IOWA ADMINISTRATIVEBULLETIN
Published Biweekly VOLUME XXII NUMBER 23 May 17,
2000 Pages 1613 to 1748
CONTENTS IN THIS ISSUE
Pages 1624 to 1729 include ARC 9814A to ARC
9842A
AGRICULTURE AND LAND
STEWARDSHIP
DEPARTMENT[21]
Filed, Motor vehicle fuel—MTBE, 85.33
ARC
9842A 1692
ALL AGENCIES
Schedule for rule making 1616
Publication procedures 1617
Administrative rules on CD–ROM 1617
Agency identification numbers 1622
CITATION OF ADMINISTRATIVE RULES 1615
CRIMINAL AND JUVENILE JUSTICE
PLANNING
DIVISION[428]
HUMAN RIGHTS
DEPARTMENT[421]“umbrella”
Notice, Juvenile crime prevention community
grant program;
reorganization of rules,
chs 1, 3, 4, 5 ARC 9841A 1624
DENTAL EXAMINERS BOARD[650]
PUBLIC HEALTH
DEPARTMENT[641]“umbrella”
Notice, Standards of practice and professional
ethics;
record keeping, 27.2, 27.11
ARC 9818A 1630
ECONOMIC DEVELOPMENT, IOWA
DEPARTMENT
OF[261]
Notice, Housing fund, 25.5 ARC 9820A 1631
Notice, Local housing assistance program,
28.5(5) ARC
9819A 1631
Filed, Housing fund, 25.8(3) ARC 9821A 1692
Filed, Community economic betterment
program, 53.2, 53.6(1)
ARC 9822A 1693
Filed, Iowa export trade assistance program,
68.1 to 68.8
ARC 9823A 1694
EMERGENCY MANAGEMENT DIVISION[605]
PUBLIC DEFENSE
DEPARTMENT[601]“umbrella”
Notice, Organization, 1.1, 1.2 ARC
9828A 1632
Notice, Agency procedures; Iowa emergency
plan, chs 2 to 6,
9 ARC 9827A 1633
Notice, Local emergency management, ch 7
ARC
9826A 1647
Notice, Criteria for awards or grants, ch 8
ARC
9825A 1647
Filed Emergency, Local emergency management,
ch 7 ARC
9824A 1686
ENVIRONMENTAL
PROTECTION
COMMISSION[567]
NATURAL RESOURCES
DEPARTMENT[561]“umbrella”
Notice, Water quality standards, 61.2, 61.3
ARC
9839A 1648
FAIR BOARD[371]
Notice, Restrictions on pets, 8.4 ARC
9832A 1667
HUMAN SERVICES DEPARTMENT[441]
Notice, Applying county institutional credit
balances,
28.13 ARC 9829A 1668
Notice, Child support guidelines and criteria,
99.2,
99.4(5) ARC 9830A 1669
Notice, Child support parental obligation
pilot projects,
ch 100 ARC 9831A 1670
LABOR SERVICES DIVISION[875]
WORKFORCE DEVELOPMENT
DEPARTMENT[871]“umbrella”
Amended Notice, Asbestos removal
and encapsulation, rescind
chs 81, 82;
adopt ch 155 ARC 9833A 1674
PROFESSIONAL LICENSURE DIVISION[645]
PUBLIC HEALTH
DEPARTMENT[641]“umbrella”
Notice, Hearing aid dealers, 120.1(5),
120.6 to 120.14,
120.212, ch 121
ARC 9834A 1674
PUBLIC HEARINGS
Summarized list 1618
PUBLIC SAFETY DEPARTMENT[661]
Notice, Parking for persons with disabilities,
18.1 to 18.8
ARC 9840A 1678
RACING AND GAMING COMMISSION[491]
INSPECTIONS AND APPEALS
DEPARTMENT[481]“umbrella”
Filed, Trifecta wagering; grounds for denial,
suspension or
revocation of license; labor
organization registration, 8.2(13),
13.10(8),
13.14 ARC 9814A 1695
REVENUE AND FINANCE DEPARTMENT[701]
Notice, Prescription and nonprescription drugs
and
devices—taxation and exemption,
20.7 to 20.9 ARC
9838A 1680
Notice, Application of related expense
to allocable
interest, dividends, rents and
royalties, 54.3, 54.9, 59.29 ARC
9837A 1682
Notice, Cigarette sales, 84.2, 84.4
ARC
9836A 1683
SUPREME COURT
Decisions summarized 1730
TRANSPORTATION DEPARTMENT[761]
Notice, Lighting on freeways, 150.2(3)
ARC
9817A 1684
UTILITIES DIVISION[199]
COMMERCE
DEPARTMENT[181]“umbrella”
Filed, Unauthorized changes in
telecommunications service,
6.8,
22.23 ARC 9835A 1696
WORKFORCE DEVELOPMENT BOARD/
SERVICES
DIVISION[877]
WORKFORCE DEVELOPMENT
DEPARTMENT[871]“umbrella”
Filed, Workforce development board,
1.1(2), 1.4 to 1.6
ARC 9816A 1702
Filed, Iowa workforce investment act program,
ch 7 ARC
9815A 1704
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
__________________________________
PREFACE
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.
Subscriptions and Distribution Telephone:
(515)242–5120
Fax: (515)242–5974
KATHLEEN K. BATES, Administrative Code
Editor Telephone: (515)281–3355
STEPHANIE A. HOFF, Assistant
Editor (515)281–8157
Fax: (515)281–4424
SUBSCRIPTION
INFORMATION
Iowa Administrative
Bulletin
The Iowa Administrative Bulletin is sold as a separate
publication and may be purchased by subscription or single copy. All
subscriptions will expire on June 30 of each year. Subscriptions must be paid
in advance and are prorated quarterly.
July 1, 1999, to June 30, 2000 $253.86 plus
$12.69 sales tax
Iowa Administrative
Code
The Iowa Administrative Code and Supplements are sold in
complete sets and subscription basis only. All subscriptions for the Supplement
(replacement pages) must be for the complete year and will expire on June 30 of
each year.
Prices for the Iowa Administrative Code and its Supplements
are as follows:
Iowa Administrative Code - $1,163.76 plus $58.19 sales
tax
(Price includes 22 volumes of rules and index, plus a
one–year subscription to the Code Supplement and the Iowa Administrative
Bulletin.)
Iowa Administrative Code Supplement - $409.24 plus
$20.46 sales tax
(Subscription expires June 30, 2000)
All checks should be made payable to the Iowa State Printing
Division. Send all inquiries and subscription orders to:
Customer Service Center
Department of General Services
Hoover State Office Building, Level A
Des Moines, IA 50319
Telephone: (515)242–5120
Schedule for Rule
Making
2000
NOTICE SUBMISSION
DEADLINE
|
NOTICE PUB.
DATE
|
HEARING OR COMMENTS 20
DAYS
|
FIRST POSSIBLE ADOPTION
DATE 35 DAYS
|
ADOPTED FILING DEADLINE
|
ADOPTED PUB.
DATE
|
FIRST POSSIBLE
EFFECTIVE DATE
|
POSSIBLE EXPIRATION OF NOTICE 180
DAYS
|
Dec. 24 ’99
|
Jan. 12 ’00
|
Feb. 1 ’00
|
Feb. 16 ’00
|
Feb. 18 ’00
|
Mar. 8 ’00
|
Apr. 12 ’00
|
July 10 ’00
|
Jan. 7
|
Jan. 26
|
Feb. 15
|
Mar. 1
|
Mar. 3
|
Mar. 22
|
Apr. 26
|
July 24
|
Jan. 21
|
Feb. 9
|
Feb. 29
|
Mar. 15
|
Mar. 17
|
Apr. 5
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May 10
|
Aug. 7
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Feb. 4
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Feb. 23
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Mar. 14
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Mar. 29
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Mar. 31
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Apr. 19
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May 24
|
Aug. 21
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Feb. 18
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Mar. 8
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Mar. 28
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Apr. 12
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Apr. 14
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May 3
|
June 7
|
Sept. 4
|
Mar. 3
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Mar. 22
|
Apr. 11
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Apr. 26
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Apr. 28
|
May 17
|
June 21
|
Sept. 18
|
Mar. 17
|
Apr. 5
|
Apr. 25
|
May 10
|
May 12
|
May 31
|
July 5
|
Oct. 2
|
Mar. 31
|
Apr. 19
|
May 9
|
May 24
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May 26
|
June 14
|
July 19
|
Oct. 16
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Apr. 14
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May 3
|
May 23
|
June 7
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June 9
|
June 28
|
Aug. 2
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Oct. 30
|
Apr. 28
|
May 17
|
June 6
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June 21
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June 23
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July 12
|
Aug. 16
|
Nov. 13
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May 12
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May 31
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June 20
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July 5
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July 7
|
July 26
|
Aug. 30
|
Nov. 27
|
May 26
|
June 14
|
July 4
|
July 19
|
July 21
|
Aug. 9
|
Sept. 13
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Dec. 11
|
June 9
|
June 28
|
July 18
|
Aug. 2
|
Aug. 4
|
Aug. 23
|
Sept. 27
|
Dec. 25
|
June 23
|
July 12
|
Aug. 1
|
Aug. 16
|
Aug. 18
|
Sept. 6
|
Oct. 11
|
Jan. 8 ’01
|
July 7
|
July 26
|
Aug. 15
|
Aug. 30
|
Sept. 1
|
Sept. 20
|
Oct. 25
|
Jan. 22 ’01
|
July 21
|
Aug. 9
|
Aug. 29
|
Sept. 13
|
Sept. 15
|
Oct. 4
|
Nov. 8
|
Feb. 5 ’01
|
Aug. 4
|
Aug. 23
|
Sept. 12
|
Sept. 27
|
Sept. 29
|
Oct. 18
|
Nov. 22
|
Feb. 19 ’01
|
Aug. 18
|
Sept. 6
|
Sept. 26
|
Oct. 11
|
Oct. 13
|
Nov. 1
|
Dec. 6
|
Mar. 5 ’01
|
Sept. 1
|
Sept. 20
|
Oct. 10
|
Oct. 25
|
Oct. 27
|
Nov. 15
|
Dec. 20
|
Mar. 19 ’01
|
Sept. 15
|
Oct. 4
|
Oct. 24
|
Nov. 8
|
Nov. 10
|
Nov. 29
|
Jan. 3 ’01
|
Apr. 2 ’01
|
Sept. 29
|
Oct. 18
|
Nov. 7
|
Nov. 22
|
Nov. 24
|
Dec. 13
|
Jan. 17 ’01
|
Apr. 16 ’01
|
Oct. 13
|
Nov. 1
|
Nov. 21
|
Dec. 6
|
Dec. 8
|
Dec. 27
|
Jan. 31 ’01
|
Apr. 30 ’01
|
Oct. 27
|
Nov. 15
|
Dec. 5
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Dec. 20
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Dec. 22
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Jan. 10 ’01
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Feb. 14 ’01
|
May 14 ’01
|
Nov. 10
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Nov. 29
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Dec. 19
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Jan. 3 ’01
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Jan. 5 ’01
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Jan. 24 ’01
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Feb. 28 ’01
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May 28 ’01
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Nov. 24
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Dec. 13
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Jan. 2 ’01
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Jan. 17 ’01
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Jan. 19 ’01
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Feb. 7 ’01
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Mar. 14 ’01
|
June 11 ’01
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Dec. 8
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Dec. 27
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Jan. 16 ’01
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Jan. 31 ’01
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Feb. 2 ’01
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Feb. 21 ’01
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Mar. 28 ’01
|
June 25 ’01
|
Dec. 22
|
Jan. 10 ’01
|
Jan. 30 ’01
|
Feb. 14 ’01
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Feb. 16 ’01
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Mar. 7 ’01
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Apr. 11 ’01
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July 9 ’01
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Jan. 5 ’01
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Jan. 24 ’01
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Feb. 13 ’01
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Feb. 28 ’01
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Mar. 2 ’01
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Mar. 21 ’01
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Apr. 25 ’01
|
July 23 ’01
|
PRINTING SCHEDULE FOR IAB
|
ISSUE NUMBER
|
SUBMISSION DEADLINE
|
ISSUE DATE
|
25
|
Friday, May 26, 2000
|
June 14, 2000
|
26
|
Friday, June 9, 2000
|
June 28, 2000
|
27
|
Friday, June 23, 2000
|
July 12, 2000
|
PLEASE
NOTE:
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.
PUBLICATION PROCEDURES
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.
1. To facilitate the processing of rule–making
documents, we request a 3.5” High Density (not Double Density) IBM
PC–compatible diskette of the rule making. Please indicate on each
diskette the following information: agency name, file name, format used for
exporting, and chapter(s) amended. Diskettes may be delivered to the
Administrative Code Division, 1st Floor, Lucas State Office Building or included
with the documents submitted to the Governor’s Administrative Rules
Coordinator.
2. Alternatively, if you have Internet E–mail access,
you may send your document as an attachment to an E–mail message,
addressed to both of the following:
bcarr@legis.state.ia.us
kbates@legis.state.ia.us
Please note that changes made prior to publication of the
rule–making documents are reflected on the hard copy returned to agencies
by the Governor’s office, but not on the diskettes; diskettes are returned
unchanged.
Your cooperation helps us print the Bulletin more quickly and
cost–effectively than was previously possible and is greatly
appreciated.
______________________
IOWA ADMINISTRATIVE RULES and IOWA COURT RULES on
CD–ROM
1999 WINTER EDITION
Containing: Iowa Administrative Code (updated through
December 1999)
Iowa Administrative Bulletins (July 1999 through
December 1999)
Iowa Court Rules (updated through December
1999)
For free brochures and order forms contact:
Legislative Service Bureau
Attn: Ms. Stephanie
Cox
State Capitol
Des Moines, Iowa 50319
Telephone:
(515)281–3566 Fax:
(515)281–8027
lsbinfo@legis.state.ia.us
PUBLIC HEARINGS
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.
AGENCY
|
HEARING LOCATION
|
DATE AND TIME OF HEARING
|
CORRECTIONS DEPARTMENT[201]
|
|
Visits to offenders, 20.3 IAB 5/3/00 ARC
9813A
|
Conference Room—2nd Floor 420 Keo Way Des Moines,
Iowa
|
May 23, 2000 11 a.m. to 1 p.m.
|
CRIMINAL AND JUVENILE JUSTICE PLANNING
DIVISION[428]
|
|
Functions; juvenile justice youth development
program, chs 1, 3 to 5 IAB 5/17/00 ARC 9841A
|
Conference Room—1st Floor Human Rights
Department Lucas State Office Bldg. Des Moines, Iowa
|
June 6, 2000 1 p.m.
|
DENTAL EXAMINERS BOARD[650]
|
|
Standards of practice and principles of professional ethics;
record keeping, 27.2, 27.11 IAB 5/17/00 ARC 9818A
|
Conference Room Suite D 400 SW Eighth St. Des Moines,
Iowa
|
June 6, 2000 2 to 3 p.m.
|
ECONOMIC DEVELOPMENT, IOWA DEPARTMENT OF[261]
|
|
Housing fund, 25.5 IAB 5/17/00 ARC
9820A
|
Northeast Conference Rm.—2nd Floor 200 East Grand
Ave. Des Moines, Iowa
|
June 6, 2000 11 a.m.
|
LHAP application procedure, 28.5(5) IAB 5/17/00 ARC
9819A
|
Northeast Conference Rm.—2nd Floor 200 East Grand
Ave. Des Moines, Iowa
|
June 6, 2000 10 a.m.
|
EMERGENCY MANAGEMENT DIVISION[605]
|
|
Organization, 1.1, 1.2 IAB 5/17/00 ARC
9828A
|
Conference Room—Level A Hoover State Office
Bldg. Des Moines, Iowa
|
June 12, 2000 10 a.m.
|
Uniform rules on agency procedure; Iowa emergency
plan, chs 2 to 6, 9 IAB 5/17/00 ARC 9827A
|
Conference Room—Level A Hoover State Office
Bldg. Des Moines, Iowa
|
June 12, 2000 10 a.m.
|
Local emergency management, ch 7 IAB 5/17/00 ARC
9826A (See also ARC 9824A herein)
|
Conference Room—Level A Hoover State Office
Bldg. Des Moines, Iowa
|
June 12, 2000 10 a.m.
|
Criteria for awards or grants, ch 8 IAB 5/17/00 ARC
9825A
|
Conference Room—Level A Hoover State Office
Bldg. Des Moines, Iowa
|
June 12, 2000 10 a.m.
|
ENVIRONMENTAL PROTECTION COMMISSION[567]
|
|
Water quality standards, 61.2, 61.3 IAB 5/17/00 ARC
9839A
|
Meeting Room A Iowa City Public Library 123 S. Linn
St. Iowa City, Iowa
|
June 8, 2000 10 a.m.
|
|
Meeting Room City Hall 400 Claiborne Dr. Decorah,
Iowa
|
June 8, 2000 4 p.m.
|
|
Cherokee Community Center 530 W. Bluff St. Cherokee,
Iowa
|
June 12, 2000 11 a.m.
|
|
Meeting Room Clear Lake Community Center 15 N. Sixth
St. Clear Lake, Iowa
|
June 12, 2000 7 p.m.
|
|
Municipal Utilities Conference Room 15 W. Third
St. Atlantic, Iowa
|
June 15, 2000 11 a.m.
|
|
Conference Room—5th Floor West Wallace State Office
Building Des Moines, Iowa
|
June 16, 2000 1 p.m.
|
HUMAN SERVICES DEPARTMENT[441]
|
|
Child support guidelines—allowable deductions,
extraordinary visitation adjustment, 99.2, 99.4(5) IAB 5/17/00 ARC
9830A
|
Conference Room—6th Floor Iowa Bldg., Suite
600 411 3rd St. SE Cedar Rapids, Iowa
|
June 8, 2000 10 a.m.
|
|
Child Support Recovery Unit, Suite 32 300 West
Broadway Council Bluffs, Iowa
|
June 7, 2000 9 a.m.
|
|
Large Conference Room Bicentennial Bldg.—5th
Floor 428 Western Ave. Davenport, Iowa
|
June 7, 2000 10 a.m.
|
|
Bureau of Collections 400 SW Eighth St. Des Moines,
Iowa
|
June 8, 2000 9 a.m.
|
|
Liberty Room Mohawk Square 22 N. Georgia Ave. Mason
City, Iowa
|
June 7, 2000 10 a.m.
|
|
Conference Room 3 120 E. Main Ottumwa, Iowa
|
June 9, 2000 9 a.m.
|
|
Conference Room B, Suite 500 520 Nebraska St. Sioux
City, Iowa
|
June 7, 2000 10 a.m.
|
HUMAN SERVICES DEPARTMENT[441]
(Cont’d)
|
|
|
Child Support Recovery Unit Suite 400 510 Sycamore
St. Waterloo, Iowa
|
June 8, 2000 1:30 p.m.
|
Child support parental obligation pilot projects, ch
100 IAB 5/17/00 ARC 9831A
|
Conference Room—6th Floor Iowa Bldg., Suite
600 411 3rd St. SE Cedar Rapids, Iowa
|
June 8, 2000 10 a.m.
|
|
Child Support Recovery Unit, Suite 32 300 West
Broadway Council Bluffs, Iowa
|
June 7, 2000 9 a.m.
|
|
Large Conference Room Bicentennial Bldg.—5th
Floor 428 Western Ave. Davenport, Iowa
|
June 7, 2000 10 a.m.
|
|
Bureau of Collections 400 SW Eighth St. Des Moines,
Iowa
|
June 8, 2000 9 a.m.
|
|
Liberty Room Mohawk Square 22 N. Georgia Ave. Mason
City, Iowa
|
June 7, 2000 10 a.m.
|
|
Conference Room 3 120 E. Main Ottumwa, Iowa
|
June 9, 2000 9 a.m.
|
|
Conference Room B, Suite 500 520 Nebraska St. Sioux
City, Iowa
|
June 7, 2000 10 a.m.
|
|
Child Support Recovery Unit Suite 400 510 Sycamore
St. Waterloo, Iowa
|
June 8, 2000 1:30 p.m.
|
IOWA FINANCE AUTHORITY[265]
|
|
Local contributing effort; low–income housing tax
credits, 1.9, 9.29, 9.30, ch 12 IAB 5/3/00 ARC 9811A
|
Conference Room—2nd Floor 200 E. Grand Ave. Des
Moines, Iowa
|
May 25, 2000 8:30 a.m.
|
MEDICAL EXAMINERS BOARD[653]
|
|
Physician assistant supervision, ch 21 IAB 5/3/00
ARC 9794A
|
Suite C 400 SW Eighth St. Des Moines, Iowa
|
May 26, 2000 10 a.m.
|
NATURAL RESOURCE COMMISSION[571]
|
|
Nonresident deer hunting license, 94.8 IAB 5/3/00
ARC 9804A
|
Conference Room—4th Floor West Wallace State Office
Bldg. Des Moines, Iowa
|
May 23, 2000 10 a.m.
|
PROFESSIONAL LICENSURE DIVISION[645]
|
|
Hearing aid dealers examiners board, 120.1(5), 120.6 to
120.14, 120.212, ch 121 IAB 5/17/00 ARC 9834A
|
Board Conference Room—5th Floor Lucas State Office
Building Des Moines, Iowa
|
June 7, 2000 9 to 11 a.m.
|
PUBLIC HEALTH DEPARTMENT[641]
|
|
Health care plan disclosures, 201.19 IAB 5/3/00 ARC
9802A (ICN Network)
|
ICN Conference Room—6th Floor Lucas State Office
Bldg. Des Moines, Iowa
|
May 23, 2000 10 a.m.
|
|
National Guard Armory 1160 19th St. SW Mason City,
Iowa
|
May 23, 2000 10 a.m.
|
|
Burlington High School 421 Terrace Dr. Burlington,
Iowa
|
May 23, 2000 10 a.m.
|
|
National Guard Armory 170 Boulevard Rd. Keokuk,
Iowa
|
May 23, 2000 10 a.m.
|
|
Building A, Room 925 Western Iowa Tech Community
College-1 Sioux City, Iowa
|
May 23, 2000 10 a.m.
|
PUBLIC SAFETY DEPARTMENT[661]
|
|
Parking for persons with disabilities, 18.1 to 18.8 IAB
5/17/00 ARC 9840A
|
Conference Room—3rd Floor Wallace State Office
Bldg. Des Moines, Iowa
|
June 7, 2000 9:30 a.m.
|
TRANSPORTATION DEPARTMENT[761]
|
|
Lighting of freeways, 150.2(3) IAB 5/17/00 ARC
9817A
|
Commission Conference Room 800 Lincoln Way Ames,
Iowa
|
June 8, 2000 10 a.m. (If
requested)
|
AGENCY IDENTIFICATION
NUMBERS
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]
BEEF INDUSTRY COUNCIL, IOWA[101]
BLIND, DEPARTMENT FOR THE[111]
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]
EGG COUNCIL[301]
ELDER AFFAIRS DEPARTMENT[321]
EMPOWERMENT BOARD, IOWA[349]
ETHICS AND CAMPAIGN DISCLOSURE BOARD,
IOWA[351]
EXECUTIVE COUNCIL[361]
FAIR BOARD[371]
GENERAL SERVICES DEPARTMENT[401]
HUMAN INVESTMENT COUNCIL[417]
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]
LIVESTOCK HEALTH ADVISORY
COUNCIL[521]
MANAGEMENT DEPARTMENT[541]
Appeal Board, State[543]
City Finance Committee[545]
County Finance Committee[547]
NARCOTICS ENFORCEMENT ADVISORY
COUNCIL[551]
NATIONAL AND COMMUNITY SERVICE, IOWA COMMISSION
ON[555]
NATURAL RESOURCES DEPARTMENT[561]
Energy and Geological Resources Division[565]
Environmental Protection Commission[567]
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PERSONNEL DEPARTMENT[581]
PETROLEUM UNDERGROUND STORAGE TANK
FUND
BOARD, IOWA COMPREHENSIVE[591]
PREVENTION OF DISABILITIES POLICY
COUNCIL[597]
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Emergency Management Division[605]
Military Division[611]
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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]
RECORDS COMMISSION[671]
REGENTS BOARD[681]
Archaeologist[685]
REVENUE AND FINANCE DEPARTMENT[701]
Lottery Division[705]
SECRETARY OF STATE[721]
SEED CAPITAL CORPORATION,
IOWA[727]
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IOWA[741]
TELECOMMUNICATIONS AND TECHNOLOGY COMMISSION,
IOWA[751]
TRANSPORTATION DEPARTMENT[761]
Railway Finance Authority[765]
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TURKEY MARKETING COUNCIL,
IOWA[787]
UNIFORM STATE LAWS
COMMISSION[791]
VETERANS AFFAIRS COMMISSION[801]
VETERINARY MEDICINE BOARD[811]
VOTER REGISTRATION
COMMISSION[821]
WORKFORCE DEVELOPMENT DEPARTMENT[871]
Labor Services Division[875]
Workers’ Compensation Division[876]
Workforce Development Board and
Workforce Development
Center Administration Division[877]
NOTICES
ARC 9841A
CRIMINAL AND JUVENILE JUSTICE PLANNING
DIVISION[428]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code section 17A.3, the
Division of Criminal and Juvenile Justice Planning proposes to rescind Chapter
1, “Functions,” Chapter 3, “Juvenile Justice Advisory
Council,” Chapter 4, “Juvenile Crime Prevention Community Grant
Fund,” and Chapter 5, “Juvenile Accountability Incentive Block Grant
Program (JAIBG),” and adopt new Chapter 1, “Functions,” and
new Chapter 3, “Juvenile Justice Youth Development Program,” Iowa
Administrative Code.
A bill governing the juvenile crime prevention community grant
program, 2000 Iowa Acts, Senate File 2429, passed the legislature this past
session and awaits the Governor’s signature to be enacted into law.
Senate File 2429 would amend Iowa Code section 232.190 and would change the
distribution of funding for that program and require administrative rule
changes. Additionally, pursuant to the Governor’s Executive Order Numbers
8 and 9, the Division is reorganizing and amending its rules to consolidate
programs and facilitate the disbursement of funds to communities.
Consideration will be given to all written suggestions
received on or before June 6, 2000. Such written materials should be sent to
the Division of Criminal and Juvenile Justice Planning, Lucas State Office
Building, Des Moines, Iowa 50319.
Also, there will be a public hearing on June 6, 2000, at1 p.m.
in the Department of Human Rights Conference Room, First Floor, Lucas State
Office Building, Des Moines, Iowa, at which time persons may present their
views. Any persons who intend to attend a public hearing and have special
requirements such as hearing or mobility impairments should contact the Division
and advise of special needs.
This amendment does not provide for waivers because, in order
to fairly distribute funds, the same rules must apply to all
communities.
It is the Division’s intention to file these rules
emergency after notice because the rule changes need to be effective before the
Division can distribute funds to communities. The emergency after Notice filing
will benefit communities.
These rules are intended to implement Iowa Code sections
216A.131 to 216A.138 and section 232.190 as amended by 2000 Iowa Acts, Senate
File 2429.
The following amendment is proposed.
Rescind 428—Chapters 1, 3, 4, and
5, and adopt the following new chapters.
CHAPTER 1
FUNCTIONS
428—1.1(216A) Definitions. As used in this
chapter:
“Administrator” means the administrator of the
division of criminal and juvenile justice planning.
“Criminal and juvenile justice planning advisory council
(CJJPAC)” means the advisory council established in Iowa Code section
216A.132.
“Division” means the division of criminal and
juvenile justice planning.
“Juvenile justice advisory council (JJAC)” means
the state advisory group described in P. L. 93–415, Section 223(a)(3) and
established through executive order to oversee the administration of the
Juvenile Justice and Delinquency Prevention Act (JJDPA) formula grants in
Iowa.
428—1.2(216A,PL93–415) Function of the
division.
1.2(1) The division shall provide staff support to the
CJJPAC and the JJAC and shall assist them with the coordination of their
efforts. Additionally, the division shall perform functions consistent with the
duties and requirements outlined in Iowa Code chapter 216A, subchapter 9,P. L.
93–415 and other relevant federal and state requirements.
1.2(2) The division shall establish and maintain
procedures to collect and report all instances of juvenile detention and
confinement occurring in the state of Iowa consistent with P. L. 93–415,
Section 223(a)(15). The monitoring function shall include the
following:
a. The division shall collect relevant self–report
information and perform on–site verification of data from jails, police
lockups, juvenile detention facilities, state training schools, mental health
institutes, locked residential treatment facilities for youth and other secure
facilities.
b. Through written agreement, the jail inspection unit of the
department of corrections shall provide the division and the specific jails and
lockups with certification of their ability to separate juveniles and adults,
consistent with P. L. 93–415, Section 223(a)(13).
c. Through written agreement, the department of inspections
and appeals shall provide information to the division on holdings relative to
223(a)(12)(A) P. L. 93–415 in contracted private facilities that the
department of inspections and appeals has authority to inspect.
d. Through written agreement, the department of human services
shall provide information to the division on holdings relative to 223(a)(12)(A)
of P. L. 93–415 in state institutions that the department of human
services administers.
1.2(3) Inquiries shall be directed to the division,
the CJJPAC or the JJAC, Lucas State Office Building, Des Moines, Iowa 50319.
Office hours are 8 a.m. to 4:30 p.m., Monday through Friday.
428—1.3(216A) Function and activity of the
CJJPAC. The CJJPAC is established by Iowa Code section 216A.132 and is
charged with the responsibility to identify and analyze justice system issues of
concern; develop and assist others in implementing recommendations and plans for
system improvement; and provide for a clearinghouse of justice system
information to coordinate with data resource agencies and to assist others in
the use of justice system data. The CJJPAC shall advise the division on its
administration of state and federal grants and appropriations and shall carry
out other functions consistent with the intent of Iowa Code chapter 216A,
subchapter 9.
428—1.4(216A) Function and activity of the JJAC.
The JJAC is established through executive order pursuant to P. L. 93–415
to advise the division on juvenile justice issues; make recommendations to the
governor and legislature; review and comment on the division’s reporting
of Iowa’s compliance with the requirements of P. L. 93–415,
paragraphs 223(a)(12), (13), (14) and (23); advise the division on its
administration of state and federal grants and appropriations; supervise the
division’s administration of the Juvenile Justice and Delinquency
Prevention Act formula grant and Title V delinquency prevention programs
established in P. L. 93–415; and carry out other functions consistent with
the intent of P. L. 93–415.
428—1.5(216A) CJJPAC and JJAC
meetings.
1.5(1) Notice of meetings of the CJJPAC and the JJAC
shall be published 24 hours in advance of the meeting and will be mailed to
interested persons upon request. The notice shall contain the specific date,
time, and place of the meeting. Agendas shall be available by mail from the
division to any interested persons if requested not less than five days in
advance of the meeting. All meetings shall be open to the public, unless a
closed session is voted by two–thirds of the entire membership or by all
members present for one of the reasons specified in Iowa Code section 21.5.
Special or electronic meetings may be called by the chair upon a finding of good
cause and shall be held in accordance with Iowa Code section 21.8. CJJPAC or
JJAC meetings shall be governed by the following procedures:
a. Persons wishing to appear before the CJJPAC or the JJAC
shall submit the request to the respective council not less than five days prior
to the meeting. Presentations may be made at the discretion of the respective
chair and only upon matters appearing on the agenda.
b. Persons wishing to submit written material shall do so at
least five days in advance of the scheduled meeting to ensure that CJJPAC or
JJAC members have adequate time to receive and evaluate the material.
c. At the conclusion of each meeting, a time, date and place
of the next meeting shall be set unless such meeting was previously scheduled
and announced.
d. Cameras and recording devices may be used at open meetings
provided they do not obstruct the meeting. The chair may request a person using
such a device to discontinue its use when it is obstructing the meeting. If the
person fails to comply with this request, the presiding officer shall order that
person excluded from the meeting.
e. The chair may exclude any person from the meeting for
repeated behavior that disrupts or obstructs the meeting.
f. Other meeting protocol and procedures consistent with this
subrule and Iowa Code chapter 21 may be established by the CJJPAC or the JJAC
through bylaws approved by a majority of the members of the council subject to
the bylaws.
1.5(2) Minutes of CJJPAC or JJAC meetings are prepared
and are available for inspection at the division office during business hours.
Copies may be obtained without charge by contacting the office.
1.5(3) The CJJPAC or JJAC may form committees to carry
out those duties as are assigned by the respective council. Meetings of the
committees shall conform to the conditions governing the respective full
councils as listed in subrule 1.5(1).
These rules are intended to implement Iowa Code chapter 17A,
Iowa Code sections 216A.131 to 216A.136, and section 232.190 as amended by 2000
Iowa Acts, Senate File 2429, and Public Law 93–415.
CHAPTER 3
JUVENILE JUSTICE
YOUTH DEVELOPMENT
PROGRAM
428—3.1(216A,232) Definitions. As used in this
chapter:
“Administrator” means the administrator of the
division of criminal and juvenile justice planning within the department of
human rights.
“Applicant” means a city, county or other
designated eligible entity preparing and submitting an application for funding
through this program.
“Application” means a request to the division for
funding that complies with federal and state requirements.
“Criminal and juvenile justice planning advisory council
(CJJPAC)” means the advisory council established in Iowa Code section
216A.132.
“Decategorization,” as established in Iowa Code
section 232.188, means the department of human services’ program whereby
approved counties are permitted to pool their allocations of designated state
and federal child welfare and juvenile justice funding streams, establish local
planning and governance structures, and design and implement service systems
that are more effective in meeting local needs.
“Decategorization governance board” means
the board required to provide direction and governance for a decategorization
project, pursuant to Iowa Code section 232.188.
“Division” means the division of criminal and
juvenile justice planning within the department of human rights.
“Formula–based allocation” means a process
that uses a formula to determine funding amounts to units of government or local
public planning entities on a statewide basis.
“Grant review committee” means a committee
established by the JJAC, the CJJPAC or the division to review and rank
applications for funding. Individuals who are not members of the JJAC or the
CJJPAC may serve on this committee.
“Justice Research and Statistics Association
(JRSA)” is a national nonprofit organization that provides a clearinghouse
of current information on state criminal justice research, programs, and
publications.
“Juvenile Accountability Incentive Block Grant
(JAIBG)” means a federally funded program to provide state and local
governments funds to develop programs to reduce delinquency, improve the
juvenile justice system, and increase accountability for juvenile
offenders.
“Juvenile crime prevention community grants” means
the community grant fund program established in Iowa Code section 232.190 as
amended by 2000 Iowa Acts, Senate File 2429, and the federal Title V delinquency
prevention program.
“Juvenile justice advisory council (JJAC)” means
the state advisory group described in P. L. 93–415, Section 223(a)(3) and
established through executive order to oversee the administration of the JJDPA
formula grants in Iowa.
“Juvenile Justice and Delinquency Prevention Act
(JJDPA)” means the federal Act, P. L. 93–415.
“Law enforcement expenditures” means the
expenditures associated with police, prosecutorial, legal, and judicial
services, and corrections as reported by the units of local government to the
U.S. Census Bureau during the Census of Governments.
“Local public planning entities” means entities
that have a local governance structure to plan, develop and coordinate services
for children and families, and provide for implementation of services for
children and families. Examples of local public planning entities include, but
are not limited to, units of local government such as cities or counties,
decategorization governance boards, community empowerment area boards, and
school districts.
“Office of Juvenile Justice and Delinquency Prevention
(OJJDP)” means the federal office within the U.S. Department of Justice
that administers the Juvenile Justice and Delinquency Prevention Act and
JAIBG.
“State juvenile crime enforcement coalition
(JCEC)” means a group of individuals that develops a state plan to achieve
the goals of JAIBG. The CJJPAC and the JJAC shall jointly act as the state
JCEC.
“Subgrantee” means any applicant receiving funds
through this program from the division.
“Title V delinquency prevention grants” means
Title V, Sections 501–506, “Incentive Grants for Local Delinquency
Prevention Programs Act,” of the JJDPA.
“Unit of local government” means a county,
township, city, or political subdivision of a county, township, or city that is
a unit of local government as determined by the Secretary of Commerce for
general statistical purposes, and the recognized governing body of an Indian
tribe that carries out substantial governmental duties and powers.
428—3.2(216A,232) Purpose and goals.
3.2(1) The purpose of the juvenile justice youth
development program is to assist the state in the establishment and operation of
juvenile crime prevention programs; provide for greater accountability in the
juvenile justice system; implement a results framework that promotes youth
development; and comply with the JJDPA core requirements regarding the
deinstitutionalization of status offenders, sight and sound separation of adults
and juveniles in secure facilities, prohibitions on the use of adult jails to
hold juveniles, and the disproportionate confinement of minority
youth.
3.2(2) The primary goal of the coordinated juvenile
justice and prevention program is to promote positive youth development by
helping communities provide their children, families, neighborhoods, and
institutions with the knowledge, skills, and opportunities necessary to foster
healthy and nurturing environments that support the growth and development of
productive and responsible citizens. Other specific goals of this program are
to reduce youth violence, truancy, youth involvement in criminal gangs,
substance abuse and other delinquent behavior.
428—3.3(216A,232,PL93–415) Program funding
distribution. The division shall distribute funds available for this
program through the following methods:
1. Competitive grants.
2. Formula–based allocations.
3. Sole source contracts.
Funding through any of these methods may be on an annual or
multiyear basis.
428—3.4 (216A,232,PL93–415) Competitive
grants.
3.4(1) Application announcement. The administrator of
the division shall announce through public notice the opening of any competitive
grant application process. The announcement shall provide potential applicants
with information that describes eligibility conditions, purposes for which the
program funding shall be available, application procedures, and all relevant
time frames established for proposal submittal and review, grant awards, and
grant expenditure periods.
3.4(2) Preapplication. The division may request
potential applicants to submit a preapplication summary of their proposal. If a
preapplication is required, the division shall provide all potential applicants
with sufficient information detailing the extent of the preapplication and the
criteria for review. Preapplications received in a timely manner shall be
presented to the grant review committee for screening. The committee shall use
the same ranking system for each preapplication. It shall be based on the
criteria provided to the applicant through the division activities specified in
subrule 3.4(1). Applicants shall be notified in writing of the screening
decisions.
3.4(3) Content of applications. Required elements of
the applications shall be published in the request for applications and shall be
based on a point system established by the division that reflects the
requirements of federal and state funding sources. The division shall develop
the application and selection criteria.
3.4(4) Application review and selection process. The
division shall conduct a preliminary review of each application to ensure that
the applicant is eligible and the application is complete. All applications
that are submitted in a timely manner by eligible applicants and contain the
necessary information shall be presented to the grant review committee. Members
of the grant review committee shall review each application and shall assign
numerical scores to each application using criteria and point values established
by the division and listed in the request for applications. The rank order of
scores assigned to the applications by the review committee shall be the basis
for funding recommendations for each application reviewed. The grant review
committee shall forward their funding recommendations for approval and final
award decisions pursuant to rule 428— 3.7(216A,232,PL93–415).
Decisions to make final awards shall be consistent with applicable state and
federal program requirements.
3.4(5) Conflict of interest. Persons shall not serve
on the grant review committee or otherwise participate personally through
decisions, approval, disapproval, recommendation, the rendering of advice,
investigation, or otherwise in any proceeding, application, request for a ruling
or other determination, contract, grant, cooperative agreement, claim,
controversy, or other particular matter in which funds administered by the
division are used, when to the person’s knowledge, the person or a member
of the person’s immediate family, a partner, an organization in which the
person is serving as an officer, director, trustee, partner, or employee or any
person or organization with whom the person is negotiating or has any
arrangement concerning prospective employment, or has a financial interest of
less than an arms–length transaction. If a person’s agency or
organization submits an application the person shall not be present when the
grant review committee’s recommendations are acted upon by the JJAC or the
CJJPAC.
428—3.5(216A,232,PL93–415) Formula–based
allocations.
3.5(1) Funding recipients. Only units of local
government and local public planning entities may be considered eligible
applicants to receive funding through this distribution method. The
determination of which units of local government and local public planning
entities are eligible applicants shall be made according to the state or federal
law or regulation that makes funding available to the division for this
distribution method. When such a determination is not established in law or
regulation, the administrator shall make the determination with the advice of
the CJJPAC and the JJAC.
3.5(2) Formula to determine individual allocation
amounts. Allocation amounts to individual units of local government or local
public planning entities shall be calculated according to the state or federal
law or regulation that makes funding available to the division for this
distribution method. When an allocation formula for funding to be distributed
by the division is not established in this chapter or other law or regulation,
the division shall calculate allocations based on a formula determined by the
administrator. The formula shall be based on the number of children residing in
the respective areas and may also be based on poverty rates, delinquency rates
and other data relevant to child and family well–being. Application
materials provided to the eligible units of local government or local public
planning entities shall specify the formula used to calculate the
allocation.
3.5(3) Application procedures and
requirements.
a. Each unit of local government or local public planning
entity that is eligible to be an applicant for funds pursuant to 3.5(1) shall be
contacted by the division and provided an application that must be completed by
the applicant prior to the applicant’s receipt of the
allocation.
b. The application may require the submission of a
comprehensive plan to prevent and reduce juvenile crime that reflects the
purposes and goals in rule 428—3.2(216A,232) and that structures the
coordination and collaboration of other relevant community programs and
activities. Evidence of such coordination and collaboration may be required to
include assurances and documentation that the plan for this program was
developed to include, or be an integral part of, other areawide plans related
to, for example, child welfare, substance abuse, health, or education.
c. The application may require documentation that the
application was completed with the participation of representatives from, for
example, law enforcement, county attorneys, county and city governments, health,
human services, education and community service agencies.
d. The application may also require the applicant to certify
and make assurances regarding policies and practices related to, but not limited
to, funding eligibility, program purposes, service delivery and planning and
administration capacities.
e. Each notified applicant shall submit the required
information by the deadline established and announced by the division. The
division reserves the right to extend the deadline.
f. Following its receipt and approval of a completed
application, the division shall offer the applicant a contract
authorizing the obligation of funds. These rules and all applicable state and
federal laws and regulations shall become part of the contract by
reference.
3.5(4) Allocations declined, waived or
combined.
a. As allowed by federal or state law, when an eligible local
public planning entity or unit of local government declines to submit an
application for funds, such funds shall be retained by the division to be
reallocated among all participating units of local government or local public
planning entities or to be otherwise distributed for the development of services
that have a statewide impact.
b. As allowed by federal or state law, the division may
permit an eligible unit of local government to waive its right to
a direct allocation and request that its allocation be awarded to and expended
for its benefit by a larger or contiguous unit of local government or local
public planning entity. A written waiver shall be required from the unit of
local government that waives its right to a direct allocation and names a
requested unit of local government or local public planning entity to receive
and expend the funds. The unit of local government or local public planning
entity receiving the funds must agree, in writing, to accept the redirected
funds, to carry out all planning and application requirements and to serve as
the fiscal agent for receiving the waived allocation. The division’s
instructions to eligible applicants shall describe the procedures required to
implement this subrule.
c. As allowed by federal or state law, the division may permit
applicants to enter into regional coalitions by planning for and utilizing
combined allocations from the participating units of local government or local
public planning entities. A unit of local government or local public planning
entity shall serve as the applicant and fiscal agent for purposes of carrying
out planning and application requirements, and for receiving the allocation and
obligating and expending funds for the benefit of the combined units. The
division’s instructions to eligible applicants shall describe the process
to implement this subrule.
428—3.6(216A,232,PL93–415) Sole source
contracts. The division may determine, because of the nature of a certain
problem or desired programmatic response, that a competitive grant or
formula–based allocation process would not be the most appropriate or
expeditious process through which to award funds. In such cases, the division
may seek out a potential subgrantee with which it can develop a sole source
contract for services. The division shall be alert to organizational conflicts
of interest and noncompetitive practices among contractors that may restrict or
eliminate competition or otherwise restrain trade. The division’s
awarding and administration of any sole source contract shall be governed by all
relevant state and federal laws and regulations.
428—3.7(216A,232,PL93–415) Program funding
sources and related provisions.
3.7(1) Sources of funding for this program may include
juvenile crime prevention community grants, JJDPA formula grants, JAIBG funds
and other funds made available to the division for the purpose of this program.
The division may combine funding from these federal and state appropriations and
grant programs to distribute through any of the methods outlined in
428—3.3(216A,232,PL93–415).
3.7(2) Juvenile crime prevention community
grants.
a. These funds, when available, shall be distributed according
to the provisions of 428—3.5(216A,232,PL93–415).
b. The decategorization governance boards established in Iowa
Code section 232.188 shall be the eligible recipients of these funds.
c. The administrator may approve applications for these funds
except that the JJAC may exercise approval authority over those applications
that will be funded in whole or in part with federal Title V delinquency
prevention grants.
d. The CJJPAC and the JJAC shall advise the division on its
administration of these funds.
3.7(3) JJDPA formula grants.
a. The JJAC shall determine the amounts of these funds, when
available, that are to be distributed according to the provisions of
428—3.3(216A,232,PL93–415).
b. The JJAC shall determine any specific purposes for which
this funding shall be distributed through the provisions of
428—3.4(216A,232,PL93–415) and 428— 3.6(216A,232,
PL93–415).
c. The JJAC may review and exercise approval authority over
any applications for these funds distributed through the provisions of
428—3.4(216A,232,PL93–415).
d. The administrator may approve applications for these funds
when distributed through the provisions of 428—
3.5(216A,232,PL93–415) and 428—3.6(216A,232,
PL93–415).
3.7(4) Determination of JAIBG funding amounts to be
distributed when available.
a. OJJDP determines the amount of JAIBG funds that the
division will distribute to units of local government through the provisions of
428—3.5(216A,232,PL93–415).
b. The state JCEC may determine an amount and the purposes of
JAIBG funds to be distributed through the provisions of
428—3.4(216A,232,PL93–415) and 428—
3.6(216A,232,PL93–415) and the amount of JAIBG funds to be distributed to
local public planning entities through the provisions of
428—3.5(216A,232,PL93–415).
3.7(5) JAIBG funding for units of local
government.
a. Each year JAIBG funding is available, the division shall
conduct a review of state and local juvenile justice expenditures to determine
the primary financial burden for the administration of juvenile justice within
the state of Iowa. If, after conducting this review, the state’s
financial burden in the program purpose areas is greater than 50 percent of the
expenditures, the division may request OJJDP’s approval to distribute to
units of local government a lower percentage of the available funding than the
percentage initially established by Congress for units of local government.
The division shall consult with units of local government or organizations
representing such units prior to submitting such a request.
b. The JAIBG allocations for individual units of local
government shall be determined by a formula set by Congress which
is based on a combination of law enforcement expenditures for each unit of local
government and the number of Uniform Crime Report Part 1 violent crime reports
by each unit of local government. Two–thirds of each unit of local
government’s allocation will be based on the law enforcement expenditure
data and one–third will be based on the reported violent crime data, in
the same ratio to the aggregate of all other units of general local government
in the state.
c. To apply the formula set by Congress, the division shall
use data collected by the U.S. Census Bureau pertaining to law enforcement
expenditures and the Federal Bureau of Investigation pertaining to reported Part
1 violent crime, as compiled by the JRSA, and the department of public safety
(DPS) of the state of Iowa.
d. If data, as compiled by JRSA, indicates that units
of local government have not reported law enforcement expenditures, or have
reported only partial law enforcement expenditures, the division may request
complete law enforcement expenditure reports directly from the affected units of
local government to determine the correct allocation. If no additional
information is received from units of local government within 15 calendar
days after requesting such expenditure reports, the division shall use
the data as presented by JRSA.
e. If data, as compiled by JRSA, indicates that units of local
government have not reported crime data to the DPS or have reported only partial
crime data, the division may request complete violent crime data directly from
the affected units of local government to determine the correct allocation. If
no additional data is received from units of local government within 15 calendar
days after requesting such data, the division shall use the data
as presented by JRSA.
f. No unit of local government shall receive an allocation
that exceeds 100 percent of the law enforcement expenditures of such unit as
reported to the Census Bureau.
g. In order to qualify for JAIBG funds, a unit of local
government’s allocation must be $5,000 or more. If, based on the formula,
the allocation for a unit of local government is less than $5,000 during a
fiscal year, the amount shall be distributed by the division to the local
decategorization governance board for those areas encompassing the unit of local
government, as described in subrule 3.7(6).
3.7(6) JAIBG funding for local public planning
entities. In any year in which JAIBG funds are available and the state JCEC
determines an amount of these funds to be distributed through the provisions of
428—3.5(216A,232,PL93–415), the division may make such funds
available to local decategorization governance boards. The
division shall calculate allocations to each of the decategorization governance
boards based on the number of children aged 5 to 17 years residing in the
respective areas. The most recent available population data for children aged 5
to 17 years shall be used to calculate the allocations. In any year in which
the division makes JAIBG funds available to local decategorization governance
boards, the division shall make funds available to any county that is not
participating in decategorization. The division shall calculate allocations to
each county that is not participating in decategorization based on the number of
children aged 5 to 17 years residing in the respective areas. The most recent
available population data for children aged 5 to 17 years shall be used to
calculate the allocations.
3.7(7) Other funds. When funds other than those
provided for in subrules 3.7(2) through 3.7(6) are made available to the
division for the purposes of this program, the division shall distribute such
funds through the provisions of this chapter. With the advice of the JJAC and
the CJJPAC, the division shall, consistent with applicable state and federal law
and regulation, determine the distribution methods, eligible applicants and any
allocation formulas to be used when making such funding available.
428—3.8(216A,232) Appeals.
3.8(1) Applicants choosing to appeal funding decisions
must file a written appeal with the administrator within ten calendar days of
the postmarked date of the written notification of the program’s funding
decisions.
3.8(2) All letters of appeal shall clearly state the
reason(s) for the appeal and evidence of the reason(s) stated. Reason(s) for
appeal must be based on a contention that the rules and procedures governing the
funding process have not been applied properly. All appeals must clearly state
in what manner the division failed to follow the rules of the selection process
as governed by these administrative rules or procedures outlined in the
application materials provided to all applicants by the division. The letter of
appeal must also describe the remedy being sought.
3.8(3) If an appeal is filed within the ten calendar
days, the division shall not enter into a contract with any applicant involved
in the application process being appealed until the administrator has reviewed
and decided on all appeals received in accordance with the criteria in subrules
3.8(1) and 3.8(2). The division administrator shall consider the information
submitted by the appellant and relevant information from division staff when
conducting the review. The review shall be conducted as expeditiously as
possible so that all funds can be distributed in timely manner.
3.8(4) The decision of the division administrator
shall represent the final division action for the purpose of implementing Iowa
Code chapter 17A.
428—3.9(216A,232) Contract agreement.
