Pages 1431 to 1493 include ARC 9748A to ARC 9776A

Schedule for rule making 1424

Publication procedures 1425

Administrative rules on CD–ROM 1425

Agency identification numbers 1429

CITATION OF ADMINISTRATIVE RULES 1423

Notice, Private sector employment projects,
37.5 ARC 9775A 1431

Notice, Utilization of offender labor in
construction and maintenance projects, 37.6
ARC 9776A 1432

Educational Examiners Board[282]
Complaints, investigations, contested
case hearings, ch 11 1494

Education Department[281]
Juvenile homes—unauthorized expenditures,
63.18(4) 1494

Racing and Gaming Commission[491]
Waivers or variances from rules, 1.8 1494

Workforce Development Board/
Services Division[877]
Requests for waiver of rules, 2.4 1494

Delay, Complaints, investigations, contested
case hearings, ch 11 1494

Notice, Special education endorsements, 15.1,
15.2 ARC 9766A 1433

Notice, Paraeducator certificates, ch 22
ARC 9765A 1436

Delay, Juvenile homes—unauthorized
expenditures, 63.18(4) 1494

Notice, Appeal procedures, 6.17 ARC 9773A 1438

Filed Emergency, Appeal procedures, 6.17
ARC 9774A 1454

Notice of public meetings 1438

Executive Order Number 15 1495

Notice, Risk pool funding, 25.61 to 25.66
ARC 9748A 1439

Notice, Food stamp recipients—exemption of
census income, 41.27(7), 65.29(3), 75.57(7)
ARC 9750A 1440

Filed Emergency, Risk pool funding, 25.61 to
25.66 ARC 9749A 1454

Filed Emergency, Food stamp recipients—
exemption of census income, 41.27(7),
65.29(3), 75.57(7) ARC 9751A 1456

Filed, Rent subsidy program, 53.2(2), 53.3(2),
53.4(2) ARC 9752A 1460

Filed, Placement and readmission criteria—
highly structured juvenile programs,
114.2, 185.83(4) ARC 9753A 1461

Filed, Rehabilitative treatment and supportive
services contract—effective date, 152.8,
152.22(6) ARC 9754A 1462

Notice, Accident and health insurance
consumer guide, 35.35 to 35.37 ARC 9756A 1440

Notice Terminated, Waiver or variance from rules,
1.30 ARC 9772A 1441

Notice of public meetings 1438

Notice, Volunteer safety/education instructor
certification, 15.9 to 15.12 ARC 9769A 1441

Notice, General dock permits, 16.1, 16.3
ARC 9768A 1442

NATURAL RESOURCE COMMISSION[571](Cont’d)

Notice, Community forestry grant program,
amendments to ch 34 ARC 9770A 1443

Filed Emergency, Community forestry grant
program, amendments to ch 34 ARC 9771A 1457

Notice, Practice of LPNs—infusion pumps,
hypertonic solutions, 6.5(4) ARC 9762A 1443

Filed, Examination, 2.1, 2.10, 2.11
ARC 9763A 1463

Notice Terminated, Self–assessment of pharmacy,
6.2(1), 7.6(7), 8.16, 8.17, 15.9, 36.1(4)
ARC 9757A 1444

Notice of public hearing,
Regulatory review, chs 10 to 12, 18 1444

Notice, Optometry—licensure and continuing
education, 180.6, 180.11 to 180.18, 180.115,
ch 181 ARC 9767A 1444

Notice, EMS training grants, 130.1, 130.4
ARC 9758A 1448

Filed, Radiation, amendments to chs 38 to 42,
45, 46 ARC 9759A 1463

Summarized list 1426

Delay, Waivers or variances from rules, 1.8 1494

Decisions summarized 1498

Notice, Special mobile equipment, 410.1 to 410.3
ARC 9761A 1449

Notice, For–hire interstate motor carrier authority,
529.1 ARC 9764A 1450

Filed, Reflective devices on slow–moving
vehicles, 452.1 to 452.3 ARC 9755A 1492

Notice 1450

Notice, General, 2.4, 4.2, 4.6, 4.17, 4.38, 4.39,
5.8(1), 5.9, 8.9, 9.1, 9.12(2), 9.13(1)
ARC 9760A 1450

Delay, Requests for waiver of rules, 2.4 1494

CITATION of Administrative Rules

The Iowa Administrative Code shall be cited as (agency identification number) IAC
(chapter, rule, subrule, lettered paragraph, or numbered subparagraph).

441 IAC 79 (Chapter)

441 IAC 79.1(249A) (Rule)

441 IAC 79.1(1) (Subrule)

441 IAC 79.1(1)“a” (Paragraph)

441 IAC 79.1(1)“a”(1) (Subparagraph)

The Iowa Administrative Bulletin shall be cited as IAB (volume), (number), (publication
date), (page number), (ARC number).

IAB Vol. XII, No. 23 (5/16/90) p. 2050, ARC 872A

PUBLISHED UNDER AUTHORITY OF IOWA CODE SECTIONS 2B.5 AND 17A.6

__________________________________

The Iowa Administrative Bulletin is published biweekly in pamphlet form pursuant to Iowa Code chapters 2B and 17A and contains Notices of Intended Action on rules, Filed and Filed Emergency rules by state agencies.

It also contains Proclamations and Executive Orders of the Governor which are general and permanent in nature; Economic Impact Statements to proposed rules and filed emergency rules; Objections filed by Administrative Rules Review Committee, Governor or the Attorney General; and Delay by the Committee of the effective date of filed rules; Regulatory Flexibility Analyses and Agenda for monthly Administrative Rules Review Committee meetings. Other “materials deemed fitting and proper by the Administrative Rules Review Committee” include summaries of Public Hearings, Attorney General Opinions and Supreme Court Decisions.

The Bulletin may also contain Public Funds Interest Rates [12C.6]; Workers’ Compensation Rate Filings [515A.6(7)]; Usury [535.2(3)“a”]; Agricultural Credit Corporation Maximum Loan Rates [535.12]; and Regional Banking—Notice of Application and Hearing [524.1905(2)].

PLEASE NOTE: Italics indicate new material added to existing rules; strike through letters indicate deleted material.

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Rules will not be accepted after 12 o’clock noon on the Friday filing deadline days unless prior approval has been received from the Administrative Rules Coordinator’s office.

If the filing deadline falls on a legal holiday, submissions made on the following Monday will be accepted.

TO: Administrative Rules Coordinators and Text Processors of State Agencies

FROM: Kathleen K. Bates, Iowa Administrative Code Editor

SUBJECT: Publication of Rules in Iowa Administrative Bulletin

The Administrative Code Division uses Interleaf 6 to publish the Iowa Administrative Bulletin and can import documents directly from most other word processing systems, including Microsoft Word, Word for Windows (Word 7 or earlier), and WordPerfect.

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Containing: Iowa Administrative Code (updated through December 1999)
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State Capitol
Des Moines, Iowa 50319
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To All Agencies:

The Administrative Rules Review Committee voted to request that Agencies comply with Iowa Code section 17A.4(1)“b” by allowing the opportunity for oral presentation (hearing) to be held at least twenty days after publication of Notice in the Iowa Administrative Bulletin.

Due to reorganization of state government by 1986 Iowa Acts, chapter 1245, it was necessary to revise the agency identification numbering system, i.e., the bracketed number following the agency name.

“Umbrella” agencies and elected officials are set out below at the left–hand margin in CAPITAL letters.

Divisions (boards, commissions, etc.) are indented and set out in lowercase type under their statutory “umbrellas.”

Other autonomous agencies which were not included in the original reorganization legislation as “umbrella” agencies are included alphabetically in small capitals at the left–hand margin, e.g., BEEF INDUSTRY COUNCIL, IOWA[101].

The following list will be updated as changes occur:

AGRICULTURE AND LAND STEWARDSHIP DEPARTMENT[21]

Agricultural Development Authority[25]

Soil Conservation Division[27]

ATTORNEY GENERAL[61]

AUDITOR OF STATE[81]

CITIZENS’ AIDE[141]

CIVIL RIGHTS COMMISSION[161]

COMMERCE DEPARTMENT[181]

Alcoholic Beverages Division[185]

Banking Division[187]

Credit Union Division[189]

Insurance Division[191]

Professional Licensing and Regulation Division[193]

Accountancy Examining Board[193A]

Architectural Examining Board[193B]

Engineering and Land Surveying Examining Board[193C]

Landscape Architectural Examining Board[193D]

Real Estate Commission[193E]

Real Estate Appraiser Examining Board[193F]

Savings and Loan Division[197]

Utilities Division[199]

CORRECTIONS DEPARTMENT[201]

Parole Board[205]

CULTURAL AFFAIRS DEPARTMENT[221]

Arts Division[222]

Historical Division[223]

ECONOMIC DEVELOPMENT, IOWA DEPARTMENT OF[261]

City Development Board[263]

Iowa Finance Authority[265]

EDUCATION DEPARTMENT[281]

Educational Examiners Board[282]

College Student Aid Commission[283]

Higher Education Loan Authority[284]

Iowa Advance Funding Authority[285]

Libraries and Information Services Division[286]

Public Broadcasting Division[288]

School Budget Review Committee[289]

ELDER AFFAIRS DEPARTMENT[321]

EXECUTIVE COUNCIL[361]

GENERAL SERVICES DEPARTMENT[401]

HUMAN RIGHTS DEPARTMENT[421]

Community Action Agencies Division[427]

Criminal and Juvenile Justice Planning Division[428]

Deaf Services Division[429]

Persons With Disabilities Division[431]

Latino Affairs Division[433]

Status of African–Americans, Division on the[434]

Status of Women Division[435]

HUMAN SERVICES DEPARTMENT[441]

INSPECTIONS AND APPEALS DEPARTMENT[481]

Employment Appeal Board[486]

Foster Care Review Board[489]

Racing and Gaming Commission[491]

State Public Defender[493]

LAW ENFORCEMENT ACADEMY[501]

MANAGEMENT DEPARTMENT[541]

Appeal Board, State[543]

City Finance Committee[545]

County Finance Committee[547]

NATURAL RESOURCES DEPARTMENT[561]

Energy and Geological Resources Division[565]

Environmental Protection Commission[567]

Natural Resource Commission[571]

Preserves, State Advisory Board[575]

PERSONNEL DEPARTMENT[581]

PUBLIC DEFENSE DEPARTMENT[601]

Emergency Management Division[605]

Military Division[611]

PUBLIC EMPLOYMENT RELATIONS BOARD[621]

PUBLIC HEALTH DEPARTMENT[641]

Substance Abuse Commission[643]

Professional Licensure Division[645]

Dental Examiners Board[650]

Medical Examiners Board[653]

Nursing Board[655]

Pharmacy Examiners Board[657]

PUBLIC SAFETY DEPARTMENT[661]

REGENTS BOARD[681]

Archaeologist[685]

REVENUE AND FINANCE DEPARTMENT[701]

Lottery Division[705]

SECRETARY OF STATE[721]

TRANSPORTATION DEPARTMENT[761]

Railway Finance Authority[765]

TREASURER OF STATE[781]

WORKFORCE DEVELOPMENT DEPARTMENT[871]

Labor Services Division[875]

Workers’ Compensation Division[876]

Workforce Development Board and
Workforce Development Center Administration Division[877]

Pursuant to the authority of Iowa Code section 904.804, the Department of Corrections hereby gives Notice of Intended Action to amend Chapter 37, “Iowa State Industries,” Iowa Administrative Code.

Proposed rule 37.5(904) outlines the application and approval processes for private sector employment projects and provides for Iowa Workforce Development to address and resolve disputes received from anyone who believes that the private sector work program established by the deputy director of prison industries has displaced employed workers, applies to skills, crafts, or trades in which there is a local surplus of labor, or impairs existing contracts for employment or services.

Any interested person may make written suggestions or comments on the proposed amendment on or before April 25, 2000. Such written materials should be sent to Deputy Director of Prison Industries, 420 Keo Way, Des Moines, Iowa 50309.

There will be a public hearing on April 25, 2000, from11 a.m. to 1 p.m. in the Second Floor Conference Room, 420 Keo Way, Des Moines, Iowa, at which time persons may present their views either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendment.

Any persons who intend to attend the public hearing and have special requirements should contact the Department of Corrections and advise of special needs.

The Department of Corrections approved this amendment on March 3, 2000.

This rule is intended to implement Iowa Code section 904.809.

The following amendment is proposed.

Amend 201—Chapter 37 by adopting the following new rule:

37.5(1) Definitions.

“Advisory board” means the prison industries advisory board.

“Deputy director of prison industries” means the department of corrections deputy director responsible for the day–to–day operations of prison industries including private sector individuals.

“Director” means the chief executive officer of the department of corrections.

“Workforce development board” means the state workforce development board.

“Workforce development director” means the chief executive officer of the department of workforce development.

37.5(2) Preapplication requirement. Prior to submitting an application to the deputy director of prison industries for a private sector employment project, the employer shall place a job order with a duration of at least 30 days with the nearest workforce development center. The job order shall be listed statewide in all centers and on the department of workforce development’s jobs Internet site.

37.5(3) Employer application.

a. Private sector employers requesting offender labor must submit the following to the deputy director of prison industries:

1. Work program, including job description;

2. Proposed wage rate;

3. Description of job site;

4. Duration of the work; and

5. Copy of the job order listing with workforce development.

b. Upon receiving a written proposal to use offenders in a private sector work program, the deputy director of prison industries shall provide a copy of the private sector work proposal including job descriptions and proposed wages to the workforce development director.

c. The deputy director of prison industries shall send a letter to the department of workforce development requesting verification of the employer’s 30–day job listing, the average wage rate for the job(s) the offenders will perform, the current unemployment rate in the county where the employer is located, and the current employment level of the company that will employ the offenders.

d. The deputy director of prison industries and thewarden/superintendent at the proposed institution shall review the proposed projects with the board of supervisors and the sheriff in the county where the project will be located.

37.5(4) Verification. The workforce development director shall verify the employment levels and prevailing wages paid for similar jobs in the area and provide to the deputy director of prison industries in writing:

1. Verification of the employer’s 30–day job listing;

2. The number of qualified applicant referrals and hires made as a result of the job order;

3. The average wage rate for the proposed job(s);

4. The wage range;

5. The current unemployment rate for the county where the employer is located; and

6. The current employment levels of the company that will employ the offenders based upon the most recent quarter for which data is available.

37.5(5) Prevailing wages. The deputy director of prison industries shall obtain employment levels in the locale of the proposed job(s) and the prevailing wages for the job(s) in question from the department of workforce development prior to authorizing any private sector work program. The deputy director of prison industries will consider the average wage rate and wage range from the department of workforce development for the appropriate geographic area for which occupational wage information is available. The appropriate geographic area may be statewide.

To reduce possible displacement of civilian workers, the deputy director of prison industries shall advise prospective employers and eligible offenders of the following requirements:

1. Offenders shall not be eligible for unemployment compensation while incarcerated.

2. Before the employer initiates work utilizing offender labor, the deputy director of prison industries shall provide the baseline number of jobs as established by the department of workforce development.

3. In January and July of each year, the deputy director of prison industries shall receive from the department of workforce development the actual number of civilian workers by employer and shall compile a side–by–side comparison for each employer. A copy of the side–by–side comparison will be provided to the advisory board and workforce development director semiannually.

37.5(6) Ineligible projects. The deputy director of prison industries shall evaluate the information from the department of workforce development to verify nondisplacement of civilian workers. Employment of offenders in private industry shall not displace employed workers, apply to skills, crafts, or trades in which there is a local surplus of labor, or impair existing contracts for employment or services.

37.5(7) Notification. The deputy director of prison industries shall provide a copy of the private sector work proposal and the department of workforce development review of the private sector work proposal to the following:

1. Governor’s office;

2. Speaker of the house;

3. President of the senate;

4. Warden/superintendent at the proposed work site;

5. Local labor organization(s);

6. Director of workforce development; and

7. Department of Justice, Washington D.C.

Within 14 calendar days of receiving the department of workforce development review, the deputy director of prison industries will consolidate the recommendations for review and approval by the director of corrections.

37.5(8) Prison industries advisory board review. Following approval by the director of corrections, the deputy director of prison industries shall forward the final proposal to the prison industries advisory board with the recommendation to approve or disapprove the work program, including all correspondence from the department of workforce development, the Department of Justice, and any local official who has offered comments.

The deputy director of prison industries shall provide written documentation to the prison industries advisory board confirming that the proposed work project will not displace civilian workers. If displacement occurs, the deputy director of prison industries shall advise the private employer that the employer will be given 30 days to become compliant or the department of corrections will terminate the use of offender labor.

37.5(9) Disputes. Anyone who believes that the private sector work program violates this rule shall advise the department of workforce development. A written complaint may be filed in accordance with workforce development board rule 877— 1.5(84A). The workforce development director shall consult with the deputy director of prison industries before the workforce development board makes a final recommendation(s) to resolve any complaint.

The deputy director of prison industries will assist the department of workforce development in compiling all information necessary to resolve the dispute. The workforce development board shall notify the deputy director of prison industries and interested parties in writing of the recommended action to resolve a complaint.

This rule is intended to implement Iowa Code section 904.809.

Pursuant to the authority of Iowa Code section 904.701, the Department of Corrections hereby gives Notice of Intended Action to amend Chapter 37, “Iowa State Industries,” Iowa Administrative Code.

Proposed new rule 37.6(904) establishes application procedures for employers wishing to use offender labor in construction or maintenance projects. This rule provides that the Workforce Development Department shall address and resolve disputes from anyone who believes that employers utilizing offender labor while working under contract with the state of Iowa have displaced employed workers, have employed offenders in skills, crafts, or trades in which there is a local surplus of labor, or have impaired existing contracts for employment or services.

Any interested person may make written suggestions or comments on the proposed rule on or before April 25, 2000. Such written materials should be sent to Deputy Director of Prison Industries, 420 Keo Way, Des Moines, Iowa 50309.

There will be a public hearing on April 25, 2000, from11 a.m. to 1 p.m. in the Second Floor Conference Room, 420 Keo Way, Des Moines, Iowa, at which time persons may present their views either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendment.

Any persons who intend to attend the public hearing and have special requirements should contact the Department of Corrections and advise of special needs.

The Department of Corrections approved this rule on March 3, 2000.

This rule is intended to implement Iowa Code section 904.701.

The following amendment is proposed.

Amend 201—Chapter 37 by adopting the following new rule:

37.6(1) Definitions.

“Director” means the chief executive officer of the department of corrections.

“Employer” means a contractor or subcontractor providing maintenance or construction services under contract to the department of corrections or under the department of general services.

“Workforce development director” means the chief executive officer of the Iowa department of workforce development.

37.6(2) Scope. Utilization of offender labor applies only to contractors or subcontractors providing construction or maintenance services to the department of corrections. The contract authority for providing construction or maintenance services may be the department of general services.

37.6(3) Employer application. Employers working under contract with the state of Iowa may submit an application to the department of corrections to employ offenders. Requests for such labor shall not include work release offenders assigned to community–based corrections under Iowa Code chapter 905.

a. Prior to submitting an application, the employer will place with the nearest workforce development center a job order with a duration of at least 30 days. The job order will be listed statewide in all centers and on the department of workforce development’s jobs Internet site.

b. The employer’s application shall include:

1. Scope of work, including type of work and required number of workers;

2. Proposed wage rate;

3. Location;

4. Duration; and

5. Reason for utilizing offender labor.

c. The department of corrections shall verify through the department of workforce development the employer’s 30–day job listing, the average wage rate for the job(s) the offenders will perform, the current unemployment rate in the county where the employer is located, and the current employment level of the employer that will employ the offenders.

37.6(4) Verification. The director of workforce development shall verify the employment levels and prevailing wages paid for similar jobs in the area and provide to the director, in writing:

1. Verification of the employer’s 30–day job listing;

2. The number of qualified applicant referrals and hires made as a result of the job order;

3. The average wage rate for the proposed job(s);

4. The wage range;

5. The prevailing wage as determined by the U.S. Department of Labor;

6. The current unemployment rate for the county where the employer is located;

7. The current employment levels of the employer that will employ the offenders based upon the most recent quarter for which data is available.

37.6(5) Safety training. The employer shall document that all offenders employed in construction and maintenance projects receive a 10–hour OSHA safety course provided free of charge by the department of workforce development.

37.6(6) Prevailing wages. The director will not authorize an employer to employ offenders in hard labor programs without obtaining from the department of workforce development employment levels in the locale of the proposed jobs and the prevailing wages for the jobs in question. The average wage rate and wage range from the department of workforce development will be based on the appropriate geographic area for which occupational wage information is available. The appropriate geographic area may be statewide.

To reduce any potential displacement of civilian workers, the director shall advise prospective employers and eligible offenders of the following requirements:

1. Offenders will not be eligible for unemployment compensation while incarcerated.

2. Before the employer initiates work utilizing offender labor, the director shall provide the baseline number of jobs as established by the department of workforce development.

3. If the contract to employ offender labor exceeds six months, the director shall request and receive from the workforce development director the average wage rates and wage ranges for jobs currently held by offenders and current employment levels of employers employing offenders and shall compile a side–by–side comparison of each employer.

37.6(7) Disputes. Anyone who believes that the employer’s application violates this rule shall present concerns in writing to the workforce development board. A written complaint may be filed with the workforce development board for any dispute arising from the implementation of the employer’s application in accordance with the workforce development board’s rule 877—1.6(84A). The workforce development board shall consult with the director prior to making recommendations. The director will assist the workforce development board in compiling all information necessary to resolve the dispute. The workforce development board shall notify the director and interested parties in writing of the corrective action plan to resolve the dispute.

This rule is intended to implement Iowa Code section 904.701.

Pursuant to the authority of Iowa Code section 272.2, the Board of Educational Examiners hereby gives Notice of Intended Action to amend Chapter 15, “Requirements for Special Education Endorsements,” Iowa Administrative Code.

The purpose of these amendments is to clarify the educational requirements for student teaching in special education endorsement programs, thereby providing more options for the acceptance of out–of–state preparation experience; to modify the student teaching or practicum requirements for adding an instructional special education endorsement to an existing license, thereby eliminating the requirement for multiple student teaching or practicum experiences at the same instructional level; to eliminate the dual student teaching experience required for the “mild/moderate mental disabilities” endorsement; to clarify the name of the endorsement for those serving “severe and profound” students; and to provide another option for the issuance of the “multicategorical” endorsement.

The Board has documented the need for these amendments through its practical work with applicants from out–of–state institutions and with current classroom teachers of special education seeking to add new endorsements to their existing licenses.

There will be a public hearing on the proposed amendments at 2 p.m. on April 25, 2000, in Conference Room 3 North, Third Floor, Grimes State Office Building, East 14th and Grand Avenue, Des Moines, Iowa. Persons may present their views at the public hearing orally or in writing. Persons who wish to make oral presentations at the public hearing may contact the Executive Director, Board of Educational Examiners, Grimes State Office Building, East 14th and Grand Avenue, Des Moines, Iowa 50319–0147, or at (515) 281–5849, prior to the date of the public hearing.

Any interested person may make written comments or suggestions on the proposed amendments by 4:30 p.m. on April 26, 2000. Written comments and suggestions should be addressed to Dr. Anne E. Kruse, Executive Director, Board of Educational Examiners, at the above address.

These amendments are intended to implement Iowa Code chapter 272.

The following amendments are proposed.

ITEM 1. Amend rule 282—15.1(272) as follows:

1 a. Baccalaureate or master’s degree from a regionally accredited institution.

2 b. Completion of an approved human relations component.

3 c. Professional education core: completed coursework or evidence of competency in:

(1) Structure of American education.

(2) Philosophies of education.

(3) Professional ethics and legal responsibilities.

(4) Psychology of teaching.

(5) Audiovisual/media/computer technology.

(6) Human growth and development related to the grade level endorsement desired.

(7) Completion of pre–student teaching field–based experiences in special education.

ITEM 2. Amend subrule 15.2(2) as follows:

15.2(2) Mental disabilities: mild/moderate.

a. Prekindergarten–kindergarten mental disabilities. Meet the requirements for early childhood—special education. Refer to 15.2(9).

b. K–6 mental disabilities: mild/moderate.

(1) K–12 introduction/characteristics of mental disabilities to include the etiology of the disability, a historical perspective of its treatment, an overview of current trends in the treatment of the disability, and a study of the impact of the disability on the child and family.

(2) K–6 curriculum, methods and materials course for students with mild mental disabilities (to include the concepts of career–vocational education, transition, and integration).

(3) K–12 functional, age–appropriate, longitudinal curriculum development (life skills) course for students with moderate mental disabilities which should include:

1. Assessment and evaluation.

2. Instructional methodology.

3. Integration and social interactions in regular schools and community environments.

4. Transition process from school to community environments.

5. Career–vocational programming.

(4) A course of a general survey nature in the area of exceptional children.

(5) A course or courses in the collection and use of academic and behavioral data for the educational diagnosis, assessment and evaluation of special education pupils which should include:

1. Norm–referenced instruments (including behavioral rating measures).

2. Criterion–referenced instruments.

3. Ecological assessment techniques.

4. Systematic observation.

5. Individual trait or personality assessments.

6. Social functioning data.

7. Application of assessment results to individualized program development and management.

(6) Coursework or evidence of competency in:

1. Individual behavioral management, behavioral change strategies, and classroom management.

2. Methods and strategies for working with parents, regular classroom teachers, support services personnel, paraprofessionals, and other individuals involved in the educational program.

(7) K–6 student teaching in a mild or in a moderate mental disabilities categorical program.

c. 7–12 mental disabilities: mild/moderate.

(1) Same as K–6 mental disabilities except that the mild methods and the mild or moderate student teaching must be completed at the 7–12 level instead of K–6.

(2) A course in career–vocational programming for special education students.

ITEM 3. Amend subrule 15.2(3) as follows:

15.2(3) Mental disabilities: moderate/severe/ and profound. The holder of this endorsement is authorized to teach students with moderate, severe and profound multiple handicaps from age 5 to age 21 (and to a maximum allowable age in accordance with Iowa Code section 256B.8).

a. Prekindergarten–kindergarten mental disabilities. Meet the requirements for early childhood—special education. Refer to 15.2(9).

b. K–12 mental disabilities: moderate/severe/ and profound.

(1) K–12 introduction/characteristics of mental disabilities to include the etiology of the disability, a historical perspective of its treatment, an overview of current trends in the treatment of the disability, and a study of the impact of the disability on the child and family.

(3) (2) K–12 functional, age–appropriate, longitudinal cur–riculum development (life skills) course for students with severe/ and profound multiple handicaps which should include:

1. Assessment and evaluation.

2. Instructional methodology covering adaptations and the concept of partial participation.

3. Integration and social interactions in regular schools and community environments.

4. Transition process from school to community environments.

5. Career–vocational programming.

(4) (3) A course of a general survey nature in the area of exceptional children.

(5) (4) Coursework or evidence of competency in:

1. Individual behavioral management, behavioral change strategies, and classroom strategies.

2. Methods and strategies for working with parents, regular classroom teachers, support services personnel, paraprofessionals, and other individuals involved in the educational program.

(7) (5) K–6 or 7–12 student teaching experience with students with severe/ and profound multiple handicaps.

ITEM 4. Amend subrule 15.2(8) as follows:

15.2(8) Multicategorical resource teacher—mildly handicapped.

a. Option 1—K–6 multicategorical resource. The holder of this endorsement must meet the requirements to serve as a teacher of the nonhandicapped. See rule 282—14.18(272).

(1) A K–12 introductory course for providing educational services to the mildly disabled youngsters in multicategorical programs which should include current trends and issues for serving these youngsters, basic theoretical and practical approaches, educational alternatives, implication of federal and state statutes and related services, and the importance of the multidisciplinary team in providing more appropriate educational programming.

(2) A K–6 methods and strategies course which includes numerous models for providing curricular and instructional methodologies utilized in the education of the mildly handicapped.

(3) Two strategy courses chosen from the following list:

1. A methods course for mental disabilities.

2. A methods course for learning disabilities.

3. A methods course for behavioral disorders.

4. A course in remedial reading.

5. A course in remedial mathematics.

(4) A course of a general survey nature in the area of exceptional children.

(5) A course or courses in the collection and use of academic and behavioral data for the educational diagnosis, assessment, and evaluation of special education pupils which should include:

1. Norm–referenced instruments (including behavioral rating measures).

2. Criterion–referenced instruments.

3. Ecological assessment techniques.

4. Systematic observation.

5. Individual trait or personality assessments.

6. Social functioning data.

7. Application of assessment results to individualized program development and management.

(6) Coursework or evidence of competency in:

1. Individual behavioral management, behavioral change strategies, and classroom management.

2. Methods and strategies for working with parents, support services personnel, regular classroom teachers, paraprofessionals, and other individuals involved in the educational program.

(7) Student teaching in a K–6 multicategorical resource room—mildly handicapped.

b. Option 1—7–12 multicategorical resource.

(1) The holder of this endorsement must meet the requirements to serve as a teacher of the nonhandicapped. See rule 282—14.18(272).

(2) Same as K–6 except that student teaching and the instructional strategies course for the multicategorical resource room must be 7–12 instead of K–6.

(3) A course in career–vocational programming for special education students.

Pursuant to the authority of Iowa Code section 272.2, the Board of Educational Examiners hereby gives Notice of Intended Action to adopt a new Chapter 22, “Paraeducator Certificates,” Iowa Administrative Code.

This new chapter is intended to implement Iowa Code section 272.6, which requires the Board of Educational Examiners to adopt rules pursuant to Iowa Code chapter 17A relating to a multi–level voluntary licensing system ranging from paraeducator generalist to paraeducator specialist.

There will be a public hearing on the proposed new rules at 1 p.m., April 25, 2000, in Conference Room 3 North, Third Floor, Grimes State Office Building, East 14th and Grand Avenue, Des Moines, Iowa. Persons may present their views at the public hearing orally or in writing. Persons who wish to make oral presentation at the public hearing may contact the Executive Director, Board of Educational Examiners, Grimes State Office Building, East 14th and Grand Avenue, Des Moines, Iowa 50319–0147, or at (515)281–5849, prior to the date of the public hearing.

Any interested person may make written comments or suggestions on the proposed rules until 4:30 p.m. on Wednesday, April 26, 2000. Written comments and suggestions should be addressed to Dr. Anne E. Kruse, Executive Director, Board of Educational Examiners, at the above address.

These proposed rules are intended to implement Iowa Code section 272.6.

