial Services" and inserting "Division of Workers' Compensation"; by striking "Industrial Commissioner" and inserting "Workers' Compensation Commissioner"; by striking "Deputy Industrial Commissioner" and inserting "Deputy Workers' Compensation Commissioner" wherever they appear; and by changing the agency number "[873]" to "[876]" wherever it appears.

ARC 8188A

New rule 8.10(85B) provides the procedures for apportioning age-related hearing loss for workers' compensation occupational hearing loss claims as provided in 1998 Iowa Acts, Senate File 2333, section 7.

In compliance with Iowa Code section 17A.4(2), the Industrial Commissioner finds that notice and public participation are unnecessary. Rule 8.10(85B) implements 1998 Iowa Acts, Senate File 2333, which became effective July 1, 1998. The rule should be effective on the same date as the legislation.

The Division also finds, pursuant to Iowa Code section 17A.5(2)"b"(2) that the normal effective date of this rule, 35 days after publication, should be waived and the rule be made effective July 1, 1998, as it confers a benefit upon the public to ensure speedy and uniform compliance with the agency's legislative mandate and ability to resolve occupational hearing loss claims.

The Division has determined that the rule will have no impact on small business within the meaning of Iowa Code section 17A.31.

This amendment is also published herein under Notice of Intended Action as ARC 8187A to allow for public comment.

This rule is intended to implement 1998 Iowa Acts, Senate File 2333, section 7, and Iowa Code section 86.8.

This amendment became effective July 1, 1998.

The following amendment is adopted.

Amend 873-Chapter 8 by adopting the following new rule:

873--8.10(85B) Apportionment of age-related loss for occupational hearing loss claims.

8.10(1) Effective date. This rule is effective for claims for occupational hearing loss filed on or after July 1, 1998.

8.10(2) Purpose. The purposes of this rule are to adopt tables and the method for calculating age-related hearing loss and to adopt a worksheet for apportionment of age-related hearing loss for occupational hearing loss claims.

8.10(3) Table. In 1972 the National Institute for Occupational Safety and Health (NIOSH) published the Criteria for a Recommended Standard: Occupational Exposure to Noise (NIOSH Publication No.73-11001). Table B-1, page I-16, provides the Age Corrections Values to be Used for Age Correction of Initial Baseline Audiograms for Males and Table B-2, page I-17, provides the Age Corrections Values to be Used for Age Correction of Initial Baseline Audiograms for Females. These NIOSH tables are used to calculate the correction value for age for males and females for 500, 1000, 2000 and 3000 hertz.

For example, the age correction for a male 21 years of age is 10 decibels at 500 hertz, 5 decibels at 1000 hertz, 3 decibels at 2000 hertz and 4 decibels at 3000 hertz. The correction for age is 5.50 decibels (the sum of 10+5+3+4 divided by 4).

The following table is to be used to determine an employee's age-related change in hearing level during the period of employment. To determine the age-related change in hearing level in decibels during the period of employment, subtract the value shown in the table for the employee's age at the beginning of employment from the value shown in the table for the employee's age on the date of injury.

NOTE: This table should not be used to compute standard threshold shift as required by rules of the Occupational Safety and Health Administration or Iowa occupational safety and health administration.

Age In Years Correction in dB

Males Females

20 or younger 5.50 7.25

21 5.50 7.75

22 5.50 7.75

23 5.50 8.00

24 5.75 8.00

25 6.00 8.25

26 6.25 8.50

27 6.50 8.75

28 6.75 8.75

29 6.75 8.75

30 6.75 9.00

31 7.25 9.25

32 7.50 9.50

33 7.50 9.75

34 7.75 9.75

35 8.00 10.00

36 8.25 10.25

37 8.75 10.25

38 8.75 10.50

39 9.00 11.00

40 9.00 11.00

41 9.25 11.25

42 10.00 11.50

43 10.25 11.75

44 10.25 12.00

45 10.50 12.25

46 10.75 12.50

47 11.00 12.50

48 11.50 13.00

49 12.00 13.25

50 12.25 13.50

51 12.25 13.75

52 12.75 13.75

53 13.25 14.25

54 13.50 14.50

55 14.00 15.00

56 14.25 15.00

57 14.50 15.25

58 15.25 15.75

59 15.50 16.00

60 or older 16.00 16.25

8.10(4) Apportionment. The apportionment of age-related hearing loss shall be made by reducing the total binaural percentage hearing loss as calculated pursuant to Iowa Code section 85B.9(3) by the same percentage as the decibels of age-related change in hearing level occurring during the period of employment bears to the total decibel hearing level in each ear.

Age-related hearing loss is apportioned using the results of the audiogram determined to be the proper audiogram for measurement of the employee's hearing loss on the date of injury by using the following steps:

1. Separately for each ear, compute the average of the employee's decibel hearing levels at 500, 1000, 2000, and 3000 hertz for that ear.

2. Separately for each ear, compute the percentage loss for each ear.

3. Compute the employee's age-related change in hearing level in decibels during the period of employment using the table in subrule 8.10(3).

4. Separately for each ear, divide the result of step 3 by the result of step 1 to compute the age-correction factor for that ear.

5. Separately for each ear, multiply the total percentage hearing loss in that ear calculated pursuant to Iowa Code section 85B.9 by the age-correction factor for that ear.

6. Separately for each ear, subtract the result obtained in step 5 from the total percentage hearing loss in that ear to obtain the age-corrected hearing loss for that ear.

7. Multiply the age-corrected hearing loss in the better ear as calculated in step 6 by 5 and add the percentage hearing loss in the worse ear.

8. Divide the result obtained in step 7 by 6 to obtain the age-corrected binaural percentage hearing loss.

8.10(5) Worksheet. The following worksheet is used to calculate the percentage of age-corrected binaural hearing loss.

APPORTIONMENT OF PERCENT HEARING LOSS FOR AGE
	Left Ear Hearing Level		Frequency in Hertz		Right Ear Hearing Level
1.	_________________		500	_________________
2.	_________________		1000	_________________
3.	_________________		2000	_________________
4.	_________________		3000	_________________
5.	__________	total of lines 1 through 4			__________
	divide by 4	(divide the "total" by 4)			divide by 4
6.	__________	equals average equals			__________
	minus 25	subtract "low fence"			minus 25
7.	__________	equals "Excess"			__________
	multiply by 1.5 multiply % factor multiply by 1.5
8.	__________	equals % loss each ear			__________
	(% loss left ear)			(% loss right ear)
9.	Age on date of injury			____
10.	Age at beginning of employment			____
11.		____	correction for age on date of injury in dB from table
			minus
12.		____	correction for age at beginning of employment in dB from table
			equals
13.		____	age-related change in hearing level during employment in dB

	LEFT EAR				RIGHT EAR
	Divide age-related change in hearing level from line 13 by average hearing level from line 6
		To obtain
14.	__________	age correction factor			__________
	multiply % loss from line 8 by age-correction factor from line 14
		To obtain
15.	__________	deduction for age-correction			__________
		subtract line 15 from line 8
			To obtain
16.	__________	age-corrected percent hearing loss			__________
	BINAURAL PERCENTAGE LOSS
17.	__________	% loss better ear (smaller amount) from line 16, multiplied by 5
		plus
18.	__________	% loss worse ear (larger amount) from line 16
19.	__________	equals
		divided by 6
		equals
20.	__________	% age-corrected binaural hearing loss

This rule is intended to implement 1998 Iowa Acts, Senate File 2333, section 7, and Iowa Code section 86.8.

ARC 8208A

The amendment relates to safety standards for scaffolds used in the construction industry (aerial lifts); effective date and Office of Management and Budget Control Numbers under Paperwork Reduction Act.

Notice of Intended Action was published in the Iowa Administrative Bulletin on April 8, 1998, as ARC 7926A.

In compliance with Iowa Code section 88.5(1)"b," a public hearing was scheduled for April 30, 1998. No comments were received. This amendment is identical to the Notice of Intended Action.

Pursuant to Iowa Code section 17A.5(2)"b"(2) and (3), this amendment shall become effective upon publication on July 29, 1998. The Commissioner finds that this amendment confers a benefit on employees by permitting them to be provided with safety and health equal those found in states under federal OSHA's jurisdiction and is necessary because of the safety and health of employees in this state.

This amendment is intended to implement Iowa Code section 88.5.

The amendment will become effective July 29, 1998.

The following amendment is adopted.

Amend rule 347--26.1(88) by inserting at the end thereof:

63 Fed. Reg. 3814 (January 27, 1998)

ARC 8198A

The amendments add new language relating to the expansion of the Volunteer Health Care Provider Program to include other health care providers and services.

In compliance with Iowa Code section 17A.4(2), the Department finds that notice and public participation are impracticable because of the immediate need for the rule change to implement new provisions of this law.

The Department also finds, pursuant to Iowa Code section 17A.5(2)"b"(2), that the normal effective date of the amendments should be waived and the amendments should be made effective upon filing with the Administrative Rules Coordinator on July 10, 1998, as the amendments benefit the population in need of these services.

The Board of Public Health adopted the amendments on July 8, 1998.

These amendments are also published herein under Notice of Intended Action as ARC 8197A to allow public comment.

These amendments are intended to implement Iowa Code section 135.24 as amended by 1998 Iowa Acts, House File 2340.

The amendments became effective July 10, 1998.

The following amendments are adopted.

ITEM 1. Amend rule 641--88.1(135) as follows:

641--88.1(135) Definitions. For the purpose of these rules, the following definitions shall apply:

"Charitable organizations" means a charitable organization within the meaning of Section 501(c)(3) of the Internal Revenue Code which has as its primary purpose the sponsorship or support of programs designed to improve the quality, awareness, and availability of medical and dental services to children and to serve as a funding mechanism for provision of medical services, including but not limited to immunizations, to children.

"Health care provider" means a physician licensed under Iowa Code chapter 148, 150, or 150A, a physician assistant licensed and practicing under a supervising physician pursuant to Iowa Code chapter 148C, a licensed practical nurse or a registered nurse pursuant to Iowa Code chapter 152, or a dentist licensed pursuant to Iowa Code chapter 153.

ITEM 2. Amend rule 641--88.2(135) as follows:

641--88.2(135) Purpose. The volunteer health care provider program is established to defend and indemnify eligible health care providers providing free medical and dental service through qualified programs as provided in Iowa Code Supplement section 135.24 and these rules.

ITEM 3. Amend rule 641--88.3(135), introductory paragraph, as follows:

641--88.3(135) Health care provider eligibility. To be eligible for protection as an employee of the state under Iowa Code chapter 669 for a claim arising from covered medical or dental services, a health care provider must meet all of the following conditions at the time of the act or omission allegedly resulting in injury:

ITEM 4. Amend subrule 88.3(1) as follows:

88.3(1) Be licensed to practice under Iowa Code chapter 148, 148C, 150, 150A, or 152, or 153.

ITEM 5. Amend paragraph 88.3(2)"d" as follows:

d. Comply with the agreement with the department concerning approved medical or dental services and programs.

ITEM 6. Amend subrule 88.3(3) as follows:

88.3(3) Have a current certificate of qualification from the applicable state licensing board based on review of the following records submitted by the health care provider:

a. Verification that the health care provider holds an active unrestricted license to practice in Iowa under Iowa Code chapter 148, 148C, 150, 150A or , 152 or 153.

b. Verification that the health care provider has continuously held an active license in good standing since first licensed to practice the profession.

c. Verification of good standing of any hospital and clinic affiliation or staff privileges held by the health care provider in the last ten years.

d. Certified statements from the National Practitioner Data Bank and the Federation of State Medical Boards Disciplinary Data Bank, or State Dental Boards Disciplinary Data Bank, as appropriate, setting forth any malpractice judgments or awards, or disciplinary action involving the physician or dentist. The physician or dentist shall request that the statements be sent directly to the board by the data banks and shall pay the cost.

e. A sworn statement from the health care provider attesting that the license to practice is free of restrictions. The statement shall describe any disciplinary action which has ever been initiated against the health care provider by a professional licensing authority or health care facility, including any voluntary surrender of license or other agreement involving the health care provider's license to practice or any restrictions on practice, suspension of privileges, or other sanctions. The statement shall also describe any malpractice suits which have been filed against the health care provider and state whether any complaints involving professional competence have been filed against the health care provider with any licensing authority or health care facility.

f. Any additional materials requested by the board.

ITEM 7. Amend paragraph 88.3(4)"e" as follows:

e. Provide that the health care provider shall maintain proper medical or dental records; and

ITEM 8. Amend rule 641--88.11(135) as follows:

641--88.11(135) Covered medical or dental services. An eligible health care provider shall be afforded the protection of an employee of the state under Iowa Code chapter 669 only for claims for medical injury proximately caused by the health care provider's provision of covered health services. Covered health services are only those which are:

1. Identified in the agreement with the department;

2. In compliance with these rules;

3. Provided by or under the direct supervision of the health care provider. ;

4. Health services of health prevention, health maintenance, health education, diagnosis, or treatment other than the administration of anesthesia, prenatal care, obstetrical care, and surgical procedures except minor surgical procedures and administration of local anesthesia for the stitching of wounds or the removal of lesions or foreign particles may be provided. ; and

5. Primary dental services which are preventive, diagnostic, restorative or emergency treatment including extraction.

Experimental procedures or procedures and treatments which lack sufficient evidence of clinical effectiveness are excluded from the program.

This amendment is intended to prevent the unintentional release of animals maintained in boarding kennels and commercial kennels by requiring that "fork-type" latches, or other latches which may allow the unintentional release of an animal, be secured. This amendment is in response to a request from two citizens requesting this amendment. The citizens lost two pets due to a "fork-type" latch not being secured at a licensed facility.

Notice of Intended Action was published in the May 6, 1998, Iowa Administrative Bulletin, Volume XX, No. 23, as ARC 7978A. Several favorable comments were received by the Department regarding the proposed amendment. No negative comments were received. As a result, the amendment is being adopted in a form identical to the proposed amendment.

This amendment is intended to implement Iowa Code chapter 162.

This amendment shall become effective on September 2, 1998.

The following amendment is adopted.

Amend subrule 67.7(1) by adding a new paragraph "f" as follows:

f. Primary enclosures shall utilize latches which cannot be inadvertently opened, or shall be equipped with some form of locking device so as to prevent the accidental release of the animal contained therein.

ARC 8186A

These amendments reflect the Employment Appeal Board's current procedures for filing and processing appeals.

Notice of Intended Action regarding these amendments was published in the Iowa Administrative Bulletin on April 8, 1998, as ARC 7914A. A public hearing was held at 1:15 p.m. on May 12, 1998. There were no attendees, and no written comments were received. The adopted amendments are identical to those published under Notice of Intended Action.

These amendments were adopted by the Employment Appeal Board at a regular board meeting on June 1, 1998.

These amendments will become effective September 2, 1998.

These amendments are intended to implement Iowa Code section 10A.601.

The following amendments are adopted.

ITEM 1. Rescind 486--Chapter 1 and adopt the following new chapter in lieu thereof:

1.1(1) The employment appeal board is comprised of three members appointed by the governor, subject to confirmation of the senate. The members are appointed pursuant to Iowa Code section 10A.601(2) to represent the interests of employers, employees, and the general public.

1.1(2) The employment appeal board's offices are located in the Lucas State Office Building, Second Floor, Des Moines, Iowa. The office hours are 8 a.m. to 4:30 p.m. Monday through Friday. The office is closed on all state holidays.

1.1(3) The board shall meet the first Monday in May of even-numbered years to select a chairperson and vice-chairperson.

1.1(4) The board shall meet not less than once per month to vote and decide cases which are eligible for review or decision. The meetings are open to the public pursuant to the open meetings law. The board shall also meet at the call of the chairperson or vice-chairperson.

486--1.2(10A) Jurisdiction and filing of appeals.

1.2(1) The employment appeal board has authority to hear appeals or to review records on appeal in the following areas:

1. Department of personnel actions under Iowa Code chapter 19A.

2. Peace officer and capitol security discharges under Iowa Code chapter 80.

3. Occupational Safety and Health Act citations under Iowa Code chapter 88.

4. Elevator code citations under Iowa Code chapter 89A.

5. Contractor registration citations under Iowa Code chapter 91C.

6. Unemployment insurance appeals under Iowa Code chapter 96.

7. IPERS appeals under Iowa Code chapter 97B.

1.2(2) The procedures for filing appeals in the above areas and the time for filing such appeals are specified in each of the following chapters pertaining to a specific area.

1.2(3) In all instances, appeals may be filed by mailing the appeal, filing the appeal in person, or faxing the appeal to the employment appeal board at (515)281-7191. The address for the appeal board is Employment Appeal Board,Lucas State Office Building, Second Floor, Des Moines, Iowa 50319.

These rules are intended to implement Iowa Code section 10A.601.

ITEM 2. Rescind 486--Chapter 2 and adopt the following new chapter in lieu thereof:

486--2.2(10A) Definitions. Definitions as used herein by the employment appeal board are as follows:

"Address of record" means address listed in the Iowa workforce development department's unemployment decisions records.

"Aggrieved person" means an individual or company who has received an adverse ruling from an administrative law judge in a proceeding subject to appeal board review. It also means a company who has received a citation or citations from an OSHA inspector and wishes to contest that citation or citations. It also means a contractor who has been cited for failing to comply with the contractor registration laws and wishes to contest the citation.

"Appeal" means any instrument used to notify the employment appeal board that the individual wishes to appeal a decision of an administrative law judge. The instrument must be in writing and signed by the individual or an authorized representative. If the instrument is signed by an authorized representative, the person or party filing the appeal must be designated in the document.

"Appeal board" means the employment appeal board.

"Claimant" is an individual who has filed a request for determination of insured status or a new claim for unemployment insurance benefits.

"Employer" is an individual, partnership or corporation who employed the claimant in the claimant's base period, or was the last employer of the claimant or offered comparable suitable employment to a claimant, which the claimant refused.

"Filing date" means the date prescribed by statute or rule for an action required to be taken. The filing date will be the date the document is postmarked, if filed by U.S. Postal Service; the date of the faxed document, if filed by facsimile transmission; the date of the document, if the postmark is illegible; or the date received, if filed by any other means. If filed by fax, the original copy of the document shall be mailed to the employment appeal board. If the document is filed by U.S. Postal Service and the document contains both a postal meter mark and a U.S. Postal Service postmark, the U.S. Postal Service postmark shall be used to determine the filing date.

"Good cause" cannot be defined in precise language because what is good cause in one circumstance may not be good cause in a different circumstance. It may be generally defined as that reasonable excuse given, under the circumstances of the case, to excuse an action which was not taken when it should have been taken. As an example, good cause for not appearing at a scheduled hearing would be if the individual had not received the notice of hearing in time to participate. The individual alleging good cause has the burden to establish that good cause did exist to excuse the failure to take the needed action.

"New or additional evidence" means any evidence, testimonial or documentary, which is filed after the date of the decision of the administrative law judge and which, if due diligence had been used, could have been presented to that administrative law judge. A request to file new or additional evidence, or both, must be made within ten days after the mailing of the notice to the parties that an appeal has been filed. Such request shall set forth the nature of the evidence, the materiality of such evidence, and the reasons why it was not introduced at the hearing before the administrative law judge.

"Remand request," as interpreted by the employment appeal board, means a document indicating that the individual filing the document wishes the matter to be returned to the administrative law judge for a new hearing.

"Work product" means those documents produced by the agency which describe or portray the "mental impressions," conclusions, opinions, or legal theories concerning the determination made by the agency as a result of agency investigation or inquiry.

486--2.3(10A) Ex parte communications.

2.3(1) An ex parte communication is an oral or written communication relating directly to the facts or legal questions at issue in a contested case proceeding which is made by a party in interest to the employment appeal board without the knowledge of or outside the presence of the other parties and with the object of affecting the outcome of the case.

2.3(2) Ex parte communication does not include:

a. Statements given by the parties to claims representatives for use in making the initial determination;

b. Statements contained in any party's appeal from an initial determination;

c. Statements relating only to procedural or scheduling matters, such as requests for discovery, subpoenas, postponements or withdrawals of appeals; or

d. Requests for clarification of a legal issue involved in a contested case, but only to the extent of requesting information on the applicable law and not as to matters of fact.

2.3(3) Unless required for the disposition of ex parte matters specifically authorized by statute or rule, no party or its representative shall communicate directly or indirectly with the employment appeal board concerning a contested case before the board, nor shall any member of the employment appeal board communicate directly or indirectly with a party or its representative concerning any such issue of fact or law in a contested case unless:

a. Each party or its representative is given written notification of the communication. Such notification shall contain a summary of the communication, if oral, or a copy of the communication, if written, as well as the time, place and means of communication.

b. After notification, all parties have the right, upon written demand, to respond to the ex parte communication, including the right to be present and heard if an oral communication has not been completed. If the communication is written, or oral and completed, all other parties have the right, upon written demand, to a special hearing to respond to the ex parte communication.

c. Whether or not any party requests the opportunity to respond to an ex parte communication made in violation of Iowa Code section 17A.17(2), the employment appeal board shall include such communication in the official record of the contested case.