3.9(1) Contract offer. Applicants shall be notified
in writing of the division’s intent to fund, contingent upon the funds
available. The administrator shall have flexibility in determining which
state and federal funds shall be utilized in awards and allocations to
subgrantees. These rules and all applicable state and federal laws and
regulations become a part of the contract by reference.
3.9(2) Preaward negotiation. The applicant may be
requested to modify the original application in the negotiation process. The
division reserves the right to fund all or part of the applicant’s
application.
3.9(3) Withdrawal of contract offer. If the applicant
and the division are unable to successfully negotiate a contract, the division
may withdraw the award offer and redistribute program funds in a manner
consistent with the provisions of rule 428—3.14(216A,232).
3.9(4) Contract modifications. The subgrantee or the
division may request a modification or revision of the contract.
3.9(5) Reimbursement of expenditures. Funds are to be
spent to meet program goals as provided in the contract. Expenditures shall be
reimbursed pursuant to regular reimbursement procedures of the state of
Iowa.
428—3.10(216A,232) Contract
termination.
3.10(1) Termination by subgrantee. The contract may
be terminated by the subgrantee at any time during the contract period by giving
30 days’ notice to the division.
3.10(2) Termination by the division.
a. The division may terminate a contract upon ten days’
notice when the subgrantee or any of its subcontractors fail to comply with the
grant award stipulations, standards or conditions. The division may terminate a
contract upon 30 days’ notice when there is a reduction of funds by
executive order.
b. Termination for convenience. The performance of work under
the agreement may be terminated by the division in accordance with this clause
in whole or, from time to time, in part whenever the division shall determine
that such termination is in the best interest of the state. The division shall
pay all reasonable costs associated with the agreement that the subgrantee has
incurred up to the date of termination. The division shall not pay for any work
that has not been done prior to the date of termination.
c. Termination for default. If the subgrantee fails to
fulfill its obligations under this agreement properly or on time, or otherwise
violates any provision of this agreement, the division may terminate the
agreement by written notice to the subgrantee. The notice shall specify the
acts of commission or omission relied on as cause for termination. All finished
or unfinished products and services provided by the subgrantee shall, at the
option of the division, become the state’s property. The division shall
pay the subgrantee fair and equitable compensation for satisfactory performance
prior to receipt of notice of termination.
3.10(3) Responsibility of subgrantee at termination.
Within 45 days of the termination, the subgrantee shall supply the division with
a financial statement detailing all costs up to the effective date of the
termination.
428—3.11(216A,232) Required reports.
3.11(1) Expenditure claim reports shall be required
from subgrantees on provided forms. The division, pursuant to regular
reimbursement procedures of the state of Iowa, shall reimburse subgrantees for
actual expenditures specified in the approved budget.
3.11(2) Quarterly reports on program outcomes, program
status and financial status shall be required from subgrantees on provided
forms.
3.11(3) Other reports, including audit reports
prepared by independent auditors, may be required by the division and specified
in the request for applications or contract to assist in the monitoring and
evaluation of programs.
3.11(4) Failure to submit required reports by the due
date shall result in suspension of financial payments to the subgrantee by the
division until such time as the reports are received. No new awards shall be
made for continuation programs where there are delinquent reports from prior
grants.
428—3.12(216A,232) Subgrantee records.
Financial rec–ords, supporting documents, statistical records and all
other records pertinent to the program shall be retained by the subgrantee in
accordance with the following:
3.12(1) Records for any project shall be retained for
three years after final closeout and audit procedures are completed and accepted
by the division.
3.12(2) Representatives of the state auditor’s
office and the division shall have access to all books, accounts, documents, and
other property belonging to or in use by a subgrantee pertaining to the receipt
of funds under these rules.
428—3.13(216A,232) Allowable costs and cost
restrictions.
3.13(1) Grant funds from this program shall be used to
support only those activities and services specified and agreed to in the
contract between the subgrantee and the division. The contract shall identify
specific cost categories against which all allowable costs must be consistently
charged.
3.13(2) Funds appropriated for this program shall not
be expended for supplantation of federal, state, or local funds supporting
existing programs or activities. Instructionsfor the application and acceptance
of competitive grants,formula–based allocations, and sole source contracts
may specify other cost limitations including, but not limited to, costs related
to political activities, interest costs, fines, penalties, lawsuits or legal
fees, and certain fixed assets and program equipment.
428—3.14(216A,232) Redistribution of funds. The
division reserves the right to recapture and redistribute awarded funds based
upon projected expenditures if it appears that funds shall not be expended by a
subgrantee according to the conditions of the subgrantee’s contract.
Recaptured funds may be granted by the administrator to other applicants or
subgrantees for services and activities consistent with the purposes and goals
of the program.
428—3.15(216A,232) Compliance with state and federal
laws. In acceptance of a grant, the subgrantee shall agree to comply with
all applicable state and federal rules and laws including, but not limited to,
the JJDPA.
428—3.16(216A,232) Immunity of state and
agencies. The subgrantee shall defend and hold harmless the state and any
federal funding source for the state from liability arising from the
subgrantee’s performance or attempted performance of their contract, and
the subgrantee’s activities with subcontractors and all other third
parties.
These rules are intended to implement Iowa Code chapter 17A,
Iowa Code sections 216A.131 to 216A.136, and section 232.190 as amended by 2000
Iowa Acts, Senate File 2429, and Public Laws 93–415 and
105–119.
ARC 9818A
DENTAL EXAMINERS
BOARD[650]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code section 147.76, the
Board of Dental Examiners hereby gives Notice of Intended Action to amend
Chapter 27, “Principles of Professional Ethics,” Iowa Administrative
Code.
Item 1 changes the title of Chapter 27 to clarify that these
rules also establish standards of practice in addition to principles of
professional ethics.
In Item 2, information regarding patient records is stricken
and is incorporated in new rule 650—27.11(153,272C) in Item 3. The new
rule establishes standards for patient record keeping and clarifies the
standards of practice for practitioners.
The Board has determined that these rules are not subject to
waiver or variance in specific circumstances because the rules establish
standards of practice necessary for the protection of patients.
Any interested person may make written comments or suggestions
on the proposed amendments on or before June 6, 2000. Such written comments
should be directed toJennifer Hart, Agency Rules Administrator, Board of Dental
Examiners, 400 S.W. 8th Street, Suite D, Des Moines, Iowa 50309–4687.
E–mail may be sent to jhart@bon.state.ia.us.
Also, there will be a public hearing on June 6, 2000, from 2
to 3 p.m. in the Conference Room, 400 S.W. 8th Street, Suite D, Des Moines,
Iowa. 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 Board and advise of specific needs.
These amendments were approved at the April 20, 2000, regular
meeting of the Board of Dental Examiners.
These amendments are intended to implement Iowa Code chapters
17A, 147, 153, and 272C.
The following amendments are proposed.
ITEM 1. Amend the title of
650—Chapter 27 as follows:
CHAPTER 27
STANDARDS OF PRACTICE AND
PRINCIPLES
OF PROFESSIONAL ETHICS
ITEM 2. Amend rule 650—27.2(153) as
follows:
650—27.2(153,272C) Patient acceptance
and records.
27.2(1) Dentists, in serving the
public, may exercise reasonable discretion in accepting patients in their
practices; however, dentists shall not refuse to accept patients into their
practice or deny dental service to patients because of the patient’s race,
creed, sex or national origin.
27.2(2) Dentists shall
preserve the confidentiality of patient records in a manner consistent with the
protection of the welfare of the patient. Upon request of the patient or
patient’s new dentist, the dentist shall furnish, either gratuitously or
for nominal cost, the dental records or copies or summaries of them, including
dental radiographs or copies of them, as will be beneficial for the future
treatment of that patient.
27.2(3) Patient records shall
be maintained for a period of no less than five years following the last date of
entry. Proper safeguards shall be provided to ensure safety of these records
from destructive elements.
ITEM 3. Adopt the following
new rule:
650—27.11(153,272C) Record keeping. Dentists
shall maintain patient records in a manner consistent with the protection of the
welfare of the patient. Records shall be permanent, timely, accurate, legible,
and easily understandable.
27.11(1) Dental records. Dentists shall
maintain dental records for each patient. The records shall contain all of the
following:
a. Personal data.
(1) Name, date of birth, address and, if a minor, name of
parent or guardian.
(2) Name and telephone number of person to contact in case of
emergency.
b. Dental and medical history. Dental records shall include
information from the patient or the patient’s parent or guardian regarding
the patient’s dental and medical history. The information shall include
sufficient data to support the recommended treatment plan.
c. Patient’s reason for visit. When a patient presents
with a chief complaint, dental records shall include the patient’s stated
oral health care reasons for visiting the dentist.
d. Clinical examination progress notes. Dental records
shall include chronological dates and descriptions of the following:
(1) Clinical examination findings, tests conducted, and a
summary of all pertinent diagnoses;
(2) Plan of intended treatment and treatment
sequence;
(3) Services rendered and any treatment
complications;
(4) All radiographs, study models, and periodontal charting if
applicable;
(5) Name, quantity, and strength of all drugs dispensed,
administered, or prescribed;
(6) Name of dentist, dental hygienist, or any other auxiliary,
who performs any treatment or service or who may have contact with a patient
regarding the patient’s dental health.
e. Informed consent. Dental records shall include, at
a minimum, documentation of informed consent that includes discussion of
procedure(s), treatment options, potential complications and known risks, and
patient’s consent to proceed with treatment.
27.11(2) Retention of records. A dentist shall
maintain a patient’s dental record for a minimum of five years after the
date of last examination, prescription, or treatment. Records for minors shall
be maintained for a minimum of either(a) one year after the patient reaches the
age of majority (18), or (b) five years, whichever is longer. Proper safeguards
shall be maintained to ensure safety of records from destructive
elements.
27.11(3) Electronic record keeping. The requirements
of this rule apply to electronic records as well as to records kept by any other
means. When electronic records are kept, a dentist shall keep either a
duplicate hard copy record or use an unalterable electronic record.
27.11(4) Correction of records. Notations shall be
legible, written in ink, and contain no erasures or white–outs. If
incorrect information is placed in the record, it must be crossed out with a
single nondeleting line and be initialed by a dental health care
worker.
27.11(5) Confidentiality and transfer of records.
Dentists shall preserve the confidentiality of patient records in a manner
consistent with the protection of the welfare of the patient. Upon request of
the patient or patient’s new dentist, the dentist shall furnish the dental
records or copies or summaries of the records, including dental radiographs or
copies of the radiographs, as will be beneficial for the future treatment of
that patient. The dentist may charge a nominal fee for duplication of records,
but may not refuse to transfer records for nonpayment of any fees.
ITEM 4. Amend 650—Chapter
27, implementation clause, as follows:
These rules are intended to implement Iowa Code sections
153.34(7), 153.34(9), 272C.3, and 272C.4(1f) and
272C.4(6).
ARC 9820A
ECONOMIC DEVELOPMENT, IOWA DEPARTMENT
OF[261]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 15.104 and
15.106, the Iowa Department of Economic Development hereby gives Notice of
Intended Action to amend Chapter 25, “Housing Fund,” Iowa
Administrative Code.
The proposed amendments (1) encourage, but do not require,
participation in the multiagency HART review process and (2) establish the joint
application and review process to be utilized when considering project
applications for Housing Fund and Low–Income Housing Tax Credits (LIHTC)
funding.
Public comments concerning the proposed amendments will be
accepted until 4:30 p.m. on June 6, 2000. Interested persons may submit written
or oral comments by contacting Roselyn McKie Wazny, Division of Community and
Rural Development, Department of Economic Development, 200 East Grand Avenue,
Des Moines, Iowa 50309; telephone (515)242–4822.
A public hearing to receive comments about the proposed
amendments will be held on June 6, 2000, at 11 a.m. at the above address in the
Northeast Conference Room on the second floor. Individuals interested in
providing comments at the hearing should contact Roselyn McKie Wazny by 4 p.m.
on June 5, 2000, to be placed on the hearing agenda.
These amendments are intended to implement Iowa Code section
15.108(1)“a.”
The following amendments are proposed.
ITEM 1. Amend rule 261—25.5(15),
introductory paragraph, as follows:
261—25.5(15) Application procedure. All
potential housing fund applicants shall are encouraged, but
not required, to complete and submit a HART form describing the proposed
housing activity. If, after HART review, the proposal is
determined to be appropriate for housing fund assistance, IDED shall
inform the applicant of the appropriate application procedure by mail. The HART
process must, if undertaken, should be completed
as early as possible in the application procedure and within a
minimum of 30 days prior to the application deadline
process.
ITEM 2. Adopt new subrule
25.5(5) as follows:
25.5(5) For applicants requesting funding from both
the housing fund and low–income housing tax credit (LIHTC) programs, the
applicant may request application forms and related material from the Iowa
finance authority (IFA). IFA shall forward an application package to a
potential applicant and make the application package available in electronic
form either by diskette or on the Internet at http://www.ifa home.com.
The applicant must submit the completed appli–cation, with required
housing fund attachments, to IFA by the deadline established in the application
package.
a. IDED and IFA shall appoint a joint review team to discuss
and review applications for housing fund and LIHTC funds. Staff for each agency
may communicate frequently regarding common projects. Information contained in
each application may be shared with each agency.
b. The joint review team shall meet at least twice to compare
and discuss each common project. The first meeting will be convened after IDED
and IFA have completed the threshold review. The second meeting shall be
convened after IDED and IFA have completed the next phase of each agency’s
review process. No additional points will be awarded to an applicant seeking
both types of funding. Staff from each agency will make recommendations for
funding to their respective decision makers after the second meeting. A
decision by one agency does not bind the other agency to fund a
project.
c. All applicants for the housing fund must meet the threshold
requirements outlined in rules 25.4(15) and 25.6(15) and subrule 25.7(3) in
order to be considered for award under this subrule.
ITEM 3. Rescind subrule
25.5(6).
ARC 9819A
ECONOMIC DEVELOPMENT, IOWA DEPARTMENT
OF[261]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 15.104 and
15.106, the Iowa Department of Economic Development hereby gives Notice of
Intended Action to amend Chapter 28, “Local Housing Assistance
Program,” Iowa Administrative Code.
The proposed amendment clarifies the relationship between the
HART (housing application review team) process and the preapplication process
for LHAP funds. Applicants are encouraged, but not required, to submit a HART
form prior to preparing a preapplication for LHAP funds.
Public comments concerning the proposed amendment will be
accepted until 4:30 p.m. on June 6, 2000. Interested persons may submit
written or oral comments by contacting Roselyn McKie Wazny, Division of
Community and Rural Development, Department of Economic Development, 200 East
Grand Avenue, Des Moines, Iowa 50309; telephone (515)242–4822.
A public hearing to receive comments about the proposed
amendment will be held on June 6, 2000, at 10 a.m. at the above address in the
Northeast Conference Room on the second floor. Individuals interested in
providing comments at the hearing should contact Roselyn McKie Wazny by 4 p.m.
on June 5, 2000, to be placed on the hearing agenda.
This amendment is intended to implement Iowa Code section
15.108(1)“a.”
The following amendment is proposed.
Amend subrule 28.5(5) as follows:
28.5(5) Applicants whose preapplications best meet the
preliminary review criteria, as determined by HART review and IDED staff review,
shall be invited to submit full appli–cations for funds. Applicants
are encouraged, but not required, to submit a HART form for review by the HART
team prior to, or in conjunction with, submitting a preapplication for funding
under LHAP.
ARC 9828A
EMERGENCY MANAGEMENT
DIVISION[605]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 17A.3 and
29C.8, the Emergency Management Division gives Notice of Intended Action to
amend Chapter 1, “Organization,” Iowa Administrative Code.
These amendments result from an extensive rules review by the
Emergency Management Division.
Consideration will be given to all written suggestions or
comments on the proposed amendments on or before June 12, 2000. Such written
materials should be sent to the Administrator, Emergency Management Division,
Hoover State Office Building, Des Moines, Iowa 50319, or faxed to
(515)281–7539.
There will be a public hearing on these proposed amendments on
June 12, 2000, at 10 a.m., in the Emergency Management Division Conference Room,
Hoover State Office Building, Des Moines, Iowa, at which time persons may
present their views 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 these amendments.
These amendments are intended to implement Iowa Code chapters
29C, 30, and 34A.
The following amendments are proposed.
Amend 605—Chapter 1 as follows:
CHAPTER 1
ORGANIZATION
605—1.1(29C) Description. The emergency
management division is a division within the department of public
defense.
1.1(1) Executive director
Director. The adjutant general, as executive the
director of the department of public defense and under the
direction and control of the governor, shall have supervisory direction and
control of the emergency management division and shall be responsible to the
governor for the carrying out of the provisions of Iowa Code chapter 29C. In
the event of disaster beyond local control, the adjutant general may assume
direct operational control over all or any part of the emergency management
functions within this state.
1.1(2) Administrator. The emergency management
division shall be under the management of an administrator appointed by the
governor. The administrator shall be vested with the authority to administer
emergency management affairs in this state and shall be responsible for
preparing and executing the emergency management programs of this state subject
to the direction of the adjutant general. The administrator, upon the direction
of the governor and supervisory control of the director of the department of
public defense, shall: prepare a comprehensive plan and emergency management
program for the disaster preparedness, response, mitigation,
recovery, emergency operations operation, and emergency
resource management of this state; make such studies and surveys of the
industries, resources and facilities in this state as may be necessary to
ascertain the capabilities of the state for disaster recovery, disaster planning
and operations, and emergency resource management, and to plan for the most
efficient emergency use thereof; provide technical assistance to any local
emergency management commission or joint commission requiring such assistance in
the development of an emergency management program; implement planning and
training for emergency response teams as mandated by the federal government
under the Comprehensive Environmental Response, Compensation, and Liability Act
of 1980 as amended by the Superfund Amendments and Reauthorization Act of 1986
42 U.S.C. § 9601 et seq.; the administrator, with the approval of
the governor and upon recommendation of the adjutant general, may employ a
deputy administrator and such technical, clerical, stenographic and other
personnel and make such expenditures within the appropriation or from other
funds made available to the department of public defense for purposes of
emergency management, as may be necessary to carry out
administer the purposes of Iowa Code chapters 29C
and, 30, and 34A.
605—1.2(29C) Definitions. The following
definitions are applicable to emergency management division:
“Administrator” means the administrator of the
emergency management division of the department of public defense.
“Comprehensive cooperative agreements”
means the key instrument for determining whether a state or a local commission
or joint commission will be granted eligibility to participate in Federal
Emergency Management Agency assistance programs. It describes projected program
activities to be accomplished during the next federal fiscal year, the number of
staff and amount of funds needed to carry out these
activities.
“Comprehensive countywide emergency operations
plan” means documents which describe the actions to be taken to lessen
the effects of, prepare for, respond to and recover from in the
event of an extraordinary emergency a disaster by county and
city government resources
governments,quasi–government agencies, and private organizations which
have countywide emergency operations
capabilities responsibility. The plan is multihazard in
scope (covers a variety of disasters) all hazards for
the county) and provides for a coordinated response
effort. It references authority, assigns functional responsibilities,
provides for direction and control, and the effective use of
resources.
“Disaster” means man–made,
technological, or natural occurrences, such as fire, flood, drought,
earthquake, tornado, windstorm, hazardous substance or nuclear power plant
accident or incident, which threaten the public peace, health and safety of the
people or which damage or destroy public or private property. The term includes
terrorism, enemy attack, sabotage, or other hostile action from
without the state.
“Division” means the emergency management division
of the department of public defense.
“Emergency” means a sudden, generally unexpected
occurrence or set of circumstances demanding immediate action to protect life or
property. Such actions are normally handled in a routine manner by law
enforcement, fire protection, public works, utilities, and
health–medical emergency medical
services.
“Emergency management” means lessening the
effects of, preparations for, operations during, and recovery from natural,
technological or man–made disasters. These actions are broad in
scope and include, but are not limited to: disaster plans, mitigation,
preparedness, response, warning, emergency operations, training, exercising,
research, rehabilitation, and recovery activities.
“Emergency management assistance
funds” “Emergency management performance grant
program” means a program by which federal funds are
utilized to pay up to no more than 50 percent of the
salaries, benefits, travel, and office expenses incurred in the administration
of the state and local emergency management program.
“Extraordinary emergency” means an
emergency which requires the use of resources (personnel, equipment, facilities)
and operational procedures beyond those normally available in the affected
jurisdiction(s). An extraordinary emergency always requires direction and
coordination of response.
“Joint commissions” means two or more local
emergency management commissions may act acting as a
joint commission for the joint coordination and administration
of emergency management.
“Local commission” means the local emergency
management commission.
“Mitigation” refers to activities that
either prevent emergencies or disasters from happening or at least reduce the
damaging impact if they cannot be prevented. means any action taken
to reduce or eliminate the long–term risk to human life and property from
hazards. Examples of mitigation activities are
include building codes, disaster insurance incentives,
land use management, floodplain management, building of protective structures
such as flood walls, litigation, monitoring or inspection,
public education, research, risk mapping, safety codes, and statutes and
ordinances, and tax incentives.
“Preparedness” means any activity taken in
advance of an emergency or disaster that improves emergency readiness posture
and develops or expands operational capabilities. planning how to
respond in a coordinated manner when an emergency or disaster occurs and working
to increase available resources to respond effectively. Preparing people to
respond appropriately within a system of management when disasters occur saves
lives and reduces property damage. Examples of preparedness activities
are include, but are not limited to, continuity of
government, plans and ordinances, emergency broadcast
system alert and warning systems, emergency
communications, emergency operations centers, comprehensive countywide
emergency operations plans, emergency public information materials, exercise of
plans and systems, hazard analysis, mutual aid agreements, resource management,
and the training response and equipping of
personnel including political leaders and governmental managers, and
warning systems.
“Recovery” is the process of returning the
community to predisaster condition. Short–term recovery returns essential
services to minimum operating standards. Long–term recovery continues
until the public and private infrastructure is restored. means
short–term activity to return vital life support systems to minimum
operating standards and long–term activity designed to return the affected
people and areas to their predisaster conditions. Examples of recovery
activity are crisis counseling, damage assessment, debris clearance,
decontamination, disaster application centers, disaster
insurance payments, disaster loans and grants, disaster unemployment assistance,
public information, community outreach, temporary housing, and
reconstruction.
“Response activities” are
those actions taken to immediately confront the source or presented effects of
the emergency or disaster event. means any action taken immediately
before, during, or directly after an emergency or disaster occurs, which is
intended to save lives, minimize injuries, lessen property and environmental
damage and enhance the effectiveness of recovery. The responders
aid in the determination of the magnitude of the event or its potential for
escalation. If appropriate, the emergency operations center is
activated. Examples of response activity are
include rendering of assistance by emergency responders, activation of the
emergency operations center, emergency broadcast
alert system activation, emergency instructions to the public,
emergency medical assistance, emergency plan implementation,
manning the emergency operations center, public official
alerting, reception and care, shelter and evacuation,
evacuation, sheltering of victims, search and rescue, resource
mobilization, and warning system activation.
These rules are intended to implement Iowa Code
chapter chapters 29C, 30 and 34A.
ARC 9827A
EMERGENCY MANAGEMENT
DIVISION[605]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 17A.3 and
29C.8, the Emergency Management Division hereby gives Notice of Intended Action
to rescind Chapter 2, “Petitions for Rule Making,” and adopt a new
Chapter 2 with the same title; rescind Chapter 3, “Declaratory
Rulings,” and adopt a new Chapter 3, “Declaratory Orders”;
rescind Chapter 4, “Agency Procedure for Rule Making,” and adopt a
new Chapter 4 with the same title; rescind Chapter 5, “PublicRecords and
Fair Information Practices,” and adopt a new Chapter 5, “Fair
Information Practices”; rescind Chapter 6, “Iowa Emergency
Plan” and adopt a new Chapter 6, “Contested Cases”; and adopt
a new Chapter 9, “Iowa Emergency Plan,” Iowa Administrative
Code.
By proposing new Chapters 2 through 6, the Emergency
Management Division implements, as closely as is practicable for this Division,
the Uniform Rules on Agency Procedure that comply with the amendments to Iowa
Code chapter 17A in 1998 Iowa Acts, chapter 1202, effective July 1, 1999. By so
doing, administrative practice before the Division will be facilitated and will
be substantially the same in the areas addressed as with all other agencies of
state government.
The Division also proposes to rescind current Chapter 6 and
adopt new Chapter 9 regarding the Iowa Emergency Plan, which details the state
government response to a wide range of natural, technological, and
human–caused disasters.
Any interested person may make written comments or suggestions
on these proposed amendments on or before June 12, 2000. Such written materials
should be sent to the Administrator, Emergency Management Division, Hoover State
Office Building, Des Moines, Iowa 50319, or faxed to
(515)281–7539.
There will be a public hearing on these proposed amendments on
June 12, 2000, at 10 a.m., in the Emergency Management Division Conference Room,
Hoover State Office Building, Des Moines, Iowa, at which time persons may
present their views 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 these amendments.
These rules are intended to implement Iowa Code chapters 17A,
29C, 30 and 34A.
The following amendments are proposed.
ITEM 1. Rescind 605—Chapter 2 and
adopt the following new chapter in lieu thereof:
CHAPTER 2
PETITIONS FOR RULE MAKING
605—2.1(17A) Petition for rule making. Any
person or agency may file a petition for rule making with the division at the
Emergency Management Division, Hoover State Office Building, Des Moines, Iowa
50319. A petition is deemed filed when it is received by that office. The
division must provide the petitioner with a file–stamped copy of the
petition if the petitioner provides the division an extra copy for this purpose.
The petition must be typewritten or legibly handwritten in ink and must
substantially conform to the following form:
EMERGENCY MANAGEMENT DIVISION
|
Petition by (Name of Petitioner) for the (adoption, amendment,
or repeal) of rules relating to (state subject matter).
|
}
|
PETITION FOR RULE MAKING
|
The petition must provide the following information:
1. A statement of the specific rule–making action sought
by the petitioner including the text or a summary of the contents of the
proposed rule or amendment to a rule and, if it is a petition to amend or repeal
a rule, a citation and the relevant language to the particular portion or
portions of the rule proposed to be amended or repealed.
2. A citation to any law deemed relevant to the
division’s authority to take the action urged or to the desirability of
that action.
3. A brief summary of the petitioner’s arguments in
support of the action urged in the petition.
4. A brief summary of any data supporting the action urged in
the petition.
5. The names and addresses of other persons, or a description
of any class of persons, known by petitioner to be affected by or interested in,
the proposed action which is the subject of the petition.
6. Any request by petitioner for a meeting provided by rule
2.4(17A).
2.1(1) The petition must be dated and signed by the
petitioner or the petitioner’s representative. It must also include the
name, mailing address, and telephone number of the petitioner and
petitioner’s representative, and a statement indicating the person to whom
communications concerning the petition should be directed.
2.1(2) The emergency management division may deny a
petition because it does not substantially conform to the required
form.
605—2.2(17A) Briefs. The petitioner may attach a
brief to the petition in support of the action urged in the petition. The
emergency management division may request a brief from the petitioner or from
any other person concerning the substance of the petition.
605—2.3(17A) Inquiries. Inquiries concerning the
status of a petition for rule making may be made to the Administrator, Emergency
Management Division, Hoover State Office Building, Des Moines, Iowa
50319.
605—2.4(17A) Consideration.
2.4(1) Within 14 days after the filing of a petition,
the division must submit a copy of the petition and any accompanying brief to
the administrative rules coordinator and to the administrative rules review
committee. Upon request by petitioner in the petition, the emergency management
division must schedule a brief and informal meeting between the petitioner and
the division, a member of the division, or a member of the staff of the
division, to discuss the petition. The emergency management division may
request the petitioner to submit additional information or argument concerning
the petition. The division may also solicit comments from any person on the
substance of the petition. Also, comments on the substance of the petition may
be submitted to the emergency management division by any person.
2.4(2) Within 60 days after the filing of the
petition, or within any longer period agreed to by the petitioner, the emergency
management division must, in writing, deny the petition and notify petitioner of
its action and the specific grounds for the denial, or grant the petition and
notify petitioner that it has instituted rule–making proceedings on the
subject of the petition. Petitioner shall be deemed notified of the denial or
grant of the petition on the date when the division mails or delivers the
required notification to petitioner.
2.4(3) Denial of a petition because it does not
substantially conform to the required form does not preclude the filing of a new
petition on the same subject that seeks to eliminate the grounds for the
division’s rejection of the petition.
These rules are intended to implement Iowa Code chapter
17A.
ITEM 2. Rescind 605—Chapter 3 and
adopt the following new chapter in lieu thereof:
CHAPTER 3
DECLARATORY ORDERS
605—3.1(17A) Petition for declaratory order.
Any person may file a petition with the emergency management division for a
declaratory order as to the applicability to specified circumstances of a
statute, rule, or order within the primary jurisdiction of the division, at the
Emergency Management Division, Hoover State Office Building, Des Moines, Iowa
50319. A petition is deemed filed when it is received by that office. The
division shall provide the petitioner with a file–stamped copy of the
petition if the petitioner provides the division an extra copy for this purpose.
The petition must be typewritten or legibly handwritten in ink and must
substantially conform to the following form:
EMERGENCY MANAGEMENT DIVISION
|
Petition by (Name of Petitioner) for a Declaratory Order on
(Cite provisions of law involved).
|
}
|
PETITION FOR DECLARATORY ORDER
|
The petition must provide the following information:
1. A clear and concise statement of all relevant facts on
which the order is requested.
2. A citation and the relevant language of the specific
statutes, rules, policies, decisions, or orders, whose applicability is
questioned, and any other relevant law.
3. The questions petitioner wants answered, stated clearly and
concisely.
4. The answers to the questions desired by the petitioner and
a summary of the reasons urged by the petitioner in support of those
answers.
5. The reasons for requesting the declaratory order and
disclosure of the petitioner’s interest in the outcome.
6. A statement indicating whether the petitioner is currently
a party to another proceeding involving the questions at issue and whether, to
the petitioner’s knowledge, those questions have been decided by, are
pending determination by, or are under investigation by, any governmental
entity.
7. The names and addresses of other persons, or a description
of any class of persons, known by petitioner to be affected by, or interested
in, the questions presented in the petition.
8. Any request by petitioner for a meeting provided for by
3.7(17A).
The petition must be dated and signed by the petitioner or the
petitioner’s representative. It must also include the name, mailing
address, and telephone number of the petitioner and petitioner’s
representative and a statement indicating the person to whom communications
concerning the petition should be directed.
605—3.2(17A) Notice of petition. Within 15 days
after receipt of a petition for a declaratory order, the emergency management
division shall give notice of the petition to all persons not served by the
petitioner pursuant to 3.6(17A) to whom notice is required by any provision of
law. The division may also give notice to any other persons.
605—3.3(17A) Intervention.
3.3(1) Persons who qualify under any applicable
provision of law as an intervenor and who file a petition for intervention
within 20 days of the filing of a petition for declaratory order shall be
allowed to intervene in a proceeding for a declaratory order.
3.3(2) Any person who files a petition for
intervention at any time prior to the issuance of an order may be allowed to
intervene in a proceeding for a declaratory order at the discretion of the
emergency management division.
3.3(3) A petition for intervention shall be filed at
the Emergency Management Division, Hoover State Office Building, Des Moines,
Iowa 50319. Such a petition is deemed filed when it is received by that office.
The division will provide the petitioner with a file–stamped copy of the
petition for intervention if the petitioner provides an extra copy for this
purpose. A petition for intervention must be typewritten or legibly handwritten
in ink and must substantially conform to the following form:
EMERGENCY MANAGEMENT DIVISION
|
Petition by (Name of Original Petitioner) for a Declaratory
Order on (Cite provisions of law cited in original petition).
|
}
|
PETITION FOR INTERVENTION
|
The petition for intervention must provide the following
information:
1. Facts supporting the intervenor’s standing and
qualifications for intervention.
2. The answers urged by the intervenor to the question or
questions presented and a summary of the reasons urged in support of those
answers.
3. Reasons for requesting intervention and disclosure of the
intervenor’s interest in the outcome.
4. A statement indicating whether the intervenor is currently
a party to any proceeding involving the questions at issue and whether, to the
intervenor’s knowledge, those questions have been decided by, are pending
determination by, or are under investigation by, any governmental
entity.
5. The names and addresses of any additional persons, or a
description of any additional class of persons, known by the intervenor to be
affected by, or interested in, the questions presented.
6. Whether the intervenor consents to be bound by the
determination of the matters presented in the declaratory order
proceeding.
The petition must be dated and signed by the intervenor or the
intervenor’s representative. It must also include the name, mailing
address, and telephone number of the intervenor and intervenor’s
representative, and a statement indicating the person to whom communications
should be directed.
605—3.4(17A) Briefs. The petitioner or any
intervenor may file a brief in support of the position urged. The emergency
management division may request a brief from the petitioner, any intervenor, or
any other person concerning the questions raised.
605—3.5(17A) Inquiries. Inquiries concerning
the status of a declaratory order proceeding may be made to the Administrator,
Emergency Management Division, Hoover State Office Building, Des Moines, Iowa
50319.
605—3.6(17A) Service and filing of petitions and
other papers.
3.6(1) When service required. Except where otherwise
provided by law, every petition for declaratory order, petition for
intervention, brief, or other paper filed in a proceeding for a declaratory
order shall be served upon each of the parties of record to the proceeding, and
on all other persons identified in the petition for declaratory order or
petition for intervention as affected by or interested in the questions
presented, simultaneously with their filing. The party filing a document is
responsible for service on all parties and other affected or interested
persons.
3.6(2) Filing—when required. All petitions for
declaratory orders, petitions for intervention, briefs, or other papers in a
proceeding for a declaratory order shall be filed with the Emergency Management
Division, Hoover State Office Building, Des Moines, Iowa 50319. All petitions,
briefs, or other papers that are required to be served upon a party shall be
filed simultaneously with the division.
3.6(3) Method of service, time of filing, and proof of
mailing. Method of service, time of filing, and proof of mailing shall be as
provided by rule 605—6.12(17A).
605—3.7(17A) Consideration. Upon request by
petitioner, the emergency management division must schedule a brief and informal
meeting between the original petitioner, all intervenors, and the division, a
member of the division, or a member of the staff of the division, to discuss the
questions raised. The division may solicit comments from any person on the
questions raised. Also, comments on the questions raised may be submitted to
the division by any person.
605—3.8(17A) Action on petition.
3.8(1) Within the time allowed by 1998 Iowa Acts,
chapter 1202, section 13(5), after receipt of a petition for a declaratory
order, the administrator or designee shall take action on the petition as
required by Iowa Code section 17A.9(5).
3.8(2) The date of issuance of an order or of a
refusal to issue an order is as defined in rule 605—6.2(17A).
605—3.9(17A) Refusal to issue order.
3.9(1) The emergency management division shall not
issue a declaratory order where prohibited by 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. The petition does not substantially comply with the
required form.
2. The petition does not contain facts sufficient to
demonstrate that the petitioner will be aggrieved or adversely affected by the
failure of the division to issue an order.
3 The division does not have jurisdiction over the questions
presented in the petition.
4. The questions presented by the petition are also presented
in a current rule making, contested case, or other agency or judicial
proceeding, that may definitively resolve them.
5. The questions presented by the petition would more properly
be resolved in a different type of proceeding or by another body with
jurisdiction over the matter.
6. The facts or questions presented in the petition are
unclear, overbroad, insufficient, or otherwise inappropriate as a basis upon
which to issue an order.
7. There is no need to issue an order because the questions
raised in the petition have been settled due to a change in
circumstances.
8. The petition is not based upon facts calculated to aid in
the planning of future conduct but is, instead, based solely upon prior conduct
in an effort to establish the effect of that conduct or to challenge a division
decision already made.
9. The petition requests a declaratory order that would
necessarily determine the legal rights, duties, or responsibilities of other
persons who have not joined in the petition, intervened separately, or filed a
similar petition and whose position on the questions presented may fairly be
presumed to be adverse to that of petitioner.
10. The petitioner requests the emergency management division
to determine whether a statute is unconstitutional on its face.
3.9(2) A refusal to issue a declaratory order must
indicate the specific grounds for the refusal and constitutes final division
action on the petition.
3.9(3) Refusal to issue a declaratory order pursuant
to this provision does not preclude the filing of a new petition that seeks to
eliminate the grounds for the refusal to issue an order.
605—3.10(17A) Contents of declaratory
order—effective date. In addition to the order itself, a declaratory
order must contain the date of its issuance, the name of petitioner and all
intervenors, the specific statutes, rules, policies, decisions, or orders
involved, the particular facts upon which it is based, and the reasons for its
conclusion.
A declaratory order is effective on the date of
issuance.
605—3.11(17A) Copies of orders. A copy of all
orders issued in response to a petition for a declaratory order shall be mailed
promptly to the original petitioner and all intervenors.
605—3.12(17A) Effect of a declaratory order. A
declaratory order has the same status and binding effect as a final order issued
in a contested case proceeding. It is binding on the emergency management
division, the petitioner, and any intervenors and is applicable only in
circumstances where the relevant facts and the law involved are
indistinguishable from those on which the order was based. As to all other
persons, a declaratory order serves only as precedent and is not binding on the
emergency management division. The issuance of a declaratory order constitutes
final agency action on the petition.
These rules are intended to implement Iowa Code chapter
17A.
ITEM 3. Rescind 605—Chapter 4 and
adopt the following new chapter in lieu thereof:
CHAPTER 4
AGENCY PROCEDURE FOR RULE MAKING
605—4.1(17A) Adoption by reference. The
emergency management division hereby adopts the agency procedure for rule making
segment of the Uniform Rules on Agency Procedure which are printed in the first
volume of the Iowa Administrative Code, with the following amendments:
1. In lieu of the words “(commission, board, council,
director)” insert “administrator”.
2. In lieu of the words “(specify time period)”
insert “one year”.
3. In lieu of the words “(identify office and
address)” insert “Administrator, Emergency Management Division,
Hoover State Office Building, Des Moines, Iowa 50319”.
4. In lieu of the words “(designate office and telephone
number)” insert “the administrator at
(515)281–3231”.
5. In lieu of the words “(designate office)”
insert “Emergency Management Division, Hoover State Office Building, Des
Moines, Iowa 50319”.
6. In lieu of the words “(specify the office and
address)” insert “Emergency Management Division, Hoover State Office
Building, Des Moines, Iowa 50319”.
7. In lieu of the words “(agency head)” insert
“administrator”.
These rules are intended to implement Iowa Code chapter
17A.
ITEM 4. Rescind 605—Chapter 5 and
adopt the following new chapter in lieu thereof:
CHAPTER 5
FAIR INFORMATION PRACTICES
605—5.1(17A) Adoption by reference. The
emergency management division hereby adopts the fair information practices
segment of the Uniform Rules on Agency Procedure which are printed in the first
volume of the Iowa Administrative Code, with the following amendments:
1. In lieu of the words “(official or body issuing these
rules)” insert “Emergency Management Division”.
2. In lieu of the words “(insert agency head)”
insert “administrator”.
3. In lieu of the words “(insert agency name and
address)” insert “Emergency Management Division, Hoover State Office
Building, Des Moines, Iowa 50319”.
4. In lieu of the words “(insert customary office hours
and, if agency does not have customary office hours of at least thirty hours per
week, insert hours specified in Iowa Code section 22.4)” insert the words
“at any time from 9 a.m. to 12 noon and from 1 to 4 p.m., Monday through
Friday, excluding legal holidays, unless the person exercising such right and
the lawful custodian agree on a different time”.
5. In lieu of the words “(specify time period)”
insert the words “30 minutes”.
6. In lieu of the words “(designate office)”
insert the words “Emergency Management Division, Hoover State Office
Building, Des Moines, Iowa 50319”.
7. Delete the words “(and, where applicable, the time
period during which the record may be disclosed)”.
8. Delete the words “(Additional requirements may be
necessary for special classes of records.)”
9. Insert at the end of rule 605—5.7(17A,22) the
following new sentence: “For federal records maintained by the emergency
management division, a subject will provide a Privacy Act release in accordance
with the requirements of Title 5 United States Code, Section 552, in writing,
and signed by the subject of the record.”
10. Delete the words “(Each agency should revise its
forms to provide this information.)”
11. Insert at the end of rule 605—5.8(17A,22) the
following new sentence: “For federal records and forms, the United States
government’s determination of routine use and the consequences of failure
to provide required or optional information as requested shall be provided to
the supplier of the information.”
12. Insert the following new rule:
605—5.9(17A,22) Federal records. Pursuant to
Iowa Code section 22.9, the division finds that maintenance, use, or disclosure
of federal records described in this rule, except as allowed by federal law and
regulation, would result in denial of United States government funds, services
and essential information that would otherwise definitely be available and that
have been available to the division in the past. The division has authority to
enter into agreements and contracts to obtain funds pursuant to Iowa Code
chapter 29C. The division makes such agreements and contracts with the Federal
Emergency Management Agency (FEMA) under the authority of Public Law
93–288 (the Robert T. Stafford Disaster Relief and Emergency Assistance
Act) and an Emergency Management Performance Grant Agreement which specify
categories of records and information that must be kept confidential. In
addition, 44 CFR 5.71 specifies categories of records that are exempt from
disclosure under 5 U.S.C. 552. These rec–ords include those containing
personally identifiable information concerning applicants to individual
assistance and mitigation assistance programs that are administered by the state
under a presidentially declared disaster. Nuclear Regulatory Commission Title
10 CFR 73.21 relates to the physical protection of nuclear power plants and
materials. This regulation requires that certain information contained in plans
and documents on file with the division be kept confidential and include
information concerning the physical protection at fixed sites; physical
protection in transit; inspections, audits and evaluations; and correspondence
insofar as it contains safeguards information.
ITEM 5. Rescind 605—Chapter 6 and
adopt the following new chapter in lieu thereof:
CHAPTER 6
CONTESTED CASES
605—6.1(17A) Scope and applicability. This
chapter applies to contested case proceedings conducted by the emergency
management division.
605—6.2(17A) Definitions. Except where
otherwise specifically defined by law:
“Contested case” means a proceeding defined by
Iowa Code section 17A.2(5) and includes any matter defined as a no factual
dispute contested case under Iowa Code section 17A.10A.
“Issuance” means the date of mailing of a decision
or order or date of delivery if service is by other means unless another date is
specified in the order.
“Party” means each person or agency named or
admitted as a party or properly seeking and entitled as of right to be admitted
as a party.
“Presiding officer” means the administrator of the
emergency management division or the administrator’s designee.
“Proposed decision” means the presiding
officer’s recommended findings of fact, conclusions of law, decision, and
order in a contested case in which the administrator did not preside.
605—6.3(17A) Time requirements.
6.3(1) Time shall be computed as provided in Iowa Code
subsection 4.1(34).
6.3(2) For good cause, the presiding officer may
extend or shorten the time to take any action, except as precluded by statute or
by rule. Except for good cause stated in the record, before extending or
shortening the time to take any action, the presiding officer shall afford all
parties an opportunity to be heard or to file written arguments.
605—6.4(17A) Requests for contested case proceeding.
Any person claiming an entitlement to a contested case proceeding shall file
a written request for such a proceeding within the time specified by the
particular rules or statutes governing the subject matter or, in the absence of
such law, the time specified in the agency action in question.
The request for a contested case proceeding should state the
name and address of the requester, identify the specific agency action which is
disputed, and where the requester is represented by a lawyer identify the
provisions of law orprecedent requiring or authorizing the holding of a
contested case proceeding in the particular circumstances involved, and include
a short and plain statement of the issues of material fact in dispute.
605—6.5(17A) Notice of hearing.
6.5(1) Delivery. Delivery of the notice of hearing
constitutes the commencement of the contested case proceeding. Delivery may be
executed by:
a. Personal service as provided in the Iowa Rules of Civil
Procedure; or
b. Certified mail, return receipt requested; or
c. First–class mail; or
d. Publication, as provided in the Iowa Rules of Civil
Procedure.
6.5(2) Contents. The notice of hearing shall contain
the following information:
a. A statement of the time, place, and nature of the
hearing;
b. A statement of the legal authority and jurisdiction under
which the hearing is to be held;
c. A reference to the particular sections of the statutes and
rules involved;
d. A short and plain statement of the matters asserted. If
the agency or other party is unable to state the matters in detail at the time
the notice is served, the initial notice may be limited to a statement of the
issues involved. Thereafter, upon application, a more definite and detailed
statement shall be furnished;
e. Identification of all parties including the name, address
and telephone number of the person who will act as advocate for the agency or
the state and of parties’ counsel where known;
f. Reference to the procedural rules governing conduct of the
contested case proceeding;
g. Reference to the procedural rules governing informal
settlement;
h. Identification of the presiding officer, if known. If not
known, a description of who will serve as presiding officer (e.g., agency head,
members of multimembered agency head, administrative law judge from the
department of inspections and appeals); and
i. Notification of the time period in which a party may
request, pursuant to Iowa Code section 17A.11(1) and rule 6.6(17A), that the
presiding officer be an administrative law judge.
605—6.6(17A) Presiding officer.
6.6(1) Any party who wishes to request that the
presiding officer assigned to render a proposed decision be an administrative
law judge employed by the department of inspections and appeals must file a
written request within 20 days after service of a notice of hearing which
identifies or describes the presiding officer as the agency head or members of
the agency.
6.6(2) The agency may deny the request only upon a
finding that one or more of the following apply:
a. Neither the agency nor any officer of the agency under
whose authority the contested case is to take place is a named party to the
proceeding or a real party in interest to that proceeding.
b. There is a compelling need to expedite issuance of a final
decision in order to protect the public health, safety, or welfare.
c. The case involves significant policy issues of first
impression that are inextricably intertwined with the factual issues
presented.
d. The demeanor of the witnesses is likely to be dispositive
in resolving the disputed factual issues.
e. Funds are unavailable to pay the costs of an administrative
law judge and an interagency appeal.
f. The request was not timely filed.
g. The request is not consistent with a specified
statute.
6.6(3) The agency shall issue a written ruling
specifying the grounds for its decision within 20 days after a request for an
administrative law judge is filed.
6.6(4) Except as provided otherwise by another
provision of law, all rulings by an administrative law judge acting as presiding
officer are subject to appeal to the agency. A party must seek any available
intra–agency appeal in order to exhaust adequate administrative
remedies.
6.6(5) Unless otherwise provided by law, agency heads
and members of multimembered agency heads, when reviewing a proposed decision
upon intra–agency appeal, shall have the powers of and shall comply with
the provisions of this chapter which apply to presiding officers.
605—6.7(17A) Waiver of procedures. Unless
otherwise precluded by law, the parties in a contested case proceeding may waive
any provision of this chapter. However, the agency in its discretion may refuse
to give effect to such a waiver when it deems the waiver to be inconsistent with
the public interest.
605—6.8(17A) Telephone proceedings. The
presiding officer may resolve preliminary procedural motions by telephone
conference in which all parties have an opportunity to participate. Other
telephone proceedings may be held with the consent of all parties. The
presiding officer will determine the location of the parties and witnesses for
telephone hearings. The convenience of the witnesses or parties, as well as the
nature of the case, will be considered when location is chosen.
605—6.9(17A) Disqualification.
6.9(1) A presiding officer or other person shall
withdraw from participation in the making of any proposed or final decision in a
contested case if that person:
a. Has a personal bias or prejudice concerning a party or a
representative of a party;
b. Has personally investigated, prosecuted or advocated in
connection with that case, the specific controversy underlying that case,
another pending factually related contested case, or a pending factually related
controversy that may culminate in a contested case involving the same
parties;
c. Is subject to the authority, direction or discretion of any
person who has personally investigated, prosecuted or advocated in connection
with that contested case, the specific controversy underlying that contested
case, or a pending factually related contested case or controversy involving the
same parties;
d. Has acted as counsel to any person who is a private party
to that proceeding within the past two years;
e. Has a personal financial interest in the outcome of the
case or any other significant personal interest that could be substantially
affected by the outcome of the case;
f. Has a spouse or relative within the third degree of
relationship that (1) is a party to the case, or an officer, director or trustee
of a party; (2) is a lawyer in the case; (3) is known to have an interest that
could be substantially affected by the outcome of the case; or (4) is likely to
be a material witness in the case; or
g. Has any other legally sufficient cause to withdraw from
participation in the decision making in that case.
6.9(2) The term “personally investigated”
means taking affirmative steps to interview witnesses directly or to obtain
documents or other information directly. The term “personally
investigated” does not include general direction and supervision of
assigned investigators, unsolicited receipt of 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(3) and subrules 6.9(3) and 6.23(9).
6.9(3) In a situation where a presiding officer or
other person knows of information which might reasonably be deemed to be a basis
for disqualification and decides voluntary withdrawal is unnecessary, that
person shall submit the relevant information for the record by affidavit and
shall provide for the record a statement of the reasons for the determination
that withdrawal is unnecessary.
6.9(4) If a party asserts disqualification on any
appropriate grounds, including those listed in subrule 6.9(1), the party shall
file a motion supported by an affidavit pursuant to 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 disqualification but must establish the grounds by the introduction of
evidence into the rec–ord.
If the presiding officer determines that disqualification is
appropriate, the presiding officer or other person shall withdraw. If the
presiding officer determines that withdrawal is not required, the presiding
officer shall enter an order to that effect. A party asserting disqualification
may seek an interlocutory appeal under rule 6.25(17A) and seek a stay under rule
6.29(17A).
605—6.10(17A)
Consolidation—severance.
6.10(1) Consolidation. The presiding officer may
consolidate any or all matters at issue in two or more contested case
proceedings where (a) the matters at issue involve common parties or common
questions of fact or law; (b) consolidation would expedite and simplify
consideration of the issues involved; and (c) consolidation would not adversely
affect the rights of any of the parties to those proceedings.
6.10(2) Severance. The presiding officer may, for
good cause shown, order any contested case proceedings or portions thereof
severed.
605—6.11(17A) Pleadings.
6.11(1) Pleadings may be required by rule, by the
notice of hearing, or by order of the presiding officer.
6.11(2) Petition.
a. Any petition required in a contested case proceeding shall
be filed within 20 days of delivery of the notice of hearing or subsequent order
of the presiding officer, unless otherwise ordered.
b. A petition shall state in separately numbered paragraphs
the following:
(1) The persons or entities on whose behalf the petition is
filed;
(2) The particular provisions of statutes and rules
involved;
(3) The relief demanded and the facts and law relied upon for
such relief; and
(4) The name, address and telephone number of the petitioner
and the petitioner’s attorney, if any.
6.11(3) Answer. An answer shall be filed within 20
days of service of the petition unless otherwise ordered. A party may move to
dismiss or apply for a more definite and detailed statement when
appropriate.
An answer shall show on whose behalf it is filed and
specifically admit, deny, or otherwise answer all material allegations of the
pleading to which it responds. It shall state any facts deemed to show an
affirmative defense and contain as many additional defenses as the pleader may
claim.