The following new rules are proposed:

CHAPTER 22
PARAEDUCATOR CERTIFICATES

282—22.1(272) Paraeducator certificates. Iowa paraeducator certificates are issued upon application filed on a form provided by the board of educational examiners.

282—22.2(272) Approved paraeducator certificate programs. An applicant for an initial paraeducator certificate who completes the paraeducator preparation program from a recognized Iowa paraeducator approved program shall have the recommendation from the designated certifying official at the recognized area education agency, local education agency, community college, or institution of higher education where the preparation was completed. A recognized Iowa paraeducator approved program is one which has its program of preparation approved by the state board of education according to standards established by the board.

282—22.3(272) Issue date on original certificate. A certificate is valid only from and after the date of issuance.

282—22.4(272) Validity. The paraeducator certificate shall be valid for five years.

22.5(1) Issuance of certificates. The fee for the issuance of the paraeducator certificate shall be $25.

22.5(2) Adding areas of concentration. The fee for the addition of each area of concentration to a paraeducator certificate, following the issuance of the initial paraeducator certificate and any area(s) of concentration, shall be $10.

22.6(1) Applicants must possess a minimum of a high school diploma or a graduate equivalent diploma.

22.6(2) Applicants shall be disqualified for any of the following reasons:

a. The applicant is less than 21 years of age.

b. The applicant has been convicted of child abuse or sexual abuse of a child.

c. The applicant has been convicted of a felony.

d. The applicant’s application is fraudulent.

e. The applicant’s certification from another state is suspended or revoked.

f. The applicant fails to meet board standards for application for an initial or renewed certificate.

22.6(3) Qualifications or criteria for the granting or revocation of a certificate or the determination of an individual’s professional standing shall not include membership or nonmembership in any teacher or paraeducator organization.

22.6(4) Applicants shall have successfully completed at least 90 clock hours of training in the areas of behavior management, exceptional child and at–risk child behavior, collaboration skills, interpersonal relations skills, child and youth development, technology, and ethical responsibilities and behavior.

22.6(5) Applicants shall have successfully completed the following list of competencies so that, under the direction and supervision of a qualified classroom teacher, the paraeducator will be able to:

a. Support a safe, positive teaching and learning environment including the following competencies:

(1) Follow prescribed health, safety, and emergency school and classroom policy and procedures.

(2) As directed, prepare and organize materials to support teaching and learning.

(3) Use strategies and techniques for facilitating the integration of individuals with diverse learning needs in various settings.

(4) Assist with special health services.

(5) Assist in adapting instructional strategies and materials according to the needs of the learner.

(6) Assist in gathering and recording data about the performance and behavior of individuals.

(7) Assist in maintaining a motivational environment.

(8) Assist in various instructional arrangements (e.g., large group, small group, tutoring).

b. Assist in the development of physical and intellectual development including the following competencies:

(1) Assist with the activities and opportunities that encourage curiosity, exploration, and problem–solving that are appropriate to the development levels and needs of all children.

(2) Actively communicate with children and provide opportunities and support for children to understand, acquire, and use verbal and nonverbal means of communicating thoughts and feelings.

(3) Actively communicate and support high expectations that are shared, clearly defined and appropriate.

(4) Make and document observations appropriate to the individual with specific learning needs.

(5) Use strategies that promote the learner’s independence.

(6) Assist in monitoring progress and providing feedback to the appropriate person.

c. Support social, emotional, and behavioral development including the following competencies:

(1) Provide a supportive environment in which all children, including children with disabilities and children at risk of school failure, can begin to learn and practice appropriate and acceptable behaviors as individuals and groups.

(2) Assist in developing and teaching specific behaviors and procedures that facilitate safety and learning in each unique school setting.

(3) Assist in the implementation of individualized behavior management plans, including behavior intervention plans for students with disabilities.

(4) Model and assist in teaching appropriate behaviors as a response to inappropriate behaviors.

(5) Use appropriate strategies and techniques in a variety of settings to assist in the development of social skills.

(6) Assist in modifying the learning environment to manage behavior.

d. Establish positive and productive relations including the following competencies:

(1) Demonstrate a commitment to a team approach to interventions.

(2) Maintain an open, friendly, and cooperative relationship with each child’s family, sharing information in a positive and productive manner.

(3) Communicate with colleagues, follow instructions and use problem–solving skills that will facilitate working as an effective member of the school team.

(4) Foster respectful and beneficial relationships between families and other school and community personnel.

(5) Function in a manner that demonstrates a positive regard for the distinctions among roles and responsibilities of paraprofessionals, professionals, and other support personnel.

e. Integrate effectively the technology to support student learning including the following competencies:

(1) Establish the environment for the successful use of educational technology.

(2) Support and strengthen technology planning and integration.

(3) Improve support systems for technical integration.

(4) Operate computers and use technology effectively.

f. Practice ethical and professional standards of conduct on an ongoing basis including the following competencies:

(1) Demonstrate a commitment to share information in a confidential manner.

(2) Demonstrate a willingness to participate in ongoing staff development and self–evaluation, and apply constructive feedback.

(3) Abide by the criteria of professional practice and rules of the board of educational examiners.

22.6(6) An applicant for a certificate under these rules shall demonstrate that the requirements of the certificate have been met and the burden of proof shall be on the applicant.

282—22.7(272) Paraeducator area of concentration. An area of concentration is not required, but optional. Applicants must currently hold or have previously held an Iowaparaeducator generalist certificate. Applicants may complete one or more areas of concentration, but must complete at least 45 clock hours in each area of concentration.

22.7(1) Early childhood—prekindergarten through grade 3. The paraeducator shall successfully complete the following list of competencies so that under the direction and supervision of a qualified classroom teacher, the paraeducator will be able to:

a. Reinforce skills, strategies, and activities involving individuals or small groups.

b. Participate as a member of the team responsible for developing service plans and educational objectives for parents and their children.

c. Listen to and communicate with parents in order to gather information for the service delivery team.

d. Demonstrate knowledge of services provided by health care providers, social services, education agencies, and other support systems available to support parents and provide them with the strategies required to gain access to these services.

e. Demonstrate effective strategies and techniques to stimulate cognitive, physical, social, and language development in the student.

f. Gather information as instructed by the classroom teacher about the performance of individual children and their behaviors, including observing, recording, and charting, and share information with professional colleagues.

g. Communicate and work effectively with parents and other primary caregivers.

22.7(2) Special needs—prekindergarten through grade 12. The paraeducator shall successfully complete the following list of competencies so that under the direction and supervision of a qualified classroom teacher, the paraeducator will be able to:

a. Understand and implement the goals and objectives in an individualized education plan (IEP).

b. Demonstrate an understanding of the value of serving children and youth with disabilities and special needs in inclusive settings.

c. Assist in the instruction of students in academic subjects using lesson plans and instructional strategies developed by teachers and other professional support staff.

d. Gather and maintain data about the performance and behavior of individual students and confer with special and general education practitioners about student schedules, instructional goals, progress, and performance.

e. Use appropriate instructional procedures and reinforcement techniques.

f. Operate computers, use assistive technology and adaptive equipment that will enable students with special needs to participate more fully in general education.

22.7(3) English as a second language—prekindergarten through grade 12. The paraeducator shall successfully complete the following list of competencies so that, under the direction and supervision of a qualified classroom teacher, the paraeducator will be able to:

a. Operate computers and use technology that will enable students to participate effectively in the classroom.

b. Work with the classroom teacher as collaborative partners.

c. Demonstrate knowledge of the role and use of primary language of instruction in accessing English for academic purposes.

d. Demonstrate knowledge of instructional methodologies for second language acquisition.

e. Communicate and work effectively with parents or guardians of English as a second language students in their primary language.

f. Demonstrate knowledge of appropriate translation and interpretation procedures.

22.7(4) Career and transitional programs—grades 5 through 12. The paraeducator shall successfully complete the following list of competencies so that, under the direction and supervision of a qualified classroom teacher, the para–educator will be able to:

a. Assist in the implementation of career and transitional programs.

b. Assist in the implementation of appropriate behavior management strategies for career and transitional students and those students who may have special needs.

c. Assist in the implementation of assigned performance and behavior assessments including observation, recording, and charting for career and transitional students and those students who may have special needs.

d. Provide training at job sites using appropriate instructional interventions.

e. Participate in pre–employment, employment, or transitional training in classrooms or at off–campus sites.

f. Communicate effectively with employers and employees at work sites, and personnel or members of the public in other transitional learning environments.

282—22.8 to 22.11 Reserved.

282—22.12(272) Prekindergarten through grade 12 advanced paraeducator certificate. Applicants for the prekindergarten through grade 12 advanced paraeducator certificate shall have met the following requirements:

22.12(1) Currently hold or have previously held an Iowa paraeducator generalist certificate.

22.12(2) Possess an associate’s degree or have earned 62 semester hours of college coursework from a regionally accredited institution of higher education.

22.12(3) Complete a minimum of two semester hours of coursework involving at least 100 clock hours of a supervised practicum with children and youth. These two semester hours of practicum may be part of an associate degree or part of the earned 62 semester hours of college coursework.

282—22.13(272) Renewal requirements. The paraeducator certificate may be renewed upon application, a $25 renewal fee, and verification of successful completion of coursework totaling three units in any combination listed below.

1. One unit may be earned through a planned staff development renewal course related to paraeducators in accordance with guidelines approved by the board of educational examiners.

2. One unit may be earned for each semester hour of college credit.

These rules are intended to implement Iowa Code section 272.6.

Pursuant to the authority of Iowa Code section 256.7(5), the State Board of Education hereby gives Notice of Intended Action to amend Chapter 6, “Appeal Procedures,” Iowa Administrative Code.

These amendments implement Iowa Code chapter 17A contested case appeal procedures of a proposed decision.

No waiver provision is included because the Board of Education has adopted agencywide waiver rules.

Any interested person may submit oral or written suggestions or comments on or before April 25, 2000, by addressing them to Susan Anderson, Administrative Law Judge, Department of Education, Grimes State Office Building, Des Moines, Iowa 50319–0146, telephone (515)281–5295.

There will be a public hearing on April 25, 2000, at 1 p.m. in the State Board Room, Grimes State Office Building, Des Moines, Iowa, at which persons may present their views orally and in writing.

These amendments are intended to implement Iowa Code sections 17A.4 and 290.1.

These amendments were also Adopted and Filed Emergency and are published herein as ARC 9774A. The content of that submission is incorporated by reference.

At the direction of the Governor, the Department of Natural Resources is embarking on a department–wide project to review administrative rules. The goal is to present rules that are up–to–date, meet present and future needs, are plain–spoken and direct and are necessary to carry out the laws of Iowa and the federally mandated programs.

This notice is intended to offer the opportunity to comment orally, in writing or electronically on Department rules. We will begin holding public meetings in April for the following rule groupings at the dates, times, and locations indicated. Comments on these rule groupings may be presented at these meetings, by mail or electronically, by April 30 to be considered in this review process. Written comments should be directed to the contact person listed below, Department of Natural Resources, Wallace State Office Building, 502 East Ninth Street, Des Moines, Iowa 50309.

To file comments electronically, to see the Department rules review plan, and for updates on the progress of the rules review project, please use the Department Web site: www.state.ia.us/dnr/ruleshtml.htm. Other Department program areas will be holding public meetings in May and June.

Contact: Corey McCoid, (515)281–6061, fax (515) 242–5094

April 10, 4 p.m., Air Quality Bureau, 7900 Hickman Road, Urbandale

April 13, 6 p.m., Public Library, 123 South Linn Street, Iowa City

April 18, 6 p.m., Iowa Western Community College, 906 Sunnyside Lane, Atlantic

April 25, 6:30 p.m., Public Library, 225 2nd Street SE, Mason City

Contacts: Lavoy Haage, (515)281–4968, fax (515) 281–8895; Brian Tormey, (515)281–8927, fax (515) 281–8895

April 6, 2 p.m., Wallace State Office Building, 5th Floor Conference Room, 502 East Ninth Street, Des Moines

April 11, 6 p.m., Iowa Western Community College, Room 101, 906 Sunnyside Lane, Atlantic

April 12, 6 p.m., University of Iowa Oakdale Campus, Oakdale Hall Auditorium, I–80 Exit 240 North

April 13, 6 p.m., North Iowa Area Community College, Muse–Norris Complex, Room 180A, Mason City

Contact: Lambert Nnadi, (515)281–4117, fax (515) 281–8895

April 10, 6 p.m., Public Library, 225 2nd Street SE, Mason City

April 12, 6 p.m., Iowa Western Community College, 906 Sunnyside Lane, Atlantic

April 17, 6 p.m., University of Iowa Oakdale Campus, Oakdale Hall, Room 118, I–80 Exit 240 North

April 20, 3:30 p.m., Wallace State Office Building Auditorium, 502 East Ninth Street, Des Moines

Contact: Paul Nelson, (515)281–8779, fax (515) 281–8895

April 10, 4 p.m., Wallace State Office Building, 5th Floor Conference Room, 502 East Ninth Street, Des Moines

April 12, 4 p.m., Public Library, 123 South Linn Street, Iowa City

April 18, 4 p.m., Iowa Western Community College, 906 Sunnyside Lane, Atlantic

April 25, 4 p.m., Public Library, 225 2nd Street SE, Mason City

Contact: Randy Edwards, (515)281–6154, fax (515) 281–6794

ICN meetings being held simultaneously on April 13,6:30 p.m. in Ankeny, Carroll, Clear Lake, Council Bluffs, Creston, Decorah, Dubuque, Iowa City, Ottumwa, Sioux City, and Spencer. Please call for exact locations.

Contact: Arnie Sohn, (515)281–5814, fax (515)281–6794

May 4, 7 p.m., University of Iowa Oakdale Campus, Oakdale Hall, Gold Room, I–80 Exit 240 North

May 11, 7 p.m., Public Library, 225 2nd Street SE, Mason City

May 17, 7 p.m., Iowa Western Community College, 906 Sunnyside Lane, Atlantic

May 25, 7 p.m., Wallace State Office Building Auditorium, 502 East Ninth Street, Des Moines

Contact: Jim Bulman, (515)281–5441, fax (515) 281–6794

June 5, 5 p.m., University of Iowa Oakdale Campus, Oakdale Hall, Gold Room, I–80 Exit 240 North

June 6, 5 p.m., North Iowa Area Community College, Muse–Norris Complex, Room 180D, Mason City

June 13, 5 p.m., Iowa Western Community College, 906 Sunnyside Lane, Atlantic

June 15, 4 p.m., DNR Air Quality Building, 7900 Hickman Road, Urbandale

Pursuant to the authority of 1998 Iowa Acts, chapter 1213, section 9, the Department of Human Services proposes to amend Chapter 25, “Disability Services Management,” appearing in the Iowa Administrative Code.

The Seventy–seventh General Assembly, in 1998 Iowa Acts, chapter 1213, section 8, subsection 3, established a risk pool fund to be used to cover an unanticipated cost in excess of a county’s current fiscal year budget amount for the mental health, mental retardation, and developmental disabilities services fund. Basic eligibility requires a projected need in excess of the sum of 105 percent of the county’s current fiscal year budget amount and any amount of the county’s prior fiscal year accrual ending services fund balance in excess of 25 percent of the county’s gross expenditures from the services fund in the prior fiscal year.

A Risk Pool Board was also established consisting of two county supervisors, two county auditors, a member of the state–county management committee created in Iowa Code section 331.438 who was not appointed by the Iowa State Association of Counties, a member of the county finance committee created in Iowa Code chapter 333A who is not an elected official, and two single entry point process administrators, all appointed by the Governor, subject to confirmation by two–thirds of the members of the Senate, and one member appointed by the director of the Department of Human Services. Members of the Board were appointed by the Governor in October of 1999 and their names submitted to the Senate in November of 1999. The Board held its first meeting in January of 2000.

Any county wishing to receive assistance from the risk pool must apply to the Risk Pool Board by April 1. The legislature appropriated $2 million for the fund for fiscal year 2000 and $2 million for fiscal year 2001. The total amount of risk pool assistance to counties shall be limited to the amount available in the risk pool for a fiscal year. If the total amount of eligible assistance exceeds the amount available in the risk pool, the amount of assistance paid shall be prorated among the counties eligible for assistance. There are provisions for repaying the risk pool funds under specified conditions.

These rules establish the Risk Pool Board to administer the risk pool fund established by the legislature and the requirements for counties to receive assistance from the fund.

These rules do not provide for waivers in specified situations because the requirements for composition of the risk pool and Risk Pool Board, eligibility for funds, and for awarding and repayment of funds are all stated in the Iowa Code. These requirements cannot be waived by rule.

The substance of these rules is also Adopted and Filed Emergency and is published herein as ARC 9749A. The purpose of this Notice is to solicit comment on that submission, the subject matter of which is incorporated by reference.

Consideration will be given to all written data, views, and arguments thereto received by the Office of Policy Analysis, Department of Human Services, Hoover State Office Building, Des Moines, Iowa 50319–0114, on or before April 26, 2000.

These rules are intended to implement Iowa Code section 426B.5, subsection 3.

Pursuant to the authority of Iowa Code sections 234.6, 239B.4(4), and 249A.4, the Department of Human Services proposes to amend Chapter 41, “Granting Assistance,” Chapter 65, “Administration,” and Chapter 75, “Conditions of Eligibility,” appearing in the Iowa Administrative Code.

The United States Department of Agriculture has notified the Department of Human Services that the Department has the option of exempting, for food stamp purposes, the earnings of persons who are temporarily employed by the Bureau of the Census during the period from April 1, 2000, through January 31, 2001. The United States Department of Agriculture is allowing this exemption at the request of the Bureau of the Census as an incentive for persons to take census employment. The Department of Human Services has decided to take this option and exempt census income for food stamp recipients.

The Department has made the decision to also exempt the census income for the Family Investment Program, the Family Medical Assistance Program, and for FMAP–related Medicaid programs to match food stamp policy.

These amendments do not provide for waiver in specified situations because federal food stamp law does not allow for any waivers and these amendments only provide additional benefits.

The substance of these amendments is also Adopted and Filed Emergency and is published herein as ARC 9751A. The purpose of this Notice is to solicit comment on that submission, the subject matter of which is incorporated by reference.

Consideration will be given to all written data, views, and arguments thereto received by the Office of Policy Analysis, Department of Human Services, Hoover State Office Building, Des Moines, Iowa 50319–0114, on or before April 26, 2000.

These amendments are intended to implement Iowa Code sections 234.12, 239B.2(2), 239B.7, and 249A.4.

Pursuant to the authority of Iowa Code section 505.8 and Iowa Code Supplement section 514K.1, the Insurance Division gives Notice of Intended Action to amend Chapter 35, “Accident and Health Insurance,” Iowa Administrative Code.

The proposed amendment sets forth the types of information to be collected by the Division from health maintenance organizations and insurers using a preferred provider arrangement for the purpose of publishing a consumer guide. The amendment also provides for the annual filing of the information and the form in which it shall be filed with the Division.

Any person may make written comments on the proposed rules on or before April 25, 2000. These comments should be directed to Rosanne Mead, Assistant Commissioner, Insurance Division, 330 Maple Street, Des Moines, Iowa 50319. Comments may also be transmitted by E–mail torosanne.mead@comm6.state.ia.us or by fax to (515) 281–5692.

A public hearing will be held at 10 a.m. on April 25, 2000, at the offices of the Insurance Division, 330 Maple Street, Des Moines, Iowa 50319. Persons wishing to provide oral comments should contact Rosanne Mead no later than April 24, 2000, to be placed on the agenda.

These rules are intended to implement Iowa Code Supplement section 514K.1(2).

The following amendment is proposed.

Amend 191—Chapter 35 by adopting the following new rules:

CONSUMER GUIDE

191—35.35(514K) Purpose. These rules implement Iowa Code Supplement section 514K.1(2) which requires the commissioner and the director of public health to annually publish a consumer guide. These rules apply to all carriers providing health insurance coverage in the individual, small employer group and large group markets that utilize a preferred provider arrangement and to all health maintenance organizations.

35.36(1) Each health maintenance organization and insurer using a preferred provider arrangement shall annually file with the division no later than March 1 the following information by plan as requested by the division:

a. Health plan employer data information set (HEDIS).

b. Network composition.

c. Other information determined to be beneficial to consumers including but not limited to consumer survey information.

35.36(2) Each health maintenance organization and insurer using a preferred provider arrangement shall transmit the above–requested information by electronic mail or disk–ette in a format prescribed by the division.

191—35.37(514K) Limitation of information published. The division may establish limits on the data to be collected and published in the event the division believes the information is not statistically relevant and would not be beneficial to consumers.

These rules are intended to implement Iowa Code Supplement section 514K.1.

Pursuant to the authority of Iowa Code sections 17A.3(1)“b” and 99E.9(3), the Lottery Division terminates the rule making initiated by its Notice of Intended Action published in the Iowa Administrative Bulletin on February 9, 2000, as ARC 9650A amending Chapter 1, “General Operation of the Lottery,” Iowa Administrative Code.

The Notice proposed to adopt new rule 705—1.30(99E) providing a uniform process for the granting of waivers or variances from rules adopted by the Lottery Division in compliance with Executive Order Number 11.

The Lottery Division is terminating the rule making commenced in ARC 9650A and will renotice the proposed amendments to incorporate further changes and clarifications to requirements under Executive Order Number 11.

Pursuant to the authority of Iowa Code subsection 455A.5(6), the Natural Resource Commission hereby gives Notice of Intended Action to amend Chapter 15, “General License Regulations,” Iowa Administrative Code.

This amendment combines two rules dealing with volunteer safety/education instructor certification for bow and fur harvester, snowmobile and all–terrain vehicle, boating safety and hunter education. This will serve to simplify and provide more uniformity to the overall instructor certification process.

Any interested person may make written suggestions or comments on the proposed amendment on or before April 25, 2000. Such written materials should be directed to the Law Enforcement Bureau, Department of Natural Resources, Wallace State Office Building, Des Moines, Iowa 50319–0034; fax (515)281–6794. Persons who wish to convey their views orally should contact the Law Enforcement Bureau at (515)281–4515 or at the Law Enforcement Bureau offices on the fourth floor of the Wallace State Office Building.

There will be a public hearing on April 25, 2000, at 2 p.m. in the Fourth Floor West Conference Room of the Wallace State Office Building at which time persons may present their views either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendment.

Any persons who intend to attend the public hearing and have special requirements such as hearing or mobility impairments should contact the Department of Natural Resources and advise of specific needs.

This amendment is intended to implement Iowa Code section 483A.27.

The following amendment is proposed.

Rescind rules 571—15.9(483A) and 571—15.10(483A), adopt the following new rule and renumber 571— 15.11(483A) and 571—15.12(483A) as 571—15.10(483A) and 571—15.11(483A):

15.9(1) Purpose. Pursuant to Iowa Code sections 321G.23(2), 462A.1 and 483A.27(4), the department will certify volunteer instructors to teach bow, fur harvester, snowmobile, ATV, boating and hunter education courses.

15.9(2) Definitions. For the purpose of this rule:

“Certified instructor” means a person who has met all criteria in this rule for one or more of the above–named courses.

“Course” means the department’s bow, fur harvester, snowmobile, ATV, boating and hunter education and ethics courses.

“Department” means the Department of Natural Resources, Wallace State Office Building, Des Moines, Iowa 50319–0034.

“Instructor applicant” means a person who has applied to become a certified volunteer instructor for one of the above–named courses.

15.9(3) Minimum qualifications. The following conditions must be satisfied before any person can become a certified instructor. Failure to meet these conditions will result in the denial of the application. An applicant may be disqualified if the applicant has accumulated any habitual offender points pursuant to rule 571—15.6(481A), or other license suspension by the court or department. The instructor applicant will be notified of the denial by the recreational safety coordinator. An instructor applicant shall:

a. Submit an application as provided by the department to the local conservation officer or recreational safety officer.

b. Be at least 18 years of age.

c. Have experience in handling equipment, such as firearms, bows and arrows, furbearer traps, snowmobiles, ATVs and various navigational vessels, that is necessary for the various prescribed courses.

d. Have completed the course as defined in subrule 15.9(2).

e. Attend and pass an instructor’s training and certification course administered by the department.

f. Submit to a background check. This check will include, but not be limited to, a criminal history check as provided by the department of public safety. A record of a felony conviction will disqualify the applicant. A record of serious or aggravated misdemeanors may disqualify the applicant based on type of offense and year committed.

g. Successfully complete the apprenticeship as required in subrule 15.9(4).

15.9(4) Instructor applicant apprenticeship. In addition to subrule 15.9(3), the following conditions must be satisfied to complete the instructor applicant apprenticeship:

a. Participate in one course.

b. Apprentice with a certified instructor.

The recreational safety officer may make the determination as to which certified instructor will be supervising the instructor applicant during the apprenticeship.

15.9(5) Certified education instructor responsibilities. A certified instructor has the following responsibilities:

a. To complete all prerequisites to becoming an instructor as provided in subrules 15.9(3) and 15.9(4).

b. To follow all policies and procedures as set forth in the current “Instructor Procedures Manual.”

c. To assist in the recruitment and training of additional volunteer instructors.

d. To recruit and train students in the applied–for prescribed course program.

e. To actively promote the program in the instructor’s county and to arrange for publicity for each new class.

f. To maintain order and discipline in the classroom and outdoor classroom at all times.

g. To accurately fill out required forms and reports for each class and mail that material to the recreational safety coordinator within 15 days after completion of the course.

h. To teach the course as prescribed by the department.

i. To maintain a file on all students that the instructor teaches.

j. To actively participate in one course every two years. If this requirement is not met, the instructor’s certification may be terminated after notification by letter by the recreational safety coordinator. The person may reapply to become a volunteer safety education instructor pursuant to subrule 15.9(3).

k. To attend a minimum of one continuing education instructor workshop every three years for hunter education as provided by the department.

15.9(6) Grounds for revocation of instructor certification. The department may, at any time, seek to revoke the instructor certification of any person who:

a. Fails to meet the instructor responsibilities as outlined in subrules 15.9(4) and 15.9(5).

b. Fails to follow the policies and procedures as set forth in the current “Instructor Procedures Manual.”

c. Falsifies any information as may be required by the department.

d. Handles any equipment in an unsafe manner, or allows any student or other instructor to handle equipment in a reckless or unsafe manner.

e. Is convicted of or forfeits bond for any fish and game, snowmobile, ATV or navigation violation of this state or any other state.

f. Uses abusive or foul language while conducting a course.

g. Participates in a course while under the influence of alcohol or any illegal drug.

h. Has substantiated complaints filed against the instructor by the public, department personnel or other certified instructor(s).

i. Fails to meet the requirements in subrule 15.9(5), paragraphs “j” and “k.”

j. Is convicted of a felony or an aggravated or serious misdemeanor as defined in the statutes of this state. This would also include any felonies or comparable misdemeanors of any other state.

k. Receives compensation directly or indirectly from students for time spent preparing for or participating in a course.

15.9(7) Termination of certification. Any certified instructor has the right, at any time, to voluntarily terminate certification. If an instructor voluntarily terminates certification or certification is terminated by the department, the instructor must return to the department the certification card and all materials that were provided.

15.9(8) Compensation for instructors. Instructor applicants and certified instructors shall not receive any compensation for their time either directly or indirectly from students while preparing for or participating in a course. However, instructor applicants and certified instructors may require students to pay for actual course–related expenses involving facilities, meals or materials other than those provided by the department.

15.9(9) Hearing rights. If the department seeks to revoke an instructor certification pursuant to subrule 15.9(6), the department shall provide written notice of intent to revoke the certification as provided in 561—7.16(17A,455A). If the certified instructor requests a hearing, it shall be conducted in accordance with 561—Chapter 7.

This rule is intended to implement Iowa Code sections 321G.23(2), 462A.1 and 483A.27.

Pursuant to the authority of Iowa Code subsection 455A.5(6), the Natural Resource Commission hereby gives Notice of Intended Action to amend Chapter 16, “Public, Commercial, Private Docks and Dock Management Areas,” Iowa Administrative Code.

These amendments extend the current “general dock permit” expiration date from March 1, 1999, to March 1, 2005, for private docks in compliance with rule 16.3(461A) and set the term length for general permits at five years by definition. These amendments will not change the current private dock standards or required specifications.

Any interested person may make written suggestions or comments on the proposed amendments on or before April 25, 2000. Such written materials should be directed to the Law Enforcement Bureau, Department of Natural Resources, Wallace State Office Building, Des Moines, Iowa 50319–0034; fax (515)281–6794. Persons who wish to convey their views orally should contact the Law Enforcement Bureau at (515)281–4515 or at the Law Enforcement Bureau offices on the fourth floor of the Wallace State Office Building.

There will be a public hearing on April 25, 2000, at 1 p.m. in the Fourth Floor West Conference Room of the Wallace State Office Building at which time persons may present their views either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendments.

Any persons who intend to attend the public hearing and have special requirements such as hearing or mobility impairments should contact the Department of Natural Resources and advise of specific needs.

These amendments are intended to implement Iowa Code section 461A.4.

The following amendments are proposed.

ITEM 1. Amend rule 571—16.1(461A), definition of “general permit,” as follows:

“General permit” means a permit issued as a rule of this chapter to authorize maintenance of an eligible class of private docks. The owner of a private dock that is eligible for coverage under a general permit need not file an individual dock permit application. Unless otherwise specified, a general permit is valid for five years.

ITEM 2. Amend rule 571—16.3(461A), introductory paragraph, as follows:

571—16.3(461A) General permit for certain private docks on lakes. This rule constitutes a general permit forcertain private docks on lakes as defined in 571— 16.1(461A). This general permit expires March 1, 1999 2005. This general permit authorizes maintenance of private docks conforming to the standard conditions set forth in 571—16.5(461A) and the following additional criteria:

Pursuant to the authority of Iowa Code subsection 455A.5(6), the Natural Resource Commission hereby gives Notice of Intended Action to amend Chapter 34, “Community Forestry Challenge Grant Program,” Iowa Administrative Code.

This amendment clarifies the rules for the community tree planting grants program and expands sources of funding.

Any interested person may make written suggestions or comments on the proposed amendment on or before April 25, 2000. Such written materials should be directed to the Forestry Division, Department of Natural Resources, Wallace State Office Building, Des Moines, Iowa 50319–0034; fax (515)281–8894. Persons who wish to convey their views orally should contact the Forestry Division at (515)281–8657 or at the Division offices on the fourth floor of the Wallace State Office Building.

There will be a public hearing on April 25, 2000, at 2 p.m. in the Fourth Floor East Conference Room of the Wallace State Office Building at which time persons may present their views either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendment.