These rules are intended to implement Iowa Code section 10A.601.

ITEM 3. Rescind 486--Chapter 3 and adopt the following new chapter in lieu thereof:

3.1(1) Lower authority's decisions to employment appeal board. A copy of each administrative law judge's decision, pertinent to unemployment insurance matters, shall be submitted to the employment appeal board on the date the decision is issued.

3.1(2) Form and time of appeal. A party aggrieved by a decision of an administrative law judge may appeal to the employment appeal board within 15 days from the date of the decision. The appeal shall state the grounds for the appeal. The appeal shall be addressed to Employment Appeal Board, Lucas State Office Building, Second Floor, Des Moines, Iowa 50319. The appeal may also be filed in any office maintained by the workforce development department which processes claims for unemployment insurance. Appeals may also be filed by facsimile transmission (fax). If the appeal is filed by fax, the original copy shall be mailed to the employment appeal board. The date of the appeal is the date of the fax transmission.

3.1(3) Procedure when an appeal is filed. Upon receipt of notice of appeal, the entire record before the administrative law judge shall be forwarded to the employment appeal board. One copy of the testimony and evidence received by the administrative law judge shall be mailed to the parties or their designated representative. That mailing shall be identified by a transmittal of testimony and shall provide instructions for the filing of written briefs.

3.1(4) Additional parties. Whenever it appears that other parties should be joined in order to dispose of all issues, the employment appeal board shall so order and notify the parties of further procedures to be followed.

3.1(5) Consolidation of proceedings. Any number of cases before the employment appeal board may be consolidated for hearing, argument, consideration and decision when the facts and circumstances are the same or similar and no substantial right of any party will be prejudiced.

3.1(6) Issues on appeal. The employment appeal board may consider any issue raised by the action pertaining to the eligibility of an individual for unemployment insurance benefits. If new issues appear, different from those which are noticed in the appeal, the board may remand such issues to an administrative law judge for appropriate action, or in the interest of prompt administration of justice and without prejudicing the substantive rights of any party, may hear and decide any issue material to the appeal, even if not specifically indicated as a ground for appeal or not noticed for the administrative hearing.

3.1(7) New or additional evidence.

a. An application to present new or additional evidence shall be in writing and shall be filed within ten days after the date of mailing notice to the parties that an appeal has been filed.

b. The application to present new or additional evidence shall state the nature of the evidence, the materiality of such evidence, and the reasons why such evidence was not introduced at the hearing before the administrative law judge. No such evidence shall be considered by the board unless the board has ordered it admitted.

c. Whenever the board, on its own motion, or upon the application of a party, orders the taking of new or additional evidence, the board may schedule a hearing or remand the matter to an administrative law judge. The issues at such hearing shall be limited to those issues designated by the appeal board. The parties shall be notified ten days before the date of the hearing, specifying the place and time of the hearing.

d. Whenever the board holds the hearing, the parties may introduce such evidence as may be pertinent to the issues on which the board has directed the taking of evidence. All parties shall have the right to examine and cross-examine other parties and witnesses.

e. If only documentary evidence is to be admitted, a copy of the evidence shall be mailed by the board to each of the parties, and the parties shall be granted ten days to submit written arguments on that evidence. The party which has not submitted the new evidence may submit rebuttal evidence to the new evidence.

3.1(8) Postponement of hearing of appeals. Applications for postponement of hearing of appeals, scheduled before the appeal board, shall be submitted in writing at least three days before the date of the scheduled hearing, and shall be granted at the discretion of the appeal board. Each party shall be granted only one postponement, except as determined by the chairperson of the appeal board.

3.1(9) Adjournment and continuance. Adjournment and continuance may be granted for good cause by the appeal board. Notice of the adjournment or continuance shall be given to all parties, at their last-known address according to the division's record.

3.1(10) Hearing of appeals. An appeal to the board may be considered and decided based upon the evidence in therecord made before the administrative law judge or the appeal board. The board may schedule a hearing to permit the parties to offer oral or written argument, or both. The parties shall be notified by the appeal board of such hearing by notice at least ten days before the date of the hearing.

3.1(11) Remand of appeals. The appeal board may remand any claim or claims for any issue involved in the claim or pertaining to the claim to an administrative law judge for the taking of additional evidence as the appeal board may deem necessary.

3.1(12) Taking of evidence. If the appeal board decides that evidence shall be taken, such evidence may be taken before the appeal board. The hearing may be conducted by the appeal board, or the board may designate an attorney employed by the appeal board to conduct such hearing. The parties shall be notified of the time and date of the hearing and shall be provided with instructions about how to participate in the hearing. The proceedings shall be recorded and made a part of the record.

3.1(13) Written briefs and oral arguments. The parties shall be granted the opportunity to submit written briefs on all issues to be decided. The briefs and arguments shall be submitted within seven days from the date of mailing of the transcript of testimony, in cases where an evidentiary hearing was held. In those cases where no hearing was held, the parties shall have ten days to submit written briefs and the opportunity to show good cause for not appearing. A request for extension of time to submit briefs must be made within the time set for submission of the briefs. Each party shall be granted one seven-day extension without justification. Requests for second extensions must be for good cause and will be granted at the discretion of the chairperson of the appeal board.

The appeal board may afford the parties an opportunity to present oral arguments and may limit the time of oral arguments. Requests to present oral arguments shall be submitted within ten days from the date of mailing of the acknowledgment of appeal and shall state the reasons for the oral argument.

3.1(14) Nonappearance at appeal hearing. If the appellant fails to appear at a scheduled hearing and does not submit good cause for failing to appear within ten days from the date of the hearing, the appeal board shall issue a decision based upon the evidence contained in the record.

3.1(15) Withdrawal of appeal. Any appeal may be withdrawn by the appellant, by written request, anytime before a decision is issued by the appeal board. If a request is made, the appeal shall be dismissed. An appeal so dismissed may be reinstated by the appeal board if the appellant files a written request to reinstate and shows that the request for withdrawal resulted from misinformation given by the workforce development department, unemployment insurance division, or for other good cause shown, as determined by the appeal board. A request for reinstatement shall be made within 60 days after the mailing of the decision dismissing the appeal or, in the event of fraud, within 60 days after discovery of the fraud.

3.1(16) Late appeals. The appeal board shall dismiss appeals which are not filed within 15 days from the date of the administrative law judge's decision, unless good cause for the delay has been shown.

486--3.2(10A) Removals.

3.2(1) Within ten days following the decision of an administrative law judge, and in the absence of a filing of a notice of appeal to the appeal board by any of the parties from a decision of the administrative law judge, the appeal board on its own motion may order the parties to appear before the board for a hearing on the claim or any issue involved therein.

3.2(2) Such hearings shall be held only after notice, mailed to the parties ten days from the date of the removal of the case to the appeal board.

3.2(3) The proceedings on any claim before an administrative law judge ordered by the appeal board to be removed to itself shall be presented, heard, and decided by the appeal board in the manner prescribed for the hearing of appeals before an administrative law judge. The appeal board may review the evidence already contained in the record, giving the parties time to file written briefs and arguments, and issue a decision based upon that evidence.

486--3.3(10A) Appeal board decisions.

3.3(1) An appeal shall be decided based upon the evidence contained in the entire record before the administrative law judge, including the testimony of the hearing before the administrative law judge, together with any oral or written arguments presented to the board. Should the appeal board order additional evidence be admitted to the record, that evidence and briefs pertaining to that evidence shall be considered.

3.3(2) Following the review of an appeal or the conclusion of a hearing on appeal, the appeal board shall, within a reasonable time, render a written decision. The decision shall be signed by the members of the appeal board who reviewed the appeal, and a copy of said decision shall be filed in the offices of the employment appeal board. All decisions of the appeal board shall be filed in the offices of the unemployment insurance division of the workforce development department.

3.3(3) A quorum of two members of the appeal board must be present when any decision is made by the appeal board. Should there be only two members present and those two members cannot agree upon the decision, the case shall be issued as a split decision and the decision of the administrative law judge shall be affirmed by operation of law.

3.3(4) If a decision of the appeal board is not unanimous, the decision of the majority shall control. A majority shall be two members. The minority member may file a dissent from such decision setting forth the reasons why that member fails to agree with the majority. The appeal board, in its discretion, may omit the giving of any reasons for its decision on cases in which the decision of an administrative law judge is affirmed without any alteration or modification.

3.3(5) Copies of the decision shall be mailed to all parties to the appeal. The decision shall specify the parties' appeal rights.

3.3(6) The appeal board's decision shall become the final decision of the unemployment insurance division of the workforce development department 30 days after the decision is mailed to all interested parties of record. The date of mailing shall be affixed to the decision immediately below the signatures of the board members reviewing the decision. Any party may file an application for rehearing within 20 days of the date of the board's decision.

3.3(7) The appeal board's decision on an application for rehearing shall be final and without further review 30 days after the date the decision is mailed to the parties of record, unless within that 30 days a petition for judicial review is filed in the appropriate district court.

3.3(8) An application for rehearing shall be deemed denied unless the appeal board acts upon that application within 20 days of its filing date with the appeal board. A petition for judicial review may be filed within 30 days of the date of the appeal board's decision without the necessity of filing an application for rehearing.

3.3(9) After a decision of the appeal board has become final, the matter shall not be reopened, reconsidered, or reheard. The decision shall not be changed except to correct obvious clerical errors in the decision.

486--3.4(10A) Rehearing of the appeal board decision.

3.4(1) Solely on showing of good cause, the appeal board may, upon application by a party, reopen and review any prior decision, provided the application for rehearing is filed within 20 days from the date of the issuance of the prior decision.

3.4(2) The application shall be in writing, stating specific grounds therefor and the specific relief sought. Copies of such application shall be mailed, by the appeal board, to all parties of record not joining in the application.

3.4(3) In determining whether good cause exists for the appeal board to rehear a prior decision, the following factors shall be considered:

a. Whether the application presents newly discovered evidence or facts which are not cumulative, corroborative, or material to the issue decided and are not of sufficient weight to cause a reversal or change in the appeal board's decision.

b. Prior to and at the time of the appeal board's decision, such new information must not have been available through reasonable search by the applicant and must not have been previously considered in any prior appeals decision.

c. When the application presents evidence that benefits were allowed or denied, or the amount of benefits was fixed on the basis of nondisclosure or a misrepresentation of material fact.

3.4(4) If the application for rehearing is granted, the rec-ord shall be reopened and the matter may be remanded to an administrative law judge to allow the taking of further testimony and the establishment of further or new findings of fact. The matter then may be transferred to the appeal board for final action. The appeal board may admit documentary evidence or take additional testimony and then reissue a decision based upon the entire record.

3.4(5) The application for rehearing shall be deemed denied unless the appeal board takes action to grant or deny the application within 20 days from the date of the filing of the application.

3.4(6) If the application for rehearing is denied, all administrative remedies shall have been exhausted and the applicant may petition the appropriate district court for review pursuant to Iowa Code section 17A.19.

486--3.5(10A) Disqualification of appeal board members.

3.5(1) No appeal board member shall participate in any hearing in which the member has an interest which might affect the ultimate decision.

3.5(2) A challenge to the interest of an appeal board member may be made in writing at any time prior to the date the appeal board's decision becomes final.

3.5(3) Such challenge shall be filed with the chairperson of the appeal board and will be heard by the unchallenged members of the appeal board. A tie vote shall result in dismissing the challenge.

3.5(4) In the event one or more members of the appeal board are absent or otherwise disqualified, the case will be reviewed by the remaining members. A tie vote will result in affirming the administrative law judge's decision by operation of law.

486--3.6(10A) Public hearing. All hearings and meetings of the employment appeal board shall be open to the public except where the provisions of Iowa Code section 20.5 apply.

486--3.7(10A) Specific rules applicable to unemployment insurance claims.

3.7(1) Investigations.

a. Whenever, in the course of an appeal, an investigation, inquiry, payroll audit or other examination appears necessary for a proper determination of a case, the appeal board may request such investigation, inquiry, payroll audit, or other examination through the appropriate department.

b. Hearings on the appeal shall be continued or adjourned pending the completion of such investigation, inquiry, or examination.

c. The right to be informed of, to cross-examine, to inspect, and to rebut the results of the investigation, inquiry, or examination shall be preserved to all parties to the appeal.

3.7(2) Information to be furnished.

a. Information from the records of the workforce development department, unemployment insurance division, shall be furnished to a party or the party's representative to the extent necessary for the proper presentation of an appeal upon application.

b. Applications for information from records of the division shall state the nature of the information desired.

3.7(3) Payment of benefits. If the appeal board's decision allows benefits by reversing or modifying an administrative law judge's decision, benefits shall be promptly paid. The filing of an application for a rehearing or for judicial review shall not stay the effect of the appeal board's decision.

3.7(4) Redeterminations.

a. If a claim has been decided under the gross misconduct section of the Iowa Code, a redetermination may be made anytime within five years of the effective date of the claim, even though a final decision has been made by the appeal board.

b. The redetermination may be appealed to the appeal board.

c. If the redetermination results in a reversal of an allowance of benefits and holds that the claimant was discharged for an act of gross misconduct, all benefits paid to the claimant prior to the redetermination shall be assessed as an overpayment and shall be collectible in the manner provided in Iowa Code section 96.14(3) for the collection of past due contributions.

d. If the redetermination results in an allowance of benefits by reversing a previously imposed disqualification for gross misconduct, the claimant shall be paid benefits for all weeks for which the claimant has submitted a continued claim report form.

e. A request for a redetermination may be made only by an interested party to the original case which resulted in the determination, decision, or final decision of the appeal board under the gross misconduct section.

3.7(5) Workforce development department employees as witnesses.

a. Those employees of the workforce development department directly involved in handling the claim which resulted in the appeal may be called to testify by the appeal board.

b. The employee having direct knowledge of the local job market may be called as a witness by the appeal board to testify concerning the wages, hours and other conditions of employment relating to the particular job and job market involved in the appeal.

c. The employer to whom an applicant is referred for work or who offers work or recall to work of an individual claiming unemployment insurance benefits shall be named in the appeal and shall receive all applicable notices and decisions.

486--3.8(10A) Retention of records. Records of proceedings in contested cases, appealed to the employment appeal board, shall be retained:

1. Sixty days following the final date for an appeal to the district court.

2. Sixty days following the entry of a final order by the district court.

3. Sixty days following the filing of the decision of the court of appeals.

4. Sixty days following the filing of an opinion by the supreme court.

Other records of the employment appeal board may be retained as determined by the board.

Records of cases involving federal appeals or those cases which are governed by federal law or rules shall be retained as determined by federal regulation pertaining to the case.

These rules are intended to implement Iowa Code section 10A.601.

ITEM 4. Amend rule 486-4.60(10A,88) as follows:

486--4.60(10A,88) Notice of hearing. Notice of the time, place, and nature of a hearing shall be given to the parties and intervenors at least ten days in advance of such hearing, except as otherwise provided in 4.101(10A,88). Such notice shall be given by certified mail, return receipt requested.

ITEM 5. Amend subrule 4.90(5) as follows:

4.90(5) Parties and intervenors shall be promptly notified of each proposed or final decision or order by the delivery to them of a copy of such decision or order by certified mail return receipt requested.

ITEM 6. Rescind 486--Chapter 5 and adopt the following new chapter in lieu thereof:

5.1(1) Form and time of appeal. A person aggrieved by a personnel action pertaining to an application rejection; examination rating; removal from an eligible list or disqualification; or veteran's points rejection may appeal to the employment appeal board within 30 days from the date of the notification of the action. The appeal must be in writing, signed by the appellant or authorized agent. If an appeal is signed by the authorized agent, the name of the appellant shall be shown in the appeal.

The appeal shall be addressed to Employment Appeal Board, Lucas State Office Building, Second Floor, Des Moines, Iowa 50319.

5.1(2) Taking the appeal. An appeal may be filed by mail, by facsimile transmission, by other transmission, or in person. If filed by U.S. Postal Service, the date of filing shall be the date of the postmark, if legible. If by fax, the date of filing shall be the date of the fax transmission. If by other transmission, or in person, the date of filing shall be the date received by the employment appeal board.

The employment appeal board shall provide the respondent agency a copy of the appeal.

5.1(3) Hearing date and notice. Upon receipt of the appeal, the appeal board shall determine if the board will conduct the hearing or if it will assign the appeal to an administrative law judge of the appeals section of the department of inspections and appeals. If the board conducts the hearing, a hearing date shall be established and notice of the hearing shall be sent to the parties by ordinary mail not less than ten days prior to the hearing.

If the matter is assigned to an administrative law judge, the matter shall be assigned for hearing by the administrative law judge utilizing procedures established by the appeals section of the department of inspections and appeals.

5.1(4) Continuances. Requests for continuance of a hearing must be made not less than three days before the scheduled hearing date. The request must be in writing and signed by the requesting party or an authorized representative. Each party shall be granted only one continuance, unless good cause is established as determined by the chairperson of the appeal board or assigned administrative law judge.

5.1(5) Hearings. The hearing may be conducted by a quorum of the employment appeal board. A quorum of the appeal board shall be two members. If the matter is assigned to an administrative law judge, that person shall conduct the hearing.

5.1(6) Procedure during hearings. If the appeal is heard by the employment appeal board, the hearing shall be conducted in an informal manner utilizing the procedures provided in Iowa Code section 17A.12.

5.1(7) Decision. If the hearing is conducted by the employment appeal board, the decision of the board shall be the final decision. If the hearing is conducted by an administrative law judge, the decision shall be a proposed decision, which shall become the final decision 20 days after the issue date of that decision, unless a further appeal is taken to the employment appeal board. The appeal board on further review may reverse, modify or remand the proposed decision. The decision of the employment appeal board becomes the final decision on further review.

5.1(8) Rehearings and further appeals. The decision of the appeal board shall be the final decision of the agency. A request for rehearing must be filed within 20 days of the date of the board's decision. The board has 20 days from the date of filing to act on the request for rehearing or it is deemed denied by law. Any appeal to district court must be made within 30 days from the date of the decision of the employment appeal board or to the denial, or deemed denial, of the request for rehearing.

This rule is intended to implement Iowa Code section 10A.601.

ITEM 7. Rescind 486--Chapter 7 and adopt the following new chapter in lieu thereof:

7.1(1) Form and time of appeal. Any contractor aggrieved by a citation of notice of proposed administrative penalty shall notify the commissioner of labor, within 15 working days from the date of receipt of the notice, that the contractor intends to contest the citation or proposed penalty. The commissioner shall, within 10 working days of the receipt of the notice of contest, transmit the original notice of contest to the employment appeal board, together with allrecords and documents contained in the administrative file, except the agency work product. The contest (hereinafter called appeal) must be in writing, signed by the respondent or authorized agent. If an appeal is signed by an authorized agent, the name of the respondent shall be shown at the end of the appeal, followed by the signature of the authorized agent.

7.1(2) Taking the appeal. An appeal shall be deemed filed on the date the notice of contest is filed with the commissioner of labor. The date shall be the date of the postmark, if filed by using the U. S. Postal Service with a properly addressed envelope with sufficient postage paid by the respondent. If the appeal is metered, with no postmark on the envelope, the date of the meter mark shall be the filing date. If neither a postmark nor meter mark is available, the date of the notice of contest shall be the filing date. If the notice of contest is filed by facsimile document, the date of the fax shall be the filing date.

7.1(3) Hearing date and notice. Upon receipt of the appeal, a determination shall be made by the appeal board whether the board shall hear the appeal or whether the appeal shall be assigned to an administrative law judge in the appeals section of the department of inspections and appeals. If the board determines it will hear the appeal, notice shall be provided to the parties, by ordinary mail, of the date and time of the hearing. This notice shall be provided not less than ten days prior to the hearing date. If the hearing is to be conducted by an administrative law judge, that judge shall provide notice of the hearing as provided by the rules of the appeals section.

7.1(4) Continuances. Requests for continuance of a hearing must be made not less than three days prior to the scheduled hearing date. The request must be in writing and signed by the requesting party or authorized representative. Each party shall be granted only one continuance, unless good cause is established for additional continuances. The chairperson of the appeal board shall determine whether good cause has been established for additional continuances.

7.1(5) Hearing. The hearing may be conducted by a quorum of the employment appeal board. A quorum shall consist of two members of the employment appeal board.

7.1(6) Procedures during hearings. The hearing shall be conducted in an informal manner as provided for by Iowa Code section 17A.12.

7.1(7) Decisions. When the employment appeal board presides at the reception of the evidence, the decision of the employment appeal board is the final decision. If the hearing is conducted by an administrative law judge, the decision of the judge shall be a proposed decision which shall become final unless an application for further review is filed with the employment appeal board within 20 days of the date of the administrative law judge's decision.