An answer shall state the name, address and telephone number
of the person filing the answer, the person or entity on whose behalf it is
filed, and the attorney representing that person, if any.
Any allegation in the petition not denied in the answer is
considered admitted. The presiding officer may refuse to consider any defense
not raised in the answer which could have been raised on the basis of facts
known when the answer was filed if any party would be prejudiced.
6.11(4) Amendment. Any notice of hearing, petition,
or other charging document may be amended before a responsive pleading has been
filed. Amendments to pleadings after a responsive pleading has been filed and
to an answer may be allowed with the consent of the other parties or in the
discretion of the presiding officer who may impose terms or grant a
continuance.
605—6.12(17A) Service and filing of pleadings and
other papers.
6.12(1) When service required. Except where otherwise
provided by law, every pleading, motion, document, or other paper filed in a
contested case proceeding and every paper relating to discovery in such a
proceeding shall be served upon each of the parties of record to the proceeding,
including the person designated as advocate or prosecutor for the state or the
agency, simultaneously with their filing. Except for the original notice of
hearing and an application for rehearing as provided in Iowa Code section
17A.16(2), the party filing a document is responsible for service on all
parties.
6.12(2) Service—how made. Service upon a party
represented by an attorney shall be made upon the attorney unless otherwise
ordered. Service is made by delivery or by mailing a copy to the person’s
last–known address. Service by mail is complete upon mailing, except
where otherwise specifically provided by statute, rule, or order.
6.12(3) Filing—when required. After the notice
of hearing, all pleadings, motions, documents or other papers in a contested
case proceeding shall be filed with the presiding officer as identified in the
notice of hearing. All pleadings, motions, documents or other papers that are
required to be served upon a party shall be filed simultaneously with the
Emergency Management Division, Hoover State Office Building, Des Moines, Iowa
50319.
6.12(4) Filing—when made. Except where
otherwise provided by law, a document is deemed filed at the time it is
delivered to the emergency management division, delivered to an established
courier service for immediate delivery to that office, or mailed by
first–class mail or state interoffice mail to that office, so long as
there is proof of mailing.
6.12(5) Proof of mailing. Proof of mailing includes
either: a legible United States Postal Service postmark on the envelope, a
certificate of service, a notarized affidavit, or a certification in
substantially the following form:
I certify under penalty of perjury and pursuant to the laws of
Iowa that, on (date of mailing), I mailed copies of (describe document)
addressed to the (agency office and address) and to the names and addresses of
the parties listed below by depositing the same in (a United States post office
mailbox with correct postage properly affixed or state interoffice
mail).
(Date) (Signature)
605—6.13(17A) Discovery.
6.13(1) Discovery procedures applicable in civil
actions are applicable in contested cases. Unless lengthened or shortened by
these rules or by order of the presiding officer, time periods for compliance
with discovery shall be as provided in the Iowa Rules of Civil
Procedure.
6.13(2) Any motion relating to discovery shall allege
that the moving party has previously made a good–faith attempt to resolve
the discovery issues involved with the opposing party. Motions in regard to
discovery shall be ruled upon by the presiding officer. Opposing parties shall
be afforded the opportunity to respond within ten days of the filing of the
motion unless the time is shortened as provided in subrule 6.13(1). The
presiding officer may rule on the basis of the written motion and any response,
or may order argument on the motion.
6.13(3) Evidence obtained in discovery may be used in
the contested case proceeding if that evidence would otherwise be admissible in
that proceeding.
605—6.14(17A) Subpoenas.
6.14(1) Issuance.
a. An agency subpoena shall be issued to a party on request.
Such a request must be in writing. In the absence of good cause for permitting
later action, a request for a subpoena must be received at least three days
before the scheduled hearing. The request shall include the name, address, and
telephone number of the requesting party.
b. Except to the extent otherwise provided by law, parties are
responsible for service of their own subpoenas and payment of witness fees and
mileage expenses.
6.14(2) Motion to quash or modify. The presiding
officer may quash or modify a subpoena for any lawful reason upon motion in
accordance with the Iowa Rules of Civil Procedure. A motion to quash or modify
a subpoena shall be set for argument promptly.
605—6.15(17A) Motions.
6.15(1) No technical form for motions is required.
However, prehearing motions must be in writing, state the grounds for relief,
and state the relief sought.
6.15(2) Any party may file a written response to a
motion within ten days after the motion is served, unless the time period is
extended or shortened by rules of the agency or the presiding officer. The
presiding officer may consider a failure to respond within the required time
period in ruling on a motion.
6.15(3) The presiding officer may schedule oral
argument on any motion.
6.15(4) Motions pertaining to the hearing, except
motions for summary judgment, must be filed and served at least ten days prior
to the date of hearing unless there is good cause for permitting later action or
the time for such action is lengthened or shortened by rule of the agency or an
order of the presiding officer.
6.15(5) Motions for summary judgment. Motions for
summary judgment shall comply with the requirements of Iowa Rule of Civil
Procedure 237 and shall be subject to disposition according to the requirements
of that rule to the extent such requirements are not inconsistent with the
provisions of this rule or any other provision of law governing the procedure in
contested cases.
Motions for summary judgment must be filed and served at least
45 days prior to the scheduled hearing date, or other time period determined by
the presiding officer. Any party resisting the motion shall file and serve a
resistance within 15 days, unless otherwise ordered by the presiding officer,
from the date a copy of the motion was served. The time fixed for hearing or
nonoral submission shall be not less than 20 days after the filing of the
motion, unless a shorter time is ordered by the presiding officer. A summary
judgment order rendered on all issues in a contested case is subject to
rehearing pursuant to 6.28(17A) and appeal pursuant to 6.27(17A).
605—6.16(17A) Prehearing conference.
6.16(1) Any party may request a prehearing conference.
A written request for prehearing conference or an order for prehearing
conference on the presiding officer’s own motion shall be filed not less
than seven days prior to the hearing date. A prehearing conference shall be
scheduled not less than three business days prior to the hearing date.
Written notice of the prehearing conference shall be given by
the presiding officer to all parties. For good cause the presiding officer may
permit variances from this rule.
6.16(2) Each party shall bring to the prehearing
conference:
a. A final list of the witnesses who the party anticipates
will testify at hearing. Witnesses not listed may be excluded from testifying
unless there was good cause for the failure to include their names;
and
b. A final list of exhibits which the party anticipates will
be introduced at hearing. Exhibits other than rebuttal exhibits that are not
listed may be excluded from admission into evidence unless there was good cause
for the failure to include them.
c. Witness or exhibit lists may be amended subsequent to the
prehearing conference within the time limits established by the presiding
officer at the prehearing conference. Any such amendments must be served on all
parties.
6.16(3) In addition to the requirements of subrule
6.16(2), the parties at a prehearing conference may:
a. Enter into stipulations of law or fact;
b. Enter into stipulations on the admissibility of
exhibits;
c. Identify matters which the parties intend to request be
officially noticed;
d. Enter into stipulations for waiver of any provision of law;
and
e. Consider any additional matters which will expedite the
hearing.
6.16(4) Prehearing conferences shall be conducted by
telephone unless otherwise ordered. Parties shall exchange and receive witness
and exhibit lists in advance of a telephone prehearing conference.
605—6.17(17A) Continuances. Unless otherwise
provided, applications for continuances shall be made to the presiding
officer.
6.17(1) A written application for a continuance
shall:
a. Be made at the earliest possible time and no less than
seven days before the hearing except in case of unanticipated
emergencies;
b. State the specific reasons for the request; and
c. Be signed by the requesting party or the party’s
representative.
An oral application for a continuance may be made if the
presiding officer waives the requirement for a written motion. However, a party
making such an oral application for a continuance must confirm that request by
written application within five days after the oral request unless that
requirement is waived by the presiding officer. No application for continuance
shall be made or granted without notice to all parties except in an emergency
where notice is not feasible. The agency may waive notice of such requests for
a particular case or an entire class of cases.
6.17(2) In determining whether to grant a continuance,
the presiding officer may consider:
a. Prior continuances;
b. The interests of all parties;
c. The likelihood of informal settlement;
d. The existence of an emergency;
e. Any objection;
f. Any applicable time requirements;
g. The existence of a conflict in the schedules of counsel,
parties, or witnesses;
h. The timeliness of the request; and
i. Other relevant factors.
The presiding officer may require documentation of any grounds
for continuance.
605—6.18(17A) Withdrawals. A party requesting a
contested case proceeding may withdraw that request prior to the hearing only in
accordance with agency rules. Unless otherwise provided, a withdrawal shall be
with prejudice.
605—6.19(17A) Intervention.
6.19(1) Motion. A motion for leave to intervene in a
contested case proceeding shall state the grounds for the proposed intervention,
the position and interest of the proposed intervenor, and the possible impact of
intervention on the proceeding. A proposed answer or petition in intervention
shall be attached to the motion. Any party may file a response within 14 days
of service of the motion to intervene unless the time period is extended or
shortened by the presiding officer.
6.19(2) When filed. Motion for leave to intervene
shall be filed as early in the proceeding as possible to avoid adverse impact on
existing parties or the conduct of the proceeding. Unless otherwise ordered, a
motion for leave to intervene shall be filed before the prehearing conference,
if any, or at least 20 days before the date scheduled for hearing. Any later
motion must contain a statement of good cause for the failure to file in a
timely manner. Unless inequitable or unjust, an intervenor shall be bound by
any agreement, arrangement, or other matter previously raised in the case.
Requests by untimely intervenors for continuances which would delay the
proceeding will ordinarily be denied.
6.19(3) Grounds for intervention. The movant shall
demonstrate that (a) intervention would not unduly prolong the proceedings or
otherwise prejudice the rights of existing parties; (b) the movant is likely to
be aggrieved or adversely affected by a final order in the proceeding; and (c)
the interests of the movant are not adequately represented by existing
parties.
6.19(4) Effect of intervention. If appropriate, the
presiding officer may order consolidation of the petitions and briefs of
different parties whose interests are aligned with each other and limit the
number of representatives allowed to participate actively in the proceedings. A
person granted leave to intervene is a party to the proceeding. The order
granting intervention may restrict the issues that may be raised by the
intervenor or otherwise condition the intervenor’s participation in the
proceeding.
605—6.20(17A) Hearing procedures.
6.20(1) The presiding officer presides at the hearing,
and may rule on motions, require briefs, issue a proposed decision, and issue
such orders and rulings as will ensure the orderly conduct of the
proceedings.
6.20(2) All objections shall be timely made and stated
on the record.
6.20(3) Parties have the right to participate or to be
represented in all hearings or prehearing conferences related to their case.
Partnerships, corporations, or associations may be represented by any member,
officer, director, or duly authorized agent. Any party may be represented by an
attorney or another person authorized by law.
6.20(4) Subject to terms and conditions prescribed by
the presiding officer, parties have the right to introduce evidence on issues of
material fact, cross–examine witnesses present at the hearing as necessary
for a full and true disclosure of the facts, present evidence in rebuttal, and
submit briefs and engage in oral argument.
6.20(5) The presiding officer shall maintain the
decorum of the hearing and may refuse to admit or may expel anyone whose conduct
is disorderly.
6.20(6) Witnesses may be sequestered during the
hearing.
6.20(7) The presiding officer shall conduct the
hearing in the following manner:
a. The presiding officer shall give an opening statement
briefly describing the nature of the proceedings;
b. The parties shall be given an opportunity to present
opening statements;
c. Parties shall present their cases in the sequence
determined by the presiding officer;
d. Each witness shall be sworn or affirmed by the presiding
officer or the court reporter, and be subject to examination and
cross–examination. The presiding officer may limit questioning in a
manner consistent with law;
e. When all parties and witnesses have been heard, parties may
be given the opportunity to present final arguments.
605—6.21(17A) Evidence.
6.21(1) The presiding officer shall rule on
admissibility of evidence and may, where appropriate, take official notice of
facts in accordance with all applicable requirements of law.
6.21(2) Stipulation of facts is encouraged. The
presiding officer may make a decision based on stipulated facts.
6.21(3) Evidence in the proceeding shall be confined
to the issues as to which the parties received notice prior to the hearing
unless the parties waive their right to such notice or the presiding officer
determines that good cause justifies expansion of the issues. If the presiding
officer decides to admit evidence on issues outside the scope of the notice over
the objection of a party who did not have actual notice of those issues, that
party, upon timely request, shall receive a continuance sufficient to amend
pleadings and to prepare on the additional issue.
6.21(4) The party seeking admission of an exhibit must
provide opposing parties with an opportunity to examine the exhibit prior to the
ruling on its admissibility. Copies of documents should normally be provided to
opposing parties.
All exhibits admitted into evidence shall be appropriately
marked and be made part of the record.
6.21(5) Any party may object to specific evidence or
may request limits on the scope of any examination or cross–examination.
Such an objection shall be accompanied by a brief statement of the grounds upon
which it is based. The objection, the ruling on the objection, and the reasons
for the ruling shall be noted in the record. The presiding officer may rule on
the objection at the time it is made or may reserve a ruling until the written
decision.
6.21(6) Whenever evidence is ruled inadmissible, the
party offering that evidence may submit an offer of proof on the record. The
party making the offer of proof for excluded oral testimony shall briefly
summarize the testimony or, with permission of the presiding officer, present
the testimony. If the excluded evidence consists of a document or exhibit, it
shall be marked as part of an offer of proof and inserted in the
record.
605—6.22(17A) Default.
6.22(1) If a party fails to appear or participate in a
contested case proceeding after proper service of notice, the presiding officer
may, if no adjournment is granted, enter a default decision or proceed with the
hearing and render a decision in the absence of the party.
6.22(2) Where appropriate and not contrary to law, any
party may move for default against a party who has requested the contested case
proceeding and has failed to file a required pleading or has failed to appear
after proper service.
6.22(3) Default decisions or decisions rendered on the
merits after a party has failed to appear or participate in a contested case
proceeding become final agency action unless, within 15 days after the date of
notification or mailing of the decision, a motion to vacate is filed and served
on all parties or an appeal of a decision on the merits is timely initiated
within the time provided by rule 6.27(17A). A motion to vacate must state all
facts relied upon by the moving party which establish that good cause existed
for that party’s failure to appear or participate at the contested case
proceeding. Each fact so stated must be substantiated by at least one sworn
affidavit of a person with personal knowledge of each such fact, which
affidavit(s) must be attached to the motion.
6.22(4) The time for further appeal of a decision for
which a timely motion to vacate has been filed is stayed pending a decision on
the motion to vacate.
6.22(5) Properly substantiated and timely filed
motions to vacate shall be granted only for good cause shown. The burden of
proof as to good cause is on the moving party. Adverse parties shall have ten
days to respond to a motion to vacate. Adverse parties shall be allowed to
conduct discovery as to the issue of good cause and to present evidence on the
issue prior to a decision on the motion, if a request to do so is included in
that party’s response.
6.22(6) “Good cause” for purposes of this
rule shall have the same meaning as “good cause” for setting aside a
default judgment under Iowa Rule of Civil Procedure 236.
6.22(7) A decision denying a motion to vacate is
subject to further appeal within the time limit allowed for further appeal of a
decision on the merits in the contested case proceeding. A decision granting a
motion to vacate is subject to interlocutory appeal by the adverse party
pursuant to rule 6.25(17A).
6.22(8) If a motion to vacate is granted and no timely
interlocutory appeal has been taken, the presiding officer shall issue another
notice of hearing and the contested case shall proceed accordingly.
6.22(9) A default decision may award any relief
consistent with the request for relief made in the petition and embraced in its
issues (but, unless the defaulting party has appeared, it cannot exceed the
relief demanded).
6.22(10) A default decision may provide either that
the default decision is to be stayed pending a timely motion to vacate or that
the default decision is to take effect immediately, subject to a request for
stay under rule 6.29(17A).
605—6.23(17A) Ex parte communication.
6.23(1) Prohibited communications. Unless required
for the disposition of ex parte matters specifically authorized by statute,
following issuance of the notice of hearing, there shall be no communication,
directly or indirectly, between the presiding officer and any party or
representative of any party or any other person with a direct or indirect
interest in such case in connection with any issue of fact or law in the case
except upon notice and opportunity for all parties to participate. This does
not prohibit persons jointly assigned such tasks from communicating with each
other. Nothing in this provision is intended to preclude the presiding officer
from communicating with members of the agency or seeking the advice or help of
persons other than those with a personal interest in, or those engaged in
personally investigating as defined in subrule 6.9(2), prosecuting, or
advocating in, either the case under consideration or a pending factually
related case involving the same parties as long as those persons do not directly
or indirectly communicate to the presiding officer any ex parte communications
they have received of a type that the presiding officer would be prohibited from
receiving or that furnish, augment, diminish, or modify the evidence in the
record.
6.23(2) Prohibitions on ex parte communications
commence with the issuance of the notice of hearing in a contested case and
continue for as long as the case is pending.
6.23(3) Written, oral or other forms of communication
are “ex parte” if made without notice and opportunity for all
parties to participate.
6.23(4) To avoid prohibited ex parte communications,
notice must be given in a manner reasonably calculated to give all parties a
fair opportunity to participate. Notice of written communications shall be
provided in compliance with rule 6.12(17A) and may be supplemented by telephone,
facsimile, electronic mail or other means of notification. Where permitted,
oral communications may be initiated through conference telephone call including
all parties or their representatives.
6.23(5) Persons who jointly act as presiding officer
in a pending contested case may communicate with each other without notice or
opportunity for parties to participate.
6.23(6) The executive director or other persons may be
present in deliberations or otherwise advise the presiding officer without
notice or opportunity for parties to participate as long as they are not
disqualified from participating in the making of a proposed or final decision
under any provision of law and they comply with subrule 6.23(1).
6.23(7) Communications with the presiding officer
involving uncontested scheduling or procedural matters do not require notice or
opportunity for parties to participate. Parties should notify other parties
prior to initiating such contact with the presiding officer when feasible, and
shall notify other parties when seeking to continue hearings or other deadlines
pursuant to rule 6.17(17A).
6.23(8) Disclosure of prohibited communications. A
presiding officer who receives a prohibited ex parte communication during the
pendency of a contested case must initially determine if the effect of the
communication is so prejudicial that the presiding officer should be
disqualified. If the presiding officer determines that disqualification is
warranted, a copy of any prohibited written communication, all written responses
to the communication, a written summary stating the substance of any prohibited
oral or other communication not available in written form for disclosure, all
responses made, and the identity of each person from whom the presiding officer
received a prohibited ex parte communication shall be submitted for inclusion in
the record under seal by protective order or disclosed. If the presiding
officer determines that disqualification is not warranted, such documents shall
be submitted for inclusion in the record and served on all parties. Any party
desiring to rebut the prohibited communication must be allowed the opportunity
to do so upon written request filed within ten days after notice of the
communication.
6.23(9) Promptly after being assigned to serve as
presiding officer at any stage in a contested case proceeding, a presiding
officer shall disclose to all parties material factual information received
through ex parte communication prior to such assignment unless the factual
information has already been or shortly will be disclosed pursuant to Iowa Code
section 17A.13(2) or through discovery. Factual information contained in an
investigative report or similar document need not be separately disclosed by the
presiding officer as long as such documents have been or will shortly be
provided to the parties.
6.23(10) The presiding officer may render a proposed
or final decision imposing appropriate sanctions for violations of this rule
including default, a decision against the offending party, censure, or
suspension or revocation of the privilege to practice before the agency.
Violation of ex parte communication prohibitions by agency personnel shall be
reported to the administrator for possible sanctions including censure,
suspension, dismissal, or other disciplinary action.
605—6.24(17A) Recording costs. Upon
request, the emergency management division shall provide a copy of the whole or
any portion of the record at cost. The cost of preparing a copy of the record
or of transcribing the hearing record shall be paid by the requesting
party.
Parties who request that a hearing be recorded by certified
shorthand reporters rather than by electronic means shall bear the cost of that
recordation, unless otherwise provided by law.
605—6.25(17A) Interlocutory appeals. Upon
written request of a party or on the administrator’s own motion, the
administrator may review an interlocutory order of the presiding officer. In
determining whether to do so, the administrator shall weigh the extent to which
granting the interlocutory appeal would expedite final resolution of the case
and the extent to which review of that interlocutory order by the agency at the
time it reviews the proposed decision of the presiding officer would provide an
adequate remedy. Any request for interlocutory review must be filed within 14
days of issuance of the challenged order, but no later than the time for
compliance with the order or the date of hearing, whichever is first.
605—6.26(17A) Final decision.
6.26(1) When the emergency management division
administrator presides over the reception of evidence at the hearing, the
administrator’s decision is a final decision.
6.26(2) When the emergency management division
administrator does not preside at the reception of evidence, the presiding
officer shall make a proposed decision. The proposed decision becomes the final
decision of the agency without further proceedings unless there is an appeal to,
or review on motion of, the emergency management division administrator within
the time provided in rule 6.27(17A).
605—6.27(17A) Appeals and review.
6.27(1) Appeal by party. Any adversely affected party
may appeal a proposed decision to the emergency management division
administrator within 30 days after issuance of the proposed decision.
6.27(2) Review. The administrator may initiate review
of a proposed decision on the administrator’s own motion at any time
within 30 days following the issuance of such a decision.
6.27(3) Notice of appeal. An appeal of a proposed
decision is initiated by filing a timely notice of appeal with the emergency
management division administrator. 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 parties initiating the appeal;
b. The proposed decision or order appealed from;
c. The specific findings or conclusions to which exception is
taken and any other exceptions to the decision or order;
d. The relief sought;
e. The grounds for relief.
6.27(4) Requests to present additional evidence. A
party may request the taking of additional evidence only by establishing that
the evidence is material, that good cause existed for the failure to present the
evidence at the hearing, and that the party has not waived the right to present
the evidence. A written request to present additional evidence must be filed
with the notice of appeal or, by a nonappealing party, within 14 days of service
of the notice of appeal. The administrator may remand a case to the presiding
officer for further hearing, or the administrator may preside at the taking of
additional evidence.
6.27(5) Scheduling. The emergency management division
administrator shall issue a schedule for consideration of the appeal.
6.27(6) Briefs and arguments. Unless otherwise
ordered, within 20 days of the notice of appeal or order for review, each
appealing party may file exceptions and briefs. Within 20 days thereafter, any
party may file a responsive brief. Briefs shall cite any applicable legal
authority and specify relevant portions of the record in that proceeding.
Written requests to present oral argument shall be filed with the
briefs.
The administrator may resolve the appeal on the briefs or
provide an opportunity for oral argument. The administrator may shorten or
extend the briefing period as appropriate.
605—6.28(17A) Applications for
rehearing.
6.28(1) By whom filed. Any party to a contested case
proceeding may file an application for rehearing from a final order.
6.28(2) Content of application. The application for
rehearing shall state on whose behalf it is filed, the specific grounds for
rehearing, and the relief sought. In addition, the application shall state
whether the applicant desires reconsideration of all or part of the agency
decision on the existing record and whether, on the basis of the grounds
enumerated in subrule 6.27(4), the applicant requests an opportunity to submit
additional evidence.
6.28(3) Time of filing. The application shall be
filed with the emergency management division administrator within 20 days after
issuance of the final decision.
6.28(4) Notice to other parties. A copy of the
application shall be timely mailed by the applicant to all parties of record not
joining therein. If the application does not contain a certificate of service,
the emergency management division shall serve copies on all parties.
6.28(5) Disposition. Any application for a rehearing
shall be deemed denied unless the agency grants the application within 20 days
after its filing.
605—6.29(17A) Stays of agency actions.
6.29(1) When available.
a. Any party to a contested case proceeding may petition the
emergency management division administrator for a stay of an order issued in
that proceeding or for other temporary remedies, pending review by the agency.
The petition shall be filed with the notice of appeal and shall state the
reasons justifying a stay or other temporary remedy. The administrator may rule
on the stay or authorize the presiding officer to do so.
b. Any party to a contested case proceeding may petition the
emergency management division administrator for a stay or other temporary
remedies pending judicial review of all or part of that proceeding. The
petition shall state the reasons justifying a stay or other temporary
remedy.
6.29(2) When granted. In determining whether to grant
a stay, the presiding officer or administrator shall consider the factors listed
in Iowa Code section 17A.19(5)“c.”
6.29(3) Vacation. A stay may be vacated by the
issuing authority upon application of the emergency management division or any
other party.
605—6.30(17A) No factual dispute contested
cases. If the parties agree that no dispute of material fact exists as to a
matter that would be a contested case if such a dispute of fact existed, the
parties may present all relevant admissible evidence either by stipulation or
otherwise as agreed by the parties, without necessity for the production of
evidence at an evidentiary hearing. If such agreement is reached, a jointly
submitted schedule detailing the method and timetable for submission of the
record, briefs and oral argument should be submitted to the presiding officer
for approval as soon as practicable. If the parties cannot agree, any party may
file and serve a motion for summary judgment pursuant to the rules governing
such motions.
605—6.31(17A) Emergency adjudicative
proceedings.
6.31(1) Necessary emergency action. To the extent
necessary to prevent or avoid immediate danger to the public health, safety, or
welfare, and consistent with the Constitution and other provisions of law, the
agency may issue a written order in compliance with Iowa Code section 17A.18 to
suspend a license in whole or in part, order the cessation of any continuing
activity, order affirmative action, or take other action within the jurisdiction
of the agency by emergency adjudicative order. Before issuing an emergency
adjudicative order the agency shall consider factors including, but not limited
to, the following:
a. Whether there has been a sufficient factual investigation
to ensure that the agency is proceeding on the basis of reliable
information;
b. Whether the specific circumstances which pose immediate
danger to the public health, safety or welfare have been identified and
determined to be continuing;
c. Whether the person required to comply with the emergency
adjudicative order may continue to engage in other activities without posing
immediate danger to the public health, safety or welfare;
d. Whether imposition of monitoring requirements or other
interim safeguards would be sufficient to protect the public health, safety, or
welfare; and
e. Whether the specific action contemplated by the agency is
necessary to avoid the immediate danger.
6.31(2) Issuance of order.
a. An emergency adjudicative order shall contain findings of
fact, conclusions of law, and policy reasons to justify the determination of an
immediate danger in the agency’s decision to take immediate
action.
b. The written emergency adjudicative order shall be
immediately delivered to persons who are required to comply with the order by
utilizing one or more of the following procedures:
(1) Personal delivery;
(2) Certified mail, return receipt requested, to the last
address on file with the agency;
(3) Certified mail to the last address on file with the
agency;
(4) First–class mail to the last address on file with
the agency; or
(5) Fax. Fax may be used as the sole method of delivery if
the person required to comply with the order has filed a written request that
agency orders be sent by fax and has provided a fax number for that
purpose.
c. To the degree practicable, the agency shall select the
procedure for providing written notice that best ensures prompt, reliable
delivery.
6.31(3) Oral notice. Unless the written emergency
adjudicative order is provided by personal delivery on the same day that the
order issues, the agency shall make reasonable immediate efforts to contact by
telephone the persons who are required to comply with the order.
6.31(4) Completion of proceedings. After the issuance
of an emergency adjudicative order, the agency shall proceed as quickly as
feasible to complete any proceedings that would be required if the matter did
not involve an immediate danger.
Issuance of a written emergency adjudicative order shall
include notification of the date on which agency proceedings are scheduled for
completion. After issuance of an emergency adjudicative order, continuance of
further agency proceedings to a later date will be granted only in compelling
circumstances upon application in writing.
These rules are intended to implement Iowa Code chapter
17A.
ITEM 6. Adopt the following
new chapter:
CHAPTER 9
IOWA EMERGENCY PLAN
605—9.1(29C) State emergency plan. The Iowa
emergency plan, as promulgated by governor’s proclamation July 7, 1999,
has been adopted and is published and maintained by the division. The plan
details the state government response to, and recovery from, a wide range of
natural and human–caused disasters.
1. The plan shall be distributed to state agencies and
departments that have been assigned emergency functions and to all county
sheriffs and emergency management coordinators.
2. The Iowa emergency plan serves as the state emergency
response and recovery document.
3. The division updates the plan by amendments promulgated by
rule according to Iowa Code chapter 17A and distributes amendments to all plan
holders on the division distribution list.
4. The plan shall be available for public view at the
Emergency Management Division, Hoover State Office Building, Des Moines,
Iowa.
EXCERPTS
BASIC PLAN
IOWA EMERGENCY PLAN
II. MISSION
To maximize survival and preservation of life, property, and
environment in the event of any natural or human–caused disaster, or major
accident affecting any city or rural areas by making the best use of available
personnel, equipment, facilities, and supplies or other resources.
III. CONCEPT OF OPERATION
This plan is intended to facilitate a coordinated response to,
and recovery from, disasters in Iowa. It addresses activities that should take
place predisaster, in response to an emergency and for recovery from the
emergency. Barring special circumstances of state or federal preemption, local
government has primary responsibility to arrange for personnel and equipment for
emergency response to, and recovery from, disasters. Local and state government
is encouraged to use a structured approach and standard terminology to
coordinate activities. Industry, as well as state and federal agencies, should
be involved with local government in the local planning process. State
involvement in disaster response and recovery will occur on request or may be
self–initiated in those instances where the problem exceeds local
capability.
Preparation for coping with a disaster requires cooperative
efforts of numerous agencies (local, state, and federal) and the private sector.
Each level of government and state agencies should prepare plans consistent with
this plan, train its people, and take such other steps as are required to ensure
that it can carry out its responsibilities during a disaster in an efficient and
effective manner.
The state organization which will respond to a disaster is
structured to alter its capabilities in response to the type of hazard which
triggers activation. Thus, for a disaster the state would provide a multiagency
response within the context of the emergency responsibilities assigned in Tab G
to Enclosure #2, page 40. For local emergency situations, the state could
respond with routine day–to–day emergency response actions of one or
two state agencies.
The scale of the response, skills brought to bear on the
problem, and agencies participating in the emergency organization will be geared
to the nature of each specific incident or disaster. The organizational
structure of state government designed to provide this flexibility is shown in
this Basic Plan, page 23.
State response is in support of local government response.
Coordination with the federal government will be accomplished through a state
coordinating officer.
In relation to other plans, this Basic Plan is part of the
Iowa Emergency Plan and is consistent with Iowa Code chapter 29C. This plan as
Part I, Iowa Emergency Plan, is a generic plan and responsibilities as listed in
this plan apply to most disaster situations. Other parts of the Iowa Emergency
Plan augment Part I. The information in other parts of the Iowa Emergency Plan
will pertain specifically to the hazard for which that plan has been developed
and should provide appropriate actions in the event that disaster
occurs.
IV. OPERATIONAL POLICIES
A. In any emergency or disaster, local governments will
utilize all their resources first before requesting state assistance. If the
scope of the disaster is beyond the obvious capabilities of local government
resources, state resources may be immediately provided.
B. If local governments require state assistance, the various
state departments/agencies will perform the necessary emergency functions as
assigned by this plan and directed by the Governor.
C. The Governor will exercise direction and control of state
emergency operations through the Director of Public Defense and the state
Emergency Management Division Administrator.
D. The Governor will exercise direction and control of state
emergency operations for civil disorders through the Commissioner of Public
Safety and prison riots through the Director, Department of
Corrections.
E. The Commissioner of Public Safety will coordinate the
state’s resources in any civil disorder emergency and the Director of
Department of Corrections will coordinate state resources for prison riots or
relocating and housing prisoners in an emergency.
F. The Director of Information Technology Services will
coordinate the restoration of data systems and network services.
G. The state Emergency Management Division Administrator shall
provide for coordination between all state departments to ensure efficient and
maximum emergency function response to a natural or human–caused disaster,
except for civil disorder or prison riots.
H. The state Emergency Management Division Administrator is
responsible for preparing, distributing, and keeping the Iowa Emergency Plan up
to date.
I. Interdepartmental coordination of disaster preparedness
planning and operational matters will be effected by a designated agency
coordinator for planning and operational matters.
J. Public information is generally provided to the news media
by the respective department or agency head during normal operations. When this
plan is activated, all emergency public information will be released by the
Governor’s Office or the Emergency Management Division Administrator
acting for the Governor’s Office. All news or public information contacts
to state government personnel will be referred to the Governor’s Office
for action.
K. All state departments and agencies will retain their
identities and autonomy throughout all levels of emergency
coordination.
L. While evacuations will normally be the responsibility of
the local government that is involved, the state Emergency Management Division
Administrator may coordinate such movements. Decisions for evacuations will be
made by the Governor or the local government involved. Except when immediate
evacuation is imperative, or loss of life could result, the decision may be made
by the local public official on scene.
M. Decisions for reentry of areas contaminated by hazardous
substances will be made by the Incident Commander. When terrorist activities or
biological contamination is suspected, supporting data and recommendations will
be provided by the Department of Public Health, Department of Natural Resources,
Emergency Management Division, University Hygienic Laboratory, nuclear
facilities, or other responsible party, as appropriate.
N. Personnel monitoring and decontamination will be
coordinated by the Incident Commander and supported by the state Department of
Public Health. Contaminated clothing or other materials will be disposed of, if
necessary, as directed by the Department of Natural Resources in coordination
with nuclear facilities and the Nuclear Regulatory Commission. In a suspected
biological terrorist incident, procedures for decontamination shall be
coordinated with the Iowa Department of Public Health, Iowa National Guard, FBI
and the CDC for transportation of cultures. Monitoring and decontamination will
be coordinated by the Incident Command System.
O. Centralized coordination of support to local government and
lead state agencies, as requested, of all phases of emergency operations will be
effected through the state Emergency Operations Center (EOC).
P. Some situations may require the state to establish a
forward command post in or near the disaster area. Once this decision is made,
the Department of Public Safety, in cooperation with the Emergency Management
Division, shall provide its mobile communication and command–post van and
operations personnel. State departments and agencies with emergency
responsibilities will send a liaison officer to operate from this location if
necessary. Reports and information will be sent to the state EOC for evaluation
and supportive actions. Established county or municipal EOCs may also be used
for this purpose or other fixed facilities if available and properly
equipped.
Q. State departments and agencies will coordinate and liaison
will be established with their counterparts in the bordering states and
supporting federal agencies to ensure effective responses and possible aid in
emergencies.
R. State departments and agencies should enter into mutual aid
and other written agreements with federal, state, local, and volunteer
organizations, as appropriate, to provide for implementation of this
plan.
V. RESPONSIBILITIES
A. The state Emergency Management Division Administrator, at
the direction of the Governor, is responsible for:
1. Advising the Governor, state departments or agencies, and
officials of local government of the nature, magnitude and effects of the
emergency or disaster.
2. Coordinating all the elements of state government involved
in an emergency operation.
3. Providing advice and assistance to state departments and
agencies and local governments in developing and revising emergency operation
plans.
4. Orienting and training the state emergency operations staff
and conducting periodic exercises to test and evaluate this plan as
required.
5. Coordinating with the Federal Emergency Management Agency,
Region VII.
6. Maintaining a current list of state department and agency
disaster coordinators.
7. Keeping this plan current and making distribution of the
plan and changes thereto to appropriate state and federal departments and
agencies and local governments.
8. Maintaining a file of Memorandums of
Understanding.
9. Coordinating interstate emergency operations and
planning.
10. Initiating such other actions deemed necessary to
effectively implement this plan.
B. The head of each state department or agency with an
assigned primary or support emergency function(s) as indicated in Tab F to
Enclosure #2 to Basic Plan, page 39, shall:
1. Develop internal Emergency Operating Procedures (EOPs) for
carrying out assigned primary and support functions on a current
basis.
2. Review this plan annually and upgrade the
department’s or agency’s EOP as necessary. One copy of the revised
EOP shall be submitted to the state Emergency Management Division Administrator
prior to the end of March of each year. During review, recommended plan
revisions should be forwarded to the Emergency Management Division.
3. Assign and train operations personnel required to support
agency assigned functions.
4. Designate appropriate personnel for the Emergency
Operations Center staff as shown in this Basic Plan, pages 39 and 40, provide a
list of names and position assignments to the state Emergency Management
Division Administrator, and annually review the list in January and submit
changes prior to the end of March.
5. Provide for procurement and management of resources
necessary for emergency operations, except in a nuclear attack or terrorist
incident. In exception, the Resources Priorities Board, under direction of the
Governor, will manage resources in accordance with national policy.
6. Maintain a state agency contact for planning and
operational matters who shall keep the agency aware of the current overall
emergency management program of the state.
C. Assignment of emergency operation functional
responsibilities. See Tab F to Enclosure #2, pages 39 and 40.
VI. EMERGENCY SUPPORT
A. National Guard services should be requested by the sheriff
or local government chief executive through the Emergency Management Division to
the Governor. Military assistance, when provided, will complement and not be a
substitute for state, county, or local government participation in emergency
operations. Military forces will remain under military command at all times.
B. Local governments should have intra– and intercounty
mutual aid agreements for mutual assistance.
C. Volunteer agency support may be available through the state
Emergency Management Division.
D. Fire Control
Department of Public Safety
State Fire Marshal coordinates the state’s fire fighting
resources under disaster conditions.
E. State Emergency Response Team (SERT)
1. Department of Public Defense
Provide personnel to serve as the Forward Coordinator of state
response resources when requested by the Administrator, Emergency Management
Division.
2. Department of Public Safety
Provide personnel to serve as the Forward Coordinator of state
response resources when requested by the Administrator, Emergency Management
Division.
3. All State Agencies
Provide operating personnel for state EOC and State Emergency
Response Team as requested by the Administrator, Emergency Management
Division.
605—9.2(29C) State resources management system.
A resource management system shall be maintained by the division. The
system contains an inventory of emergency–use resources from the private
sector and state and local governments.
1. The division surveys private, state and local agencies for
emergency–use resources.
2. In the event of a disaster or emergency, the division, upon
request, provides information regarding the location and availability of needed
resources.
605—9.3(29C) Cooperation with and support of the
civil air patrol. The division shall cooperate with and support the civil
air patrol in accordance with a memorandum of agreement between the division and
the commander of the Iowa wing civil air patrol.
These rules are intended to implement Iowa Code chapter
29C.
ARC 9826A
EMERGENCY MANAGEMENT
DIVISION[605]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 17A.3 and
29C.8, the Emergency Management Division proposes to rescind Chapter 7,
“Local Emergency Management,” Iowa Administrative Code, and adopt a
new Chapter 7 with the same title.
The adoption of the new chapter results from an extensive
review of existing rules and implements a change in policy governing the
state’s participation in funding financial assistance programs in a
presidentially declared disaster. This change is the result of emergency
management legislation contained in 1999 Iowa Acts, chapter 86.
Any interested person may make written comments or suggestions
on these proposed rules on or before June 12, 2000. Such written materials
should be sent to the Administrator, Emergency Management Division, Hoover State
Office Building, Des Moines, Iowa 50319, or faxed to (515)
281–7539.
There will be a public hearing on these proposed rules on June
12, 2000, at 10 a.m., in the Emergency Management Division Conference Room,
Hoover State Office Building, Des Moines, Iowa, at which time persons may
present their views 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 these rules.
These rules were also Adopted and Filed Emergency and are
published herein as ARC 9824A. The content of that submission is
incorporated by reference.
These rules are intended to implement Iowa Code sections 29C.6
and 29C.8.
ARC 9825A
EMERGENCY MANAGEMENT
DIVISION[605]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 17A.3 and
29C.8, the Emergency Management Division gives Notice of Intended Action to
rescind Chapter 8, “Criteria for Awards or Grants,” Iowa
Administrative Code, and adopt a new Chapter 8 with the same title.
By proposing this new chapter, the Emergency Management
Division will implement policy ensuring equal access to and establishing the
specific criteria for making awards and grants to eligible applicants.
Any interested person may make written comments or suggestions
on the proposed rules on or before June 12, 2000. Such written materials should
be sent to the Administrator, Emergency Management Division, Hoover State Office
Building, Des Moines, Iowa 50319, or faxed to (515) 281–7539.
There will be a public hearing on the proposed rules on June
12, 2000, at 10 a.m., in the Emergency Management Division Conference Room,
Hoover State Office Building, Des Moines, Iowa, at which time persons may
present their views 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 these rules.
These rules are intended to implement Iowa Code sections 29C.8
and 29C.13.
The following rules are proposed.
Rescind 605—Chapter 8 and adopt the following
new chapter in lieu thereof:
CHAPTER 8
CRITERIA FOR AWARDS OR GRANTS
605—8.1(29C,17A) Purpose. The emergency
management division receives and distributes funds to a variety of entities
throughout the state for support of emergency management planning, training, and
other initiatives. Unless otherwise prohibited by state or federal law, rule or
regulation, the administrator may make such funds subject to competition. Where
such funds are designated by the administrator to be competitive, the division
shall ensure equal access, objective evaluation of applicantions for these
funds, and that grant application material shall contain, at a minimum, specific
content.
605—8.2(29C,17A) Definitions. For the purpose of
these rules, the following definitions shall apply:
“Administrator” means the administrator of the
emergency management division within the Iowa department of public
defense.
“Competitive grant” means the competitive grant
application process to determine the grant award for a specified project
period.
“Division” means the emergency management division
of the Iowa department of public defense.
“Project” means the activity(ies) or program(s)
funded by the division.
“Project period” means the period of time for
which the division intends to support the project without requiring the
recompetition of funds.
“Service delivery area” means the defined
geographic area for delivery of project services.
605—8.3(29C,17A) Exceptions. The division
considers funds subject to competition except in those cases where:
1. State or federal law, rule or regulation prohibits such
competition.
2. The state, federal or private funding source specifies a
sole source for the receipt of funds.
3. There is mutual agreement among the division and contract
organizations.
4. The administrator designates such funds to be
noncompetitive.
605—8.4(29C,17A) Public notice of available
competitive grants. When making funds available through a competitive grant
application process, the division shall, at least 60 days prior to the
application due date, issue a public notice in the Iowa Administrative Bulletin
that identifies the availability of funds and states how interested parties may
request an application packet. A written request for the packet shall serve as
the letter of intent. Services, delivery areas, and eligible applicants shall
be described in the public notice.
If the receipt of a grantor’s official notice of award
to the division precludes a full 60–day notice in the Iowa Administrative
Bulletin, the division shall nonetheless issue the public notice in the Iowa
Administrative Bulletin at the earliest publication date.
In the event the publication date would not allow at least 30
days for interested parties to request and submit an application packet, the
division shall notify current contractors and other interested parties of the
availability of funds through press releases and other announcements.
605—8.5(29C,17A) Requirements. Where funds are
designated as competitive, the following shall be included in all grant
application materials made available by the division:
1. Funding source;
2. Project period;
3. Services to be delivered;
4. Service delivery area;
5. Funding purpose;
6. Funding restrictions;
7. Funding formula (if any);
8. Matching requirements (if any);
9. Reporting requirements;
10. Performance criteria;
11. Description of eligible applicants;
12. Need for letters of support or other materials (if
applicable);
13. Application due date;
14. Anticipated date of award;
15. Eligibility guidelines for those receiving the service or
product and the source of those guidelines, including fees or sliding fee scales
(if applicable);
16. Target population to be served (if applicable);
and
17. Appeal process in the event an application is
denied.
605—8.6(29C,17A) Review process (competitive
applications only). The review process to be followed in determining the
amount of funds to be approved for award of a contract shall be described
in the application material. The review criteria and point allocation for each
element shall also be described in the grant application material.
The competitive grant application review committee shall be
determined by the division bureau chief administering the grant or award, with
oversight from the administrator. The review committee members shall apply
points per the established review criteria in conducting the review.
In the event competitive applications for a project receive an
equal number of points, a second review shall be conducted by the administrator
and the bureau chief administering the grant or award.
605—8.7(29C,17A) Opportunity for review and comment.
Program advisory committees or related task forces of the program may be
provided with an opportunity to review and comment on the criteria and point
allocation prior to implementation. Exceptions may occur when the funding
source to the division has already included such criteria and point allocation
within the award or the time frame allowed is insufficient for such review and
comment.
605—8.8(29C,17A) Awards. Once applications have
been scored and ranked, the division shall award all available funds to eligible
applicants based on the ranking of their applications. Should there be more
eligible applications than funds available, those remaining eligible
applications shall be kept on file by the division.
In those cases in which applicants have received an award but
actual project costs are less than anticipated or established in the
application, remaining funds shall become de–obligated funds. The
division shall award deobligated funds to remaining eligible applications on
file with the division. Should deobligated funds remain after satisfying all
eligible applications, the division shall republish the availability of
funds.
These rules are intended to implement Iowa Code chapters 17A
and 29C.13.
ARC 9839A
ENVIRONMENTAL PROTECTION
COMMISSION[567]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 455B.105 and
455B.173, the Environmental Protection Commission hereby gives Notice of
Intended Action to amend Chapter 61, “Water Quality Standards,” Iowa
Administrative Code.
Under the provisions of the federal Clean Water Act, states
are required to undertake a comprehensive review of their water quality
standards every three years. During 1999, the Department of Natural Resources,
Environmental Protection Division, solicited public input on existing standards
to begin the comprehensive review process. Based on the public comments as well
as Environmental Protection Agency (EPA) comments, the Department developed a
list of issues identified as needing changes and began developing issue papers
for discussion and consideration with a water quality standards Technical
Advisory Committee (TAC). The amendments being proposed address some of the
issues identified to date. As the remaining issues are addressed and resolved
by Department staff and the TAC, additional changes will be proposed.
Additional information on Iowa’s Water Quality Standards
can be found on the Department’s Web site at http://
www.state.ia.us/government/dnr/organiza/epd/prgrmdsc/wtrqual/sum.htm.
The amendments now being proposed will, if adopted: (1)
modify the ammonia nitrogen criteria for aquatic life protection; (2) modify the
descriptive basis for the Class C criteria; (3) allow for consideration of total
residual chlorine (TRC) demand in the mixing zone; (4) establish procedures for
seasonal ammonia limits; (5) modify the critical low stream flows referenced in
the standards; (6) modify the stream use designations for several waterbodies;
and (7) modify the aquatic life criteria for aluminum, mercury, dieldrin,
endrin, lindane, pentachlorophenol, silver and toxaphene.
In December 1999, the EPA finalized a new guidance document
for ammonia. The new guidelines incorporate new toxicity data for various
aquatic species and new procedures to implement the acute and chronic criteria.
For Iowa, implementation of the ammonia criteria is proposed to include
considerations for the time when sensitive versus nonsensitive life stages are
present in the waterbodies. The months when sensitive life stages are present
are specifically listed for each aquatic life use designation. Thus, the
proposed amendment will rescind subrule 61.3(3), Tables 3a, 3b, and 3c,
regarding criteria for ammonia nitrogen, and adopt new tables in lieu thereof to
reflect the EPA’s new national guidelines.
Amendments to items associated with the implementation of the
Class C drinking water criteria are also proposed. First, paragraph
61.2(4)“c,” regarding regulatory mixing zones, will be
modified to state that the maximum contaminate level (MCL) will be met at the
boundary of the allowed mixing zone. Second, subrule 61.3(3), Table 1,
regarding criteria for chemical constituents, will be relabeled and amended to
identify the basis of the Class C criteria, whether a criterion is based on the
drinking water maximum contaminant level (MCL) or the consumption of fish or
fish and water.
The rule–referenced document “Supporting Document
for Iowa Water Quality Management Plans,” Chapter IV, as revised on March
20, 1990, is proposed to be modified to provide procedures for considering the
total residual chlorine demand within the mixing zone. Additional guidance is
being provided on establishing site–specific demand values. The guidance
addresses the analytical procedure to establish the TRC demand, the number of
tests to be performed, and seasonal and stream flow restrictions.
In addition, the rule–referenced document is proposedto
be modified to allow the department to establish water quality–based
ammonia nitrogen limits using a seasonal grouping of months or individual
monthly limits, including the consideration of the presence or absence of
sensitive aquatic life stages. The grouping of months in each season may vary
with each wastewater treatment facility. This will provide permittees with
greater flexibility in complying with their ammonia limits while still meeting
water quality standards.
In subrule 61.2(5), amendments to various items associated
with the critical low stream flows used in the implementation of the standards
are proposed. Based on EPA guidance, the critical low flow conditions will be
modified to reflect the same statistical basis for which the numerical criteria
were established. Specifically, numerous citations in rules 567—
61.2(455B) and 61.3(455B) will be linked to a table referencing the four new
critical low stream flow regimes to be used in the standards.
The designated uses in paragraph 61.3(5)“e,” about
surface water classification, are proposed to be modified for one stream, South
Cedar Creek, tributary to the Turkey River, and add a warm water designation for
three streams, Muchakinock Creek in Mahaska Co., Bear Creek in Benton/Buchanan
Co., and Winnebago Creek in Allamakee Co., for four newly constructed state
lakes and for three lakes inadvertently omitted from the 1990 rule
modifications. The proposed modification to South Cedar Creek would replace the
upper 1–mile reach of the Class B(CW) cold water designation with Class
B(LR) limited resource warm water designation. This replacement reflects the
aquatic life species found in this upper reach and the natural limitations of
the creek but will not impact the Class B(CW) designation in the lower
spring–fed reach. Muchakinock, Bear and Winnebago Creeks are recommended
for Class B(LR) limited resource warm water designations to reflect the aquatic
life species found in these reaches. The newly constructed lakes of Three Mile
Lake, Beaver Lake, Lake Sugema, and Brushy Creek Lake are proposed to be
designated as Class B(LW) lake/wetland waters along with the three omitted lakes
of Mystic Reservoir, Littlefield Lake and Wiese Slough. In addition, several
corrections are being made to current entries in paragraph
61.3(5)“e” where errors or omissions were noted.
In subrule 61.3(3), Table 1, the Aquatic Life Criteria for
aluminum, mercury, dieldrin, endrin, lindane, pentachlorophenol, toxaphene, and
silver are proposed to be modified. The existing numerical criteria do not
reflect the current aquatic toxicity data or were incorrectly calculated in the
revisions to rules from 1990 to 1994.
Any person may submit written suggestions or comments on the
proposed amendments through June 30, 2000. Such written material should be
submitted to Ralph Turkle, Department of Natural Resources, Wallace State Office
Building, 900 East Grand, Des Moines, Iowa 50319–0034, by fax
(515)281–8895 or by E–mail at ralph.turkle@dnr.state.ia.us.
Persons who have questions may contact Ralph Turkle at
(515)281–7025.
Persons are invited to present oral or written comments at
public hearings which will be held as follows:
June 8, 2000
10 a.m. — Iowa City Public Library,
Meeting
Room A, 123 S. Linn St.,
Iowa City
4 p.m. — Decorah City Hall Meeting Room,
400
Claiborne Drive, Decorah
June 12, 2000
11 a.m. — Cherokee Community Center,
530 W.
Bluff St., Cherokee
7 p.m. — Clear Lake Community Meeting Room,
15
N. Sixth St., Clear Lake
June 15, 2000
11 a.m. — Municipal Utilities Conference Room,
15 W. Third St., Atlantic
June 16, 2000
1 p.m. — Wallace State Office Building,
Fifth
Floor Conference Room, West Half,
900 East Grand Ave., Des
Moines
Copies of Environmental Protection Commission rules may be
obtained from Cecilia Nelson, Records Center, Iowa Department of Natural
Resources, Wallace State Office Building, 900 East Grand, Des Moines, Iowa
50319–0034.