Any persons who intend to attend a public hearing and have special requirements such as hearing or mobility impairments should contact the Department of Natural Resources and advise of specific needs.

This amendment is also Adopted and Filed Emergency and is published herein as ARC 9771A. The content of that submission is incorporated by reference.

This amendment is intended to implement Iowa Code sections 456A.20 and 461A.2.

Pursuant to the authority of Iowa Code sections 17A.3 and 147.76, the Board of Nursing hereby gives Notice of Intended Action to amend Chapter 6, “Nursing Practice for Registered Nurses/Licensed Practical Nurses,” Iowa Administrative Code.

These amendments rescind a subrule prohibiting the initiation of infusion pumps by the LPN and amend a subrule regarding the hanging of hypertonic solutions by the LPN.

Any interested person may make written comments or suggestions on or before April 25, 2000. Such written materials should be directed to the Executive Director, Board of Nursing, RiverPoint Business Park, 400 S.W. 8th Street, Suite B, Des Moines, Iowa 50309–4685. Persons who want to convey their views orally should contact the Executive Director at (515)281–3256, or in the Board office at 400 S.W. 8th Street, by appointment.

These amendments are intended to implement Iowa Code section 152.1.

The following amendments are proposed.

ITEM 1. Amend subrule 6.5(4), paragraph “b,” as follows:

b. Administration of blood and blood products; vasodilators, vasopressors, oxytoxics, chemotherapy, colloid therapy, total parenteral nutrition, hypertonic solutions, anticoagulants, antiarrhythmics, and thrombolytics and solutions with a total osmolarity of 600 or greater.

ITEM 2. Rescind subrule 6.5(4), paragraph “c,” and reletter paragraphs “d” and “e” as “c” and “d.”

Pursuant to the authority of Iowa Code sections 124.301, 147.76, and 272C.4, the Board of Pharmacy Examiners terminates the rule making initiated by its Notice of Intended Action published in the Iowa Administrative Bulletin on October 6, 1999, as ARC 9374A, proposing to amend Chapter 6, “General Pharmacy Licenses,” Chapter 7, “Hospital Pharmacy Licenses,” Chapter 8, “Minimum Standards for the Practice of Pharmacy,” Chapter 15, “Correctional Facility Pharmacy Licenses,” and Chapter 36, “Discipline,” Iowa Administrative Code.

The Notice proposed that the pharmacist in charge of each Iowa pharmacy, annually and at any time that a new license is issued, complete a self–assessment of the pharmacy. The proposed amendments also included required actions if an assessment disclosed deficiencies in the operations orpractices of the pharmacy and provided for disciplinarysanctions for noncompliance with the requirements of the self–assessment rules.

The Board is terminating the rule making commenced in ARC 9374A based on comments received from and concerns expressed by pharmacists. Based on the Board’s assessment, the amendments would have imposed excessive burdens on pharmacists and defeated the primary purpose of the self–assessment, which is education. The Board intends, after further discussion and development of self–assessment forms, to submit Notice of Intended Action on less burdensome rules.

Executive Order Number 8 directs each state agency and board with rule–making authority to comprehensively review its rules and submit a report to the Governor’s Office no later than November 1, 2001. The Board of Pharmacy Examiners’ plan for regulatory review provides for at least one public hearing to seek public input and comment on the Board’s rules.

Notice is hereby given that a public hearing will be held on Wednesday, April 26, 2000, at 9 a.m. to hear oral comments on the chapters listed below. The hearing will be held in a conference room at 400 S.W. Eighth Street, Suite E, Des Moines, Iowa. To ensure that everyone is accorded an opportunity to speak, the Board reserves the right to limit oral presentations at the public hearing.

In addition, any interested person may present written comments, data, views, and arguments no later than April 26, 2000, on any of the rules in these chapters. Written materials may be delivered to the offices of the Board of Pharmacy Examiners, 400 S.W. Eighth Street, Suite E, Des Moines, Iowa 50309–4688, be submitted via Internet E–mail toIowaBPE@excite.com, or be transmitted by fax to (515) 281–4609.

Comments will be heard on rules in the following chapters of 657 Iowa Administrative Code: Chapter 10, “Controlled Substances”; Chapter 11, “Drugs in Emergency Medical Service Programs”; Chapter 12, “Precursor Substances”; and Chapter 18, “Anabolic Steroids.”

Pursuant to the authority of Iowa Code section 147.76, the Board of Optometry Examiners hereby gives Notice of Intended Action to amend Chapter 180, “Board of Optometry Examiners,” and adopt new Chapter 181, “Continuing Education,” Iowa Administrative Code.

The proposed amendments rescind the current endorsement rule and adopt in lieu thereof a new rule which clarifies licensure by endorsement; rescind the current continuing education rules; adopt a new chapter for continuing education; renumber the rule regarding grounds for discipline; and amend cross references to rules that are no longer in use.

Any interested person may make written comments on the proposed amendments no later than April 26, 2000, addressed to Rosalie Steele, Professional Licensure Division, Department of Public Health, Lucas State Office Building, Des Moines, Iowa 50319–0075.

The Division sent letters to the public for comment and six letters were received in return. Division staff also had input on these rules. The comments received were discussed by the Board and decisions were made based on need, clarity, intent and statutory authority, cost and fairness.

A public hearing will be held on April 26, 2000, from9 to 11 a.m. in the Fifth Floor Board Conference Room, Lucas State Office Building, at which time persons may present their views either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the proposed amendments.

These amendments are intended to implement Iowa Code section 147.76 and chapter 272C.

The following amendments are proposed.

ITEM 1. Rescind rule 645—180.6(154) and adopt in lieu thereof the following new rule:

645—180.6(154) Licensure by endorsement. An applicant who has been a licensed optometrist under laws of another jurisdiction for one year or more shall file an application for licensure by endorsement with the board office. The following requirements must be satisfied prior to licensure to practice optometry in Iowa through the procedure of licensure by endorsement.

180.6(1) Application for licensure by endorsement to practice optometry in this state shall be made to the board of optometry examiners on a form provided by the board which must be complete.

180.6(2) Applications must be filed with the board along with the following:

a. Proof of graduation with a doctor of optometry degree from an accredited school and, in the case of foreign graduates, adherence to the current requirements of the National Board of Examiners in Optometry to sit for the examination.

b. Evidence of successful completion of the examination of the National Board of Examiners in Optometry that was current at the time of initial licensure, or the examination that is currently offered by the National Board of Examiners in Optometry.

c. An applicant licensed to practice optometry in any state prior to January 1, 1986, shall supply evidence of completion of a course provided by an institution accredited by a regional or professional accreditation organization which is recognized or approved by the council on postsecondary accreditation of the United States Department of Education, which has particular emphasis on the examination, diagnosis and treatment of conditions of the human eye and adnexa. The course shall include a minimum of 40 hours of didactic education and 60 hours of approved supervised clinical training in the examination, diagnosis, and treatment of conditions of the human eye and adnexa. An applicant shall have completed an additional 44 hours of education with emphasis on treatment and management of glaucoma and use of oral pharmaceutical agents for treatment and management of ocular diseases.

d. Proof of licensure and evidence of one year of active practice in another state, territory or district of the United States immediately preceding the date of application that has a similar scope of practice as determined by the board. When the scope of practice is different, the applicant shall make available to the board evidence of completion of additional hours of training related to the area of the deficiency as prescribed by the board. The board may waive the requirement of one year of active practice if during the above mentioned one–year period, the applicant was:

(1) Teaching optometry;

(2) A military optometrist;

(3) A supervisory or administrative optometrist; or

(4) A researcher in optometry.

e. Verification by an official statement from each state board of examiners regarding the status of the applicant’s license, including date of licensure, expiration date and available information regarding any pending or prior investigation that has resulted in disciplinary action. The applicant shall request such statements from all states in which the applicant is currently or was formerly licensed.

f. Statement as to any claims, complaints, judgments or settlements, pending or final, made with respect to the applicant arising out of the alleged negligence or malpractice in rendering professional services as an optometrist.

ITEM 2. Rescind and reserve rules 645—180.12(154) to 645—180.18(154,272C).

ITEM 3. Renumber rule 645—180.115(272C) as 645— 180.11(272C).

ITEM 4. Amend renumbered rule 645—180.11(272C), introductory paragraph, as follows:

645—180.11(272C) Grounds for discipline. The board may impose any of the disciplinary sanctions set forth in rule 180.113(272C) the rules, including civil penalties in an amount not to exceed $1,000 or maximum allowed, when the board determines that the licensee is guilty of any of the following acts or offenses:

ITEM 5. Amend renumbered subrule 180.11(19) as follows:

180.11(19) Failure to file the reports required by rule 645—180.101 9.3(272C) concerning acts or omissions committed by another licensee.

ITEM 6. Adopt new 645—Chapter 181 as follows:

CHAPTER 181
CONTINUING EDUCATION

645—181.1(154) Definitions. For the purpose of these rules, the following definitions shall apply:

“Active license” means the license of a person who is acting, practicing, functioning, and working in compliance with license requirements.

“Administrator” means the administrator of the board of optometry examiners.

“Approved program/activity” means a continuing education program/activity meeting the standards set forth in these rules, which has received advance approval by the board pursuant to these rules.

“Approved sponsor” means a person or an organization sponsoring continuing education activities that has been approved by the board as a sponsor pursuant to these rules. During the time an organization, educational institution, or person is an approved sponsor, all continuing education activities of such organization, educational institution, or person may be deemed automatically approved.

“Audit” means the selection of licensees for verification of satisfactory completion of continuing education requirements during a specified time period or the selection of providers for verification of adherence to continuing provider requirements during a specified time period.

“Board” means the board of optometry examiners.

“Continuing education” means planned, organized learning acts designed to maintain, improve, or expand a licensee’s knowledge and skills in order for the licensee to develop new knowledge and skills relevant to the enhancement of practice, education, or theory development to improve the safety and welfare of the public.

“Hour of continuing education” means a clock hour spent by a licensee in actual attendance at and completion of approved continuing education activity.

“Inactive license” means the license of a person who is not engaged in practice in the state of Iowa.

“Lapsed license” means a license that a person has failed to renew as required, or the license of a person who has failed to meet stated obligations for renewal within a stated time.

“License” means license to practice.

“Licensee” means any person licensed to practice as an optometrist in the state of Iowa.

181.2(1) The biennial continuing education compliance period shall extend for a two–year period between July 1 and June 30 of each even–numbered year.

a. Requirements for nontherapeutic licensees. Each biennium, each person who is licensed to practice as an optometrist in this state and who is not therapeutically certified shall be required to complete a minimum of 30 hours of continuing education approved by the board. Nontherapeutic licensees must comply with Iowa continuing education rules for license renewal and reinstatement by meeting the continuing education requirements in the state of practice.

b. Requirements for therapeutic licensees. Each biennium, each person who is licensed to practice as a therapeutic licensee in this state shall be required to complete a minimum of 50 hours of continuing education approved by the board. A minimum of 20 hours of continuing education per biennium shall be in the treatment and management of ocular disease. Therapeutic licensees must comply with Iowa continuing education rules for license renewal and reinstatement regardless of the licensee’s place of residence or place of practice.

181.2(2) Requirements of new licensees. Those persons licensed for the first time shall not be required to complete continuing education as a prerequisite for the first renewal of their licenses. Continuing education hours acquired anytime from the initial licensing until the second license renewal may be used. The new licensee will be required to complete a minimum of 50 hours of continuing education per biennium for each subsequent license renewal.

181.2(3) Hours of continuing education credit may be obtained by attending and participating in a continuing education activity. These hours must be approved by the board or otherwise meet the requirements herein and be approved by the board pursuant to statutory provisions and the rules that complement them.

181.2(4) No hours of continuing education shall be carried over into the next biennium.

181.2(5) It is the responsibility of each licensee to finance the cost of continuing education.

181.3(1) General criteria. A continuing education activity which meets all of the following criteria is appropriate for continuing education credit if it is determined by the board that the continuing education activity:

a. Constitutes an organized program of learning which contributes directly to the professional competency of the licensee;

b. Pertains to common subject matters which integrally relate to the practice of the profession;

c. Is conducted by individuals who have specialized education, training and experience by reason of which said individuals should be considered experts concerning the subject matter of the program. The application must be accompanied by a paper, manual or outline which substantively pertains to the subject matter of the program and reflects program schedule, goals and objectives. The board may request the qualifications of presenters.

d. Fulfills stated program goals, objectives, or both; and

e. Provides proof of attendance to licensees in attendance including:

(1) Date, location, course title, presenter(s);

(2) Numbers of program contact hours. (One contact hour usually equals one hour of continuing education credit.); and

(3) Official signature or verification by program sponsor.

181.3(2) Specific criteria.

a. Continuing education hours of credit may be obtained by attending:

(1) The continuing education programs of the Iowa Optometric Association, the American Optometric Association, the American Academy of Optometry, and national regional optometric congresses, schools of optometry and all state optometric associations. The department of ophthalmology of the school of medicine of the University of Iowa shall be one of the approved providers of continuing education for Iowa optometrists;

(2) Postgraduate study through an accredited school or college of optometry;

(3) Meetings or seminars that are approved and certified for optometric continuing education by the Association of Regulatory Boards of Optometry’s Council on Optometric Practitioner Education Committee (COPE); or

(4) Continuing education activities of an approved sponsor.

b. The maximum number of hours in each category in each biennium is as follows:

(1) Twelve hours of credit for local study group programs that have prior approval or an approved sponsorship.

(2) Ten hours of credit for correspondence courses, which include written and electronically transmitted material and have a post–course test. Certification of the continuing education requirements and of passing the test must be given by the institution providing the continuing education, and that institution must be accredited by a regional or professional accreditation organization which is recognized or approved by the Council on Postsecondary Accreditation of the United States Department of Education.

(3) Six hours of credit may be used for practice management courses.

(4) Two hours of credit may be used for dependent adult abuse and child abuse identification.

(5) Four hours of credit for current certification in CPR, by the American Heart Association, the American Red Cross or an equivalent organization, may be used.

(6) Twenty hours of credit may be used for postgraduate study courses.

(7) Twenty hours of credit in the treatment and management of ocular disease from the University of Iowa may be used.

181.4(1) Approval of sponsors. An applicant who desires approval as a sponsor of courses, programs, or other continuing education activities shall, unless exempted elsewhere in these rules, apply for approval to the board on the form designated by the board stating the applicant’s educational history for the preceding two years or proposed plan for the next two years.

a. The form shall include the following:

(1) Date, place, course title(s) offered and outline of content;

(2) Total hours of instruction presented;

(3) Names and qualifications of instructors, includingrésumé or vitae; and

(4) Evaluation form(s).

b. Records shall be retained by the sponsor for four years.

c. Attendance record report. The person or organization sponsoring an approved continuing education activity shall provide a certificate of attendance or verification to the licensee providing the following information:

(1) Program date(s);

(2) Course title and presenter;

(3) Location;

(4) Number of clock hours attended and continuing education hours earned;

(5) Name of sponsor and sponsor number;

(6) Licensee’s name; and

(7) Method of presentation.

d. All approved sponsors shall maintain a copy of the following:

(1) The continuing education activity;

(2) List of enrolled licensees’ names and license numbers; and

(3) Number of continuing education clock hours awarded for a minimum of four years from the date of the continuing education activity.

The sponsor shall submit a report of all continuing education programs conducted in the previous year during the assigned month for reporting designated by the board. The report shall also include a summary of the evaluations completed by the licensees.

181.4(2) Prior approval of programs/activities. An organization or person other than an approved sponsor that desires prior approval of a course, program or other educational activity or that desires to establish accreditation of such activity prior to attendance shall apply for approval to the board on a form provided by the board at least 60 days in advance of the commencement of the activity. The board shall approve or deny such application in writing within 30 days of receipt of such application. The application shall state:

a. The date(s);

b. Course(s) offered;

c. Course outline;

d. Total hours of instruction; and

e. Names and qualifications of speakers and other pertinent information.

The organization or person shall be notified of approval or denial by ordinary mail.

181.4(3) Review of programs. Continuing educationprograms/activities shall be reported every year at the designated time as assigned by the board. The board may at any time reevaluate an approved sponsor. If, after reevaluation, the board finds there is cause for revocation of the approval of an approved sponsor, the board shall give notice of therevocation to that sponsor by certified mail. The sponsor shall have the right to hearing regarding the revocation. The request for hearing must be sent within 20 days after the receipt of the notice of revocation. The hearing shall be held within 90 days after the receipt of the request for hearing. The board shall give notice by certified mail to the sponsor of the date set for the hearing at least 30 days prior to the hearing. The board shall conduct the hearing in compliance with rule 645—11.9(17A).

181.4(4) Post–approval of activities. A licensee seeking credit for attendance and participation in an educational activity which was not conducted by an approved sponsor or otherwise approved shall submit to the board, within 30 days after completion of such activity, the following:

a. The date(s);

b. Course(s) offered;

c. Course outline;

d. Total hours of instruction and credit hours requested;

e. Names and qualifications of speakers and other pertinent information;

f. Request for credit which includes a brief summary of the activity; and

g. Certificate of attendance or verification.

Within 90 days after receipt of such application, the board shall advise the licensee in writing by ordinary mail whether the activity is approved and the number of hours allowed. A licensee not complying with the requirements of this subrule may be denied credit for such activity.

181.4(5) Voluntary relinquishment. The approved sponsor may voluntarily relinquish sponsorship by notifying the board office in writing.

645—181.5(154) Reporting continuing education by licensee. At the time of license renewal, each licensee shall be required to submit a report on continuing education to the board on a board–approved form.

181.5(1) The information on the form shall include:

a. Title of continuing education activity;

b. Date(s);

c. Sponsor of the activity;

d. Board–approved sponsor number; and

e. Number of continuing education hours earned.

181.5(2) Audit of continuing education report. After each educational biennium, the board will audit a percentage of the continuing education reports before granting the renewal of licenses to those being audited.

a. The board will select licensees to be audited.

b. The licensee shall make available to the board for auditing purposes a copy of the certificate of attendance or verification for all reported activities that includes the following information:

(1) Date, location, course title, schedule (brochure, pamphlet, program, presenter(s)), and method of presentation;

(2) Number of contact hours for program attended; and

(3) Certificate of attendance or verification indicating successful completion of course.

c. For auditing purposes, the licensee must retain the above information for two years after the biennium has end–ed.

d. Submission of a false report of continuing education or failure to meet continuing education requirements may cause the license to lapse and may result in formal disciplinary action.

e. All renewal license applications that are submitted late (after the end of the compliance period) may be subject to audit of continuing education report.

f. Failure to receive the renewal application shall not relieve the licensee of responsibility of meeting continuing education requirements and submitting the renewal fee by the end of the compliance period.

645—181.6(154) Reinstatement of lapsed license. Failure of the licensee to renew within 30 days after expiration date shall cause the license to lapse. A person who allows a license to lapse cannot engage in practice in Iowa without first complying with all regulations governing reinstatement as outlined in the board rules. A person who allows the license to lapse may apply to the board for reinstatement of the license. Reinstatement of the lapsed license may be granted by the board if the applicant:

1. Submits a written application for reinstatement to the board;

2. Pays all of the renewal fees then due;

3. Pays all penalty fees which have been assessed by the board for failure to renew;

4. Pays reinstatement fee; and

5. Provides evidence of satisfactory completion of Iowa continuing education requirements during the period since the license lapsed. The total number of continuing education hours required for license reinstatement is computed by multiplying 50 for therapeutic licensees (with a maximum of 100) and 30 for nontherapeutic licensees (with a maximum of 60) by the number of bienniums since the license lapsed. If the license has lapsed for more than five years, the applicant shall successfully pass the Iowa state optometry jurisprudence examination with a minimum grade of 75 percent.

645—181.7(154,272C) Continuing education waiver for active practitioners. An optometrist licensed to practice optometry shall be deemed to have complied with the continuing education requirements of this state during the period that the licensee serves honorably on active duty in the military services or as a government employee outside the United States as a practicing optometrist.

645—181.8(154,272C) Continuing education waiver for inactive practitioners. A licensee who is not engaged in practice in the state of Iowa and who is residing within or without the state of Iowa may be granted a waiver of continuing education compliance and obtain a certificate of waiver upon written application to the board. The application shall contain a statement that the applicant will not engage in practice in Iowa without first complying with all regulations governing reinstatement after waiver. The application for a certificate of waiver shall be submitted upon forms provided by the board.

645—181.9(154,272C) Continuing education waiver for physical disability or illness. The board may, in individual cases involving physical disability or illness, grant waivers of the minimum education requirements or extension of time within which to fulfill the same or make the required reports. No waiver or extension of time shall be granted unless written application therefor shall be made on forms provided by the board and signed by the licensee and appropriate licensed health care practitioners. The board may grant waiver of the minimum educational requirements for any period of time not to exceed one calendar year from the onset of disability or illness. In the event that the physical disability or illness upon which a waiver has been granted continues beyond the period of waiver, the licensee must reapply for an extension of the waiver. The board may, as a condition of any waiver granted, require the applicant to make up a certain portion or all of the minimum educational requirements waived by such methods as may be prescribed by the board.

645—181.10(154,272C) Reinstatement of inactive practitioners. Inactive practitioners who have been granted a waiver of compliance with these rules and obtained a certificate of exemption shall, prior to engaging in the practice of optometry in the state of Iowa, satisfy the following requirements for reinstatement.

181.10(1) Submit written application for reinstatement to the board upon forms provided by the board with appropriate reinstatement fee; and

181.10(2) Furnish in the application evidence of one of the following:

a. Full–time practice in another state of the United States or the District of Columbia and completion of continuing education for each biennium of inactive status substantially equivalent in the opinion of the board to that required under these rules; or

b. Completion of a total number of hours of approved continuing education computed by multiplying 50 for therapeutic licensees or 30 for nontherapeutic licensees by the number of bienniums a certificate of exemption shall be in effect for such applicant; or

c. Successful completion of any or all parts of the national license examination as deemed necessary by the board, successfully completed within one year immediately prior to the submission of such application for reinstatement.

645—181.11(272C) Hearings. In the event of denial, in whole or part, of any application for approval of a continuing education program or credit for continuing education activity, the applicant, licensee or program provider shall have the right within 20 days after the sending of the notification of denial by ordinary mail to request a hearing which shall be held within 90 days after receipt of the request for hearing. The hearing shall be conducted by the board or an administrative law judge designated by the board, in substantial compliance with the hearing procedure set forth in rule 645—11.9(17A).

These rules are intended to implement Iowa Code section 272C.2 and chapter 154.

Pursuant to the authority of Iowa Code section 147A.4, the Department of Public Health hereby gives Notice of Intended Action to amend Chapter 130, “Emergency Medical Services Training Grants,” Iowa Administrative Code.

The proposed amendments will update definitions to be consistent with other chapters regarding emergency medical services and also allow the use of training grant money to be spent for certification, recertification, and written examination fees.

The Department has not provided specific provisions for a waiver or variance from rules in Chapter 130. A party seeking a waiver or variance from rules in Chapter 130 should do so pursuant to the Department’s variance and waiver provisions contained in 641—Chapter 178.

The Department of Public Health will hold a public hearing over the Iowa Communications Network (ICN) on Tuesday, April 25, 2000, from 1 to 2 p.m. Sites participating in the ICN broadcast include the following:

• National Guard Armory, 11 East 23rd Street, Spencer

• National Guard Armory, 1712 LaClark Road, Carroll

• National Guard Armory, 1160 10th Street SW, Mason City

• Department of Public Health, ICN Room, Sixth Floor, Lucas State Office Building, 321 East 12th Street, Des Moines

• National Guard Armory, 195 Radford Road, Dubuque

• National Guard Armory, 501 Highway 1 South, Washington

At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendments. Any person who plans to attend the public hearing and who may have special requirements, such as hearing or mobility impairments, should contact the Department of Public Health and advise of specific needs.

Any oral or written comments must be received on or before April 25, 2000. Comments should be addressed to Gary Ireland, EMS Bureau Chief, Department of Public Health, Lucas State Office Building, Des Moines, Iowa 50319–0075.

These rules are intended to implement 1999 Iowa Acts, chapter 201, and Iowa Code chapter 135.

The following amendments are proposed.

ITEM 1. Amend rule 641—130.1(135) as follows:

Amend the following definitions:

“Ambulance service” means any privately or publicly owned service program which utilizes ambulances in order to provide patient transportation and emergency medical care. at the scene of an emergency or while en route to a hospital or during transfer from one medical care facility to another or to a private home.

“CEHs CEH” means continuing education hours hour which are is based upon a minimum of 50 minutes of training per hour.

“Continuing education” means approved training approved by the department which is received after becoming obtained by a certified as an EMS emergency medical care provider to maintain, improve, or expand relevant skills and knowledge and to satisfy renewal of certification requirements. This includes emergency medical training for members of the general public.

“Emergency medical care personnel” or “provider” means any individual currently certified by the department pursuant to Iowa Code section 147A.6 an individual whohas been trained to provide emergency and non–emergency medical care at the first responder, EMT–basic, EMT–intermediate, EMT–paramedic level or other certification levels adopted by rule by the department, and who has been issued a certificate by the department.

“Nontransport service” means any privately or publicly owned rescue or first response EMS service program which that does not provide patient transportation (except when no ambulance is available or in a disaster situation). and utilizes only first response vehicles to provide emergency medical care at the scene of an emergency.

“Service program” or “service” means any emergency medical care ambulance or nontransport service that has received authorization by the department.

Rescind the following definition:

ITEM 2. Amend subrule 130.4(2) as follows:

130.4(2) Eligible costs. Costs which are eligible for EMS training fund expenditures include:

a. Reimbursement of tuition, fees and materials following successful completion of an EMS course. Practical and written examination fees may also be included.

b. and c. No change.

ITEM 3. Amend subrule 130.4(3) as follows:

130.4(3) Ineligible costs. Costs which are not eligible for funding include, but are not limited to, the following:

a. No change.

b. Certification/recertification fees;

c. to m. No change.

n. Written examination fees.

ITEM 4. Amend 641—Chapter 130 by amending the implementation clause as follows:

These rules are intended to implement 1995 Iowa Acts, House File 530 1999 Iowa Acts, chapter 201, and Iowa Code chapter 135 as amended by 1995 Iowa Acts, Senate File 178.

Pursuant to the authority of Iowa Code sections 307.10 and 307.12, the Department of Transportation hereby gives Notice of Intended Action to amend Chapter 410, “Special Mobile Equipment,” Iowa Administrative Code.

1999 Iowa Acts, chapter 13, section 28, repealed Iowa Code section 321.21, which provided for the issuance of special mobile equipment plates and certificates. The proposed amendments remove references to the application process and issuance of special mobile equipment plates and certificates. However, a certificate of title and registration may be obtained in accordance with Iowa Code chapter 321 for a motor truck, trailer or semitrailer which has special mobile equipment permanently attached. Information was added concerning which office answers questions regarding special mobile equipment.

No waiver provisions were included in these amendments. These amendments are an interpretation of statute, and waivers are not appropriate to the subject matter.

Any person or agency may submit written comments concerning these proposed amendments or may submit a written request to make an oral presentation. The comments or request shall:

1. Include the name, address, and telephone number of the person or agency authoring the comments or request.

2. Reference the number and title of the proposed rule, as given in this Notice, that is the subject of the comments or request.

3. Indicate the general content of a requested oral presentation.

4. Be addressed to the Department of Transportation, Director’s Staff Division, 800 Lincoln Way, Ames, Iowa 50010; fax (515)239–1639; Internet E–mail address: tgeorge@max.state.ia.us.

5. Be received by the Director’s Staff Division no later than April 25, 2000.

A meeting to hear requested oral presentations is scheduled for Thursday, April 27, 2000, at 8 a.m. in the conference room of the Motor Vehicle Division, which is located on the upper level of Park Fair Mall, 100 Euclid Avenue, Des Moines, Iowa.

The meeting will be canceled without further notice if no oral presentation is requested.

These amendments are intended to implement Iowa Code sections 321.18 and 321.20 and Iowa Code Supplement section 321E.12.

Proposed rule–making actions:

ITEM 1. Amend rule 761—410.1(321) as follows:

410.1(1) Special mobile equipment is defined in Iowa Code section 321.1.

410.1(2) Special mobile equipment is exempt from the ti–tling and registration provisions of Iowa Code sections 321.18 and 321.20. However, a certificate of title and registration may be obtained in accordance with 761—Chapter 400 Iowa Code chapter 321 for a motor truck, trailer or semitrailer with special mobile equipment that is permanently attached to a motor truck, trailer or semitrailer. To obtain a certificate of title, the owner must pay the title fee, but need not obtain a special mobile equipment plate and certificate of identification.

This rule is intended to implement Iowa Code sections 321.1, 321.18 and 321.21 321.20.

ITEM 2. Rescind rules 761—410.2(321) and 761— 410.3(321E).

ITEM 3. Adopt the following new rule:

761—410.2(321E) Special mobile equipment transported on a registered vehicle. The movement of special mobile equipment or component parts of special mobile equipment transported on a vehicle registered for the gross weight of the vehicle without load, as provided in Iowa Code Supplement section 321E.12, is subject to the following:

410.2(1) A vehicle registered for its gross weight without load shall not be used to transport special mobile equipment for hire.

410.2(2) If the special mobile equipment is leased, the lease agreement or a certified copy of the lease agreement shall be carried in the cab of the transporting vehicle.

410.2(3) All movements of special mobile equipment shall comply with the size and weight limits in Iowa Code chapter 321 unless a permit to exceed these limits is obtained in accordance with Iowa Code chapter 321E.

This rule is intended to implement Iowa Code Supplement section 321E.12.

Pursuant to the authority of Iowa Code sections 307.10 and 307.12, the Department of Transportation hereby gives Notice of Intended Action to amend Chapter 529, “For–Hire Interstate Motor Carrier Authority,” Iowa Administrative Code.

No changes to the federal regulations have occurred. However, the Code of Federal Regulations was updated in October 1999, and the Department needs to cite the most current version in these rules.

Any person or agency may submit written comments concerning this proposed amendment or may submit a written request to make an oral presentation. The comments or request shall:

1. Include the name, address, and telephone number of the person or agency authoring the comments or request.

2. Reference the number and title of the proposed rule, as given in this Notice, that is the subject of the comments or request.

3. Indicate the general content of a requested oral presentation.

4. Be addressed to the Department of Transportation,Director’s Staff Division, 800 Lincoln Way, Ames, Iowa 50010; fax (515)239–1639; Internet E–mail address: tgeorge@max.state.ia.us.