7.1(8) Hearings and further appeals. The decision of the employment appeal board is the final decision of the agency. An application for rehearing, as provided for by Iowa Code section 17A.16(2), must be filed within 20 days of the date of the employment appeal board's decision. The application shall be in writing, stating specific grounds for the rehearing, and be signed by the aggrieved party or representative.

An application for rehearing shall be deemed denied unless acted upon by the employment appeal board within 20 days of its filing by the party.

The decision of the appeal board shall become final, without further review, unless within 60 days from the date of the board's decision, a petition for judicial review is filed in the appropriate district court. A petition for judicial review may be filed within 60 days from the date the application for rehearing has been denied or deemed denied.

This rule is intended to implement Iowa Code section 10A.601 and Iowa Code chapter 91C.

ITEM 8. Adopt new 486--Chapter 9 as follows:

9.1(1) Form and time of appeal. Any party aggrieved by a decision of an administrative law judge of the department of inspections and appeals may file an appeal with the employment appeal board. The appeal must be filed within 30 days of the date of the decision of the administrative law judge.

9.1(2) Taking the appeal. The appeal shall be deemed filed if by U.S. Postal Service, the date of the postmark or date of meter mark if no postmark; if by facsimile transmission, the date of the fax transmission; if by any other method, the date received by the employment appeal board.

9.1(3) Notice to agency. Upon receipt of the appeal, the employment appeal board shall notify the department of personnel, IPERS division, of the appeal and shall provide a copy of the appeal to the department of personnel.

9.1(4) Hearing. The employment appeal board shall not conduct a new hearing on the matter on review. However, the board shall provide the parties with a transcript of the hearing held before the administrative law judge and shall provide the parties time to file written briefs on the issues.

9.1(5) Continuances. The parties will be allowed reasonable continuances for submission of written briefs and arguments. Requests for second continuances must be justified by good cause.

9.1(6) Additional evidence. The employment appeal board will not admit or consider any new or additional evidence which was not submitted to the administrative law judge, unless the party submitting the new or additional evidence establishes good cause for not submitting the evidence at the evidentiary hearing.

9.1(7) Decision. The decision of the employment appeal board is the final agency decision for purposes of judicial review. The decision of the board becomes final 30 days after the date of the decision and not further reviewable unless a petition for judicial review is filed pursuant to Iowa Code section 17A.19.

The party aggrieved by a decision of the employment appeal board may file an application for rehearing before the employment appeal board within 20 days of the date of the board's decision. If an application for rehearing is filed, the date for judicial review is delayed until either 20 days from the date of filing the application for rehearing if no action has been taken by the board or 30 days from the date of denial by the board or deemed denied by operation of law.

This rule is intended to implement Iowa Code section 97B.27.

ARC 8194A

Notice of Intended Action was published in the Iowa Administrative Bulletin on June 3, 1998, as ARC 8050A. Public comments were received with respect to a desire to change the report due date for political action committees for the October 19 report to September 30, but since this was not a change in the rules and simply a recitation of the statute, the Board took no action. Another person questioned whether the rules prevented a public employee from lobbying or talking with the legislature, and the Board determined the rules did not prohibit this. A county official questioned whether the official would be subject to criticism for attending meetings during daytime hours, but since working hours of county officials are not set in the statute, it was determined this would not occur. Any questions raised in the last two categories would (as always) be considered on a case-by-case basis by the Board. The Board consensus was that it is impossible to codify every possible incident that could occur, and that there is an expectation of reasonable administration by the Board. The adopted amendments are identical to those published under Notice of Intended Action.

The Ethics and Campaign Disclosure Board adopted these amendments on July 9, 1998.

The subdivision of Chapter 4 was begun with rule making under ARC 8047A and ARC 8049A, effective July 8, 1998, which broke the chapter into two divisions. Items 1 through 4 of this rule making further subdivide Division I of the chapter, "General," into three divisions to allow for easier identification of rules within the chapter that relate to a particular area of interest. The specific divisions created by this action are Division I, "Organizational Requirements," Division II, "Reporting and Financial Transaction Requirements," and Division III, "Political Material--Attribution Statements." Current Division II, "Corporate Political Activity," becomes Division IV of the chapter, and current Division III, "Independent Expenditures and In-kind Contributions," becomes Division V of the chapter. The rules currently in Chapter 4 are transferred and renumbered or rewritten, as necessary, to incorporate current statutory interpretations into the relevant rule provisions. The overall intent is not to make significant substantive change in the Board's administration or policy, but rather to make it easier for interested and affected persons to be able to find rule provisions which may impact their activity, through the use of topical subdivisions and the splitting of lengthy rules into multiple rules with specific subject headings and subheadings.

The following table explains the reorganization:

These amendments are intended to implement Iowa Code sections 56.3, 56.3A, 56.4, 56.5, 56.6, 56.7, 56.41 and 68B.32A.

The amendments will become effective September 2, 1998.

The following amendments are adopted.

ITEM 1. Amend 351--Chapter 4 by rescinding the heading "Division I, General," including rules 351--4.1(56) through 351--4.22(56), and adopting the heading "Division I, Organizational Requirements," to include rules 351--4.1(56,68B) through 351--4.19(56,68B).

ITEM 2. Amend 351--Chapter 4 by renaming and renumbering the heading "Division II, Corporate Political Activity," including rules 351--4.23(56) through 351-- 4.32(56), as "Division IV, Corporate Political Activity," including rules 351--4.80(56) through 351--4.99(56).

ITEM 3. Amend 351--Chapter 4 by renaming and renumbering the heading "Division III, Independent Expenditures and In-kind Contributions," including rules 351-- 4.100(56,68B) through 351--4.109(56,68B), as "Division V, Independent Expenditures and In-kind Contributions," including rules 351--4.100(56,68B) through 351-- 4.109(56,68B).

ITEM 4. Amend 351--Chapter 4 by inserting the heading, "Division II, Reporting and Transaction Requirements," including rules 351--4.20(56,68B) through 351-- 4.69(56,68B), by inserting the heading "Division III, Political Material--Attribution Statements," including rules 351--4.70(56,68B) through 351--4.79(56,68B), and by inserting the heading "Division VI, Committee Dissolution," including rules 351--4.110(56,68B) through 351-- 4.119(56,68B).

ITEM 5. Rescind rule 351--4.1(56) and adopt the following new rule 351--4.1(56,68B):

351--4.1(56,68B) Requirement to file statement of organization (DR-1)--persons subject to requirements; financial thresholds; where to file; when due.

4.1(1) Persons subject to requirement. Every committee shall file a statement of organization (Form DR-1) within ten days from the date of its organization. The forms shall be either typewritten or printed legibly in black ink.

a. "Committee" defined. A "committee" includes a "candidate's committee," which is the entity required to be created when a candidate has exceeded the $500 organizational threshold, even though the organization may consist only of the candidate. A "committee" also includes a "political committee," which is the entity required to be created when two or more individuals have exceeded the $500 organizational threshold for permanent or temporary political purposes.

b. When organization occurs; financial thresholds. At the latest, organization is construed to have occurred as of the date that the committee first exceeded $500 of financial activity in a calendar year in any of the following categories: contributions received (aggregate of monetary and in-kind contributions); expenditures made; or indebtedness incurred.

c. Permanent organizations temporarily engaging in activity for political purposes. The requirement to file the statement of organization applies to an entity which comes under the definition of a "political committee" because it is an association, lodge, society, cooperative, union, fraternity, sorority, educational institution, civic organization, labor organization, religious organization, professional organization or other permanent organization which temporarily engages in political activity by accepting contributions in excess of $500 in the aggregate, making expenditures in excess of $500 in the aggregate, or incurring indebtedness in excess of $500 in the aggregate in any one calendar year for the purpose of supporting or opposing the election of a candidate for public office, or for the purpose of supporting or opposing the passage of a ballot issue.

4.1(2) Place of filing.

a. Board office. Statements of organization for the following committees shall be filed with the board at its office, 514 E. Locust, Suite 104, Des Moines, Iowa 50309:

(1) Candidates' committees for elected state office (legislative or statewide);

(2) Political committees supporting or opposing the election of multiple candidates for elected state office (legislative or statewide), also referred to as "statewide PAC (political action committees)";

(3) State statutory political committees (state parties);

(4) Political committees supporting or opposing the passage of a statewide ballot issue.

b. County commissioner of elections. Statements of organization for the following committees shall be filed with the county commissioner (county auditor) responsible under Iowa Code section 47.2 for conducting the election at which an elected public office or ballot issue is voted upon:

(1) Candidate's committees for candidates seeking election to a public office at the county, school, city, township or other nonlegislative district level, also referred to as "county/local candidate's" committees.

(2) Political committees supporting or opposing the election of multiple candidates for elected county or local office, also referred to as "county PACs."

(3) County or city statutory political committees (central committees); however, the committee shall file a copy of the statement of organization with the board.

(4) Political committees supporting or opposing the passage of a county or local referendum, franchise, or other ballot issue, also referred to as a county or local "ballot issue (or franchise election) committee."

(5) Political committees other than central committees established to support a nonpartisan slate of specific municipal or school board candidates, also referred to as a "slate committee."

c. Filing requirements for committees active at both the state and county/local level or active within multiple counties.

(1) Political committees supporting or opposing the election of candidates both for state office and for county or local office shall file the statement of organization with the board.

(2) Political committees which support or oppose passage of a statewide ballot issue and one or more county/local ballot issues shall file the statement of organization with the board.

(3) Political committees which support or oppose passage of a county/local ballot issue where there are multiple elections under the jurisdiction of multiple county commissioners shall file duplicate originals with each of the appropriate county commissioners. (Also see rule 351-- 4.7(56,68B).)

(4) Political committees which support or oppose the election of county or local candidates where there are multiple elections under the jurisdiction of multiple county commissioners shall file duplicate originals with each of the appropriate county commissioners.

4.1(3) Time of filing. A statement of organization is deemed to be delinquent if it is not received in the appropriate office or mailed bearing a United States Postal Service postmark dated within ten days after the date of organization. However, if the tenth day falls on a Saturday, Sunday, or holiday on which the office of the board or county commissioner where the statement is required to be filed is closed, the filing deadline is extended to the first working day following, and statements of organization received or postmarked on that day will not be considered to be delinquent.

This rule is intended to implement Iowa Code sections 56.4 and 56.5.

ITEM 6. Rescind rule 351--4.2(56) and adopt the following new rule 351--4.2(56,68B):

351--4.2(56,68B) Information required: committee name.

4.2(1) Full name required. The statement of organization shall include the full name of the committee. A committee which uses an abbreviation or acronym as part of its committee name shall provide a written explanation of the full word or words which are abbreviated or form the acronym. The explanation may be provided with the committee's statement of organization and shall be provided to the board upon request.

4.2(2) Duplication of name prohibited. The committee name shall not substantially duplicate the name of another committee organized under Iowa Code chapter 56. In cases of dispute, the board shall determine whether two committee names are in substantial duplication in violation of this rule and Iowa Code section 56.5. However, if a candidate with a preexisting open candidate's committee or previously dissolved candidate's committee organizes a new candidate's committee for a new election or for a new office sought, the same committee name may be used provided that the name is in compliance with Iowa Code section 56.5(2)"a" and subrule 4.2(3) and that any open committee for the candidate with the same name is dissolved simultaneously with the organization of the new committee.

4.2(3) Candidate's surname required in committee name--candidate's committees. For candidate's committees filing initial statements of organization on or after July 1, 1995, the candidate's surname shall be contained within the committee name. This requirement also applies to new candidate's committees organized by candidates who have a preexisting candidate's committee, but who organize a new candidate's committee for a new election or for a new office sought.

This rule is intended to implement Iowa Code section 56.5.

ITEM 7. Renumber rule 351--4.3(56) as 351-- 4.41(56,68B) and adopt the following new rule 351-- 4.3(56,68B):

351--4.3(56,68B) Information required: committee purpose; party affiliation. The committee shall identify the purpose of the committee on the statement of organization. The purpose shall be indicated in part by designating the committee as one of the following types of committees:

Type 1 - A candidate's committee for a statewide or legislative candidate.

Type 2 - A political committee other than a central committee which supports or opposes multiple candidates at the state level, also referred to as a "statewide PAC (political action committee)." This committee type also includes a political committee other than a central committee which supports or opposes the passage of a statewide ballot issue.

Type 3 - A state statutory political committee, also referred to as a "state party."

Type 4 - A candidate's committee for a candidate seeking election to a public office at the county, school, city, township or other nonlegislative district level, also referred to as a "county/local" candidate's committee.

Type 5 - A political committee other than a central committee which supports or opposes the election of multiple county/local candidates, also referred to as a "county PAC."

Type 6 - A political committee which supports or opposes passage of a referendum, franchise, or other ballot issue, also referred to as a "ballot issue/franchise" committee.

Type 7 - A city or county statutory political committee, also referred to as a "county (or city) central committee."

Type 8 - A political committee other than a central committee established to support a nonpartisan slate of specific municipal or school board candidates, also referred to as a "slate committee."

Candidate's committees are deemed to be established for the purpose of supporting the election of the candidate for public office. All candidate's committees shall designate the political affiliation of the candidate. All political committees shall designate that they are either established for the purpose of supporting or opposing the election of candidates or for the purpose of supporting or opposing the passage of a ballot issue. A political committee established to support or oppose the election of candidates shall, in addition, include in its description of purpose the party affiliation of all candidates whom the committee is supporting. However, if the committee is supporting candidates who are not of the same political affiliation, the committee shall include in its description of purpose that the committee supports candidates of multiple parties. Likewise, if the committee is exclusively supporting candidates in nonpartisan elections, the description of purpose shall so indicate.

This rule is intended to implement Iowa Code section 56.5.

ITEM 8. Renumber rule 351--4.4(56) as 351-- 4.73(56,68B) and adopt the following new rule 351-- 4.4(56,68B):

351--4.4(56,68B) Information required: officers; committee information; signatures.

4.4(1) Committee officers. The committee shall indicate on the statement of organization the name, mailing address, telephone number, and office of the committee officers. Every candidate's committee shall have at least a treasurer who shall be an Iowa resident who has reached the age of majority. Every political committee shall have at least a treasurer and a chairperson, each of whom shall have reached the age of majority.

4.4(2) Committee address and telephone number. The address and telephone number of the treasurer as indicated on the statement of organization shall be considered to be the official committee address and telephone number to be used for routine communication from the board to the committee.

4.4(3) Signatures. The statement of organization shall be signed by both the treasurer and candidate, in the case of a candidate's committee, or by the treasurer and chairperson, in the case of a political committee.

This rule is intended to implement Iowa Code section 56.5.

ITEM 9. Rescind rule 351--4.5(56) and adopt the following new rule 351--4.5(56,68B):

351--4.5(56,68B) Information required: identification of financial institution; account names; voided check. The committee shall indicate on the statement of organization the name and mailing address of all financial institutions in which committee funds are maintained. The name(s) and type(s) of the account(s) shall also be provided and shall be the same name as the committee name as it appears on the statement of organization. For all checking accounts, the committee shall attach a copy of a voided check to the statement of organization. If funds are maintained in financial accounts or instruments other than checking or savings accounts, an explanation of the type of account or instrument shall be provided with the identification of the financial institution and account name.

This rule is intended to implement Iowa Code section 56.5.

ITEM 10. Renumber rule 351--4.6(56) as 351-- 4.42(56,68B) and adopt the following new rule 351-- 4.6(56,68B):

351--4.6(56,68B) Amendments to statement of organization; requirement for new statement of organization for new office sought.

4.6(1) Amendment within 30 days. If there are changes in any of the information required on the statement of organization, the committee shall complete and file an amended statement of organization with the board or the county commissioner (county auditor), as appropriate, within 30 days of the change.

4.6(2) New statement of organization for new office sought. For purposes of more accurate public disclosure, improved financial accounting, and administrative efficiency, a candidate who determines to seek a different elective office than originally indicated on the statement of organization shall organize a new committee by filing a new statement of organization and opening a new committee account(s). For example, a prior city council candidate shall file a new statement of organization and form a new committee to seek the office of county supervisor; a prior state representative candidate shall file a new statement of organization and form a new committee to seek the office of state senator; a prior state treasurer candidate shall file a new statement of organization and form a new committee to seek the office of governor. However, a candidate need not file a new statement of organization and form a new committee to seek election or reelection to the same office previously sought; rather, the prior statement of organization shall be amended to reflect the date of the current election. The funds of a prior candidate's committee of the same candidate may be transferred into the new committee account as provided by Iowa Code sections 56.40 and 56.42. The name of the new candidate's committee may be the same as the prior candidate's committee, provided that the prior committee is dissolved simultaneously with the organization of the new committee, and further provided that the committee name is otherwise in compliance with rule 351--4.2(56,68B) and Iowa Code section 56.5 (including the incorporation of the candidate's surname). This subrule shall apply to all candidates who seek a new elective office on or after January 1, 1999.

This rule is intended to implement Iowa Code section 56.5.

ITEM 11. Renumber rule 351--4.7(56) as 351-- 4.45(56,68B) and adopt the following new rule 351-- 4.7(56,68B):

351--4.7(56,68B) Committees which support county/local ballot or franchise issues in multiple counties orlocalities--organization. An entity which supports or opposes passage of multiple ballot or franchise issues which appear in multiple counties or localities may operate as a single enterprise, and receive contributions and make expenditures through a single account. However, for the purposes of Iowa Code section 56.5, the entity shall organize as a separate committee for each ballot or franchise issue election which appears on a ballot. If the entity chooses to operate with regard to the multiple elections as a single enterprise, a copy of the committee's statement of organization with original signatures (a duplicate original) shall be filed with each county commissioner (county auditor) responsible for a ballot or franchise issue election whose passage the committee supports or opposes. (Also see rule 351--4.24(56,68B) for financial reporting requirements.)

This rule is intended to implement Iowa Code sections 56.4 and 56.5.

ITEM 12. Renumber rule 351--4.8(56) as 351-- 4.39(56,68B) and reserve rule 351--4.8(56).

ITEM 13. Renumber rule 351--4.9(56) as 351-- 4.38(56,68B) and reserve rule 351--4.9(56).

ITEM 14. Rescind and reserve rule 351--4.10(56).

ITEM 15. Renumber rule 351--4.11(56) as 351-- 4.40(56,68B) and reserve rule 351--4.11(56).

ITEM 16. Renumber rule 351--4.12(56) as 351-- 4.46(56,68B) and reserve rule 351--4.12(56).

ITEM 17. Renumber rule 351--4.13(56) as 351-- 4.48(56,68B) and reserve rule 351--4.13(56).

ITEM 18. Rescind and reserve rule 351--4.14(56).

ITEM 19. Renumber rule 351--4.15(56) as 351-- 4.50(56,68B) and reserve rule 351--4.15(56).

ITEM 20. Rescind and reserve rule 351--4.16(56).

ITEM 21. Renumber rule 351--4.17(56) as 351-- 4.52(56,68B) and reserve rule 351--4.17(56).

ITEM 22. Renumber rule 351--4.18(56) as 351-- 4.47(56,68B) and reserve rule 351--4.18(56).

ITEM 23. Renumber rule 351--4.19(56) as 351-- 4.49(56,68B) and reserve rule 351--4.19(56).

ITEM 24. Renumber rule 351--4.20(56) as 351-- 4.53(56,68B) and adopt the following new rule 351-- 4.20(56,68B):

351--4.20(56,68B) Disclosure reporting required--persons subject; minimum filing if no financial activity. Every committee which has filed a statement of organization under Iowa Code section 56.6 and rule 351--4.1(56,68B) shall file a campaign finance disclosure report summary page (DR-2) by the due dates required under Iowa Code section 56.6 and rule 351--4.22(56,68B). A committee which did not have any financial activity (i.e., the committee did not receive any contributions, make any disbursements, or incur any indebtedness) during the relevant reporting period need file only the DR-2 summary page carrying forward balances from the committee's last report. A committee which did have financial activity during the relevant reporting period shall include the pertinent schedule pages detailing the transactions with the DR-2 disclosure summary page.

This rule is intended to implement Iowa Code section 56.6.

ITEM 25. Renumber rule 351--4.21(56) as 351-- 4.111(56,68B) and adopt the following new rule 351-- 4.21(56,68B):

351--4.21(56,68B) Disclosure reporting required-- where to file.

4.21(1) Board office. Disclosure reports for the following committees shall be filed with the board at its office, 514 E. Locust, Suite 104, Des Moines, Iowa 50309:

a. Candidates' committees for elected state office (legislative or statewide);

b. Political committees supporting or opposing the election of multiple candidates for elected state office (legislative or statewide), also referred to as "statewide PAC (political action committees)";

c. State statutory political committees (state parties);

d. Political committees supporting or opposing the passage of a statewide ballot issue.