These amendments may have an impact upon small
businesses.
These amendments are intended to implement Iowa Code chapter
455B, division III, part 1.
The following amendments are proposed.
ITEM 1. Amend subrule 61.2(4) as
follows:
Amend paragraph “a” as follows:
a. Due to extreme variations in wastewater and receiving water
characteristics, spatial dimensions of mixing zones shall be defined on a
site–specific basis. These rules are not intended to define each
individual mixing zone, but will set maximum limits which will satisfy most
biological, chemical, physical and radiological considerations in defining a
particular mixing zone. Additional details are noted in the “Supporting
Document for Iowa Water Quality Management Plans,” Chapter IV, July1976,
as revised on March 20, 1990 effective date of revised
document, for considering unusual site–specific features such as side
channels and sand bars which may influence a mixing zone. Applications for
operation permits under 567—subrule 64.3(1) may be required to provide
specific information related to the mixing zone characteristics below their
outfall so that mixing zone boundaries can be determined.
Amend paragraph “b,” introductory
paragraph, as follows:
b. For parameters included in Table 1 only (which does not
include ammonia nitrogen), the dimensions of the mixing zone and the zone of
initial dilution will be calculated using a mathematical model presented in the
“Supporting Document for Iowa Water Quality Management Plans,”
Chapter IV, July 1976, as revised on March 20, 1990
effective date of revised document, or from instream studies of the
mixing characteristics during low flow. In addition, the most restrictive of the
following factors will be met:
Further amend paragraph “b,” subparagraph
(1), as follows:
(1) The stream flow in the mixing zone may not exceed the most
restrictive of the following:
1. Twenty–five percent of the seven–day,
ten–year design low stream flow flows
noted in subrule 61.2(5) for interior streams and rivers, and the Big Sioux
and Des Moines Rivers.
2. Ten percent of the seven–day,
ten–year design low stream flow flows
noted in subrule 61.2(5) for the Mississippi and Missouri Rivers.
3. The stream flow contained in the mixing zone at the most
restrictive of the applicable mixing zone length criteria, noted
below.
Amend paragraph “c” as follows:
c. The stream flow used in determining wasteload allocations
to ensure compliance with the maximum contaminant level (MCL), chronic
and human health criteria of Table 1 will be that value contained at the
boundary of the allowed mixing zone. This stream flow may not exceed the
following percentages of the seven–day, ten–year
design low stream flow as measured at the point of discharge:
(1) Twenty–five percent for interior streams and rivers,
and the Big Sioux and Des Moines Rivers.
(2) Ten percent for the Mississippi and Missouri
Rivers.
The stream flow in the zone of initial dilution used in
determining effluent limits to ensure compliance with the acute criteria of
Table 1 may not exceed 10 percent of the calculated flow associated with the
mixing zone.
Amend paragraph “d,” subparagraph
(4), as follows:
(4) A discharger to interior streams and rivers, the Big Sioux
and Des Moines Rivers, and the Mississippi or Missouri Rivers may provide to the
department, for consideration, instream data which technically supports the
allowance of an increased percentage of the stream flow contained in the mixing
zone due to rapid and complete mixing. Any allowed increase in mixing zone flow
would still be governed by the mixing zone length restrictions. The submission
of data should follow the guidance provided in the “Supporting Document
for Iowa Water Quality Management Plans,” (Iowa Department
of Water, Air and Waste Management, Chapter IV, July 1976, as revised
on March 20, 1990) effective date of revised
document.
Amend paragraph “e,” introductory
paragraph, as follows:
e. For ammonia criteria noted in Table 3, the dimensions of
the mixing zone and the zone of initial dilution will be calculated using a
mathematical model presented in the “Supporting Document for Iowa Water
Quality Management Plans,” Chapter IV, July 1976, as revised on
March 20, 1990 effective date of revised document, or
from instream studies of the mixing characteristics during low flow. In
addition, the most restrictive of the following factors will be met:
Further amend paragraph “e,” subparagraph
(1), as follows:
(1) The stream flow in the mixing zone may not exceed the most
restrictive of the following:
1. One hundred percent of the seven–day,
ten–year design low stream flow flows
noted in subrule 61.2(5) for locations where the dilution ratio is less than
or equal to 2:1.
2. Fifty percent of the seven–day,
ten–year design low stream flow flows
noted in subrule 61.2(5) for locations where the dilution ratio is greater
than 2:1, but less than or equal to 5:1.
3. Twenty–five percent of the seven–day,
ten–year design low stream flow flows
noted in subrule 61.2(5) for locations where the dilution ratio is greater
than 5:1.
4. The stream flow contained in the mixing zone at the most
restrictive of the applicable mixing zone length criteria, noted
below.
Amend paragraph “f” as follows:
f. For ammonia criteria noted in Table 3, the stream flow used
in determining wasteload allocations to ensure compliance with the chronic
criteria of Table 3 will be that value contained at the boundary of the allowed
mixing zone. This stream flow may not exceed the percentages of the
seven–day, ten–year design low stream flow
noted in 61.2(4)“e”(1) as measured at the point of discharge.
The pH and temperature values at the boundary of the mixing
zone used to select the chronic ammonia criteria of Table 3 will be from one of
the following sources. The source of the pH and temperature data will follow the
sequence listed below, if applicable data exists from the source.
(1) Specific pH and temperature data provided by the applicant
gathered at their mixing zone boundary. Procedures for obtaining this data are
noted in the “Supporting Document for Iowa Water Quality Management
Plans,” Chapter IV, July 1976, as revised on March 20,
1990 effective date of revised document.
(2) Regional background pH and temperature data provided by
the applicant gathered along the receiving stream and representative of the
background conditions at the outfall. Procedures for obtaining this data are
noted in the “Supporting Document for Iowa Water Quality Management
Plans,” Chapter IV, July 1976, as revised on March 20,
1990 effective date of revised document.
(3) The statewide average background values presented in Table
IV–5 of the “Supporting Document for Iowa Water Quality Management
Plans,” Chapter IV, July 1976, as revised on March 20,
1990 effective date of revised document.
The stream flow in the zone of initial dilution used in
determining effluent limits to ensure compliance with the acute criteria of
Table 3 may not exceed 5 percent of the calculated flow associated with the
mixing zone for facilities with a dilution ratio of less than or equal to 2:1,
and not exceed 10 percent of the calculated flow associated with the mixing zone
for facilities with a dilution ratio of greater than 2:1. The pH and temperature
values at the boundary of the zone of initial dilution used to select the acute
ammonia criteria of Table 3 will be from one of the following sources and follow
the sequence listed below, if applicable data exists from the source.
1. Specific effluent pH and temperature data if the dilution
ratio is less than or equal to 2:1.
2. If the dilution ratio is greater than 2:1, the logarithmic
average pH of the effluent and the regional or statewide pH provided in
61.2(4)“f” will be used. In addition, the flow proportioned
average temperature of the effluent and the regional or statewide temperature
provided in 61.2(4)“f” will be used. The procedures for
calculating these data are noted in the “Supporting Document for Iowa
Water Quality Management Plans,” Chapter IV, July 1976, as revised on
March 20, 1990 effective date of revised
document.
Amend paragraph “g,” subparagraph
(4), as follows:
(4) A discharger to interior streams and rivers, the Big Sioux
and Des Moines Rivers, and the Mississippi and Missouri Rivers may provide to
the department, for consideration, instream data which technically supports the
allowance of an increased percentage of the stream flow contained in the mixing
zone due to rapid and complete mixing. Any allowed increase in mixing zone flow
would still be governed by the mixing zone length restrictions. The submission
of data should follow the guidance provided in the “Supporting Document
for Iowa Water Quality Management Plans,” (Iowa Department
of Water, Air and Waste Management, Chapter IV, July 1976, as revised
on March 20, 1990 effective date of revised
document).
ITEM 2. Amend subrule 61.2(5),
introductory paragraph, as follows:
61.2(5) Implementation strategy. Numerical
criteria specified in these water quality standards shall be met when the flow
of the receiving stream equals or exceeds the seven–day,
ten–year design low flow flows noted
below.
- Type of Numerical Criteria
|
- Design Low Flow Regime
|
- Aquatic Life Protection (TOXICS)
|
- Acute
|
- 1Q10
|
- Chronic
|
- 7Q10
|
- Aquatic Life Protection (AMMONIA - N)
|
- Acute
|
- 1Q10
|
- Chronic
|
- 30Q10
|
- Human Health Protection & MCL
|
- Noncarcinogenic
|
- 30Q5
|
- Carcinogenic
|
- Harmonic mean
|
Exceptions may be made for intermittent or low flow streams
classified as significant resource warm waters or limited resource warm waters.
For these waters, the department may waive the seven–day,
ten–year design low flow requirement and establish a
minimum flow in lieu thereof. Such waiver shall be granted only when it has been
determined that the aquatic resources of the receiving waters are of no
significance at flows less than the established minimum, and that the continued
maintenance of the beneficial uses of the receiving waters will be ensured. In
no event will toxic conditions be allowed to occur in the receiving waters
outside of mixing zones established pursuant to subrule 61.2(4). The policy for
granting waivers is described in the “Supporting Document for Iowa Water
Quality Management Plans,” (Iowa Department of Water, Air
and Waste Management, Chapter IV, July 1976, as revised on
March 20, 1990 effective date of revised
document). (Copies are available upon request to the
Department of Natural Resources, Henry A. Wallace Building, 900 East Grand, Des
Moines, Iowa 50319–0034. Copy also on file with the Iowa Administrative
Rules Coordinator.)
ITEM 3. Amend subrule 61.3(3),
paragraph “b,” subparagraph (3), numbered paragraph
“2,” as follows:
2. The chronic criteria represent the level of protection
necessary to prevent chronic toxicity to aquatic life. Excursions above the
chronic criteria will be allowed only inside of mixing zones or only for
short–term periods outside of mixing zones; however, these excursions
cannot exceed the acute criteria shown in Tables 1 and 3. The chronic criteria
will be met as short–term average conditions at all times the flow equals
or exceeds either the seven–day, ten–year flow
design flows noted in subrule 61.2(5) or any site–specific low flow
established under the provisions of subrule 61.2(5).
ITEM 4. Amend subrule 61.3(3),
paragraph “b,” by adopting the following new
subparagraph (6):
(6) Early life stage for each use designation. The following
seasons will be used in applying the early life stage present chronic criteria
noted in Table 3b, “Chronic Criterion for Ammonia in Iowa Streams –
Early Life Stages Present.”
1. For all Class B(CW) waters, the early life stage will be
year–round.
2. For all Class B(WW) significant resource waters, the early
life stage will begin in March and last through September except the
following:
• For the following, the
early life stage will begin in February and last through September:
—The entire length of the Mississippi and Missouri
Rivers,
—The lower reach of the Des Moines River south of the
Ottumwa dam, and
—The lower reach of the Iowa River below the Cedar
River.
• For the following, the
early life stage will begin in April and last through September:
—All Class B(WW) waters in the Southern Iowa River
Basin,
—All of the Class B(WW) reach of the Skunk River, the
North Skunk River and the South Skunk River south of Indian Creek (Jasper
County), and the Class B(WW) tributaries to these reaches, and
—The entire Class B(WW) reach of the English
River.
3. For all Class B(LR) waters, the early life stage will begin
in April and last through September.
4. For all Class B(LW) lake and wetland waters, the early life
stage will begin in March and last through September except for the Class B(LW)
waters in the southern two tiers of Iowa counties which will have the early life
stage of April through September.
ITEM 5. Amend subrule 61.3(3),
Table 1, “Criteria For Chemical Constituents,” as follows:
Table 1: Criteria For Chemical Constituents
(all values as micrograms per liter unless noted
otherwise)
Human health criteria for carcinogenic parameters noted below
were based on the prevention of an incremental cancer risk of 1 in 100,000. For
parameters not having a noted human health criteria
criterion, the U.S. Environmental Protection Agency has not developed
final national human health guideline values. For noncarcinogenic parameters,
the recommended EPA criterion was selected. For Class C waters, the EPA
criteria for fish and water consumption were selected using the same
considerations for carcinogenic and noncarcinogenic parameters noted above.
For Class C waters where no EPA human health criteria were available, the EPA
MCL value was selected.
|
|
- Use Designations
|
- Parameter
|
|
- B(CW)
|
- B(WW)
|
- B(LR)
|
- B(LW)
|
- C
|
|
|
|
|
|
|
|
- Alachlor
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 2
|
|
|
|
|
|
|
|
- Aluminum
|
- Chronic
|
- 87
|
3290
- 388
|
3290
- 773
|
742
- 748
|
- —
|
|
- Acute
|
1435
- 1106
|
9256
- 4539
|
9256
- 9035
|
1073
- 983
|
- —
|
|
|
|
|
|
|
|
- Antimony
|
Acute
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
6
- 14
|
|
|
|
|
|
|
|
- Arsenic (III)
|
- Chronic
|
- 200
|
- 200
|
- 1000
|
- 200
|
- —
|
|
- Acute
|
- 360
|
- 360
|
- 1800
|
- 360
|
50 |
|
- Human Health - Fish
|
- 50
|
- 50
|
- —
|
- 50
|
- —
|
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .18
|
|
|
|
|
|
|
|
- Asbestos
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- 7(a)
|
|
|
|
|
|
|
|
- Atrazine
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 3
|
|
|
|
|
|
|
|
- Barium
|
Acute
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
2000
- 1000
|
|
|
|
|
|
|
|
- Benzene
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
5
- 12
|
|
- Human Health - Fish
|
- 712.8
|
- 712.8
|
- —
|
- 712.8
|
- —
|
|
|
|
|
|
|
|
- Benzo(a)Pyrene
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
.2
- .044
|
|
|
|
|
|
|
|
- Beryllium
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 4
|
|
|
|
|
|
|
|
- Cadmium
|
- Chronic
|
- 1
|
- 15
|
- 25
|
- 1
|
- —
|
|
- Acute
|
- 4
|
- 75
|
- 100
|
- 4
|
5 |
|
- Human Health+ - Fish
|
- 168
|
- 168
|
- —
|
- 168
|
- —
|
|
- MCL
|
- —
|
- —
|
- —
|
- —
|
- 5
|
|
|
|
|
|
|
|
- Carbofuran
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 40
|
|
|
|
|
|
|
|
- Carbon Tetrachloride
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
5
- 2.5
|
|
- Human Health - Fish
|
- 44.2
|
- 44.2
|
- —
|
- 44.2
|
- —
|
|
|
|
|
|
|
|
- Chlordane
|
- Chronic
|
- .004
|
- .004
|
- .15
|
- .004
|
- —
|
|
- Acute
|
- 2.5
|
- 2.5
|
- 2.5
|
- 2.5
|
2 |
|
- Human Health - Fish
|
- .006
|
- .006
|
- —
|
- .006
|
- —
|
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .021
|
|
|
|
|
|
|
|
- Chloride
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 250*
|
|
|
|
|
|
|
|
- Chlorobenzene
|
- Human Health+ - Fish
|
- 20
|
- 20
|
- —
|
- 20
|
20 |
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- 680
|
- Chloropyrifos
|
- Chronic
|
- .041
|
- .041
|
- .041
|
- .041
|
- —
|
|
- Acute
|
- .083
|
- .083
|
- .083
|
- .083
|
- —
|
|
|
|
|
|
|
|
- Chromium (VI)
|
- Chronic
|
- 40
|
- 40
|
- 200
|
- 10
|
- —
|
|
- Acute
|
- 60
|
- 60
|
- 300
|
- 15
|
100 |
|
- Human Health+ - Fish
|
- 3365
|
- 3365
|
- —
|
- 3365
|
- —
|
|
- MCL
|
- —
|
- —
|
- —
|
- —
|
- 100
|
|
|
|
|
|
|
|
- Copper
|
- Chronic
|
- 20
|
- 35
|
- 55
|
- 10
|
- —
|
|
- Acute
|
- 30
|
- 60
|
- 90
|
- 20
|
1000 |
|
- Human Health+ - Fish
|
- 1000
|
- 1000
|
- —
|
- 1000
|
- —
|
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- 1300
|
|
|
|
|
|
|
|
- Cyanide
|
- Chronic
|
- 5
|
- 10
|
- 10
|
- 10
|
- —
|
|
- Acute
|
- 20
|
- 45
|
- 45
|
- 45
|
200(b) |
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- 700
|
|
|
|
|
|
|
|
- Dalapon
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 200
|
|
|
|
|
|
|
|
- Dibromochloropropane
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- .2
|
|
|
|
|
|
|
|
- 4,4–DDT ++
|
- Chronic
|
- .001
|
- .001
|
- .029
|
- .001
|
- —
|
|
- Acute
|
- .9
|
- .8
|
- .95
|
- .55
|
- —
|
|
- Human Health - Fish
|
- .0059
|
- .0059
|
- —
|
- .0059
|
.0059 |
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .0059
|
|
|
|
|
|
|
|
- o–Dichlorobenzene
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 600
|
|
|
|
|
|
|
|
- para–Dichlorobenzene
|
Acute
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
75
- 400
|
|
- Human Health+ - Fish
|
- 2.6*
|
- 2.6*
|
- —
|
- 2.6*
|
- —
|
|
|
|
|
|
|
|
- 3,3–Dichlorobenzidine
|
- Human Health - Fish
|
- .2
|
- .2
|
- —
|
- .2
|
.1 |
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .4
|
|
|
|
|
|
|
|
- 1,2–Dichloroethane
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
5
- 3.8
|
|
- Human Health - Fish
|
- 986
|
- 986
|
- —
|
- 986
|
- —
|
|
|
|
|
|
|
|
- 1,1–Dichloroethylene
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
7
- .57
|
|
- Human Health - Fish
|
- 32
|
- 32
|
- —
|
- 32
|
- —
|
|
|
|
|
|
|
|
- cis–1,2–Dichloroethylene
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 70
|
|
|
|
|
|
|
|
- trans–1,2–Dichloroethylene
|
Acute
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
100
- 700
|
|
|
|
|
|
|
|
- Dichloromethane
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 5
|
|
|
|
|
|
|
|
- 1,2–Dichloropropane
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
5
- 5.2
|
- Di(2–ethyhexyl)adipate
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 400
|
|
|
|
|
|
|
|
- Di(2–ethyhexyl)phthalate
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
6
- 18
|
|
|
|
|
|
|
|
- Dieldrin
|
- Chronic
|
.0019
- .056
|
.0019
- .056
|
.50
- .056
|
.0019
- .056
|
- —
|
|
- Acute
|
1.25
- .24
|
2.1
- .24
|
2.1
- .24
|
2.1
- .24
|
- —
|
|
- Human Health - Fish
|
- .0014
|
- .0014
|
- —
|
- .0014
|
.0014 |
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .0014
|
|
|
|
|
|
|
|
- Dinoseb
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 7
|
|
|
|
|
|
|
|
- 2,3,7,8–TCDD (Dioxin)
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
.00003
- 1.3-7
|
|
- Human Health - Fish
|
- .00014†
|
- .00014†
|
- —
|
- .00014†
|
- —
|
|
|
|
|
|
|
|
- Diquat
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 20
|
|
|
|
|
|
|
|
- 2,4–D
|
Acute
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
70
- 100
|
|
|
|
|
|
|
|
- Endosulfan
|
- Chronic
|
- .056
|
- .15
|
- .15
|
- .15
|
- —
|
|
- Acute
|
- .11
|
- .3
|
- .3
|
- .3
|
- —
|
|
- Human Health+ - Fish
|
- 2400
|
- 2400
|
- —
|
- 2400
|
1100 |
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- 110
|
|
|
|
|
|
|
|
- Endothall
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 100
|
|
|
|
|
|
|
|
- Endrin
|
- Chronic
|
.0023
- .05
|
.0023
- .036
|
.09
- .036
|
.0023
- .036
|
- —
|
|
- Acute
|
.18
- .12
|
.18
- .086
|
.18
- .086
|
.18
- .086
|
2 |
|
- Human Health+ - Fish
|
- 8.1
|
- 8.1
|
- —
|
- 8.1
|
- —
|
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- .76
|
|
|
|
|
|
|
|
- Ethylbenzene
|
Acute
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
700
- 3100
|
|
|
|
|
|
|
|
- Ethylene dibromide
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- .05
|
|
|
|
|
|
|
|
- Fluoride
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 4000
|
|
|
|
|
|
|
|
- Glyphosate
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 700
|
|
|
|
|
|
|
|
- Heptachlor
|
- Chronic
|
- .0038
|
- .0038
|
- .01
|
- .0038
|
- —
|
|
- Acute
|
- .38
|
- .38
|
- .38
|
- .38
|
.4 |
|
- Human Health - Fish
|
- .002
|
- .002
|
- —
|
- .002
|
- —
|
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .0021
|
|
|
|
|
|
|
|
- Heptachlor epoxide
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
.2
- .001
|
- Hexachlorobenzene
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
1
- .0075
|
|
|
|
|
|
|
|
- y–Hexachloro–
- cyclohexane
|
- Chronic
|
.25
- N/A
|
.33
- N/A
|
.33
- N/A
|
.33
- N/A
|
- —
|
- (Lindane)
|
- Acute
|
3.2
- .95
|
4.1
- .95
|
4.1
- .95
|
4.1
- .95
|
.2 |
|
- Human Health - Fish
|
- .63
|
- .63
|
- —
|
- .63
|
- —
|
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .19
|
|
|
|
|
|
|
|
- Hexachlorocyclopentadiene
|
Acute
- Human Health+- F & W
|
- —
|
- —
|
- —
|
- —
|
50
- 240
|
|
|
|
|
|
|
|
- Lead
|
- Chronic
|
- 3
|
- 30
|
- 80
|
- 3
|
- —
|
|
- Acute
|
- 80
|
- 200
|
- 750
|
- 80
|
50 |
|
- MCL
|
- —
|
- —
|
- —
|
- —
|
- 50
|
|
|
|
|
|
|
|
- Mercury (II)
|
- Chronic
|
.05
- 3.5
|
.05
- 2.1
|
.25
- 3.7
|
.05
- .91
|
- —
|
|
- Acute
|
- 6.5
|
6.5
- 4.0
|
10
- 6.9
|
2.5
- 1.7
|
2 |
|
- Human Health+ - Fish
|
- .15
|
- .15
|
- —
|
- .15
|
- —
|
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- .05
|
|
|
|
|
|
|
|
- Methoxychlor
|
Acute
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
40
- 100
|
|
|
|
|
|
|
|
- Monochlorobenzene
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 100
|
|
|
|
|
|
|
|
- Nickel
|
- Chronic
|
- 350
|
- 650
|
- 750
|
- 150
|
- —
|
|
- Acute
|
- 3250
|
- 5800
|
- 7000
|
- 1400
|
- —
|
|
- Human Health+ - Fish
|
- 4584
|
- 4584
|
- —
|
- 4584
|
- —
|
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- 610
|
|
|
|
|
|
|
|
- Nitrate as N
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 10*
|
|
|
|
|
|
|
|
- Nitrate + Nitrite as N
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 10*
|
|
|
|
|
|
|
|
- Nitrite as N
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 1*
|
|
|
|
|
|
|
|
- Oxamyl (Vydate)
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 200
|
|
|
|
|
|
|
|
- Parathion
|
- Chronic
|
- .013
|
- .013
|
- .013
|
- .013
|
- —
|
|
- Acute
|
- .065
|
- .065
|
- .065
|
- .065
|
- —
|
|
|
|
|
|
|
|
- Pentachlorophenol (PCP)
|
- Chronic
|
- (d)
|
- (d)
|
- (d)
|
- (d)
|
- —
|
|
- Acute
|
- (d)
|
- (d)
|
- (d)
|
- (d)
|
1 |
|
- Human Health - Fish
|
- 82
|
- 82
|
- —
|
- 82
|
- —
|
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .28
|
|
|
|
|
|
|
|
- Picloram
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 500
|
|
|
|
|
|
|
|
- Polychlorinated
|
- Chronic
|
- .014
|
- .014
|
- 1
|
- .014
|
- —
|
- Biphenyls (PCBs)
|
- Acute
|
- 2
|
- 2
|
- 2
|
- 2
|
.5 |
|
- Human Health - Fish
|
- .0004
|
- .0004
|
- —
|
- .0004
|
.0004 |
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .0017
|
|
|
|
|
|
|
|
- Polynuclear Aromatic
|
- Chronic
|
- .03
|
- .03
|
- 3
|
- .03
|
- —
|
- Hydrocarbons (PAHs)**
|
- Acute
|
- 30
|
- 30
|
- 30
|
- 30
|
- —
|
|
- Human Health - Fish
|
- .3
|
- .3
|
- —
|
- .3
|
.028 |
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .044
|
|
|
|
|
|
|
|
- Phenols
|
- Chronic
|
- 50
|
- 50
|
- 50
|
- 50
|
- —
|
|
- Acute
|
- 1000
|
- 2500
|
- 2500
|
- 1000
|
50 |
|
- Human Health+ - Fish
|
- 300
|
- 300
|
- —
|
- 300
|
- —
|
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- 21*
|
|
|
|
|
|
|
|
- Selenium (VI)
|
- Chronic
|
- 10
|
- 125
|
- 125
|
- 70
|
- —
|
|
- Acute
|
- 15
|
- 175
|
- 175
|
- 100
|
50 |
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- 170
|
|
|
|
|
|
|
|
- Silver
|
- Chronic
|
2.5
- N/A
|
8.5
- N/A
|
8.5
- N/A
|
.35
- N/A
|
- —
|
|
- Acute
|
- 30
|
- 100
|
- 100
|
- 4
|
50 |
|
- MCL
|
- —
|
- —
|
- —
|
- —
|
- 50
|
|
|
|
|
|
|
|
- 2,4,5–TP (Silvex)
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
50 10 |
|
|
|
|
|
|
|
- Simazine
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 4
|
|
|
|
|
|
|
|
- Styrene
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 100
|
|
|
|
|
|
|
|
- Tetrachloroethylene
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
5
8 |
|
|
|
|
|
|
|
- Thallium
|
Acute
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
2
1.7 |
|
|
|
|
|
|
|
- Toluene
|
- Chronic
|
- 50
|
- 50
|
- 150
|
- 50
|
- —
|
|
- Acute
|
- 2500
|
- 2500
|
- 7500
|
- 2500
|
1000 |
|
- Human Health+ - Fish
|
- 300*
|
- 300*
|
- —
|
- 300*
|
- —
|
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- 6800
|
|
|
|
|
|
|
|
- Total Residual
|
- Chronic
|
- 10
|
- 20
|
- 25
|
- 10
|
- —
|
- Chlorine (TRC)
|
- Acute
|
- 35
|
- 35
|
- 40
|
- 20
|
- —
|
|
|
|
|
|
|
|
- Toxaphene
|
- Chronic
|
.0002
- .037
|
.0002
- .037
|
.019
- .037
|
.0002
- .037
|
- —
|
|
- Acute
|
.81
- .73
|
- .73
|
.79
- .73
|
- .73
|
3 |
|
- Human Health - Fish
|
- .0075
|
- .0075
|
- —
|
- .0075
|
- —
|
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- .0073
|
|
|
|
|
|
|
|
- 1,2,4–Trichlorobenzene
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 70
|
|
|
|
|
|
|
|
- 1,1,1–Trichloroethane
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 200
|
|
- Human Health+ - Fish
|
- 173*
|
- 173*
|
- —
|
- 173*
|
- —
|
|
|
|
|
|
|
|
- 1,1,2–Trichloroethane
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
5 6
|
|
|
|
|
|
|
|
- Trichloroethylene (TCE)
|
- Chronic
|
- 80
|
- 80
|
- 80
|
- 80
|
- —
|
|
- Acute
|
- 4000
|
- 4000
|
- 4000
|
- 4000
|
5 |
|
- Human Health - Fish
|
- 807
|
- 807
|
- —
|
- 807
|
- —
|
|
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
- 27
|
|
|
|
|
|
|
|
- Trihalomethanes
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 100
|
- (total)(c)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
- Vinyl Chloride
|
Acute
- Human Health - F & W
|
- —
|
- —
|
- —
|
- —
|
2 20
|
|
- Human Health - Fish
|
- 5250
|
- 5250
|
- —
|
- 5250
|
- —
|
|
|
|
|
|
|
|
- Xylene (total)
|
Acute MCL |
- —
|
- —
|
- —
|
- —
|
- 10*
|
|
|
|
|
|
|
|
- Zinc
|
- Chronic
|
- 200
|
- 450
|
- 2000
|
- 100
|
- —
|
|
- Acute
|
- 220
|
- 500
|
- 2200
|
- 110
|
1000 |
|
- Human Health+ - Fish
|
- 5000
|
- 5000
|
- —
|
- 5000
|
- —
|
|
- Human Health+ - F & W
|
- —
|
- —
|
- —
|
- —
|
- 9100
|
* units expressed as milligrams/liter
** to include the sum of known and suspected carcinogenic
PAHs
† expressed as nanograms/liter
+ Represents the noncarcinogenic human health
parameters
++ The concentrations of 4,4–DDT or its metabolites;
4,4–DDE and 4,4–DDD, individually shall not exceed the human health
criterion criteria.
(a) units expressed as million fibers/liter (longer than 10
micrometers)
(b) measured as free cyanide
(c) total trihalomethanes includes the sum of
bromodichloromethane, dibromochloromethane, tribromomethane (bromoform), and
trichloromethane (chloroform)
(d) Class B numerical criteria are for pentachlorophenol
a function of pH using the equation:
Criterion (mg/l)=e
[1.005(pH) – x], where e = 2.71828 and x varies according to
the following table.
|
|
- B(CW)
|
- B(WW)
|
- B(LR)
|
- B(LW)
|
|
|
- Acute
|
3.65 |
4.83 |
3.34 |
4.83 |
|
|
|
- 3.869
|
- 4.869
|
- 4.869
|
- 4.869
|
|
|
- Chronic
|
4.11 |
5.29 |
3.80 |
5.29 |
|
|
|
- 4.134
|
- 5.134
|
- 5.134
|
- 5.134
|
|
ITEM 6. Rescind subrule 61.3(3),
Tables 3a, 3b, and 3c, “Criteria for Ammonia Nitrogen,” and adopt
the following new tables in lieu thereof:
Table 3a. Acute Criterion for Ammonia in Iowa
Streams
Acute Criterion, mg/l as N
(or Criterion Maximum Concentration, CMC)
|
pH
|
Class B(WW), B(LR) & B(LW)
|
Class B(CW) Cold Water
|
6.5
|
48.8
|
32.6
|
6.6
|
46.8
|
31.3
|
6.7
|
44.6
|
29.8
|
6.8
|
42.0
|
28.0
|
6.9
|
39.1
|
26.1
|
7.0
|
36.1
|
24.1
|
7.1
|
32.8
|
21.9
|
7.2
|
29.5
|
19.7
|
7.3
|
26.2
|
17.5
|
7.4
|
23.0
|
15.3
|
7.5
|
19.9
|
13.3
|
7.6
|
17.0
|
11.4
|
7.7
|
14.4
|
9.64
|
7.8
|
12.1
|
8.11
|
7.9
|
10.1
|
6.77
|
8.0
|
8.40
|
5.62
|
8.1
|
6.95
|
4.64
|
8.2
|
5.72
|
3.83
|
8.3
|
4.71
|
3.15
|
8.4
|
3.88
|
2.59
|
8.5
|
3.20
|
2.14
|
8.6
|
2.65
|
1.77
|
8.7
|
2.20
|
1.47
|
8.8
|
1.84
|
1.23
|
8.9
|
1.56
|
1.04
|
9.0
|
1.32
|
0.885
|
Table 3b. Chronic Criterion for Ammonia in Iowa Streams -
Early Life Stages Present
Chronic Criterion - Early Life Stages Present, mg/l as
N
(or Criterion Continuous Concentration, CCC)
|
|
pH
|
Temperature, _C
|
|
|
0
|
14
|
16
|
18
|
20
|
22
|
24
|
26
|
28
|
30
|
6.5
|
6.67
|
6.67
|
6.06
|
5.33
|
4.68
|
4.12
|
3.62
|
3.18
|
2.80
|
2.46
|
6.6
|
6.57
|
6.57
|
5.97
|
5.25
|
4.61
|
4.05
|
3.56
|
3.13
|
2.75
|
2.42
|
6.7
|
6.44
|
6.44
|
5.86
|
5.15
|
4.52
|
3.98
|
3.50
|
3.07
|
2.70
|
2.37
|
6.8
|
6.29
|
6.29
|
5.72
|
5.03
|
4.42
|
3.89
|
3.42
|
3.00
|
2.64
|
2.32
|
6.9
|
6.12
|
6.12
|
5.56
|
4.89
|
4.30
|
3.78
|
3.32
|
2.92
|
2.57
|
2.25
|
7.0
|
5.91
|
5.91
|
5.37
|
4.72
|
4.15
|
3.65
|
3.21
|
2.82
|
2.48
|
2.18
|
7.1
|
5.67
|
5.67
|
5.15
|
4.53
|
3.98
|
3.50
|
3.08
|
2.70
|
2.38
|
2.09
|
7.2
|
5.39
|
5.39
|
4.90
|
4.31
|
3.78
|
3.33
|
2.92
|
2.57
|
2.26
|
1.99
|
7.3
|
5.08
|
5.08
|
4.61
|
4.06
|
3.57
|
3.13
|
2.76
|
2.42
|
2.13
|
1.87
|
7.4
|
4.73
|
4.73
|
4.30
|
3.78
|
3.32
|
2.92
|
2.57
|
2.26
|
1.98
|
1.74
|
7.5
|
4.36
|
4.36
|
3.97
|
3.49
|
3.06
|
2.69
|
2.37
|
2.08
|
1.83
|
1.61
|
7.6
|
3.98
|
3.98
|
3.61
|
3.18
|
2.79
|
2.45
|
2.16
|
1.90
|
1.67
|
1.47
|
7.7
|
3.58
|
3.58
|
3.25
|
2.86
|
2.51
|
2.21
|
1.94
|
1.71
|
1.50
|
1.32
|
7.8
|
3.18
|
3.18
|
2.89
|
2.54
|
2.23
|
1.96
|
1.73
|
1.52
|
1.33
|
1.17
|
7.9
|
2.8
|
2.8
|
2.54
|
2.24
|
1.96
|
1.73
|
1.52
|
1.33
|
1.17
|
1.03
|
8.0
|
2.43
|
2.43
|
2.21
|
1.94
|
1.71
|
1.50
|
1.32
|
1.16
|
1.02
|
0.897
|
8.1
|
2.10
|
2.10
|
1.91
|
1.68
|
1.47
|
1.29
|
1.14
|
1.00
|
0.879
|
0.773
|
8.2
|
1.79
|
1.79
|
1.63
|
1.43
|
1.26
|
1.11
|
0.973
|
0.855
|
0.752
|
0.661
|
8.3
|
1.52
|
1.52
|
1.39
|
1.22
|
1.07
|
0.941
|
0.827
|
0.727
|
0.639
|
0.562
|
8.4
|
1.29
|
1.29
|
1.17
|
1.03
|
0.906
|
0.796
|
0.700
|
0.615
|
0.541
|
0.475
|
8.5
|
1.09
|
1.09
|
0.990
|
0.870
|
0.765
|
0.672
|
0.591
|
0.520
|
0.457
|
0.401
|
8.6
|
0.920
|
0.920
|
0.836
|
0.735
|
0.646
|
0.568
|
0.499
|
0.439
|
0.386
|
0.339
|
8.7
|
0.778
|
0.778
|
0.707
|
0.622
|
0.547
|
0.480
|
0.422
|
0.371
|
0.326
|
0.287
|
8.8
|
0.661
|
0.661
|
0.601
|
0.528
|
0.464
|
0.408
|
0.359
|
0.315
|
0.277
|
0.244
|
8.9
|
0.565
|
0.565
|
0.513
|
0.451
|
0.397
|
0.349
|
0.306
|
0.269
|
0.237
|
0.208
|
9.0
|
0.486
|
0.486
|
0.442
|
0.389
|
0.342
|
0.300
|
0.264
|
0.232
|
0.204
|
0.179
|
Table 3c. Chronic Criterion for Ammonia in Iowa Streams -
Early Life Stages Absent
Chronic Criterion - Early Life Stages Absent, mg/l as
N
(or Criterion Continuous Concentration, CCC)
|
pH
|
Temperature, _C
|
|
0–7
|
8
|
9
|
10
|
11
|
12
|
13
|
14
|
15*
|
16*
|
6.5
|
10.8
|
10.1
|
9.51
|
8.92
|
8.36
|
7.84
|
7.35
|
6.89
|
6.46
|
6.06
|
6.6
|
10.7
|
9.99
|
9.37
|
8.79
|
8.24
|
7.72
|
7.24
|
6.79
|
6.36
|
5.97
|
6.7
|
10.5
|
9.81
|
9.20
|
8.62
|
8.08
|
7.58
|
7.11
|
6.66
|
6.25
|
5.86
|
6.8
|
10.2
|
9.58
|
8.98
|
8.42
|
7.90
|
7.40
|
6.94
|
6.51
|
6.10
|
5.72
|
6.9
|
9.93
|
9.31
|
8.73
|
8.19
|
7.68
|
7.20
|
6.75
|
6.33
|
5.93
|
5.56
|
7.0
|
9.60
|
9.00
|
8.43
|
7.91
|
7.41
|
6.95
|
6.52
|
6.11
|
5.73
|
5.37
|
7.1
|
9.20
|
8.63
|
8.09
|
7.58
|
7.11
|
6.67
|
6.25
|
5.86
|
5.49
|
5.15
|
7.2
|
8.75
|
8.20
|
7.69
|
7.21
|
6.76
|
6.34
|
5.94
|
5.57
|
5.22
|
4.90
|
7.3
|
8.24
|
7.73
|
7.25
|
6.79
|
6.37
|
5.97
|
5.60
|
5.25
|
4.92
|
4.61
|
7.4
|
7.69
|
7.21
|
6.76
|
6.33
|
5.94
|
5.57
|
5.22
|
4.89
|
4.59
|
4.30
|
7.5
|
7.09
|
6.64
|
6.23
|
5.84
|
5.48
|
5.13
|
4.81
|
4.51
|
4.23
|
3.97
|
7.6
|
6.46
|
6.05
|
5.67
|
5.32
|
4.99
|
4.68
|
4.38
|
4.11
|
3.85
|
3.61
|
7.7
|
5.81
|
5.45
|
5.11
|
4.79
|
4.49
|
4.21
|
3.95
|
3.70
|
3.47
|
3.25
|
7.8
|
5.17
|
4.84
|
4.54
|
4.26
|
3.99
|
3.74
|
3.51
|
3.29
|
3.09
|
2.89
|
7.9
|
4.54
|
4.26
|
3.99
|
3.74
|
3.51
|
3.29
|
3.09
|
2.89
|
2.71
|
2.54
|
8.0
|
3.95
|
3.70
|
3.47
|
3.26
|
3.05
|
2.86
|
2.68
|
2.52
|
2.36
|
2.21
|
8.1
|
3.41
|
3.19
|
2.99
|
2.81
|
2.63
|
2.47
|
2.31
|
2.17
|
2.03
|
1.91
|
8.2
|
2.91
|
2.73
|
2.56
|
2.40
|
2.25
|
2.11
|
1.98
|
1.85
|
1.74
|
1.63
|
8.3
|
2.47
|
2.32
|
2.18
|
2.04
|
1.91
|
1.79
|
1.68
|
1.58
|
1.48
|
1.39
|
8.4
|
2.09
|
1.96
|
1.84
|
1.73
|
1.62
|
1.52
|
1.42
|
1.33
|
1.25
|
1.17
|
8.5
|
1.77
|
1.66
|
1.55
|
1.46
|
1.37
|
1.28
|
1.20
|
1.13
|
1.06
|
0.99
|
8.6
|
1.49
|
1.40
|
1.31
|
1.23
|
1.15
|
1.08
|
1.01
|
0.951
|
0.892
|
0.836
|
8.7
|
1.26
|
1.18
|
1.11
|
1.04
|
0.976
|
0.915
|
0.858
|
0.805
|
0.754
|
0.707
|
8.8
|
1.07
|
1.01
|
0.944
|
0.885
|
0.829
|
0.778
|
0.729
|
0.684
|
0.641
|
0.601
|
8.9
|
0.917
|
0.860
|
0.806
|
0.756
|
0.709
|
0.664
|
0.623
|
0.584
|
0.548
|
0.513
|
9.0
|
0.790
|
0.740
|
0.694
|
0.651
|
0.610
|
0.572
|
0.536
|
0.503
|
0.471
|
0.442
|
*At 15_C and above, the criterion
for fish early life stage (ELS) absent is the same as the criterion for fish ELS
present.
ITEM 7. Amend subrule 61.3(5),
paragraph “e,” as follows:
Amend streams or stream segments by location and reference
number as follows:
|
|
A
|
B(WW)
|
B(LR)
|
B(LW)
|
B(CW)
|
C
|
HQ
|
HQR
|
Western Iowa River Basins
|
|
|
|
|
|
|
|
|
|
Montgomery Cr.
|
|
|
|
|
|
|
|
|
51.
|
Mouth (S3, T94N, R36W, Clay Co.) to confluence with an unnamed
tributary (NW SE ¼,
S11, T94N, R36W, Clay Co.)
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Whiskey Cr.
|
|
|
|
|
|
|
|
|
66.
|
Mouth (Plymouth Co.) to confluence with unnamed tributary (NW
¼, S11 S2,
T93N T91N, R44W R43W, Plymouth
Co.)
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Willow Cr.
|
|
|
|
|
|
|
|
|
72.
|
Mouth (Plymouth Co.) to confluence with unnamed tributary (NE
¼, S35 S11,
T94N T93N, R43W R44W, Plymouth
Co.)
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Southern Iowa River Basins
|
|
|
|
|
|
|
|
|
|
Silver Cr.
|
|
|
|
|
|
|
|
|
7.
|
Mouth (S31, T71N, R41W, Hwy. 41
(Mills Co.) to confluence with Little Silver Cr. (S34, T78N, R40W, Shelby
Co.)
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
West Fork West Nishnabotna R.
|
|
|
|
|
|
|
|
|
16.
|
Mouth (Shelby Co.) to confluence with Maloney
Malony Branch (S29, T83N, R37W, Crawford Co.)
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Nodaway R.
|
|
|
|
|
|
|
|
|
35.
|
City of Clarinda Water Works intake
|
|
|
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
West Nodaway R.
|
|
|
|
|
|
|
|
|
36. 35.
|
Mouth (S33, T71N, R36W, Montgomery Co.) to confluence with
Threemile Cr. (S35, T74N, R36W, Cass Co.)
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
West Nodaway R.
|
|
|
|
|
|
|
|
|
36.
|
City of Clarinda Water Works intake
|
|
|
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Grand R.
(aka Thompson Cr. R.)
|
|
|
|
|
|
|
|
|
71.
|
Iowa–Missouri state line (Decatur Co.) to confluence
with Long Cr. (SW ¼, S8, T69N, R26W, Decatur
Co.)
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Grand R.
(aka Thomson Cr. R.)
|
|
|
|
|
|
|
|
|
72.
|
Confluence with Long Cr. (SW
¼, S8, T69N, R26W, Decatur Co.) to confluence
with Marvel Cr. (S8, T75N, R30W, Adair Co.)
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Des Moines River Basin
|
|
|
|
|
|
|
|
|
|
Muchakinock Cr.
|
|
|
|
|
|
|
|
|
27.
|
Mouth (Mahaska Co.) Confluence with Little
Muchakinock Creek (S34, T75N, R16W Mahaska Co.) to confluence with an
unnamed tributary (NW ¼, SW
¼, S27, T76N, R17W, Mahaska Co.)
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Middle R.
|
|
|
|
|
|
|
|
|
43.
|
Mouth (Warren Co.) to confluence with Fletcher Br.
(Madison Co.) Bush Branch (S8, T75N, R29W, Madison
Co.)
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Middle R.
|
|
|
|
|
|
|
|
|
44.
|
Confluence with Fletcher Branch (Madison Co.) to
confluence with Bush Branch (S8, T75N, R29W, Madison Co.)
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Clanton Cr.
|
|
|
|
|
|
|
|
|
47.
|
Confluence with Jones Cr. (Madison Co.) to confluence
with the North Fork and South Fork Clanton Cr. (SW
¼, S10,
T74N, R27W, Madison Co.)
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Clanton Cr.
|
|
|
|
|
|
|
|
|
48.
|
Mouth (N½, S28, T76N, R25W,
Warren Co.) to confluence with North & South Fork Clanton Cr.
(SW ¼, S10, T74N, R27W,
Madison Co.)
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
North R.
|
|
|
|
|
|
|
|
|
56.
|
Confluence with Badger Cr. (S33, T77N, R25W, Warren Co.) to
confluence with North Branch North R. (S33, T77N, R27W, Madison Co.)
|
|
|
X
|
|
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
Willow Cr.
|
|
|
|
|
|
|
|
|
89.
|
Mouth (Guthrie Co.) to confluence with an unnamed tributary
(SE
¼
SW ¼, S30, T83N, R32W,
Green Greene Co.)
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X
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Brushy Creek
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94.
|
Mouth (Guthrie Co.) to confluence with an unnamed
tributary (S6, T82N, R34W, Carroll Co.) Guthrie–Audubon Co.
line
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X
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X
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Brushy Creek
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95.
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Mouth (S22, T79N, R31W, Guthrie Co.) Guthrie–Audubon
Co. line to confluence with an unnamed tributary (S26, T82N, R34W, Carroll
Co.)
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X
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D.D. 94
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149.
|
Mouth (Wright Co.) to West line of S23, T90N, R26W, Wright
Co.
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X
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X
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Blue Earth R.
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(aka Middle Branch Blue Earth R.)
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187.
|
Iowa–Minnesota state line (S12, T100N, R28W, Kossuth
Co.) to confluence with an unnamed tributary Ditch
#7 (S9, T99N, R27W, Kossuth Co.)
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X
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Skunk River Basin
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South Skunk R.
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35.
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Ames Waterworks Dam (S36, T84N, R24W, Story Co.) to North line
S6, T85N, R23W, Story Co.
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X
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X
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South Skunk R.
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36.
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North line S6, T85N, R23W, Story Co. to confluence with D.D.
No. 71 (S11, T86N, R24W, Hamilton Co.)
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X
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X
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Iowa–Cedar River Basins
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Iowa River
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26.
|
Hwy 149 to confluence with Asher Creek (Marshall County,
Section 27, T84N, R18W) excluding all waters within the boundaries of the
Meskwaki Settlement of the Sac Fox Tribe of the Mississippi
|
X
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X
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X
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Pike Run
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51.
|
Mouth (Muscatine Co.) to confluence with an unnamed tributary
(NE ¼ NW
¼, S8 S9,
T77N, R3W, Muscatine Co.)
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X
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Pike Run
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52.
|
Confluence with an unnamed tributary (NE
¼ NW
¼, S8 S9,
T77N, R3W, Muscatine Co.) to the road crossing at (SW
¼, S34, T78N, R3W, Muscatine Co.)
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X
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Rock Cr.
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58.
|
Confluence with unnamed tributary (SW
¼, S11, T80N, R3W, Cedar Co.) to the
confluence with an unnamed tributary (SW
¼, Sec. 13,
T80N, R16W, Poweshiek Co. center S1, T81N, R3W, Cedar
Co.)
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X
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Rock Cr.
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59.
|
Confluence with unnamed tributary (SW
¼, S11,
T80N, R3W, Cedar Co.) to bridge crossing County Rd. F28 (S35, T81N, R3W, Cedar
Co.)
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X
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Bear Cr.
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78a.
|
Mouth (S21, T86N, R10W, Benton Co.) to confluence with an
unnamed tributary (SW ¼, S34,
T88N, R9W, Buchanan Co.)
|
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X
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Miller Cr.
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87.
|
Mouth (S35, T88N, R12W, Blackhawk Co.) to confluence with an
unnamed tributary (NW ¼,
S7, T87N, R12W, Blackhawk Co.)
|
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X
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Spring Cr.
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125.
|
Beeds Lake Dam to W line of S16 S19,
T92N, R20W, Franklin Co.
|
X
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X
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Beaverdam Cr.
(aka W. Fk. Cedar R.)
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132.
|
Confluence with Bailey Cr. (S19, T93N, R19W, Franklin
Co.) to confluence with Beaverdam Cr. and E. Branch Beaverdam Cr. (S21, T94N,
R20W, Cerro Gordo Co.)
|
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X
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Beaverdam Cr.
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133.
|
Mouth (confluence with Bailey Cr., S19, T93N, R19W,
Franklin Co.) (Cerro Gordo Co.) to confluence with an
unnamed tributary (S12, T95N, R22W, Cerro Gordo Co.)
|
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X
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Unnamed Cr.
(aka D.D. 6)
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134.
|
Mouth (S29, T91N, R20W, Franklin Co.) to confluence with an
unnamed tributary (S31 S36, T91N, R20W, Franklin
Co.)
|
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X
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Price Cr.
|
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165.
|
Mouth (S26 S36, T81N, R9W, Iowa Co.)
to mouth of Mill Race (S26, T81N, R9W, Iowa Co.)
|
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X
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Mill Race
|
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167.
|
Upstream beginning (S27, T81N, R10W, Iowa Co.) to end
(S36 S26, T81N, R9W, Iowa Co.)
|
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X
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Little Bear Cr.
|
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169.
|
Mouth (Poweshiek Co.) to confluence with an unnamed tributary
(SW ¼, Sec. 13, T80N, R10W, Buchanan
Co. R16W, Poweshiek Co.)
|
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X
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Salt Cr.
|
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172.
|
Mouth (S31, T82N, R12W, Benton Co.) to confluence with
East Salt Creek (S34, T84N, R13W, Tama Co.) unnamed
tributary (S28, T85N, R14W, Tama Co.)
|
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X
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Salt Cr.
|
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173.
|
Mouth of East Salt Cr. (S34, T84N, R13W, Tama Co.) to
confluence with an unnamed tributary (S28, T85N, R14W, Tama
Co.)
|
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X
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Unnamed Cr.
(aka D.D. 32)
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205.
|
Mouth (SE ¼, S30, T91N,
R22W, Franklin Co.) to confluence with an unnamed tributary (NW
¼, S29, T91N, R22W, Franklin Co.)
|
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|
X
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E. Branch Fork Iowa R.