5. Be received by the Director’s Staff Division no later than April 25, 2000.

A meeting to hear requested oral presentations is scheduled for Thursday, April 27, 2000, at 10 a.m. in the conference room of the Motor Vehicle Division, which is located on the upper level of Park Fair Mall, 100 Euclid Avenue, Des Moines, Iowa.

The meeting will be canceled without further notice if no oral presentation is requested.

This amendment is intended to implement Iowa Code chapter 327B.

Proposed rule–making action:

Amend rule 761—529.1(327B) as follows:

761—529.1(327B) Motor carrier regulations. The Iowa department of transportation adopts the Code of Federal Regulations, 49 CFR Parts 365–379, dated October 1, 1998 1999, for regulating interstate for–hire carriers.

Copies of this publication are available from the state law library.

In accordance with the provisions of Iowa Code section 535.2, subsection 3, paragraph “a,” the Superintendent of Banking has determined that the maximum lawful rate of interest shall be:

March 1, 1999 — March 31, 1999 6.75%

April 1, 1999 — April 30, 1999 7.00%

May 1, 1999 — May 31, 1999 7.25%

June 1, 1999 — June 30, 1999 7.25%

July 1, 1999 — July 31, 1999 7.50%

August 1, 1999 — August 31, 1999 8.00%

September 1, 1999 — September 30, 1999 8.00%

October 1, 1999 — October 31, 1999 8.00%

November 1, 1999 — November 30, 1999 8.00%

December 1, 1999 — December 31, 1999 8.00%

January 1, 2000 — January 31, 2000 8.00%

February 1, 2000 — February 29, 2000 8.25%

March 1, 2000 — March 31, 2000 8.75%

April 1, 2000 — April 30, 2000 8.50%

Pursuant to the authority of Iowa Code section 86.8, the Workers’ Compensation Commissioner hereby gives Notice of Intended Action to amend Chapter 1, “Purpose and Function”; Chapter 2, “General Provisions”; Chapter 4, “Contested Cases”; Chapter 5, “Declaratory Orders”; Chapter 8, “Substantive and Interpretive Rules”; Chapter 9, “PublicRecords and Fair Information Practices”; and Chapter 12, “Formal Review and Waiver of Rules,” Iowa Administrative Code.

Item 1 amends the implementation clause to correct an Iowa Code reference to section 84A.2 which has been transferred to 84A.5 by the Iowa Code Editor.

Item 2 amends rule 2.4(85) to allow for lay testimony and other evidence in addition to medical opinions based on the AMA guides in determining an injured worker’s disability. This change makes the rule consistent with supreme court decisions, including Miller v. Lauridsen Foods, Inc., 525 N.W.2d 417 (Iowa 1994) and Terwilliger v. Snap–on Tools Corp., 529 N.W.2d 267 (Iowa 1995).

Item 3 changes a reference to Iowa Rule of Civil Procedure 105, which was moved to rule 116, effective January 24, 1998.

Item 4 corrects a reference to a declaratory order and a reference to the form number for a patient’s waiver.

Item 5 amends rule 4.17(85,86,17A) regarding exchange of records to specify that all records received pursuant to a patient’s waiver as well as medical records will be promptly served on opposing parties.

Item 6 changes references to 1998 Iowa Acts to Iowa Code section 17A.17.

Item 7 adds the agency fax number to the agency rule that currently allows for filing by fax.

Item 8 changes a reference to 1998 Iowa Acts to Iowa Code subsection 17A.9(5).

Item 9 changes a reference to 1998 Iowa Acts to Iowa Code subsection 17A.9(1) and corrects a reference to a declaratory order.

Item 10 changes a reference to 1998 Iowa Acts to Iowa Code section 17A.9.

Item 11 removes the requirement that the commissioner review the fee structure for the allowable costs for duplication of medical records on a specific date each year.

Item 12 changes a reference to 1998 Iowa Acts to Iowa Code section 85B.9A.

Items 13, 14 and 15 specify that declaratory rulings and declaratory orders are open records.

Item 16 amends the implementation clause by adding Iowa Code section 17A.4(1)“b.”

The Division of Workers’ Compensation has determined that these proposed amendments will not necessitate additional annual expenditures exceeding $100,000 by political subdivisions or agencies which contract with political subdivisions. Therefore, no fiscal note accompanies this Notice.

The Division of Workers’ Compensation has determined that these amendments will not have an impact on small business within the meaning of Iowa Code section 17A.4A.

None of the proposed amendments includes a waiver provision because rule 876—12.4(17A) provides the specified situations for waiver of Workers’ Compensation Division rules.

Any interested person may make written suggestions or comments on these proposed amendments on or before April 25, 2000, to the Workers’ Compensation Commissioner, Division of Workers’ Compensation, 1000 East Grand Avenue, Des Moines, Iowa 50319.

These amendments are intended to implement Iowa Code sections 17A.3(1)“a” and “b,” 17A.4(1)“b,” 17A.9, 17A.12, 17A.17, 22.7, 84A.5, 85.27, 85B.9A, 86.8, 86.13, 86.18, and 86.24.

The following amendments are proposed.

ITEM 1. Amend 876—Chapter 1 by amending the implementation clause as follows:

These rules are intended to implement Iowa Code sections 17A.3(1)“a” and “b” and 84A.2 84A.5.

ITEM 2. Amend rule 876—2.4(85) as follows:

876—2.4(85) Guides to evaluation of permanent impairment. The Guides to the Evaluation of Permanent Impairment published by the American Medical Association are adopted as a guide for determining permanent partial disabilities under Iowa Code section 85.34(2)“a” to “s.” The extent of loss or percentage of permanent impairment may be determined by use of this guide and payment of weekly compensation for permanent partial scheduled injuries made accordingly. Payment so made shall be recognized by the workers’ compensation commissioner as a prima facie showing of compliance by the employer or insurance carrier with the foregoing sections of the Iowa Workers’ Compensation Act. Nothing in this rule shall be construed to prevent the presentations of other medical opinions or guides or other material evidence for the purpose of establishing that the degree of permanent impairment disability to which the claimant would be entitled would be more or less than the entitlement indicated in the AMA guide.

This rule is intended to implement Iowa Code section 85.34(2).

ITEM 3. Amend rule 876—4.2(86), introductory paragraph, as follows:

876—4.2(86) Separate evidentiary hearing or consolidation of proceedings. In addition to applying the provision of Iowa rule of civil procedure 105 116, a person presiding over a contested case proceeding in a workers’ compensation matter may conduct a separate evidentiary hearing for determination of any issue in the contested case proceeding which goes to the whole or any material part of the case. An order determining the issue presented shall be issued before a hearing is held on the remaining issues. The issue determined in the separate evidentiary hearing shall be precluded at the hearing of the remaining issues. If the order on the separate issue does not dispose of the whole case, it shall be deemed interlocutory for purposes of appeal.

ITEM 4. Amend rule 876—4.6(85,86,17A), first and second unnumbered paragraphs, as follows:

The original notice Form 100, Form 100A, Form 100B, Form 100C, or a determination of liability reimbursement for benefits paid and recovery of interest form shall provide for the data required in Iowa Code section 17A.12(2) and shall contain factors relevant to the contested case proceedings listed in 4.1(85,85A,85B,86,87,17A). The Form 100 is to be used for all contested case proceedings except as indicated in this rule. The Form 100A is to be used for the contested case proceedings provided for in subrules 4.1(11) and 4.1(12). The Form 100B is to be used for the contested case proceeding provided for in subrule 4.1(8). The Form 100C is to be used for the contested case proceeding provided for in subrule 4.1(14) and rule 4.48(17A,85,86). The application and consent order for payment of benefits under Iowa Code section 85.21 is to be used for contested case proceedings brought under Iowa Code section 85.21. When a commutation is sought, the Form No. 9 or Form No. 9A must be filed in addition to any other document. The petition for declaratory ruling order, approval of attorney fees, determination of compliance and other proceedings not covered in the original notice forms must accompany the original notice.

At the same time and in the same manner as service of the original notice and petition, the claimant shall serve a patient’s waiver using Form 309–5173 14–0043 (authorization for release of information regarding claimants seeking workers’ compensation benefits) which shall not be revoked until conclusion of the contested case.

ITEM 5. Amend rule 876—4.17(85,86,17A) as follows:

876—4.17(85,86,17A) Service of medical records and reports. Each party to a contested case shall serve all records received pursuant to a patient’s waiver (Form 14–0043—authorization for release of information regarding claimants seeking workers’ compensation benefits) and medical rec–ords and reports concerning the injured worker in the possession of the party upon each opposing party not later than 20 days following filing of an answer or, if not then in possession of a party, within 10 days of receipt. Medical records and reports are records of medical practitioners and institutions concerning the injured worker. Medical practitioners and institutions are medical doctors, osteopaths, chiropractors, dentists, nurses, podiatrists, psychiatrists, psychologists, counselors, hospitals, clinics, persons engaged in physical or vocational rehabilitation or evaluation for rehabilitation, all other practitioners of the healing arts or sciences, and all other institutions in which the healing arts or sciences are practiced. Each party shall serve a notice accompanying the rec–ords and reports identifying the records and reports served by the name of the practitioner or institution or other source and date of the records and reports and, if served later than 20 days following filing of the answer, stating the date when the rec–ords and reports were received by the party serving them. Pursuant to 4.14(86), the notice and records and reports shall not be filed with the workers’ compensation commissioner. A party failing to comply with the provisions of this rule shall, if the failure is prejudicial to an opposing party, be subject to the provisions of 4.36(86). This rule does not require a party to serve any medical record or report that was previously served by another party in a contested case proceeding.

This rule is intended to implement Iowa Code sections 86.8 and 86.18.

ITEM 6. Amend rule 876—4.38(17A) as follows:

Amend subrules 4.38(2) and 4.38(4) as follows:

4.38(2) The term “personally investigated” means taking affirmative steps to interview witnesses directly or to obtain documents or other information directly. The term “personally investigated” does not include general direction and supervision of assigned investigators, unsolicited receipt of information which is relayed to assigned investigators, review of another person’s investigative work product in the course of determining whether there is probable cause to initiate a proceeding, or exposure to factual information while performing other agency functions, including fact gathering for purposes other than investigation of the matter which culminates in a contested case. Factual information relevant to the merits of a contested case received by a person who later serves as presiding officer in that case shall be disclosed if required by Iowa Code section 17A.17 as amended by 1998 Iowa Acts, chapter 1202, section 19, and rule 4.38(17A).

4.38(4) If a party asserts disqualification on any appropriate ground, including those listed in subrule 4.38(1), the party shall file a motion supported by an affidavit pursuant to 1998 Iowa Acts, chapter 1202, section 19, subsection 7 Iowa Code section 17A.17(7). The motion must be filed as soon as practicable after the reason alleged in the motion becomes known to the party.

If, during the course of the hearing, a party first becomes aware of evidence of bias or other grounds for disqualification, the party may move for recusal but must establish the grounds by the introduction of evidence into the record.

If the workers’ compensation commissioner, chief deputy workers’ compensation commissioner or deputy workers’ compensation commissioner determines that recusal is appropriate, that person shall withdraw. If that person determines that withdrawal is not required, that person shall enter an order to that effect.

Amend the implementation clause as follows:

This rule is intended to implement Iowa Code section 17A.17 as amended by 1998 Iowa Acts, chapter 1202, section 19.

ITEM 7. Amend rule 876—4.39(17A,86) as follows:

876—4.39(17A,86) Filing by facsimile transmission (fax). All documents filed with the agency pursuant to this chapter and Iowa Code section 86.24 except an original notice and petition requesting a contested case proceeding (see Iowa Code section 17A.12(9)) may be filed by facsimile transmission (fax). A copy shall be filed for each case involved. A document filed by fax is presumed to be an accurate reproduction of the original. If a document filed by fax is illegible, a legible copy may be substituted and the date of filing shall be the date the illegible copy was received. The date of filing by fax is the date the document is received by the agency. The agency will not provide a mailed file–stamped copy of documents filed by fax. The agency fax number is (515)281–6501.

ITEM 8. Amend subrule 5.8(1) as follows:

5.8(1) Time frames for action. Within 30 days after receipt of a petition for a declaratory order, the workers’ compensation commissioner or the commissioner’s designee shall take action on the petition as required by 1998 Iowa Acts, chapter 1202, section 13, subsection 5 Iowa Code section 17A.9(5).

ITEM 9. Amend rule 876—5.9(17A) as follows:

Amend subrules 5.9(1) and 5.9(3) as follows:

5.9(1) The workers’ compensation commissioner shall not issue a declaratory order where prohibited by 1998 Iowa Acts, chapter 1202, section 13, subsection 1 Iowa Code section 17A.9(1), and may refuse to issue a declaratory order on some or all questions raised for the following reasons:

1. to 10. No change.

5.9(3) Filing of new petition. Refusal to issue a declaratory order pursuant to this provision does not preclude the filing of a new petition that seeks to eliminate the grounds for the workers’ compensation commissioner’s refusal to issue a ruling an order.

ITEM 10. Amend 876—Chapter 5 by amending the implementation clause as follows:

These rules are intended to implement 1998 Iowa Acts, chapter 1202, section 13 Iowa Code section 17A.9.

ITEM 11. Amend 876—8.9(85,86), second unnumbered paragraph, as follows:

A medical provider or its agent shall furnish an employer or insurance carrier copies of the initial as well as final clinical assessment without cost when the assessments are requested as supporting documentation to determine liability or for payment of a medical provider’s bill for medical services. When requested, a medical provider or its agent shall furnish a legible duplicate of additional records or reports. Except as otherwise provided in this rule, the amount to be paid for furnishing duplicates of records or reports shall be the actual expense to prepare duplicates not to exceed: $20 for 1 to 20 pages; $20 plus $1 per page for 21 to 30 pages; $30 plus $.50 per page for 31 to 100 pages; $65 plus $.25 per page for 101 to 200 pages; $90 plus $.10 per page for more than 200 pages, and the actual expense of postage. No other expenses shall be allowed. On May 10, 1996, and on an annual basis thereafter, the fee structure imposed shall be reviewed by the commissioner to determine if the charges paid for duplication consistently reflect the actual expense of a medical provider or its agent in providing duplicates of rec–ords or reports.

ITEM 12. Amend rule 876—8.10(85B), implementation clause, as follows:

This rule is intended to implement 1998 Iowa Acts, chapter 1160, section 7, and Iowa Code section sections 85B.9A and 86.8.

ITEM 13. Amend rule 876—9.1(17A,22,85–87), definition of “open record,” as follows:

“Open record” means a record other than a confidential record, including but not limited to the record of declaratory rulings, declaratory orders, contested case proceedings, decisions, orders, rulings, settlements, and opinions of the agency.

ITEM 14. Amend subrule 9.12(2) as follows:

9.12(2) The record of declaratory rulings, declaratory orders, contested case proceedings, decisions, orders, rulings, settlements, and opinions are open for public inspection and copying.

ITEM 15. Amend subrule 9.13(1)“d”(6) as follows:

(6) Declaratory rulings and declaratory orders. Records may contain information about persons making requests for declaratory rulings, declaratory orders or comments from other persons concerning the rulings or orders. This information is collected pursuant to Iowa Code section 17A.9. These records may be stored in an automated data processing system and may have the capability of retrieval by a personal identifier.

ITEM 16. Amend 876—Chapter 12 by amending the implementation clause as follows:

These rules are intended to implement Iowa Code section sections 17A.4(1)“b” and 17A.7 as amended by 1998 Iowa Acts, chapter 1202, section 11.

Pursuant to the authority of Iowa Code section 256.7(5), the Board of Education hereby amends Chapter 6, “Appeal Procedures,” Iowa Administrative Code.

In accordance with Iowa Code chapter 17A, these amendments add procedures for contested case proceedings to the Department rules regarding appealing proposed decisions. No waiver provision is included because the Board of Education has adopted agencywide waiver rules.

In compliance with Iowa Code subsection 17A.4(2), the Board finds that notice and public participation are unnecessary as the amendments make departmental rules consistent with the Iowa administrative procedure Act.

The Board also finds, pursuant to Iowa Code section 17A.5(2)“b”(2), that the normal effective date of these amendments, 35 days after publication, should be waived and these amendments should be made effective upon filing on March 17, 2000, as they confer a benefit upon the citizens of Iowa.

These amendments are also published herein under Notice of Intended Action as ARC 9773A to allow for public comment.

These amendments are intended to implement Iowa Code sections 17A.4 and 290.1.

These amendments became effective March 17, 2000.

The following amendments are adopted.

Amend rule 281—6.17(290,17A) by adopting the following new subrules and renumbering existing subrules 6.17(4) to 6.17(7) as 6.17(7) to 6.17(10):

6.17(4) Any adversely affected party may appeal a proposed decision to the state board within 20 days after the date of the proposed decision.

6.17(5) An appeal of a proposed decision is initiated by filing a timely notice of appeal with the office of the director. The notice of appeal must be signed by the appealing party or a representative of that party and contain a certificate of service. The notice shall specify:

a. The names and addresses of the parties initiating the appeal;

b. The proposed decision to be appealed;

c. The specific findings or conclusions to which exception is taken and any other exceptions to the decision;

d. The relief sought; and

e. The grounds for relief.

6.17(6) Unless otherwise ordered, within 15 days of the party’s filing of the notice of appeal, each appealing party may file exceptions and briefs. Within 10 days after the filing of exceptions and briefs by the appealing party, any party may file a responsive brief. Briefs shall cite any applicable legal authority and specify relevant portions of the record in that proceeding. An opportunity for oral arguments may be given with the consent of the board. Written requests to pre–sent oral argument shall be filed with the briefs.

[Filed Emergency 3/17/00, effective 3/17/00]

[Published 4/5/00]

EDITOR’S NOTE: For replacement pages for IAC, see IAC Supplement 4/5/00.

Pursuant to the authority of 1998 Iowa Acts, chapter 1213, section 9, the Department of Human Services hereby amends Chapter 25, “Disability Services Management,” appearing in the Iowa Administrative Code.

The Seventy–seventh General Assembly, in 1998 Iowa Acts, chapter 1213, section 8, subsection 3, established a risk pool fund to be used to cover an unanticipated cost in excess of a county’s current fiscal year budget amount for the mental health, mental retardation, and developmental disabilities services fund. Basic eligibility requires a projected need in excess of the sum of 105 percent of the county’s current fiscal year budget amount and any amount of the county’s prior fiscal year accrual ending services fund balance in excess of 25 percent of the county’s gross expenditures from the services fund in the prior fiscal year.

A Risk Pool Board was also established consisting of two county supervisors, two county auditors, a member of the state–county management committee created in Iowa Code section 331.438 who was not appointed by the Iowa State Association of Counties, a member of the county finance committee created in Iowa Code chapter 333A who is not an elected official, and two single entry point process administrators, all appointed by the Governor, subject to confirmation by two–thirds of the members of the Senate, and one member appointed by the director of the Department ofHuman Services. Members of the Board were appointed by the Governor in October of 1999 and their names submitted to the Senate in November of 1999. The Board held its first meeting in January of 2000.

Any county wishing to receive assistance from the risk pool must apply to the Risk Pool Board by April 1. The legislature appropriated $2 million for the fund for fiscal year 2000 and $2 million for fiscal year 2001. The total amount of risk pool assistance to counties shall be limited to the amount available in the risk pool for a fiscal year. If the total amount of eligible assistance exceeds the amount available in the risk pool, the amount of assistance paid shall be prorated among the counties eligible for assistance. There are provisions for repaying the risk pool funds under specified conditions.

These rules establish the Risk Pool Board to administer the risk pool fund established by the legislature and the requirements for counties to receive assistance from the fund.

These rules do not provide for waivers in specified situations because the requirements for composition of the risk pool and Risk Pool Board, eligibility for funds, and for awarding and repayment of funds are all stated in the Iowa Code. These requirements cannot be waived by rule.

In compliance with Iowa Code section 17A.4(2), the Department of Human Services finds that notice and public participation are unnecessary because these rules implement 1998 Iowa Acts, chapter 1213, section 9, 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 these rules should be waived and these rules made effective March 8, 2000, as authorized by 1998 Iowa Acts, chapter 1213, section 9.

These rules are also published herein under Notice of Intended Action as ARC 9748A to allow for public comment.

The Mental Health and Developmental Disabilities Commission adopted these rules March 7, 2000.

These rules are intended to implement Iowa Code section 426B.5, subsection 3.

These rules became effective March 8, 2000.

The following rules are adopted.

ITEM 1. Reserve rules 441—25.56 to 441—25.60.

ITEM 2. Amend 441—Chapter 25 by adopting the following new Division V.

PREAMBLE

These rules establish a risk pool board to administer the risk pool fund established by the legislature and the requirements for counties for receiving and repaying funding from the fund.

“Aggregate application” means the request for funding when a county has an unanticipated cost for mental health, mental retardation, and developmental disabilities services fund expenditures that would result in the county’s current fiscal year budget exceeding the sum of 105 percent of the county’s current fiscal year budget amount and the county’s prior fiscal year accrual ending fund balance exceeding 25 percent of the prior fiscal year gross services fund expenditures.

“Available pool” means those funds remaining in the risk pool less any actuarial and other direct administrative costs.

“Commission” means the mental health and developmental disabilities commission.

“Division” means the mental health and developmental disabilities division of the department of human services.

“Individual application” means the request for funding when a county has individuals who have unanticipated disability conditions with an exceptional cost and the individuals are either new to the county’s service system or the individuals’ disability conditions have changed or are new.

“Loan” means the risk pool funds a county received in a fiscal year in which the county did not levy the maximum amount allowed for the county’s mental health, mental retardation, and developmental disabilities services fund under Iowa Code section 331.424A.

441—25.62(426B) Risk pool board. This nine–member board consists of two county supervisors, two county auditors, a member of the state–county management committee created in Iowa Code section 331.438 who was not appointed by the Iowa state association of counties, a member of the county finance committee created in Iowa Code chapter 333A who is not an elected official, and two single entry point process administrators, all appointed by the governor, sub–ject to confirmation by two–thirds of the members of the senate, and one member appointed by the director of the department of human services.

25.62(1) Organization.

a. The members of the board shall annually elect from the board’s voting membership a chairperson and vice–chairperson of the board.

b. Members appointed by the governor shall serve three–year terms.

25.62(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 the risk pool established by Iowa Code section 426B.5, subsection 3. In carrying out these duties, the board shall do all of the following:

a. Recommend to the commission for adoption rules governing the risk pool fund.

b. Determine application requirements to ensure prudent use of risk pool assistance.

c. Accept or reject applications for assistance in whole or in part.

d. Review the fiscal year–end financial records for all counties that are granted risk pool assistance and determine if repayment is required.

e. Approve actuarial and other direct administrative costs to be paid from the pool.

25.62(3) Board action.

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

b. When a quorum is present, an action is carried by a majority of the qualified members of the board.

25.62(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 mental health and developmental disabilities.

25.62(5) Board meetings.

a. The board shall meet in April of 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 county making application for risk pool funds must be present at the board meeting where that request will be considered. The division shall notify the county of the date, time and location of the meeting. Any other persons with questions about the date, time or location of the meeting may contact the Administrator, Division of Mental Health and Developmental Disabilities, Department of Human Services, Hoover State Office Building, Fifth Floor, 1305 East Walnut, Des Moines, Iowa 50309–0114, telephone (515) 281–5874.

c. The board shall comply with applicable provisions of Iowa’s open meetings law, Iowa Code chapter 21.

25.62(6) Records. Any records maintained by the board or on behalf of the board shall be made available to the public for examination in compliance with Iowa’s open records law, Iowa Code chapter 22. To the extent possible, prior to submitting applications, records and documents, applicants shall delete any confidential information. These records shall be maintained in the office of the division of mental health and developmental disabilities.

25.62(7) Conflict of interest. A board member cannot be a part of any presentation to the board of that board member’s county’s application for risk pool funds nor can the board member be a part of any action pertaining to that application.

25.62(8) Robert’s Rules of Order. In cases not covered by these rules, Robert’s Rules of Order shall govern.

25.63(1) Who may apply. A county may make an aggregate or individual application at any time on or before April 1 of any given year for the current fiscal year budget whenever the projected need exceeds the sum of 105 percent of the county’s current fiscal year budget amount and the county’s prior fiscal year accrual ending fund balance exceeds 25 percent of the prior fiscal year gross services fund expenditures.

The purpose of the mental health risk pool is to assist counties whose expenditures in the mental health, mental retardation, and developmental disabilities services fund exceed budgeted costs due to unanticipated expenses for new individuals or other unexpected factors. The mental health risk pool is not intended for multiyear usage or as a source of planned revenue.

25.63(2) How to apply. The county shall send Form 470–3723, Risk Pool Application, plus 15 copies, to the division. The division must receive the application no later than 4:30 p.m. on April 1 of each year; or, if April 1 is a holiday, a Saturday or Sunday, the division must receive the application no later than 4:30 p.m. on the first working day following. Facsimiles and electronic mail are not acceptable. The application shall be signed and dated by both the chairperson of the county board of supervisors and the central point of coordination administrator. Staff of the division shall notify each county of receipt of the county’s application.

The county shall attach the following forms to the application:

a. Form 634A, Revenues Detail.

b. Form 634B, Service Area Detail (pages 1 to 10).

c. Form 634C, Service Area 4 Supporting Detail (pages 1 to 8).

d. Form 638R, Statement of Revenues, Expenditures, and Changes in Fund Balance—Actual and Budget (2 pages).

e. If the budget has been amended, Form 653A–R, Record of Hearing and Determination on the Amendment to County Budget (sheet 2), for both the current fiscal year budget, as last amended, and the prior fiscal year gross services fund expenditures.

25.63(3) Request for additional information. Staff shall review all applications for completeness. If an application is not complete, staff of the division shall contact the county within four working days after April 1 or the first working day thereafter, if April 1 is a holiday, a Saturday or Sunday, and request the information needed to complete the application. The county shall submit the required information within five working days from the date of the division’s request for the additional information.

25.64(1) Notice of decision. The risk pool board shall notify the chair of the applying county’s board of supervisors of the board’s action. Copies shall be sent to the county auditor and the central point of coordination administrator.

25.64(2) Distribution of funds. The total amount of the risk pool shall be limited to the available pool for a fiscal year. If the total dollar amount of the approved applications exceeds the available pool, the board shall prorate the amount paid for an approved application. The funds will be prorated to each county based upon the proportion each approved county’s request is of the total amount of all approved requests.

25.65(1) Required repayment. Counties shall be required to repay risk pool funds in the following situations:

a. A loan was granted to the county because the county did not levy the maximum amount allowed for the county’s mental health, mental retardation, and developmental disabilities services fund under Iowa Code section 331.424A. The county shall be required to repay the risk pool loan funds in the succeeding fiscal year.

b. The county had levied the maximum amount allowed for the county’s mental health, mental retardation, and developmental disabilities services fund, but the county’s actual need for risk pool assistance was less than the amount of risk pool assistance granted to the county. The county shall refund the difference between the amount of assistance granted and the actual need.

25.65(2) Year–end report. Each county granted risk pool funds shall complete a year–end financial report. The division shall review the accrual information and notify the mental health risk pool board if any county that was granted assistance in the prior year received more than the county’s actual need based on the submitted financial report.

25.65(3) Notification to county. The chairperson of the mental health risk pool board shall notify each county by January 1 of each fiscal year of the amount to be reimbursed. The county shall reimburse the risk pool within 30 days of receipt of notification by the chairperson of the mental health risk pool board. If a county fails to reimburse the mental health risk pool, the board may request a revenue offset through the department of revenue and finance. Copies of the overpayment and request for reimbursement shall be sent to the county auditor and the central point of coordination administrator of the county.

441—25.66(426B) Appeals. The risk pool board may accept or reject an application for assistance from the risk pool fund in whole or in part. The decision of the board is final and is not appealable.

These rules are intended to implement Iowa Code section 426B.5, subsection 3.

[Filed Emergency 3/8/00, effective 3/8/00]

[Published 4/5/00]

EDITOR’S NOTE: For replacement pages for IAC, see IAC Supplement 4/5/00.

Pursuant to the authority of Iowa Code sections 234.6, 239B.4(4), and 249A.4, the Department of Human Services hereby amends Chapter 41, “Granting Assistance,” Chapter 65, “Administration,” and Chapter 75, “Conditions of Eligibility,” appearing in the Iowa Administrative Code.

The United States Department of Agriculture has notified the Department of Human Services that the Department has the option of exempting, for food stamp purposes, the earnings of persons who are temporarily employed by the Bureau of the Census during the period from April 1, 2000, through January 31, 2001. The United States Department of Agriculture is allowing this exemption at the request of the Bureau of the Census as an incentive for persons to take census employment. The Department of Human Services has decided to take this option and exempt census income for food stamp recipients.

The Department has made the decision to also exempt the census income for the Family Investment Program, the Family Medical Assistance Program, and for FMAP–related Medicaid programs to match food stamp policy.

These amendments do not provide for waiver in specified situations because federal food stamp law does not allow for any waivers and these amendments only provide additional benefits.

The Department of Human Services finds that notice and public participation are impracticable because there is not time to allow public comment and participation and have these amendments effective by April 1, 2000, when the census will begin. Therefore, these amendments are filed pursuant to Iowa Code section 17A.4(2).

The Department finds that these amendments confer a benefit on the clients involved as this income will not adversely affect their eligibility and benefits. Therefore, these amendments are filed pursuant to Iowa Code section 17A.5(2)“b”(2).

These amendments are also published herein under Notice of Intended Action as ARC 9750A to allow for public comment.

The Council on Human Services adopted these amendments March 8, 2000.

These amendments are intended to implement Iowa Code sections 234.12, 239B.2(2), 239B.7, and 249A.4.

These amendments became effective April 1, 2000.

The following amendments are adopted.

ITEM 1. Amend subrule 41.27(7) by adopting the following new paragraph “ak”:

ak. All census earnings received by temporary workers from the Bureau of the Census for Census 2000 during the period of April 1, 2000, through January 31, 2001.

ITEM 2. Amend subrule 65.29(3) as follows:

65.29(3) Exclusion of income from 1990 2000 census employment. Any compensation All earnings received from the United States Department of Commerce resulting from employment in the 1990 Decennial Census by temporary workers from the Bureau of the Census for Census 2000during the period of April 1, 2000, through January 31, 2001, shall be excluded from income.

ITEM 3. Amend subrule 75.57(7) by adopting the following new paragraph “ah”:

ah. All census earnings received by temporary workers from the Bureau of the Census for Census 2000 during the period of April 1, 2000, through January 31, 2001.