4.21(2) County commissioner of elections. Disclosure reports for the following committees shall be filed with the county commissioner (county auditor) responsible under Iowa Code section 47.2 for conducting the election at which an elected public office or ballot issue is voted upon:

a. Candidate's committees for candidates seeking election to a public office at the county, school, city, township or other nonlegislative district level, also referred to as "county/local candidate's" committees.

b. Political committees supporting or opposing the election of multiple candidates for elected county or local office, also referred to as "county PACs."

c. County or city statutory political committees (central committees); however, the committee shall also file a copy of the report with the board.

d. Political committees supporting or opposing the passage of a county or local referendum, franchise, or other ballot issue, also referred to as a county or local "ballot issue (or franchise election) committee."

e. Political committees other than central committees established to support a nonpartisan slate of specific municipal or school board candidates, also referred to as a "slate committee."

4.21(3) Joint filing requirements for activity at both the state and county/local levels.

a. Political committees supporting or opposing the election of candidates both for state office and for county or local office shall file the original disclosure report with the board and shall file with the appropriate county commissioner(s) (county auditor(s)) a copy of the report summary page (DR-2) and a copy of the page(s) of the report which contain transactions relating to the county/local candidate.

b. Political committees which support or oppose the passage of a statewide ballot issue and one or more county/local ballot issues shall file the original disclosure report with the board and shall file with the appropriate county commissioner(s) a copy of the report summary page (DR-2) and a copy of the page(s) of the report which contain transactions relating to the county/local ballot issue.

c. Political committees which support or oppose passage of a county/local ballot issue where there are multiple elections under the jurisdiction of multiple county commissioners shall file duplicate originals of the report with each of the appropriate county commissioners. (Also see rule 351--4.24(56,68B) with regard to the content of the disclosure reports.)

d. Political committees which support or oppose the election of county or local candidates where there are multiple elections under the jurisdiction of multiple county commissioners shall file duplicate originals of the report with each of the appropriate county commissioners.

This rule is intended to implement Iowa Code sections 56.4 and 56.6.

ITEM 26. Rescind rule 351--4.22(56) and adopt the following new rule 351--4.22(56,68B):

351--4.22(56,68B) Report due dates.

4.22(1) Statewide and general assembly candidates' committees--covering election year.

Report due	Covering period
May 19	January 1 through May 14
Friday preceding primary*	May 15 through Tuesday preceding primary*
July 19	May 15 or Wednesday preceding primary* through July 14
October 19	July 15 through October 14
Friday preceding general*	October 15 through Tuesday preceding general*
January 19 (next calendar year)	October 15 or Wednesday preceding general* through December 31 of election year

*If supplementary report required because additional financial threshold surpassed. See subrule 4.22(4).

4.22(2) Statewide and general assembly candidates' committees--covering nonelection year.

Report due	Covering period
January 19 (next calendar year)	January 1 through December 31 of nonelection year

4.22(3) Statewide and general assembly candidates' committees--covering special election.

Report due	Covering period
14th day prior to election	Date of initial financial activity (or day after period covered by last report, if previous report filed) through 19 days prior to election.
Friday preceding election*	18th day preceding election through Tuesday preceding election*

*If supplementary report required because additional financial threshold surpassed. See subrule 4.22(4).

This schedule is in addition to reports which may be required under subrules 4.22(1) and 4.22(2) because of prior or continued existence of the committee.

4.22(4) Statewide and general assembly candidates' committees--election year supplemental reports. In addition to reports required under subrules 4.22(1) and 4.22(3), a supplemental report is required if contributions received during the period beginning on the date of initial financial activity (if no previous report was filed) or the day after the period covered by the last report (if a previous report was filed) through the Tuesday preceding the primary or general election equal or exceed the following thresholds:

Office sought	Contribution threshold
Governor	$10,000 or more
Other statewide	5,000 or more
General assembly	1,000 or more

4.22(5) County candidates' committees--covering election year.

Report due	Covering period
May 19	January 1 through May 14
July 19	May 15 through July 14
October 19	July 15 through October 14
January 19 (next calendar year)	October 15 through December 31 of election year

4.22(6) County candidates' committees--covering nonelection year.

Report due	Covering period
January 19 (next calendar year)	January 1 through December 31 of nonelection year

4.22(7) Local candidates' committees, local ballot issue or franchise election committees, and slate committees--election year.

Report due	Covering period
May 19	Date of initial financial activity (or day after period covered by last report, if previous report filed) through May 14.
July 19	Date of initial financial activity (or day after period covered by last report, if previous report filed) through July 14.
5 days prior to election**	Date of initial financial activity (or day after period covered by last report, if previous report filed) through 10 days prior to election.
First of month after final election**	Date of initial financial activity (or day after period covered by last report, if previous report filed) to 5 days prior to due date.
January 19 (next calendar year)	Date of initial financial activity (or day after period covered by last report, if previous report filed) through January 14 of filing year.

**The 5 days prior to the election due date may apply multiple times during a year, if there are primary or runoff elections in which a candidate's name is on the ballot, or if a ballot issue or franchise supported or opposed by a committee is on the ballot. The first of the month after final election report is required from a candidate's committee and slate committees supporting a candidate after the last election for that election cycle where the candidate's name was on the ballot. For example, a candidate who is eliminated in a primary would owe the first of the month after final election report on the first of the month after the primary, but would not owe a 5 days prior to election report for the next election to determine the outcome of the contest for the office sought; whereas a candidate who was not eliminated by a primary election (or a general election triggering a runoff election) would owe a report 5 days prior to the general (or runoff) election, but would not owe a first of the month after final election report until the first of the month after the general (or runoff) election in which the final selection for the office sought is determined.

4.22(8) Local candidates' committees, local ballot issue or franchise election committees, and slate committees--nonelection year.

Report due	Covering period
January 19	Date of initial financial activity (or day after period covered by last report, if previous report filed) through January 14 of filing year.
October 19	Date of initial financial activity (or day after period covered by last report, if previous report filed) through October 14.

4.22(9) Statewide or county PAC (all years).

Report due	Covering period
May 19	January 1 through May 14
July 19	May 15 through July 14
October 19	July 15 through October 14
January 19	October 15 through December 31

4.22(10) State, county, or city statutory political committees (central committees)--election year.

Report due	Covering period
May 19	January 1 through May 14
July 19	May 15 through July 14
October 19	July 15 through October 14
January 19 (next calendar year)	October 15 through December 31 of election year

4.22(11) State, county, or city statutory political committees (central committees)--nonelection year.

Report due	Covering period
October 19	January 1 through October 14
January 19 (next calendar year)	October 15 through December 31 of nonelection year

4.22(12) Definition of "election year."

a. In the case of a candidate's committee, "election year" means a year in which the name of the candidate appears on a ballot for a primary, general, special, or runoff election.

b. In the case of a political committee which supports or opposes the election of candidates, other than a statutory or central committee, "election year" means a year in which the name of a candidate supported or opposed by the political committee appears on a ballot for a primary, general, special, or runoff election.

c. In the case of a statutory or central committee, "election year" means a year in which a primary or general election is held at the respective state, county, or city level.

d. In the case of a political committee which supports or opposes passage of a ballot issue, "election year" means a year in which the question for which passage is supported or opposed by the political committee appears on a ballot at a general or special election.

This rule is intended to implement Iowa Code section 56.6.

ITEM 27. Renumber rule 351--4.23(56) as 351-- 4.80(56,68B) and adopt the following new rule 351-- 4.23(56,68B):

351--4.23(56,68B) Time of filing--United States Postal Service postmark required; extension for holidays; facsimile filing.

4.23(1) Late if not received or postmarked with United States Postal Service postmark. A disclosure report is deemed to be delinquent if it is not physically received in the appropriate office or mailed bearing a United States Postal Service postmark dated on or before the report due date. Private postage meters are not acceptable as proof of timely mailing.

4.23(2) Extension for holidays. If the due date falls on a Saturday, Sunday, or holiday on which the office where the statement is required to be filed is closed, the filing due date is extended to the first working day following, and disclosure reports received or postmarked on that day will not be considered to be delinquent. If the due date falls on a date on which the office where the statement is required to be filed is open, even though it is on a day that the United States Postal Service is not postmarking deposited mail, a report is deemed to be delinquent if it is not received in the appropriate office on or before the report due date or mailed bearing a United States Postal Service postmark dated before the due date.

4.23(3) Facsimile filing. Filing by electronic facsimile is acceptable to prevent a report from being deemed delinquent. However, the original forms must be filed to replace the facsimile filing within ten days of the date the facsimile was transmitted.

This rule is intended to implement Iowa Code section 56.6.

ITEM 28. Renumber rule 351--4.24(56) as 351-- 4.81(56,68B) and adopt the following new rule 351-- 4.24(56,68B):

351--4.24(56,68B) Committees which support county/local ballot or franchise issues in multiple counties or localities--reporting. An entity which supports or opposes passage of multiple ballot or franchise issues which appear in multiple counties or localities may operate as a single entity and receive contributions and make expenditures through a single account. However, for the purposes of Iowa Code section 56.5, the entity shall file a report for each separate committee which was organized as provided in rule 4.6(56,68B). If the entity chooses to operate with regard to the multiple elections as a single enterprise, a copy of the committee's report with original signatures (a duplicate original) shall be filed with each county commissioner (county auditor) responsible for a ballot or franchise issue election which the committee supports or opposes. However, the purposes of expenditure on Schedule B must include an explanation and indicate the proportion of each expenditure which was for the support or opposition of each ballot or franchise issue.

This rule is intended to implement Iowa Code sections 56.4 and 56.6.

ITEM 29. Renumber rule 351--4.25(56) as 351-- 4.82(56,68B) and adopt the following new rule 351-- 4.25(56,68B):

351--4.25(56,68B) Exception from reporting requirement--voluntary reports.

4.25(1) Entities which have not passed financial threshold. An entity which is not subject to the Iowa campaign disclosure law because it has not yet exceeded the $500 financial threshold as defined in subrule 4.1(1), but which files a statement of organization which indicates the support or opposition of the election of candidates or support or opposition of the passage of a ballot issue shall be referred to as a "voluntary committee." A "voluntary committee" will not be considered to be delinquent for failure to comply with filing deadlines unless the entity later becomes subject to the mandatory filing of reports because it has exceeded the financial threshold. If the entity remains under the financial threshold, any documents filed by the entity shall be marked as "voluntary" and kept in the active committee files until: (1) the entity files a notice of dissolution; (2) the entity files a signed statement indicating that the "voluntary committee" has discontinued the use of its funds for political purposes, and that the financial threshold was not and will not be exceeded during the calendar year; or (3) the board orders the committee's file to be removed from the active committee files and placed in the inactive committee files. Upon receipt of an initial report from the entity indicating that the financial threshold has not yet been exceeded, or upon receipt of an initial signed statement from the committee indicating that a report will not be filed because the threshold has not been exceeded, the board staff shall notify the "voluntary committee" of the provisions and requirements of this subrule and subrule 4.25(2).

4.25(2) Statements required from "voluntary committee." A "voluntary committee" within the meaning of subrule 4.25(1) shall provide a signed statement to the board or commissioner, as appropriate, for each reporting period which occurs after the filing of the statement of organization, which attests that the "voluntary committee" has not exceeded the financial threshold through the end of the reporting period. A "voluntary committee" which fails to provide this statement shall be presumed to have exceeded the financial threshold and owe a disclosure report and may become subject to penalties pursuant to 351--Chapter 6.

4.25(3) Entities which support or oppose public policy or legislative issues. An entity which is not subject to the Iowa campaign disclosure law because it has not yet exceeded the $500 financial threshold, as defined in subrule 4.1(1), but which files a statement of organization which does not indicate the support or opposition of candidates or a ballot issue, but rather indicates support or opposition of a public policy or legislative issue shall be referred to as an "issue advocacy committee." Documents filed by an entity which is an "issue advocacy committee" shall be marked as "voluntary" but shall not be maintained with open or inactive committee files, nor shall the entity be considered to be delinquent for failure to comply with filing deadlines. Upon receipt of a statement of organization from an "issue advocacy committee," the board staff shall notify the entity that it is not subject to the campaign disclosure law and that reports from the entity will not be maintained with political committee files.

This rule is intended to implement Iowa Code sections 56.5 and 56.6.

ITEM 30. Renumber rule 351--4.26(56) as 351-- 4.83(56,68B) and adopt the following new rule 351-- 4.26(56,68B):

351--4.26(56,68B) Exception from reporting requirement--reports due within five days of one another. When two reports required by Iowa Code section 56.6 and rule 4.21(56,68B) are due from the same committee within five calendar days of each other, such as when one report is due to be filed with the county commissioner five days prior to an election and a second report is due at a regularly scheduled monthly date, the activity may be combined into one report. A committee which chooses this option shall file a report on or before the earlier of the two due dates which covers an extended reporting period through the period which would have been covered by the second report. A committee which fails to file the report on or before the earlier of the two due dates but files a combined report on or before the second due date will be considered to have been delinquent only with regard to the earlier report.

This rule is intended to implement Iowa Code section 56.6.

ITEM 31. Renumber rule 351--4.27(56) as 351-- 4.85(56,68B) and adopt the following new rule 351-- 4.27(56,68B):

351--4.27(56,68B) Report forms--summary page (DR-2) and supporting schedules. The board may require committees to submit relevant information not specifically delineated in Iowa Code chapter 56 on their disclosure report where the report form asks and leaves space for information. All information shall be pertinent to the duties of the board.

4.27(1) Official reporting forms. The disclosure reporting forms provided by the board shall be the official forms on which the disclosure reports shall be submitted. Machine copies of original report forms are acceptable. The standard forms for campaign disclosure reports are:

DR-2 -- Disclosure Summary Page

Schedule A -- Monetary Receipts

Schedule B -- Monetary Expenditures

Schedule C -- (Reserved)

Schedule D -- Incurred Indebtedness

Schedule E -- In-kind Contributions

Schedule F -- Loans Received and Repaid

Schedule G -- Consultant Activity

Schedule H -- Campaign Property

4.27(2) Computer-generated reports. Disclosure reports generated by committees through the use of reporting software issued by the board are per se acceptable in lieu of use of the board's approved paper forms. Computer-generated or printed disclosure reports generated by software other than the reporting software issued by the board may be acceptable, subject to prior board approval.

4.27(3) Typewritten or legible ink reports required. Information which is provided on all forms shall be either typewritten or printed legibly in black ink. Approved computer-generated reports satisfy this requirement.

4.27(4) Special information required for municipal, school, or local ballot issue elections. Committees supporting or opposing the election of a municipal candidate, school board candidate, or the passage of a local ballot issue shall indicate in the designated spaces on the DR-2 the date on which the election is to be held, the period covered by the disclosure report, and the control county responsible for conducting the election.

4.27(5) Signatures on DR-2 Report Summary Page. In the case of a political committee, the DR-2 Report Summary Page shall be signed by the treasurer or chairperson of the committee. In the case of a candidate's committee, the DR-2 Report Summary Page shall be signed by the treasurer or candidate.

This rule is intended to implement Iowa Code sections 56.6 and 56.7.

ITEM 32. Renumber rule 351--4.28(56) as 351-- 4.86(56,68B) and adopt the following new rule 351-- 4.28(56,68B):

351--4.28(56,68B) Schedule A - Monetary Receipts.

4.28(1) Reporting of all monetary receipts; chronological or alphabetical listings. The committee shall report the amounts of all monetary receipts which are accepted by the committee during the reporting period. If a contribution is returned to a contributor prior to the end of the reporting period and is not deposited into the committee's bank account, the contribution is deemed to have been rejected and shall not be reported. A contribution which is physically received and either deposited into the committee's account or not returned by the end of the reporting period is deemed to have been accepted. The schedule entries shall be listed in either chronological or alphabetical order by name of contributor.

4.28(2) Date of contribution--date received. The schedule shall include the complete date (month/day/year) the contribution was physically received by a person on behalf of the committee. If the contribution is by check, the date of the contribution to be reported is the date the check is physically received by a person on behalf of the committee, even if this date is different from the date shown on the check.

4.28(3) Name and address of contributor; joint accounts. The schedule shall include the name and address of each person who has made one or more contributions of money to the committee if the aggregate amount of contributions (either monetary or in-kind) received from that person in the calendar year exceeds $25, except that the itemization threshold is $200 for a state statutory political committee and $50 for a county statutory political committee. In the case of a contribution by check, the contributor name on the disclosure report shall be the name shown as the account name on the account, except that if the check is on a joint account, the contribution shall be presumed to be from the person who signs the check. If the committee chooses to itemize contributions that are less than the required itemization threshold, it may do so, but shall either do so for all contributions or no contributions under the threshold.

4.28(4) Unitemized contributions and freewill donations. If the committee does not choose to itemize all contributions under the itemization threshold ($25 for most committees--see Iowa Code section 56.6(3)"b"), it shall aggregate these contributions and report the aggregate amount as "un-itemized contributions." No date received is required to be provided for miscellaneous unitemized contributions. Un-itemized contributions may be solicited and received through a freewill donation such as a "fish bowl" or "pass the hat" collection if the collection is in compliance with rule 351--4.46(56,68B) (requiring notice to contributors and the keeping of internal records by the committee regarding identification of persons contributing more than $10). Unitem-ized contributions collected through freewill donations (the net amount of the collection after the itemization of those persons whose contributions of more than $10 in the freewill collection resulted in exceeding the annual itemization threshold) shall be reported by showing the net amount as "unitemized contributions--pass the hat (or can collection or fish bowl, for example) collection." The "date received" to be reported for a freewill donation is the date a representative of the committee takes possession of the proceeds of the collection.

4.28(5) Relationship to candidate. In the case of contributions to candidates' committees, the schedule shall include information indicating whether the contributor is related to the candidate within the third degree of consanguinity or affinity. "Consanguinity" means a relative through descent from common ancestors (by blood). "Affinity" means a relative through a current marriage. A husband has the same relation, by affinity, to his wife's blood relatives as she has to them by consanguinity and vice versa. "Degree of kinship" is determined by counting upward from one of the persons in question to the nearest common ancestor, and then down to the other person, calling it one degree for each generation in the ascending as well as the descending line. Under this rule, a woman's sister is related to her by consanguinity in the second degree. The sister is thus related to the woman's husband by affinity in the second degree. Other examples of relationships within the third degree between a contributor and a candidate would be the following: children and stepchildren (first degree); siblings and half-siblings (second degree); grandparents (second degree); grandchildren (second degree); aunts and uncles (third degree); nieces and nephews (third degree); great-grandparents (third degree) and great-grandchildren (third degree), all irrespective of whether the blood relationship is to the candidate or to the candidate's spouse.

4.28(6) PAC ID number and PAC check number. If a monetary contribution to a statewide or general assembly candidate is from a political committee other than a statutory committee (i.e., from a PAC), the candidate's committee receiving the contribution shall include in the spaces provided the board-assigned identification number of the contributing PAC and the PAC check number by which the contribution was made. A list of PAC ID numbers may be obtained from the board.

4.28(7) Fund-raiser income. Contributions arising from the sale of goods or services at a fund-raising event shall be designated by marking the indicated space on the schedule.

4.28(8) Interest and other monetary receipts other than contributions. If the monetary receipt is not a "contribution," the name and address of the source of the funds shall be identified in the space provided for the name and address of "contributor," with a notation as to the purpose of the payment, such as "bank interest."

4.28(9) Reverse entries--refunds. If a committee determines to decline or otherwise return a contribution after it has been received, accepted, and deposited, the committee may issue a refund to the contributor, which shall be reported on Schedule A as a reverse entry, reducing the monetary receipts.

This rule is intended to implement Iowa Code section 56.6.

ITEM 33. Renumber rule 351--4.29(56) as 351-- 4.87(56,68B) and adopt the following new rule 351-- 4.29(56,68B):

351--4.29(56,68B) Schedule B - Monetary Expenditures.

4.29(1) Date expended. The committee shall report the amounts of all itemized expenditures (expenditures of $5 or more) made by the committee for the reporting period chronologically by the date expended. The date of the expenditure is the date the check is issued. The complete date (month/day/year) shall be provided.

4.29(2) Name and address of recipient. The schedule shall include the name and address of each person to whom disbursements, other than loan repayments, were made during the reporting period. (Loan repayments shall be reported on Schedule F.)

4.29(3) Purpose of expenditure. The schedule shall include a description of the purpose of each disbursement. The description shall be a clear and concise statement that specifically describes the transaction which has occurred. The following general terms are examples of descriptions which are not acceptable: "expenses," "reimbursement," "candidate expense," "services," "supplies," and "miscellaneous expense." The following are examples of acceptable descriptions: "printing--candidate yard signs," "printing--PAC membership solicitation letter," "mailing--candidate brochures," "reimbursement for candidate lodging to attend campaign event," or "mileage reimbursement--150 miles @ 25cents per mile." A combined description is not acceptable unless sufficient information is provided so that the cost of separate purposes can be discerned, for example, "printing and mailing of 1,000 brochures."

4.29(4) Miscellaneous (unitemized) expenses. Notwithstanding the other provisions of this rule, disbursements of less than $5 may be shown as miscellaneous disbursements or expenses for the period so long as the aggregate miscellaneous disbursements to any one person during a calendar year do not exceed $100.