(aka East Branch Iowa R.)
|
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210.
|
Mouth (S19, T93N, R23W, Wright Co.) Confluence
with Galls Creek (Hancock Co.) to confluence with an unnamed tributary
(S27, T97N, R24W, Hancock Co.)
|
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|
X
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East Fork Iowa River (aka East Branch Iowa R.)
|
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211.
|
Mouth (S19, T93N, R23W, Wright Co.) to confluence with
Galls Cr. (Hancock Co.)
|
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X
|
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Northeastern Iowa River Basins
|
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Mad Cr.
|
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5.
|
Mouth (S36, T77N, R1W, Muscatine Co.) to confluence with an
unnamed tributary (SE ¼, S13, T77N,
R1W R2W, Muscatine Co.)
|
|
|
X
|
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Wapsipinicon R.
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12.
|
Snyder Access (Section 24 34, T93N,
R12W, Bremer Co.) to confluence with Watsons Cr. (S25, T99N, R15W, Mitchell
Co.)
|
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X
|
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East Branch Buffalo Cr.
|
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37.
|
Mouth (S35, T90N, R8W, Buchanan Co.) to confluence with an
unnamed tributary (S34, T91N, R8W, Buchanan Fayette
Co.)
|
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X
|
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|
Unnamed Cr.
(aka Deer Cr.)
|
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67.
|
Mouth (S17, T82N, R7E, Clinton Co.) to confluence with an
unnamed tributary (SW ¼, S18, T82N, R7E,
Clinton Co.)
|
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|
X
|
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Deep Cr.
|
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81.
|
Confluence with Bear Cr. (S8, T23N
T83N, R5E, Clinton Co.) to confluence with Williams Cr. (S33, T83N, R4E,
Clinton Co.)
|
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X
|
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Whitewater Cr.
|
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103.
|
Confluence with Curran Branch to confluence with an unnamed
tributary (S1 S18, T85N T88N,
R1E, Dubuque Co.)
|
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|
X
|
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- Coffins Cr.
|
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124.
|
- Mouth (S19, T89N, R5W, Delaware Co.) to confluence with
an unnamed tributary Prairie Cr. (S29, T89N, R6W,
Delaware Co.) |
|
|
X
|
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- Bruce Cr.
|
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131.
|
- Mouth (S19/30, T91N, R6W, Clayton Co.) to confluence with an
unnamed tributary (S27, T91N, R7W, Fayette Co.)
|
|
|
X
|
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- Unnamed Cr.
(aka
Storybrook Storybook Hollow)
|
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139.
|
Mouth (Section 1, T86N, R4E, Jackson Co.) to S. line of
Section 12, T86N, R3E, Jackson Co.
|
|
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X
|
|
X
|
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|
Bloody Run Cr.
(aka Grimes Hollow)
|
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181.
|
Mouth (S36, T91N, R3W, Clayton Co.) to spring source
(S8 S3, T90N, R2W R3W,
Dubuque Delaware Co.)
|
|
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X
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X
|
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Ram Hollow
|
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182.
|
Mouth (S11, T90N, R3W, Clayton Co.) to spring source
(S8 S10, T90N, R2W R3W,
Dubuque Delaware Co.)
|
|
|
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|
X
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X
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|
S. Cedar Cr.
(aka Cedar Cr.)
|
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186.
|
Mouth (S33, T92N, R3W, Clayton Co.) to S. line (S6,
T91N T92N, R3W, Clayton Co.)
|
|
|
X
|
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|
X
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|
S. Cedar Cr.
(aka Cedar Cr.)
|
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187.
|
N. line if of S7, T92N, R3W, Clayton
Co. to N. line of confluence with an unnamed tributary (SE
¼, S30, T93N, R3W, Clayton
Co.)
|
|
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X
|
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X
|
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|
S. Cedar Cr.
(aka Cedar Cr.)
|
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187a.
|
Confluence with an unnamed tributary (SE
¼, S30, T93N, R3W, Clayton Co.)
to confluence with an unnamed tributary (NW
¼, S30, T93N, R3W, Clayton
Co.)
|
|
|
X
|
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X
|
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Volga R.
|
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204.
|
Confluence with L. Volga R. (S2, T92N, R9W,
Fayett Fayette Co.) to confluence with an unnamed
tributary (NE
¼ SE
¼, S24, T93N, R10W, Fayette
Co.)
|
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X
|
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Grannis Cr.
|
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230.
|
Mouth (S30, T95N, R7W, Fayette Co.) to W. line Section 36,
T95N T93N, R8W, Fayette Co.
|
|
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X
|
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X
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Winnebago Cr.
|
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302a.
|
- Mouth (Section 11, T100N, R4W, Allamakee Co.) to state line (S11,T100N,
R4W, Allamakee Co.)
|
|
|
X
|
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|
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|
Amend the table of lakes by adopting the following
new entries in alphabetical order:
LAKES
County
|
|
Location
|
Water Uses
|
|
|
Lake Name
|
R. T. S.
|
A
|
B(WW)
|
B(LR)
|
B(LW)
|
B(CW)
|
C
|
HQ
|
HQR
|
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|
Appanoose
|
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|
9a
|
- Mystic Reservoir
|
18 69 8
|
X
|
|
|
X
|
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|
Audubon
|
|
|
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|
11a
|
- Littlefield Lake
|
34 78 18
|
|
|
|
X
|
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|
Dallas
|
|
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|
76a
|
- Beaver Lake
|
29 78 29
|
X
|
|
|
X
|
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Muscatine
|
|
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|
251a
|
- Wiese Slough
|
2 78 19
|
|
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|
X
|
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Union
|
|
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|
332a
|
Three Mile Lake
|
29 73 32
|
|
|
|
X
|
|
X
|
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|
Van Buren
|
|
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|
335a
|
Lake Sugema
|
10 68 14
|
|
|
|
X
|
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|
Webster
|
|
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|
351a
|
Brushy Creek Lake
|
27 88 34
|
|
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|
X
|
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|
ARC 9832A
FAIR BOARD[371]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code chapters 173 and 17A,
the Fair Board hereby gives Notice of Intended Action to amend Chapter 8,
“Admittance and Use of Fairgrounds,” Iowa Administrative
Code.
The amendment will impose restrictions regarding pets that are
allowed on the fairgrounds during the annual fair and the pets that are allowed
to stay in the campgrounds.
Interested parties may comment on the proposed amendment on or
before June 6, 2000. Written materials should be directed to Joanne Giles, Iowa
State Fair, 400 E. 14th Street, Des Moines, Iowa 50319–0198, telephone
(515)262-3111, extension 232.
This amendment is intended to implement Iowa Code chapter
173.
The following amendment is proposed.
Amend rule 371—8.4(173) as follows:
371—8.4(173) Pets.
8.4(1) No privately owned animals or
pets shall be allowed to run at large on the Iowa state fairgrounds or upon
lands under the jurisdiction of the Iowa state fair board except by permission
of the fair board.
a. Animals shall be deemed as running at large unless
carried by owner or on a leash or chain or confined or tied to a
vehicle.
b. Any animal found running at large will be subject to
confinement and will be turned over to the animal shelter.
c. No animals, except guide dogs
animals providing disability assistive services, may be taken into any
building on the Iowa state fairgrounds that is posted stating such animals are
not allowed in this building.
8.4(2) During the annual fair no pets shall
be brought onto the Iowa state fairgrounds or upon lands under the jurisdiction
of the Iowa state fair board except as follows:
a. Pets may be brought onto land designated as campgrounds
by the Iowa state fair board. Pets brought onto state fair campgrounds are
subject to campground rules and shall not be allowed to run at
large.
b. Pets or other privately owned animals shall be permitted
access to those portions of the Iowa state fairgrounds as is necessary for those
animals to participate in competitions, exhibitions, or shows sanctioned or
approved by the Iowa state fair board, provided such animals are not allowed to
run at large.
c. Pets or other privately owned animals subject to
contractual agreement with the Iowa state fair to provide entertainment services
during the annual fair shall be permitted access to those portions of the Iowa
state fairgrounds as is necessary to perform such services. Animals providing
entertainment services shall not be left unattended on state fair
lands.
8.4(3) Regardless of the preceding
provisions, no restriction shall be placed upon the admission of any pet or
animal that is providing guide or assistive services to a person who requires
accommodation for a disability to the Iowa state fairgrounds or other lands
under the jurisdiction of the Iowa state fair board.
8.4(4) Persons bringing pets onto the Iowa
state fairgrounds or upon lands under the jurisdiction of the Iowa state fair
board shall clean up and dispose of all animal waste attributable to their
pets.
8.4(5) Persons failing to comply with the
Iowa state fair board’s pet policies may be denied admission to the Iowa
state fairgrounds or may be barred from bringing their pets onto state fair
lands.
ARC 9829A
HUMAN SERVICES
DEPARTMENT[441]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code section 218.4, the
Department of Human Services proposes to amend Chapter 28, “Policies for
All Institutions,” appearing in the Iowa Administrative Code.
A county credit occurs when a county has paid a debt from an
institution or an institutional program and it is later determined that all or
part of the debt was not the county’s responsibility. Current rules are
silent on how such credits should be applied. This amendment clarifies how
county institutional credits will be applied.
This amendment clarifies that a county credit cannot be used
to offset existing or future debit balances unless the original debit balance
has been paid. The procedure for applying credits is established. County
institutional credits shall be applied in the following order until all credits
are exhausted or refunded:
1. A credit shall first be applied to the patient’s or
resident’s account at the same institution that generated the
credit.
2. If any credit remains after application to the
patient’s or resident’s account, the remaining credit shall be
applied to any outstanding charges at the same institution that generated the
credit.
3. Any remaining credit, after application to the
patient’s or resident’s account and to the same institution that
generated the credit, shall be applied to an outstanding balance at another
state institution. If a credit generated by an institution or institutional
program under net budgeting is to be applied to an institution or institutional
program not under net budgeting, then a transfer of funds shall be made from the
applicable institutional fund or institutional program under net budgeting to
the state general fund. If a credit generated by an institution that is not
under net budgeting is to be applied to an institution or institutional program
under net budgeting, then a transfer will be made from the state general fund to
the applicable net budgeting institutional fund. If a credit generated by an
institution or institutional program under net budgeting is to be applied to
another institution or institutional program under net budgeting, then the
transfer of funds between the applicable net budgeting funds or programs shall
be made through an accounting journal entry.
4. If any credit remains after applying credits as stated in
paragraphs “1” to “3,” the county with the remaining
credit may seek a refund by filing a claim to the state appeal board pursuant to
543—Chapter 3, or the county may allow the credit to remain outstanding
until such time as the county has an additional state institution or an
institutional program debt.
Past practice has been that counties could apply credits (or
overpayments) from one institution to another. This was an acceptable practice
when all institution receipts were deposited to the same place, the state
general fund. However, with the implementation of net budgeting, where
individual institutions are more directly dependent upon their own receipts, the
practice of transferring credits is no longer prudent or practical. Also, with
the implementation of a new accounts receivable system, the process and order
for applying credits needed to be clarified and articulated.
The current method of handling institution credits is outdated
with the advent of net budgeting. Implementing policies and procedures for
applying credits to the same institution that has generated the credit is a more
fair and equitable practice for both the institutions and the counties.
Clarifying the manner in which institutional credits will be handled will help
alleviate confusion and difficulties in handling the application of credits. An
additional benefit is that this rule provides a mechanism, which does not
currently exist, for counties to receive a refund.
The Department worked with the Iowa State Association of
Counties (ISAC) in developing this rule. The Department also worked with the
Departments of Revenue and Finance and Management and the State Appeal
Board’s counsel from the Attorney General’s Office.
This amendment does not provide for waivers in specified
situations because these requirements are applicable to all 99 counties that use
any Department of Human Services state institution or institutional
program.
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 June 7, 2000.
This amendment is intended to implement Iowa Code section
218.78.
The following amendment is proposed.
Amend 441—Chapter 28 by adopting the following
new rule:
441—28.13(218) Applying county institutional credit
balances.
28.13(1) Definition of balance. A county
institutional credit balance occurs when a county has paid a debt from a state
institution or an institutional program and it is later determined that all or
part of the debt was not the county’s responsibility. Only when an
institutional debit balance has been paid by a county and all or part of the
paid debit has been determined not to be the responsibility of the county can
the resulting county credit be used to reduce existing or future institutional
debit balances.
28.13(2) Order of application. County institutional
credits shall be applied in the following order until all credits are exhausted
or refunded:
a. A credit shall first be applied to the patient’s or
resident’s account at the same institution that generated the
credit.
b. If any credit remains after application to the
patient’s or resident’s account, the remaining credit shall be
applied to any outstanding charges at the same institution that generated the
credit.
c. Any remaining credit, after application to the
patient’s or resident’s account and to the same institution that
generated the credit, shall be applied to an outstanding balance at another
state institution. If a credit generated by an institution or institutional
program under net budgeting is to be applied to an institution or institutional
program not under net budgeting, then a transfer of funds shall be made from the
applicable institutional fund or institutional program under net budgeting to
the state general fund. If a credit generated by an institution that is not
under net budgeting is to be applied to an institution or institutional program
under net budgeting, then a transfer will be made from the state general fund to
the applicable net budgeting institutional fund. If a credit generated by an
institution or institutional program under net budgeting is to be applied to
another institution or institutional program under net budgeting, then the
transfer of funds between the applicable net budgeting funds or programs shall
be made through an accounting journal entry.
d. If any credit remains after applying credits as stated in
paragraphs “a” to “c,” the county with the remaining
credit may seek a refund by filing a claim to the state appeal board pursuant to
543—Chapter 3, or the county may allow the credit to remain outstanding
until such time as the county has an additional state institution or an
institutional program debt.
This rule is intended to implement Iowa Code section
218.78.
ARC 9830A
HUMAN SERVICES
DEPARTMENT[441]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code section 252B.7A, the
Department of Human Services proposes to amend Chapter 99, “Support
Establishment and Adjustment Services,” appearing in the Iowa
Administrative Code.
Iowa Code section 598.21(4) requires the Supreme Court to
maintain uniform child support guidelines and criteria and review the guidelines
and criteria at least once every four years. The Supreme Court guidelines
provide the formula for calculating the amount of child support orders in Iowa.
These amendments implement the following recent changes to Iowa’s child
support guidelines and criteria made by the Supreme Court:
• An extraordinary
visitation adjustment is added which provides for a credit to the noncustodial
parent’s guideline amount of child support if the noncustodial
parent’s order for visitation exceeds 127 overnight stays per year for the
child for whom support is sought.
The amendment clarifies that the noncustodial parent must
provide the Child Support Recovery Unit (CSRU) with a file–stamped or
certified copy of an existing order that meets the criteria for extraordinary
visitation before the credit can be given. This existing order must be for the
child for whom support is sought and can be a different order than a child
support order. In interstate cases requiring a controlling order determination,
this amendment allows CSRU to give the credit when a controlling child support
order does not meet the criteria for extraordinary visitation but another order
does.
• A deduction from gross
income for the cost of the health insurance premium is allowed without the need
for the insurance to be court–ordered.
This amendment clarifies that a parent providing the health
insurance for a child is allowed the full cost of the health insurance premium
as a deduction from income and allows the health insurance deduction if a
parent’s spouse is providing the coverage as long as the parent seeking
the deduction provides verification.
• Policy is clarified that
the $25 monthly deduction for unreimbursed medical expenses is for medical
expenses of the parent.
The Supreme Court made additional changes related to the
minimum amount of support from very low–income parents, the amount that
can be deducted for additional dependent children, and the deduction for
unreimbursed medical expenses. These changes do not require rule amendments, as
they are self–executing and do not require further
clarification.
These amendments do not provide for waivers in specified
situations because the Supreme Court guidelines already provide for deviation
from the guidelines as set forth in rule 441—99.5(234,252B).
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 June 7, 2000.
Oral presentations may be made by persons appearing at the
following meetings. Written comments shall also be accepted at these
times.
Cedar Rapids – June 8, 2000 10 a.m.
Iowa Building – Suite 600
Sixth Floor Conference Room
411 Third St. S.E.
Cedar Rapids, Iowa 52401
Council Bluffs – June 7, 2000 9 a.m.
Child Support Recovery Unit
300 West Broadway, Suite 32
Council Bluffs, Iowa 51503
Davenport – June 7, 2000 10 a.m.
Davenport Area Office
Bicentennial Building – Fifth Floor
Large Conference Room
428 Western Avenue
Davenport, Iowa 52801
Des Moines – June 8, 2000 9 a.m.
Bureau of Collections
400 S.W. 8th St.
Des Moines, Iowa 50309
Mason City – June 7, 2000 10 a.m.
Mason City Area Office
Mohawk Square, Liberty Room
22 North Georgia Avenue
Mason City, Iowa 50401
Ottumwa – June 9, 2000 9 a.m.
Ottumwa Area Office
Conference Room 3
120 East Main
Ottumwa, Iowa 52501
Sioux City – June 7, 2000 10 a.m.
Sioux City Regional Office
Conference Room B
520 Nebraska St., Suite 500
Sioux City, Iowa 51101
Waterloo – June 8, 2000 1:30 p.m.
Child Support Recovery Unit
510 Sycamore St., Suite 400
Waterloo, Iowa 50703
Any persons who intend to attend a public hearing and have
special requirements such as hearing or vision impairments should contact the
Office of Policy Analysis at (515) 281–8440 and advise of special
needs.
These amendments are intended to implement Iowa Code section
598.21(4).
The following amendments are proposed.
ITEM 1. Amend subrules 99.2(3) and
99.2(6) as follows:
99.2(3) Health Full cost of
health insurance premiums either deducted from wages or paid
pursuant to a court or administrative order by a parent or a
stepparent, provided the health insurance coverage includes the dependents
for whom support is being sought. All dependent health insurance costs
shall be verified before being allowed as a deduction. The parent
claiming the deduction shall verify the health insurance premium before the
deduction is allowed. Any expected health insurance
expenses premiums shall be allowed as a deduction if the
parent provides verification of this anticipated expense.
99.2(6) Unreimbursed individual health or
hospitalization coverage or Parent’s unreimbursed medical
expense deductions expenses, not to exceed $25 per
month.
ITEM 2. Amend rule
441—99.4(234,252B) by adopting the following new
subrule:
99.4(5) Extraordinary visitation adjustment. The
extraordinary visitation adjustment is a credit to the guideline amount of child
support as specified in the supreme court guidelines. The credit shall not
reduce the child support amount below the minimum support amount required by the
supreme court guidelines.
The extraordinary visitation adjustment credit shall be given
if all of the following apply:
a. There is an existing order for the noncustodial parent that
meets the criteria for extraordinary visitation in excess of 127 overnights per
year on an annual basis for the child for whom support is sought. The order
granting visitation can be a different order than the child support order. If a
controlling order is determined pursuant to Iowa Code chapter 252K and that
controlling support order does not meet the criteria for extraordinary
visitation, there is another order that meets the criteria.
b. The noncustodial parent has provided CSRU with a
file–stamped or certified copy of the order.
ARC 9831A
HUMAN SERVICES
DEPARTMENT[441]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of 2000 Iowa Acts, Senate File 2435,
section 4, subsection 4d(3)(b), the Department of Human Services proposes to
adopt Chapter 100, “Child Support Parental Obligation Pilot
Projects,” Iowa Administrative Code.
The Seventy–eighth General Assembly has indicated its
intent to develop programs to encourage the participation of both parents in the
lives of their children. The legislature has directed the Department to develop
community–level parental obligation pilot projects to help parents remove
the barriers they encounter in supporting their children emotionally and
financially. These projects will assist parents who are living apart in meeting
their parental obligations and in supporting their children. The Department may
also include families at risk of separation in project services.
Pilot projects are to maximize the use of existing community
resources through partnering with other state agencies and community–based
organizations. These partnerships will provide a broad base of services to
families including family counseling, legal services, mediation, job training
and job skills development, substance abuse treatment and prevention, health
maintenance, and personal mentoring. Local communities are encouraged to
provide financial resources to support the pilot projects.
Pilot projects may be funded either by the Department or by
other sources. Both funded and unfunded pilot projects may be able to offer
child support incentives to participants, depending on the project plan or the
extent of Child Support Recovery Unit (CSRU) involvement, as determined by the
Chief of the Bureau of Collections.
Funded pilot projects are those initiated and funded in whole
or in part by CSRU after a published request for plan proposals. Funded pilot
projects must have an approved project plan and must report statistics and
results quarterly to CSRU. The Department does not require unfunded pilot
projects to have an approved project plan; however, unfunded pilot projects must
report periodically to CSRU. The degree of participation by CSRU shall be
determined by the Chief of the Bureau of Collections based upon needs and
resources.
By combining the Department’s efforts with other state
agencies as well as assisting community–based collaboratives to develop
projects, the Department will ensure a more comprehensive and coordinated effort
to assist parents to remain involved in the lives of their children.
These rules establish criteria for the parental obligation
pilot projects, outline how CSRU shall select the funded pilot projects,
establish reporting requirements, and provide for termination of CSRU’s
involvement. Only empowerment or decategorization committees are eligible to
apply as projects.
These rules also establish four possible child support
incentives that may be available to parents to encourage their participation in
these pilots. The incentives that may be available to parents to encourage
their participation in these pilots are as follows:
1. Deviation from guidelines. If both parents agree to the
deviation, support orders may be established or modified to an amount which is
25 percent less than, or more than, what would be required by the Supreme
Court’s child support guidelines.
2. Modification of support obligations. CSRU may modify
support orders more frequently than the two–year review and adjustment
otherwise allowed. This is to assist parents as their circumstances fluctuate
while they are working with the pilot’s programs. Subrule 100.2(2)
provides for initial and subsequent modifications as follows:
• CSRU shall perform an
initial, informal calculation for each participant in a pilot that offers this
modification incentive. If that calculation indicates the support order may be
too high, CSRU shall notify the participant and proceed with a review and
adjustment if the participant requests the change and if the order should
decrease by at least 10 percent (regardless of how long the parent has been at
that income level). Current rules require at least a 20 percent change for CSRU
to proceed, and the change must be due to circumstances that have lasted at
least three months and can be expected to last another three months. Finally,
if the obligor–participant is beginning new employment, the obligor may
also waive the requirement for a three–month delay before the modification
is made.
• CSRU may also initiate
subsequent modifications if parents consent to a deviation, if a parent
withdraws consent to an earlier deviation, or if a parent is no longer
participating in the pilot project. Finally, CSRU may initiate a modification
if a parent’s income changes, but the change must be at least a 20 percent
change in the amount of the order.
3. Lower income withholding. CSRU may notify an employer to
withhold no more than 25 percent of an obligor participant’s net income
for support, rather than the usual 50 percent limit allowed under the income
withholding rules. This incentive can be applied for 12 months.
4. Satisfaction of assigned support. CSRU shall partially
satisfy (in other words, treat as paid) a portion of the support arrears
assigned or due each month for a required number of months. For example, if the
parent pays the support due each month for six months, CSRU shall satisfy 15
percent of assigned support arrears. If the parent pays regularly for 12
months, CSRU shall satisfy an additional 35 percent of assigned support arrears.
Finally, if the parent pays regularly for 24 months, CSRU shall satisfy an
additional 80 percent of the assigned support arrears. This shall not reduce
the support due the custodial parent, but shall only reduce support that has
been assigned to the state of Iowa because the child received public
assistance.
These rules do not provide for waivers for project plans
because each project’s plan is individually approved and participation is
voluntary. No waiver is provided for individuals because their participation is
voluntary and each of these projects is a pilot project, through which the
Department is trying to determine what works well and what does not.
Consideration shall 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 June 7, 2000.
Oral presentations may be made by persons appearing at the
following meetings. Written comments shall also be accepted at these
times.
Cedar Rapids – June 8, 2000 10 a.m.
Iowa Building – Suite 600
Sixth Floor Conference Room
411 Third St. S.E.
Cedar Rapids, Iowa 52401
Council Bluffs – June 7, 2000 9 a.m.
Child Support Recovery Unit
300 West Broadway, Suite 32
Council Bluffs, Iowa 51503
Davenport – June 7, 2000 10 a.m.
Davenport Area Office
Bicentennial Building – Fifth Floor
Large Conference Room
428 Western Avenue
Davenport, Iowa 52801
Des Moines – June 8, 2000 9 a.m.
Bureau of Collections
400 SW 8th St.
Des Moines, Iowa 50309
Mason City – June 7, 2000 10 a.m.
Mason City Area Office
Mohawk Square, Liberty Room
22 North Georgia Avenue
Mason City, Iowa 50401
Ottumwa – June 9, 2000 9 a.m.
Ottumwa Area Office
Conference Room 3
120 East Main
Ottumwa, Iowa 52501
Sioux City – June 7, 2000 10 a.m.
Sioux City Regional Office
Conference Room B
520 Nebraska St., Suite 500
Sioux City, Iowa 51101
Waterloo – June 8, 2000 1:30 p.m.
Child Support Recovery Unit
510 Sycamore St., Suite 400
Waterloo, Iowa 50703
Any persons who intend to attend a public hearing and have
special requirements such as hearing or vision impairments should contact the
Office of Policy Analysis at (515) 281–8440 and advise of special
needs.
These rules are intended to implement 2000 Iowa Acts, Senate
File 2435, section 4, subsection 4d(3).
The following amendment is proposed.
Adopt the following new Chapter 100 to appear in
Title X, Support Recovery:
CHAPTER 100
CHILD SUPPORT PARENTAL OBLIGATION
PILOT
PROJECTS
PREAMBLE
This chapter describes the parental obligation pilot projects
participated in or developed by the department of human services child support
recovery unit (CSRU). The purpose of these pilot projects is to develop new
ways to assist parents in overcoming the barriers which interfere with their
fulfilling their obligations to their children. For the purpose of these rules,
parental obligations include emotional and personal involvement of the parents,
beyond simply meeting their financial obligations. In order to encourage
participation by parents, CSRU may offer various incentives for participation.
These incentives may be offered through projects whose plans have been approved
by the bureau chief or through projects in which CSRU participates and for which
the bureau chief approves of CSRU’s offering any or all of the
incentives.
441—100.1(78GA,SF2435) Definitions.
“Assigned support arrearages” means support
arrearages for which all rights have been and shall remain assigned to the state
of Iowa.
“Bureau chief” means the chief of the bureau of
collections of the department of human services or the bureau chief’s
designee.
“Child support recovery unit (CSRU)” means any
person, unit, or other agency which is charged with responsibility for providing
or assisting in the provision of child support enforcement services pursuant to
Title IV–D of the Social Security Act.
“Director” means the director of the department of
human services or designee.
“Funded pilot project” means any of the pilot
projects funded in whole or in part by CSRU and approved by the bureau chief to
assist parents in overcoming the barriers which interfere with their fulfilling
obligations to their children. Each funded pilot project shall have a project
plan approved by the bureau chief.
“Guidelines” means the mandatory child support
guidelines established by the Iowa Supreme Court pursuant to Iowa Code section
598.21(4).
“Incentives” means, but is not limited to,
establishment or modification of support obligations that deviate from
guidelines and other encouragements to participate in pilot projects.
“Obligor” means a noncustodial parent or other
natural person legally responsible for the support of a dependent.
“Participant” means a person who receives services
or incentives through a pilot project.
“Periodic support payment” means the total support
payment due in each time period in accordance with the established support
obligation. If no current support is due, the periodic support payment is
equivalent to the last current support amount as would be ordered under
441—Chapter 98, Division II.
“Project plan” means the written policies,
procedures, eligibility criteria and other components, as described at subrule
100.3(2).
“Services” means, but is not limited to, mediation
services, job skills training, neutral drop–off and pick–up sites,
except as “services” is used in subparagraph
100.2(1)“a”(3), and does not include incentives.
“Unfunded pilot project” means any project in
which CSRU participates which is funded totally by an entity or entities other
than CSRU. The bureau chief may approve CSRU’s participation in an
unfunded pilot project in order to use the incentives offered through this
chapter. Unfunded pilot projects are not required to submit a project plan, as
described in subrule 100.3(2), for approval of the bureau
chief.
441—100.2(78GA,SF2435) Incentives. CSRU may
offer incentives to participants in funded and unfunded pilot projects to
encourage their involvement in the projects. No obligation established or
modified under this rule may be less than the minimum amount allowed under
guidelines. The available incentives include, but are not limited to, the
following:
100.2(1) Deviation from guidelines.
a. CSRU may establish or modify a child support order which
deviates from the guidelines amount when all of the following conditions
exist:
(1) Both parents consent to the deviation.
(2) The child resides with either parent.
(3) Either parent is a participant receiving services from
CSRU under Iowa Code chapter 252B and Title IV–D of the Social Security
Act.
(4) The percentage of the deviation from the guideline amount
of support does not change from any percentage of deviation that is currently
ordered.
(5) Neither parent has previously withdrawn consent to a
deviated order entered under this subrule.
b. The child support order may not deviate from the guidelines
amount by more than 25 percent. This order is not effective until approved by
and filed with the court.
100.2(2) Modification of support obligations. CSRU
may modify a support obligation of a participant throughthe procedures described
in 441—Chapter 99, Division IV, without regard to the two–year
criteria as specified in 441—subrule 99.62(2).
a. Initial modifications. CSRU shall perform an initial,
informal calculation of the support obligation for each participant. If the
initial, informal calculation indicates that the present child support
obligation is at least 10 percent higher than the Iowa Supreme Court mandatory
child support guidelines, CSRU may proceed to modify the support order, upon
application of the participant, through proceedings established by
441—Chapter 99, Division IV, or through any other procedure allowed by
law, notwithstanding the provisions of 441—subrule 99.62(3). If beginning
new employment, the obligor may waive the application of the rule requiring that
the obligor’s income has lasted for three months and will be expected to
last an additional three months.
b. Subsequent modifications.
(1) Subsequent modifications may be initiated only by CSRU
without regard to the requirement that the variance from the guidelines amount
be more than 20 percent when any of the following occurs:
1. Both parents give consent to deviate from the guidelines as
provided in subrule 100.2(1).
2. Either parent withdraws consent to deviate from guidelines
in setting an obligation.
3. Participant involvement in the pilot project
terminates.
(2) Subsequent modifications may also be initiated by CSRU
when the participant’s income changes.
c. This subrule does not limit the ability or right of a
parent or caretaker or CSRU to file or request a modification under any other
statute or available proceeding.
100.2(3) Income withholding orders. CSRU may direct
an employer or other income provider to withhold no more than 25 percent of the
nonexempt disposable income of the participant for a period not to exceed 12
consecutive months from the date of the direction to the first employer under
this subrule.
100.2(4) Satisfaction of the assigned
support.
a. A participant shall be granted a partial satisfaction of
the support arrearages which are and which will remain owed by that participant
to the state when that participant pays the entire amount of all that
participant’s periodic support payments. Satisfactions granted under this
subrule shall apply only to those cases for which the entire periodic support
payment is credited.
b. Each satisfaction shall be an amount equal to a percentage
of that participant’s support arrearages, which are and which will remain
owed to the state, according to the following schedule:
(1) A one–time satisfaction of 15 percent of the amount
when a participant pays the entire periodic support payment due in each of 6
consecutive calendar months.
(2) A one–time satisfaction of 35 percent of the amount
when a participant pays the entire periodic support payment due in each of 12
consecutive calendar months.
(3) A one–time satisfaction of 80 percent of the amount
when a participant pays the entire periodic support payment due in each of 24
consecutive calendar months.
c. A participant subject to an income withholding order shall
be eligible for the satisfaction in this subrule if the sole reason for
ineligibility is a disparity between the schedules of the participant’s
pay date and the scheduled date the payment is due.
d. A participant shall be eligible for a satisfaction under
this subrule if the participant is no longer a participant, but has continued to
pay the entire amount of that participant’s periodic support payment
without interruption.
441—100.3(78GA,SF2435) Application to be a funded
pilot project. CSRU shall publish a request for project plans when it
decides to initiate a pilot project and requests for grants exceed available
funding. All applicants must be empowerment or decategorization
groups.
100.3(1) Contents of request for project plans. The
request for project plans shall contain the requirements for contents of the
project plan, the stated goals of the project, the number of projects for which
funding exists and any other parameter for the specific pilot project being
advertised. The request shall also contain a deadline by which project plans
must be submitted to the bureau chief.
100.3(2) Contents of project plans. Each
funded pilot project shall have and maintain a project plan. At a minimum, the
project plan shall contain or address the following:
a. Applicant’s experience and success at establishing
collaborations that include partners essential to the project.
b. The geographic area to be served and community need for
project services.
c. The population targeted for participation and the criteria
to be used for the selection and termination of participants.
d. The means by which potential participants will be notified
about project information including, but not limited to, the project services
and incentives.
e. The types of services or incentives to be provided and the
strategies directed to securing the emotional and financial support of
children.
f. A clear statement of outcomes expected for project
participants, benchmarks to indicate these outcomes are being attained and
performance measures and reporting requirements.
g. The cost of the proposal, the significant level of
community resources directed to the pilot, plans for continued funding after the
end of the grant period and costs, if any, for project participants.
h. Strategies to increase public awareness of fatherhood
issues.
i. Project duration, not to exceed three years from October 1,
2000.
100.3(3) Amendments to project plan. Projects may
submit proposed amendments to their project plan in writing to the bureau chief.
The bureau chief shall have the option, after review, of approving or
disapproving all proposed amendments to the project plan.
441—100.4(78GA,SF2435) Selection of
projects.
100.4(1) Funded pilot projects. The bureau chief
shall have sole authority to select funded pilot projects. The bureau chief
shall also have sole authority to grant exceptions to allow participation by
individuals outside the geographical area specified in the contents of the
project plan.
When funds are not available for all interested parties, the
bureau chief shall select which of the project plans received on or before the
deadline date shall be granted the status of funded pilot project. This
selection of pilot projects shall be based upon the following
criteria:
a. Demonstrated experience with establishing effective
collaborations.
b. Geographic area selected and community need for the
project.
c. Population to be targeted and criteria to be used to select
and terminate participants.
d. Types of services and incentives to be offered and
participant requirements to receive them.
e. Statement of project goals, outcomes for participants,
benchmarks and performance measures.
f. Project monitoring and evaluation plan.
g. Public awareness campaign directed to community and
potential participants.
h. Project budget and community financial
participation.
100.4(2) Unfunded pilot projects. The bureau chief
shall have sole authority to determine the extent of CSRU involvement in
unfunded pilot projects based upon current needs and resources of CSRU.
Unfunded pilot projects shall submit periodic reports for the purpose of
monitoring and evaluating the project.
441—100.5(78GA,SF2435) Termination of pilot
projects. The bureau chief may immediately terminate CSRU’s
participation in a funded pilot project or an unfunded pilot project
if:
1. The funded pilot project is not fulfilling the terms of its
project plan or the unfunded pilot project is not fulfilling the terms for
CSRU’s participation in the pilot project; or
2. Funding is reduced, exhausted, eliminated or otherwise made
unavailable.
441—100.6(78GA,SF2435) Reports and
records.
100.6(1) Reports.
a. Funded pilot projects established under these rules shall
report to CSRU at least quarterly, unless otherwise required by the project
plan. The first report shall be due in the office of CSRU 30 days after the end
of the first complete calendar quarter after the plan is approved. These
reports shall include, but not be limited to, the following:
(1) Number of participants served.
(2) Services provided.
(3) Funds expended.
(4) Progress towards meeting individual participant
outcomes.
(5) Progress towards meeting project outcomes.
(6) Progress towards meeting funding goals.
(7) Other information as specified in the project
plan.
b. Unfunded pilot projects may vary from the requirements in
paragraph “a” in their reporting and shall report as agreed upon by
the project managers and the bureau chief.
100.6(2) Records retention. Funded and unfunded pilot
projects established under these rules shall retain all records as necessary to
meet the audit requirements of the sources of the project’s
funding.
441—100.7(78GA,SF2435) Appeals. Applicants
dissatisfied with the grant selection decision of the bureau chief may file an
appeal with the director. The letter of appeal must be received within ten
working days of the date of the notice of decision and must include a request
for the director to review the decision and the reasons for dissatisfaction.
Within ten working days of the receipt of the appeal, the director shall review
the appeal request and issue a final decision.
No disbursements shall be made to any applicant for a period
of ten calendar days following the notice of decision. If an appeal is filed
within the ten days, all disbursements shall be held pending a final decision on
the appeal. All applicants involved shall be notified if an appeal is
filed.
441—100.8(78GA,SF2435) Continued application of
rules and sunset provisions. Except as provided in subrule 100.8(2), these
rules shall terminate the earlier of October 1, 2003, or when legislative
authority is discontinued.
100.8(1) CSRU’s participation in pilot projects.
If CSRU’s participation has not terminated earlier, CSRU’s
participation in funded and unfunded pilot projects terminates at the same time
as the termination of these rules.
100.8(2) Receipt of incentives. Participants
receiving incentives under these rules may continue to receive the incentives
after the termination of these rules or after they are no longer participants
only as follows:
a. For subrule 100.2(1), deviation from guidelines. If
service of process has been accomplished upon all parties before the earlier of
termination of these rules or termination of participation, but an order
disposing of the establishment or modification action has not been entered
before that date, then the process may continue until entry of an order or other
disposition.
b. For subrule 100.2(2), modification of support obligations.
If service of process has been accomplished upon all parties before the earlier
of termination of these rules or termination of participation, but an order
disposing of the modification action has not been entered before that date, then
the process may continue until entry of an order or other disposition.
c. For subrule 100.2(2)“b”(1)“2,”
either parent withdraws consent to deviate from the guidelines. If a parent
withdraws consent to deviate from the guidelines in setting an obligation, CSRU
may initiate a subsequent modification as provided in
100.2(2)“b”(1)“2.”
d. For subrule 100.2(2)“b”(1)“3,”
modification of support obligations. Any obligations set at an amount which
deviates from the guidelines under this chapter shall continue only until the
obligation is modified or reviewed under existing rules, at which time consent
of the parents is not a sufficient basis for continuing the deviation.
e. For subrule 100.2(3), income withholding orders. This
subrule shall apply to a participant or former participant for the full time
period allowed in the subrule.
f. For subrule 100.2(4), satisfaction of the assigned support.
This subrule shall apply to a participant or former participant for the full
time period allowed in the subrule.
These rules are intended to implement 2000 Iowa Acts, Senate
File 2435, section 4, subsection 4d(3).
ARC 9833A
LABOR SERVICES
DIVISION[875]
Amended Notice of Intended Action
Pursuant to the authority of Iowa Code section 91.6, the Labor
Commissioner hereby amends the Notice of Intended Action published in the Iowa
Administrative Bulletin on March 22, 2000, as ARC 9741A to extend the
deadline for submission of written data, views, or arguments to May 31, 2000.
The Notice proposed to rescind Chapter 81, “Asbestos Control
Procedures,” and Chapter 82, “Licensing of Business Entities,
Licensing of Training Courses, and Worker Certification,” and adopt new
Chapter 155, “Asbestos Removal and Encapsulation,” Iowa
Administrative Code.
ARC 9834A
PROFESSIONAL LICENSURE
DIVISION[645]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code section 154A.4, the
Board of Examiners for the Licensing and Regulation of Hearing Aid Dealers
hereby gives Notice of Intended Action to amend Chapter 120, “Board of
Examiners for the Licensing and Examination of Hearing Aid Dealers,” and
adopt new Chapter 121, “Continuing Education for Hearing Aid
Dealers,” Iowa Administrative Code.
The proposed amendments rescind the current continuing
education rules; adopt a new chapter for continuing education; renumber the rule
regarding licenses and supervision requirements; adopt by reference a code of
ethics; 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 June 7, 2000, addressed to Rosalie Steele,
Professional Licensure Division, Department of Public Health, Lucas State
Office Building, Des Moines, Iowa 50319–0075.
The Division revised these rules in accordance with Executive
Order Number Eight. The Division sent four letters to the public for comment,
and one letter was 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 June 7, 2000, from 9 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
154A.4 and chapter 272C.
The following amendments are proposed.
ITEM 1. Adopt new subrule
120.1(5) as follows:
120.1(5) The board hereby adopts by reference the Code
of Ethics of the International Hearing Society as published by the International
Hearing Society, 20361 Middlebelt Road, Livonia, Michigan 48152, revised October
1996.
ITEM 2. Rescind rules
645—120.6(154A) to 645— 120.9(154A).
ITEM 3. Renumber rules
645—120.10(154A) through 645—120.14(154A) as
645—120.6(154A) through 645— 120.10(154A).
ITEM 4. Renumber rule
645—120.212(272C) as 645— 120.11(272C).
ITEM 5. Amend renumbered subrule
120.11(16) as follows:
120.11(16) Failure to report to the board as provided
in rule 645—120.201(272C) 645—Chapter 9 any
violation by another licensee of the reasons for disciplinary action as listed
in this rule.
ITEM 6. Adopt new
645—Chapter 121 as follows:
CHAPTER 121
CONTINUING EDUCATION
FOR HEARING AID
DEALERS
645—121.1(154A) 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 examiners for hearing aid dealers.
“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 shall 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 examiners for hearing
aid dealers.
“Continuing education” means planned, organized
learning acts acquired during initial licensure 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 a hearing aid dealer in the state of Iowa.
645—121.2(154A) Continuing education
requirements.
121.2(1) The biennial continuing education compliance
period shall extend for a two–year period beginning on January 1 of each
odd–numbered year and ending on December 31 of the next
even–numbered year. Each biennium, each person who is licensed to
practice as a hearing aid dealer in this state shall be required to complete a
minimum of 32 hours of continuing education approved by the board.
121.2(2) Requirements for 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 32 hours of continuing education per biennium for each subsequent
license renewal.
121.2(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 pursuant to statutory provisions and the rules that implement
them.
121.2(4) No hours of continuing education shall be
carried over into the next biennium.
121.2(5) It is the responsibility of each licensee to
finance the cost of continuing education.
645—121.3(154A) Standards for
approval.
121.3(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 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
qualified concerning the subject matter of the program. An 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 the
presenters.
d. Fulfills stated program goals, objectives, or both;
and
e. Provides proof of attendance to licensees in attendance
including:
(1) Date, place, course title, presenter(s);
(2) Numbers of program contact hours (One contact hour equals
one hour of continuing education credit.); and
(3) Official signature or verification by program
sponsor.
121.3(2) Specific criteria.
a. Continuing education hours of credit may be obtained by
completing the following:
(1) Academic coursework if the coursework is offered by an
accredited postsecondary educational institution;
(2) Self–study telnet courses only when an on–site
monitor is present;
(3) Continuing education activities of an approved
sponsor;
(4) Continuing education activities that have prior
approval;
b. The maximum number of continuing education hours of credit
for specific areas per biennium is:
(1) Twelve hours of credit for academic coursework:
1 academic semester hour = 15 continuing education
hours
1 academic quarter hour = 10 continuing education hours
(2) Eight hours of credit for participation in technical,
business, or professional seminars, workshops or symposiums which enhance a
licensee’s ability to provide quality hearing health care
services.
(3) Four hours of credit for telnet courses.
645—121.4(154A) Approval of sponsors, programs, and
activities for continuing education.
121.4(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(s), location, course title(s) offered and outline of
content;
(2) Total hours of instruction presented;
(3) Names and qualifications of instructors, including
résumé or vitae; and
(4) Evaluation form;
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, accredited 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.
121.4(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 education activity or that desires to
establish approval 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.
121.4(3) Review of programs. Sponsors shall
report continuing education programs every year at a time designated 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 the revocation 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).
121.4(4) Postapproval of activities. A licensee
seeking credit for attendance and participation in an education activity which
was not conducted by an approved sponsor or otherwise approved shall submit to
the board, within 60 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.
121.4(5) Voluntary relinquishment. The approved
sponsor may voluntarily relinquish sponsorship by notifying the board office in
writing.
645—121.5(154A) 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.
121.5(1) The information included 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.
121.5(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;
(3) Certificate of attendance or verification indicating
successful completion of course; and
(4) Copy of official transcript of college courses.
(5) For activities not provided by an approved sponsor, the
licensee shall submit a description of the program content which indicates that
the content is integrally related to the practice and contributes directly to
the provision of services to the public.
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—121.6(154A) Reinstatement of lapsed license.
Failure of the licensee to renew a license within 30 days after expiration date
shall cause the license to lapse. A person who allows the 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, up to a maximum of
five bienniums;
3. Pays all penalty fees which have been assessed by the board
for failure to renew;
4. Pays reinstatement fees;
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 32 by the number of bienniums since the
license lapsed. If the license has lapsed for three bienniums or less, the
applicant for reinstatement may, in lieu of submitting the required continuing
education, furnish evidence of successful completion, with a passing grade, of
the Iowa license examinations conducted within one year immediately prior to the
submission of the application for reinstatement. If the license has lapsed for
more than three bienniums, the applicant shall complete 96 hours of approved
continuing education.
6. If the applicant for reinstatement holds a current valid
hearing aid dealers license in another state whose requirements meet or exceed
the requirements of Iowa, the applicant shall submit:
• A written application on a
form provided by the state board;
• Proof of current valid
hearing aid dealers license;
• The current renewal
fee;
• The fee for failure to
renew; and
• Proof of continuing
education hours obtained equivalent to continuing education required in
Iowa.
645—121.7(154A,272C) Continuing education waiver for
active practitioners. A hearing aid dealer licensed to practice 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 hearing aid dealer.
645—121.8(154A,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
exemption upon written application to the board. The application shall contain
a statement that the applicant will not engage in the practice of hearing aid
dealer in Iowa without first complying with all regulations governing
reinstatement after exemption. The application for a certificate of exemption
shall be submitted upon forms provided by the board.
645—121.9(154A,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 a 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—121.10(154A,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 hearing aid dealer in the state of Iowa, satisfy
the following requirements for reinstatement:
121.10(1) Submit written application for reinstatement
to the board upon forms provided by the board with appropriate reinstatement fee
and the current renewal fee.
121.10(2) Furnish evidence of completion of 32 hours
of approved continuing education per biennium up to a maximum of 64 hours of
continuing education. The continuing education hours must be completed within
the prior two bienniums of date of application for reinstatement.
121.10(3) Furnish in the application evidence of one
of the following:
a. Proof of current valid hearing aid dealer license in
another state of the United States or the District of Columbia and completion of
continuing education for each year of inactive status substantially equivalent
in the opinion of the board to that required under these rules; or
b. Proof of successful completion, with a passing grade, of
the Iowa state license examination conducted within one year immediately prior
to the submission of the application for reinstatement.
645—121.11(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 154A.
ARC 9840A
PUBLIC SAFETY
DEPARTMENT[661]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code section 321L.8,
subsection 2, the Department of Public Safety hereby gives Notice of Intended
Action to amend Chapter 18, “Handicapped Parking,” Iowa
Administrative Code.
The amendments proposed here update provisions of the rules
regulating the provision of parking spaces for persons with disabilities in Iowa
to reflect changes to Iowa Code chapter 321L made by the General Assembly in
1998 and 1999, including substitution of the term “persons with
disabilities” for “handicapped.” A provision is also added
specifying the required minimum and maximum heights of parking signs for persons
with disabilities.
A public hearing on these proposed amendments will be held on
June 7, 2000, at 9:30 a.m., in the third floor conference room of the Wallace
State Office Building, 900 East Grand, Des Moines, Iowa 50319. Persons may
present their views orally or in writing at the public hearing. Persons who
wish to make oral presentations at the public hearing should contact the Agency
Rules Administrator, Department of Public Safety, Wallace State Office Building,
Des Moines, Iowa 50319, by mail, by telephone at (515)281–5524, or by
electronic mail to admrule@dps.state.ia.us, at least one day prior to the
public hearing.
Any written comments or information regarding these proposed
amendments may be directed to the Agency Rules Administrator by mail or
electronic mail at the addresses indicated, or may be submitted at the public
hearing. Persons who wish to convey their views orally other than at the public
hearing may contact the Agency Rules Administrator by telephone or in person at
least one day prior to the public hearing.
These amendments are intended to implement Iowa Code chapter
321L.
The following amendments are proposed.
Amend 661—Chapter 18 as follows:
CHAPTER 18
HANDICAPPED PARKING
FOR
PERSONS WITH DISABILITIES
661—18.1(321L) Scope. These rules shall apply
to all public and private parking facilities, temporary or permanent, used by
the general public.
661—18.2(321L) Location. Parking spaces
designated for physically handicapped people persons with
disabilities and accessible passenger loading zones that serve a particular
building shall be located on the shortest possible accessible circulation route
to an accessible entrance of the building. In separate parking structures or
lots that do not serve a particular building, parking spaces for
physically handicapped people persons with disabilities
shall be located on the shortest possible circulation route to an accessible
pedestrian entrance of the parking facility. When handicapped
parking spaces for persons with disabilities are required for buildings
with more than one accessible entrance, the spaces shall be distributed so that
each accessible entrance shall have at least one handicapped
parking space for persons with disabilities located on the shortest
accessible route to that entrance.
EXCEPTION: If the required number of
spaces is less than the number of accessible entrances, the spaces shall be
distributed so that as many entrances as possible are served by at least one
handicapped parking space for persons with disabilities
located on the shortest accessible route to those entrances.
661—18.3(321L) Dimensions.
18.3(1) Single space. Parking spaces for
physically handicapped people persons with disabilities
shall be at least 96 inches wide and shall have an adjacent access aisle 60
inches wide minimum (see Figure 1). Parking vehicle overhangs shall not reduce
the clear width of an accessible circulation route. Parking spaces and access
aisles shall be level with surface slopes not exceeding 1:50 in all
directions.
18.3(2) Multiple spaces. Two accessible parking
spaces may share a common access aisle (see Figure 1).
Figure 1
Dimensions of Parking Spaces
18.3(3) The requirements of subrules 18.3(1) and
18.3(2) do not apply to parallel on–street parking spaces.
18.3(4) Van–accessible spaces. The first
handicapped parking space for persons with disabilities
provided ina parking lot or parking structure, and every eighth
handicapped parking space for persons with disabilities
provided thereafter, shall be a van–accessible space. A
“van–accessible” space shall be 96 inches wide with an
adjacent access aisle at least 96 inches wide (see Figure 3). Two adjacent
van–accessible spaces may share a common access aisle.
EXCEPTION: Entities providing
handicapped parking spaces for persons with disabilities
are not required to provide van–accessible spaces if all of the
handicapped parking spaces for persons with disabilities
provided in a parking lot or structure are “universally accessible.”
A “universally accessible” space is at least 132 inches wide with an
adjacent 60–inch wide access aisle. Two adjacent universally accessible
spaces may share a common access aisle (see Figure 4).
Figure 2
Access Aisle at Passenger Loading
Zones
Figure 3
Van–Accessible Space at End of
Row
Figure 4
“Universal” Accessible Parking
Spaces
661—18.4(321L) Access aisles and loading
zones.
18.4(1) Passenger loading zones shall provide an
access aisle at least 48 inches wide and 20 feet long adjacent and parallel to
the vehicle pull–up space (see Figure 2). Vehicle standing spaces and
access aisles shall be level with surface slopes not exceeding 1:50 in all
directions.