[Filed Emergency 3/8/00, effective 4/1/00]

[Published 4/5/00]

EDITOR’S NOTE: For replacement pages for IAC, see IAC Supplement 4/5/00.

Pursuant to the authority of Iowa Code subsection 455A.5(6), the Natural Resource Commission hereby amends Chapter 34, “Community Forestry Challenge Grant Program (CFCGP),” Iowa Administrative Code.

This amendment clarifies the rules for community tree planting grants and expands sources of funding.

In compliance with Iowa Code section 17A.4(2), the Commission finds that notice and public participation are impracticable because of the immediate need for changes in the rules to help clarify the grant program rules.

The Commission also finds, pursuant to Iowa Code section 17A.5(2)“b”(2), that the normal effective date of the amendment should be waived and this amendment should be made effective upon filing with the Administrative Rules Coordinator on March 17, 2000, as it confers a benefit upon communities and organizations by making it easier to apply for and utilize the community tree planting grants program.

The Natural Resource Commission adopted this amendment on March 9, 2000.

This amendment is also published herein under Notice of Intended Action as ARC 9770A to allow public comment.

This amendment is intended to implement Iowa Code sections 456A.20 and 461A.2.

This amendment became effective March 17, 2000.

The following amendment is adopted.

Amend 571—Chapter 34 as follows:

CHAPTER 34
COMMUNITY FORESTRY CHALLENGE
GRANT PROGRAM (CFCGP) (CFGP)

571—34.1(461A) Purpose. The purpose of this chapter is to define procedures for cost sharing between state and local public agencies or volunteer organizations to assist them in developing comprehensive community street and park tree programs or to establish a one–time demonstration community tree planting projects on public lands within that benefit the citizens of the state of Iowa.

“Administrator” means the administrator of the forestry division of the department, also known as the state forester.

“CFCGP” “CFGP” means the community forestry challenge grant program.

“Department” means the Iowa department of natural resources.

“Director” means the director of the Iowa department of natural resources.

“Division” means the forestry division of the Iowa department of natural resources.

“Iowa urban and community forestry council” means the group of professionals and volunteer leaders selected by the forestry division administrator to advise the division on urban and community forestry programs, also known as the council.

“Urban and community forestry” means the planning, planting and maintenance of trees in communities or public recreation areas.

571—34.3(461A) Availability of funds. Funds to institute the CFCGP CFGP program are may be derived through federal allocations pursuant to Section 9 of the Cooperative Forestry Assistance Act (16 U.S.C. 2105), from state legislative allocations and other sources.

571—34.4(461A) Eligibility of forestry developmentprojects. Forestry development grants (maximum $5,000) may include, but are not necessarily limited to, the following:

1. Hiring a new full– or part–time city forester.

2. Internships for forestry, horticulture or landscape architect to perform community forestry work.

3. Completing a 100 percent street and park tree inventory.

4. City tree ordinance development or revision.

5. City employee or volunteer community forestry training.

6. Development of community forestry master plans.

7. Community forestry youth and adult education programs.

8. City forestry planting site design development.

571—34.5(461A) Eligibility of demonstration community tree planting projects. A one–time cost–share grant (maximum $3,000 $5,000) is available per for a community orvolunteer organization for a demonstration landscape and conservation tree planting project projects. that may include, but is not necessarily limited to, the following:

4. Site developments around public trees.

571—34.6(461A) Projects not eligible. The following types of projects are not eligible for assistance from the CFCGP CFGP:

1. Acquisition of land.

2. Replacement of normally allocated local government funds.

3. Any type of development or planting that will not improve public enjoyment, access, benefits or safety.

4. Projects with a total grant request of less than $500.

5. Any project or project costs incurred prior to notification of the sponsoring agency by the forestry division administrator that a grant has been approved.

571—34.7(461A) Eligible applicants. Eligible projects may be submitted by regional or local units of Iowa state, county or city government, local governmental departments, school districts, volunteer organizations and service clubs involved with local urban and community forestry resources. Eligible projects must occur within the state of Iowa.

571—34.8(461A) Establishing project priorities. The forestry division administrator shall appoint a three member challenge grant committee minimum three–member ranking committee representing a cross section of the Iowa urban and community forestry council for the purpose of reviewing, establishing priorities for cost sharing and ranking applications for approval by the administrator. This committee will review and rank all proposals received on a competitive basis for: demonstrated need, cash match, community involvement, new project, cost effectiveness, meeting Tree City USA requirements, and having a completed community tree assessment or inventory storm damage documentation and other issues pertinent to urban forestry in Iowa.

571—34.9(461A) Application procedures. Announcements concerning the application procedures will be issued by the administrator each year. A maximum four–page six–page proposal must be received by the Forestry Division Administrator, Wallace State Office Building, Des Moines, Iowa 50319–0034, no later than 4:30 p.m. on the last working day identified in the announcement. The proposal should briefly describe the eligible applicant, and detail project request, total budget, source of match and completion date. For demonstration community tree planting projects, an 8” ? 11” site map must be included in addition to the proposal.

This proposal must be signed by an authorized official of state, regional or local government under whose jurisdiction the project will occur, indicating that the project funds will be spent in accordance with the proposal and all applicable federal and state laws, rules and regulations. The applicant must sign a statement relinquishing the department or the Iowa urban and community forestry council from any liability associated with this project.

571—34.10(461A) Requirements for funding. In order to qualify for funding, state, regional or local units of government, school districts, volunteer organizations and service clubs must comply with the following requirements:

34.10(1) The project(s) must be on public land within the state of Iowa (for example, streets, boulevards, parks, schools, cemeteries).

34.10(2) A 50–50 $1 for $1 minimum match of requested funds is required.

34.10(3) In–kind contributions are allowed for the forestry development projects only if specific for the proposed project. Tree planting projects require cash match $1 for $1 only. The entire 50 percent match may be in kind contributions. These All in–kind costs for the forestry development projects must be documented. Allowable in–kind costs include, but are not limited to, the following:

a. Volunteer labor (reasonable local rates).

b. Value of locally purchased or donated trees to be planted on public areas.

c. Value of wood mulch and other tree protective devices (reasonable local rates).

34.10(4) Only plant materials, products and services purchased from Iowa firms are eligible for demonstration tree planting projects. Shrubs and nonwoody plants are eligible if in combination with trees.

34.11(1) A cooperative agreement approved by the administrator between the department and the local grant recipient describing the work to be accomplished and specifying the amount of the grant and the project completion date will be negotiated as soon as possible after a grant has been approved. Maximum time period for project completion shall be 18 months stated in the grant announcement, unless an extension approved by the administrator is authorized.

34.11(2) Cooperative agreements between the department and the local project grant recipient may be amended to increase or decrease project scope or to increase or decrease project costs and fund assistance. Any increase in fund assistance will be subject to the availability of federal funds. Amendments to increase scope or fund assistance must be approved by the administrator before work is commenced or additional costs are incurred.

571—34.12(461A) Reimbursement procedures. Financial assistance from the community forestry challenge grant program will be in the form of reimbursement grants which will be made on the basis of the approved percentage of all eligible expenditures up to the amount of the approved grant.

Reimbursement requests must be submitted by the grant recipient on project billing forms provided by the department at the completion of the project.

For forestry development projects and demonstration community tree planting projects, grant recipients shall provide documentation as required by the department to substantiate all project expenditures.

These rules are intended to implement Iowa Code section 461A.2.

[Filed Emergency 3/17/00, effective 3/17/00]

[Published 4/5/00]

EDITOR’S NOTE: For replacement pages for IAC, see IAC Supplement 4/5/00.

Pursuant to the authority of Iowa Code section 217.6, the Department of Human Services hereby amends Chapter 53, “Rent Subsidy Program,” appearing in the Iowa Administrative Code.

The Council on Human Services adopted these amendments March 8, 2000. Notice of Intended Action regarding these amendments was published in the Iowa Administrative Bulletin on January 26, 2000, as ARC 9612A.

The rent subsidy program is designed to provide rentalassistance to persons who participate in a home– andcommunity–based service (HCBS) waiver program and who were discharged from a medical institution in which they have resided, at risk of institutional placement, or able to leave a medical institution by use of services provided under an HCBS waiver upon turning 18 years of age during the last year of their institutional stay.

An eligible person may receive assistance in meeting rental expense and, in the initial two months of eligibility, in purchasing necessary household furnishings and supplies.

These amendments revise policy governing the rent subsidy program as follows:

• The basis of the maximum rental assistance payment is increased from 100 percent to 110 percent of the maximum prevailing fair market rent under guidelines of the applicable United States Department of Housing and Urban Development (HUD) low–rent housing program in the area where the person’s residence is located, less 30 percent of the gross income of the individual consumer.

The Department of Housing and Urban Development (HUD) published interim regulations in the May 14, 1999, Federal Register at 24 CFR 982.503(b) and final regulations in the October 21, 1999, Federal Register allowing public housing authorities to establish the payment standard amount for a unit size at any level between 90 percent and 110 percent of the published Fair Market Rental for that unit size. The Department has decided to use the maximum guideline established by HUD to establish the amount of the rental assistance.

This change will, in most cases, result in increased monthly payments to participants. This increase is the same as would be experienced by participants in the federal rental assistance program, and makes the Department’s program consistent with the federal program payment structure.

• Time–limited policy regarding eligibility criteria that is no longer in effect is deleted.

• The reference to one–bedroom homes is clarified.

• Statutory references are updated.

These amendments do not provide for waivers in specified situations because they only provide additional benefits, delete an outdated provision, clarify language, and update statutory references.

These amendments are identical to those published under Notice of Intended Action.

These amendments are intended to implement Iowa Code section 217.6 and 1999 Iowa Acts, chapter 203, section 11, subsection 3.

These amendments shall become effective June 1, 2000.

The following amendments are adopted.

ITEM 1. Amend the parenthetical implementation following each rule in 441—Chapter 53 as follows:

(77GA,ch1218 78GA,ch203)

ITEM 2. Amend subrule 53.2(2) as follows:

53.2(2) Discharged from a medical institution. Except as provided in subrules 53.2(4) and 53.2(5), the person shall have been discharged from a medical institution on or after July 1, 1995, and immediately prior to receiving HCBS services. For a period of 60 days after April 1, 1999, persons who were discharged from a medical institution immediately prior to entering an HCBS program between July 1, 1995, and June 30, 1996, shall receive first consideration for eligibility and participation in this program if they demonstrate a need for rental assistance. These persons shall not replace anyone who is actively participating in this program at the time of their application. During this 60–day period, applications may be submitted by anyone, although first consideration will be given to the persons described above, whose applications will be acted upon in the order they are received. At the end of the 60–day period, all applications received during that time from persons not described above shall be considered in the chronological order that they were received and, if applicable, participation in the program shall be approved retroactive to the date that would have been allowed had an application been processed immediately on receipt.

ITEM 3. Amend subrule 53.3(2) as follows:

53.3(2) Date of application. The date of the application shall be the date the application, including written verification of income and written verification of application to other rental assistance programs, is received by the division of mental health and developmental disabilities. Applications received through June 30, 1999, on behalf of persons who would have met all of the qualifying criteria between July 1, 1998, and their date of application will be assessed for payment consideration retroactive to July 1, 1998, or the date between July 1, 1998, and the date of application on which the applicant would have met all eligibility criteria.

ITEM 4. Amend subrule 53.4(2) as follows:

53.4(2) Maximum monthly payment for rent. Assistance for rent shall be equal to the rent paid, not to exceed 110 percent of the maximum prevailing fair market rent under guidelines of the applicable United States Department of Housing and Urban Development (HUD) low–rent housing program in the area where the person’s residence is located, less 30 percent of the gross income of the individual consumer. The fair market rent used shall be that for a one–bedroom home or a proportionate share of rental costs in living units containing more than one bedroom.

ITEM 5. Amend 441—Chapter 53, implementation clause, as follows:

These rules are intended to implement Iowa Code section 217.6 and 1998 1999 Iowa Acts, chapter 1218 203, section 11, subsection 3.

[Filed 3/8/00, effective 6/1/00]

[Published 4/5/00]

EDITOR’S NOTE: For replacement pages for IAC, see IAC Supplement 4/5/00.

Pursuant to the authority of Iowa Code section 234.6, the Department of Human Services hereby amends Chapter 114, “Licensing and Regulation of All Group Living Foster Care Facilities for Children,” and Chapter 185, “Rehabilitative Treatment Services,” appearing in the Iowa Administrative Code.

The Council on Human Services adopted these amendments March 8, 2000. Notice of Intended Action regarding these amendments was published in the Iowa Administrative Bulletin on January 26, 2000, as ARC 9614A.

These amendments revise the placement criteria in Chapter 185 for children to be served in a highly structured residential facility and establish criteria for readmission to the program. An exception process is also added for children who do not meet the placement criteria. The definition of “highly structured juvenile program” in Chapter 114 is revised to remove duplicative policy.

Highly structured juvenile programs, more commonly known as boot camps, are programs lasting 90 days, which have a high degree of structure that stresses discipline, physical activity, and education.

Current policy requires that young men admitted to highly structured group foster care be 15 to 17 years old; be adjudicated delinquent on a charge that is at least an aggravated misdemeanor, but is not a forcible felony; be unable to live in a family situation due to severe social, emotional, and behavioral disabilities; and not be entering the program within 60 days of another residential placement.

Young men who do not meet these criteria enter the program by a Director’s exception to policy as set forth at rule 441—1.8(217). There has been a substantial volume of admission by exceptions, particularly for boys who have been adjudicated delinquent for crimes less serious than aggravated misdemeanors.

These amendments maintain the age criteria. A requirement that the adjudicated crime be at least a serious misdemeanor has been substituted for the current requirement of an aggravated misdemeanor. In addition, the prohibition against entering the program within 60 days of another residential placement has been deleted and a requirement is added that youth not be able to benefit from further community–based services at the time of placement, but be able to successfully return to the community following intensive short–term residential treatment.

These amendments also change the process by which exceptions are granted. Young men who meet the criteria for admission will be deemed part of the target population for admission. Candidates for admission who are not part of the target population may be admitted with the approval of a Department regional administrator or designee. A regional administrator or designee may delegate this authority to the chief juvenile court officers or designees. The Department and juvenile court services will be required to keep data on the children placed who lack one or more of the target population characteristics.

The proposed target populations better identify the categories of young men most likely to benefit from the rigor and structure of these programs. The new process for exceptions to policy will have two benefits: it will translate into policy current best practice in providing this type of residential program to those most likely to benefit from it, and it will save caseworker time in processing exceptions.

The Department has also had several requests for exceptions to policy to allow readmission to the programs. These amendments provide that program participants may be readmitted to the program for an additional 30, 60, or 90 days. A readmission shall be decided upon and processed in the same manner as the original admission, using the same criteria. A readmission should be a rare occurrence, used only when troublesome behaviors, diagnoses or problems arise late in the original placement, and more time in the program will benefit the child.

The Department and juvenile court services are required to keep data on the children placed who lack one or more of the target population characteristics and on the children who are readmitted to a program.

These amendments do provide a process for waiver of the highly structured juvenile program admission criteria by Department regional administrators or their designees or, if so delegated, by chief juvenile court officers or their designees. Individuals may request a waiver of other criteria under the Department’s general rule on exceptions at rule 441— 1.8(217).

These amendments are identical to those published under Notice of Intended Action.

These amendments are intended to implement Iowa Code sections 234.38 and 237.3.

These amendments shall become effective June 1, 2000.

The following amendments are adopted.

ITEM 1. Amend rule 441—114.2(237), definition of “highly structured juvenile program,” as follows:

“Highly structured juvenile program” means a short–term treatment program for adjudicated delinquent youth, aged 15 to 17, who are unable to live in a family situation due to severe social, emotional and behavioral disabilities, who have not experienced a residential placement in the last 60 days, have a prior adjudication of delinquency, have committed a public offense that is an aggravated misdemeanor or above, and have not committed a forcible felony. These programs have lasting 90 days and having a high degree of structure that stresses discipline, physical activity, and education, and are short–term placements with a length of stay of 90 days. Program participants are assembled in cohorts (groups of youth adjudicated delinquent as to the criteria listed above) which are managed by the juvenile court. Each cohort is a number that is one–third of the program, with a cohort scheduled to finish the 90–day program every 30 days. Discharge planning must be started within the first 30 calendar days of placement. Specialized behavior management techniques are used several times per day. In addition, youth receiving the highly structured juvenile program shall require and receive treatment several times daily to enhance their social skills. In addition to the intensive programming and structure, the youth are provided 24–hour awake supervision.

These programs must be licensed as either community residential facilities under this chapter or as comprehensive residential facilities under 441—Chapter 115 and certifiedto provide rehabilitative treatment services under 441— Chapter 185. Programs shall have the ability to use a physically secure setting dependent upon the level of the license.

ITEM 2. Amend subrule 185.83(4) as follows:

185.83(4) Highly structured juvenile program. A highly structured juvenile program provides treatment in a facility licensed under 441—Chapter 114 or 115 for adjudicated delinquent youth from the ages of 15 to 17 years who are unable to live in a family situation due to severe social, emotional and behavioral disabilities and who have not experienced a residential placement in the last 60 days must meet the following requirements for licensing, admissions, readmission and discharge, and program and services. The youth require a high degree of supervision, and a structure that stresses discipline, physical activity, education, and social skill development due to their aggressive behavior which includes a prior adjudication of delinquency and commitment of a public offense that is an aggravated misdemeanor or above, but not a forcible felony.

(1) Are aged 15, 16, or 17.

(2) Have been adjudicated delinquent for a public offense that is a serious misdemeanor or above, but is not a forcible felony.

(3) Are not able to benefit further from community–based services at the time of placement, but would be able to successfully return to the community following intensive short–term residential treatment.

d. Program and services. This program is a short–term treatment program with a length of stay of 90 days. Program participants are assembled in cohorts (groups of youth adjudicated delinquent as to the criteria listed above that advance through the program together) which are managed by the juvenile court. Each cohort is a number that is one–third of the program, with a cohort scheduled to finish the 90–day program in 30 days. Discharge planning must be started within the first 30 calendar days of placement.

a. (1) Youth in the highly structured juvenile program shall receive the following services: restorative living skills development as needed and social skills development several times per day.

(2) One hour of therapy and counseling services shall be provided every week to each youth.

b. (3) The prime programming time hours and staff–to–client ratio shall meet the treatment and supervision needs of the youth served as specified in 185.10(8)“c”(4).

c. (4) The payment for the daily rate shall be calculated based on a 30–day month. If, however, the department is able to provide payment based on the actual number of days in a month, rates shall be adjusted accordingly.

d. (5) The unit of service for highly structured juvenile residential treatment shall be one day.

e. (6) Services shall be provided on a face–to–face basis with the child.

f. (7) Duration shall not exceed three calendar months.

[Filed 3/8/00, effective 6/1/00]

[Published 4/5/00]

EDITOR’S NOTE: For replacement pages for IAC, see IAC Supplement 4/5/00.

Pursuant to the authority of Iowa Code section 234.6, the Department of Human Services hereby amends Chapter 152, “Contracting,” appearing in the Iowa Administrative Code.

The Council on Human Services adopted these amendments March 8, 2000. Notice of Intended Action regarding these amendments was published in the Iowa Administrative Bulletin on January 26, 2000, as ARC 9615A.

These amendments allow the effective date of a rehabilitative treatment and supportive services contract to be theday following the final signing by the Department Director or designee unless a later effective date is agreed upon by the provider and the Department. Current policy requires the contract to be effective the first day of the month following signature.

The Department is seeking to shorten time frames for approving contracts in order to facilitate access to services. This change may reduce the time from final signature of a contract by the Director to the effective date by up to 30 days.

These amendments do not provide for waivers in specified situations because providers may request a waiver of the contract effective date under the Department’s general rule on exceptions at rule 441—1.8(217).

These amendments are identical to those published under Notice of Intended Action.

These amendments are intended to implement Iowa Code section 234.6.

These amendments shall become effective June 1, 2000.

The following amendments are adopted.

ITEM 1. Amend rule 441—152.8(234) as follows:

441—152.8(234) Term of contract. The term of the contract shall be for not more than two years, effective the first day of the month following the signature of the director of the department or the director’s designee, unless the provider and department agree to a later specified date.

ITEM 2. Amend subrule 152.22(6) as follows:

152.22(6) Contract effective date. When the agreed–upon contract conditions have been met, the effective date of the a new contract, a renewed contract or an amendment to add a new service code to the contract is the first day of an agreed–upon month following signature of the director of the department or the director’s designee, unless the provider and the department agree to a later specified date. A contract can only be effective if signed by all parties as required in subrule 152.22(4).

[Filed 3/8/00, effective 6/1/00]

[Published 4/5/00]

EDITOR’S NOTE: For replacement pages for IAC, see IAC Supplement 4/5/00.

Pursuant to the authority of Iowa Code sections 17A.3 and 147.76, the Board of Nursing hereby adopts amendments to Chapter 2, “Nursing Education Programs,” Iowa Administrative Code.

These amendments establish a performance standard for graduates of board–approved programs on the national licensure examination (NCLEX) for registered nurses and licensed practical nurses.

These amendments were published in the Iowa Administrative Bulletin on January 12, 2000, as ARC 9607A. These amendments are identical to those published under Notice.

These amendments will become effective May 10, 2000.

These amendments are intended to implement Iowa Code section 152.5.

The following amendments are adopted.

ITEM 1. Amend rule 655—2.1(152) by adopting the following new definition in alphabetical order:

NCLEX. NCLEX means National Council Licensure Examination, the currently used examination.

ITEM 2. Adopt the following new rule 655—2.10(152) and renumber rule 655—2.10(152) as 655—2.11(152):

655—2.10(152) Results of graduates who take the licensure examination for the first time. The program shall notify the board when the program or district national licensure examination passing percentage is lower than 95 percent of the national passing percentage for two consecutive calendar years. The NCLEX passing percentage shall be based on all first–time applicants for RN or LPN licensure in any jurisdiction who take the examination within six months of graduation. Upon notification by the program, the board shall implement the following process:

1. The program shall submit to the board within six months an institutional plan for assessment and improvement of NCLEX results, including outcomes and time lines. The plan shall address administration, faculty, students, curriculum, resources, policies and the nursing advisory committee.

2. The program shall submit annual progress reports to the board while the NCLEX passing percentage remains below 95 percent of the national passing percentage.

3. The board may initiate provisional program approval as specified in subrule 2.2(3) if the program or district NCLEX average does not equal or exceed 95 percent of the national passing percentage within two calendar years.

[Filed 3/16/00, effective 5/10/00]

[Published 4/5/00]

EDITOR’S NOTE: For replacement pages for IAC, see IAC Supplement 4/5/00.

Pursuant to the authority of Iowa Code section 136C.3, the Department of Public Health adopts amendments to Chapter 38, “General Provisions”; Chapter 39, “Registration of Radiation Machine Facilities, Licensure of Radioactive Materials and Transportation of Radioactive Materials”; Chapter 40, “Standards for Protection Against Radiation”; Chapter 41, “Safety Requirements for the Use of Radiation Machines and Certain Uses of Radioactive Materials”; Chapter 42, “Minimum Certification Standards for Diagnostic Radiographers, Nuclear Medicine Technologists, and Radiation Therapists”; Chapter 45, “Radiation Safety Requirements for Industrial Radiographic Operations”; and Chapter 46, “Minimum Requirements for Tanning Facilities,” Iowa Administrative Code.

The following itemizes the adopted amendments.

Item 1 changes the title of Chapter 38 to clarify that these general provisions apply to radiation machines and radioactive materials.

Items 2, 9, 24, 37, and 103 amend the rules to reflect current federal codes.

Items 3, 25, 39, 40, 56, 64, and 65 move definitions from Chapters 39 to 45 to Chapter 38 because they apply to and are used in more than one chapter. Some of the definitions are amended or new definitions are adopted because of agreements with the Nuclear Regulatory Commission (NRC) and Food and Drug Administration (FDA) that require that the agency adopt certain language.

Items 4, 38, 50, 55, 63, 75, and 100 apply language that will allow the rules to apply to all chapters for which the agency is responsible.

Item 5 adds fees for food sterilization and bone densitometry which are new categories. Bone densitometry was previously included in Category 1 of the annual fee schedule. The fee for food sterilization is based on the time required to review the approval requests and oversee testing. After the Administrative Rules Review Committee review, there was a question regarding the fee increase for food sterilization from $80 to $1000. The increase is necessary to recover costs based on the time spent on review for the first food sterilization unit. The approval process staff time increased considerably because of the increased potential impact on public health and safety. The fee will only impact four to six new facilities.

Item 6 increases examination fees to allow the Bureau of Radiological Health to recover the cost of administering the examination.

Item 7 ties certification fees to Chapter 42 only.

Items 8, 14, 15, 16, 17, 18, 19, 21, 22, 23, 27, 28, 29, 30, 31, 32, 33, 34, 35, 36, 51, 52, 53, 58, 59, 79, 80, 81, 82, 83, 84, 85, 86, 87, 88, 89, 90, 91, 92, 94, 95, 96, 97, 101, and 102 are amended or adopted because of an agreement with the NRC that requires that the Bureau adopt certain language.

Item 10 requires a permanent location with a non–wireless telephone for persons in order to obtain a registration or license. The term “non–wireless” is from federal language. This will allow the department to distinguish between in–state and out–of–state businesses in order to determine regular versus reciprocity fees.

Item 11 changes the registration of facilities that are required to register with the agency from personnel dosimetry services to processor services. Personnel dosimetry services are already regulated by the federal government but processor services are not. Many of the problems with poor quality X–ray films are the result of processors.

Items 12 and 20 change the number of days to match other references allowing three working days.

Item 13 corrects references and deletes a procedure that has not been used for several years.

Items 26, 41, 54, 55, and 98 correct language or references.

Items 42 and 43 have portions stricken because the manufacturers provide the information required.

Items 44 and 46 are for clarification.

Item 45 places a portion of the law into the rules to allow easier enforcement.

Items 48, 49, 60, 61, 62, and 76 revise language to match what is accepted nationally and published by the Conference of Radiation Control Program Directors, Inc. (CRCPD) and on which the Bureau’s X–ray compliance program is based.

Items 66, 67, 68, 69, 70, 71, 72, 73, and 74 are adopted or amended because of an agreement with the FDA that requires the Department to adopt certain language.

Item 77 adds grounds for discipline to the operator certification rules when an operator performs exposures that the operator is not trained or authorized to perform. This is important in preventing unnecessary patient exposure and misdiagnosis.

Item 78 corrects the name of the national accrediting body.

In Item 99, a subrule is rescinded because the information required is included on the application form.

Item 104 adds language that was omitted when the rules were amended in 1998; it is important that the warnings are read by the customer annually in order to remind the customer about the possible hazards of tanning.

These amendments have been reviewed based on the principles set forth in Executive Order Number 9. Many changes could not be made because of the federal compatibility requests.

These rules are subject to waiver pursuant to the Department’s exemption provision contained at 641-38.3(136C). For this reason, the Department has not provided a specific provision for waiver of these particular rules.

Notice of Intended Action was published in the Iowa Administrative Bulletin on January 26, 2000, as ARC 9629A.

A public hearing was held on February 29, 2000, at 8:30 a.m., Conference Room, Fifth Floor South, Side 1, Lucas State Office Building, Des Moines, Iowa 50319. There were no persons in attendance. Six sets of written comments were received, reviewed, considered and incorporated as appropriate. The changes made from the Notice of Intended Action are listed below:

In Item 3, the words “routine or accidental releases of” were added to the third sentence in the definition of “residual radioactivity” because of an NRC compatibility request.

In Item 42, the first sentence of 41.1(3)“f”(1)“2” was stricken based on public comment that time–temperatures in the current rule were not representative of current manufacturer recommendations.

In Item 46, the catchwords of 41.1(6) were changed to indicate that veterinary is excluded. This change was based on comments from the State Veterinarian’s Office.

In Item 57, the words “or its intensity profile” were added to the definition of “filter” as suggested by public comment.

In Item 65, the FDA requested that definitions be added that were identical to the wording in the federal code.

In Item 66, paragraph 41.6(2)“a” was amended by adding catchwords and subparagraph (2). In 41.6(2)“b”(8), the phrase “authorization process” was changed to “accreditation process” because the two processes are different. These changes are to match wording from original federal language.

In Item 68, the words “general radiographer” were deleted and “radiologic technologist” inserted. In Items 67, 68, 70, and 72, the word “supplier” was deleted and “facility” inserted. In Items 66 and 70, the words “radiation physicist” were changed to “medical physicist.” This was an FDA request for uniformity.

In Item 68, the FDA requested that the previous wording in existing subrule 41.6(3) be rescinded and wording identical to that in the federal code be adopted in new subrule 41.6(3).

In Item 69, 41.6(4)“b”(7) was renumbered as (8) and the wording was changed to clarify that a distinct section is required. The other subparagraphs were reorganized for ease in reading. The phrase “a timely manner” was changed to designate a more specific time frame.

In Item 72, on request from the FDA, wording in 41.6(5)“k”(1), introductory paragraph, was changed from “examinations are performed” to “clinical films are processed.” In 41.6(5)“k”(1)“1,” the phrase “or minus” was deleted. In 41.6(5)“k”(4)“3,” the phrase “47 pounds (209 newtons)” was changed to “45 pounds (200 newtons).” In 41.6(5)“k”(5)“7,” the first bulleted paragraph was amended and the second bulleted paragraph was not adopted. In 41.6(5)“k”(8)“1,” another reference was added at the end of the paragraph. These changes were made to correct errors from original federal language. Subparagraph 41.6(5)“k”(7), mobile units, was not adopted. Subsequent subparagraphs were renumbered.

In Item 73, catchwords were added to paragraphs “a” to “t” in subrule 41.6(6) for ease in reading. In 41.6(6)“l”(5), the last sentence was deleted to match federal language.

In Item 74, Appendix I has been rescinded. References are included in the body of the rules and, therefore, this appendix is not needed.

In Item 93, the symbol “©” after “8.9.2” was corrected to read “(c)” because of an NRC compatibility request.

These amendments will become effective May 10, 2000.

These amendments are intended to implement Iowa Code chapter 136C.

The following amendments are adopted.

ITEM 1. Amend the title of 641-Chapter 38 as follows:

CHAPTER 38
GENERAL PROVISIONS FOR RADIATION MACHINES AND RADIOACTIVE MATERIALS

ITEM 2. Amend subrule 38.1(2) as follows:

38.1(2) All references to Code of Federal Regulations (CFR) in this chapter are those in effect as of July 1, 1999 May 10, 2000.