4.29(5) Candidate ID number and PAC check number. If a contribution is made by a political committee other than a statutory committee (i.e., by a PAC) to a statewide or general assembly candidate, the PAC making the contribution shall include in the spaces provided the board-assigned identification number of the recipient candidate's committee and the PAC check number by which the contribution was made. A list of candidate ID numbers may be obtained from the board.

4.29(6) Check transactions required. All disbursements, including all expenditures and any other withdrawals from committee funds, shall be by check. Cash withdrawals and "petty cash" accounts are not permitted. Committees' activities which necessitate cash drawers or other cash transactions shall be conducted and reported as provided by rule 351--4.54(56,68B).

4.29(7) Reverse entries--refunds. If a committee receives a refund of all or part of a disbursement previously made, the committee shall report the refund on Schedule B as a reverse entry, reducing the monetary expenditures. The purpose should include an explanation as to why the refund was made.

4.29(8) Interest paid; bank charges. Although repayments of loan principal are reported on Schedule F (see rule 351--4.33(56,68B)), interest payments on loans shall be reported on Schedule B. Bank service charges and fees (e.g., monthly service fees, costs for check printing, returned check charges) shall also be reported and identified on Schedule B.

This rule is intended to implement Iowa Code section 56.6.

ITEM 34. Renumber rule 351--4.31(56) as 351-- 4.88(56,68B) and adopt the following new rule 351-- 4.31(56,68B):

351--4.31(56,68B) Schedule D - Incurred Indebtedness.

4.31(1) Reporting of debts and obligations other than monetary loans. The committee shall report all debts and obligations owed by the committee which are in excess of the thresholds in subrule 4.28(3). This applies to any unpaid debt or obligations incurred by the committee for the purchase of a good or service, either as a debt or obligation owed to the immediate provider of the good or service, or as a debt or obligation owed to an individual who initially personally paid for the good or service on behalf of the committee with the expectation of ultimately receiving reimbursement from the committee. However, monetary loans to the committee (which are deposited directly into the committee's account) shall be reported on Schedule F, not on Schedule D.

4.31(2) Date incurred; balance owed. The committee shall report the amounts of all indebtedness owed by the committee at the end of the reporting period, reported chron-ologically by the date incurred. The date the debt or obligation is incurred is the date on which the committee committed to obtaining the good or service underlying the obligation. This date may be earlier than the date the provider of the good or service issues a bill to the committee. For example, if the committee places a printing order, but the printer does not issue a bill until some time after the order is placed, the date which shall be reported as the date the debt was incurred is the date the order is placed, not the date the bill was issued. If the precise amount of the final bill is not known by the time the report is due, the committee shall provide its best estimate as to what the obligation will be, with an indication "(e)" that the amount reported is an estimate. The complete date (month/day/year) shall be provided. Debts and obligations incurred and reported in a prior reporting period but which remain unpaid as of the end of the current reporting period shall be included, showing the remaining balance on the obligation, as well as any new obligations incurred in the current reporting period. Payments of all or part of a previously reported obligation shall be reported as expenditures on Schedule B.

4.31(3) Name and address of person to whom the debt or obligation is owed. The schedule shall contain the name and address of each person to whom obligations are owed, including both those obligations which were incurred during the reporting period and those outstanding obligations which are being carried forward from prior reports. If the obligation is owed to an individual who initially personally paid for the good or service on behalf of the committee with the expectation of ultimately receiving reimbursement from the committee, the original nature of the obligation shall be provided; the name and address of the original provider of the good or service shall also be provided, unless the nature of the obligation describes the obligation as anticipated reimbursement for mileage or postage stamps.

4.31(4) Nature of obligation. The schedule shall include a description of the nature of each obligation. The description shall be a clear and concise statement that specifically describes the transaction which has occurred. The following general terms are examples of descriptions which are not acceptable: "expenses," "reimbursement," "candidate expense," "services," "supplies," and "miscellaneous expense." The following are examples of acceptable descriptions: "printing--candidate yard signs," "printing--PAC membership solicitation letter," "mailing--candidate brochures," "anticipated reimbursement for candidate lodging to attend campaign event," or "anticipated mileage reimbursement--150 miles @ 25cents per mile." A combined description is not acceptable unless sufficient information is provided so that the cost of separate purposes can be discerned, for example, "printing and mailing of 1,000 brochures."

This rule is intended to implement Iowa Code section 56.6.

ITEM 35. Renumber rule 351--4.32(56) as 351--4.84(56,68B) and adopt the following new rule 351--4.32(56,68B):

351--4.32(56,68B) Schedule E - In-kind Contributions.

4.32(1) Reporting of all in-kind contributions; chronological or alphabetical listings. The committee shall report the amounts of all in-kind contributions which are accepted by the committee during the reporting period. The schedule entries shall be listed in either chronological or alphabetical order by name of contributor.

4.32(2) Date of contribution--date received. The schedule shall include the complete date (month/day/year) on which the in-kind contribution was physically received by a person on behalf of the committee.

4.32(3) Name and address of contributor. The schedule shall include the name and address of each person who has made one or more in-kind contributions to the committee if the aggregate amount of contributions (either monetary or in-kind) received from that person in the calendar year exceeds $25, except that the itemization threshold is $200 for a state statutory political committee and $50 for a county statutory political committee.

4.32(4) Relationship to candidate. In the case of in-kind contributions to candidates' committees, the schedule shall include information indicating whether the contributor is related to the candidate within the third degree of consanguinity or affinity, as defined in subrule 4.28(5).

4.32(5) Description of in-kind contribution; loaned equipment as in-kind contribution.

a. The schedule shall include a description of the good or service contributed to the committee in-kind. The description shall be a clear and concise statement that specifically describes the transaction which has occurred.

b. Use by a committee of equipment owned by another organization, committee, or individual is reportable as an in-kind contribution. Equipment includes, but is not limited to, typewriters, calculators, copy machines, office furniture, computers and printers.

4.32(6) Fair market value. The committee shall provide either the actual (if known) or estimated fair market value of the good or service received.

4.32(7) Fund-raiser item. Goods or services contributed in-kind for sale at a fund-raising event shall be designated by marking the indicated space on the schedule.

4.32(8) Unitemized contributions. Notwithstanding the other provisions of this rule, in-kind contributions with a fair market value less than the itemization threshold noted in subrule 4.32(3) may be reported as "unitemized in-kind contributions."

This rule is intended to implement Iowa Code section 56.6.

ITEM 36. Amend 351--Chapter 4 by adopting the following new rule 351--4.33(56,68B):

351--4.33(56,68B) Schedule F - Loans Received and Repaid.

4.33(1) Reporting of monetary loans (not debts and obligations for goods and services). The committee shall report all loan activity made to or repaid by the committee during the reporting period. This applies to any loan of money which is deposited into the committee's accounts. However, other debts and obligations owed for the provision of goods or services to the committee (which are not monetary advances deposited into the committee's account) shall be reported on Schedule D, not on Schedule F.

4.33(2) Report of lump sum of unpaid loans carried over from last report. The schedule shall contain a beginning entry of the total unpaid loans as of the last report. Loans received and itemized on prior reports should not be re-itemized on the current report, except as necessary to indicate repayment activity.

4.33(3) Date received. The schedule shall include the complete date (month/day/year) the loan was physically received by a person on behalf of the committee. If the loan was by check, the date of the loan to be reported is the date the check is physically received by a person on behalf of the committee, even if this date is different from the date shown on the check.

4.33(4) Date paid. The schedule shall include the complete date (month/day/year) a full or partial loan repayment is made by the committee. The date of the repayment is the date the check is issued. Full or partial loan repayments shall be shown on this schedule and should not be reported on Schedule B. However, loan interest payments shall be reported on Schedule B (see rule 351--4.29(56,68B)) and not on Schedule F. Loans which may be and are forgiven in full or in part are considered in-kind contributions and shall be itemized on Schedule E, with a cross-reference entry in the space provided on Schedule F.

4.33(5) Name and address of lender. The schedule shall include the name and address of each person who has made one or more loans of money to the committee during the reporting period, or to whom the committee makes a full or partial loan repayment during the reporting period. If the person who made the loan to the committee is not the original source of the money, where the original source of the money is a third party (such as a bank which loans money to an individual who loans it to the committee), or if a third party has personally paid and assumed a loan from the original lender (such as an individual who pays off the loan to the bank with the expectation of receiving the loan repayment from the committee), the report shall also identify the name and address of the third party.

4.33(6) Relationship to candidate. In the case of monetary loans to candidates' committees, the schedule shall include information indicating whether the lender is related to the candidate within the third degree of consanguinity or affinity, as defined in subrule 4.28(5).

This rule is intended to implement Iowa Code section 56.6.

ITEM 37. Amend 351--Chapter 4 by adopting the following new rule 351--4.34(56,68B):

351--4.34(56,68B) Schedule G - Breakdown of Monetary Expenditures by Consultants. A candidate's committee which enters into a contract with a consultant for future or continuing performance shall be required to report expenditures made to the consultant, and the nature of the performance of the consultant which is expected to be received by the candidate's committee. A candidate's committee is required to report in Part 1 of Schedule G any contracts with consultants which it has negotiated, the complete name and address of the consultant, the period of time in which the contract is in effect, and estimates of performance to be derived from the contract. Expenditures made to the consultant during a reporting period shall be reported with all other expenditures on Schedule B, and debts incurred with the consultant during the reporting period shall be reported with all other debts on Schedule D. Additionally, a detailed breakdown of the expenditures made by the consultant shall be reported by the candidate's committee in Part 2 of Schedule G and shall include the date of the expenditure, the purpose of the expenditure and the amount of the expenditure. The description of the purpose of the expenditure shall be consistent with the provisions of subrule 4.29(3).

For purposes of this rule, "contract" means an oral or written agreement between two parties for the supply or delivery of specific services in the course of the campaign. "Performance" means the execution or fulfillment of the contractual agreement. "Nature of performance" means a clear description of the specific services received or benefit derived as the result of a contract with a consultant. "Estimate of performance" means a clear description of the expected services the candidate reasonably expects to be received or benefit to be derived during the period of the contract.

This rule is intended to implement Iowa Code sections 56.2 and 56.6.

ITEM 38. Amend 351--Chapter 4 by adopting the following new rule 351--4.35(56,68B):

351--4.35(56,68B) Schedule H - Campaign Property.

4.35(1) Ongoing inventory. Equipment, supplies, or other materials purchased with campaign funds or received in kind are campaign property. Campaign property, other than consumable campaign property, with a value of $500 or more when acquired by the committee shall be listed on the inventory section of the schedule. The property shall be listed on each report until it is disposed of by the committee or its residual value falls below $100. "Consumable campaign property" means stationery, yard signs, and other campaign materials which have been permanently imprinted to be specific to a candidate or election. For property purchased by the committee, the date purchased shall be the earlier of the date the committee attained physical possession of the property or the date the committee issued payment for the property. For in-kind contributions, the date received shall be the date on which the committee attained physical possession of the property. The committee shall provide the complete date (month/day/year). The schedules shall include the purchase price of property purchased by the committee and the actual or estimated fair market value of property received as an in-kind contribution, as well as the actual or estimated current fair market value of the property at the end of the current reporting period.

4.35(2) Sales or transfers of campaign property. The schedule shall include information regarding the sale or transfer of campaign property, other than consumable campaign property, which occurred during the current reporting period. The information shall include the complete date of the transaction (month/day/year), the name and address of the purchaser or donee, and a description of the property. If the property is sold, the information shall include the sales price received; if the property is donated, the information shall include the fair market value of the property at the time of the transfer.

This rule is intended to implement Iowa Code sections 56.6 and 56.43.

ITEM 39. Amend 351--Chapter 4 by adopting the following new rule 351--4.36(56,68B):

351--4.36(56,68B) Reconciled bank statement required with January report and final report.

4.36(1) All committees required by Iowa Code section 56.6 to file a disclosure report on or by January 19 of each year shall attach to that disclosure report a copy of the committee's bank statement which includes December 31 of the year reported. If the bank statement cycle is such that the committee has not received the statement including December 31 by the date for filing the January report, the committee shall separately file the bank statement within ten days after receipt of the statement by the committee. The committee shall include a reconciliation to justify outstanding checks and other discrepancies between the ending balance on the bank statement and the ending balance on the disclosure report. Supplemental information may be requested by board staff in order to confirm reconciliation for the December 31 balance. Failure to provide the reconciled bank statement may be grounds for a violation of Iowa Code section 56.6 as a failure to file a report which conforms to the requirements of that provision.

4.36(2) A committee which files a final disclosure report shall attach to that disclosure report a copy of the committee's bank statement which includes the final transaction(s) closing the committee's account.

This rule is intended to implement Iowa Code section 56.6.

ITEM 40. Amend 351--Chapter 4 by adopting the following new rule 351--4.37(56,68B):

351--4.37(56,68B) Verification of reports; incomplete reports.

4.37(1) The board staff will review and desk audit each disclosure report filed. The board may contact other parties to verify the accuracy and completeness of the reports filed. The board may contact a representative of the committee and may contact other parties to determine the authenticity of information provided about filed reports.

4.37(2) If, upon review, board staff determine that a committee's report is incomplete because required information has been omitted or has been incorrectly reported, the staff shall communicate the deficiencies to the committee. A failure to satisfactorily respond to or to remedy the error or omission may be grounds for a violation of Iowa Code section 56.6 as a failure to file a report which conforms to the requirements of that provision.

This rule is intended to implement Iowa Code sections 56.6 and 68B.32A.

ITEM 41. Amend 351--Chapter 4 by adopting the following new rule 351--4.43(56,68B):

351--4.43(56,68B) Transfers between candidates. Transfers of assets from one candidate's committee to another is not construed to be a violation of Iowa Code section 56.42 so long as the recipient candidate's committee pays the transferring committee the fair market value of the asset. Both candidates' committees shall be prepared to support the valuation of the asset with documentation.

This rule is intended to implement Iowa Code sections 56.6 and 56.42.

ITEM 42. Amend 351--Chapter 4 by adopting the following new rule 351--4.44(56,68B):

351--4.44(56,68B) Transfers of funds and debts between multiple committees of the same person. A candidate's committee is allowed to transfer its debts to another committee formed by the same candidate. The recipient committee is required to disclose the names and addresses of the creditors to whom such obligations are owed, as well as the amounts of the debts or loans, the dates they were incurred, and the nature of the obligations, as required by Iowa Code section 56.6(3).

This rule is intended to implement Iowa Code sections 56.6, 56.40 and 56.42.

ITEM 43. Amend renumbered rule 351--4.47(56,68B) as follows:

351--4.47(56,68B) Contribution Information required for trusts to avoid a contribution in the name of another person. A contribution or expenditure by a trustee solely in the name of the trust constitutes a contribution or expenditure in the name of another person prohibited under Iowa Code section 56.13 56.3A. In order to avoid violation of Iowa Code section 56.13 56.3A, contributions or expenditures involving a trust shall be reported on disclosure reports filed pursuant to Iowa Code chapter 56 as follows: which include contributions accepted from or disbursements made to a trust must

4.47(1) If a transaction involves a trust identified as a revocable trust or a living trust for which no separate trust tax return is required and for which the federal tax ID number is the same as the social security number of the grantor creating the trust, who is also a trustee, then the transaction may be reported simply as being made by the "(name) revocable (or living) trust." The committee reporting the transaction is responsible for verifying whether the trust in question satisfies this criterion, but if the committee reports the transaction as provided in this subrule, it is presumed that the committee has verified the trust status.

4.47(2) For transactions involving trusts which do not qualify under subrule 4.47(1), the disclosure report shall identify the trust, the trustee, and the trustor in all places where "name" is required to be provided under Iowa Code section 56.6(3). If a candidate's committee or political committee accepts a contribution from a trust, it shall also obtain and file with the report on which the trust contribution is disclosed a signed statement from the trustee. The statement shall be in substantially the following form: "This contribution is from the (name) trust, (street, city, state, ZIP code), which is a trust with its own separate tax ID number. The name of the trustee is (name), and the name of the trustor is (name). The terms of this trust permit it to make political contributions to candidates and other political committees." which affirms that a political contribution is permitted to be made from the funds of the trust. However, where a contribution or expenditure is made from or to a trust in which all funds were originally provided by the trustor, and the trustor is a living individual who is also the trustee and beneficiary, the contribution or expenditure will be considered to be from that individual. A revocable trust of a single individual is presumed to satisfy these criteria.

This rule is intended to implement Iowa Code section 56.13 56.3A.

ITEM 44. Amend renumbered rule 351--4.48(56,68B), catchwords, as follows:

351--4.48(56,68B) Out-of-state contributions Contributions from political committees not organized in Iowa.

ITEM 45. Amend renumbered rule 351--4.49(56,68B) as follows:

351--4.49(56,68B) Reporting of earmarked contributions. A political committee is permitted to receive contributions from its members contributors which are earmarked to be donated to specific candidate's committees or other political committees. A political committee receiving and transmitting earmarked contributions is required to list on its disclosure report the name of the contributor and the name of the candidate or committee for which the contribution was earmarked. The political committee is further required to inform the treasurer of the recipient committee in writing the name of the individual contributor, as well as the name of the committee which has collected the contribution. The committee receiving the earmarked contribution is required to disclose on its report both the name of the individual contributor and the sponsoring committee.

This rule is intended to implement Iowa Code section 56.6.

ITEM 46. Amend 351--Chapter 4 by adopting the following new rule 351--4.51(56,68B):

351--4.51(56,68B) Funds from unknown source--escheat; later identification of source.

4.51(1) A committee which receives funds from an unknown source, either through a specific contribution of over $10 from an unidentified contributor, or through an amount held in the committee's accounts in excess of the amount the committee is able to account for and reconcile with the committee's disclosure reports, the committee shall remit such funds for deposit into the general fund of the state of Iowa by sending such funds to the board for transmittal to the director of revenue and finance. An anonymous cash contribution may be deposited into the committee's account and a committee check to the general fund issued in the same amount in order to avoid the mailing of cash.

4.51(2) If, after the escheat of funds, the transmitting committee becomes able to identify or account for the source of the funds, the committee may make application to the board for return of the funds, if the following requirements are met:

a. The committee is an open, active committee;

b. Documentation of the source is provided;

c. The amount requested to be returned is in excess of $100; and

d. The request is made by the committee within 90 days of the date of the deposit in the general fund of the state of Iowa.

This rule is intended to implement Iowa Code section 56.3A.

ITEM 47. Amend renumbered rule 351--4.53(56,68B) as follows:

351--4.53(56,68B) Permanent organizations which become temporary political committees. When a permanent organization which is not a political committee engages in political activities by accepting contributions, making expenditures or incurring debts in the aggregate of more than $500 in a calendar year, the organization is required to file a statement of organization and one or more disclosure reports. Covered activities include direct and indirect contributions, in-kind contributions and independent expenditures. If the committee uses only existing funds and does not accept money from other sources, no separate banking account is required.

If the board staff discovers that a permanent organization has become subject to the provisions of Iowa Code chapter 56 by virtue of having made a contribution of over $500 for a political purpose but did not timely organize a committee or file one or more disclosure reports, the board staff will send notification of the organizational and reporting requirements of Iowa Code chapter 56, as well as notice of routine penalty assessments for apparent late reporting violations. However, a committee which receives a contribution from a permanent organization which causes the permanent organization to become subject to the provisions of Iowa Code chapter 56 may assist the permanent organization in meeting the requirements of the law, and may refund all or part of a contribution to the permanent organization so as to reduce the expenditure by the permanent organization to $500 or less, and remove the organization's obligations under Iowa Code chapter 56.

This rule is intended to implement Iowa Code section sections 56.2(15) and 56.6(6).

ITEM 48. Amend 351--Chapter 4 by adopting the following new rule 351--4.54(56,68B):

351--4.54(56,68B) Cash transactions. All disbursements, including all expenditures and any other withdrawals from committee funds, shall be by check. Cash withdrawals and "petty cash" accounts are not permitted. If a committee fund-raising activity necessitates a cash drawer for making change or other cash transactions, the committee may issue a check payable to the committee treasurer or the candidate, in the case of a candidate's committee, or payable to the committee treasurer or the committee chairperson, in the case of a political committee. The purpose of the expenditure shall be reported on Schedule B as "cash advance for (describe activity, e.g., concession stand cash drawer)." Upon completion of the fund-raising activity, the committee shall redeposit the same amount as that which was advanced into the committee account. The redeposit shall be reported as a reverse entry on Schedule B as a "redeposit of cash advance for (describe activity)." The proceeds of the fund-raising activity (excluding the cash advance) shall be reported on Schedule A - Contributions Received.

This rule is intended to implement Iowa Code sections 56.3 and 56.6.

ITEM 49. Amend 351--Chapter 4 by adopting the following new rule 351--4.55(56,68B):

351--4.55(56,68B) Record keeping.

4.55(1) Copies of reports. A committee shall preserve a copy of every report it files for at least three years following the filing of the report.