NOTE: Projects which are required to
comply with the Uniform Federal Accessibility Standards shall provide a width of
60 inches for the access aisle.
18.4(2) A minimum vertical clearance of 108 inches
shall be provided at accessible passenger loading zones and along vehicle access
routes to such areas from site entrances.
NOTE: Uniform Federal Accessibility
Standard requires 114 inches of vertical clearance.
18.4(3) If there are curbs between the access aisle
and the vehicle pull–up space, then a curb ramp complying with Iowa Code
section 601D.9 216C.9 shall be provided.
661—18.5(321L) Designation. Each
handicapped parking space for persons with disabilities
shall be designated as reserved for physically handicapped
persons with disabilities by a sign meeting the following requirements
established in Iowa Code section 321L.6:
18.5(1) Each handicapped persons
with disabilities parking sign shall have the international symbol of
accessibility in white on a blue background.
18.5(2) Each handicapped persons
with disabilities parking sign shall be affixed vertically to another object
so that it is readily visible to the driver of a vehicle approaching the
handicapped parking space for persons with disabilities.
Signs shall be mounted so that the bottom of the sign is no less than five feet
nor more than seven feet from the surface level of the parking
space.
EXCEPTION 1. Signs in
use prior to [effective date of rule will be inserted when the final amendment
is adopted], which are readily visible to the driver of a vehicle approaching
the parking space, may continue to be used until replaced.
EXCEPTION 2. Signs
marking parking spaces for persons with disabilities which are affixed to other
approved parking signs and devices are not required to meet the minimum or
maximum height requirements of this rule, provided that the signs are clearly
visible to the drivers of vehicles approaching the spaces which they
mark.
NOTE: The pavement in a
handicapped persons with disabilities parking space may
be marked with the international symbol of accessibility, but such marking does
not meet the requirements of this subrule.
18.5(3) Each handicapped persons
with disabilities parking sign shall may include
language stating the amount of the fine for improperly using the
handicapped persons with disabilities parking space.
If a persons with disabilities parking sign includes language stating the
amount of the fine, it shall reflect the current specified amount of the
fine.
661—18.6(321L) Numbers of
handicapped parking spaces for persons with disabilities
required in off–street parking facilities.
18.6(1) At least 2 percent of the total parking spaces
in any off–street nonresidential parking facility available to the public
shall be designated as handicapped spaces for persons with
disabilities, rounded to the nearest whole number of
handicapped parking spaces for persons with
disabilities, in compliance with the provisions of rules
661—18.3(321L) and 661—18.5(321L). There shall be at least
one handicapped parking space for persons with
disabilities in any off–street nonresidential parking facility
available to the public which has a total of ten or more parking
spaces.
18.6(2) All off–street parking facilities on
which con–struction is completed on or after July 1, 1991, which provide
parking to the general public and which provide ten or more parking spaces,
shall designate handicapped parking spaces for persons with
disabilities in accordance with the following table:
Total Parking Spaces in Lot
|
|
Required Minimum Number of Handicapped
Parking Spaces for Persons with Disabilities
|
10 to 25
|
|
1
|
26 to 50
|
|
2
|
51 to 75
|
|
3
|
76 to 100
|
|
4
|
101 to 150
|
|
5
|
151 to 200
|
|
6
|
201 to 300
|
|
7
|
301 to 400
|
|
8
|
401 to 500
|
|
9
|
501 to 1,000
|
|
*
|
1,001 and over
|
|
**
|
*2 percent of total
**20 spaces plus 1 for each 100 over 1,000
NOTE: Projects which are required to
comply with the Uniform Federal Accessibility Standards shall provide a minimum
of one handicapped parking space for persons with
disabilities.
661—18.7(321L) Handicapped
Persons with disabilities parking at residential facilities. All
public and private buildings and facilities, temporary and permanent, which are
residences and which provide ten or more tenant parking spaces, excluding
extended health care facilities, shall designate at least one
handicapped parking space for persons with disabilities
as needed for each individual dwelling unit in which a
handicapped person with a disability resides.
Residential buildings and facilities which provide public visitor parking of ten
or more spaces shall designate handicapped parking spaces
for persons with disabilities in the visitors’ parking area in
accordance with the table contained in rule 661—18.6(321L).
661—18.8(321L) On–street parking.
Provisions for parking spaces for persons with disabilities in
on–street parking areas within city business districts shall be as
required by Iowa Code section 321L.5, subsection 4, as amended by 1990
Iowa Acts, Senate File 2244, section 7.
These rules are intended to implement Iowa Code chapter
321L.
ARC 9838A
REVENUE AND FINANCE
DEPARTMENT[701]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 421.17(19) and
422.68, the Department of Revenue and Finance hereby gives Notice of Intended
Action to amend Chapter 20, “Foods for Human Consumption, Prescription
Drugs, Insulin, Hypodermic Syringes, Diabetic Testing Materials, Prosthetic,
Orthotic or Orthopedic Devices,” Iowa Administrative Code.
Amendments to the Department rules explaining taxation and
exemption of prescription and nonprescription drugs and devices intended for
human use are proposed. Obsolete language is removed; other language is amended
to reflect the existence of a new exemption excluding from tax all purchases by
nonprofit hospitals for use in their operations. Another amendment exempts from
tax sales of prescription drugs and devices lawfully dispensed by
nonprofessionals and sales of medical devices lawfully prescribed by
chiropractors.
In addition, the term “interocular lens” is
changed to “intraocular lens” to be consistent with existing
statutory language. Lists of prosthetic and orthopedic devices and medical
equipment and supplies are updated.
The proposed amendments will not necessitate additional
expenditures by political subdivisions or agencies and entities which contract
with political subdivisions.
There are no waiver provisions reflected in these rules
because the Department lacks the statutory authority to grant waivers where
rules are mainly an interpretation of statutes.
The Department has determined that these proposed amendments
may have an impact on small business. The Department has considered the factors
listed in Iowa Code section 17A.4A [1998 Iowa Acts, chapter 1202, section 10].
The Department will issue a regulatory analysis as provided in Iowa Code section
17A.4A [1998 Iowa Acts, chapter 1202, section 10] if a written request is filed
by delivery or by mailing postmarked no later than June 19, 2000, to the Policy
Section, Compliance Division, Department of Revenue and Finance, Hoover State
Office Building, P.O. Box 10457, Des Moines, Iowa 50306. The request may be
made by the Administrative Rules Review Committee, the Administrative Rules
Coordinator, at least 25 persons signing that request who each qualify as a
small business or an organization representing at least 25 such
persons.
Any interested person may make written suggestions or comments
on these proposed amendments on or before June 16, 2000. Such written comments
should be directed to the Policy Section, Compliance Division, Department of
Revenue and Finance, Hoover State Office Building, P.O. Box 10457, Des Moines,
Iowa 50306.
Persons who want to convey their views orally should contact
the Policy Section, Compliance Division, Department of Revenue and Finance, at
(515)281–4250 or at the Department of Revenue and Finance offices on the
fourth floor of the Hoover State Office Building.
Requests for a public hearing must be received by June 9,
2000.
These amendments are intended to implement Iowa Code section
422.45, subsection 13.
The following amendments are proposed.
ITEM 1. Amend rule
701—20.7(422,423) as follows:
701—20.7(422,423) Prescription drugs and
devices. Sales of prescription drugs and devices as defined in 20.7(1) and
dispensed for human use or consumption in accordance with 20.7(2) and 20.7(3)
shall be exempt from sales tax. On and after July 1, 1992, rentals of
prescription devices as defined in subrule 20.7(1) below are exempt from service
tax. Gross receipts from the sales of oxygen prescribed by a licensed physician
or surgeon, osteopath, or osteopathic physician or surgeon for human use or
consumption are exempt from tax. On and after July 1, 1992, gross receipts from
the sales of any oxygen purchased for human use or consumption (whether
prescribed or not) are exempt from tax.
20.7(1) Definitions of “prescription drug”
for three separate two periods of time.
a. Prior to July 1, 1987, a prescription drug means
any of the following:
(1) Any drug or medicine the label of which is
required by federal law to bear the statement: “Caution: Federal law
prohibits dispensing without a prescription”, or
(2) Any drug or medicine which, because of its
toxicity or other potentiality for harmful effect, or the method of its use, or
the collateral measures necessary to its use, is not safe for use except under
the supervision of a practitioner licensed by law to prescribe, administer, or
dispense such drug or medicine, or
(3) A new drug or medicine which is limited under
state law to use under the professional supervision of a practitioner licensed
by law to prescribe, administer, or dispense drugs or
medicine.
b a. For sales occurring between July
1, 1987, and June 30, 1993, a “prescription drug” is any of the
following:
(1) to (3) No change.
c b. For sales or rentals occurring on
and after July 1, 1993, a “prescription drug” and “medical
device” are defined as follows:
(1) to (3) No change.
On and after July 1, 1993, the sale or rental of a medical
device or a prescription drug is exempt from tax only if the device or drug is
intended to be prescribed or dispensed to an ultimate user. A drug or device is
intended to be prescribed or dispensed to an ultimate user only if the drug or
device is obtained by or supplied or administered to an ultimate user for
placement on or in the ultimate user’s body.
EXAMPLE A: Hospital X A sports medicine
clinic purchases a new type of device which scans the inside of the human
body to uncover diseased organs disclose injured soft
tissue. The device can be used only on the order of a practitioner. The
device is prescribed, but since, by its very nature, the device cannot be
dispensed to an ultimate user, its sale is not exempt from tax.
However, see rule 701—18.59(422, 423) for a description of an
exemption applicable to all purchases made on or after July 1, 1998, by
nonprofit hospitals licensed under Iowa Code chapter 135B.
EXAMPLE B: A patient enters Hospital Y and
pursuant Pursuant to a practitioner’s prescription, a
pacemaker is inserted in the a patient’s body.
The pacemaker is dispensed to an ultimate user and its sale is exempt from
tax.
EXAMPLE C: No change.
For purposes of this subrule, any medical device or drug
prescribed in writing by a licensed physician, surgeon, osteopath, osteopathic
physician or surgeon, or other person authorized by law to an ultimate user for
human use or consumption, shall be deemed a device or drug
exempt from tax if a prescription is required or permitted under Iowa state or
federal law.
EXAMPLES A and B: No change.
See rules 20.8(422,423), 20.9(422,423) and 20.10(422, 423) for
examples of medical devices sold without a prescription but exempt from
tax.
20.7(2) Licensed persons qualified for
dispensing of Persons authorized to dispense prescription drugs
or prescription devices. In order for a prescription drug or device to qualify
for an exemption, it must be dispensed by one of the following
persons:
a. to g. No change.
h. Persons licensed by the board of chiropractic examiners
to practice chiropractic in Iowa when lawfully dispensing prescription
devices.
h i. Any other person authorized under
Iowa law to dispense prescription drugs or devices in the course of
professional practice in this state.
i j. Any person licensed in another
state in a health field in which, under Iowa law, licensees in this state may
legally prescribe drugs or devices.
20.7(3) and 20.7(4) No change.
20.7(5) Prescription drugs and devices purchased by
hospitals for resale. This subrule is applicable to both nonprofit
and for–profit hospitals for periods prior to July 1, 1998. On and after
that date the subrule applies to for–profit hospitals only. Hospitals
have purchased prescription drugs or devices for resale to patients and not for
use or consumption in providing hospital services only if the following
circumstances exist: (1) the drug or device is actually transferred to the
patient; (2) the drug or device is transferred in a form or quantity capable of
a fixed or definite price value; (3) the hospital and the patient intend the
transfer to be a sale; and (4) the sale is evidenced in the patient’s bill
by a separate charge for the identifiable drug or device. See rule
701—18.31(422,423) for a discussion generally of sales for resale by
persons performing a service. Also see rule 701—18.59(422,423) for
an the exemption applicable to all purchases of goods
and services purchased on or after July 1, 1998, by a nonprofit hospital
licensed under Iowa Code chapter 135B.
EXAMPLES A and B: No change.
A hospital’s purchase of a prescription drug or device
for purposes other than resale will still be exempt from tax if a device or drug
is intended to be prescribed to an ultimate user and the hospital’s use of
the drug or device is otherwise exempt under 20.7(1).
This rule is intended to implement Iowa Code section
422.45.
ITEM 2. Amend rule
701—20.8(422,423), definition of “interocular lens,” as
follows:
“Interocular Intraocular
lens” means a lens located inside the eye.
ITEM 3. Amend paragraph
20.8(2)“c” as follows:
c. Effective July 1, 1994, and retroactive to July 1, 1993,
sales of hypodermic needles, anesthesia trays, biopsy trays and needles, cannula
systems, catheter trays, invasive catheters, dialyzers, drug infusion devices,
fistula sets, hemodialysis devices, insulin infusion devices,
interocular intraocular lenses, irrigation solutions,
intravenous administering sets, solutions and stopcocks, myelogram trays,
nebulizers, small vein infusion kits, spinal puncture trays, transfusion sets
and venous blood sets are no longer taxable. A consumer or user who has
paid the tax can then file a refund claim for the tax paid. Claims for refund
of tax, interest, or penalty paid for the period of July 1, 1993, to June 30,
1994, must be limited to $5,000 in the aggregate and will not be allowed unless
filed prior to June 30, 1995. If the amount of claims for the period totals
more than $5,000, the department will prorate the $5,000 among all the
claims.
ITEM 4. Amend subrule 20.8(3) as
follows:
20.8(3) Component parts. Sales of any component parts
of the trays, systems, devices, sets, or kits listed above are taxable unless
the sale of a component part, standing alone, is otherwise exempt under these
rules. For instance, the sale of a biopsy needle or an invasive catheter would
be exempt from tax whether or not it was purchased for use as a component part
in a biopsy tray or catheter tray, so long as the needle or catheter will be
dispensed for human use to an ultimate user. Conversely, sales of catheter
introducers, disposable latex gloves, rayon balls, forceps, and specimen
bottles are exempt when those items are sold as part of a catheter tray, but are
not exempt when those items are sold individually.
ITEM 5. Amend subrule 20.9(3) as
follows:
Amend paragraph “a,” introductory
paragraph, as follows:
a. “Prosthetic device” means a piece of special
equipment designed to be a replacement or artificial substitute for an absent or
missing part of the human body and intended to be dispensed with or without a
prescription to an ultimate user. See subrule 20.7(1), paragraph
“c b,” for a definition and examples of the
term “ultimate user.” The term “prosthetic device”
includes ostomy, urological, and tracheostomy devices and supplies.
Further amend paragraph “a,” nonexclusive
list of prosthetic devices, by adopting the term “dental bridges and
implants” in alphabetical order.
Amend paragraph “c,” introductory
paragraph, as follows:
c. “Orthopedic device” means a piece of special
equipment designed to correct deformities or to preserve and restore the
function of the human skeletal system, its articulations and associated
structures. A hot tub or spa is not an orthopedic device.
Further amend paragraph “c,” nonexclusive
list of orthopedic devices, by rescinding the term “water
beds.”
Amend paragraph “e,” nonexclusive list of
medical equipment or supplies, by adopting the terms “diagnostic
kits” and “staples” in alphabetical order, by rescinding the
term “pacemaker equipment,” and by amending the following
term:
Prescribed device repair kits and batteries
Further amend paragraph “e,” footnote, as
follows:
*Sales of these medical devices are exempt as of July 1, 1993.
However, see subrule 20.8(2) for an explanation of the unusual
circumstances of the first year for which this exemption is in
effect.
ITEM 6. Amend subrule 20.9(4) as
follows:
20.9(4) “Prescribed” shall mean a
written prescription or an oral prescription, later reduced to writing, issued
by:
a. to f. No change.
g. Persons licensed by the board of chiropractic examiners
to practice chiropractic in Iowa when lawfully dispensing prescription
devices.
g h. Any other person authorized under
Iowa law to dispense prescription drugs or medical devices requiring a
prescription in the course of professional practice in this
state.
h i. Any person licensed in another
state in a health field in which, under Iowa law, licensees in this state may
legally prescribe drugs.
ITEM 7. Amend subrule 20.9(5) as
follows:
20.9(5) Power devices. Sales or rental of
power devices especially designed to operate prosthetic, orthotic or orthopedic
devices shall be exempt from tax. This exemption does not include batteries
which can be used to operate a number of devices.
ARC 9837A
REVENUE AND FINANCE
DEPARTMENT[701]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 421.17(19) and
422.68, the Department of Revenue and Finance hereby gives Notice of Intended
Action to amend Chapter 54, “Allocation and Apportionment,” and
Chapter 59, “Determination of Net Income,” Iowa Administrative
Code.
Items 1 and 2 amend rule 701—54.3(422) to bring the
Department’s rule into accordance with the United States Supreme
Court’s decision in Hunt–Wesson, Inc. v. Franchise Tax Board of
California No. 98–2043 (U.S. Sup. Ct., filed February 22,
2000).
Items 3 and 4 strike references to a Department rule that has
not been officially adopted.
The proposed amendments will not necessitate additional
expenditures by political subdivisions or agencies and entities which contract
with political subdivisions.
Taxpayers that believe that the amended rule 701—
54.3(422) is inequitable as applied to them should see rule 701—54.9(422)
for possible relief.
The Department has determined that these proposed amendments
may have an impact on small business.
The Department has considered the factors listed in Iowa Code
section 17A.4A [1998 Iowa Acts, chapter 1202, section 10]. The Department will
issue a regulatory analysis as provided in Iowa Code section 17A.4A [1998 Iowa
Acts, chapter 1202, section 10] if a written request is filed by delivery or by
mailing postmarked no later than June 19, 2000, to the Policy Section,
Compliance Division, Department of Revenue and Finance, Hoover State Office
Building, P.O. Box 10457, Des Moines, Iowa 50306. The request may be made by
the Administrative Rules Review Committee, the Administrative Rules Coordinator,
at least 25 persons signing that request who each qualify as a small business or
an organization representing at least 25 such persons.
Any interested person may make written suggestions or comments
on these proposed amendments on or before June 16, 2000. Such written comments
should be directed to the Policy Section, Compliance Division, Department of
Revenue and Finance, Hoover State Office Building, P.O. Box 10457, Des Moines,
Iowa 50306.
Persons who want to convey their views orally should contact
the Policy Section, Compliance Division, Department of Revenue and Finance, at
(515)281–4250 or at the Department of Revenue and Finance offices on the
fourth floor of the Hoover State Office Building.
Requests for a public hearing must be received by June 9,
2000.
These amendments are intended to implement Iowa Code chapter
422.
The following amendments are proposed.
ITEM 1. Amend rule 701—54.3(422),
introductory paragraph, as follows:
701—54.3(422) Application of related expense to
allocable interest, dividends, rents and royalties—tax periods beginning
on or after January 1, 1978. Rule 54.2(422) deals with the separation of
“net” income; therefore, determination and application of related
expenses must be made, as hereinafter directed, before allocation and
apportionment within and without Iowa. Related expenses shall mean those
expenses directly related, including related federal income taxes. Allphin v.
Joseph E. Seagram & Sons, 204 S.W. 2d 515 (Ky. 1956). For tax periods
beginning on or after January 1, 2000, related expense includes both directly
related expense and indirectly related interest expense. The portion of
interest expense indirectly related to allocable interest, other than interest
from securities of states and their political subdivisions, dividends, rents and
royalties shall be determined by multiplying the net amount of interest expense,
after deducting interest directly related to an item of income, by a ratio. The
numerator of the ratio is the average value of investments which produce or are
held for the production of allocable interest, other than interest from
securities of states and their political subdivisions, dividends, rents and
royalties. The denominator is the average value of all assets of the taxpayer,
less securities of states and their political subdivisions. (Hunt–Wesson,
Inc. v. Franchise Tax Board of California, No. 98–2043(U.S. Sup. Ct.,
filed February 22, 2000)).
ITEM 2. Amend rule
701—54.3(422), second unnumbered paragraph, as follows:
A deduction for interest may not be considered definitely
related solely to specific property, even though the above facts and
circumstances are present in form, if any of such facts and circumstances are
not present in substance. Any expense directly or indirectly
attributable to allocable interest, dividends, rents and royalties shall be
deducted from such income to arrive at net allocable income.
ITEM 3. Amend rule
701—54.9(422) by striking the first unnumbered paragraph:
This rule takes precedence over rule
701—7.60(17A) which implements the uniform waiver rule found in Executive
Order Number Eleven issued by the governor.
ITEM 4. Amend rule
701—59.29(422) by striking the first unnumbered
paragraph:
This rule takes precedence over rule
701—7.60(17A) which implements the uniform waiver rule found in Executive
Order Number Eleven issued by the governor.
ARC 9836A
REVENUE AND FINANCE
DEPARTMENT[701]
Notice of Intended Action
Twenty–five interested persons, a
governmental subdivision, an agency or association of 25 or more persons may
demand an oral presentation hereon as provided in Iowa Code section
17A.4(1)“b.”
Notice is also
given to the public that the Administrative Rules Review Committee may, on its
own motion or on written request by any individual or group, review this
proposed action under section 17A.8(6) at a regular or special meeting where the
public or interested persons may be heard.
Pursuant to the authority of Iowa Code sections 421.14 and
422.68, the Department of Revenue and Finance hereby gives Notice of Intended
Action to amend Chapter 84, “Unfair Cigarette Sales,” Iowa
Administrative Code.
Item 1 establishes a procedure for a permit holder to receive
approval from the Department to sell cigarettes below a specific price and lists
various costs that may be included in the permit holder’s cost of doing
business.
Item 2 clarifies that any discount given to a wholesaler or
retailer must be shown on the invoice to reduce the basic cost of
cigarettes.
Item 3 provides that any discount given by a manufacturer to a
consumer does not affect the minimum price of the cigarettes.
The proposed amendments will not necessitate additional
expenditures by political subdivisions or agencies and entities which contract
with political subdivisions.
These rules are discretionary and, therefore, are subject to
the uniform waiver provisions.
The Department has determined that these proposed amendments
may have an impact on small business. The Department has considered the factors
listed in Iowa Code section 17A.4A (1998 Iowa Acts, chapter 1202, section 10).
The Department will issue a regulatory analysis as provided in Iowa Code section
17A.4A if a written request is filed by delivery or by mailing postmarked no
later than June 19, 2000, to the Policy Section, Compliance Division, Department
of Revenue and Finance, Hoover State Office Building, P.O. Box 10457, Des
Moines, Iowa 50306. The request may be made by the Administrative Rules Review
Committee, the Administrative Rules Coordinator, at least 25 persons signing
that request who qualify as a small business, or an organization representing at
least 25 such persons.
Any interested person may make written suggestions or comments
on these proposed amendments on or before June 16, 2000. Such written comments
should be directed to the Policy Section, Compliance Division, Department of
Revenue and Finance, Hoover State Office Building, P.O. Box 10457, Des Moines,
Iowa 50306.
Persons who want to orally convey their views should contact
the Policy Section, Compliance Division, Department of Revenue and Finance, at
(515)281–4250 or at the Department of Revenue and Finance offices on the
fourth floor of the Hoover State Office Building.
Requests for a public hearing must be received by June 9,
2000.
These amendments are intended to implement Iowa Code chapter
421B.
The following amendments are proposed.
ITEM 1. Amend rule 701—84.2(421B),
introductory paragraph, as follows:
701—84.2(421B) Minimum price. The formula for
determining the “cost of cigarettes” to a
wholesaler or retailer as determined defined in Iowa
Code section 421B.2 is not conclusive. The retailer, wholesaler or the
department may prove that the “cost of cigarettes”
is either higher or lower.
Any wholesaler or retailer who desires to prove that their
cost is less than the statutory presumptive cost computed according to the Iowa
Unfair Cigarette Sales Act, Iowa Code chapter 421B, shall submit a request for
approval of a lower cost along with actual cost data to the department of
revenue and finance. The statutory presumptive cost must be used in determining
minimum price until approval has been granted by the department. If the
requestor continues to sell cigarettes at less than the presumptive cost, the
department may revoke the requestor’s permit or seek an injunction
pursuant to Iowa Code section 427B.10 to prevent such action.
Any requestor making sales of cigarettes in or into Iowa
for more than 12 months shall submit cost data for the 12–month period
ending no more than 30 days prior to the submission of the petition. Any
requestor making sales of cigarettes in or into Iowa for less than 12 months
shall submit cost data for the period beginning with the start of business and
ending no more than 30 days prior to the submission of the petition. The
department shall notify the wholesaler or retailer of the acceptance or
rejection of the request. If the requestor disagrees with the
department’s determination, the requestor may file a protest within 60
days of the department’s decision in accordance with rule
701—7.41(17A).
Costs of doing business shall include, but are not limited
to, freight charges, labor and equipment costs to affix stamps, ink, glue,
permit fees, management fees, labor costs (including salaries of officers),
rents, depreciation, selling costs, maintenance expenses, interest expenses,
delivery costs, taxes, insurance, advertising expenses, and any other
operational and administrative costs. The requestor shall set forth the basis
for allocated costs. When the computed price cost
amounts to any fractional part of a cent, the price cost
must not be less than the next higher cent. However, sales made between
wholesalers as provided for in Iowa Code section 421B.5, sales described in Iowa
Code section 421B.6, and sales outside of the ordinary channels of trade as
provided in Iowa Code section 421B.9 shall not be required to adhere to the
minimum pricing requirements set forth in Iowa Code section 421B.3 and this
rule. See rule 84.5(421B).
ITEM 2. Amend rule
701—84.2(421B), first unnumbered paragraph, as follows:
For purposes of determining the basic cost of cigarettes for
wholesalers or retailers, trade or cash discounts may be deducted, if available,
even though not taken. The discount taken or available must be clearly
specified on the invoice or it will not be allowed as a reduction in the basic
cost of cigarettes. Any financial incentive given to a wholesaler or retailer
by a manufacturer at a later date will not reduce the basic cost of
cigarettes.
ITEM 3. Amend rule 701—84.4(421B)
as follows:
701—84.4(421B) Retail redemption of coupons.
The redemption of coupons by retailers, which coupons were supplied to consumers
by manufacturers and will be redeemed from the retailers by the manufacturers,
does not affect the minimum sales price of cigarettes. The retailer is still
receiving the statutory minimum price even though that price is paid by two
different persons, the consumer and the manufacturer. (See 1986 O.A.G.
68.). Manufacturer incentives to the consumer in lieu of a
coupon which reduce the cost of the cigarettes to the consumer do not affect the
minimum sales price of cigarettes when the manufacturer absorbs the loss for the
incentive.
This rule is intended to implement Iowa Code section
421B.3.
ARC 9817A
TRANSPORTATION
DEPARTMENT[761]
Notice of Intended Action
Notice is also given to the public that the
Administrative Rules Review Committee may, on its own motion or on written
request by any individual or group, review this proposed action under section
17A.8(6) at a regular or special meeting where the public or interested persons
may be heard.
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 150, “Improvements and Maintenance on Primary Road
Extensions,” Iowa Administrative Code.
Subrule 150.2(3) addresses the responsibilities and warrants
for the lighting of primary road extensions that are freeways. Subrule 150.2(3)
is being amended to define “freeway,” for the purpose of highway
lighting, as a roadway constructed with Priority I access control for a length
of five miles or greater. Priority I access control allows access only at
interchange locations. The effect of this amendment is that the Department will
pay for the lighting of interchanges on these roadway segments in accordance
with the provisions of subrule 150.2(3). Cities would no longer be required to
pay for this lighting.
A waiver is not provided because this amendment confers a
benefit on cities.
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 amendment,
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
jfitzge@max.state.ia.us.
5. Be received by the Director’s Staff Division no later
than June 6, 2000.
A meeting to hear requested oral presentations is scheduled
for Thursday, June 8, 2000, at 10 a.m. in the Commission Conference Room of the
Department of Transportation, 800 Lincoln Way, Ames, Iowa.
The meeting will be canceled without further notice if no oral
presentation is requested.
This amendment is intended to implement Iowa Code chapters 313
and 314 and Iowa Code section 306.4.
Proposed rule–making action:
Amend subrule 150.2(3) as follows:
150.2(3) Lighting.
a. For the purpose of highway lighting,
“freeway” means a roadway constructed with Priority I access control
for a length of five miles or greater.
a b. The department shall be
responsible for the cost of installation of lighting on the
main–traveled–way lanes and the on and off ramps including the
terminals with cross streets when the department determines that lighting is
required under established warrants.
b c. The department shall be
responsible for the energy and maintenance costs of lighting on the
main–traveled–way lanes.
c d. The department shall be
responsible for the energy and maintenance costs of lighting through interchange
areas and ramps thereto at interchanges between freeways which do not provide
service to local streets.
d e. The department shall be
responsible for the energy and maintenance costs of lighting in interchange
areas at interchanges between freeways and primary roads which are on corporate
lines.
e f. At interchanges with city cross
streets, the department shall be responsible for the energy and maintenance
costs of lighting on the main–traveled–way lanes, on and off ramps,
ramp terminals, and, when the department determines full interchange lighting is
required, the cross street between the outermost ramp terminals.
f g. The department shall not be
responsible for the installation, energy, and maintenance costs of any lighting
on cross streets in advance of interchanges and between the outermost ramp
terminals at interchanges where the department determines partial interchange
lighting or no lighting is required.
g h. Warrants for the lighting of
freeways shall be according to the 1984 “AASHTO Information Guide for
Roadway Lighting.”
FILED EMERGENCY
ARC 9824A
EMERGENCY MANAGEMENT
DIVISION[605]
Adopted and Filed Emergency
Pursuant to the authority of Iowa Code sections 17A.3 and
29C.8, the Emergency Management Division hereby rescinds Chapter 7, “Local
Emergency Management,” Iowa Administrative Code, and adopts a new Chapter
7 with the same title.
The adoption of the new chapter results from an extensive
review of existing rules and implements a change in policy governing the
state’s participation in funding financial assistance programs in a
presidentially declared disaster. This change is the result of emergency
management legislation contained in 1999 Iowa Acts, chapter 86.
In compliance with Iowa Code section 17A.4(2), the Division
finds that notice and public participation are impracticable because of the
immediate need to implement new provisions of law.
The Division also finds, pursuant to Iowa Code section
17A.5(2)“b”(2), that the normal effective date of these rules should
be waived and the rules should be made effective upon publication on May 17,
2000, as they confer a benefit upon local and joint emergency management
commissions and other governmental subdivisions of the state.
These rules are also published herein under Notice of Intended
Action as ARC 9826A to allow public comment. This emergency filing
permits the Division to implement new provisions of the law.
These rules are intended to implement Iowa Code sections 29C.6
and 29C.8.
These rules became effective May 17, 2000.
The following amendment is adopted.
Rescind Chapter 7 and adopt the following new
chapter:
CHAPTER 7
LOCAL EMERGENCY MANAGEMENT
605—7.1(29C) Scope and purpose. These rules
apply to each local emergency management commission as provided for in Iowa Code
section 29C.9. These rules are intended to establish standards for emergency
management and to provide local emergency management commissions with the
criteria to assess and measure their capability to mitigate against, prepare
for, respond to, and recover from emergencies or disasters.
605—7.2(29C) Local emergency management
commission.
7.2(1) The county board of supervisors, city councils,
and school district boards of directors in each county shall cooperate with the
emergency management division to establish a local emergency management
commission to carry out the provisions of Iowa Code chapter 29C.
a. The local commission shall be named the (county name)
county emergency management commission.
b. The commission shall be comprised of the following
members:
(1) A member of the county board of supervisors or its
appointed representative.
(2) The county sheriff or the sheriff’s appointed
representative.
(3) The mayor or the mayor’s appointed representative
from each city within the county.
c. The commission is a municipality as defined in Iowa Code
section 670.1.
7.2(2) Local commission bylaws. The commission shall
develop bylaws to specify, at a minimum, the following information:
a. The name of the commission.
b. The list of members.
c. The date for the commencement of operations.
d. The commission’s mission.
e. The commission’s powers and duties.
f. The manner for financing the commission and its activities
and maintaining a budget therefor.
g. The manner for acquiring, holding and disposing of
property.
h. The manner for electing or appointing officers and the
terms of office.
i. The manner by which members may vote.
j. The manner for appointing, hiring, disciplining and
terminating employees.
k. The rules for conducting meetings of the
commission.
l. Any other necessary and proper rules or
procedures.
The bylaws, as adopted, shall be signed by each member of the
commission. The commission shall record the signed bylaws with the county
recorder and shall forward a copy of the bylaws to the administrator of the
state emergency management division.
7.2(3) Commission business. Commission business shall
be conducted in compliance with Iowa Code chapter 21, “Official Meetings
Open to Public,” and Iowa Code chapter 22, “Examination of Public
Records.”
7.2(4) The commission shall have the following minimum
duties and responsibilities:
a. Administration and finance.
(1) Establish and maintain an agency responsible for the local
emergency management program. The primary responsibility of this agency is to
develop and maintain a comprehensive emergency management capability in
cooperation with other governmental agencies, volunteer organizations, and
private sector organizations. The name of this agency shall be the (county
name) county emergency management agency.
(2) Determine the mission of the agency and its
program.
(3) Develop and adopt a budget in accordance with the
provisions of Iowa Code chapter 24 and Iowa Code section 29C.17 in support of
the commission and its programs. The commission shall be the fiscal authority
and the chairperson or vice chairperson shall be the certifying official for the
budget.
(4) Appoint an emergency management coordinator who meets the
qualifications established in subrule 7.3(3).
(5) Develop and adopt policies defining the rights and
liabilities of commission employees, emergency workers and volunteers.
(6) Provide direction for the delivery of the emergency
management services of planning, administration, coordination, training,
exercising, and support for local governments and their departments.
(7) Coordinate emergency management activities and services
among county and city governments and the private sector agencies within the
county.
b. Hazard identification, risk assessment, and capability
assessment.
(1) The commission shall continually identify credible hazards
that may affect their jurisdiction, the likelihood of occurrence, and the
vulnerability of the jurisdiction to such hazards. Hazards to be considered
shall include natural, technological, and human–caused.
(2) The commission shall conduct an analysis to determine the
consequences and impact of identified hazards on the health and safety of the
public, the health and safety of responders, property and infrastructure,
critical and essential facilities, public services, the environment, the economy
of the jurisdiction, and government operations and obligations.
(3) The hazard analysis shall include identification of vital
personnel, systems, operations, equipment, and facilities at risk.
(4) The commission shall identify mitigation and preparedness
considerations based upon the hazard analysis.
(5) A comprehensive assessment of the emergency management
program elements shall be conducted periodically to determine the operational
capability and readiness of the jurisdiction to address the identified hazards
and risks.
c. Resource management.
(1) The commission shall develop the capability to effectively
identify, acquire, distribute, account for, and utilize resources essential to
emergency functions.
(2) The commission shall identify resource capability
shortfalls and the steps necessary to overcome such shortfalls.
(3) The commission shall, in collaboration with other public
and private agencies within this state, develop written mutual aid agreements.
Such agreements shall provide reciprocal disaster services and recovery aid and
assistance in case of disaster too great to be dealt with by the jurisdiction
unassisted. Mutual aid agreements shall be in compliance with the appropriate
requirements contained in Iowa Code chapter 28E.
d. Planning.
(1) The commission shall develop comprehensive countywide
emergency operations plans which are multihazard and multifunctional in nature
and which shall include, but not be limited to, a part “A”
operations plan, part “B” mitigation plan, and part “C”
recovery plan that may be contained in a single document or multiple
documents.
1. An operations plan assigns responsibilities to
organizations and individuals for carrying out specific actions at projected
times and places in an emergency or disaster.
2. The mitigation plan shall establish interim and
long–term strategies to eliminate hazards or to reduce the impact of those
hazards that cannot be eliminated. This requirement notwithstanding, to qualify
for federal funding for mitigation assistance, the eligible applicant must
comply with the mitigation planning requirements set forth in 44 CFR 206,
Subpart M, and the Iowa Hazard Mitigation Grant Program Administrative Plan, as
appropriate.
3. A recovery plan shall identify the short–term and
long–term strategic priorities, processes, vital resources, and acceptable
timeframes and procedures for restoration.
(2) Plans shall contain the following common
elements.
1. The functional roles and responsibilities of internal and
external agencies, organizations, departments, and individuals during
mitigation, preparedness, response and recovery shall be identified.
2. Lines of authority for those agencies, organizations,
departments, and individuals shall be established and identified.
(3) Plans shall be regularly reviewed and amended as
appropriate in accordance with schedules established by the commission, to
include at a minimum:
1. A complete review, and amendment as appropriate, of the
operations plan at a minimum of every five years. However, a review, and
amendment as appropriate, of the hazardous materials portion of the plan shall
be conducted on a yearly basis.
2. A complete review, and amendment as appropriate, of the
mitigation plan at a minimum of every five years and in conjunction with any
presidentially declared disaster for which mitigation assistance is
requested.
3. A complete review, and amendment as appropriate, of the
recovery plan at a minimum of every five years and in conjunction with any
presidentially declared disaster for which individual or public assistance is
requested.
(4) In addition to the standards heretofore established in
7.2(4)“d,” the operations plan shall include provisions for damage
assessment.
(5) Hazardous materials plans shall meet the minimum
requirements of federal law, 42 U.S.C. Sec. 11003.
(6) Counties designated as risk or host counties for a nuclear
facility emergency planning zone shall meet the standards and requirements as
published by the United States Nuclear Regulatory Commission and the Federal
Emergency Management Agency in NUREG–0654, FEMA–REP–1, Rev. 1,
March 1987.
(7) Required plans, submitted for approval to the division by
a local or joint emergency management commission, shall be reviewed within 60
calendar days from the receipt of the plan. The division shall notify the local
emergency management coordinator in writing of the approval or nonapproval of
the plan. If the plan is not approved, the division shall state the specific
standard or standards that are not being met and offer guidance on how the plan
may be brought into compliance.
(8) A comprehensive countywide emergency operations plan shall
not be considered approved by the emergency management division as required in
Iowa Code subsection 29C.9(8), unless such plan adheres to and meets the minimum
standards as established in subrule 7.2(4), paragraph “d.”
(9) Iowa Code section 29C.6 provides that state participation
in funding financial assistance in a presidentially declared disaster is
contingent upon the local government’s having on file a
state–approved, comprehensive, countywide plan as provided in Iowa Code
subsection 29C.9(8). Required plans must be received and approved by the
division by the time the first public or private, nonprofit entity within the
county otherwise becomes eligible to receive state assistance or within one year
from the date of presidential declaration, whichever is earlier.
e. Direction, control and coordination.
(1) The commission shall execute and enforce the orders or
rules made by the governor, or under the governor’s authority.
(2) The commission shall establish and maintain the capability
to effectively direct, control and coordinate emergency and disaster response
and recovery efforts.
(3) The commission shall establish a means of interfacing
on–scene management with direction and control personnel and
facilities.
(4) The commission shall actively support use of the Incident
Command System (ICS) model by all emergency and disaster response agencies
within the jurisdiction.
f. Damage assessment.
(1) The commission shall develop and maintain a damage
assessment capability consistent with local, state and federal requirements and
shall designate individuals responsible for the function of damage
assessment.
(2) Individuals identified by the commission to perform the
function of damage assessment shall be trained through a course of instruction
approved by the division.
g. Communications and warning.
(1) The commission shall establish and maintain the capability
of disseminating a warning to the public, key officials, emergency response
personnel and those other persons within the jurisdiction that may be
potentially affected.
(2) The commission shall develop and maintain primary and
secondary means of communications to support direction, control, and
coordination of emergency management activities.
h. Operations and procedures. The commission should encourage
public and private agencies, having defined responsibilities in the countywide
emergency operations plan, to develop standard operating procedures, policies,
and directives in support of the plan.
i. Training.
(1) The commission shall require the local emergency
management coordinator to meet the minimum training requirements as established
by the division and identified in subrule 7.3(4).
(2) The commission shall, in conjunction with the local
emergency management coordinator, arrange for and actively support ongoing
emergency management related training for local public officials, emergency
responders, volunteers, and support staff.
(3) Persons responsible for emergency plan development or
implementation should receive training specific to, or related to, hazards
identified in the local hazard analysis.
(4) The commission should encourage individuals, other than
the emergency management coordinator, with emergency management responsibilities
as defined in the countywide emergency operations plan, to complete, within two
years of appointment, training consistent with their emergency management
responsibilities.
(5) The commission should encourage all individuals with
emergency management responsibilities to maintain current and adequate training
consistent with their responsibilities.
j. Exercises.
(1) The commission shall ensure that exercise activities are
conducted annually in accordance with local, state and federal
requirements.
(2) Exercise activities shall follow a progressive
five–year plan that is designed to meet the needs of the
jurisdiction.
(3) Local entities assigned to an exercise shall actively
participate and support the role of the entity in the exercise.
(4) Local entities assigned to an exercise should actively
participate in the design, development, implementation, and evaluation of the
exercise activity.
k. Public education and information.
(1) The commission shall designate the individual or
individuals who are responsible for public education and information
functions.
(2) The commission shall ensure a public information
capability, to include:
1. Designated public information personnel trained to meet
local requirements.
2. A system of receiving and disseminating emergency public
information.
3. A method to develop, coordinate, and authorize the release
of information.
4. The capability to communicate with special needs
populations.
(3) The commission should actively support the development of
capabilities to electronically collect, compile, report, receive, and transmit
emergency public information.
7.2(5) Two or more commissions. Two or more local
commissions may, upon review by the state administrator and with the approval of
their respective boards of supervisors and cities, enter into agreements
pursuant to Iowa Code chapter 28E for the joint coordination and administration
of emergency management services throughout the multicounty area.
605—7.3(29C) Emergency management
coordinator.
7.3(1) Each county emergency management commission or
joint commission shall appoint an emergency management coordinator who shall
serve at the pleasure of the commission. The commission shall delegate to the
emergency management coordinator the authority to fulfill the commission’s
and coordinator’s duties as provided in Iowa Code sections 29C.9 and
29C.10, as further described in subrule 7.1(5), and as otherwise assigned and
authorized by the commission.
7.3(2) The representative of the local or joint
commission, serving as coordinator, shall not be a member of a local or joint
commission. An individual serving in a full–time or part–time
governmental position having incompatibility with the position of coordinator
shall not be appointed as emergency management coordinator.
7.3(3) Emergency management coordinator
qualifications. Each person appointed after July 1, 1990, as an emergency
management coordinator shall meet the following requirements with regard to
education, abilities, experience, knowledge and skills:
a. Demonstrate a knowledge of local, state, and federal laws
and regulations pertaining to emergency management.
b. Demonstrate an understanding of communications systems,
frequencies, and equipment capabilities.
c. Demonstrate a knowledge of basic accounting principles and
practices.
d. Express oneself clearly and concisely, both orally and in
writing.
e. Establish and maintain effective working relationships with
employees, public officials, and the general public.
f. Prepare accurate reports.
g. Write plans, direct the use of resources, and coordinate
emergency operations under extraordinary circumstances.
h. Exercise good judgment in evaluating situations and making
decisions.
i. Coordinate with agencies at all levels of government.
j. Have graduated from an accredited four–year college
or university and have two years of responsible experience in emergency
management, public or business administration, public relations, military
preparedness or related work; or have an equivalent combination of experience
and education, substituting 30 semester hours of graduate study for each year of
the required work experience to a maximum of two years; or have an equivalent
combination of experience and education, substituting one year of experience in
the aforementioned areas for each year of college to a maximum of four years; or
be employees with current continuous experience in the state classified service
that includes the equivalent of 18 months of full–time experience as an
emergency management operations officer; or be employees with current continuous
experience in the state classified service that includes the equivalent of 36
months of full–time experience as a local emergency management
assistant.
7.3(4) Emergency management coordinator continuing
education requirements. Each local coordinator shall meet the following
educational development requirements. The administrator may extend the time
frame for meeting these continuing education requirements upon request from the
local or joint commission.
a. By July 1, 2002, or within five years of appointment as an
emergency management coordinator, whichever is later, completion of the
following independent study courses:
(1) Citizens Guide to Disaster Assistance.
(2) Emergency Operations Center Role in Community Preparedness
Response and Recovery Operations.
(3) Emergency Program Manager: An Orientation to the
Position.
(4) Emergency Preparedness U.S.A.
(5) Hazardous Materials: A Citizen’s Guide.
(6) An Orientation to Community Disaster Exercise.
(7) The Professional in Emergency Management.
(8) Radiological Emergency Management.
(9) Introduction to Hazard Mitigation.
(10) Basic Incident Command System.
b. By July 1, 2002, or within five years of appointment as an
emergency management coordinator, whichever is later, completion of the
professional development series of courses as prescribed by the Federal
Emergency Management Agency.
c. Upon completion of the requirements established in subrule
7.3(4), paragraphs “a” and “b,” annual completion of a
minimum of 24 hours of state–approved emergency management
training.
d. The local emergency management coordinator must document
completion of courses by submitting a copy of the certificate of completion, a
letter indicating satisfactory completion, or other appropriate
documentation.
605—7.4(29C) Local commission or joint commission
personnel.
7.4(1) Personnel for the local commission or joint
commission shall be considered as employees of that local commission to include
the coordinator, operations officers, and emergency management
assistants.
7.4(2) The local or joint commission shall determine
the personnel policies of the agency to include holidays, rate of pay, sick
leave, vacation, and health benefits. The local commission may adopt existing
county or city policies in lieu of writing their own policies.
605—7.5(29C) Damage assessment and financial
assistance for disaster recovery. Disaster–related expenditures and
damages incurred by local governments, private nonprofit entities, individuals,
and businesses may be reimbursable and covered under certain state and federal
disaster assistance programs. Preliminary damage assessments shall be provided
to the emergency management division prior to the governor’s making a
determination that the magnitude and impact are sufficient to warrant a request
for a presidential disaster declaration.
7.5(1) Local preliminary damage assessment and impact
statement. The county emergency management coordinator shall be
responsible for the coordination and collection of damage assessment and impact
statement information immediately following a disaster that affects the county
or any municipality within the county.
7.5(2) Damage assessment guidance and forms to be
provided. The state emergency management division will provide guidance
regarding the methodologies to be used in collecting damage assessment and
impact statement information and shall provide the forms and format by which
this information shall be recorded.
7.5(3) Joint preliminary damage assessment. Once the
governor has determined that a request for a presidential disaster declaration
is appropriate, joint preliminary damage assessment teams, consisting of local,
state, and federal inspectors, will assess the uninsured damages and costs
incurred or to be incurred in responding to and recovering from the disaster.
All affected city, municipality, or county governments shall be required to
provide assistance to the joint preliminary damage assessment teams for
conducting damage assessments. The jurisdiction may be required to develop maps
to show the damaged areas and to compile lists of names and telephone numbers of
individuals, businesses, private nonprofit entities, and governmental agencies
sustaining disaster response and recovery costs or damages. This joint
preliminary damage assessment may be required before the request for
presidential declaration is formally transmitted to the Federal Emergency
Management Agency.
7.5(4) Public assistance and hazard mitigation
briefing. In the event that a presidential disaster declaration is received,
affected jurisdictions and eligible private nonprofit entities should be
prepared to attend a public assistance and hazard mitigation briefing to acquire
the information and documents necessary to make their formal applications for
public and hazard mitigation assistance. Failure to comply with the deadlines
for making application for public and mitigation assistance as established in 44
CFR Part 206 and the Stafford Act (PL 923–288) may jeopardize or eliminate
the jurisdiction’s or private nonprofit entity’s ability to receive
assistance.
7.5(5) Forfeiture of assistance funding. Failure to
provide timely and accurate damage assessment and impact statement information
may jeopardize or eliminate an applicant’s ability to receive federal and
state disaster assistance funds that may otherwise be available.
State participation in funding of disaster financial
assistance in a presidentially declared disaster shall be contingent upon the
local or joint emergency management commission’s having on file a
state–approved, comprehensive, countywide emergency operations plan which
meets the standards as provided in subrule 7.2(4), paragraph
“d.”
605—7.6(29C) Emergency management performance grant
program. Emergency management is a joint responsibility of the federal
government, the states, and their political subdivisions. Emergency management
means all those activities and measures designed or undertaken to mitigate
against, prepare for, respond to, or recover from the effects of a
human–caused, technological, or natural hazard. The purpose of the
emergency management performance grant program is to provide the necessary
assistance to local governments to ensure that a comprehensive emergency
preparedness system exists for all hazards.
7.6(1) Eligibility. Local or joint emergency
management commissions may be eligible for funding under the state and emergency
management performance grant program by meeting the requirements, conditions,
duties and responsi–bilities for emergency management commissions and
county emergency management coordinators established in rules 7.2(29C) and
7.3(29C). In addition, the local commission shall ensure that the coordinator
works an average of 20 hours per week or more toward the emergency management
effort. Joint commissions shall ensure that the coordinator works an average of
40 hours per week toward the emergency management effort.
7.6(2) Application for funding. Local or joint
commissions may apply for funding under the emergency management performance
grant program by entering into an agreement with the division and by completing
the necessary application and forms, as published and distributed yearly to each
commission by the division.
7.6(3) Allocation and distribution of funds. The
emergency management division shall allocate funds to eligible local or joint
commissions within 45 days of receipt of notice from the Federal Emergency
Management Agency that such funds are available. The division shall use a
formula for the allocation of funds based upon the number of eligible
applicants, the coordinator’s salary and benefits and an equal
distribution of remaining funds, not to exceed an individual applicant’s
request. Funds will be reimbursed to local and joint commissions on a federal
fiscal year, quarterly basis; and such reimbursement will be based on eligible
claims made against the local or joint commission’s allocation. In no
case will the allocation or reimbursement of funds be greater than
one–half of the total cost of eligible emergency management related
expenses.
7.6(4) Compliance. The administrator may withhold or
recover emergency management performance grant funds from any local or joint
commission for their failure or their coordinator’s failure to meet any of
the following conditions:
a. Appoint a qualified coordinator.
b. Comply with continuing education requirements.
c. Adopt a comprehensive countywide emergency operations plan
that meets current standards.
d. Determine the mission of its agency.
e. Show continuing progress in fulfilling the
commission’s duties and obligations.
f. Conduct commission business according to the guidelines and
rules established in this chapter.
g. Enter into and file a cooperative agreement with the
division by the stipulated filing date.
h. Abide by state and federal regulations governing the proper
disbursement and accountability for federal funds, equal employment opportunity
and merit system standards.
i. Accomplish work specified in one or more program areas, as
agreed upon in the cooperative agreement, or applicable state or federal rule or
statute.
j. Provide the required matching financial
contribution.
k. Expend funds for authorized purposes or in accordance with
applicable laws, regulations, terms and conditions.
l. Respond to, or cooperate with, state efforts to determine
the extent and nature of compliance with the cooperative agreement.