ITEM 3. Amend rule 641—38.2(136C) as follows:

Amend the following definitions:

“Background radiation” means radiation from cosmic sources,; naturally occurring radioactive materials, including radon, (except as a decay product of source or special nuclear material,); and including global fallout as it exists in the environment from the testing of nuclear explosive devices or from past nuclear accidents such as Chernobyl that contribute to background radiation and are not under the control of the licensee. “Background radiation” does not include sources of radiation from radioactive materials regulated by the agency.

“Beam monitoring system” means a system designed and installed in the radiation head to detect and measure the radiation present in the useful beam.

“High radiation area” means an area, accessible to individuals, in which radiation levels from radiation sources external to the body could result in an individual’s receiving a dose equivalent in excess of 1 mSv (0.1 rem) in 1 hour at 30 centimeters from any source of radiation or 30 centimeters from any surface that the radiation penetrates.

“Interlock” means a device arranged or connected such that the occurrence of an event or condition is required before a second event or condition can occur or continue to occur preventing the start or continued operation of equipment unless certain predetermined conditions prevail.

“Irradiation” means the exposure of a living being or matter to ionizing radiation.

“Misadministration” means the administration of:

1. to 3. No change.

4. Radiation doses received from teletherapy, linear accelerator therapy, deep X–ray machine therapy or superficial therapy; involving the wrong patient or human research subject, wrong mode of treatment or wrong treatment site;

When the treatment consists of three or fewer fractions or and the calculated total administered dose differs from the total prescribed dose by more than 10 percent of the total prescribed dose;

When the calculated weekly administered dose is 30 percent greater than the weekly prescribed dose; or

When the calculated total administered dose differs from the total prescribed dose by more than 20 percent of the total prescribed dose.

5. and 6. No change.

“Occupational dose” means the dose received by an individual in the course of employment in which the individual’s assigned duties involve exposure to radiation from licensed or unlicensed and registered or unregistered sources of radiation, whether in the possession of the licensee, registrant, or other person. Occupational dose does not include dose received from background radiation, as a patient from medical practices, from any medical administration the individual has received, from exposure to individuals administered sources of radiation and released in accordance with 41.2(27), from voluntary participation in medical research programs, or as a member of the public.

“Public dose” means the dose received by a member of the public from exposure to sources of radiation possessed by a licensee, registrant, or other person, or to any other source of radiation under the control of a licensee, registrant, or other person. It does not include occupational dose or doses received from background radiation, as a patient from medical practices, from any medical administration the individual has received, from exposure to individuals administered sources of radiation and released in accordance with 41.2(27) or from voluntary participation in medical research programs.

Adopt the following new definitions in alphabetical order:

“Barrier” (see “Protective barrier”).

“Beam axis” means the axis of rotation of the beam–limiting device.

“Beam–limiting device” means a field defining collimator, integral to the system, which provides a means to restrict the dimensions of the X–ray field or useful beam.

“Bone densitometry unit” means a medical device which uses electronically produced ionizing radiation to determine the density of bone structures of human patients.

“Critical group” means the group of individuals reasonably expected to receive the greatest exposure to residual radioactivity for any applicable set of circumstances.

“Decommission” means to remove a facility or site safely from service and reduce residual radioactivity to a level that permits:

1. Release of the property for unrestricted use and termination of the license; or

2. Release of the property under restricted conditions and termination of the license.

“Detector” (see “Radiation detector”).

“Distinguishable from background” means that the detectable concentration of a radionuclide is statistically different from the background concentration of that radionuclide in the vicinity of the site or, in the case of structures, in similar materials using adequate measurement technology, survey, and statistical techniques.

“Kilovolt (kV)(kilo electron volt (keV))” means the energy equal to that acquired by a particle with one electron charge in passing through a potential difference of 1000 volts in a vacuum.

“Lead equivalent” means the thickness of lead affording the same attenuation, under specified conditions, as the material in question.

“Leakage radiation” means radiation emanating from the diagnostic or therapeutic source assembly except for:

1. The useful beam, and

2. Radiation produced when the exposure switch or timer is not activated.

“Lens dose equivalent (LDE)” applies to the external exposure of the lens of the eye and is taken as the dose equivalent at a tissue depth of 0.3 centimeter (300 mg/cm²).

“Light field” means that area of the intersection of the light beam from the beam–limiting device and one of the set of planes parallel to and including the plane of the image receptor, whose perimeter is the locus of points at which the illumination is one–fourth of the maximum in the intersection.

“mA” means milliampere.

“Mammogram” means an image produced through radiography of the breast.

“Mammography” means radiography of the breast.

“Mammography unit” means an assemblage of components for the production of X–rays for use during mammography, including, at a minimum: an X–ray generator, an X–ray control, a tube housing assembly, a beam–limiting device, and the supporting structures for these components.

“Primary protective barrier” (see “Protective barrier”).

“Protective barrier” means a barrier used to reduce radiation exposure. The types of protective barriers are as follows:

1. “Primary protective barrier” means the material, excluding filters, placed in the useful beam, for protection purposes, to reduce the radiation exposure.

2. “Secondary protective barrier” means a barrier sufficient to attenuate the stray radiation to the required degree.

“Radiation detector” means a device which, in the presence of radiation, provides a signal or other indication suitable for use in measuring one or more quantities of incident radiation.

“Radiographic imaging system” means any system whereby a permanent or semipermanent image is recorded on an image receptor by the action of ionizing radiation.

“Residual radioactivity” means radioactivity in structures, materials, soils, groundwater, and other media at a site resulting from activities under the licensee’s control. This includes radioactivity from all licensed and unlicensed sources used by the licensee, but excludes background radiation. It also includes radioactive materials remaining at the site as a result of routine or accidental releases of radioactive material at the site and previous burials at the site, even if those burials were made in accordance with the provisions of 641-Chapter 40 or any previous state or federal licenses, rules or regulations.

“Secondary dose monitoring system” means a system which will terminate irradiation in the event of failure of the primary dose monitoring system.

“Secondary protective barrier” (see “Protective barrier”).

“Shutter” means a device attached to the tube housing assembly which can intercept the entire cross–sectional area of the useful beam and which has a lead equivalency not less than that of the tube housing assembly.

“Simulator (radiation therapy simulation system)” means any X–ray system intended for localizing the volume to be exposed during radiation therapy and reproducing the position and size of the therapeutic irradiation field.

“SSD” means the distance between the source and the skin entrance plane of the patient (see “Target–to–skin distance (TSD)”).

“Stray radiation” means the sum of leakage and scattered radiation.

“Target–to–skin distance (TSD)” means the distance measured along the beam axis from the center of the front surface of the X–ray target or electron scattering foil to the surface of the irradiated object or patient.

“Termination of irradiation” means the stopping of irradiation in a fashion which will not permit continuance of irradiation without the resetting of operating conditions at the control panel.

“Tube housing assembly” means the tube housing with tube installed. It includes high–voltage or filament transformers, or both, and other appropriate elements when such are contained within the tube housing.

“Very high radiation area” means an area, accessible to individuals, in which radiation levels from radiation sources external to the body could result in an individual’s receiving an absorbed dose in excess of 500 rad (5 Gy) in 1 hour at1 meter from a source of radiation or 1 meter from any surface that the radiation penetrates.

Rescind the following definition:

ITEM 4. Amend subrule 38.3(1) as follows:

38.3(1) General provision. The agency may, upon application therefor or upon its own initiative, grant such exemptions or exceptions from the requirements of these rules the rules in 641-Chapters 38 to 46 as it determines are authorized by law and will not result in undue hazard to public health and safety or property. Application for exemptionsor exceptions should be made in accordance with 641- Chapter 178.

ITEM 5. Amend subrule 38.8(1), paragraph “a,” as follows:

a. Each registrant shall, at the time of registration and the anniversary date thereafter, as long as the registrant owns the radiation machine, remit to the agency a fee sufficient to defray the cost of registering the equipment with the department. All fees shall be paid annually in the form of a check or money order made payable to the Iowa Department of Public Health. The fees to be paid shall be in the amount computed by the following schedule:

Fees for radiation machines not listed in the above schedule shall not be less than $50 per unit/tube.

ITEM 6. Amend subrule 38.8(3), paragraph “a,” as follows:

a. A nonrefundable fee of $100 $125 shall be submitted with each application for taking an industrial radiography examination to become certified by the agency.

ITEM 7. Amend subrule 38.8(6), introductory paragraph, as follows:

38.8(6) Certification fees. Diagnostic radiographers, radiation therapists, and nuclear medicine technologists (as defined in 641-Chapter 42), other than licensed practitioners of the healing arts, are required to pay fees sufficient to defray the cost of administering 641—Chapter 42. Fees are as follows:

ITEM 8. Adopt new rule 641—38.10(136C) as follows:

38.10(1) Any licensee, registrant, applicant for a license or certificate of registration, employee of a licensee, registrant or applicant; or any contractor (including a supplier or consultant), subcontractor, employee of a contractor or subcontractor of any licensee or registrant or applicant for a license or certificate of registration, who knowingly provides to any licensee, applicant, registrant, contractor, or subcontractor any components, equipment, materials, or other goods or services that relate to a licensee’s, registrant’s or applicant’s activities in this rule, may not:

a. Engage in deliberate misconduct that causes or would have caused, if not detected, a licensee, registrant, or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation of any license or registration issued by the agency; or

b. Deliberately submit to the agency, a licensee, registrant, applicant, or a licensee’s, registrant’s, or applicant’s contractor or subcontractor, information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the agency.

38.10(2) A person who violates paragraph 38.10(1)“a” or “b” may be subject to enforcement action in accordance with the procedures in 641—38.9(136C).

38.10(3) For the purposes of paragraph 38.10(1)“a,” deliberate misconduct by a person means an intentional act or omission that the person knows:

a. Would cause a licensee, registrant, or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation of any license issued by the agency; or

b. Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a licensee, registrant, applicant, contractor, or subcontractor.

ITEM 9. Amend subrule 39.1(3) as follows:

39.1(3) All references to any Code of Federal Regulations (CFR) in this chapter are those in effect as of July 1, 1999 May 10, 2000.

ITEM 10. Amend subrule 39.3(2), paragraph “a,” as follows:

a. Apply for registration of such facility with the agency prior to the operation of a radiation machine facility. In order to register equipment, the person must have a permanent office located in Iowa that has a non–wireless telephone, employee and equipment, and storage for records regarding the equipment and operator certification. Application for registration shall be completed on forms furnished by the agency and shall include the appropriate fee from 641—38.8(136C).

ITEM 11. Amend subrule 39.3(3), paragraph “d,” as follows:

d. For the purpose of 39.3(3), services may include but shall not be limited to:

(1) Installation and servicing of radiation machines and associated radiation machine components;

(2) Calibration of radiation machines or radiation measurement instruments or devices;

(3) Radiation protection or health physics consultations or surveys; and

(4) Personnel dosimetry services. Processor or processor servicing, or both.

ITEM 12. Amend subrule 39.3(10), paragraph “a,” introductory paragraph, as follows:

a. Whenever any radiation machine is to be brought into the state, for any temporary use, the person proposing to bring such machine into the state shall give written notice to the agency at least two three working days before such machine is to be used in the state. The notice shall include:

ITEM 13. Amend subrule 39.4(24) as follows:

39.4(24) Filing application for specific licenses.

a. to d. No change.

f e. Applications and documents submitted to the agency may be made available for public inspection except that the agency may withhold any document or part thereof from public inspection if disclosure of its content is not required in the public interest and would adversely affect the interest of a person concerned.

g f. (1) Each application to possess radioactive materials in unsealed form, on foils or plated sources, or sealed in glass in excess of the quantities in Appendix G of this chapter, must contain either:

1. and 2. No change.

(2) One or more of the following factors may be used to support an evaluation submitted under 39.4(24)“g”(1)“1” 39.4(24)“f”(1)“1” of this subrule:

1. to 7. No change.

(3) An emergency plan for responding to a release of radioactive material submitted under 39.4(24)“g”(1)“2” 39.4(24)“f”(1)“2” must include the following information:

1. to 13. No change.

(4) No change.

ITEM 14. Amend subrule 39.4(26), paragraph “e,” as follows:

e. Each decommissioning funding plan must contain a cost estimate for decommissioning and a description of the method of assuring funds for decommissioning from 39.4(26)“f,” including means of adjusting cost estimates and associated funding levels periodically over the life of the facility. The decommissioning funding plan must also contain a certification by the licensee that financial assurance for decommissioning has been provided in the amount of the cost estimate and a signed original of the financial instrument obtained to satisfy the requirements of 39.4(26)“f.”

ITEM 15. Amend subparagraph 39.4(26)“f”(2), introductory paragraph, as follows:

(2) A surety method, insurance, or other guarantee method. These methods guarantee that decommissioning costs will be paid should the licensee default. A surety method may be in the form of a surety bond, letter of credit, or line of credit. A parent company guarantee of funds for decommissioning costs based on a financial test may be used if the guarantee and test are as contained in Appendix F of this chapter. A parent company guarantee may not be used in combination with other financial methods to satisfy the requirements of this subrule. For commercial corporations that issue bonds, a guarantee of funds by the applicant or licensee for decommissioning costs based on a financial test may be used if the guarantee and test are as contained in Appendix H of this chapter. For commercial companies that do not issue bonds, a guarantee of funds by the applicant or licensee for decommissioning costs may be used if the guarantee and test are as contained in Appendix I of this chapter. For nonprofit entities, such as colleges, universities, and nonprofit hospitals, a guarantee of funds by the applicant or licensee may be used if the guarantee and test are as contained in Appendix J of this chapter. A guarantee by the applicant or licensee may not be used in combination with any other financial methods used to satisfy the requirements of paragraph 39.4(26)“f” or in any situation where the applicant or licensee has a parent company holding majority control of the voting stock of the company. Any surety method or insurance used to provide financial assurance for decommissioning must contain the following conditions:

ITEM 16. Amend subrule 39.4(26), paragraph “f,” by adopting new subparagraph (5) as follows:

(5) When a governmental entity assumes custody and ownership of a site, an arrangement that is deemed acceptable by such governmental entity.

ITEM 17. Rescind subrule 39.4(27), paragraph “e,” and adopt the following new paragraph in lieu thereof:

e. Use of sealed sources in industrial radiography. In addition to the requirements set forth in 39.4(25), a specific license for use of sealed sources in industrial radiography will be issued if the application contains:

(1) A schedule or description of the program for training radiographic personnel which specifies:

1. Initial training,

2. Periodic training,

3. On–the–job training, and

4. Methods to be used by the licensee to determine the knowledge, understanding, and ability of radiographic personnel to comply with agency rules, licensing requirements, and the operating and emergency procedures of the applicant;

(2) Written operating and emergency procedures, including all items listed in Appendix D of 641—Chapter 45;

(3) A description of the internal inspection system or other management control to ensure that radiographic personnel follow license provisions, rules of the agency, and the applicant’s operating and emergency procedures;

(4) A list of permanent radiographic installations and descriptions of permanent storage and use locations. Radioactive material shall not be stored at a permanent storage location or used at a permanent use location unless such storage or use location is specifically authorized by the license. A storage or use location is permanent if radioactive material is stored at the location for more than 90 days and any of the following applies to the location:

1. Non–wireless telephone service is established by the licensee;

2. Industrial radiographic services are advertised for or from the location;

3. Industrial radiographic operations are conducted at other sites due to arrangements made from the location;

(5) A description of the organization of the industrial radiographic program, including delegations of authority and responsibility for operation of the radiation safety program;

(6) A description of the program for inspection and maintenance of radiographic exposure devices and transport and storage containers (including applicable items in 641-subrule 45.1(8) and 641-Chapter 45, Appendix A); and

(7) If a license application includes underwater radiography, a description of:

1. Radiation safety procedures and radiographer responsibilities unique to the performance of underwater radiography;

2. Radiographic equipment and radiation safety equipment unique to underwater radiography; and

3. Methods for gas–tight encapsulation of equipment;

(8) If a license application includes offshore platform or lay–barge radiography, a description of:

1. Transport procedures for radioactive material to be used in industrial radiographic operations;

2. Storage facilities for radioactive material; and

3. Methods for restricting access to radiation areas.

ITEM 18. Amend subparagraph 39.4(33)“j”(2), intro–ductory paragraph, as follows:

(2) Conduct a radiation survey of the premises where the licensed activities were carried out and submit a report of the results of this survey unless the licensee demonstrates that the premises are suitable for release in some other mannerin some other manner that the premises are suitable for release in accordance with the criteria for decommissioning in 641—40.28(136C) through 641—40.31(136C). The licen–see shall, as appropriate:

ITEM 19. Amend subparagraph 39.4(33)“k”(3) as follows:

(3) A radiation survey has been performed which demonstrates that the premises are suitable for release in accordance with state of Iowa requirements; or other information submitted by the licensee is sufficient to demonstrate that the premises are suitable for release in accordance with state of Iowa requirements the criteria for decommissioning in 641— 40.28(136C) through 641—40.31(136C).

ITEM 20. Amend subparagraph 39.4(90)“a”(3) as follows:

(3) The out–of–state licensee shall notify the agency in writing at least three working days prior to engaging in activities in the state. Such notification shall indicate the location, period, and type of proposed possession and use within the state, and shall be accompanied by a copy of the pertinent licensing document initially. If, for a specific case, the three–day period would impose an undue hardship on the out–of–state licensee, the licensee may, upon application to the agency, obtain permission to proceed sooner. The agency may waive the requirement for filing additional written notifications during the remainder of the one–year reciprocity period following the receipt of the initial notification from a person engaging in activities under the general license provided by 39.4(90)“a.”

ITEM 21. Rescind rule 641—39.5(136C) and adopt the following new rule in lieu thereof:

641—39.5(136C) Transportation of radioactive material. All persons who transport radioactive material or deliver radioactive material to a carrier for transport must comply with the provision contained in 10 CFR Part 71 as it applies to the state of Iowa.

ITEM 22. Rescind and reserve 641—Chapter 39, Appendix E.

ITEM 23. Amend 641—Chapter 39 by adopting the following new Appendices H, I and J:

Appendix H
Criteria Relating to Use of Financial Tests and Self– Guarantees for Providing Reasonable Assurance of Funds for Decommissioning

I. Introduction

An applicant or licensee may provide reasonable assurance of the availability of funds for decommissioning based on furnishing its own guarantee that funds will be available for decommissioning costs and on a demonstration that the company passes the financial test of Section II of this appendix. The terms of the self–guarantee are in Section III of this appendix. This appendix establishes criteria for passing the financial test for the self–guarantee and establishes the terms for a self–guarantee.

II. Financial Test

A. To pass the financial test, a company must meet all of the following criteria:

1. Tangible net worth at least ten times the total current decommissioning cost estimate for the total of all facilities or parts thereof (or the current amount required if certification is used).

2. Assets located in the United States amounting to at least 90 percent of total assets or at least ten times the total current decommissioning cost estimate for the total of all facilities or parts thereof (or the current amount required if certification is used).

3. A current rating for its most recent bond issuance of AAA, AA, or A as issued by Standard and Poor’s (S&P) or Aaa, Aa, or A as issued by Moody’s.

B. To pass the financial test, a company must meet all of the following additional requirements:

1. The company must have at least one class of equity securities registered under the Securities Exchange Act of 1934.

2. The company’s independent certified public accountant must have compared the data used by the company in the financial test, which is derived from the independently audited, year–end financial statements for the latest fiscal year, with the amounts in such financial statement. In connection with that procedure, the licensee shall inform the agency within 90 days of any matters coming to the attention of the auditor that cause the auditor to believe that the data specified in the financial test should be adjusted and that the company no longer passes the test.

3. After the initial financial test, the company must repeat passage of the test within 90 days after the close of each succeeding fiscal year.

C. If the licensee no longer meets the requirements of Section II.A. of this appendix, the licensee must send immediate notice to the agency of its intent to establish alternate financial assurance as specified in these rules within 120 days of such notice.

III. Company Self–Guarantee

The terms of a self–guarantee which an applicant or licensee furnishes must provide that:

A. The guarantee will remain in force unless the licensee sends notice of cancellation by certified mail, return receipt requested, to the agency. Cancellation may not occur, however, during the 120 days beginning on the date of receipt of the notice of cancellation by the agency, as evidenced by the return receipt.

B. The licensee shall provide alternative financial assurance as specified in these rules within 90 days following receipt by the agency of a notice of cancellation of the guarantee.

C. The guarantee and financial test provisions must remain in effect until the agency has terminated the license or until another financial assurance method acceptable to the agency has been put in effect by the licensee.

D. The licensee will promptly forward to the agency and the licensee’s independent auditor all reports covering the latest fiscal year filed by the licensee with the Securities and Exchange Commission pursuant to the requirements of Section 13 of the Securities and Exchange Act of 1934.

E. If, at any time, the licensee’s most recent bond issuance ceases to be rated in any category of “A” or above by either Standard and Poor’s or Moody’s, the licensee will provide notice in writing of such fact to the agency within 20 days after publication of the change by the rating service. If the licensee’s most recent bond issuance ceases to be rated in any category of “A” or above by both Standard and Poor’s and Moody’s, the licensee no longer meets the requirements of Section II.A. of this appendix.

F. The applicant or licensee must provide to the agency a written guarantee (a written commitment by a corporate officer) which states that the licensee will fund and carry out the required decommissioning activities or, upon issuance of an order by the agency, the licensee will set up and fund a trust in the amount of the current cost estimates for decommissioning.

Appendix I
Criteria Relating to Use of Financial Tests and Self–Guarantees for Providing Reasonable Assurance of Funds for Decommissioning by Commercial Companies That Have No Outstanding Rated Bonds

I. Introduction

An applicant or licensee may provide reasonable assurance of the availability of funds for decommissioning based on furnishing its own guarantee that funds will be available for decommissioning costs and on a demonstration that the company passes the financial test of Section II of this appendix. The terms of the self–guarantee are in Section III of this appendix. This appendix establishes criteria for passing the financial test for the self–guarantee and establishes the terms for a self–guarantee.

II. Financial Test

A. To pass the financial test, a company must meet the following criteria:

1. Tangible net worth greater than $10 million, or at least ten times the total current decommissioning cost estimate (or the current amount required if certification is used), whichever is greater, for all decommissioning activities for which the company is responsible as self–guaranteeing licensee and as parent–guarantor.

2. Assets located in the United States amounting to at least 90 percent of total assets or at least ten times the total current decommissioning cost estimate (or the current amount required if certification is used) for all decommissioning activities for which the company is responsible as self–guaranteeing licensee and as parent–guarantor.

3. A ratio of cash flow divided by total liabilities greater than 0.15 and a ratio of total liabilities divided by net worth less than 1.5.

B. In addition, to pass the financial test, a company must meet all of the following requirements:

1. The company’s independent certified public accountant must have compared the data used by the company in the financial test, which is required to be derived from the independently audited year–end financial statement based on United States generally accepted accounting practices for the latest fiscal year, with the amounts in such financial statement. In connection with that procedure, the licensee shall inform the agency within 90 days of any matters that may cause the auditor to believe that the data specified in thefinancial test should be adjusted and that the company no longer passes the test.

2. After the initial financial test, the company must repeat passage of the test within 90 days after the close of each succeeding fiscal year.

3. If the licensee no longer meets the requirements of Section II.A. of this appendix, the licensee must send notice to the agency of intent to establish alternative financial assurance as specified in these rules. The notice must be sent by certified mail, return receipt requested, within 90 days after the end of the fiscal year for which the year–end financial data show that the licensee no longer meets the financial test requirements. The licensee must provide alternative financial assurance within 120 days after the end of such fiscal year.

III. Company Self–Guarantee

The terms of a self–guarantee which an applicant or licensee furnishes must provide that:

A. The guarantee shall remain in force unless the licen–see sends notice of cancellation by certified mail, return receipt requested, to the agency. Cancellation may not occur until an alternative financial assurance mechanism is in place.

B. The licensee shall provide alternative financial assurance as specified in the regulations within 90 days following receipt by the agency of a notice of cancellation of the guarantee.

C. The guarantee and financial test provisions must remain in effect until the agency has terminated the license or until another financial assurance method acceptable to the agency has been put in effect by the licensee.

D. The applicant or licensee must provide to the agency a written guarantee (a written commitment by a corporate officer) which states that the licensee will fund and carry out the required decommissioning activities or, upon issuance of an order by the agency, the licensee will set up and fund a trust in the amount of the current cost estimates for decommissioning.

Appendix J
Criteria Relating to Use of Financial Tests and Self–Guarantees for Providing Reasonable Assurance of Funds for Decommissioning by Nonprofit Colleges, Universities, and Hospitals

I. Introduction

An applicant or licensee may provide reasonable assurance of the availability of funds for decommissioning based on furnishing its own guarantee that funds will be available for decommissioning costs and on a demonstration that the applicant or licensee passes the financial test of Section II of this appendix. The terms of the self–guarantee are in Section III of this appendix. This appendix establishes criteria for passing the financial test for the self–guarantee and establishes the terms for a self–guarantee.

II. Financial Test

A. For colleges and universities to pass the financial test, a college or university must meet either the criteria in Section II.A.1. or the criteria in Section II.A.2. of this appendix.

1. For applicants or licensees that issue bonds, a current rating for its most recent uninsured, uncollateralized, and unencumbered bond issuance of AAA, AA, or A as issued by Standard and Poor’s (S&P) or Aaa, Aa, or A as issued by Moody’s.

2. For applicants or licensees that do not issue bonds, unrestricted endowment consisting of assets located in the United States of at least $50 million, or at least 30 times the total current decommissioning cost estimate (or the current amount required if certification is used), whichever is greater, for all decommissioning activities for which the college or university is responsible as a self–guaranteeing licensee.

B. For hospitals to pass the financial test, a hospital must meet either the criteria in Section II.B.1. or the criteria in Section II.B.2. of this appendix:

1. For applicants or licensees that issue bonds, a current rating for its most recent uninsured, uncollateralized, and unencumbered bond issuance of AAA, AA, or A as issued by Standard and Poor’s (S&P) or Aaa, Aa, or A as issued by Moody’s.

2. For applicants or licensees that do not issue bonds, all the following tests must be met:

(a) (Total revenues less total expenditures) divided by total revenues must be equal to or greater than 0.04.

(b) Long–term debt divided by net fixed assets must be less than or equal to 0.67.

(c) (Current assets and depreciation fund) divided by current liabilities must be greater than or equal to 2.55.

(d) Operating revenues must be at least 100 times the total current decommissioning cost estimate (or the current amount required if certification is used) for all decommissioning activities for which the hospital is responsible as a self–guaranteeing licensee.

C. In addition, to pass the financial test, a licensee must meet all the following requirements:

1. The licensee’s independent certified public accountant must have compared the data used by the licensee in the financial test, which is required to be derived from the independently audited year–end financial statements, based on United States generally accepted accounting practices, for the latest fiscal year, with the amounts in such financial statement. In connection with that procedure, the licensee shall inform this agency within 90 days of any matters coming to the attention of the auditor that cause the auditor to believe that the data specified in the financial test should be adjusted and that the licensee no longer passes the test.

2. After the initial financial test, the licensee must repeat passage of the test within 90 days after the close of each succeeding fiscal year.

3. If the licensee no longer meets the requirements of Section I of this appendix, the licensee must send notice to this agency of its intent to establish alternative financial assurance as specified in these rules. The notice must be sent by certified mail, return receipt requested, within 90 days after the end of the fiscal year for which the year–end financial data show that the licensee no longer meets the financial test requirements. The licensee must provide alternate financial assurance within 120 days after the end of such fiscal year.

III. Self–Guarantee

The terms of a self–guarantee which an applicant or licensee furnishes must provide that:

A. The guarantee shall remain in force unless the licen–see sends notice of cancellation by certified mail, return receipt requested, to the agency. Cancellation may not occur until an alternative financial assurance mechanism is in place.

B. The licensee shall provide alternative financial assurance as specified in these rules within 90 days following receipt by the agency of a notice of cancellation of the guarantee.

C. The guarantee and financial test provisions must remain in effect until the agency has terminated the license or until another financial assurance method acceptable to the agency has been put in effect by the licensee.

D. The applicant or licensee must provide to the agency a written guarantee (a written commitment by a corporate officer or officer of the institution) which states that the licensee will fund and carry out the required decommissioning activities or, upon issuance of an order by the agency, the licensee will set up and fund a trust in the amount of the current cost estimates for decommissioning.

E. If, at any time, the licensee’s most recent bond issuance ceases to be rated in any category of “A” or above by either Standard and Poor’s or Moody’s, the licensee shall provide notice in writing of such fact to the agency within 20 days after publication of the change by the rating service.

ITEM 24. Amend subrule 40.1(5) as follows:

40.1(5) All references to Code of Federal Regulations (CFR) in this chapter are those in effect on or before July 1, 1999 May 10, 2000.

ITEM 25. Amend subrule 40.2(2), definitions of “declared pregnant woman” and “very high radiation area,” as follows:

“Declared pregnant woman” means a woman who has voluntarily informed her employer, in writing, of her pregnancy and the estimated date of conception. The declaration remains in effect until the declared pregnant woman withdraws the declaration in writing or is no longer pregnant.

ITEM 26. Amend subrule 40.10(2) as follows:

40.10(2) The licensee or registrant shall use, to the extent practicable practical, procedures and engineering controls based upon sound radiation protection principles to achieve occupational doses and public doses that are as low as is reasonably achievable (ALARA).

ITEM 27. Amend subparagraph 40.15(1)“b”(1) as follows:

(1) An eye A lens dose equivalent of 15 rem (0.15 Sv), and

ITEM 28. Amend subrule 40.15(3) as follows:

40.15(3) The assigned deep dose equivalent and shallow dose equivalent shall be for the portion of the body receiving the highest exposure determined as follows:

The deep dose equivalent, eye lens dose equivalent and shallow dose equivalent may be assessed from surveys or other radiation measurements for the purpose of demonstrating compliance with the occupational dose limits, if the individual monitoring device was not in the region of highest potential exposure, or the results of individual monitoring are unavailable.

ITEM 29. Amend subrule 40.20(1) as follows:

40.20(1) The licensee or registrant authorizes a planned special exposure only in an exceptional situation when alternatives that might avoid the higher exposure dose estimated to result from the planned special exposure are unavailable or impractical.

ITEM 30. Amend rule 641—40.22(136C) as follows:

40.22(1) The licensee or registrant shall ensure that the dose equivalent to an embryo/fetus during the entire pregnancy, due to occupational exposure of a declared pregnant woman, does not exceed 0.5 rem (5 mSv). See 40.86(136C) for record–keeping requirements.