4.55(2) Supporting documentation. The documentation which supports a committee's disclosure report shall be preserved by the committee for at least five years after the due date of the report covering the activity documented in therecords; however, a committee is not required to preserve these records for more than three years from the certified date of dissolution of the committee. At a minimum, the supporting documentation shall consist of all of the following:

a. A ledger or similar record-keeping device which details all contributions received by the committee. This rec-ord shall include the name and address of each person making a contribution in excess of $10, with the date and amount of the contribution. In lieu of or in addition to a ledger, the committee may record contributions received through a receipt book or other method of individually documenting the contributions, such as by making and keeping copies of the contribution checks.

b. The check register for the committee's account(s).

c. Bank statements for the committee's account(s).

d. Copies of canceled or duplicate checks for committee expenditures, if available.

e. Copies of bills or receipts for committee expenditures.

f. For committees which pay reimbursement forcommittee-related mileage, copies of vehicle mileage logs, including travel dates, distance driven, and travel purpose (description of event or activity). For a candidate's committee which leases a vehicle, the mileage log shall detail all mileage driven on the vehicle, including non-committee-related mileage.

This rule is intended to implement Iowa Code sections 56.3, 56.6, 56.7, 56.41, and 68B.32A.

ITEM 50. Reserve rules 351--4.56 through 351--4.69.

ITEM 51. Amend 351--Chapter 4 by adopting the following new rule 351--4.70(56,68B):

351--4.70(56,68B) Political attribution or disclaimer statements--contents. Political advertising or other published material which expressly advocates for a political purpose shall contain a statement identifying its sponsor. This statement is referred to as the "attribution statement," or the "disclaimer statement." "Express advocacy" is as defined in subrule 4.100(1).

4.70(1) Short form statement. If the advertisement or other material is paid for by the candidate who has filed an affidavit of candidacy or by a candidate's committee or political committee which has filed a statement of organization under Iowa Code chapter 56, the specific name and address are available to the public, and the statement will be acceptable if it contains the words, "Paid for by the Candidate," "Paid for by (candidate's name), Candidate," "Paid for by the Candidate's Committee" or "Paid for by (the name of the committee)," whichever is applicable.

4.70(2) Full form statement--individual. If the advertising or material is paid for by an individual acting independently, and the individual has exceeded $500 in expenditures (other than contributions) for the political purpose advocated by the advertising or material, the statement shall contain the words "Paid for by" followed by the full name and complete address (street or box number/city/state/ZIP code) of the person. The full name and address shall be included in this statement even if the name and address of the person appear elsewhere on the advertising or material.

4.70(3) Full form statement--candidate who spends less than $500. Advertising or material paid for by a candidate who has not organized a committee because the candidate has raised or spent less than $500 in support of the candidacy shall contain the same information as required for an individual under subrule 4.70(2). In addition, after the full name, the candidate may choose to include words identifying that this is the candidate, such as "first name, last name, Candidate."

4.70(4) Full form statement--corporation involved in a ballot issue election. If the advertising or other material is paid for by a corporation involved in a ballot issue, but the corporation has not organized a committee because it has not exceeded $500 in activity with regard to the ballot issue, the statement shall contain the full name and address of the corporation, as well as the name and office designation of one officer of the corporation.

4.70(5) Full form statement with additional language requirement for organizations other than corporations and registered committees. If the advertising or other material is paid for by an informal association or organization of persons which has not organized a committee because it has not exceeded $500 for a political purpose, but which is not a corporation, the statement shall contain the full name and address of the association or organization, the name and office designation of one officer of the association or organization, and the statement, "This association (or organization) is not incorporated and is not a registered committee." In the alternative, an association or group may use the statement method provided in subrule 4.70(6).

4.70(6) Short form statement for multiple sponsors with addresses on file. If the advertising or other material contains the names or replicated signatures of a number of individuals who have contributed to its cost, the addresses of the individuals need not be included in the material if the following or a substantially similar statement appears: "This (ad, brochure, material, as appropriate) has been paid for by the above-named individuals. Space limitations preclude printing their addresses. Addresses are on file with the county auditor (in the case of county or local elections) (and) with the Iowa ethics and campaign disclosure board, and are available upon request." The list shall be provided to the county auditor and the board as indicated.

4.70(7) Pooled efforts; authorized activity. If the advertising or other material is not wholly paid for by any one person or entity, but is an authorized activity by a committee, the attribution statement shall include an accurate description of the transaction. For example, if a political committee coordinated and provided the labor for providing a mass mailing, but a candidate's committee paid for the postage, the statement may indicate, "Paid for by (the candidate's committee), with labor provided by (the political committee)." Likewise, if a committee coordinates the activities of individual volunteers who participate in a committee-authorized distribution of advertising or other material, the statement may indicate, "Paid for by (the name and address of the individual volunteer), Authorized by (the name of the committee)." This attribution style would apply, for example, if the "Citizens for Smith" committee requests and coordinates the efforts of ten supporters to each write and send a personalized invitation to a committee fund-raising event.

4.70(8) Thank-you ads excluded. Postelection thank-you ads are not express advocacy and therefore not political advertising requiring inclusion of an attribution statement.

This rule is intended to implement Iowa Code section 56.14.

ITEM 52. Amend 351--Chapter 4 by adopting the following new rule 351--4.71(56,68B):

351--4.71(56,68B) Yard signs and outdoor advertising. "Yard signs," which are exempt from the attribution statement requirement, means a political sign with dimensions of 16 square feet or less which has been placed or posted on real property. "Outdoor advertising," which requires the attribution statement, means any political sign other than yard signs, including but not limited to: wood, metal, plastic or other hardboard signs affixed to the side of a building or painted directly on the side of the building, signs placed on the top of a car, truck or other vehicle, signs painted or affixed to the side of a vehicle, any advertisement printed, painted or otherwise displayed on a portable sign carrier, or magnetic signs temporarily placed on vehicles or structures.

This rule is intended to implement Iowa Code section 56.14.

ITEM 53. Amend 351--Chapter 4 by adopting the following new rule 351--4.72(56,68B):

351--4.72(56,68B) Newspaper or magazine. For the purposes of these rules and Iowa Code section 56.14, "newspaper or magazine" means a regularly scheduled publication of news, articles of opinion, and features available to the general public which does not require membership in or employment by a specific organization.

This rule is intended to implement Iowa Code section 56.14.

ITEM 54. Amend 351--Chapter 4 by adopting the following new rule 351--4.74(56,68B):

351--4.74(56,68B) Specific items exempted from or subject to attribution statement requirement.

4.74(1) Items exempted from requirement. The statute specifically excludes yard signs, matchbooks, bumper stickers, pins, buttons, pens, and "similar small items upon which the inclusion of the attribution statement would be impracticable." This is interpreted to include pencils, emery boards, T-shirts, caps, and other articles of clothing where printing an attribution statement would greatly increase the cost of the item.

4.74(2) Items subject to requirement. In addition to those items specified by the statute, the requirement for an attribution statement is interpreted to apply to scratch pads, political business cards, and postcards because inclusion of the statement is not impracticable when other text is being printed, and the cost is not significantly increased by printing it.

This rule is intended to implement Iowa Code section 56.14.

ITEM 55. Amend 351--Chapter 4 by adopting the following new rule 351--4.75(56,68B):

351--4.75(56,68B) Apparent violations; remedial actions.

4.75(1) If advertising or other published material is provided to the board which upon its face appears to omit an attribution statement as required by Iowa Code section 56.14 and these rules, the board may contact third parties, including newspapers and printers, in an effort to determine the identity of the responsible party.

4.75(2) If advertising or other published material was initially distributed without the required attribution statement, a potential remedial measure which may be directed by the board in an effort to achieve informal resolution shall be republication or distribution of a notice to the same or substantially the same portion of the public which was exposed to the initial advertisement or publication. The notice shall be in substantially the following form:

On (date), (I/we) (ran an advertisement/distributed a brochure/sent a mailing) (describe political activity advocated, e.g., asking for your contribution to my campaign, asking you to vote against the ballot issue). That (ad/brochure/mailing) failed to contain an attribution statement as required by Iowa Code section 56.14, necessary to provide notice as to who had paid for the material. It was in fact paid for by (name). ((I/we) regret any misunderstanding.)

Paid for by (detail of attribution in conformity with rule 4.70(56,68B)).

If the notice is run in a newspaper, the newspaper shall be of sufficiently wide circulation to reach virtually all members of the public originally exposed to the initial advertisement or publication. The notice shall also be in a section of the newspaper other than the classified section, be at least one column wide, and have a black border surrounding the ad.

This rule is intended to implement Iowa Code section 56.14.

ITEM 56. Reserve rules 351--4.76 through 351--4.79.

ITEM 57. Amend 351--Chapter 4 by adopting the following new rule 351--4.110(56,68B):

351--4.110(56,68B) Statement of dissolution (DR-3); final report; closing bank statement.

4.110(1) Statement of dissolution; signature. The statement of dissolution (DR-3) shall be filed within 30 days after the committee terminates its activity, disposes of its funds and assets, and has discharged all of its debts and obligations. The statement shall be either typewritten or printed legibly in black ink, and shall be signed by the treasurer or candidate in the case of a candidate's committee, or by the treasurer or chairperson in the case of a political committee.

4.110(2) Final report. The committee shall file a final report indicating the committee's closing transactions. A committee which submits a report designated as a final report which, when reviewed by the board staff in conjunction with prior committee reports and bank statements, accounts for all committee balances and evidences that all committee funds and assets have been properly distributed and all obligations have been discharged, shall be certified by the board staff as dissolved and its filing obligations shall be terminated. A committee which submits a report designated as a final report which, when reviewed by the board staff, does not account for all previously reported balances and obligations, shall not be certified as dissolved and its filing obligations shall continue until the inconsistencies are resolved either through amending or supplementing the attempted final report submitted by the committee.

4.110(3) Closing bank statement. A copy of the committee's closing bank statement(s) showing the committee's final transactions and zero balance(s) shall be attached to or supplied with the committee's final report. (See also rule 351--4.36(56,68B).)

ITEM 58. Amend 351-- Chapter 4 by adopting the following new rule 351--4.112(56,68B):

351--4.112(56,68B) Disposition of property for dissolution of committee.

4.112(1) Manner of disposition--candidates' committees. The final report of a candidate's committee shall include an accounting of the disposition of all campaign property with a residual value of $100 or more. Disposition may be through a sale of the property at fair market value, with proceeds treated as any other campaign funds, or through donation of the property as set out in Iowa Code section 56.42(1). The committee shall be prepared to provide an explanation or documentation of a fair market value determination.

4.112(2) Computer software. Because some computer software cannot be sold or transferred to another entity due to license, copyright or trademark restrictions, the committee may provide a statement signed by the candidate or political committee chairperson that software cannot be transferred and is therefore deemed to have no market value. In the event the committee is able to legally transfer the software, the committee shall establish a fair market value for the transaction and properly report its disposition on the final report.

This rule is intended to implement Iowa Code sections 56.6 and 56.43.

ITEM 59. Amend 351--Chapter 4 by adopting the following new rule 351--4.113(56,68B):

351--4.113(56,68B) Assumption or settlement of debts and obligations.

4.113(1) Assumption generally allowed, except by corporations. Debts or obligations of a committee may be transferred, assumed, or forgiven by a person other than the committee, which is an in-kind contribution to the committee, except that the person shall not be a corporation unless the committee is a ballot issue committee. Where noncorporate transfers, assumptions, or forgiveness of debts or obligations do occur, the committee shall submit a written and signed agreement between the three parties, in the case of a transfer or assumption (the original debtor-committee, the person who is owed the debt, and the new, assuming debtor), or between the two parties, in the case of a debt forgiveness.

4.113(2) Settlement of contested debts. If there is a dispute or contest between the committee and a creditor which is a corporation, in order to discharge or settle a committee debt for less than the original amount of the indebtedness, the committee and the creditor shall submit a written statement to the board describing the debt and the controversy. The corporate creditor shall also describe the steps taken to settle or collect the debt in question, as well as describing the steps taken to settle or collect other debts owed to the creditor by other persons in the creditor's ordinary course of business. The board will review these matters on a case-by-case basis in order to determine whether to allow the committee to report the debt as discharged. If there is a dispute or contest between the committee and a creditor who is not a corporation, the debt may be discharged or settled for less than the original amount of the debt if the committee provides with its disclosure report a written and signed agreement between the two parties describing the debt and the controversy and the resolution or settlement to which the parties have agreed. However, if for a committee debt owed to any creditor, whether a corporation or not, a copy of a final court order which establishes as a finding of fact or conclusion of law that the committee has no further liability on the obligation to the creditor shall be dispositive of the issue for purposes of whether the debt can be reported as discharged.

4.113(3) Unavailable creditor. If the committee cannot locate a person to whom it owes a debt, the committee shall provide the board with a written statement describing the steps it has taken to locate the creditor and shall request direction from the board as to what additional steps, if any, should be taken. If the debt is owed a corporation, the additional steps may include payment to a charitable entity or the general fund of the state of Iowa as provided in rule 4.111(56,68B).

This rule is intended to implement Iowa Code sections 56.6 and 56.15.

ARC 8191A

This chapter was determined to be unnecessary as the language contained in this chapter merely duplicates the provisions for contested case hearings which are included under Chapter 10.

The adopted amendment is identical to the one published under Notice of Intended Action in the Iowa Administrative Bulletin on June 3, 1998, as ARC 8043A. No public comments were received.

The amendment will become effective September 2, 1998.

This amendment is intended to implement Iowa Code sections 10A.202 and 10A.402.

The following amendment is adopted.

Rescind and reserve 481--Chapter 11.

ARC 8192A

Notice of Intended Action was published in the Iowa Administrative Bulletin on April 22, 1998, as ARC 7954A. No public comment was received on the amendments. The amendments are identical to those published under Notice of Intended Action.

The amendments modify infection control rules by updating and clarifying references for publications. The amendments also eliminate descriptions of body fluids requiring universal precautions since these are no longer considered by the Centers for Disease Control (CDC) to be accurate. Additionally, the amendments eliminate some requirements for residential care facilities, as certain requirements have proven to be unnecessary.

The Board of Health approved the adoption of these amendments on July 8, 1998.

These amendments will become effective September 2, 1998.

These amendments are intended to implement Iowa Code section 135C.14(8).

The following amendments are adopted.

ITEM 1. Amend subrules 57.11(11), 62.19(4), and 63.9(10), paragraphs "a," "b," "c," "e," and "h," as follows:

a. Techniques for hand washing consistent with 1985 Centers for Disease Control (CDC) Guidelines for Handwashing and Hospital Control, 1985, Centers for Disease Control, U.S. Department of Health and Human Services, PB85-923404; (I, II, III)

b. Techniques for handling of blood, body fluids, and body wastes consistent with 1987 CDC Guidelines Guideline for Isolation Precautions in Hospitals, Centers for Disease Control, U.S. Department of Health and Human Services, PB96-138102; (I, II, III)

Body fluids which require using universal precautions include blood, semen, vaginal secretions, cerebrospinal fluid (CSF), synovial fluid, peritoneal fluid, pericardial fluid, and amniotic fluid. Body fluids and wastes which do not require using universal precautions include feces, nasal secretions, sputum, sweat, tears, urine, or vomitus, unless they contain visible blood. (I, II, III)

c. Decubitus care Dressings, soaks, or packs; (I, II, III)

e. Resident care procedures to be used when there is an infection present consistent with 1987 CDC Guidelines to be used when there is an infection present Guideline for Isolation Precautions in Hospitals, Centers for Disease Control, U.S. Department of Health and Human Services, PB96- 138102; (I, II, III)

h. Techniques for use and disposal of needles, syringes, and other sharp instruments consistent with 1987 CDC Guidelines Guideline for Isolation Precautions in Hospitals, Centers for Disease Control, U.S. Department of Health and Human Services, PB96-138102; (I, II, III)

CDC Guidelines may be obtained at cost from the Department of Inspections and Appeals, Health Facilities Division, Lucas State Office Building, Des Moines, Iowa 50319, (515-281-4115) U.S. Department of Commerce, Technology Administration, National Technical Information Service, 5285 Port Royal Rd., Springfield, Virginia 22161 (1-800- 553-6847).

ITEM 2. Amend subrules 57.11(12), 62.19(5), and 63.9(11), paragraphs "a," "d," and "f," and add a new paragraph "g" as follows:

a. Intravenous or central line catheter consistent with Guideline for Prevention of Intravascular Device Related Infections, Centers for Disease Control, U.S. Department of Health and Human Services, PB97-130074, (I, II, III)

d. Dressings, soaks, or packs Decubitus care, (I, II, III)

f. Nasogastric or gastrostomy tubes. tubes, (I, II, III)

g. Sanitary use and reuse of feeding syringes and single-resident use and reuse of urine collection bags. (I, II, III)

ITEM 3. Amend the last sentence of subrules 57.12(1), paragraph "c"; 62.9(2), paragraph "a"; 63.11(1), paragraph "c"; and 65.9(2), paragraph "b," as follows:

Refer to 1983 CDC Guidelines PN85-923401-LL for Infection Control in Hospital Personnel, Centers for Disease Control, U.S. Department of Health and Human Services, PB85-923402 to determine (1), (2), and (3) and (4).

ITEM 4. Amend subrules 58.10(8) and 59.12(11), paragraphs "a," "b," "e," and "h," and subparagraph "i"(1) and the unnumbered paragraph, as follows:

a. Techniques for hand washing consistent with 1985 Centers for Disease Control (CDC) Guidelines for Handwashing and Hospital Control, 1985, Centers for Disease Control, U.S. Department of Health and Human Services, PB85-923404; (I, II, III)

b. Techniques for handling of blood, body fluids, and body wastes consistent with 1987 CDC Guidelines Guideline for Isolation Precautions in Hospitals, Centers for Disease Control, U.S. Department of Health and Human Services, PB96-138102; (I, II, III)

Body fluids which require using universal precautions include blood, semen, vaginal secretions, cerebrospinal fluid (CSF), synovial fluid, peritoneal fluid, pericardial fluid, and amniotic fluid. Body fluids and wastes which do not require using universal precautions include feces, nasal secretions, sputum, sweat, tears, urine, or vomitus, unless they contain visible blood. (I, II, III)

e. Resident care procedures to be used when there is an infection present which are consistent with 1987 CDC Guidelines Guideline for Isolation Precautions in Hospitals, Centers for Disease Control, U.S. Department of Health and Human Services, PB96-138102 to be used when there is an infection present; (I, II, III)

h. Techniques for use and disposal of needles, syringes, and other sharp instruments consistent with 1987 CDC Guidelines Guideline for Isolation Precautions in Hospitals, Centers for Disease Control, U.S. Department of Health and Human Services, PB96-138102 and 567--subrule 100.3(2) and 567--102.14(455B), Iowa Administrative Code; (I, II, III)

i. Aseptic techniques when using: (I, II, III)

(1) Intravenous or central line catheter consistent with Guidelines for Prevention of Intravascular Device Related Infections, Centers for Disease Control, U.S. Department of Health and Human Services, PB97-130074, (I, II, III)

CDC guidelines may be obtained at cost from the Department of Inspections and Appeals, Health Facilities Division, Lucas State Office Building, Des Moines, Iowa 50319, (515-281-4115) U.S. Department of Commerce, Technology Administration, National Technical Information Service, 5285 Port Royal Rd., Springfield, Virginia 22161 (1-800- 553-6847).

ITEM 5. Amend the last sentence of subrules 58.11(1), paragraph "c," and 59.13(1), paragraph "c," as follows:

Refer to 1983 CDC Guidelines PN85-923401-LL for Infection Control in Hospital Personnel, Centers for Disease Control, U.S. Department of Health and Human Services, PB85-923402 to determine (1), (2), and (3) and (4).

ITEM 6. Amend subrule 65.21(4), paragraphs "a," "b," "e," "h," and "i," as follows:

a. Techniques for hand washing consistent with 1985 Center for Disease Control (CDC) Guidelines for Handwashing and Hospital Control, 1985, Centers for Disease Control, U.S. Department of Health and Human Services, PB85-923404; (I, II, III)

b. Techniques for handling of blood, body fluids, and body wastes consistent with 1987 CDC Guidelines Guideline for Isolation Precautions in Hospitals, Centers for Disease Control, U.S. Department of Health and Human Services, PB96-138102; (I, II, III)

Body fluids which require using universal precautions include blood, semen, vaginal secretions, cerebrospinal fluid (CSF), synovial fluid, peritoneal fluid, pericardial fluid, and amniotic fluid. Body fluids and wastes which do not require using universal precautions include feces, nasal secretions, sputum, sweat, tears, urine, or vomitus, unless they contain visible blood. (I, II, III)

e. Resident care procedures to be used when there is an infection present consistent with 1987 CDC Guidelines to be used when there is an infection present Guideline for Isolation Precautions in Hospitals, Centers for Disease Control, U.S. Department of Health and Human Services, PB96- 138102; (I, II, III)

h. Techniques for use and disposal of needles, syringes, and other sharp instruments consistent with 1987 CDC Guidelines Guideline for Isolation Precautions in Hospitals, Centers for Disease Control, U.S. Department of Health and Human Services, PB96-138102 and requirements set forth in environmental protection commission rules 567--100.3(2) and 567--102.14(455B); (I, II, III) and

i. Aseptic techniques when using:

(1) Intravenous or central line catheter consistent with Guideline for Prevention of Intravascular Device Related Infections, Centers for Disease Control, U.S. Department of Health and Human Services, PB97-130074, (I, II, III)

(2) Urinary catheter, (I, II, III)

(3) Respiratory suction, oxygen or humidification, (I, II, III)

(4) Dressings, soaks, or packs,(I, II, III)

(5) Tracheostomy, (I, II, III)

(6) Nasogastric or gastrostomy tubes., (I, II, III)

(7) Sanitary use and reuse of feeding syringes and single-resident uses and reuse of urine collection bags. (I, II, III)

CDC Guidelines may be obtained at cost from the Department of Inspections and Appeals, Health Facilities Division, Lucas State Office Building, Des Moines, Iowa 50319-0083 or by calling (515-281-4081) U.S. Department of Commerce, Technology Administration, National Technical Information Service, 5285 Port Royal Rd., Springfield, Virginia 22161 (1-800-553-6847).