7.6(5) Serious nonperformance problems. If a local or
joint commission cannot demonstrate achievement of agreed–upon work
products, the division is empowered to withhold reimbursement or to recover
funds from the local or joint commission. Corrective action procedures are
designed to focus the commission’s attention on nonperformance problems
and to bring about compliance with the cooperative agreement. Corrective action
procedures, which could lead to sanction, may be enacted as soon as the
administrator becomes aware of present or future serious nonperformance or
noncompliance. This realization may arise from staff visits or other contacts
with the local agency or commission, from indications in the commission or
coordinator’s quarterly reports that indicate a significant shortfall from
planned accomplishments, or from the commission or coordinator’s failure
to report. Financial sanctions are to be applied only after corrective action
remedies fail to result in accomplishment of agreed–upon work
product.
7.6(6) Corrective actions.
a. Informal corrective action. As a first and basic step to
correcting nonperformance, a designated member of the state emergency management
division staff will visit, call or write the local coordinator to determine the
reason for nonperformance and seek an agreeable resolution.
b. Formal corrective action. On those occasions when there is
considerable discrepancy between agreed and actual performance and response to
informal corrective action is not sufficient or agreeable, the division will
take the following steps:
(1) Emergency management staff will review the scope of work,
as agreed to in the cooperative agreement, to determine the extent of
nonperformance. To focus attention on the total nonperformance issue, all
instances of nonperformance will be addressed together in a single
correspondence to the local or joint commission.
(2) The administrator will prepare a letter to the local or
joint commission which will contain, at a minimum, the following
information:
1. The reasons why the division believes the local or joint
commission may be in noncompliance, including the specified provisions in
question.
2. A description of the efforts made by the division to
resolve the matter and the reasons these efforts were unsuccessful.
3. A declaration of the local or joint commission’s
commitment to accomplishing the work agreed upon and specified in the
comprehensive cooperative agreement and its importance to the emergency
management capability of the local jurisdiction.
4. A description of the exact actions or alternative actions
required of the local or joint commission to bring the problem to an agreed
resolution.
5. A statement that this letter constitutes the final
no–penalty effort to achieve a resolution and that financial sanctions
provided for in these rules will be undertaken if a satisfactory response is not
received by the division within 30 days.
7.6(7) Financial sanctions. If the corrective actions
heretofore described fail to produce a satisfactory resolution to cases of
serious nonperformance, the administrator may invoke the following financial
sanction procedures:
a. Send a “Notice of Intention to Withhold
Payment” to the chairperson of the local or joint commission. This notice
shall also contain notice of a reasonable time and place for a hearing, should
the local or joint commission request a hearing before the
administrator.
b. Any request by a local or joint commission for a hearing
must be made in writing, to the division, within 15 days of receipt of the
notice of intention to withhold payment.
c. Any hearing under the notice of intention to withhold
payment shall be held before the administrator. However, the administrator may
designate an administrative law judge to take evidence and certify to the
administrator the entire record, including findings and recommended
actions.
d. The local or joint commission shall be given full
opportunity to present their position orally and in writing.
e. If, after a hearing, the administrator finds sufficient
evidence that the local or joint commission has violated established rules and
regulations or the terms and conditions of the cooperative agreement, the
administrator may withhold such contributions and payments as may be considered
advisable, until the failure to expend funds in accordance with said rules,
regulations, terms and conditions has been corrected or the administrator is
satisfied that there will no longer be any such failure.
f. If upon the expiration of the 15–day period stated
for a hearing, a hearing has not been requested, the administrator may issue the
findings and take appropriate action as described in the preceding
paragraph.
g. If the administrator finds there is serious
nonperform–ance by the commission or its coordinator and issues an order
to withhold payments to the local or joint commission as described in this rule,
the commission shall not receive funds under the emergency management
performance grant program for the remainder of the federal fiscal year in which
the order is issued and one additional year or until such time that all issues
of nonperformance have been agreeably addressed by the division and the
commission.
h. Any emergency management performance grant program funds
withheld or recovered by the division as a result of this process shall be
reallocated at the end of the federal fiscal year to the remaining participating
counties.
These rules are intended to implement Iowa Code sections 29C.6
and 29C.8.
[Filed Emergency 4/24/00, effective 5/17/00]
[Published 5/17/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 5/17/00.
FILED
ARC 9842A
AGRICULTURE AND LAND STEWARDSHIP
DEPARTMENT[21]
Adopted and Filed
Pursuant to the authority of Iowa Code sections 159.5(11) and
214A.2 and 1999 Iowa Acts, chapter 204, section 15, the Department of
Agriculture and Land Stewardship adopts an amendment to Chapter 85,
“Weights and Measures,” Iowa Administrative Code.
This amendment is intended to implement 1999 Iowa Acts,
chapter 204, section 15, which directs the Department of Agriculture and Land
Stewardship to adopt administrative rules prohibiting a retail dealer of motor
vehicle fuel from offering for sale in Iowa a motor vehicle fuel that contains
more than 2 percent of methyl tertiary butyl ether (MTBE) by volume. The
amendment also updates a reference to applicable standards of the American
Society for Testing and Materials (A.S.T.M.).
Notice of Intended Action was published in the Iowa
Administrative Bulletin on March 8, 2000, as ARC 9724A. No public
comment was received. The adopted amendment is identical to that published
under Notice.
No waiver provisions have been included in this amendment.
This amendment is mandated by 1999 Iowa Acts, chapter 204, section 15, which
does not provide for any waivers beyond the text of the amendment.
This amendment will become effective on June 21,
2000.
This amendment is intended to implement 1999 Iowa Acts,
chapter 204, and Iowa Code chapters 159 and 214A.
The following amendment is adopted.
Amend rule 21—85.33(214A,208A) as follows:
21—85.33(214A,208A) Motor vehicle fuel and
antifreeze tests and standards. In the interest of uniformity, the tests
and standards for motor vehicle fuel, oxygenate octane enhancers, raffinate
natural gasoline and motor vehicle antifreeze shall be those established by the
American Society for Testing and Materials (A.S.T.M.) in effect on January 1,
1990 2000, except that the standards for E–Grade
denatured fuel ethanol shall be the American Petroleum Institute’s (API)
specification in use at the Iowa terminals. In addition, a retail dealer of
motor vehicle fuel shall not sell or offer for sale in Iowa a motor vehicle fuel
that contains more than 2 percent of methyl tertiary butyl ether (MTBE) by
volume.
This rule is intended to implement Iowa Code sections 208A.5,
208A.6 and 215.18 and 1999 Iowa Acts, chapter 204.
[Filed 4/28/00, effective 6/21/00]
[Published 5/17/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 5/17/00.
ARC 9821A
ECONOMIC DEVELOPMENT, IOWA DEPARTMENT
OF[261]
Adopted and Filed
Pursuant to the authority of Iowa Code sections 15.104 and
15.106, the Iowa Department of Economic Development adopts an amendment to
Chapter 25, “Housing Fund,” Iowa Administrative Code.
The amendment permits IDED to reserve up to a maximum of 60
percent of the state’s annual HOME allocation for rental housing
activities jointly funded with HOME and low–income housing tax credits (a
program administered by the Iowa Finance Authority (IFA)). The amendment also
reserves to IDED the right to require a 15 percent ratio of CHDO (community
housing development organization) projects within the low–income housing
tax credit projects funded.
Notice of Intended Action was published in the Iowa
Administrative Bulletin on February 9, 2000, as ARC 9684A. The IDED Board
adopted this amendment on April 20, 2000.
A public hearing to receive comments about the proposed
amendment was held on February 29, 2000. Several written comments were
received. The Iowa Housing Coalition isopposed to linking the HOME program
funds to the low–income housing tax credit. The Coalition expressed the
opinion that linking HOME funds to tax credits preventedcommunity–based
nonprofit organizations from accessing HOME program funds. A developer from
Sioux City and the Iowa Finance Authority objected to that portion of the rule
reserving to IDED the right to require a 15 percent ratio of CHDO projects
within the low–income housing tax credit projects funded. Their concern
was that this language could be interpreted to require IFA to also reserve 15
percent of the tax credits for CHDO projects. The Sioux City developer raised
questions about the procedures to be developed between IFA and IDED that were
mentioned in the Notice of Intended Action.
As a result of these comments, the Department postponed final
action on the amendment and incorporated clarifying language requested by IFA.
The final amendment still reserves to IDED the ability to meet the HUD
requirement that 15 percent of the HOME funds are provided to CHDOs, but
clarifies that this provision is not applicable to IFA’s tax credit
program. The intent of the amendment was to ensure that IDED is able to meet
the federal requirement to provide a portion of HOME funds to CHDO projects. To
avoid any possible confusion, the second sentence of subrule 25.8(3) was
modified using language proposed by IFA.
The Department believes that reserving a portion of its HOME
funds for rental housing activities jointly funded with HOME and
low–income housing tax credits is a benefit to the state. The combination
of these funds has proven to be necessary to serve very low–income persons
and to serve rural areas where prevailing rents are substantially below those
required to support new housing development. Nonprofit organizations are
encouraged to apply.
The proposed amendment to reserve up to 60 percent of HOME
funds for joint tax credit projects was filed in January 2000. The Department
wanted to let potential applicants know of its intention to reserve HOME funds
for joint HOME/tax credit projects and needed to amend its rules as soon as
practicable to allow this reservation. Ongoing discussions were taking place
between IFA and IDED as to how the joint process would operate, but were not
finalized until April. The agencies have now submitted proposed rules to
implement the joint review process. IDED’s proposed rules are published
herein as ARC 9820A, and IFA’s proposed rules were published in the
May 3, 2000, Iowa Administrative Bulletin as ARC 9811A.
This amendment is intended to implement Iowa Code section
15.108(1)“a.”
This amendment will become effective on June 21,
2000.
The following amendment is adopted.
Amend rule 261—25.8(15) by adopting the following
new subrule:
25.8(3) Up to a maximum of 60 percent of the
state’s annual HOME allocation may be reserved for rental housing
activities jointly funded with HOME and low–income housing tax credits.
In the event IDED has not satisfied the HUD required 15 percent ratio of
HOME funding for CHDO projects at the time low–income housing tax credit
projects are considered for joint funding, IDED may elect to first fund those
projects meeting the 15 percent CHDO projects even though these projects may not
be approved by IFA for low–income housing tax credit
reservations.
[Filed 4/21/00, effective 6/21/00]
[Published 5/17/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 5/17/00.
ARC 9822A
ECONOMIC DEVELOPMENT, IOWA DEPARTMENT
OF[261]
Adopted and Filed
Pursuant to the authority of Iowa Code sections 15.104 and
15.106, the Iowa Department of Economic Development adopts amendments to Chapter
53, “Community Economic Betterment Program,” Iowa Administrative
Code.
The amendments revise the Department’s time frame for
establishing the CEBA wage threshold. Rather than calculating the wage
threshold on a quarterly basis, the amendments will permit an annual calculation
that will be in effect for a 12–month period. The amendments do not
change how the wage threshold is calculated, only the timing of the calculation.
The intent of this revision is to recognize that most projects are not developed
and finalized within a 3–month period. Changing the wage levels during
the planning phase is a hardship on applicants.
The amendments revise and clarify starting wage threshold
requirements. The existing rules require an “average starting wage”
of a stated amount. These amendments remove the word “average” from
this phrase. It is the intent of the Department that the starting wages for all
project jobs meet or exceed the established wage rates for the CEBA
program.
Notice of Intended Action was published in the Iowa
Administrative Bulletin as ARC 9726A on March 8, 2000. The Iowa
Department of Economic Development Board adopted these amendments on April 20,
2000.
A public hearing to receive comments about the proposed
amendments was held on March 29, 2000. No comments were received. The adopted
amendments are identical to the proposed amendments.
These amendments will become effective on June 21,
2000.
These amendments are intended to implement Iowa Code sections
15.315 to 15.325.
The following amendments are adopted.
ITEM 1. Amend rule
261—53.2(15), definitions of “average county wage” and
“average regional wage,” as follows:
“Average county wage” means the average the
department calculates annually using the most current four quarters of
wage and employment information as provided in the Quarterly Covered Wage and
Employment Data report as provided by the Iowa workforce development department,
audit and analysis section. Agricultural/mining and governmental employment
categories are deleted in compiling the wage information.
“Average regional wage” means the wage calculated
annually by the department using a methodology in which each particular
county is considered to be a geographic center of a larger economic region. The
wage threshold for the central county is calculated using the average wage of
that county, plus each adjoining Iowa county, so that the resulting figure
reflects a regional average that is representative of the true labor market
area. In performing the calculation, the greatest importance is given to the
central county by “weighting” it by a factor of four, compared to a
weighting of one for each of the other adjoining counties. The central county
is given the greatest importance in the calculation because most of the
employees in that central county will come from the that
same county, as compared to commuters from other adjoining
counties.
ITEM 2. Amend paragraph
53.6(1)“f” as follows:
f. No more than $100,000 may be awarded to a business
start–up unless that business’s average the
project jobs have a starting wage equals equal to or
exceeds exceeding 90 percent of the average county wage,
90 percent of the average regional wage, or $9.50 the annual
wage cap, whichever is lowest, and over 50 percent of the business’s
employees’ wages are at or above the 90 percent level or
$9.50 the annual wage cap, whichever is lower.
ITEM 3. Amend paragraph
53.6(1)“i” as follows:
i. To be eligible for assistance, applicants shall meet
the following wage threshold requirements:
(1) Project positions shall have an average
a starting wage of at least 90 percent of the average county wage, 90
percent of the average regional wage, or $9.50 the annual
wage cap, whichever is lowest.
(2) Fifty percent or more of the jobs to be created or
retained shall have an average a starting wage of at
least 90 percent of the average county wage, 90 percent of the average regional
wage, or $9.50 the annual wage cap, whichever is
lowest.
(3) If the applicant is a business start–up, project
positions shall have an average a starting wage of at
least 80 percent of the average county wage, 80 percent of the average regional
wage, or $9.50 the annual wage cap, whichever is lowest,
and over 50 percent of the business’s employees’ wages shall be at
or above the 80 percent level or $9.50 the annual wage
cap, whichever is lower.
(4) The $9.50 wage scale annual wage
cap referenced in this rule shall be adjusted annually by calculating the
percent increase or decrease in average Iowa hourly earnings level for all
production and nonproduction workers in the private sector from the month of
June of the previous year to June of the current year. This report is compiled
by the Iowa workforce development department.
(5) Where the community can document to the department’s
satisfaction that a significant differential exists between the actual local
county wage (as determined by a local employer survey) and the average county
wage or average regional wage, the department may substitute the community
survey results for the average county wage or average regional wage for
consideration in a specific project. Qualification of a project would not be
anticipated unless the starting project wage was clearly above the survey
wage.
(6) The department may approve a project where the starting
project wage is less than the average county wage or average regional wage under
the following conditions:
1. The starting wage is associated with a training period
which is of relatively short duration as documented by the business;
and
2. The wages will exceed 90 percent of the average county
wage, 90 percent of the average regional wage, or $9.50 the
annual wage cap at the conclusion of the training period as documented by
the business; and
3. CEBA funds will be released only at the conclusion of the
training period when the average county or average regional wage is
achieved.
[Filed 4/21/00, effective 6/21/00]
[Published 5/17/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 5/17/00.
ARC 9823A
ECONOMIC DEVELOPMENT, IOWA DEPARTMENT
OF[261]
Adopted and Filed
Pursuant to the authority of Iowa Code sections 15.104 and
15.106, the Iowa Department of Economic Development adopts amendments to Chapter
68, “Iowa Export Trade Assistance Program,” Iowa Administrative
Code.
The amendments provide a definition of “exporter,”
revise the definitions of “sales agent” and “trade
mission,” clarify eligibility and reimbursement requirements, and update
statutory references.
Notice of Intended Action was published in the Iowa
Administrative Bulletin as ARC 9725A on March 8, 2000. The Iowa
Department of Economic Development Board adopted these amendments on April 20,
2000.
A public hearing to receive comments about the proposed
amendments was held on March 28, 2000. No comments were received at the public
hearing. At the April 7, 2000, meeting of the Administrative Rules Review
Committee, two revisions were requested, and the following changes have been
made:
1. Revisions were made to clarify the definition of
“exporter.” As proposed, the definition was one sentence that
included several activities that would meet the definition of an exporter. The
substance of the definition remains the same, but the format has been
reorganized into a list that more clearly identifies each qualifying
activity.
2. The definition of “trade mission” was revised
to identify which of the listed elements are required and which are
optional.
These amendments will become effective on June 21,
2000.
These amendments are intended to implement 1999 Iowa Acts,
chapter 197, section 1, subsection 4.
The following amendments are adopted.
ITEM 1. Amend the parenthetical
implementation for rules 261—68.1(77GA,SF2296) through
261— 68.8(77GA,SF2296) by striking “77GA,SF2296” and
inserting “78GA,ch197” in lieu thereof.
ITEM 2. Amend rule
261—68.2(77GA,SF2296) as follows:
261—68.2(77GA,SF2296)
(78GA,ch197) Definitions.
“Department” means Iowa department of economic
development.
“Division” means the international division of the
department.
“Exporter” means a person or business that
sells one of the following outside of the United States:
• A manufactured
product.
• A
value–added product.
• An agricultural
product.
• A
service.
“Sales agent
representative” means a contracted representative of an Iowa firm
with the authority to consummate a sales transaction.
“Trade mission” means a mission event led by the
department of economic development, U.S. Department of Commerce, or the
U.S. Department of Agriculture, or the Iowa department of agriculture
and land stewardship. Qualified trade missions must include
all each of the following:
• Advanced operational and
logistical planning.
• Advanced scheduling of
individualized appointments with prequalified prospects interested in
participants’ product or service being offered.
• Background information on
individual prospects prior to appointments.
Trade missions may also include:
• In–depth briefings
on market requirements and business practices for targeted country.
• Interpreter
services.
• Development of a trade
mission directory prior to the event containing individual company data
regarding the Iowa company and the products being offered.
• In addition to the
above criteria, some missions may also include Technical
seminars delivered by the mission participants specifically designed to
promote sales of advanced technology, products or services in targeted
markets.
ITEM 3. Amend rule
261—68.3(77GA,SF2296) as follows:
261—68.3(77GA,SF2296)
(78GA,ch197) Eligible applicants. The export trade assistance program
is available to Iowa firms either producing products or
adding value to products, or both, or providing services in the state of
Iowa. To be eligible to receive trade assistance, applicants must meet all four
of the following criteria:
1. Be an entity employing fewer than 500 individuals, 75
percent or more of whom are employed within the state of Iowa,
2. Exhibit products or services or samples of Iowa
manufactured, processed or value–added products or agricultural
commodities in conjunction with a foreign trade show or trade mission (catalog
exhibits are permitted if they are used in conjunction with the exhibit of a
product or service or in association with the firm’s participation in a
trade mission),
3. Have at least one full–time employee or sales
agent representative attend the trade show or
participate in the trade mission, and
4. Provide proof of deposit or payment of the trade show or
trade mission participation fee.
ITEM 4. Amend rule
261—68.4(77GA,SF2296) as follows:
261—68.4(77GA,SF2296)
(78GA,ch197) Eligible reimbursements. The department’s
reimbursement to approved applicants for assistance shall not exceed 75 percent
of the eligible expenses directly attributed to
the applicant’s cost of participation in a trade show or trade
mission. Total reimbursement shall not exceed $4000 per event.
Payments will be made by the department on a reimbursement basis upon submission
of proper documentation and approval by the department of paid receipts received
by the division. Reimbursement is limited to the following types of
expenses:
68.4(1) Trade shows.
a. Space rental.
b. Booth construction at show site.
c. Booth equipment or furniture rental.
d. Freight costs associated with shipment of equipment or
exhibit materials to the participant’s booth and return.
e. Booth utility costs.
f. Interpreter fees for the duration of the trade
show.
g. Per diem (lodging and meals) for the day immediately before
the opening day of the trade show through the day immediately after the closing
day of the trade show; per diem is calculated at 50 percent of the rate
schedules provided by the U.S. Department of State for travel in foreign areas;
and per diem will be paid for only one employee sales
representative.
68.4(2) Trade mission.
a. Mission participation fee,
.
b. Per diem (lodging and meals) for each day identified in the
official mission itinerary. Per diem is calculated at 50 percent of the rate
schedules provided by the U.S. Department of State for travel in foreign areas
and will be paid for only one employee sales
representative.
c. Freight costs associated with shipment of equipment or
exhibit materials to the participant’s meeting site and
return.
d. Presentation equipment at the meeting
site.
e. Interpreter fees, if not included in the participation
fee, and as needed during the trade mission.
ITEM 5. Amend subrule 68.5(3) as
follows:
68.5(3) Have in attendance at the trade show or trade
mission at least one full–time employee or sales agent
representative of the applicant.
ITEM 6. Amend 261—68.7(77GA,SF2296)
as follows:
261—68.7(77GA,SF2296)
(78GA,ch197) Limitations. A participant in the export trade
assistance program shall not utilize the program’s benefits more than
three times during the state’s fiscal year, during the same fiscal
year. Participants shall not utilize export trade assistance program
funds for participation in the same trade show during two consecutive state
fiscal years, or for participation in the same trade show more than two times.
Participants shall not utilize export trade assistance program funds for
participation in multiple trade shows in the same country during the same state
fiscal year.
ITEM 7. Amend the implementation clause
at the end of 261—Chapter 68 as follows:
These rules are intended to implement 1998 Iowa Acts,
Senate File 2296, section 1, subsection 4, paragraph “b.”
1999 Iowa Acts, chapter 197, section 1, subsection 4.
[Filed 4/21/00, effective 6/21/00]
[Published 5/17/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 5/17/00.
ARC 9814A
RACING AND GAMING
COMMISSION[491]
Adopted and Filed
Pursuant to the authority of Iowa Code sections 99D.7 and
99F.4, the Racing and Gaming Commission hereby amends Chapter 8, “Mutuel
Department,” and Chapter 13, “Occupational and Vendor
Licensing,” Iowa Administrative Code.
Item 1 allows the licensee more flexibility in allowing the
stewards, who are on site, to make the determination as to the approval of
smaller fields for trifecta wagering.
Item 2 includes making a threat or intimidating statement as
grounds for denial, suspension or revocation of an occupational
license.
Item 3 rescinds the labor organization registration rule which
the Commission has no statutory authority to enforce.
These amendments are identical to those published under Notice
of Intended Action in the February 9, 2000, Iowa Administrative Bulletin as
ARC 9647A. A public hearing was held on February 29, 2000. No comments
were received.
These amendments will become effective June 21, 2000.
These amendments are intended to implement Iowa Code chapters
99D and 99F.
The following amendments are adopted.
ITEM 1. Amend subrule 8.2(13),
paragraph “g,” as follows:
g. Shall prohibit trifecta wagering on any contest with
seven six or fewer betting interests scheduled to start,
except in greyhound racing, or as provided in (1) below:
(1) Cancel trifecta. The stewards have the authority to
cancel trifecta wagering at any time they determine an irregular pattern of
wagering or determine that the conduct of the race would not be in the interest
of the regulation of the pari–mutuel wagering industry or in the public
confidence in racing. The stewards shall cancel trifecta wagering
anytime there are fewer than seven betting interests at the time the horses
leave the paddock for the post. The administrator
stewards may approve smaller fields for trifecta wagering if extraneous
circumstances are shown by the licensee.
(2) Reserved.
ITEM 2. Amend subrule 13.10(8) as
follows:
13.10(8) Illegal sale, possession, receipt or use of a
controlled substance; intoxication; use of profanity; fighting;
making threatening or intimidating statements or engaging in threatening
or intimidating behavior; or any conduct of a disorderly nature on
association grounds.
ITEM 3. Rescind and reserve rule
491— 13.14(99D,99F).
[Filed 4/21/00, effective 6/21/00]
[Published 5/17/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 5/17/00.
ARC 9835A
UTILITIES DIVISION[199]
Adopted and Filed
Pursuant to the authority of Iowa Code sections 476.2 and
476.3(1) and Iowa Code Supplement section 476.103, the Utilities Board (Board)
gives notice that on April 18, 2000, the Board issued an order in Docket No.
RMU–99–7, In re: Unauthorized Changes In Telecommunications
Service, “Order Adopting Rules,” adopting amendments to subrules
6.8(1), 6.8(2), 6.8(3), 22.23(1), and 22.23(2) and adopting new subrules
22.23(3), 22.23(5), and 22.23(6).
On July 23, 1999, the Board issued a Notice of Intended Action
to consider amendments to adopt new rules 199 IAC 6.8(476) and 199 IAC
22.23(476). The proposed rule making was published in the IAB Vol. XXII, No. 3
(8/11/99), pp. 189–193, as ARC 9267A. Comments were filed by the
Consumer Advocate Division of the Department of Justice (Consumer Advocate), U S
WEST Communications, Inc. (U S WEST), Billing Concepts, Inc. (BCI), GTE
Communications Corporation (GTE), and joint comments were filed by AT&T
Communications of the Midwest, Inc., and Sprint Communications, L.P.
(AT&T/Sprint). An oral presentation concerning these new rules was held on
October 21, 1999.
Simultaneously with this proposed rule making the Board issued
an order in Docket No. RMU–99–8, Unauthorized Changes of
Telecommunications Service (Emergency Rules), “Order Adopting Rules
Without Notice and Providing for Early Effective Date.” The rules were
Adopted and Filed Emergency and published in the IAB Vol. XXII, No. 3 (8/11/99),
pp. 196–198, as ARC 9268A.
These amendments are intended to implement a new statute
entitled “An Act Prohibiting Unauthorized Changes in Telecommunications
Service, Prohibiting Certain Acts in the Advertisement or Solicitation of
Changes in Telecommunications Service, and Providing Remedies and
Penalties,” Iowa Code Supplement section 476.103, which became effective
July 1, 1999. The new statute provides the Board with the authority to adopt
rules to protect customers from unauthorized changes in their telecommunications
service, even if the service has been deregulated pursuant to Iowa Code section
476.1D. Additional remedies are provided to the Attorney General to address the
issue of fraud in the sale of telecommunications services.
Unauthorized changes in telecommunications service may take a
variety of forms. Unauthorized changes in a customer’s preferred carrier
are sometimes referred to as slamming, while the addition of unauthorized
services to a customer’s bill is sometimes called cramming. These
activities represent a growing area of concern for telecommunications customers
in Iowa.
In 1996, the Board deregulated most interexchange services,
pursuant to Iowa Code section 476.1D. Since that time, the Board has had
limited jurisdiction over the part of the telecommunications market in which
most slamming has occurred. Nonetheless, the Board continues to receive a
significant number of complaints. In 1998, Board staff responded to 428 calls
regarding slamming issues and 174 calls alleging cramming. In 1997, Board staff
fielded 211 slamming calls (cramming complaints were not separately
tracked).
The Consumer Protection Division of the Attorney
General’s Office also processes many complaints regarding
telecommunications services. The Board understands that the Consumer Protection
Division received about 275 such complaints in 1995, 480 complaints in 1996, 937
complaints in 1997, and approximately 1,300 complaints in 1998. The trend is
clear and disturbing.
Pursuant to Iowa Code Supplement section 476.103, the new
subrules will apply with equal force to regulated and deregulated services. The
Board’s rules must be consistent with the regulations of the Federal
Communications Commission (FCC) regarding procedures for verification of
customer authorization of a change in service. The FCC verification procedures
include written or electronic authorization or independent third–party
verification.
The Board’s rules must also provide for (1) customer
notification of any changes in service, (2) procedures for customer account
change freezes, and (3) procedures for correcting unauthorized changes and
compensating customers and other persons whose interests may be damaged by an
unauthorized change in service. Finally, Iowa Code Supplement section 476.103
gives the Board expanded remedial authority with respect to telecommunications
service providers that make unauthorized changes, including civil penalties for
any violations of the statute or rules and more severe penalties for patterns of
violations.
On December 17, 1998, the FCC issued an order in The Matter
of Implementation of the Consumer Carrier Selection Provisions of the
Telecommunications Act of 1996, CC Docket No. 94–129 (the “FCC
Order”), adopting new rules intended to protect each customer’s
choice of telecommunications service providers. The majority of the FCC’s
slamming rules took effect on April 27, 1999.
Generally, the complaints will be resolved pursuant to the
Board’s standard complaint procedures, with informal proceedings, a
proposed resolution from Board staff, and an option for formal complaint
proceedings in appropriate cases. However, a few special procedures will apply.
For example, the time for the telephone utility’s response to the initial
complaint will be reduced to ten days, to be consistent with the FCC’s
verification procedures, and the proposed resolution may include an assessment
of damages among the interested persons in each complaint proceeding, pursuant
to Iowa Code Supplement section 476.103. In this context, the Board interprets
the term “assessment of damages” to mean, in most cases, an
allocation of the various telecommunications service charges at issue. Thus,
the proposed resolution (or a Board order following formal complaint
proceedings) will allocate responsibility for primary interexchange carrier
(PIC) change charges, service charges, and other charges that have appeared or
may appear on the customer’s bill, but in the absence of unusual
circumstances the proposed resolution or order will not assess among the parties
any responsibility for incidental, consequential, punitive, or similar
damages.
Consumer Advocate suggested that the requirement for
complaints to be written be eliminated. The Board agreed that it is appropriate
to receive telephone and other oral complaints, which can be reduced to writing
by Board staff for delivery to the company involved. Subrules 6.8(1) and 6.8(2)
have been revised accordingly.
Subrule 6.8(6) prohibits any action to re–bill, directly
bill, or otherwise collect any disputed charges for a change in service until
after Board action on a complaint is final. Consumer Advocate suggested that
all disputed amounts be removed from a customer’s bill. AT&T/Sprint
complained that it is not always possible to remove a disputed amount from a
customer’s bill while the dispute is being investigated. They said that
they will not attempt to collect the disputed amount while the claim is being
investigated. However, by leaving the disputed amount on a customer’s
bill as part of the amount due, an attempt to collect the disputed amount is
being made. The Board has not been persuaded by the possible difficulties
expressed by AT&T/Sprint that the subrule be altered to permit a disputed
amount to appear on a customer’s bill as part of the amount due. If the
disputed amount can be separated from the amount due, and identified for the
customer separate from the amount currently due, the Board would agree that
there is no longer a current attempt being made to recover the disputed amount.
The Board’s concern is that the disputed amount does not appear as part of
a past due amount that will then become part of a collection situation affecting
a customer’s credit history. Because of the Board’s concern, no
changes have been made to subrule 6.8(6).
Item 2, subrule 22.23(1), includes definitions of
“slamming” (unauthorized changes in a customer’s preferred
service provider), “cramming” (unauthorized additions or changes to
the services on a customer account, for which a separate charge is made), and
“jamming” (unauthorized account freezes that make it more difficult
for a customer to change service providers upon demand).
U S WEST and Consumer Advocate suggested that the definition
of “consumer” is too broad, expressing concern that the definition
could include persons who do not (or should not) have the authority to make
changes to an account. It was suggested that the definition for
“subscriber” be substituted, meaning the person whose name appears
on the account and others authorized to make changes on the account. The Board
finds merit with this concern but prefers to use the term “customer”
rather than “subscriber.” The Board has amended the subrule by
adding the term “customer” and its definition and substituting the
term “customer” with a more limited definition as
suggested.
U S WEST also suggested that the definition of
“slamming” include an element of fault to prevent the punishment of
“inadvertent” changes that are not the result of negligence,
recklessness, or intentional conduct. The Board has not amended the definition,
which merely requires verified consent for all designations of new
providers.
Consumer Advocate suggested the addition of a general,
flexible prohibition of all fraudulent conduct. The Board understands the
concern of Consumer Advocate, but is not persuaded that any additional language
is necessary to attain this goal.
AT&T, at the oral presentation, suggested that the
definition of “preferred carrier freeze” currently relates to a
freeze on an “account” rather than on the customer’s carrier
choice. The FCC does not permit account–level freezes. AT&T
suggested that the word “account” be changed to “preferred
carrier choices” to alleviate this problem. The Board agreed with this
suggestion and has amended the definition as indicated.
AT&T, MCI, and Sprint made additional suggestions after
the conclusion of the oral presentation to alter the definition of
“service provider.” Additionally, they suggested that a definition
be added to define the term “damages” so that it would not include
incidental, consequential, or punitive damages. The Board has adopted these
additional suggestions in subrule 22.23(5).
Also in Item 2, subrule 22.23(2) prohibits unauthorized
changes in service and provides for verification of all changes to a customer
account, along with customer notification of any such changes. Changes made at
the request of a submitting service provider must be verified using one of the
three FCC–approved verification procedures. Changes made as a result of a
direct customer request to the executing service provider may be verified using
the FCC procedures or through the internal records of the executing service
provider, if those records contain sufficient information to establish the date
and time of the request and the identity of the requesting customer. The rules
require that all verifications be maintained for at least two years from the
date the change is implemented. Verification of a preferred carrier freeze,
however, must be maintained for the life of the freeze, since a customer may not
be aware of an unauthorized freeze until the customer tries to change the
service.
The rules require customer notification of all changes in
service within 30 days of the effective date of the change, as required by Iowa
Code Supplement section 476.103. The notice must clearly and conspicuously
identify the change, any charge or fee associated with the change, and the name
and toll–free contact number of the service provider responsible for the
change. This information may be included as a line item in the billing portion
of the customer’s bill, as a separate written statement on the bill, in a
separate mailing to the customer, or by such other means as will provide the
required information in a clear and conspicuous manner.
The emergency rules adopted by reference the FCC regulations
regarding preferred carrier freezes. GTE supported the Board proposal to adopt
the FCC verification procedures by reference. Consumer Advocate suggested that
it would be more appropriate to rewrite or include the specific language from
the FCC rule that it intends to use in these rules. This should include any
change in terms from the FCC rule to match the terms used in the Iowa
Administrative Code and contained in the definitions as adopted. Consumer
Advocate additionally suggested that several provisions be added to the FCC
verification procedures to add specificity. The Board agreed with the
suggestion that the FCC rules be rewritten to include the specific terminology
of these rules and included within these rules. The Board rejected the
suggestions of Consumer Advocate that additional provisions are necessary to add
greater specificity to the verification procedures.
Consumer Advocate recommended that subrule 22.23(2)
specifically prohibit a telecommunications carrier from taking any action to
make a “change in service” without the customer’s
“verified consent,” arguing that this change is necessary to bring
the substantive conduct in conformance with the definitions. The Board has
adopted this suggestion.
AT&T/Sprint submitted that the definitions do not appear
to address authorization by use. They suggested that an authorized change in
telephone service include telecommunications services that are used, initiated,
or requested by the customer, including “dial–around” services
such as “10–10–XXX,” directory assistance,
operator–assisted calls, acceptance of collect calls, and other casual
calling by the customer. The choice to use the service indicates authorization
of the charges for that service. The Board agreed with the suggestion that
additional language is necessary to ensure that such services that are initiated
or requested by the customer are not inaccurately characterized as cramming.
The Board considers the inclusion of the term “used” to make the
definition too broad.
Subrule 22.23(3) requires that all carriers providing or
billing for telecommunications services to customers located in Iowa register
with the Board, using the form provided. This will allow the Board to assemble
a directory of telephone service providers offering services in Iowa, permitting
Board staff to contact each of them in the event a customer complaint is
received. This directory is a critical part of the Board’s power to
enforce these rules. As noted previously, in 1998 the Board received 428 calls
alleging slamming. These calls appeared to involve over 100 non–local
service providers. In some cases, the service provider’s name (as
provided by the complaining customer) appears to be a variation on the name of
another, often well–known carrier. This sometimes makes it difficult for
the Board to determine whether the alleged slammer is an established carrier or
a new entrant that may have intentionally adopted a similar name in an attempt
to confuse potential customers. The directory should help to resolve these
issues more easily and quickly.
Consumer Advocate has suggested that the Board require
additional information on the registration form in subrule 22.23(3). Consumer
Advocate argued that this additional information would assist in ascertaining
the precise identity of service providers and would be relevant to the Board as
it monitors the entity’s actual conduct in its interactions with Iowa
customers. The Board is not convinced that this additional information is
necessary or that it will add significantly to the Board’s ability to
monitor an entity’s conduct. The Board adopted the registration form
without change.
Subrule 22.23(4) refers the reader to Chapter 6 of the
Board’s rules for the applicable complaint procedures.
U S WEST, BCI, and GTE all objected to the requirement that
the service provider inform the customer of the right to contact the Board
regarding the complaint and to provide the Board’s toll–free number.
They argued that Iowa Code Supplement section 476.103(3)“e” requires
that the Board rules encourage service providers to resolve customer complaints
without involvement of the Board. Conversely, Consumer Advocate suggested that
the Board increase its involvement in each company’s dispute resolution
efforts by adopting rules that would require each service provider to make
available a toll–free number for complaints, on a 24–hour,
7–days–a–week basis. The Board is not persuaded by the
suggestion that requiring the provision of its toll–free number to
customers who contact a service provider with a complaint is in violation of
Iowa Code Supplement section 476.103(3)“e.” The use of the
Board’s informal complaint process as described in Chapter 6 of the
Board’s rules will encourage rapid resolution without invoking formal
proceedings, thus bringing the matter before the Board. Subrule 22.23(4) has
not been revised from the adopted and filed emergency rule.
Subrule 22.23(5) provides penalties for violations of the
anti–slamming statute or rules. These include civil penalties for any
violation of the provisions of Iowa Code Supplement section 476.103, or the
proposed Board rules, along with more severe sanctions for behavior revealing a
pattern of violations on the part of a telephone service provider. The Board
has not proposed a specific number of violations that will establish a pattern
of violations in subrule 22.23(6); the number may vary depending upon the
circumstances. For example, a service provider that has only 10 customers in
the state, all 10 of whom are the victims of slamming, may have demonstrated a
pattern of violations sufficient to justify severe sanctions, while a service
provider with hundreds of thousands of customers in Iowa and 20 slamming
complaints may be experiencing only a small percentage of inadvertently
mishandled customer requests, which may not amount to a pattern of violations.
Further complicating the question of what constitutes a pattern of violations is
the fact that as service offerings become more numerous and complex, the
resulting confusion is likely to produce more service order errors, both by
customers and service providers. For these reasons, the Board proposed to
determine whether a provider has shown a pattern of violations based upon the
facts of each specific situation, after notice to the affected persons and an
opportunity for hearing.
AT&T/Sprint raised a concern with the provision that
offers the possibility of joint and several damages in the event of a soft slam,
arguing that the provision is inconsistent with Iowa law, violates due process,
and imposes liability on innocent wholesale carriers. The soft slam language is
discretionary as to Board penalties. It is reasonable for the Board to be able
to consider any liability attributable to the provider of the wholesale services
in a soft slam situation on a case–by–case basis.
Consumer Advocate suggested that the rules also reference the
customer–specific enforcement authorized by the new statute. In addition,
Consumer Advocate urged the Board to significantly increase the penalties
proposed in its rules. In contrast, GTE, AT&T/Sprint, and U S WEST
suggested that the proposed rules relating to civil penalties be limited. The
Board rejects the suggestions of all the commenters and has adopted the subrule
without modification. The subrule offers a flexible range of remedies to be
applied on a case–by–case basis.
Finally, subrule 22.23(7) includes provisions for addressing
complaints between telephone service providers. Iowa Code Supplement section
476.103 grants primary jurisdiction over this subject matter to the Board. The
subrule includes a provision permitting any party to request that a matter be
immediately docketed as a formal complaint proceeding, bypassing the informal
process, in appropriate circumstances. The Board has adopted this subrule
without change.
Consumer Advocate recommended the Board adopt additional rules
requiring that service providers take certain minimum steps toward educating
customers regarding slamming, cramming, and their rights. Although the Board
can certainly see some benefit in such a requirement, it is likely beyond the
scope of the notice in this docket, which included no requirements for customer
education. The Board will not adopt any customer education requirements at this
time.
Consumer Advocate provided examples of slamming rules from
many other states as examples and suggestions for modifications of language.
The Board reviewed those examples and, where not specifically adopted, has
rejected each one of those suggested revisions.
These amendments are intended to implement Iowa Code sections
476.2 and 476.3(1) and Iowa Code Supplement section 476.103.
These amendments will become effective June 21,
2000.
The following amendments are adopted.
ITEM 1. Amend subrules 6.8(1), 6.8(2) and
6.8(3) as follows:
6.8(1) Upon receipt of the written
complaint and with the customer’s acknowledgment, a copy of the complaint
or a notification of receipt of a telephone, or other oral, complaint
will be forwarded to the executing service provider and the preferred service
provider as a request for a change in the subscriber’s
customer’s service to the subscriber’s
customer’s preferred service provider, unless the service has
already been changed to the preferred service provider.
6.8(2) The complaint or notification of receipt of
a telephone, or other oral, complaint will also be forwarded to the alleged
unauthorized service provider. That entity shall file a response to the
complaint within ten days of the date the complaint or notification of
receipt of a telephone, or other oral, complaint was forwarded. The
response must include proof of verification of the
subscriber’s customer’s authorization for a
change in service or a statement that the unauthorized service provider does not
have such proof of verification.
6.8(3) If the alleged unauthorized service provider
includes with its response alleged proof of verification of the
subscriber’s customer’s authorization for a
change in service, then the response will be forwarded to the customer. The
customer will have ten days to challenge the verification or otherwise reply to
the service provider’s response.
ITEM 2. Amend rule 199—22.23(476)
as follows:
Amend subrules 22.23(1) and 22.23(2) as follows:
22.23(1) Definitions. As used in this rule, unless
the context otherwise requires:
“Change in service” means the designation of a new
provider of a telecommunications service to a consumer
customer, including the initial selection of a service provider, and
includes the addition or deletion of a telecommunications service for which a
separate charge is made to a consumer customer
account.
“Consumer” means a person other than a service
provider who uses a telecommunications service.
“Cramming” means the addition or deletion of a
product or service for which a separate charge is made to a
telecommunications consumer telecommunication
customer’s account without the verified consent of the affected
consumer customer. Cramming does not include the
addition of extended area service to a customer account pursuant to board rules,
even if an additional charge is made. Cramming does not include
telecommunications services that are initiated or requested by the customer,
including dial–around services such as
“10–10–XXX,” directory assistance,
operator–assisted calls, acceptance of collect calls, and other casual
calling by the customer.
“Customer” means the person other than a
service provider whose name appears on the account and others authorized by that
named person to make changes to the account.
“Executing service provider” means, with respect
to any change in telecommunications service, a service provider who executes an
order for a change in service received from another service provider or from its
own customer.
“Jamming” means the addition of a preferred
carrier freeze to a consumer’s customer’s
account without the verified consent of the consumer
customer.
“Letter of agency” means a written document
complying with the requirements of 47 CFR § 64.1160(1999).
199 IAC 22.23(2)“b.”
“Preferred carrier freeze” means the limitation of
a consumer’s account customer’s preferred
carrier choices so as to prevent any change in preferred service provider
for one or more services unless the consumer customer
gives the service provider from which the freeze was requested the
consumer’s customer’s express
consent.
“Service provider” means a person providing a
telecommunications service, not including commercial mobile radio
service.
“Slamming” means the designation of a new provider
of a telecommunications service to a consumer customer,
including the initial selection of a service provider, without the verified
consent of the consumer customer.
“Soft slam” means an unauthorized change in
service by a service provider that uses the carrier identification code (CIC) of
another service provider, typically through the purchase of wholesale services
for resale.
“Submitting service provider” means a service
provider who requests another service provider to execute a change in
service.
“Telecommunications service” means a local
exchange or long distance telephone service other than commercial mobile radio
service.
“Verified consent” means verification of a
consumer’s customer’s authorization for a
change in service.
22.23(2) Prohibition of unauthorized changes in
telecommunications service.
a. Verification required. No telecommunications
carrier service provider shall submit a preferred carrier change
order or other change in service order to another service provider unless and
until the change has first been confirmed in accordance with the
procedures set forth in 47 CFR § 64.1150 (1999). No
telecommunications carrier shall execute a change in service on one of its own
customer accounts unless and until the change has first been confirmed in
accordance with one of the following procedures:
set forth in 47 CFR § 64.1150 (1999)
(1) The service provider has obtained the customer’s
written authorization in a form that meets the requirements of 199 IAC
22.23(2)“b”; or
(2) The service provider has obtained the customer’s
electronic authorization to submit the preferred carrier change order. Such
authorization must be placed from the telephone number(s) on which the preferred
carrier is to be changed and must confirm the information required in
subparagraph (1) above. Service providers electing to confirm sales
electronically shall establish one or more toll–free telephone numbers
exclusively for that purpose. Calls to the number(s) will connect a customer to
a voice response unit, or similar mechanism that records the required
information regarding the preferred carrier change, including automatically
recording the originating automatic numbering identification; or
(3) An appropriately qualified independent third party has
obtained the customer’s oral authorization to submit the preferred carrier
change order that confirms and includes appropriate verification data (e.g., the
customer’s date of birth or social security number). The independent
third party must not be owned, managed, controlled, or directed by the service
provider or the service provider’s marketing agent; must not have any
financial incentive to confirm preferred carrier change orders for the service
provider or the service provider’s marketing agent; and must operate in a
location physically separate from the service provider or the service
provider’s marketing agent. The content of the verification must include
clear and conspicuous confirmation that the customer has authorized a preferred
carrier change; or
(4) The local service provider may change the preferred
service provider, for customer–originated changes to existing accounts
only, through maintenance of sufficient internalrecords to establish a valid
customer request for the change in service. At a minimum, any such internal
records must include the date and time of the customer’s request and
adequate verification of the identification of the person requesting the change
in service. The burden will be on the telecommunications carrier to show that
its internal records are adequate to verify the customer’s request for the
change in service.
All verifications shall be maintained for at least two years
from the date the change in service is implemented. Verification of service
freezes shall be maintained for as long as the preferred carrier freeze is in
effect.
b. Letter of agency form and content. A letter of
agency must conform to the requirements of 47 CFR § 64.1160
(1999).
(1) A service provider may use a letter of agency to obtain
written authorization or verification of a customer’s request to change
the customer’s preferred service provider selection. A letter of agency
that does not conform with this subrule is invalid for purposes of this
rule.
(2) The letter of agency shall be a separate document (or
an easily separable document) containing only the authorizing language described
in subparagraph (5) below having the sole purpose of authorizing a service
provider to initiate a preferred service provider change. The letter of agency
must be signed and dated by the customer to the telephone line(s) requesting the
preferred service provider change.
(3) The letter of agency shall not be combined on the same
document with inducements of any kind.
(4) Notwithstanding subparagraphs (2) and (3) above, the
letter of agency may be combined with checks that contain only the required
letter of agency language as prescribed in subparagraph (5) below and the
necessary information to make the check a negotiable instrument. The letter of
agency check shall not contain any promotional language or material. The letter
of agency check shall contain, in easily readable, boldface type on the front of
the check, a notice that the customer is authorizing a preferred service
provider change by signing the check. The letter of agency language shall be
placed near the signature line on the back of the check.
(5) At a minimum, the letter of agency must be printed with
a type of sufficient size and readable type to be clearly legible and must
contain clear and unambiguous language that confirms:
1. The customer’s billing name and address and each
telephone number to be covered by the preferred service provider change
order;
2. The decision to change the preferred service provider
from the current service provider to the soliciting service
provider;
3. That the customer designates [insert the name of the
submitting service provider] to act as the customer’s agent for the
preferred service provider change;
4. That the customer understands that only one service
provider may be designated as the customer’s interstate orinterLATA
preferred interexchange service provider for any one telephone number. To the
extent that a jurisdiction allows the selection of additional preferred service
providers (e.g., local exchange, intraLATA/intrastate toll, interLATA/interstate
toll, or international interexchange), the letter of agency must contain
separate statements regarding those choices, although a separate letter of
agency for each choice is not necessary; and
5. That the customer understands that any preferred service
provider selection the customer chooses may involve a charge to the customer for
changing the customer’s preferred service provider.
(6) Any service provider designated in a letter of agency
as a preferred service provider must be the service provider directly setting
the rates for the customer.
(7) Letters of agency shall not suggest or require that a
customer take some action in order to retain the customer’s current
service provider.
(8) If any portion of a letter of agency is translated into
another language, then all portions of the letter of agency must be translated
into that language. Every letter of agency must be translated into the same
language as any promotional materials, oral descriptions or instructions
provided with the letter of agency.
c. Customer notification. Every change in service shall be
followed by a written notification to the affected customer to inform the
customer of the change. Such notice shall be provided within 30 days of the
effective date of the change. Such notice may include, but is not limited to, a
conspicuous written statement on the customer’s bill, a separate mailing
to the customer’s billing address, or a separate written statement
included with the customer’s bill. Each such statement shall clearly and
conspicuously identify the change in service, any associated charges or fees,
the name of the service provider associated with the change, and a
toll–free number by which the customer may inquire about or dispute any
provision in the statement.
d. Preferred carrier freezes. Preferred carrier
freezes must comply with the requirements of 47 CFR § 64.1190
(1999).
(1) A preferred service provider freeze (or freeze)
prevents a change in a customer’s preferred service provider selection
unless the customer gives the service provider from whom the freeze was
requested express consent. All local exchange service providers who offer
preferred service provider freezes must comply with the provisions of this
subrule.
(2) All local exchange service providers who offer
preferred service provider freezes shall offer freezes on a nondiscriminatory
basis to all customers, regardless of the customer’s service provider
selections.
(3) Preferred service provider freeze procedures, including
any solicitation, must clearly distinguish among telecommunications services
(e.g., local exchange, intraLATA/intrastate toll, interLATA/interstate toll, and
international toll) subject to a preferred service provider freeze. The service
provider offering the freeze must obtain separate authorization for each service
for which a preferred service provider freeze is requested.
(4) Solicitation and imposition of preferred service
provider freezes.
1. All solicitation and other materials provided by a
service provider regarding preferred service provider freezes must
include:
• An explanation,
in clear and neutral language, of what a preferred service provider freeze is
and what services may be subject to a freeze;
• A description of
the specific procedures necessary to lift a preferred service provider freeze;
an explanation that these steps are in addition to the verification requirements
in 22.23(2)“a” and 22.23(2)“b” for changing a
customer’s preferred service provider selections; and an explanation that
the customer will be unable to make a change in service provider selection
unless the freeze is lifted; and
• An explanation
of any charges associated with the preferred carrier freeze.