40.22(2) No change.

40.22(3) The dose equivalent to an embryo/fetus shall be taken as the sum of:

a. The deep dose equivalent to the declared pregnant woman; and

b. The dose equivalent to the embryo/fetus from radionuclides in the embryo/fetus and radionuclides in the declared pregnant woman.

40.22(4) If by the time the woman declares pregnancy to the licensee or registrant, the dose equivalent to the embryo/fetus has exceeded 0.45 rem (4.5 mSv), the licensee or registrant shall be deemed to be in compliance with 40.22(1) if the additional dose equivalent to the embryo/fetus does not exceed 0.05 rem (0.5 mSv) during the remainder of the pregnancy.

ITEM 31. Amend subparagraph 40.36(1)“b”(1) as follows:

(1) Radiation The magnitude and extent of radiation levels; and

ITEM 32. Amend subrule 40.62(2) as follows:

40.62(2) Rooms or other areas in hospitals that are occupied by patients are not required to be posted with caution signs pursuant to 40.61(136C) provided that the patient could be released from confinement licensee control pursuant to 641—41.27(136C) 641—subrule 41.2(27).

ITEM 33. Amend rule 641—40.62(136C) by adopting new subrule 40.62(5) as follows:

40.62(5) Rooms in hospitals or clinics that are used for teletherapy are exempt from the requirement to post caution signs under 641-40.61(136C) if:

a. Access to the room is controlled pursuant to 641— subrule 41.2(53); and

b. Personnel in attendance take necessary precautions to prevent an inadvertent exposure of workers, other patients, and members of the public to radiation in excess of the limits established in this chapter.

ITEM 34. Rescind rule 641—40.75(136C) and adopt the following new rule in lieu thereof:

40.75(1) Any licensee shipping radioactive waste intended for ultimate disposal at a licensed land disposal facility must document the information required on the Uniform Low–Level Radioactive Waste Manifest and transfer this recorded manifest information to the intended consignee in accordance with Appendix D of this chapter.

40.75(2) Each shipment manifest must include a certification by the waste generator as specified in Section II of Appendix D of this chapter.

40.75(3) Each person involved in the transfer for disposal and disposal of waste, including the waste generator, waste collector, waste processor, and disposal facility operator, shall comply with the requirements specified in Section III of Appendix D of this chapter.

ITEM 35. Amend rule 641—40.80(136C) as follows:

40.80(1) Each licensee or registrant shall use the special units curie, rad, rem and roentgen, counts per minute (cpm), disintegrations per minute (dpm), or the SI units becquerel, gray, sievert and coulomb per kilogram, including multiples and subdivisions, and shall clearly indicate the units of all quantities on records required by this chapter.

40.80(2) The licensee or registrant shall make a clear distinction among the quantities entered on the records required by this chapter, such as, total effective dose equivalent, total organ dose equivalent, shallow dose equivalent, eye lens dose equivalent, deep dose equivalent, or committed effective dose equivalent.

ITEM 36. Rescind 641-Chapter 40, Appendix D, and adopt new Appendix D as follows:

Appendix D
Requirements for Transfers of Low–Level
Radioactive Waste Intended for Disposal at
Licensed Land Disposal Facilities and Manifests

As used in this appendix, the following definitions apply:

“Chelating agent” means amine polycarboxylic acids (e.g., EDTA, DTPA), hydroxy–carboxylic acids, and polycarboxylic acids (e.g., citric acid, carbolic acid, and glucinic acid).

“Chemical description” means a description of the principal chemical characteristics of a low–level radioactive waste.

“Computer–readable medium” means that the regulatory agency’s computer can transfer the information from the medium into its memory.

“Consignee” means the designated receiver of the shipment of low–level radioactive waste.

“Decontamination facility” means a facility operating under an Agreement State or Nuclear Regulatory Commission license whose principal purpose is decontamination of equipment or materials to accomplish recycle, reuse, or other waste management objectives and, for purposes of this appendix, is not considered to be a consignee for LLW shipments.

“Disposal container” means a container principally used to confine low–level radioactive waste during disposal operations at a land disposal facility (also see “high integrity container”). Note that for some shipments, the disposal container may be the transport package.

“EPA identification number” means the number received by a transporter following application to the administrator of EPA as required by 40 CFR Part 263.

“Forms 540, 540A, 541, 541A, 542, and 542A” are official forms referenced in this appendix. Licensees need not use originals of these forms as long as any substitute forms are equivalent to the original documentation in respect to content, clarity, size, and location of information. Upon agreement between the shipper and consignee, Forms 541 (and 541A) and Forms 542 (and 542A) may be completed, transmitted, and stored in electronic media. The electronic media must have the capability for producing legible, accurate, and complete records in the format of the uniform manifest.

“Generator” means a licensee operating under an Agreement State or Nuclear Regulatory Commission license who (1) is a waste generator as defined in this rule, or (2) is the licensee to whom waste can be attributed within the context of the Low–Level Radioactive Waste Policy Amendments Act of 1985 (e.g., waste generated as a result of decontamination or recycle activities).

“High integrity container (HIC)” means a container commonly designed to meet the structural stability requirements of 10 CFR 61.56, and to meet United States Department of Transportation requirements for a Type A package.

“Land disposal facility” means the land, buildings and structures, and equipment which are intended to be used for the disposal of radioactive wastes. For purposes of this appendix, a “geologic repository” as defined in 10 CFR Part 60 is not considered a land disposal facility.

“Package” means the assembly of components necessary to ensure compliance with the packaging requirements of United States Department of Transportation regulations, together with its radioactive contents, as presented for transport.

“Physical description” means the items called for on Form 541 to describe a low–level radioactive waste.

“Residual waste” means low–level radioactive waste resulting from processing or decontamination activities that cannot be easily separated into distinct batches attributable to specific waste generators. This waste is attributable to the processor or decontamination facility, as applicable.

“Shipper” means the licensed entity (i.e., the waste generator, waste collector, or waste processor) who offers low–level radioactive waste for transportation, typically consigning this type of waste to a licensed waste collector, waste processor, or land disposal facility operator.

“Shipping paper” means Form 540 and, if required, Form 540A which includes the information required by United States Department of Transportation in 49 CFR Part 172.

“Uniform Low–Level Radioactive Waste Manifest” or “uniform manifest” means the combination of Forms 540, 541 and, if necessary, 542, and their respective continuation sheets as needed, or equivalent.

“Waste collector” means an entity, operating under an Agreement State or Nuclear Regulatory Commission license, whose principal purpose is to collect and consolidate waste generated by others, and to transfer this waste, without processing or repackaging the collected waste, to another licensed waste collector, licensed waste processor, or licensed land disposal facility.

“Waste description” means the physical, chemical and radiological description of a low–level radioactive waste as called for on Form 541.

“Waste generator” means an entity, operating under an Agreement State or Nuclear Regulatory Commission license, who (1) possesses any material or component that contains radioactivity or is radioactively contaminated for which the licensee foresees no further use, and (2) transfers this material or component to a licensed land disposal facility or to a licensed waste collector or processor for handling or treatment prior to disposal. A licensee performing pro–cessing or decontamination services may be a “waste generator” if the transfer of low–level radioactive waste from its facility is defined as “residual waste.”

“Waste processor” means an entity, operating under an Agreement State or Nuclear Regulatory Commission license, whose principal purpose is to process, repackage, or otherwise treat low–level radioactive material or waste generated by others prior to eventual transfer of waste to a licensed low–level radioactive waste land disposal facility.

“Waste type” means a waste within a disposal container having a unique physical description (i.e., a specific waste descriptor code or description; or a waste sorbed on or solidified in a specifically defined media).

I. Manifest

A waste generator, collector, or processor who transports, or offers for transportation, low–level radioactive waste intended for ultimate disposal at a licensed low–level radioactive waste land disposal facility must prepare a manifest reflecting information requested on applicable Forms 540 (Uniform Low–Level Radioactive Waste Manifest (Shipping Paper)) and 541 (Uniform Low–Level Radioactive Waste Manifest (Container and Waste Description)) and, if necessary, on an applicable Form 542 (Uniform Low–Level Radioactive Waste Manifest (Manifest Index and Regional Compact Tabulation)). Forms 540 and 540A must be completed and must physically accompany the pertinent low–level waste shipment. Upon agreement between shipper and consignee, Forms 541 and 541A and 542 and 542A may be completed, transmitted, and stored in electronic media with the capability for producing legible, accurate, and complete records on the respective forms. Licensees are not required by this agency to comply with the manifesting requirements of this part when they ship:

(a) LLW for processing and expect its return (i.e., for storage under their license) prior to disposal at a licensed land disposal facility;

(b) LLW that is being returned to the licensee who is the “waste generator” or “generator,” as defined in this part; or

(c) Radioactively contaminated material to a “waste processor” that becomes the processor’s “residual waste.”

For guidance in completing these forms, refer to the instructions that accompany the forms. Copies of manifests required by this appendix may be legible carbon copies, photocopies, or computer printouts that reproduce the data in the format of the uniform manifest.

Forms 540, 540A, 541, 541A, 542 and 542A, and the accompanying instructions, in hard copy, may be obtained from the Information and Records Management Branch, Office of Information Resources Management, U.S. Nuclear Regulatory Commission, Washington, DC 20555, telephone (301)415–7232.

This appendix includes information requirements of the United States Department of Transportation, as codified in 49 CFR Part 172. Information on hazardous, medical, or other waste required to meet Environmental Protection Agency regulations, as codified in 40 CFR Parts 259, 261, or elsewhere, is not addressed in this section, and must be provided on the required EPA forms. However, the required EPA forms must accompany the Uniform Low–Level Radioactive Waste Manifest required by this chapter.

Information Requirements

A. General Information

The shipper of the radioactive waste shall provide the following information on the uniform manifest:

1. The name, facility’s address, and telephone number of the licensee shipping the waste;

2. An explicit declaration indicating whether the shipper is acting as a waste generator, collector, processor, or a combination of these identifiers for purposes of the manifested shipment; and

3. The name, address, and telephone number, or the name and EPA identification number, for the carrier transporting the waste.

B. Shipment Information

The shipper of the radioactive waste shall provide the following information regarding the waste shipment on the uniform manifest:

1. The date of the waste shipment;

2. The total number of packages/disposal containers;

3. The total disposal volume and disposal weight in the shipment;

4. The total radionuclide activity in the shipment;

5. The activity of each of the radionuclides, H–3, C–14, Tc–99, and I–129 contained in the shipment; and

6. The total masses of U–233, U–235, and plutonium in special nuclear material, and the total mass of uranium and thorium in source material.

C. Disposal Container and Waste Information

The shipper of the radioactive waste shall provide the following information on the uniform manifest regarding the waste and each disposal container of waste in the shipment:

1. An alphabetic or numeric identification that uniquely identifies each disposal container in the shipment;

2. A physical description of the disposal container, including the manufacturer and model of any high integrity container;

3. The volume displaced by the disposal container;

4. The gross weight of the disposal container, including the waste;

5. For waste consigned to a disposal facility, the maximum radiation level at the surface of each disposal container;

6. A physical and chemical description of the waste;

7. The total weight percentage of chelating agent for any waste containing more than 0.1 percent chelating agent by weight, plus the identity of the principal chelating agent;

8. The approximate volume of waste within a container;

9. The sorbing or solidification media, if any, and the identity of the solidification media vendor and brand name;

10. The identities and activities of individual radionuclides contained in each container, the masses of U–233, U–235, and plutonium in special nuclear material, and the masses of uranium and thorium in source material. For discrete waste types (i.e., activated materials, contaminated equipment, mechanical filters, sealed source/devices, and wastes in solidification/stabilization media), the identities and activities of individual radionuclides associated with or contained in these waste types within a disposal container shall be reported;

11. The total radioactivity within each container; and

12. For wastes consigned to a disposal facility, the classification of the waste pursuant to 10 CFR 61.55. Waste not meeting the structural stability requirements of 10 CFR 61.56(b) must be identified.

D. Uncontainerized Waste Information

The shipper of the radioactive waste shall provide the following information on the uniform manifest regarding a waste shipment delivered without a disposal container:

1. The approximate volume and weight of the waste;

2. A physical and chemical description of the waste;

3. The total weight percentage of chelating agent if the chelating agent exceeds 0.1 percent by weight, plus the identity of the principal chelating agent;

4. For waste consigned to a disposal facility, the classification of the waste pursuant to 10 CFR 61.55. Waste not meeting the structural stability requirements of 10 CFR 61.56(b) must be identified;

5. The identities and activities of individual radionuclides contained in the waste, the masses of U–233, U–235, and plutonium in special nuclear material, and the masses of uranium and thorium in source material; and

6. For wastes consigned to a disposal facility, the maximum radiation levels at the surface of the waste.

E. Multigenerator Disposal Container Information

This section applies to disposal containers enclosing mixtures of waste originating from different generators. (Note: The origin of the LLW resulting from a processor’s activities may be attributable to one or more “generators” (including “waste generators”) as defined in this appendix.) It also applies to mixtures of wastes shipped in an uncontainerized form, for which portions of the mixture within the shipment originate from different generators.

1. For homogeneous mixtures of waste, such as incinerator ash, provide the waste description applicable to the mixture and the volume of the waste attributed to each generator.

2. For heterogeneous mixtures of waste, such as the combined products from a large compactor, identify each generator contributing waste to the disposal container and, for discrete waste types (i.e., activated materials, contaminated equipment, mechanical filters, sealed source/devices, and wastes in solidification/stabilization media), the identities and activities of individual radionuclides contained in these waste types within the disposal container. For each generator, provide the following:

(a) The volume of waste within the disposal container;

(b) A physical and chemical description of the waste, including the solidification agent, if any;

(c) The total weight percentage of chelating agents for any disposal container containing more than 0.1 percent chelating agent by weight, plus the identity of the principal chelating agent;

(d) The sorbing or solidification media, if any, and the identity of the solidification media vendor and brand nameif the media is claimed to meet stability requirements in10 CFR 61.56(b); and

(e) Radionuclide identities and activities contained in the waste, the masses of U–233, U–235, and plutonium in special nuclear material, and the masses of uranium and thorium in source material if contained in the waste.

II. Certification

An authorized representative of the waste generator, processor, or collector shall certify by signing and dating the shipment manifest that the transported materials are properly classified, described, packaged, marked, and labeled and are in proper condition for transportation according to the applicable regulations of the United States Department of Transportation and this agency. A collector in signing the certification is certifying that nothing has been done to the collected waste that would invalidate the waste generator’s certification.

III. Control and Tracking

A. Any licensee who transfers radioactive waste to a land disposal facility or a licensed waste collector shall comply with the requirements in paragraphs A.1. through A.9. of this appendix. Any licensee who transfers waste to a licensed waste processor for waste treatment or repackaging shall comply with the requirements of paragraphs A.4. through A.9. of this appendix. A licensee shall:

1. Prepare all wastes so that the waste is classified according to 10 CFR 61.55 and meets the waste characteristics requirements in 10 CFR 61.56;

2. Label each disposal container (or transport package if potential radiation hazards preclude labeling of the individual disposal container) of waste to identify whether it is Class A waste, Class B waste, Class C waste, or greater than Class C waste, in accordance with 10 CFR 61.55;

3. Conduct a quality assurance program to ensure compliance with 10 CFR 61.55 and 61.56 (the program must include management evaluation of audits);

4. Prepare the Uniform Low–Level Radioactive Waste Manifest as required by this appendix;

5. Forward a copy or electronically transfer the Uniform Low–Level Radioactive Waste Manifest to the intended consignee so that either (1) receipt of the manifest precedes the LLW shipment or (2) the manifest is delivered to the consignee with the waste at the time the waste is transferred to the consignee. Using both (1) and (2) is also acceptable;

6. Include Form 540 (and Form 540A, if required) with the shipment regardless of the option chosen in paragraph A.5. of this section;

7. Receive acknowledgment of the receipt of the shipment in the form of a signed copy of Form 540;

8. Retain a copy of or electronically store the Uniform Low–Level Radioactive Waste Manifest and documentation of acknowledgment of receipt as the record of transfer of licensed material as required by 641—subrule 39.4(41); and

9. For any shipments or any part of a shipment for which acknowledgment of receipt has not been received within the times set forth in this appendix, conduct an investigation in accordance with paragraph E of this appendix.

B. Any waste collector licensee who handles only prepackaged waste shall:

1. Acknowledge receipt of the waste from the shipper within one week of receipt by returning a signed copy of Form 540;

2. Prepare a new manifest to reflect consolidated shipments that meet the requirements of this appendix. The waste collector shall ensure that, for each container of waste in the shipment, the manifest identifies the generator of that container of waste;

3. Forward a copy or electronically transfer the Uniform Low–Level Radioactive Waste Manifest to the intended consignee so that either: (1) receipt of the manifest precedes the LLW shipment or (2) the manifest is delivered to the consignee with the waste at the time the waste is transferred to the consignee. Using both (1) and (2) is also acceptable;

4. Include Form 540 (and Form 540A, if required) with the shipment regardless of the option chosen in paragraph B.3. of this section;

5. Receive acknowledgment of the receipt of the shipment in the form of a signed copy of Form 540;

6. Retain a copy of or electronically store the Uniform Low–Level Radioactive Waste Manifest and documentation of acknowledgment of receipt as the record of transfer of licensed material as required by 641-subrule 39.4(41);

7. For any shipments or any part of a shipment for which acknowledgment of receipt has not been received within the times set forth in this appendix, conduct an investigation in accordance with paragraph E of this appendix; and

8. Notify the shipper and this agency when any shipment, or part of a shipment, has not arrived within 60 days after receipt of an advance manifest, unless notified by the shipper that the shipment has been canceled.

C. Any licensed waste processor who treats or repackages waste shall:

1. Acknowledge receipt of the waste from the shipper within one week of receipt by returning a signed copy of Form 540;

2. Prepare a new manifest that meets the requirements of this appendix. Preparation of the new manifest reflects that the processor is responsible for meeting these requirements. For each container of waste in the shipment, the manifest shall identify the waste generators, the preprocessed waste volume, and the other information as required in paragraph E.1. of this appendix;

3. Prepare all wastes so that the waste is classified according to 10 CFR 61.55 and meets the waste characteristics requirements in 10 CFR 61.56;

4. Label each package of waste to identify whether it is Class A waste, Class B waste, or Class C waste, in accordance with 10 CFR 61.55 and 61.57;

5. Conduct a quality assurance program to ensure compliance with 10 CFR 61.55 and 61.56 (the program shall include management evaluation of audits);

6. Forward a copy or electronically transfer the Uniform Low–Level Radioactive Waste Manifest to the intended consignee so that either (1) receipt of the manifest precedes the LLW shipment or (2) the manifest is delivered to the consignee with the waste at the time the waste is transferred to the consignee. Using both (1) and (2) is also acceptable;

7. Include Form 540 (and Form 540A, if required) with the shipment regardless of the option chosen in paragraph C.6. of this section;

8. Receive acknowledgment of the receipt of the shipment in the form of a signed copy of Form 540;

9. Retain a copy of or electronically store the Uniform Low–Level Radioactive Waste Manifest and documentation of acknowledgment of receipt as the record of transfer of licensed material as required by 641-subrule 39.4(41);

10. For any shipment or any part of a shipment for which acknowledgment of receipt has not been received within the times set forth in this appendix, conduct an investigation in accordance with paragraph E of this appendix; and

11. Notify the shipper and this agency of any shipment, or part of a shipment, that has not arrived within 60 days after receipt of an advance manifest, unless notified by the shipper that the shipment has been canceled.

D. The land disposal facility operator shall:

1. Acknowledge receipt of the waste within one week of receipt by returning, as a minimum, a signed copy of Form 540 to the shipper. The shipper to be notified is the licensee who last possessed the waste and transferred the waste to the operator. If any discrepancy exists between materials listed on the Uniform Low–Level Radioactive Waste Manifest and materials received, copies or electronic transfer of the affected forms must be returned indicating the discrepancy;

2. Maintain copies of all completed manifests and electronically store the information required by 10 CFR 61.80(l) until the license is terminated; and

3. Notify the shipper and this agency when any shipment, or part of a shipment, has not arrived within 60 days after receipt of an advance manifest, unless notified by the shipper that the shipment has been canceled.

E. Any shipment or part of a shipment for which acknowledgment is not received within the times set forth in this section must:

1. Be investigated by the shipper if the shipper has not received notification or receipt within 20 days after transfer; and

2. Be traced and reported. The investigation shall include tracing the shipment and filing a report with this agency. Each licensee who conducts a trace investigation shall file a written report with this agency within two weeks of completion of the investigation.

ITEM 37. Amend subrule 41.1(1) as follows:

41.1(1) Scope. This rule establishes requirements, for which a registrant is responsible, for use of X–ray equipment by or under the supervision of an individual authorized by and licensed in accordance with state statutes to engage in the healing arts or veterinary medicine. The provisions of this rule are in addition to, and not in substitution for, any other applicable provisions of these rules. The provisions of Chapter 41 are in addition to, and not in substitution for, any other applicable portions of 641—Chapters 38 to 42. All references to any Code of Federal Regulations (CFR) in this chapter are those in effect as of July 1, 1999 May 10, 2000.

ITEM 38. Amend subrule 41.1(2), introductory paragraph, as follows:

41.1(2) Definitions. For the purpose of this chapter, the definitions of 641—Chapter Chapters 38 and 40 may also apply. The following are specific to rule 41.1(136C) 641- Chapter 41.

ITEM 39. Amend subrule 41.1(2) as follows:

Adopt the following new definitions in alphabetical order:

“Base density” means the optical density due to the supporting base of the film alone. The base density of a film is the optical density that would result if an unexposed film were processed through the fixer, wash, and dryer, without first passing through the developer.

“Base plus fog density” means the optical density of a film due to its base density plus any action of the developer on the unexposed silver halide crystals. The base plus fog density can be measured by processing an unexposed film through the entire processing cycle and measuring the resultant optical density.

“Cassette” means a light–tight case, usually made of thin, low X–ray absorption plastic, for holding X–ray film. One or two intensifying screens for the conversion of X–rays to visible light photons are mounted inside the cassette so that they are in close contact to the film.

“Control chart” means a chart used to record (and control) the results of quality control testing as a function of time.

“Control limit” means the range of variation on a control chart beyond which action must be taken to correct the results of quality control testing.

“Dedicated mammography equipment” means X–ray systems designed specifically for breast imaging, providing optimum imaging geometry, a device for breast compression and low dose exposure that can generate reproducible images of high quality.

“Densitometer” means an instrument which measures the degree of blackening (or radiographic density) of film due to radiation or light by measuring the ratio of the light intensity incident on the film to the light intensity transmitted by the film.

“Detents” means mechanical settings that limit or prevent the motion or rotation of an X–ray tube, cassette assembly, or image receptor system.

“Developer” means a chemical solution (alkaline) that changes the latent image (exposed silver halide crystals) on a film to a visible image composed of minute masses of black metallic silver.

“Developer replenishment” means the process, occurring as film travels past a certain point in the processor, triggering the activation of a pump, whereby fresh developer is added in small amounts to the solution in the developer tank of the processor. The purpose is to maintain the proper alkalinity, chemical activity, and level of solution in the developer tank.

“Diagnostic mammography” means mammography performed on an individual who, by virtue of symptoms or physical findings, is considered to have a substantial likelihood of having breast disease.

“Fixer” means a chemical solution (acidic) which removes the unexposed and undeveloped silver halide crystals from film so it will not discolor or darken with age or exposure to light. Fixer also hardens the gelatin containing the black metallic silver so film may be dried and resist damage from abrasions.

“Fixer retention” means the inadequate removal of fixer from the film by the water in the wash tank of the processor. Retained fixer causes eventual brown discoloration of the radiograph.

“Focal spot size” means the area of the target or anode that is bombarded by electrons from the cathode of the X–ray tube to produce X–rays. The smaller the focal spot, the better the limited spatial resolution of the X–ray system, especially in magnification mammography.

“Fog” means the density added to a radiograph due to unwanted action of the developer on the unexposed silver halide crystals or by light, radiation, chemical, or heat exposure during storage, handling, and processing.

“Image contrast” means the amount of radiographic density difference between adjacent areas resulting from a fixed amount of attenuation difference or light exposure difference.

“Image noise.” See “Radiographic noise.”

“Image quality” means the overall clarity and detail of a radiographic image. Limiting spatial resolution (or resolving power), image sharpness, and image contrast are three common measures of image quality.

“Image sharpness” means the overall impression of detail and clarity in a radiographic image.

“Processor” means an automated device which transports film in a controlled manner by a system of rollers through specialized sections where developing, fixing, washing, and drying of the film occur.

“Quality assurance” means the overall program of testing and maintaining the highest possible standards of quality in the acquisition and interpretation of radiographic images.

“Quality control” means the actual process of testing and maintaining the highest possible standards of quality in equipment performance and the acquisition and interpretation of radiographic images.

“Radiographic contrast” means the magnitude of optical density difference between structures of interest and their surroundings, or between areas of film receiving different amounts of X–ray or visible light exposure.

“Radiographic noise” means unwanted fluctuations in optical density on the screen–film image.

“Repeat (or reject) analysis” means a systematic approach to determine the causes for radiographs being discarded or repeated, or both.

“Replenishment rate” means the amount of chemicals added in order to maintain the proper chemical activity of developer and fixer solutions.

“Safelight” means a source of minimal visible light in a darkroom, produced at frequencies (colors) to which the film is insensitive, protecting the film from unwanted exposure (fog) while allowing personnel to function more efficiently and safely.

“Screen” means microscopic phosphor crystals on a plastic support used in conjunction with either single or double emulsion film; the screen emits visible light when exposed to X–radiation, creating a latent image on X–ray film.

“Screen–film combination” means a particular intensifying screen used with a particular type of film. Care must be taken to match the number of screens (one or two) to the number of emulsions coating the film and to match the light output spectrum of the screen to the light sensitivity of the film.

“Screen–film contact” means the close proximity of the intensifying screen to the emulsion of the film, necessary in order to achieve a sharp image on the film.

“Sensitometer” means a device used to reproducibly expose a piece of film to a number of different levels of light intensity.

“Sensitometric strip” means a sheet of film exposed by a sensitometer, resulting in a gray scale range. Such strips are used to measure the range of densities, from minimum to maximum, resulting from a reproducible set of exposures.

“Sensitometry” means a quantitative measurement of the response of film to exposure and development. Sensitometry is used to test the processor setup and stability.

“Viewbox” means a device by which a uniform field of white light is transmitted through an X–ray so that the image on the film may be seen.

Amend the following definition:

“X–ray exposure control” means a device, switch, button or similar means by which an operator initiates or terminates the radiation exposure. The X–ray exposure control may include such associated equipment as timers and backup timers.

ITEM 40. Amend subrule 41.1(2) by rescinding the following definitions: “barrier,” “beam–limiting device,” “detector,” “kV,” “lead equivalent,” “leakage radiation,” “light field,” “mA,” “primary protective barrier,” “protective barrier,” “radiation detector,” “secondary protective barrier,” “shutter,” “SSD,” “stray radiation,” “termination of irradiation,” and “tube housing assembly.”

ITEM 41. Amend subparagraph 41.1(3)“a”(6) as follows:

(6) Gonad shielding of not less than 0.25 0.50 millimeter lead equivalent shall be used for human patients, who have not passed the reproductive age, during radiographic procedures in which the gonads are in the useful beam, except for cases in which this would interfere with the diagnostic procedure.

ITEM 42. Amend 41.1(3)“f”(1)“2” as follows:

2. The temperature of solutions in the tanks shall be maintained within the range of 60ºF to 80ºF (16ºC to 27ºC). Film shall be developed in accordance with the time–temperature relationships recommended by the film manufacturer or, in the absence of such recommendations, with the time–temperature chart available from the agency.

ITEM 43. Amend 41.1(3)“f”(2)“1” as follows:

1. Films shall be developed in accordance with the time–temperature relationships recommended by the film manu–facturer; in the absence of such recommendations, the film shall be developed using the chart available from the agency.

ITEM 44. Amend paragraph 41.1(3)“f” by adopting new subparagraph (4) as follows:

(4) Records shall be maintained to verify that the items in 41.1(3)“f” are performed according to the requirements. Records may be discarded only after an agency inspection has been completed and the facility determined to be in compliance.

ITEM 45. Amend paragraph 41.1(4)“i” as follows:

i. Locks. All position locking, holding, and centering devices on X–ray system components and systems shall function as intended. All X–ray systems shall be maintained in good mechanical repair and comply with all state and local electrical code requirements.

ITEM 46. Amend subrule 41.1(6), catchwords, as follows:

41.1(6) Radiographic systems, other than fluoroscopic, dental intraoral, veterinary, or computed tomography X–ray systems.

ITEM 47. Rescind 41.1(6)“h”(1)“3.”

ITEM 48. Amend subparagraph 41.1(7)“c”(5) as follows:

(5) Each X–ray exposure switch shall be located in such a way as to meet the following requirements:

1. Stationary X–ray systems shall be required to have the X–ray exposure switch so that the operator is required to remain in the protected area during the entire exposure; and Stationary X–ray systems shall be required to have the X–ray exposure switch located in a protected area or have an exposure switch cord of sufficient length to permit the operator to activate the unit while in a protected area, e.g., corridor outside the operatory. The procedures required under 41.1(3)“a”(4) must instruct the operator to remain in the protected area during the entire exposure.

2. Mobile and portable X–ray systems which are:

• Used for greater than one week in the same location, i.e., a room or suite, shall meet the requirements of 41.1(7)“c”(5)“1.”

• Used for greater than one hour and less than one week at the same location, i.e., a room or suite, shall meet the requirements of the above paragraph or be provided with a 6.5 foot (1.98 m) high protective barrier or means to allow the operator to be at least 9 feet (2.7 meters) from the tube housing assembly while making exposure.

ITEM 49. Amend subrule 41.1(9) by adopting the following new paragraphs:

e. Bone densitometry on human patients shall be conducted only under a prescription of a licensed physician, a licensed physician assistant as defined in Iowa Code section 148C.1, subsection 6, or a licensed registered nurse who is registered as an advanced registered nurse practitioner pursuant to Iowa Code chapter 152.

f. During the operation of the bone densitometry system:

(1) The operator, ancillary personnel, and members of the general public shall be positioned at least one meter from the patient and bone densitometry system during the examination.

(2) The operator shall advise the patient that the bone densitometry examination is a type of X–ray procedure.

g. Equipment shall be maintained and operated in accordance with the manufacturer’s specifications. Records of maintenance shall be kept for inspection by the agency.