ARC 8205A

These amendments clarify the process to request a hearing if a license has been denied, change the license renewal period and the continuing education compliance period, raise renewal fees and penalty fees, clarify the process for investigation of complaints or malpractice claims, clarify disciplinary procedures, and clarify peer review committees.

Notice of Intended Action was published in the Iowa Administrative Bulletin on June 3, 1998, as ARC 8054A. A public hearing was held on June 23, 1998, from 9 a.m. to 11 a.m. in the Fourth Floor Conference Room, Iowa Department of Public Health, Lucas State Office Building, Des Moines, Iowa 50319-0075. A letter was received for public comment from the Iowa Occupational Therapy Association. The adopted amendments are unchanged from those published under Notice of Intended Action.

These amendments were adopted by the Board of Physical and Occupational Therapy Examiners on July 10, 1998.

These amendments will become effective September 2, 1998.

These amendments are intended to implement Iowa Code chapters 147, 148B and 272C.

The following amendments are adopted.

ITEM 1. Rescind rule 645--201.7(147) and adopt the following new rule in lieu thereof:

645--201.7(147) License renewal.

201.7(1) Beginning July 1, 1999, a license to practice as an occupational therapist or as an occupational therapy assistant shall expire every two years on the fifteenth day of the birth month. Continuing education requirements shall be completed within the same renewal period for each license holder.

An application and a continuing education report form for renewal of license to practice as an occupational therapist or as an occupational therapy assistant shall be mailed to the licensee at least 60 days prior to the expiration of the license. Failure to receive the renewal application shall not relieve the license holder of the obligation to pay biennial renewal fees on or before the renewal date.

201.7(2) Beginning July 1, 1999, the continuing education requirements will coincide with the renewal compliance period. The licensee shall submit to the board office 30 days before licensure expiration the application and continuing education report form with the renewal fee as specified in rule 201.12(147). Individuals who were issued their initial license within six months of their birth month will not be required to renew their license until the fifteenth day of their birth month two years later. The new licensee is exempt from meeting the continuing education requirement for the continuing education biennium in which the license is originally issued. Occupational therapists will be required to report 30 hours and occupational therapy assistants 15 hours of continuing education for the first renewal and every renewal thereafter.

201.7(3) Late renewal. If the renewal fees are received by the board within 30 days after the renewal expiration date, a penalty fee is charged. If renewal fees are received more than 30 days after the renewal expiration date, the license is lapsed. An application for reinstatement must be filed with the board with the reinstatement fee, the renewal fee and the penalty fee as outlined in rule 201.12(147). Individuals who fail to submit the renewal application and complete documentation of continuing education hours shall be required to pay a penalty fee and shall be subject to an audit of their continuing education report.

201.7(4) Occupational therapists and occupational therapy assistants who have not fulfilled the requirements for license renewal or an exemption in the required time frame will have a lapsed license and shall not engage in the practice of occupational therapy.

ITEM 2. Amend rule 645--201.8(147) as follows:

645--201.8(147) Reinstatement of lapsed license. Individuals allowing a license to lapse will be required to reapply for permanent license and may be required to take the certification examination. Occupational therapists and occupational therapy assistants who do not request to be reinstated by means of submitting the current application fee, reinstatement fee, and an application for reinstatement by August 1 of the new licensure biennium within 30 days after the renewal expiration date may be required to take an examination as determined by the board. Consideration will be given to the length of lapsed license, practicing with lapsed license, and previous violations of board rules. Should an individual continue to practice with a lapsed license, disciplinary action will be taken which may include suspension, revocation or probation.

ITEM 3. Amend subrule 201.12(1) as follows:

201.12(1) The application fee for an occupational therapist license is $55 $100. The application fee for an occupational therapy assistant license is $45 $90.

ITEM 4. Amend subrule 201.12(3) as follows:

201.12(3) The renewal fee for a license to practice as an occupational therapist license for a biennial period is $55. The renewal fee for a license to practice as an occupational therapy assistant license for a biennial period is $45. Biennial renewal fee for a license to practice as an occupational therapist or an occupational therapy assistant for the 1999 renewal cycle only is as follows:

Birth Month	Occupational Therapist Prorated Fee	Occupational Therapy Assistant Prorated Fee
July 1999	$55	$45
August 1999	$57	$47
September 1999	$60	$49
October 1999	$62	$51
November 1999	$64	$53
December 1999	$66	$54
January 2000	$69	$56
February 2000	$71	$58
March 2000	$73	$60
April 2000	$76	$62
May 2000	$78	$64
June 2000	$80	$66

ITEM 5. Amend subrule 201.12(4) as follows:

201.12(4) Penalty fee for failure to complete and return the renewal application and statement of supervision before the renewal expiration date is $45 for occupational therapy assistants by January 31 (odd-numbered year) is $45 and $55 for occupational therapists.

ITEM 6. Amend subrule 201.12(5) as follows:

201.12(5) Penalty fee for failure to complete the required continuing education by December 31 of even-numbered years during the renewal period is $25 $50. Failure to complete and return the continuing education report (Form G) by January 31 (odd-numbered year) by the end of the renewal period is $25 $50.

ITEM 7. Rescind subrule 201.12(10) and adopt the following new subrule in lieu thereof:

201.12(10) Fee for a returned check is $15.

ITEM 8. Amend subrule 201.14(1) as follows:

201.14(1) The biennial license renewal period shall extend from July 1 of each odd-numbered year to June 30 of the next odd-numbered year. The biennial period for completing continuing education requirements shall be from January 1 of the odd-numbered year to December 31 of the following even-numbered year. The continuing education compliance period shall be each biennium beginning the fifteenth day of the birth month and ending two years later on the fifteenth day of the birth month. The occupational therapist shall complete 30 hours of continuing education each educational biennium compliance period. The occupational therapy assistant shall complete 15 hours of continuing education each educational biennium compliance period. For the 1999 renewal cycle only, 38 hours of continuing education will be due for the occupational therapist and 19 hours of continuing education will be due for the occupational therapy assistant by July 1, 1999.

Continuing education hours will return to 30 hours for the occupational therapist and 15 hours for the occupational therapy assistant each biennium at the end of this prorated compliance period.

ITEM 9. Rescind and reserve subrule 201.14(3).

ITEM 10. Rescind and reserve subrule 201.14(4).

ITEM 11. Amend subrule 201.16(1) as follows:

201.16(1) A report of continuing education activities shall be submitted on a board-approved form with the renewal application by January 31 of the odd-numbered year the end of the biennial license renewal period. All continuing education activities submitted must be completed by December 31 of the even-numbered year in the continuing education compliance period for which the license was issued as specified in 201.14(2)(1) or a late penalty fee will be assessed. as outlined in (See 201.12(5).)

ITEM 12. Amend subrule 201.16(2) as follows:

201.16(2) Failure to receive a renewal application shall not relieve the licensee of the responsibility of meeting the continuing education requirements and submitting the renewal fee by January 31 of the odd-numbered year the end of the compliance period.

ITEM 13. Amend subrule 201.16(3), paragraph "b," as follows:

b. Licensees whose renewal license applications are submitted late (after January 31 of the odd-numbered year the end of the compliance period) may shall be required to submit to an audit of continuing education reports.

ITEM 14. Amend subrule 201.16(3), paragraph "d," as follows:

d. Occupational therapists and occupational therapy assistants are responsible for keeping on file required documents that can support the continuing education attendance and participation reports submitted to the board for relicensure license renewal. These documents shall include a program brochure including the statement of purpose, course objectives, qualification of speakers, program outline with a time frame designation and a certification of attendance. Programs or other educational activities that do not meet board standards will be disallowed. Failure to submit documentation supporting the continuing education report will disqualify the licensee's eligibility for relicensure license renewal.

ITEM 15. Rescind rule 645--201.19(272C) and adopt the following new rule in lieu thereof:

645--201.19(272C) Investigation of complaints or malpractice claims.

201.19(1) Investigation. The chair of the board of physical and occupational therapy examiners may assign an investigation of a complaint or malpractice claim to a member of the board who will be known as the investigating board member or may request the state department of inspections and appeals to investigate the complaint or malpractice claim. The investigating board member or employee of the department of inspections and appeals may request information from any peer review committee which may be established to assist the board. The investigating board member or employee of the department of inspections and appeals may consult with an officer or assistant attorney general concerning the investigation or evidence produced from the investigation. The investigating board member, if the board member investigates the complaint, or an assistant attorney general if the department investigates the complaint, shall make a written determination whether there is probable cause for a disciplinary hearing. The investigating board member shall not take part in the decision of the board, but may appear as a witness.

201.19(2) Informal discussion. In the course of conducting or directing an investigation, the board may request the licensee to attend a voluntary informal discussion before the board or board committee. The licensee is not required to attend or participate in the informal discussion. An informal discussion constitutes a part of the board's investigation of a pending disciplinary case, and the facts discussed at the informal discussion may be considered by the board in the event the matter proceeds to a contested case hearing. A board member who participates in an informal discussion is not disqualified from participating in the contested case hearing.

ITEM 16. Rescind rule 645--201.20(272C) and adopt the following new rule in lieu thereof:

645--201.20(272C) Informal settlement and license denial.

201.20(1) Informal settlement--parties.

a. A contested case may be resolved by informal settlement. Negotiation of an informal settlement may be initiated by the state of Iowa represented by the prosecuting attorney, the respondent, or the board. The board shall designate a board member with authority to negotiate on behalf of the board.

b. The full board shall not be involved in negotiation until presentation of a final, written, signed informal settlement to the full board for approval.

201.20(2) Informal settlement--waiver of notice and opportunity to be heard. Consent to negotiation by the respondent constitutes a waiver of notice and opportunity to be heard pursuant to Iowa Code section 17A.17 during informal settlement negotiation. Thereafter, the prosecuting attorney is authorized to discuss informal settlement with the board's designee.

201.20(3) Informal settlement--board approval. All informal settlements are subject to approval of a majority of the full board. No informal settlement shall be presented to the board for approval except in final, written form executed by the respondent. If the board fails to approve the informal settlement, it shall be of no force or effect to either party.

201.20(4) Informal settlement--disqualification of des-ignee. A board member who is designated to act in negotiation of an informal settlement is not disqualified from participating in the adjudication of the contested case.

201.20(5) License denial.

a. An applicant who has been denied licensure by the board may appeal the denial and request a hearing on the issues related to the licensure denial by serving a notice of appeal and request for hearing upon the board not more than 30 days following the date of mailing of the notification of licensure denial to the applicant. The request for hearing as outlined herein shall specifically delineate the facts to be contested and determined at hearing.

b. If an applicant who has been denied licensure by the board appeals the licensure denial and requests a hearing pursuant to this subrule, the hearing and subsequent procedures shall be held pursuant to the process outlined at rule 645--200.21(272C).

ITEM 17. Rescind rule 645--201.21(272C) and adopt the following new rule in lieu thereof:

645--201.21(272C) Disciplinary procedure.

201.21(1) Notice of hearing. If there is a finding of probable cause for a disciplinary hearing, the department of public health shall prepare the notice of hearing and transmit the notice of hearing to the respondent by certified mail, return receipt requested, at least 10 days before the date of the hearing. If licensees have absented or removed themselves from the state, the notice of hearing and statement of charges shall be so served at least 30 days before the date of the hearing, wherever the licensee may be found. If the whereabouts of the licensee are unknown, service may be had by publication as provided in the rules of civil procedure upon filing the affidavit required by the rules.

201.21(2) Statement of charges. The statement of charges shall set forth in ordinary and concise language the acts or omissions with which the respondent is charged. The statement of charges shall specify the statute(s) and rule(s) which are alleged to have been violated.

201.21(3) Legal representation. Every statement of charges and notice of hearing shall be reviewed by the office of the attorney general, which shall be responsible for the legal representation of the public interest in all contested case proceedings before the board.

201.21(4) Continuances. A party has no automatic right to a continuance or delay of the disciplinary hearing. A party may request a continuance of the board no later than seven days prior to the date set for hearing. Within seven days of the date set for hearing, no continuances shall be granted except for extraordinary, extenuating, or emergency circumstances. The board administrator shall have the authority to grant a continuance after consultation, if needed, with the chairperson of the board. A board member shall not be contacted in person, by mail, by telephone, or by any other means by a party seeking a continuance.

201.21(5) Prehearing conference. The presiding officer or hearing officer either on the officer's own motion or at the request of either party may hold a prehearing conference which shall be scheduled not less than two days prior to the hearing. Notice by ordinary mail shall be given to each party of the date, time, and place of the prehearing conference.

201.21(6) Failure by respondent to appear. If a respondent, upon whom proper notice of hearing has been served, fails to appear at the hearing, the board may proceed with the conduct of the hearing, and the respondent shall be bound by the results of such hearing to the same extent as if the respondent were present.

201.21(7) Hearing procedure. The board adopts the rules of the department of public health found in 641--Chapter 173, Iowa Administrative Code, as the procedure for hearing before the board. The board may authorize an administrative law judge to conduct the hearings, administer oaths, issue subpoenas, and prepare written findings of fact, conclusions of law and decision at the direction of the board. If a majority of the board does not hear the disciplinary proceeding, a recording or a transcript of the proceeding shall be made available to members of the board who did not hear the proceeding.

201.21(8) Application for rehearing. The filing of an application for rehearing is not necessary to exhaust administrative remedies. Within 20 days after the issuance of a final decision, any party may file an application for rehearing. The application shall state the specific grounds for rehearing and the relief sought and copies thereof shall be timely mailed to all other parties. The application shall be deemed denied if not granted within 20 days after service on the board. Upon rehearing, the board shall consider facts not presented in the original hearing only if:

a. Such facts arose subsequent to the original proceedings; or

b. The party offering such evidence could not reasonably have provided such evidence at the original proceedings; or

c. The party offering the additional evidence was misled by any party as to the necessity for offering such evidence at the original proceeding.

201.21(9) Appeal. Any appeal to the district court from disciplinary action of the board or denial of license shall be taken within 30 days from the issuance of the decision by the board. It is not necessary to request a rehearing before the board to appeal to the district court.

201.21(10) Transcript. The party who appeals a decision of the board to the district court shall pay the cost of the preparation of a transcript of the administrative hearing for the district court.

201.21(11) Publication of decisions. Final decisions of the board relating to disciplinary proceedings shall be transmitted to the appropriate association, the news media and employer.

201.21(12) Hearings open to the public. A hearing of a licensing board concerning a licensee shall be open to the public unless the licensee or the licensee's attorney requests in writing that the hearing be closed to the public.

201.21(13) Reinstatement. Any person whose license to practice has been revoked or suspended may apply to the board for reinstatement in accordance with the terms and conditions of the order of revocation or suspension, unless the order of revocation provides that the license is permanently revoked.

a. If the order of revocation or suspension did not establish terms and conditions upon which reinstatement might occur, or if the license was voluntarily surrendered, an initial application for reinstatement may not be made until one year has elapsed from the date of the order or the date of the voluntary surrender.

b. All proceedings for reinstatement shall be initiated by the respondent, who shall file with the board an application for reinstatement of the license. Such application shall be docketed in the original case in which the license was revoked, suspended, or relinquished. All proceedings upon the application for reinstatement shall be subject to the same rules of procedure as other cases before the board.

c. An application for reinstatement shall allege facts which, if established, will be sufficient to enable the board to determine that the basis for the revocation or suspension of the respondent's license no longer exists and that it will be in the public interest for the license to be reinstated. The burden of proof to establish such facts shall be on the respondent.

d. An order denying or granting reinstatement shall be based upon a decision which incorporates findings of fact and conclusions of law. The order shall be published as provided for in this rule.

201.21(14) Voluntary surrender. The board may accept the voluntary surrender of a license if accompanied by a written statement of intention. A voluntary surrender, when accepted in connection with a disciplinary proceeding, has the same force and effect as an order of revocation.

ITEM 18. Rescind rule 645--201.22(272C) and adopt the following new rule in lieu thereof:

645--201.22(272C) Method of discipline. The board has the authority to impose the following disciplinary sanctions:

1. Revocation of license.

2. Suspension of license until further order of the board or for a specific period.

3. Prohibiting permanently, until further order of the board, or for a specific period, the engaging in specified procedures, methods, or acts.

4. Probation.

5. Requiring additional education or training.

6. Requiring a reexamination.

7. Ordering a physical or mental evaluation, or ordering alcohol and drug screening within a time specified by the board.

8. Imposing civil penalties not to exceed $1000.

9. Issuing a citation and warning.

10. Imposing other sanctions allowed by law as may be appropriate.

ITEM 19. Rescind rule 645--201.23(272C) and adopt the following new rule in lieu thereof:

645--201.23(272C) Discretion of board. The following factors may be considered by the board in determining the nature and severity of the disciplinary sanction to be imposed:

201.23(1) The relative serious nature of the violation as it relates to assuring the citizens of this state a high standard of professional care.

201.23(2) The facts of the particular violation.

201.23(3) Any extenuating facts or other countervailing considerations.

201.23(4) The number of prior violations or complaints.

201.23(5) The seriousness of prior violations or complaints.

201.23(6) Whether remedial action has been taken.

201.23(7) Such other factors as may reflect upon the competency, ethical standards, and professional conduct of the licensee.

ITEM 20. Rescind rule 645--201.24(21,272C) and adopt the following new rule in lieu thereof:

645--201.24(272C) Grounds for discipline. The board may impose any of the disciplinary sanctions set forth in rule 201.22(272C), including civil penalties in an amount not to exceed $1000, when the board determines that a licensee is guilty of any of the following acts or offenses.

201.24(1) All grounds listed in Iowa Code section 147.55.

201.24(2) Violation of the rules promulgated by the board.

201.24(3) Personal disqualifications:

a. Mental or physical inability reasonably related to and adversely affecting the licensee's ability to practice in a safe and competent manner.

b. Involuntary commitment for treatment of mental illness, drug addiction or alcoholism.

201.24(4) Practicing the profession while the license is suspended or lapsed.

201.24(5) Revocation, suspension, or other disciplinary action taken by a licensing authority of another state, territory, or country; or failure by the licensee to report in writing to the Iowa board of physical and occupational therapy examiners revocation, suspension, or other disciplinary action taken by a licensing authority of another state, territory, or country; or both.

201.24(6) Negligence by the licensee in the practice of the profession, which is a failure to exercise due care including negligent delegation to or supervision of employees or other individuals whether or not injury results; or any conduct, practice or conditions which impair the ability to safely and skillfully practice the profession.

201.24(7) Failure to comply with the following rules of ethical conduct and practice.

a. An occupational therapist or occupational therapy assistant shall not practice outside the scope of the license.

b. When the occupational therapist or occupational therapy assistant does not possess the skill to evaluate a patient, plan the treatment program, or carry out the treatment, the occupational therapist or occupational therapy assistant is obligated to assist in identifying a professionally qualified licensed practitioner to perform the service.

c. The practice of occupational therapy shall minimally consist of:

(1) Interpreting all referrals.

(2) Evaluating each patient.

(3) Identifying and documenting individual patient's problems and goals.

(4) Establishing and documenting a plan of care.

(5) Providing appropriate treatment.

(6) Determining the appropriate portions of the treatment program to be delegated to assistive personnel.

(7) Appropriately supervising individuals as described in rule 201.13(272C).

(8) Providing timely patient reevaluation.

(9) Maintaining timely and adequate patient records of all occupational therapy activity and patient response.

d. It is the responsibility of the occupational therapist to inform the referring practitioner when any requested treatment procedure is inadvisable or contraindicated. The occupational therapist shall refuse to carry out orders that are inadvisable or contraindicated and advise the referring practitioner as such.

e. Treatment shall not be continued beyond the point of possible benefit to the patient or by treating more frequently than necessary to obtain maximum therapeutic effect.

f. It is unethical for the occupational therapist or occupational therapy assistant to directly or indirectly request, receive, or participate in the dividing, transferring, assigning, rebating, or refunding of an unearned fee or to profit by means of credit or other valuable consideration as an unearned commission, discount, or gratuity in connection with the furnishing of occupational therapy services.

g. The occupational therapist or occupational therapy assistant shall not exercise undue influence on patients to purchase equipment produced or supplied by a company in which the occupational therapist or occupational therapy assistant owns stock or has any other direct or indirect financial interest.

h. Occupational therapists and occupational therapy assistants shall not permit another person to use their licenses for any purpose.

i. An occupational therapist and occupational therapy assistant shall not obtain, possess, or attempt to obtain or possess a controlled substance without lawful authority or sell, prescribe, give away, or administer a controlled substance in the practice of occupational therapy.

j. An occupational therapist and occupational therapy assistant shall not verbally or physically abuse a patient.

k. An occupational therapist and occupational therapy assistant shall not engage in sexual misconduct. Sexual misconduct includes the following:

(1) Engaging in or soliciting a sexual relationship, whether consensual or nonconsensual, with a patient.

(2) Making sexual advances, requesting sexual favors, or engaging in other verbal conduct or physical contact of a sexual nature with a patient.

201.24(8) Failure to adequately supervise personnel in accordance with the standards for supervision set forth in rule 201.13(272C).

201.24(9) Unethical business practices, consisting of any of the following:

a. False or misleading advertising.

b. Betrayal of a professional confidence.

c. Falsifying a patient's records.

201.24(10) Failure to notify the board of a change of name or address within 30 days after it occurs.

201.24(11) Submission of a false report of continuing education, or failure to submit the required report of continuing education.

201.24(12) Failure to notify the board within 30 days after occurrence of any judgment or settlement of a malpractice claim or disciplinary action taken by another state.

201.24(13) Failure to comply with a subpoena issued by the board.

201.24(14) Failure to report to the board as provided in Iowa Code section 272C.9 any violation by another licensee of the reasons for disciplinary action as listed in this rule.

201.24(15) Failure to report to the board as provided in Iowa Code section 272C.9 any violation by an occupational therapist or occupational therapy assistant of the reasons for disciplinary action as listed in this rule.

201.24(16) Obtaining a license by fraud or misrepresentation.

201.24(17) Conviction of a felony related to the practice of occupational therapy or the conviction of any felony that would affect the licensee's ability to practice occupational therapy. A copy of the record of conviction shall be conclusive evidence. Conviction shall include a finding or verdict of guilty, a plea of guilty, an admission of guilt, or a plea of nolo contendere.

201.24(18) Professional incompetency. Professional incompetency includes but is not limited to:

a. A substantial lack of knowledge or ability to discharge professional obligations within the occupational therapist's or occupational therapy assistant's practice;

b. A substantial deviation by the occupational therapist or occupational therapy assistant from the standards of learning or skill ordinarily possessed and applied by other occupational therapists and occupational therapy assistants in the state of Iowa acting in the same or similar circumstances;

c. A failure by an occupational therapist or occupational therapy assistant to exercise in a substantial respect that degree of care which is ordinarily exercised by the average occupational therapist or occupational therapy assistant in the state of Iowa acting in the same or similar circumstances;

d. A willful or repeated departure from or the failure to conform to the minimal standard of acceptable and prevailing practice of occupational therapy in the state of Iowa.

201.24(19) Inability to practice occupational therapy with reasonable skill and safety by reason of a mental or physical impairment or chemical abuse.

201.24(20) Violating a lawful order of the board, previously entered by the board in a disciplinary or licensure hearing, or violating the terms and provisions of a consent agreement or informal settlement between a licensee and the board.

201.24(21) Failure to respond, when requested, to communications of the board within 30 days of the mailing of such communication by registered or certified mail.

201.24(22) Obtaining third-party payment through fraudulent means. Third-party payers include, but are not limited to, insurance companies and government reimbursement programs. Obtaining payment through fraudulent means includes, but is not limited to:

a. Reporting incorrect treatment dates for the purpose of obtaining payment;

b. Reporting charges for services not rendered;

c. Incorrectly reporting services rendered for the purpose of obtaining payment which is greater than that to which the licensee is entitled; or

d. Aiding a patient in fraudulently obtaining payment from a third-party payer.

201.24(23) Practicing without a current license or practicing when a license is lapsed.

ITEM 21. Adopt new rule 645--201.25(272C) as follows:

645--201.25(272C) Peer review committees.

201.25(1) A complaint may be assigned to a peer review committee for review, investigation, and report to the board.

201.25(2) The board shall determine which peer review committee will review a case and what complaints or other matters shall be referred to a peer review committee for investigation, review, and report to the board.

201.25(3) Members of the peer review committees shall not be liable for acts, omissions, or decisions made in connection with service on the peer review committee. However, such immunity from civil liability shall not apply if such act is done with malice.

201.25(4) The peer review committees shall observe the requirements of confidentiality imposed by Iowa Code section 272C.6.

ITEM 22. Adopt new rule 645--201.26(21,272C) as follows:

645--201.26(21,272C) Conduct of persons attending meetings.

201.26(1) The person presiding at a meeting for the board may exclude a person from an open meeting for behavior that obstructs the meeting.

201.26(2) Cameras and recording devices may be used at open meetings provided they do not obstruct the meeting. If the user of a camera or recording device obstructs the meeting by the use of such device, the person presiding may request the person to discontinue use of the camera or device. If the person persists in use of the device or camera, that person shall be ordered excluded from the meeting by order of the board member presiding at the meeting.

ARC 8201A

The first purpose of this amendment is to include certain levels of CD4 laboratory results as a reportable AIDS-defining condition. The Centers for Disease Control and Prevention expanded the case definition of AIDS on January 1, 1993, to include immunologic criteria defined as CD4 T-lymphocyte laboratory test results of less than 200 cells per microliter, or a CD4 T-lymphocyte percent of total lymphocytes less than 14. Laboratory-initiated CD4 reporting will enhance AIDS surveillance by identifying proportionately more AIDS cases earlier in the course of their disease and with less reporting delay. This method of AIDS case ascertainment will enhance the state's ability to more completely monitor the epidemic in Iowa.

Presently 27 states have mandated laboratory-based CD4 reporting. Laboratory reporting of the CD4 values will serve as a cue to contact attending physicians to obtain AIDS case reports. A small proportion of the low CD4 reports will be linked to immunosuppression in renal transplantation, hereditary disorders, and other non-HIV conditions. This information, however, will become evident upon physician contact so that no report will be generated. The clear benefit of CD4 reporting is more complete epidemiologic ascertainment and preventing the unnecessary loss of federal funds due to underreporting of AIDS cases.

The second purpose of this amendment is to add several other infectious diseases to the reportable disease list. These are Enterococcus invasive disease, Group A Streptococcus invasive disease, Streptococcus pneumoniae invasive disease, Cyclospora, Hantavirus syndromes, Listeria monocytogenes invasive disease, and Vancomycin-resistant Staphylococcus aureus.

Isolates of the above-mentioned diseases should be sent to the University of Iowa Hygienic Laboratory. The reporting of the above will allow tracking of antibiotic resistance and emergence of new diseases.

The final purpose of this amendment is to correct a typographical error in the current rule.

Notice of Intended Action was published in the Iowa Administrative Bulletin on May 6, 1998, as ARC 7990A. The Iowa Department of Public Health accepted written comments to the proposed amendment until May 26, 1998. A public hearing was held on Wednesday May 27, 1998, from 10 to 11 a.m. at the Department of Public Health, Third Floor, Side One, Lucas State Office Building, East 12th and Grand Avenue.

Comments were received from representatives of Central Iowa Health Systems, Des Moines; University of Iowa Hospitals and Clinics, Iowa City; St. Joseph's Mercy Hospital, Centerville; Mercy Hospital Medical Center, Des Moines; and Iowa Hospitals and Health Systems. Comments included support for monitoring for resistant organisms, but with various issues addressed including the viability of organisms after transport, the costs to hospitals (both monetarily and increase in staff time needed to report diseases), and the assurance that coordination occurs between antibiotic resistance surveillance projects that are already underway or are proposed. In response to comments received, Staphylococcus aureus invasive disease was deleted from this amendment.

This amendment was adopted by the Board of Health on July 8, 1998.

This amendment shall become effective September 2, 1998.

This amendment is intended to implement Iowa Code section 139.2.

The following amendment is adopted.

Amend subrule 1.2(1), paragraph "a," as follows:

a. Specific infectious diseases:

(1) Common diseases:

Acquired Immune Deficiency Syndrome (AIDS) and AIDS-defining conditions including CD4 T-lymphocyte count less than 200/microliter, or CD4 T-lymphocyte percent of total lymphocytes less than 14

Campylobacteriosis

Chlamydia

Cryptosporidiosis

Encephalitis, arboviral

_Enterococcus invasive disease

_Escherichia coli O157:H7 and related diseases (includes HUS)

Giardiasis

Gonorrhea

_Group A Streptococcus invasive disease

Hepatitis, types A, B, C, D, and E

_*Haemophilus influenza type B invasive disease

Human Immunodeficiency Virus infection

Legionellosis

Lyme Disease

_*Meningococcal invasive disease

Pertussis

*Rabies (animal and *human)

*Measles (rubeola)

_Salmonellosis (including Typhoid fever)

_Shigellosis

_Streptococcus pneumoniae invasive disease

Syphilis

Tuberculosis

(2) Rare diseases:

Anthrax

*Botulism

Brucellosis

*Cholera

Cyclospora

*Diphtheria

Hansen's disease (Leprosy)

Hantavirus syndromes

_Listeria monocytogenes invasive disease

Malaria

Mumps

*Plague

*Poliomyelitis

Psittacosis

Rocky Mountain Spotted Fever

Rubella (including congenital)

Tetanus

Toxic Shock Syndrome

Trichinosis

Yellow fever

_*Vancomycin-resistant Staphylococcus aureus

*Outbreaks of any kind, usual unusual syndromes, or uncommon diseases

*Diseases which are underlined and noted with an asterisk should be reported IMMEDIATELY by telephone 1-800-362-2736.

_Isolates from diseases so noted should be sent to the University of Iowa Hygienic Laboratory.

ARC 8203A

This action is necessary as a consequence of amendments to Iowa Code section 730.5 made by 1998 Iowa Acts, House File 299.

The new Chapter 12 describes the procedures and requirements that a laboratory must follow to receive approval by the Iowa Department of Public Health to conduct confirmatory testing of samples for the detection of alcohol or drugs in private sector employees or prospective employees. Laboratories certified by the federal Substance Abuse and Mental Health Services Administration are no longer required to receive Iowa approval.

These rules were Adopted and Filed Emergency as ARC 7982A and were published in the May 6, 1998, Iowa Administrative Bulletin. In addition, these rules were simultaneously published under Notice of Intended Action in the May 6, 1998, Iowa Administrative Bulletin as ARC 7981A to allow for public comment.

As a consequence of comments received at the public hearing on May 27, 1998, the following changes have been made:

In subrule 12.3(2), paragraph "c," the last sentence has been changed by adding the word "when" after the word "inspection" to clarify that the self-inspection questionnaire is applicable only when a laboratory's on-site inspection is conducted by the University Hygienic Laboratory (UHL). The sentence now reads as follows: "This questionnaire will comprise the major but not the sole objective criteria used during the initial on-site inspection when conducted by the UHL."

Subrule 12.3(4) has been changed by adding language that waives inspections by the UHL if the laboratory has been inspected and accredited for forensic urine drug testing by the College of American Pathologists.

Subrule 12.4(4), introductory paragraph, has been changed by clarifying the documentation and maintenance of proficiency testing results.

Subrule 12.4(4), paragraph "b," has been changed by reducing the percent accuracy figure from 90 percent to 80 percent. This change to 80 percent will be consistent with the percentage used by the federal Substance Abuse and Mental Health Services Administration and the College of American Pathologist's forensic urine drug testing program.

Subrule 12.10(3) has been changed to clarify that proficiency test results are only to be sent to the UHL on an ongoing basis if the laboratory was inspected by the UHL.

Subrule 12.13(3) has been changed to make it clear that the language in this subrule applies only to the UHL.

Rule 12.14(730), numbered paragraph "4," has been changed to include language about laboratories that have been accredited for forensic urine drug testing by the College of American Pathologists.

Rule 12.16(730), introductory paragraph, has been changed by substituting the word "five" in the phrase "five days" in lieu of the word "ten" to be consistent with the time requirement stipulated in subrule 12.15(2).

Rule 12.16(730) has been changed by adding numbered paragraph "8," that addresses loss of accreditation for forensic urine drug testing by the College of American Pathologists.

Rule 12.18(730), numbered paragraph "8," has been changed to include language about laboratories that pass an on-site inspection by the College of American Pathologists for forensic urine drug testing.

Rule 12.19(730), numbered paragraph "2," has been changed to include language about on-site inspections by the College of American Pathologists for forensic urine drug testing.

Except for these changes, the rules are identical to those published under Notice of Intended Action.

These rules were adopted by the Board of Health on July 8, 1998.

These rules shall become effective September 2, 1998, at which time the Adopted and Filed Emergency rules are hereby rescinded.

These rules are intended to implement Iowa Code section 730.5 as amended by 1998 Iowa Acts, House File 299.

Rescind 641--Chapter 12 and adopt the following new Chapter 12 in lieu thereof:

641--12.2(730) Definitions. For the purpose of these rules, the following definitions shall apply:

"Alcohol" means ethanol, isopropanol, or methanol.

"Alcohol or drug testing" means analysis of a sample for the purpose of detecting the presence or absence of alcohol or other drugs, or their metabolites, in the sample tested.

"CLIA" means Clinical Laboratory Improvement Amendments of 1988.

"Confirmatory test" means a test for alcohol or other drugs, or their metabolites, using a testing method as stipulated in rule 641--12.9(730), "Confirmatory testing."

"Department" means the Iowa department of public health.

"Director" means the director of the Iowa department of public health.

"Drug" means a substance considered a controlled substance and included in Schedule I, II, III, IV, or V under the federal Controlled Substances Act, 21 U.S.C. Subsections 801 et seq.

"Employee" means a person in the service of an employer in this state and includes the employer and any chief executive officer, president, vice president, supervisor, manager, and officer of the employer who is actively involved in the day-to-day operations of the business.

"Employer" means a person, firm, company, corporation, labor organization, or employment agency, which has one or more full-time employees employed in the same business, or in or about the same establishment, under any contract of hire, express or implied, oral or written, in this state. "Employer" does not include the state, a political subdivision of the state, including a city, county, or school district, the United States, the United States Postal Service, or a Native American tribe.

"GC/MS" means gas chromatography/mass spectrometry.

"HCFA" means Health Care Financing Administration. HCFA is the federal agency responsible for implementing and administering CLIA regulations.

"Laboratory" means a facility inside or outside the state of Iowa approved to conduct confirmatory testing of samples for the detection of alcohol or other drugs, or their metabolites.

"Medical review officer" means a licensed physician, osteopathic physician, chiropractor, nurse practitioner, or physician assistant authorized to practice in any state of the United States, who is responsible for receiving laboratory results generated by an employer's drug or alcohol testing program, and who has knowledge of substance abuse disorders and has appropriate medical training to interpret and evaluate an individual's confirmed positive test result together with the individual's medical history and any other relevant biomedical information.

"Prospective employee" means a person who has made application, whether oral or written, to an employer to become an employee.

"Sample" means such sample from the human body capable of revealing the presence of alcohol or other drugs, or their metabolites. However, "sample" does not mean blood except as authorized pursuant to Iowa Code subsection 730.5(7), paragraph "1." For the purpose of these rules, the substances determined by the department to be samples from the human body capable of accurately and reliably revealing the presence of alcohol or other drugs, or their metabolites, are urine, breath, and blood.

"Specimen" means a part taken from a sample to determine the character of the whole sample.

"UHL" means university (state) hygienic laboratory.

641--12.3(730) Powers and duties. The department shall be responsible for the following actions:

12.3(1) Processing applications from laboratories requesting approval to conduct confirmatory testing pursuant to Iowa Code subsection 730.5(7), paragraph "e."

12.3(2) Developing an application package.

a. The package shall be provided to all laboratories requesting approval to conduct confirmatory testing for alcohol or other drugs, or their metabolites.

b. The package shall contain application procedures, a copy of Iowa Code section 730.5, a copy of these admin-istrative rules, a standardized application form and a self-inspection questionnaire.

c. The self-inspection questionnaire shall assist the department in assessing the quality of a laboratory's performance as a confirmatory testing laboratory. This questionnaire will comprise the major but not the sole objective criteria used during the initial on-site inspection when conducted by the UHL.

d. The package shall be available upon request from the Iowa Department of Public Health, Division of Health Protection, Private Sector Drug Testing Program, Lucas State Office Building, Des Moines, Iowa 50319-0075.

12.3(3) Reviewing each application submitted and determining the adequacy for approval.

12.3(4) Designating the UHL to conduct an on-site inspection of each approved confirmatory laboratory at least once every two years. Inspection may be waived by the director if the laboratory has been inspected and accredited for forensic urine drug testing by the College of American Pathologists, or if the laboratory has been inspected and certified, licensed, or approved to conduct confirmatory testing by another state whose requirements are at least equal to Iowa's.

12.3(5) Maintaining and providing upon request an updated list of all approved confirmatory laboratories.

12.3(6) Providing written notice of approval and assigning an expiration date.

641--12.4(730) Application procedures and requirements. Laboratories desiring to conduct confirmatory testing for Iowa's employers shall apply to the department for approval. Each laboratory requesting Iowa approval to conduct confirmatory testing shall provide the following to the department:

12.4(1) A completed laboratory survey checklist on a form provided by the department.

12.4(2) A completed self-inspection questionnaire provided by the department that includes:

a. A list of alcohol or other drugs, or their metabolites, being tested.

b. Copies of the two most recent and relevant graded proficiency test reports from a recognized proficiency testing program.

c. Personnel qualifications for all staff involved in the technical and administrative management of the alcohol or drug testing laboratory.

d. Copies of the forms used to report test results.

e. Chain of custody protocols and copies of the chain of custody forms used.

f. Sample collection procedures.

g. Confirmation procedures.

12.4(3) Proof of enrollment in a recognized proficiency testing program. Recognized programs include those approved by HCFA.

12.4(4) Acceptable performance over a 12-month period in all appropriate areas of proficiency testing for alcohol or other drugs, or their metabolites, shall be documented and maintained on an ongoing basis. Acceptable performance is as follows:

a. Initial approval shall require at least 80 percent accuracy in the last two graded proficiency test cycles with no false positive results.

b. Renewal shall require at least 80 percent accuracy each year on graded proficiency surveys with no false positive results.

641--12.5(730) Requirements of laboratory personnel involved in confirmatory testing for alcohol or other drugs, or their metabolites.

12.5(1) The laboratory director shall be a pathologist or doctoral level individual who qualifies as a clinical laboratory director under CLIA regulations.

12.5(2) Supervisors of analysts shall possess at least a bachelor of science degree in chemistry, medical technology, or comparable education and two years of analytical alcohol or drug testing experience. Supervisors must also have training in the theory and practice of laboratory procedures and an understanding of quality control concepts. Annual verification of the supervisor's skills must be documented by the laboratory director.

12.5(3) Analysts shall possess the necessary training and skills for assigned tasks. These individuals shall possess at least two years of college education in the physical or biological sciences. At a minimum, analysts shall be graduates of a medical laboratory technician program which is recognized by the department or have at least two years of college with a minimum of nine semester hours in chemistry.

12.5(4) Laboratory directors, supervisors and analysts involved in alcohol or drug testing shall annually complete at least one in-service continuing education program related to alcohol or drug testing. Continuing education programs include formal training programs where continuing education units are awarded, informal in-house training programs, and relevant correspondence courses. Dates, titles and subject matter for each completed course shall be documented and the information shall be available for review.

12.5(5) The following information about each of the laboratory staff involved in alcohol or drug testing shall be retained for two years from date of termination and shall be available for review.

a. Résumé of training and experience.

b. Certificate or license.

c. Job description.

641--12.6(730) Quality assurance program and procedure manual requirements. All approved confirmatory laboratories shall have a written quality assurance program and a procedure manual which encompasses all aspects of the alcohol or drug testing process.

12.6(1) Approved laboratories shall have written procedures for performing alcohol or drug testing which shall include the following:

a. Sample acquisition.

b. Chain of custody.

c. Sample and report security.

d. Test performance.

e. Reporting of results.

f. Confidentiality.

12.6(2) The quality assurance program and procedure manuals shall be available for review during any on-site inspection.

12.6(3) Approved laboratories shall review their performance in each of the above areas every 12 months.

12.6(4) Approved laboratories are responsible for developing the criteria necessary to establish and maintain an effective quality assurance program for confirmatory testing of alcohol or other drugs, or their metabolites.