ITEM 50. Amend subrule 41.1(11), paragraph “a,” introductory paragraph, as follows:

a. Definitions. In addition to the definitions provided in 641—38.2(136C), 641-40.2(136C), and 41.1(2), the following definitions shall be applicable to 41.1(11):

ITEM 51. Amend subrule 41.2(14), paragraph “c,” as follows:

c. When a misadministration involves a diagnostic procedure, the radiation safety officer shall promptly investigate its cause, make a record for agency review, and retain the record as directed in 41.2(14)“d.” The licensee shall also notify the referring physician and the agency in writing on IDPH Form #588–2608 or equivalent within 15 days if the misadministration involved the use of radioactive material not intended for medical use, administration of dosage five–fold different from the intended dosage, or administration of radioactive material such that the patient or human research subject is likely to receive an organ dose greater than 2 rems (0.02 Sv) or a whole body dose greater than 500 millirems (5 mSv) a dose exceeding 5 rem (0.05 Sv) effective dose equivalent or 50 rem (0.5 Sv) dose equivalent to any individual organ. Licensees may use dosimetry tables in package inserts, corrected only for amount of radioactivity administered, to determine whether a report is required.

ITEM 52. Amend subparagraph 41.2(60)“a”(2), numbered paragraphs “1” and “2,” as follows:

1. Radiation levels dose rates in restricted areas are not likely to cause personnel exposures any occupationallyexposed individual to receive a dose in excess of the limits specified in 641—40.15(136C); and

2. Radiation levels dose rates in controlled or unrestricted areas do not exceed are not likely to cause any individual member of the public to receive a dose in excess of the limits specified in 641—40.26(136C).

ITEM 53. Amend subrule 41.2(62), introductory paragraph, as follows:

41.2(62) Modification of teletherapy unit or room before beginning a treatment program. If the survey required by 41.2(60) indicates that an individual in an unrestricted area may be exposed to levels of radiation any individual member of the public is likely to receive a dose greater than those permitted by 641—40.26(136C) before beginning the treatment program, the licensee shall:

ITEM 54. Amend subrule 41.3(1), paragraph “b,” as follows:

b. The use of therapeutic radiation machines shall beby, or under the supervision of, a physician who meets the training/experience criteria established by 41.3(4)“c.” 41.3(5).

ITEM 55. Amend subrule 41.3(2), introductory paragraph, as follows:

41.3(2) Definitions. In addition to the definitions provided in 641-38.2(136C) and 641-40.2(136C), The the following definitions are specific to 641—41.3(136C).

ITEM 56. Amend subrule 41.3(2) by rescinding the following definitions: “beam axis,” “kilo electron volt (keV),” “radiation detector,” and “target–to–skin distance (TSD).”

ITEM 57. Amend subrule 41.3(2), definition of “filter,” as follows:

“Filter” means material placed in the useful beam to change beam quality or its intensity profile in therapeutic radiation machines subject to subrule 41.3(6).

ITEM 58. Amend subrule 41.3(12) as follows:

41.3(12) Records retention. All records required by 641—41.3(136C) shall be retained until disposal is authorized by the agency unless another retention period is specifically authorized in 41.3(136C). All required records shall be retained in an active file from at least the time of generation until the next agency inspection. Any required record generated before the last agency inspection may be microfilmed or otherwise archived as long as a complete copy can be retrieved until such time the agency authorizes final disposal.

ITEM 59. Rescind and reserve subrule 41.3(13).

ITEM 60. Amend subparagraph 41.3(17)“a”(1) by adopting new numbered paragraph “3” as follows:

3. For each therapeutic machine, the registrant shall determine, or obtain from the manufacturer, the leakage radiation existing at positions specified in 41.3(17)“a”(1)“1” and 41.3(17)“a”(1)“2” for the specified operating conditions. Records on leakage radiation measurements shall be maintained at the facility for inspection by the agency.

ITEM 61. Amend subparagraph 41.3(18)“a”(15) as follows:

(15) Selection of energy. Equipment capable of generating radiation beams of different energies shall meet the following requirements:

1. Irradiation shall not be possible until a selection of energy has been made at the treatment control panel;

2. The nominal energy value selected shall be displayed at the treatment control panel before and during irradiation; until reset manually for the next irradiation. After termination of irradiation, it shall be necessary to reset the nominal energy value selected before subsequent treatment can be initiated; and

3. Irradiation shall not be possible until the appropriate flattening filter or scattering foil for the selected energy is in its proper location.

ITEM 62. Amend subrule 41.3(18) as follows:

Amend paragraph “e” as follows:

e. Full calibration measurements.

(1) Full calibration of a therapeutic radiation machine subject to 41.3(18) shall be performed by, or under the direct supervision of, a radiation therapy physicist:

1. Before the first medical use following installation or reinstallation of the therapeutic radiation machine;

3. Before medical use under the following conditions:

• Whenever quality assurance check measurements indicate that the radiation output differs by more than 5 percent from the value obtained at the last full calibration and the difference cannot be reconciled; and

• Following any component replacement, major repair, or modification of components that could significantly affect the characteristics of the radiation beam. If the repair, replacement or modification does not affect all modes or energies, full calibration shall be performed on the effected mode/energy that is in most frequent clinical use at the facility. The remaining energies/modes may be validated with quality assurance check procedures against the criteria in 41.3(18)“e”(1)“3.”

(3) (2) The registrant shall use the dosimetry system described in 41.3(16)“c” to measure the radiation output for one set of exposure conditions. The remaining radiation measurements required in 41.3(18)“e”(2) may then be made using a dosimetry system that indicates relative dose rates; and

(4) (3) The registrant shall maintain a record of each calibration for the duration of the registration. The record shall include the date of the calibration, the manufacturer’s name, model number, and serial number for the therapeutic radiation machine, the model numbers and serial numbers of the instruments used to calibrate the therapeutic radiation machine, and the signature of the radiation therapy physicist responsible for performing the calibration.

Amend paragraph “f,” subparagraphs (1) and (3), as follows:

(1) Periodic quality assurance checks shall be performed on all therapeutic radiation machines subject to 41.3(18) at intervals not to exceed one week; as specified in Appendix D of 641-Chapter 41;

(3) The registrant shall use a dosimetry system which has been compared intercompared within the previous 12 months with the dosimetry system described in 41.3(16)“c”(1) to make the periodic quality assurance checks required in 41.3(18)“f”(2);

ITEM 63. Amend subrule 41.6(1), introductory paragraph, as follows:

41.6(1) Definitions. In addition to the definitions provided in 641—38.2(136C), 641—40.2(136C), and 641— 41.1(136C), the following definitions shall be applicable to this rule.

ITEM 64. Amend subrule 41.6(1) by rescinding the following definitions: “base density,” “base plus fog density,” “cassette,” “control chart,” “control limit,” “densitometer,” “detents,” “developer,” “developer replenishment,” “diagnostic mammography,” “fixer,” “fixer retention,” “focal spot size,” “fog,” “half–value layer (HVL),” “image contrast,” “image quality,” “image sharpness,” “kilovoltage, peak (kVp),” “milliampere (mA) setting,” “milliampere seconds (mAs),” “physician consultant,” “processor,” “quality assurance,” “quality control,” “quality control technologist,” “radiographic contrast,” “radiographic noise,” “radiographic sharpness,” “repeat (or reject) analysis,” “replenishment rate,” “safelight,” “screen,” “screen–film combination,” “screen–film contact,” “sensitometer,” “sensitometric strip,” “sensitometry,” “thermoluminescent dosimeter (TLD),” and “viewbox.”

ITEM 65. Amend subrule 41.6(1) as follows:

Amend the following definition:

“Phantom” means an artificial test object which simulates the average composition of and various structures within the breast. A “good breast phantom” should have an established correlation with clinical image quality, allowing objective rather than subjective analysis, and should be sensitive to small changes in mammographic image quality. used to simulate radiographic characteristics of compressed breast tissue and containing components that radiographically model aspects of breast disease and cancer.

Adopt the following new definitions in alphabetical order:

“Accreditation body” means an entity that has been approved by FDA to accredit mammography facilities.

“Action limits” or “action levels” means the minimum and maximum values of a quality assurance measurement that can be interpreted as representing acceptable performance with respect to the parameter being tested. Values less than the minimum or greater than the maximum action limit or level indicate that corrective action must be taken by the facility. Action limits or levels are also sometimes called control limits or levels.

“Adverse event” means an undesirable experience associated with mammography activities. Adverse events include but are not limited to:

1. Poor image quality;

2. Failure to send mammography reports within 30 days to the referring physician or in a timely manner to the self–referred patient; and

3. Use of personnel who do not meet the applicable requirements of this chapter.

“Air kerma” means kerma in a given mass of air. The unit used to measure the quantity of air kerma is the Gray (Gy). For X–rays with energies less than 300 kiloelectronvolts (keV), 1 Gray of absorbed dose is delivered by 114 roentgens (R) of exposure.

“Breast implant” means a prosthetic device implanted in the breast.

“Calendar quarter” means any one of the following time periods during a given year: January 1 through March 31, April 1 through June 30, July 1 through September 30, or October 1 through December 31.

“Category 1” means medical education activities that have been designated as Category 1 by the Accreditation Council for Continuing Medical Education (ACCME), the American Osteopathic Association (AOA), a state medical society, or an equivalent organization.

“Certificate” means the certificate described in 41.6(2)“a”(2).

“Certification” means the process of approval of a facility by the FDA or this agency to provide mammography services.

“Clinical image” means a mammogram.

“Consumer” means an individual who chooses to comment or complain in reference to a mammography examination, including the patient or representative of the patient (e.g., family member or referring physician).

“Contact hour” means an hour of training received through direct instruction.

“Continuing education unit” or “continuing education credit” means one contact hour of training.

“Direct instruction” means:

1. Face–to–face interaction between instructor(s) and student(s), as when the instructor provides a lecture, conducts demonstrations, or reviews student performance; or

2. The administration and correction of student examinations by an instructor(s) with subsequent feedback to the student(s).

“Direct supervision” means that:

1. During joint interpretation of mammograms, the supervising interpreting physician reviews, discusses, and confirms the diagnosis of the physician being supervised and signs the resulting report before it is entered into the patient’s records; or

2. During the performance of a mammography examination or survey of the facility’s equipment and quality assurance program, the supervisor is present to observe and correct, as needed, the performance of the individual being supervised who is performing the examination or conducting the survey.

“Facility” means a hospital, outpatient department, clinic, radiology practice, mobile unit, office of a physician, or other facility that conducts mammography activities, including the following: operation of equipment to produce a mammogram, initial interpretation of the mammogram, and maintaining viewing conditions for that interpretation. This term does not include a facility of the Department of Veterans Affairs.

“FDA” means the Food and Drug Administration.

“First allowable time” means the earliest time a resident physician is eligible to take the diagnostic radiology boards from an FDA–designated certifying body. The “first allowable time” may vary with the certifying body.

“Interpreting physician” means a licensed radiologist who interprets mammograms and who meets the requirements set forth in 41.6(3)“a.”

“Kerma” means the sum of the initial energies of all the charged particles liberated by uncharged ionizing particles in a material of given mass.

“Laterality” means the designation of either the right or left breast.

“Lead interpreting physician” means the interpreting physician assigned the general responsibility for ensuring that a facility’s quality assurance program meets all of the requirements of this chapter. The administrative title and other supervisory responsibilities of the individual, if any, are left to the discretion of the facility.

“Mammogram” means a radiographic image produced through mammography.

“Mammographic modality” means a technology for radiography of the breast. Examples are screen–film mammography, xeromammography, and digital mammography.

“Mammography” means radiography of the breast but, for the purposes of 641—41.6(136C), does not include:

1. Radiography of the breast performed during invasive interventions for localization or biopsy procedures; or

2. Radiography of the breast performed with an investigational mammography device as part of a scientific study conducted in accordance with FDA investigational device exemption regulations.

“Mammography equipment evaluation” means an on–site assessment of the mammography unit or image processor performance by a medical physicist for the purpose of making a preliminary determination as to whether the equipment meets all of the applicable standards.

“Mammography medical outcomes audit” means a systematic collection of mammography results and the comparison of those results with outcomes data.

“Mammography unit(s)” means an assemblage of components for the production of X–rays for use during mammography including, at a minimum: an X–ray generator, an X–ray control, a tube housing assembly, a beam limiting device, and the supporting structures for these components.

“Mean optical density” means the average of the optical densities measured using phantom thicknesses of 2, 4, and 6 centimeters with values of kilovolt peak (kVp) clinically appropriate for those thicknesses.

“Medical physicist” means a person trained in evaluating the performance of mammography equipment and facility quality assurance programs and who meets the qualifications for a medical physicist set forth in 41.6(3)“c.”

“MQSA” means the Mammography Quality Standards Act of 1992.

“Multi–reading” means two or more physicians, at least one of whom is an interpreting physician, interpreting the same mammogram.

“Patient” means any individual who undergoes a mammography evaluation in a facility, regardless of whether the person is referred by a physician or is self–referred.

“Phantom image” means a radiographic image of a phantom.

“Physical science” means physics, chemistry, radiation science (including medical physics and health physics), and engineering.

“Positive mammogram” means a mammogram that has an overall assessment of findings that are either “suspicious” or “highly suggestive of malignancy.”

“Qualified instructor” means individuals whose training and experience adequately prepare them to carry out specified training assignments. Interpreting physicians, radiologic technologists, or medical physicists who meet the requirements of 41.6(3) would be considered qualified instructors in their respective areas of mammography. Other examples of individuals who may be qualified instructors for the purpose of providing training to meet the regulations of this chapter include, but are not limited to, instructors in a post–high school training institution and manufacturers’ representatives.

“Quality control technologist” means an individual meeting the requirements of 41.6(5)“a”(4) who is responsible for those quality assurance responsibilities not assigned to the lead interpreting physician or to the medical physicist.

“Radiographic equipment” means X–ray equipment used for the production of static X–ray images.

“Radiologic technologist” means an individual specifically trained in the use of radiographic equipment and in the positioning of patients for radiographic examinations and who meets the requirements set forth in 41.6(3)“b.”

“Serious adverse event” means an adverse event that may significantly compromise clinical outcomes or an adverse event for which a facility fails to take appropriate corrective action in a timely manner.

“Serious complaint” means a report of a serious adverse event.

“Standard breast” means a 4.2 centimeter (cm) thick compressed breast consisting of 50 percent glandular and 50 percent adipose tissue.

“Survey” means an on–site physics consultation and evaluation of a facility quality assurance program performed by a medical physicist.

“Time cycle” means the film development time.

“Traceable to a national standard” means an instrument is calibrated at either the National Institute of Standards and Technology (NIST) or at a calibration laboratory that participates in a proficiency program with NIST at least once every two years and the results of the proficiency test conducted within 24 months of calibration show agreement within ? 3 percent of the national standard in the mammography energy range.

ITEM 66. Amend subrule 41.6(2), paragraphs “a” and “b,” as follows:

a. Registration and certificates.

(1) Each radiation machine used to perform mammography shall be registered according to 641—subrule 39.3(2).

b. Each facility wishing to perform mammography shall apply for agency authorization by providing or verifying the following information for each mammography machine:

(1) to (5) No change.

(6) The entire mammography system is evaluated annually by a radiation physicist medical physicist.

(7) No change.

ITEM 67. Amend subrule 41.6(2), paragraph “c,” as follows:

c. Withdrawal or denial of mammography authorization.

(1) Mammography authorization may be withdrawn with cause if any facility or machine does not meet one or more of the standards of these rules, will not permit inspections or provide access to records or information in a timely fashion, or has been guilty of misrepresentation in obtaining the authorization.

(2) The facility shall have opportunity for a hearing in connection with a denial or withdrawal of mammography authorization in accordance with 641-Chapter 173.

(3) An emergency order withdrawing authorization may be issued in accordance with 641-173.31(17A) if the agency finds the radiation unit or facility violates rules that seriously affect the health, safety, and welfare of the public. An opportunity for hearing shall be held within five working days after the issuance of the order. The order shall be effective during the proceedings.

(4) If authorization is withdrawn, the radiation machine shall not be used for mammography until reinstated.

ITEM 68. Rescind subrule 41.6(3) and adopt the following new subrule in lieu thereof:

41.6(3) Mammography personnel. The following requirements apply to all personnel involved in any aspect of mammography, including the production, processing, and interpretation of mammograms and related quality assurance activities:

a. Interpreting physicians. All radiologists interpreting mammograms shall meet the following qualifications:

(1) Initial qualifications. Unless the exemption in 41.6(3)“a”(3)“1” applies, before beginning to interpret mammograms independently, the interpreting radiologist shall:

1. Be licensed to practice medicine in Iowa;

2. Be certified in an appropriate specialty area by a body determined by FDA to have procedures and requirements adequate to ensure that physicians certified by the body are competent to interpret radiological procedures, including mammography; or

• Have had at least three months of documented formal training in the interpretation of mammograms and in topics related to mammography. The training shall include instruction in radiation physics, including radiation physics specific to mammography, radiation effects, and radiation protection. The mammographic interpretation component shall be under the direct supervision of a radiologist who meets the requirements of 41.6(3)“a”;

3. Have a minimum of 60 hours of documented medical education in mammography, which shall include: instruction in the interpretation of mammograms and education in basic breast anatomy, pathology, physiology, technical aspects of mammography, and quality assurance and quality control in mammography. All 60 of these hours shall be category I and at least 15 of the category I hours shall have been acquired within the three years immediately prior to the date that the radiologist qualifies as an interpreting physician. Hours spent in residency specifically devoted to mammography will be considered as equivalent to category I continuing medical education credits and will be accepted if documented in writing by the appropriate representative of the training institution; and

4. Unless the exemption in 41.6(3)“a”(3)“2” applies, have interpreted or multi–read at least 240 mammographic examinations within the six–month period immediately prior to the date that the radiologist qualifies as an interpreting physician. This interpretation or multi–reading shall be under the direct supervision of an interpreting physician.

(2) Continuing experience and education. All interpreting physicians shall maintain their qualifications by meeting the following requirements:

1. Following the second anniversary date of the end of the calendar quarter in which the requirements of 41.6(3)“a”(1) were completed, the interpreting physician shall have interpreted or multi–read at least 960 mammographic examinations during the 24 months immediately preceding the date of the facility’s annual MQSA inspection or the last day of the calendar quarter immediately preceding the inspection or any date in between the two. The facility will choose one of these dates to determine the 24–month period;

2. Following the third anniversary date of the end of the calendar quarter in which the requirements of 41.6(3)“a”(1) were completed, the interpreting physician shall have taught or completed at least 15 category I continuing education units in mammography during the 36 months immediately preceding the date of the facility’s annual MQSA inspection or the last day of the calendar quarter immediately preceding the inspection or any date in between the two. The facility will choose one of these dates to determine the 36–month period. This training shall include at least six category I continuing medical education credits in each mammographic modality used by the interpreting physician in the interpreting physician’s practice; and

3. Before an interpreting physician may begin independently interpreting mammograms produced by a new mammographic modality, that is, a mammographic modality in which the physician has not previously been trained, the interpreting physician shall have at least 8 hours of training in the new mammographic modality.

4. Units earned through teaching a specific course can be counted only once towards the 15 required by 41.6(3)“a”(2)“2” even if the course is taught multiple times during the previous 36 months.

(3) Exemptions.

1. Those physicians who qualified as interpreting physicians under 41.6(3)“a” or FDA interim regulations prior to April 28, 1999, are considered to have met the initial requirements of 41.6(3)“a.” They may continue to interpret mammograms provided they continue to meet the licensure requirements of 41.6(3)“a”(1)“1” and the continuing experience and education requirements of this subrule.

2. Physicians who have interpreted or multi–read at least 240 mammographic examinations under the direct supervision of an interpreting physician in any six–month period during the last two years of a diagnostic radiology residency and who become appropriately board certified at the first allowable time, as defined by an eligible certifying body, are otherwise exempt from 41.6(3)“a”(1)“4.”

(4) Reestablishing qualifications. Interpreting physicians who fail to maintain the required continuing experience or continuing education requirements shall reestablish their qualifications before resuming the independent interpretation of mammograms, as follows:

1. Interpreting physicians who fail to meet the continuing experience requirements of 41.6(3)“a”(2)“1” shall:

• Interpret or multi–read at least 240 mammographic examinations under the direct supervision of an interpreting physician, or

• Interpret or multi–read a sufficient number of mammographic examinations, under the direct supervision of an interpreting physician, to bring the physician’s total up to 960 examinations for the prior 24 months, whichever is less.

The interpretations required under 41.6(3)“a”(4)“1” shall be done within the six months immediately prior to resuming independent interpretation.

2. Interpreting physicians who fail to meet the continuing education requirements of 41.6(3)“a”(2)“2” shall obtain a sufficient number of additional category I continuing medical education credits in mammography to bring their total up to the required 15 credits in the previous 36 months before resuming independent interpretation.

b. Radiologic technologists. All mammographic examinations shall be performed by general radiographers who meet the following general requirements, mammography requirements, and continuing education and experience requirements:

(1) General requirements. Be permitted to operate as a general radiographer in Iowa; and

(2) Mammography requirements. Prior to April 28, 1999, have qualified as a radiologic technologist under 41.6(3)“b” or have completed at least 40 contact hours of documented training specific to mammography under the supervision of a qualified instructor. The hours of documented training shall include, but not necessarily be limited to:

1. Training in breast anatomy and physiology, positioning and compression, quality assurance/quality control techniques, and imaging of patients with breast implants;

2. The performance of a minimum of 25 examinations under the direct supervision of an individual qualified under 41.6(3)“b”; and

3. At least 8 hours of training in each mammography modality to be used by the technologist in performing mammography examinations; and

(3) Continuing education requirements.

1. Following the third anniversary date of the end of the calendar quarter in which the requirements of 41.6(3)“b”(1) were completed, the radiologic technologist shall have taught or completed at least 15 continuing education units in mammography during the 36 months immediately preceding the date of the facility’s annual MQSA inspection or the last day of the calendar quarter preceding the inspection or any date in between the two. The facility will choose one of these dates to determine the 36–month period.

2. Units earned through teaching a specific course can be counted only once towards the 15 required in 41.6(3)“b”(3)“1” even if the course is taught multiple times during the previous 36 months.

3. At least 6 of the continuing education units required in this subrule shall be related to each mammographic modality used by the technologist.

4. Requalification. Radiologic technologists who fail to meet the continuing education requirements of 41.6(3)“b”(3)“1” shall obtain a sufficient number of continuing education units in mammography to bring their total up to at least 15 in the previous three years, at least 6 of which shall be related to each modality used by the technologist in mammography. The technologist may not resume performing unsupervised mammography examinations until the continuing education requirements are completed.

5. Before a radiologic technologist may begin independently performing mammographic examinations using a mammographic modality other than one of those for which the technologist received training under 41.6(3)“b”(2)“3,” the technologist shall have at least 8 hours of continuing education units in the new modality.

(4) Continuing experience requirements.

1. Following the second anniversary date of the end of the calendar quarter in which the requirements of 41.6(3)“b”(1) and (2) were completed or October 28, 1999, whichever is later, the radiologic technologist shall have performed a minimum of 200 mammography examinations during the 24 months immediately preceding the date of the facility’s annual inspection or the last day of the calendar quarter preceding the inspection or any date in between the two. The facility will choose one of these dates to determine the 24–month period.

2. Requalification. Radiologic technologists who fail to meet the continuing experience requirements of this subrule shall perform a minimum of 25 mammography examinations under the direct supervision of a qualified radiologic technologist before resuming the performance of unsupervised mammography examinations.

c. Medical physicists. All medical physicists conducting surveys of mammography facilities and providing oversight of the facility quality assurance program under 41.6(3)“c”(2) shall meet the following:

(1) Initial qualifications.

1. Be Iowa approved; and

2. Have a master’s degree or higher in a physical science from an accredited institution, with no less than 20 semester hours or 30 quarter hours of college undergraduate or graduate level physics;

3. Have 20 contact hours of documented specialized training in conducting surveys of mammography facilities; and

4. Have experience conducting surveys in at least one mammography facility and have a total of at least 10 mammography units. No more than one survey of a specific unit within a period of 60 days can be counted towards the total mammography unit survey requirement. After April 28, 1999, experience conducting surveys must be acquired under the direct supervision of a medical physicist who meets all the requirements of this subrule; or

(2) Alternative initial qualifications.

1. Have qualified as a medical physicist under FDA interim regulations and have retained that qualification by maintenance of the active status of any licensure, approval, or certification required under the interim regulations; and

2. Prior to April 28, 1999, have:

• A bachelor’s degree or higher in a physical science from an accredited institution with no less than 10 semester hours or equivalent of college undergraduate or graduate level physics,

• Forty contact hours of documented specialized training in conducting surveys of mammography facilities, and

• Have experience conducting surveys in at least one mammography facility and have a total of at least 20 mammography units. No more than one survey of a specific unit within a period of 60 days can be counted towards the total mammography unit survey requirement. The training and experience requirements must be met after fulfilling the degree requirement.

(3) Continuing qualifications.

1. Continuing education. Following the third anniversary date of the end of the calendar quarter in which the requirements of 41.6(3)“c”(1) or (2) were completed, the medical physicist shall have taught or completed at least 15 continuing education units in mammography during the 36 months immediately preceding the date of the facility’s annual inspection or the last day of the calendar quarter preceding the inspection or any date in between the two. The facility shall choose one of these dates to determine the 36–month period. This continuing education shall include hours of training appropriate to each mammographic modality evaluated by the medical physicist during the physicist’s surveys or oversight of quality assurance programs. Units earned through teaching a specific course can be counted only once towards the required 15 units in a 36–month period, even if the course is taught multiple times during the 36 months.

2. Continuing experience. Following the second anniversary date of the end of the calendar quarter in which the requirements of this subrule were completed or April 28, 1999, whichever is later, the medical physicist shall have surveyed at least two mammography facilities and a total of at least 6 mammography units during the 24 months immediately preceding the date of the facility’s annual MQSA inspection or the last day of the calendar quarter immediately preceding the inspection or any date between the two. The facility shall choose one of these dates to determine the 24–month period. No more than one survey of a specific facility within a 10–month period or a specific unit within a period of 60 days can be counted towards this requirement.

3. Before a medical physicist may begin independently performing mammographic surveys of a new mammographic modality, that is, a mammographic modality other than one for which the physicist received training to qualify under this subrule, the physicist must receive at least 8 hours of training in surveying units of the new mammographic modality.

(4) Reestablishing qualifications. Medical physicists who fail to maintain the required continuing qualifications of this subrule may not perform the MQSA surveys without the supervision of a qualified medical physicist. Before independently surveying another facility, medical physicists must reestablish their qualifications as follows:

1. Medical physicists who fail to meet the continuing education requirements of this subrule shall obtain a sufficient number of continuing education units to bring their total units up to the required 15 in the previous three years.

2. Medical physicists who fail to meet the continuing experience requirements of this subrule shall complete a sufficient number of surveys under the direct supervision of a medical physicist who meets the qualifications of this subrule to bring their total surveys up to the required two facilities and 6 units in the previous 24 months. No more than one survey of a specific unit within a period of 60 days can be counted towards the total mammography unit survey requirement.

d. Retention of personnel records. Facilities shall maintain records to document the qualifications of all personnel who worked at the facility as interpreting physicians, general radiographers, or medical physicists. These records must be available for review by the MQSA inspectors. Records of personnel no longer employed by the facility should not be discarded until the next annual inspection has been completed and the agency has determined that the facility is in compliance with the MQSA personnel requirements.

ITEM 69. Amend subrule 41.6(4) as follows:

41.6(4) Obtaining and preserving records.

a. The supplier facility of the current mammography examination must make all reasonable efforts to obtain the patient’s recent mammography records, including original images or films, copies of written reports prepared by interpreting physicians, and other relevant information pertinent to previous mammograms that might be available from others, for comparison with the current mammography records.

b. The supplier facility must make, for each patient, a record of the mammography services it provides, including: a written report of each mammography examination performed. This report shall include:

(1) The date the mammography procedure was performed. and

(2) the The date of the interpretation.

(2) (4) The name of the patient and an additional patient identifier.

(4) (5) A description of the procedures performed.

(5) (6) The name of the referring physician (if any) or other physician (if any) identified by the patient to receive the interpreting physician’s written report.

(6) (7) The date the interpreting physician’s written report was sent to the appropriate physician or patient.

c. Preservation of records.

(1) The supplier facility must provide satisfactory assurances (as documented in its medical records) that the images or films of the first and subsequent mammography procedures and the related written reports of the interpreting physician for each patient are either placed in the patient’s medical record kept by the supplier facility or sent for placement in the patient’s medical record as directed by the patient’s physician or the patient.

(2) Records retained by the supplier facility must be retained for at least 60 calendar months following the date of service or not less than ten years, if no additional mammograms of the patient are performed.

(3) If the supplier facility should cease to exist before the end of the 60–month period, the records must be transferred to the patient or patient’s physician or other mammographic facility.

ITEM 70. Amend subrule 41.6(5), paragraphs “a” to “c,” as follows:

a. The supplier facility shall ensure that the facility has an equipment quality assurance program specific to mammography and covering all components of the system, to ensure consistently high–quality images with minimum patient exposure. Responsibility for the quality assurance program and for each of its elements shall be assigned to individuals who are qualified for their assignments and who shall be allowed adequate time to perform these duties.

b. The supplier facility shall ensure that a general review of the program is conducted at least annually and have available the services of a qualified radiation medical physicist who is capable of establishing and conducting the program.

c. Under the direction of the lead interpreting physician consultant, the radiation medical physicist shall have responsibility for establishing and conducting the equipment quality assurance program. The program shall include:

(1) to (3) No change.

ITEM 71. Amend subrule 41.6(5), paragraph “h,” as follows:

h. Retake analysis program.

(1) A program shall be established as a further aid in detecting and correcting problems affecting image quality or exposure.

(2) All retakes shall be logged including date, technologist’s name and reason for retake. A retake analysis shall be performed every 250 patients or quarterly, whichever comes first.

ITEM 72. Amend subrule 41.6(5) as follows:

Amend paragraph “i” as follows:

i. Medical outcomes audit. Each facility shall establish a system for reviewing outcome data from all mammography performed, including follow–up on the disposition of positive mammograms and correlation of surgical biopsy results with mammogram reports. the interpreting physician’s findings. This program shall be designed to ensure the reliability, clarity, and accuracy of the interpretation of mammograms.