2. No local exchange carrier shall implement a preferred
service provider freeze unless the customer’s request to impose a freeze
has first been confirmed in accordance with one of the following
procedures:
• The local
exchange carrier has obtained the customer’s written and signed
authorization in a form that meets the requirements of
22.23(2)“d”(4)“3”; or
• The local
exchange carrier has obtained the customer’s electronic authorization,
placed from the telephone number(s) on which the preferred service provider
freeze is to be imposed, to impose a preferred service provider freeze. The
electronic authorization shall confirm appropriate verification data (e.g., the
customer’s date of birth or social security number) and the information
required in 22.23(2)“d” (4)“3.” Service providers
electing to confirm preferred service provider freeze orders electronically
shall establish one or more toll–free telephone numbers exclusively for
that purpose. Calls to the number(s) will connect a customer to a voice
response unit, or similar mechanism that records the required information
regarding the preferred service provider freeze request, including automatically
recording the originating automatic numbering identification; or
• An appropriately
qualified independent third party has obtained the customer’s oral
authorization to submit the preferred service provider freeze and confirmed the
appropriate verification data (e.g., the customer’s date of birth or
social security number) and the information required in
22.23(2)“d”(4)“3.” The independent third party must not
be owned, managed, or directly controlled by the service provider or the service
provider’s marketing agent; must not have any financial incentive to
confirm preferred service provider freeze requests for the service provider or
the service provider’s marketing agent; and must operate in a location
physically separate from the service provider or the service provider’s
marketing agent. The content of the verification must include clear and
conspicuous confirmation that the customer has authorized a preferred service
provider freeze.
3. A local exchange service provider may accept a written
and signed authorization to impose a freeze on the customer’s preferred
service provider selection. Written authorization that does not conform with
this subrule is invalid and may not be used to impose a preferred service
provider freeze.
• The written
authorization shall comply with 22.23(2)“b”(5)“2” and
“3” and 22.23(2)“b”(8) concerning the form and content
for letters of agency.
• At a minimum,
the written authorization must be printed with a readable type of sufficient
size to be clearly legible and must contain clear and unambiguous language that
confirms: (1) the customer’s billing name and address and the telephone
number(s) to be covered by the preferred service provider freeze; (2) the
decision to place a preferred service provider freeze on the telephone number(s)
and particular service(s). To the extent that a jurisdiction allows the
imposition of preferred service provider freezes on additional preferred service
provider selections (e.g., for local exchange, intraLATA/intrastate toll,
interLATA/interstate toll service, and international toll), the authorization
must contain separate statements regarding the particular selections to be
frozen; (3) that the customer understands that the customer will be unable to
make a change in service provider selection unless the preferred service
provider freeze is lifted; and (4) that the customer understands that any
preferred carrier freeze may involve a charge to the customer.
(5) All local exchange service providers who offer
preferred service provider freezes must, at a minimum, offer customers the
following procedures for lifting a preferred service provider
freeze:
1. A local exchange service provider administering a
preferred service provider freeze must accept a customer’s written and
signed authorization stating the intention to lift a preferred service provider
freeze; and
2. A local exchange service provider administering a
preferred service provider freeze must accept a customer’s oral
authorization stating the intention to lift a preferred carrier freeze and must
offer a mechanism that allows a submitting service provider to conduct a
three–way conference call with the service provider administering the
freeze and the customer in order to lift a freeze. When engaged in oral
authorization to lift a preferred service provider freeze, the service provider
administering the freeze shall confirm appropriate verification data (e.g., the
customer’s date of birth or social security number) and the
customer’s intent to lift the particular freeze.
Adopt new subrules 22.23(3), 22.23(5) and
22.23(6) as follows:
22.23(3) Carrier registration.
a. Registration required. Each carrier that provides or bills
for telecommunications services to customers located in Iowa shall register with
the board and shall provide, at a minimum, the information specified in the form
that appears in this subrule.
DEPARTMENT OF COMMERCE
UTILITIES BOARD
TELECOMMUNICATIONS SERVICE PROVIDER
REGISTRATION
1. FULL NAME OF CARRIER PROVIDING SERVICE IN
IOWA:
2. CARRIER MAILING ADDRESS (including
9–digit ZIP code):
3. NAME, TITLE, TELEPHONE NUMBER, E–MAIL
ADDRESS, AND FAX NUMBER OF CONTACT PERSON:
4. ALL TRADE NAMES OR D/B/A’S USED BY
CARRIER IN IOWA OR IN ADVERTISING OR BILLING THAT MAY REACH IOWA
CUSTOMERS:
5. NAME, MAILING ADDRESS, AND TELEPHONE NUMBER OF
AGENT IN IOWA AUTHORIZED TO ACCEPT SERVICE OF PROC–ESS ON BEHALF OF
CARRIER:
6. TYPES OF TELECOMMUNICATIONS SERVICE PROVIDED
(CHECK ALL THAT APPLY):
____ LOCAL EXCHANGE SERVICE
____ INTEREXCHANGE SERVICE
____ DATA TRANSMISSION
____ ALTERNATIVE OPERATOR SERVICES
ONLY
____ OTHER—PLEASE
SPECIFY:________________
7. ATTESTATION. I, ___________________, certify
that I am the company officer responsible for this registration, that I have
examined the foregoing registration, and that to the best of my knowledge,
information, and belief the information is accurate and will be updated as
required.
Dated ____/____/____
SIGNATURE_________________________________
b. Failure to register. Failure to file and reasonably update
a registration, or provision of false, misleading, or incomplete information,
may result in civil penalties under 22.23(5) and may be considered as evidence
of a pattern or practice of violation of these rules.
22.23(5) Civil penalties and assessment of
damages.
a. Civil penalties. In addition to any applicable civil
penalty set out in Iowa Code section 476.51, a service provider who violates a
provision of the anti–slamming statute,a rule adopted pursuant to the
anti–slamming statute or anorder lawfully issued by the board pursuant to
the anti–slamming statute is subject to a civil penalty, which, after
notice and opportunity for hearing, may be levied by the board, of not more than
$10,000 per violation. Each violation is a separate offense.
b. Amount. A civil penalty may be compromised by the board.
In determining the amount of the penalty, or the amount agreed upon in a
compromise, the board may consider the size of the service provider, the gravity
of the violation, any history of prior violations by the service provider,
remedial actions taken by the service provider, the nature of the conduct of the
service provider, and any other relevant factors.
c. Collection. A civil penalty collected pursuant to this
subrule shall be forwarded by the executive secretary of the board to the
treasurer of state to be credited to the general fund of the state and to be
used only for consumer education programs administered by the board.
d. Exclusion from regulated rates. A penalty paid by a
rate–of–return regulated utility pursuant to this subrule shall be
excluded from the utility’s costs when determining the utility’s
revenue requirement and shall not be included either directly or indirectly in
the utility’s rates or charges to its customers.
e. Civil actions. The board shall not commence an
administrative proceeding to impose a civil penalty under this rule for acts
subject to a civil enforcement action pending in court under Iowa Code section
714D.7.
f. Assessment of damages among interested persons. As a part
of formal complaint proceedings, the board may determine the potential
liability, including assessment of damages, for unauthorized changes in service
among the customer, the previous service provider, the executing service
provider, the submitting service provider, and any other interested persons. In
the event of a soft slam, the board mayimpose joint and several liability on the
reseller and thefacilities–based service provider. For purposes of this
rule and in the absence of unusual circumstances, the term “damages”
means charges directly relating to the telecommunications services provided to
the customer that have appeared or may appear on the customer’s bill. The
term “damages” does not include incidental, consequential, or
punitive damages.
22.23(6) Penalties for patterns of violations. If the
board determines, after notice and opportunity for hearing, that a service
provider has shown a pattern of violations of these rules, the board may by
order do any of the following:
a. Prohibit any other service provider from billing charges to
residents of Iowa on behalf of the service provider determined to have engaged
in such a pattern of violations.
b. Prohibit certificated local exchange service providers from
providing exchange access services to the service provider.
c. Limit the billing or access services prohibition under
paragraph “a” or “b” above to a period of time. Such
prohibition may be withdrawn upon a showing of good cause.
d. Revoke the certificate of public convenience and necessity
of a local exchange service provider.
[Filed 4/28/00, effective 6/21/00]
[Published 5/17/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 5/17/00.
ARC 9816A
WORKFORCE DEVELOPMENT BOARD/SERVICES
DIVISION[877]
Adopted and Filed
Pursuant to the authority of Iowa Code sections 84A.1B(9) and
96.11, the Department of Workforce Development adopts amendments to Chapter 1,
“Workforce Development Board,” Iowa Administrative Code.
Notice of Intended Action was published in the Iowa
Administrative Bulletin as ARC 9687A on February 9, 2000. The Department
of Corrections (DOC) requested that a statement be added to subrules 1.5(6) and
1.6(7) to provide for consultation between the Director and the Department of
Corrections prior to the Workforce Development Board’s adopting a final
recommendation on the resolution of an inquiry. The state Workforce Development
Board requested that regional advisory boards also be consulted prior to
adoption of a final recommendation. DOC also requested that the term
“prisoner” be changed to “offender” in rules 1.5(84A)
and 1.6(84A). These changes have been incorporated.
The Workforce Development Board adopted the amendments on
April 19, 2000.
The amendments will become effective on June 21,
2000.
These amendments are intended to implement Iowa Code sections
84A.1 to 84A.1B and Iowa Code chapter 96.
The following amendments are adopted.
ITEM 1. Amend subrule 1.1(2) as
follows:
1.1(2) Nonvoting members. The board consists of
seven eight ex officio, nonvoting members. Of the
seven eight members, four members shall be members of
the general assembly; one member shall be a president or president’s
designee of one of the three state universities, designated by the board of
regents on a rotating basis; one member shall represent the largest statewide
public employees’ organization representing state employees;
and one member shall be a superintendent or
superintendent’s designee of a community college, appointed by the Iowa
association of community college presidents; and one member shall represent
the independent colleges and universities in Iowa.
ITEM 2. Amend rule 877—1.4(84A) as
follows:
877—1.4(84A) Records. Agendas, minutes, and
materials presented to the board are available from the Policy Office,
Department of Workforce Development, 150 Des Moines Street, Des Moines, Iowa
50309 Division of Policy and Information, Iowa Workforce
Development, 1000 East Grand Avenue, Des Moines, Iowa 50319, except those
records concerning closed sessions which are exempt from disclosure under Iowa
Code subsection 21.5(4) or which are otherwise confidential by law. Board
records contain information about persons who participate in meetings. This
information is collected pursuant to Iowa Code section 21.3 and subsection
96.11(5). These records are not stored in an automated data processing system
and may not be retrieved by a personal identifier. Rule–making records
may contain information about persons making written or oral comments on
proposed rules. This information is collected pursuant to Iowa Code section
17A.4. These records are not stored in an automated data processing system and
may not be retrieved by a personal identifier.
ITEM 3. Amend 877—Chapter 1 by
adopting the following new rules:
877—1.5(84A) Coordination with the department of
corrections on private sector employment projects. To assist the department
of corrections with programs that employ offenders in the private sector, the
department of workforce development shall be responsible for coordinating the
following process:
1.5(1) Prior to an employer’s submitting an
application to the department of corrections for a private sector employment
project, the employer shall place with the nearest workforce development center
a job order with a duration of at least 30 days. The job order shall be listed
statewide in all centers and on the department of workforce development’s
jobs Internet site.
1.5(2) The department of corrections shall send a
letter 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. The letter
should be sent to Division Administrator, Division of Policy and Information,
Iowa Workforce Development, 1000 East Grand Avenue, Des Moines, Iowa
50319.
1.5(3) The department of workforce development shall
verify in writing the job listing, including the number of qualified applicant
referrals and hires made as a result of the job order, the average
entry–level wage rate for the proposed job(s), the entry–level wage
range, the current unemployment rate for the county where the employer is
located, and the current employment levels of the company that will employ the
offenders based upon the most recent quarter for which data is available. The
average wage rate and wage range will be based on the appropriate geographic
area for which occupational wage information is available. The appropriate
geographic area may be statewide.
1.5(4) Average entry–level wage rates and
entry–level wage ranges for jobs currently held by offenders and
employment levels of companies employing offenders shall be updated by the
department of workforce development every six months upon the department of
corrections’ sending a letter listing all current companies employing
offenders and the offenders’ job classifications to Division
Administrator, Division of Policy and Information, Iowa Workforce Development,
1000 East Grand Avenue, Des Moines, Iowa 50319.
1.5(5) The department of workforce development shall
provide a periodic report to the state workforce development board regarding
information supplied to the department of corrections for private sector
employment projects. Frequency of the report will depend upon the level of
activity.
1.5(6) Inquiries concerning private sector employment
projects shall be in writing and address the following questions:
a. Whether and how the project is believed to violate the
intent of Iowa Code section 904.809;
b. Evidence of a local surplus of labor in the job
classifications of the type in which offenders are employed; and
c. Whether private sector employees or employees involved in a
labor dispute have been displaced as a result of the project.
Inquiries shall be sent to Division Administrator, Division of
Policy and Information, Iowa Workforce Development, 1000 East Grand Avenue, Des
Moines, Iowa 50319. A copy of the inquiry shall be sent to the department of
corrections. The director of the department shall consult with the director of
prison industries and the affected regional advisory board concerning the
inquiry prior to the workforce development board’s making a final
recommendation regarding possible corrective action.
The administrative rules committee of the state workforce
development board shall review the inquiry and any additional responses or oral
testimony requested by the committee and make a recommendation to the full board
as to whether the intent of Iowa Code section 904.809 has or has not been met
and whether corrective action, if any, needs to be taken by the department of
corrections to meet the intent. At the discretion of the administrative rules
committee, oral presentations may be requested from the party(ies) to the
inquiry. The full board shall make a final recommendation within 60 days of
receipt of the inquiry. The board’s final recommendation shall be mailed
to both the department of corrections and the party(ies) making the
inquiry.
877—1.6(84A) Coordination with the department of
corrections on construction and maintenance projects. To assist the
department of corrections with the employment of offenders on construction and
maintenance projects, the department of workforce development shall be
responsible for coordinating the following process:
1.6(1) Prior to an employer’s submitting an
application to the department of corrections for employing offenders on a
construction or maintenance project, the employer shall place with the nearest
workforce development center a job order with a duration of at least 30 days.
The job order shall be listed statewide in all centers and on the department of
workforce development’s jobs Internet site.
1.6(2) The department of corrections shall send a
letter 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. The letter
should be sent to Division Administrator, Division of Policy and Information,
Iowa Workforce Development, 1000 East Grand Avenue, Des Moines, Iowa
50319.
1.6(3) The department of workforce development shall
verify in writing the job listing, including the number of qualified applicant
referrals and hires made as a result of the job order, the average
entry–level wage rate for the proposed job(s), the entry–level wage
range, the prevailing wage as determined by the U.S. Department of Labor, the
current unemployment rate for the county where the employer is located, and the
current employment levels of the company that will employ the offenders based
upon the most recent quarter for which data is available. The average
entry–level wage rate and entry–level wage range will be based on
the appropriate geographic area for which occupational wage information is
available. The appropriate geographic area may be statewide.
1.6(4) It is recommended that all offenders employed
in construction and maintenance projects receive a ten–hour OSHA safety
course provided free of charge by the department of workforce development. The
department of workforce development will make every effort to conduct the
training within a reasonable time period after receipt of a request for
training.
1.6(5) If the contract to employ offender labor
exceeds six months, the department of corrections shall request and receive from
the department of workforce development the average wage rates and wage ranges
for jobs currently held by offenders and current employment levels of companies
employing offenders. The letter should be addressed to Division Administrator,
Division of Policy and Information, Iowa Workforce Development, 1000 East Grand
Avenue, Des Moines, Iowa 50319.
1.6(6) The department of workforce development shall
provide a periodic report to the state workforce development board regarding
information supplied to the department of corrections for construction and
maintenance projects. Frequency of the report will depend upon the level of
activity.
1.6(7) Inquiries concerning construction and
maintenance projects performed by offenders may be made by area workers, or
their representatives, that are affected by a project. Inquiries shall be in
writing and address the following questions:
a. Whether and how the project is believed to violate the
intent of Iowa Code sections 904.701 and 904.703;
b. Evidence of a local surplus of labor in the job
classifications of the type in which offenders are employed;
c. Whether private sector employees or state, county or local
government employees or employees involved in a labor dispute have been
displaced as a result of the project; and
d. Whether existing contracts for employment or services have
been impaired.
Inquiries shall be sent to Division Administrator, Division of
Policy and Information, Iowa Workforce Development, 1000 East Grand Avenue, Des
Moines, Iowa 50319. A copy of the inquiry shall be sent to the department of
corrections. The director of the department shall consult with the director of
the department of corrections and the affected regional advisory board
concerning the inquiry prior to the workforce development board’s making a
final recommendation regarding possible corrective action.
The administrative rules committee of the state workforce
development board shall review the inquiry and any additional responses or oral
testimony requested by the committee and make a recommendation to the full board
as to whether the intent of Iowa Code sections 904.701 and 904.703 has or has
not been met and whether corrective action, if any, needs to be taken by the
department of corrections to meet the intent. At the discretion of the
administrative rules committee, oral presentations may be requested from the
party(ies) to the inquiry. The full board shall make a final recommendation
within 60 days of receipt of the inquiry. The board’s final
recommendation shall be mailed to both the department of corrections and the
party(ies) making the inquiry.
[Filed 4/21/00, effective 6/21/00]
[Published 5/17/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 5/17/00.
ARC 9815A
WORKFORCE DEVELOPMENT BOARD/SERVICES
DIVISION[877]
Adopted and Filed
Pursuant to the authority of Iowa Code sections 84A.1B(9) and
96.11, the Department of Workforce Development adopts Chapter 7, “Iowa
Workforce Investment Act Program,” Iowa Administrative Code.
Notice of Intended Action was published in the Iowa
Administrative Bulletin as ARC 9688A on February 9, 2000. No comments
concerning the new chapter were received from the public. Since the Notice of
Intended Action was submitted, additional directives were received from the U.S.
Department of Labor and technical changes were requested by department staff.
The following changes were made to incorporate the requirements of the
directives and requested technical changes:
1. A provision was added to subrule 7.5(1) to allow counties
and cities the option of not participating in the Chief Elected Official
Board.
2. Paragraphs “d” to “i” of subrule
7.5(5) were moved to subrule 7.5(6) as paragraphs “f” to
“k” because these are duties jointly performed by the Chief Elected
Official Board and Regional Workforce Investment Board.
3. In rule 877—7.9(84A,PL105–220), introductory
paragraph, the last sentence was deleted as it is repetitive of rule
877—7.10(84A,PL105–220).
4. The phrase “labor organization” was added to
the parenthetical phrase in 7.9(4)“f.”
5. In the first sentence of 7.9(5)“c,” the phrase
“required partners” was changed to “mandatory
partners.”
6. In 7.10(1)“c”(1), “previous partnerships
negotiated for services for customers” was added to the criteria, and in
7.10(1)“c”(2), “effective use of previous grant funds”
was added to the criteria.
7. At the end of 7.12(4), the phrase “with the
assistance of the department” was added.
8. Minor changes in wording were made to
7.13(1)“f” and “g,” and paragraph “p” was
added to include a description of individual training accounts in the regional
plan.
9. New rules 877—7.14(84A,PL105–220) and
7.15(84A,PL105–220) were added to outline allowable activities and
services and the requirements for individual training accounts.
10. Rules 877—7.14(84A,PL105–220) to 877—
7.22(84A,PL105–220) were renumbered as 877—7.16
(84A,PL105–220) to 877—7.24(84A,PL105–220) because of the
addition of rules 877—7.14(84A,PL105–220) and
877—7.15(84A,PL105–220).
11. In 7.17(8)“a,” the prior approval to purchase
personal computers was deleted.
12. In 7.17(8)“d,” the circumstance requiring
unnumbered property tags was changed to any property with an aggregate value of
$2,000 or more at the time of purchase.
13. In 7.17(8)“e”(1)“1,” the phrase
“if applicable” was added at the end of the item.
14. In 7.17(10), paragraphs “g” to “m”
were added to define certain costs that are not allowable under WIA.
15. In rule 877—7.17(84A,PL105–220), subrules
7.17(11) to 7.17(14) were added to clarify record retention, access, recovery
and substitution requirements.
16. In subrule 7.18(1), the single audit was further defined
by adding the phrase “in compliance with OMB circular A–133
(A–133).”
17. The phrase “fund source pages” was deleted
from subrule 7.20(1).
The chapter provides local elected officials, regional
workforce investment board members and local workforce development partners with
the necessary policies and procedures to administer the Workforce Investment Act
of 1998 beginning July 1, 2000.
The Workforce Development Board adopted the new chapter on
April 19, 2000.
These rules are intended to implement Iowa Code sections 84A.1
to 84A.1B, Iowa Code chapter 96, and the Workforce Investment Act of
1998.
This new chapter will become effective on June 21,
2000.
The following new chapter is adopted.
CHAPTER 7
IOWA WORKFORCE INVESTMENT ACT PROGRAM
877—7.1(84A,PL105–220) Designation of
responsibility. Through Executive Order Number One and Executive Order
Number Five, the department of workforce development was designated by the
governor as the department responsible for activities and services under the
Workforce Investment Act (WIA) of 1998 (P. L. 105–220).
877—7.2(84A,PL105–220) Purpose. The
purpose of the Iowa workforce investment Act program is to meet the needs of
businesses for skilled workers and the training, education and employment needs
of individuals through a statewide, one–stop workforce development center
system.
877—7.3(84A,PL105–220)
Definitions.
“Chief elected official board” means the units of
local government joined through an agreement for the purpose of sharing
liability and responsibility for programs funded by the Workforce Investment Act
of 1998.
“Contractor” means grantees, subrecipients,
coordinating service providers, and service providers.
“Coordinating service provider” means the entity
or consortium of entities selected by the regional workforce investment board
and the chief elected official board to coordinate partners within the workforce
development center system. The coordinating service provider is one of the
workforce development center system partners.
“Department” means the department of workforce
development.
“Director” means the director of the department of
workforce development.
“Local elected official” means the county
supervisors and mayors of a region’s cities with a population of more than
50,000.
“Local grant recipient” means the chief elected
official board.
“Mandatory partners” means the service providers
that make their services available through the workforce development center
system and use a portion of their resources to support the operation of the
regional workforce development center system and the delivery of core services
to their customers. Entities that carry out the following federal programs are
required to make their services available through the workforce development
center system: Wagner–Peyser Act; Unemployment Insurance; Senior
Community Service Employment Activities – Title V Older Americans Act;
Adult Education and Literacy Activities – Title II; Title I of the
Rehabilitation Act of 1973; Welfare to Work; Veterans Services under Chapter 41,
Title 38; Employment and Training Activities under Community Block Grants; HUD
Employment and Training Activities; and Post–Secondary Vocational
Education Activities under the Carl Perkins Act. In addition, those entities
selected to provide Workforce Investment Act funded services for adults,
dislocated workers and youth are mandatory partners, as are service providers
for Native American programs, migrant and farm worker programs, veterans
workforce programs, and Job Corps.
“Regional workforce investment board (RWIB)” means
a board established according to 877—Chapter 6, “Regional Advisory
Boards,” Iowa Administrative Code.
“Subrecipient” means an entity selected by the
chief elected official board to receive the Workforce Investment Act funds in a
region from the department and disburse those funds to the entity(ies)
designated by the regional workforce investment board.
“Workforce development center system” means the
regional network of workforce development centers and access points for
workforce development services supported by the chief elected official board,
regional workforce investment board, partners, service providers, and vendors.
The system is focused on meeting the needs and priorities of the customer
through an integrated service delivery system based on interagency partnerships
and the sharing of resources.
“Workforce Investment Act of 1998,”
“WIA” or “the Act” means Public Law
105–220.
877—7.4(84A,PL105–220) Service delivery region
designations. The governor is responsible for the designation of workforce
investment regions with the assistance of the state workforce development board,
after consultation with the chief elected officials and after consideration of
comments received through a public comment process.
7.4(1) In making the designation of regions, the
governor shall take into consideration the following:
a. Geographic areas served by local educational agencies and
intermediate educational agencies;
b. Geographic areas served by postsecondary educational
institutions and vocational education schools;
c. The extent to which the regions are consistent with labor
market areas;
d. The distance that individuals will need to travel to
receive services provided in the regions; and
e. The resources of the areas that are available to
effectively administer the activities carried out through the workforce
development centers.
7.4(2) In order to initiate the designation process,
the governor shall publicly announce the proposed region designations after
receiving a recommendation from the state workforce development board. This
will begin a public comment period of two weeks, during which local elected
officials and other interested parties may comment on the proposed designations.
Due to state legislative limitations, the maximum number of regions that may be
designated is 16.
7.4(3) Any request from any unit of local government
with a population of 500,000 or more shall be approved by the governor. In
addition, the governor shall approve any requests from any unit of general local
government, or consortium of contiguous units of general local government, that
was a service delivery area under the federal Job Training Partnership Act,
provided that it is determined that the area performed successfully in each of
the last two program years and has sustained the fiscal integrity of funds. For
the purposes of this subrule, “performed successfully” means that
the service delivery area met or exceeded the performance for the following
performance standards as appropriate:
a. Title IIA: adult follow–up employment rate; adult
welfare follow–up employment rate; adult follow–up weekly earnings;
and adult welfare follow–up weekly earnings.
b. Title III: entered employment rate; and average wage at
placement.
Also for the purposes of this subrule, “sustained fiscal
integrity” means that the Secretary of the Department of Labor has not
made a final determination during any of the last three years that either the
grant recipient or administrative entity misspent funds due to willful disregard
of the requirements of the Job Training Partnership Act, gross negligence, or
failure to observe accepted standards of administration.
7.4(4) The final designation of the regions shall be
made by the governor once all comments have been received and
reviewed.
7.4(5) Any unit of general local government, or
consortium of contiguous units of general government, that requests, but is not
designated, a region under 7.4(3) may submit an appeal in accordance with the
provisions of 7.24(12).
877—7.5(84A,PL105–220) Chief elected official
board. Each region is required to form a chief elected official board made
up of representatives of the elected officials of local governments within the
region.
7.5(1) The board shall consist of a representative of
each county within a region and a representative of each of the region’s
cities with a population of 50,000 or more. Although required to participate,
the supervisors or mayors may choose to “opt out” by resolution of
their full boards of supervisors or city councils. By exercising this option,
the county or city will no longer share in the liability for the WIA funds or
have a voice in the design and oversight of the system.
7.5(2) The board shall be formed through an agreement
that details how the responsibilities and liabilities related to WIA programs
will be shared by the local governments. At a minimum, the agreement must
contain the following items:
a. All elements of an agreement required by Iowa Code chapter
28E for joint exercise of governmental powers;
b. Process for selecting the chairperson;
c. Process for nominating and selecting appointments to the
regional workforce investment board;
d. Apportionment of responsibility and liability among
participating units of government, including losses, expenses and burdens that
may result from any misuse of WIA grant funds; and
e. Designation of an entity to serve as the local
subrecip–ient.
7.5(3) The fully executed agreement, or any amendments
to the agreement, must be filed with the secretary of state and the county
recorder of each county that is a party to the agreement. A copy of the
agreement and any amendments must also be sent to Division of Workforce
Development Center Administration, Department of Workforce Development, 150 Des
Moines Street, Des Moines, Iowa 50309.
7.5(4) The chief elected official board shall serve as
the local grant recipient and be liable for any misuse of WIA grant funds,
unless an agreement is reached with the department to act as the local grant
recipient and to bear such liability. The department shall serve as a
region’s local grant recipient only in rare or extreme
circumstances.
7.5(5) The chief elected official boards have the
following roles and responsibilities:
a. Providing input to the governor, through the department and
state workforce development board, on designation of workforce investment
regions;
b. Securing nominations for regional workforce investment
board vacancies in accordance with 877—Chapter 6, “Regional Advisory
Boards,” Iowa Administrative Code; and
c. Accepting liability for any misuse of WIA funds expended
under contract with the chief elected official board.
7.5(6) In partnership with the regional workforce
investment board, the chief elected official board is responsible for:
a. Negotiating and reaching agreement with the department on
regional performance standards;
b. Appointing a youth advisory council;
c. Determining the role of the coordinating service
provider;
d. Designating and certifying the
coordinating service provider;
e. Developing a chief elected
official/regional workforce investment board agreement to detail how the two
boards shall work together in establishing and overseeing the region’s
workforce development center system, as defined in
877—7.7(84A,PL105–220);
f. Developing and entering into a
memorandum of understanding with the region’s workforce development center
system’s partners;
g. Conducting oversight of the WIA
adult and dislocated worker services, youth programs, and the workforce
development center system;
h. Evaluating service delivery to
determine if regional needs and priorities are being met;
i. Determining whether regional
needs have changed and, if so, whether a plan modification is
necessary;
j. Ensuring quality improvement is
ongoing and performance standards are met; and
k. Developing and submitting the
regional workforce development customer service plan based on a regional needs
assessment and analysis.
877—7.6(84A,PL105–220) Regional workforce
investment board. Each region shall establish a regional workforce
investment board as defined in 877—Chapter 6, “Regional Advisory
Boards,” Iowa Administrative Code. The roles and responsibilities of the
regional workforce investment board include:
1. Selecting service providers for WIA adult and dislocated
worker intensive services and youth programs.
2. Establishing policy for the region’s workforce
development center system.
3. Developing a budget to carry out the duties of the board,
subject to the approval of the chief elected official board.
4. Coordinating WIA youth, adult and dislocated worker
employment and training activities with economic development strategies and
developing other employer linkages with these activities.
5. Promoting the participation of private sector employers in
the workforce development system and ensuring the availability of services to
assist such employers in meeting workforce development needs.
6. Certifying eligible training providers.
7. Determining the use of the strategic workforce development
fund, including the operation and funding of a summer or in–school youth
program(s), use of discretionary funds, and selection of service
providers.
8. Selecting the welfare–to–work service
provider.
9. Submitting an annual report to the state workforce
development board.
10. Establishing cooperative relationships with other boards
in the region.
11. Directing the activities of the youth advisory
council.
12. Sharing the duties with the chief elected official board
as outlined in subrule 7.5(6).
877—7.7(84A,PL105–220) Regional workforce
investment board/chief elected official board agreement. Each regional
workforce investment board and chief elected official board shall enter into an
agreement to define how they shall share certain responsibilities.
7.7(1) At a minimum, the agreement must include the
following elements:
a. How the coordinating service provider will be
selected;
b. How the boards will be involved in negotiations of
performance measures with the department;
c. How the boards will develop a memorandum of understanding
with the region’s workforce development center system’s
partners;
d. How the boards will develop and approve the regional
workforce development customer service plan;
e. How the boards will share the oversight of the workforce
development center system;
f. Process that will be used by the boards to appoint members
to the youth advisory council;
g. Process for modifying or amending the agreement;
h. Process to be used to develop an operating budget for the
regional workforce investment board and youth advisory council; and
i. Methods of communications between the two boards.
7.7(2) A fully executed copy, and any subsequent
modifications, of the agreement shall be submitted to Division of Workforce
Development Center Administration, Department of Workforce Development, 150 Des
Moines Street, Des Moines, Iowa 50309.
877—7.8(84A,PL105–220) Youth advisory
council. Each region must appoint a youth advisory council to provide
expertise and make recommendations regarding youth employment and training
policy.
7.8(1) The roles and responsibilities of the youth
advisory council, at the direction of the regional workforce investment board,
include the following:
a. Assist in the development of the regional customer service
plan relating to eligible youth;
b. Recommend and oversee youth service providers;
and
c. Coordinate youth activities funded under WIA.
7.8(2) Youth advisory council membership shall
include:
a. Members of the regional workforce investment board that
have a special interest or expertise in youth policy;
b. Individuals who represent youth service agencies, such as
juvenile justice and local law enforcement agencies;
c. Individuals who represent local public housing authorities,
if applicable;
d. Parents of youth eligible for WIA youth services or who
were served under a Job Training Partnership Act youth program;
e. Individuals with experience relating to youth
activities;
f. Former Job Training Partnership Act participants;
g. Representatives of the Job Corps, if Job Corps has an
office within the region; and
h. Any other individuals that the chairperson of the regional
workforce investment board, in cooperation with the chief elected official
board, determines to be appropriate.
7.8(3) The size of the youth council, the number of
representatives from each sector, term length, nomination process, and
county/city representation are decisions of the regional workforce investment
board and chief elected official board.
7.8(4) The regional workforce investment board shall
submit the name, mailing address, and sector affiliation of each youth advisory
council appointee to the department for mailing list purposes. The list, and
subsequent updates due to new appointments, shall be submitted to Division of
Workforce Development Center Administration, Department of Workforce
Development, 150 Des Moines Street, Des Moines, Iowa 50309.
877—7.9(84A,PL105–220) Selection of
coordinating service provider. To receive funds made available under Title
I of WIA, the regional workforce investment board, in agreement with the chief
elected official board, must designate an entity as the coordinating service
provider for the workforce investment region.
7.9(1) The regional workforce investment board and
chief elected official board must determine the role of the coordinating service
provider. At a minimum, the coordinating service provider’s roles and
responsibilities shall include the following:
a. Provide overall customer management and tracking, including
responsibility for results of enrollments.
b. Manage the workforce development center system in the
region, including workforce development center facilities, and ensure that
services are accessible and available in every county of the region.
c. Ensure workforce development center system partners’
compliance with the memorandum(s) of understanding.
d. Coordinate and negotiate the resource sharing
agreement.
e. Ensure that performance standards and customer satisfaction
goals for the region’s workforce development center system are
met.
f. Provide information and feedback to the regional workforce
investment board and chief elected official board concerning the delivery of the
services outlined in the customer service plan versus the needs and priorities
identified in the regional needs assessment and analysis.
g. Maintain, promote and market the regional workforce
development center system.
h. Develop and submit an annual progress report toward meeting
the needs and priorities identified in the regional needs assessment and
analysis to the regional workforce investment board.
i. May, as described in the memorandum(s) of understanding,
determine eligibility for training services.
7.9(2) The regional workforce investment board and
chief elected official board need to determine if they want to grandfather the
current coordinating service provider, based on the role that has been
determined. The boards also need to determine if the current coordinating
service provider desires to be grandfathered.
7.9(3) If the regional workforce investment board or
chief elected official board does not desire to grandfather the existing
coordinating service provider, or if the coordinating service provider members
do not desire to be grandfathered, then the service provider(s) needs to be
selected prior to the designation of the coordinating service
provider.
7.9(4) The coordinating service provider may be a
public or private entity, or a consortium of entities, of demonstrated
effectiveness located in the region. Eligible entities may include, but are not
limited to, the following:
a. A postsecondary educational institution;
b. An employment service agency established under the
Wagner–Peyser Act;
c. A private nonprofit organization (including
acommunity–based organization);
d. A private, for–profit entity;
e. A government agency; or
f. Another interested organization (includes a local chamber
of commerce, labor organization or other business organization).
Elementary schools and secondary schools are the only entities
not eligible for designation or certification as a coordinating service
provider. However, nontraditional public secondary schools and area vocational
schools are eligible for designation.
7.9(5) To designate a coordinating service provider,
the regional workforce investment board must utilize one of the three processes
listed below. More than one option may be pursued concurrently.
a. An agreement with the governor to designate the
coordinating service provider that was in place on August 7, 1998. In order to
utilize this option, the chairpersons of the regional workforce investment board
and chief elected official board must provide a written notice to the department
indicating that both boards have taken appropriate action and desire to pursue
this option.
b. A competitive process. At a minimum, the competitive
process to designate the coordinating service provider shall include the
following:
(1) Public notice. A public notice shall be published in one
of the official county newspapers, as designated by the county board of
supervisors. The public notice must indicate that both boards shall hold a
joint meeting to select the coordinating service provider(s) for the region.
The notice must list the criteria that will be used in the selection of the
coordinating service provider(s). The notice must also require that written
proposals be submitted by a specific date and invite interested entities to give
presentations and answer questions relating to the selection criteria in 7.9(6)
at the joint public meeting. Notices must also be mailed to potentially
interested entities within the region.
(2) Public meeting. Since both boards must agree on the
designation of the coordinating service provider, at a minimum, the boards shall
jointly conduct a public meeting to review the written proposals received,
obtain any additional information from entities submitting written proposals,
and reach an agreement as to the selection(s).
c. An agreement between the regional workforce investment
board and a consortium of entities that, at a minimum, includes three or more of
the mandatory partners. In order to utilize this option, at a minimum, the
regional workforce investment board and chief elected official board shall
notify all partners that they are willing to consider proposals from mandatory
partners and hold an open meeting to obtain input and finalize the
action.
7.9(6) The following criteria are suggested for use in
the selection of a coordinating service provider:
a. The effectiveness of the agency or organization in
delivering comparable or related services based on documentation of achievement
of performance and service level requirements, previous audit and monitoring
reports, and capability of the agency’s fiscal unit to manage a similar
type of program or project;
b. The likelihood of meeting program goals based upon factors
such as past performance, staff commitment, and availability and location of
staff;
c. The effectiveness of the agency or organization in
minimizing the duplication of services, while at the same time maximizing the
coordination with other agencies and organizations to provide the highest
quality activities and services to the participants in the programs;
and
d. Other criteria as determined by both boards.
877—7.10(84A,PL105–220) Selection of service
providers. Core and intensive services for the adult program and the
dislocated worker program shall be provided through the workforce development
center. These services may be provided by one entity or a number of different
entities. If the role of the coordinating service provider includes the
provision of core and intensive services for adults and dislocated workers, then
the selection of adult and youth service providers may be combined with the
selection of the coordinating service provider. The regional workforce
investment board and chief elected official board must determine the most
effective and efficient manner to provide these services in the region. The
regional workforce investment board and chief elected official board must also
determine which service providers will be responsible for ensuring that
performance standards are met and that the service provider(s) responsible for
performance have the authority to make enrollment decisions for their
participants.
7.10(1) In selecting service providers, the regional
workforce investment board may use the following procedure or may develop a more
formal procurement procedure. At a minimum, the procedure to designate service
providers must include the following:
a. Public notice. A public notice shall be published in the
official county newspaper, as designated by the county board of supervisors.
The public notice must indicate that the regional workforce investment board
shall hold a meeting to select the service provider(s) to provide core and
intensive services for the adult and dislocated worker programs under Title I.
The notice shall list the criteria for the selection of the service provider(s)
and invite interested entities to give presentations and answer questions
relating to the selection criteria. Notices shall also be mailed to potentially
interested entities within the local region.
b. Public meeting. The regional workforce investment board
shall conduct a public meeting to obtain information from entities interested in
providing core and intensive services in the local region and to reach an
agreement as to the selection of the service provider(s).
c. Criteria for selecting service providers. The following
are examples of criteria that could be considered and addressed in the selection
of a service provider:
(1) The effectiveness of the agency or organization in
delivering comparable or related services based on documentation of achievement
of performance and service level requirements, previous audit and monitoring
reports, previous partnerships negotiated for services for customers, and
capability of the agency’s fiscal unit to manage a similar type of program
or project;
(2) The likelihood of meeting performance goals based upon
factors such as past performance, effective use of previous grant funds, staff
commitment, and availability of staff;
(3) The effectiveness of the agency or organization in
minimizing the duplication of services, while at the same time maximizing the
coordination with other agencies and organizations to provide the highest
quality activities and services to the participants in the program;
and
(4) Other criteria as determined by the regional workforce
investment board.
7.10(2) Youth service providers shall be selected via
a competitive process and based on recommendations of the youth advisory
council. Since the delivery of the youth services could be accomplished through
a number of different service providers, the regional workforce investment board
should initially designate a youth service provider to coordinate the operation
of the youth program and to provide eligibility, enrollment, objective
assessment and individual service strategy services for youth. Additional youth
service providers could be designated at a later date. At a minimum, the
procedure to designate the youth service provider(s) must include the
following:
a. Public notice. A public notice shall be published in one
of the official county newspapers, as designated by the county board of
supervisors. The public notice must indicate that the regional workforce
investment board shall hold a public meeting to select a youth service provider
to coordinate the operation of the youth program, and to provide eligibility,
enrollment, objective assessment and individual service strategy services for
youth. The notice must list the criteria to be used in the selection of the
youth service provider(s) and must require that written proposals be submitted
by a specific date. The notice must also invite interested entities that have
submitted written proposals to give presentations and answer questions relating
to the selection criteria at the public meeting. Notices must also be mailed to
potentially interested entities within the local region.
b. Public meeting. The regional workforce investment board
must conduct a public meeting to review the written proposals received, obtain
any additional information from entities submitting written proposals, and reach
an agreement as to the selection(s).
c. Criteria for selecting youth service providers. The
following are examples of criteria that could be considered and addressed in the
selection of a service provider:
(1) The effectiveness of the agency or organization in
delivering comparable or related services based on documentation of achievement
of performance and service level requirements, previous audit and monitoring
reports and capability of the agency’s fiscal unit to manage a similar
type of program or project;
(2) The likelihood of meeting performance goals based upon
factors such as past performance, staff commitment, and availability of staff;
(3) The effectiveness of the agency or organization in
minimizing the duplication of services, while at the same time maximizing the
coordination with other agencies and organizations to provide the highest
quality activities and services to the participants in the program;
and
(4) Other criteria as determined by the regional workforce
investment board.
7.10(3) Entities with taxing authority may not use tax
paid services as in–kind matching funds.
877—7.11(84A,PL105–220) Memorandum of
understanding. The memorandum of understanding is an agreement developed
and executed between the regional workforce investment board, with the agreement
of the chief elected official board, and the workforce development center system
partners relating to the operation of the workforce development center system in
the region. There may be a single memorandum of understanding developed that
addresses the issues relating to the regional workforce development center
system, or the regional workforce investment board and partners may decide to
enter into several agreements. Regardless of whether there is a single
agreement or multiple agreements, each partner should be aware of the contents
of all of the agreements executed.
7.11(1) The regional workforce investment board and
the chief elected official board should initiate the negotiation process for the
development of the agreement. Prior to the start of negotiations, the following
tasks shall be completed:
a. Identify all of the local partners and the services they
provide.
b. Name the coordinating service provider.
c. Determine the role of the coordinating service
provider.
d. Complete the regional needs assessment and
analysis.
e. Execute a single memorandum of understanding or multiple
memorandums of understanding.
7.11(2) At a minimum, the memorandum of understanding
shall include:
a. The services to be provided through the workforce
development center system.
b. The location of the comprehensive workforce development
center(s), as well as other locations where each partner’s services will
be provided. All partners must make their core services available, at a
minimum, at one comprehensive physical center in the region. All adult and
dislocated worker core services shall also be available at the comprehensive
center. In addition, core services may be provided at additional sites, and
partners’ applicable core services need not be provided exclusively at the
comprehensive workforce development center. The core services may be made
available by the provision of appropriate technology at the comprehensive
workforce development center by co–locating personnel at the center, by
cross–training of staff, or through a cost reimbursement
agreement.
c. The programs and services that will be available at the
different locations must be specified, as well as the manner in which the
services will be made available.
d. The particular arrangements for funding the services
provided through the workforce development center system and the operating costs
of the system. Each partner must contribute a fair share of the operating costs
based on the use of the workforce development center delivery system by the
individuals attributable to the partner’s program. While the resources
that a partner contributes do not have to be cash, the resources must be of
value and must be necessary for the effective and efficient operation of the
center system. The specific method of determining each partner’s
proportionate responsibility must be described in the agreement. This could
include a list of resources that each partner is providing toward the operation
of the system. Since most partners’ budgets fluctuate on an annual basis,
partner contributions for the operating costs of the system should be
reevaluated annually.
e. The partners who will be using the common intake/case
management system as the primary referral mechanism, and how referrals will
occur between and among the partners not utilizing the common intake/case
management system.
f. When the agreement will become effective as well as when
the memorandum will terminate or expire. The effective date must be no later
than July 1, 2000.
g. The process or procedure for amending the agreement. The
procedure should include such items as:
(1) Identification of who can initiate an amendment;
(2) Time lines for completing an amendment;
(3) Conditions under which an amendment will become necessary;
and
(4) Method of communicating changes to all of the
partners.
7.11(3) It is a legal obligation for the regional
workforce investment board, chief elected official board and partners to engage
in good–faith negotiation and reach agreement on the memorandum of
understanding. Any or all parties may seek the assistance of the department or
other appropriate state agencies in negotiating the agreements. After
exhausting all alternatives, the department or the other state agencies may
consult with the appropriate federal agencies to address impasse situations. If
the regional workforce investment board and chief elected official board have
not executed a memorandum of understanding with all of the mandatory partners
and service providers, the region shall not be eligible for state incentive
grants awarded for local cooperation.
877—7.12(84A,PL105–220) Performance
measures. The programs authorized in Title I are evaluated by measures
established by the Act on a state and regional basis. In order for the state to
qualify for incentive funds, it must meet performance standards set for these
measures, in conjunction with successful performance by programs funded under
the Carl Perkins Act and the Workforce Investment Act Title II.
7.12(1) Standards for measurement for each region
shall be established through negotiations between the department, the chief
elected official board and each regional workforce investment board.
7.12(2) Performance outcome measures. The overall
mission of Iowa’s workforce development center system is to
increase the size of the skilled labor force and increase earned income among
Iowa citizens. Each region’s workforce development center system
shall address its locally developed priorities in conjunction with the above
goals. In addition to having the performance of the regional workforce
development center system evaluated as a whole, all Title I programs shall be
evaluated based on the following outcome measures:
a. Adult program outcome measures.
(1) Entry into unsubsidized employment;
(2) Retention in unsubsidized employment for six months after
entry into employment;
(3) Earnings received in unsubsidized employment for six
months after entry into employment; and
(4) Attainment of a recognized credential related to
achievement of educational skills (such as a secondary school diploma or its
recognized equivalent), or occupational skills, by participants who enter
unsubsidized employment.
b. Dislocated worker program outcome measures.
(1) Entry into unsubsidized employment;
(2) Retention in unsubsidized employment for six months after
entry into employment;
(3) Earnings received in unsubsidized employment for six
months after entry into employment; and
(4) Attainment of a recognized credential related to
achievement of educational skills (such as a secondary school diploma or its
recognized equivalent), or occupational skills, by participants who enter
unsubsidized employment.
c. Youth aged 19 to 21 outcome measures.
(1) Entry into unsubsidized employment;
(2) Retention in unsubsidized employment for six months after
entry into employment;
(3) Earnings received in unsubsidized employment for six
months after entry into employment; and
(4) Attainment of a recognized credential related to
achievement of educational skills (such as a secondary school diploma or its
recognized equivalent), or occupational skills, by participants who enter
postsecondary education, advanced training, or unsubsidized
employment.
d. Youth aged 14 to 18 outcome measures.
(1) Attainment of basic skills and, as appropriate, work
readiness or occupational skills;
(2) Attainment of secondary school diplomas or their
recognized equivalents; and
(3) Placement and retention in postsecondary education,
advanced training, military service, employment, or qualified
apprenticeships.
e. Customer satisfaction of participants.
f. Customer satisfaction of employers.
7.12(3) Other measures. The following measures shall
also be tracked and progress reported.
a. Entry by participants who have completed training services
into unsubsidized employment related to the training received;
b. Wages at entry into employment (including rate of wage
replacement for groups of participants, such as dislocated workers);
c. Cost of workforce investment activities relative to the
effect of the activities on the performance of participants;
d. Retention and earnings received in unsubsidized employment
12 months after entry into the employment; and
e. Performance of recipients of public assistance,
out–of–school youth, veterans, individuals with disabilities,
displaced homemakers, and older individuals, as required by the Department of
Labor.
7.12(4) Retention in employment measures and wages
earned measures will be calculated using data from the unemployment insurance
wage record database with the assistance of the department.
7.12(5) Regional performance standards shall be
negotiated between the department, the regional workforce investment board and
chief elected official board. Perform–ance standards shall be negotiated
for each region annually. The department, the regional workforce investment
board and chief elected official board shall evaluate regional performance and
the appropriateness of the negotiated standards each year. Formal negotiation
shall be conducted for two–year periods and remain consistent with years
in which needs assessment activities are conducted.
The department shall establish a minimum acceptable level of
performance for each measure, based upon levels established through negotiation
between the state and the Department of Labor and using historical data.
Negotiation will focus on the adjusted level of performance, which will serve as
the regional objective. Performance of a program within a region below the
minimum acceptable levels shall be the basis for corrective action or sanctions.
Performance above adjusted levels shall be the basis for incentive awards. In
addition, regions may negotiate maximum levels of performance (level at which
adjusted levels shall not be negotiated beyond during the first five
years).
7.12(6) Incentive awards. A portion of the state
level funds shall be reserved from Title I programs to provide incentive awards
to regions that demonstrate superior performance and to provide technical
assistance to all regions. Incentive awards, which are granted during a program
year, shall be distributed based upon performance from the previous program
year. Actual distribution of the funds shall occur after the end of each
program year when final performance standards are calculated. At that time,
performance shall be compared against the region’s adjusted levels to
determine eligibility for, and the amount of, incentive awards.
Incentive awards shall be distributed to regional workforce
investment boards when average performance across all measures exceeds the
average adjusted levels for the percent achieved score for each measure. When
the percent achieved score is greater than 100 percent, the region qualifies for
a regional incentive award. There is no requirement for the number of
individual measures that must be exceeded, but the customer and employer
satisfaction measures must be exceeded for a region to qualify for an incentive
award.
The regional workforce investment board must utilize the
incentive funds to support Title I services, but it is possible for a region to
purchase services that do not count toward performance measurement.
The determination of actual performance achievement on the 17
performance measures and any subsequent incentive awards shall be based on data
contained in the integrated customer service (ICS) system. The initial
determination of incentive awards shall be made no later than September 1
following the end of the program year. By that time, the chair of each regional
workforce investment board shall be notified of its initial performance and
incentive award determination. The regional workforce investment board, or its
designee, shall be allowed two weeks in which to respond to these initial
determinations. The response shall be limited to the calculation of the awards.
Changes to the data shall not be permitted unless authorized by the department.
A final determination and the awarding of incentive funds shall occur no later
than October 1 following the end of the program year. The department reserves
the authority to adjust the time lines for the awarding of incentive funds if
circumstances warrant such an adjustment.
7.12(7) If a region does not meet performance outcome
requirements, the department shall provide technical assist–ance to the
region to improve its performance. The follow–ing process shall be
used:
a. Technical assistance shall be available to the Title I
service providers through the department’s staff. In situations where
regional performance falls below the minimum acceptable level, the department
will assist the regional workforce investment board, or its designee, with the
development of a performance improvement plan.
b. If regional Title I programs do not meet the minimum
acceptable level of performance for two consecutive years, the regional
workforce investment board shall be required to develop a performance
improvement plan. Technical assistance shall also be available to the regional
workforce investment board and chief elected official board to adjust the
regional customer service plan to facilitate the success of the region’s
performance improvement plan.
c. The performance improvement plan must be reviewed and
approved by the chief elected official board prior to its submittal of the plan
to the department.
7.12(8) If a region falls below the minimum acceptable
levels of performance agreed upon for the region’s average composite
percent achieved score in any of the program areas for two consecutive
years, the governor, through the department, shall take corrective action. The
critical measures that determine possible sanctions are:
1. Adult program measures average;
2. Dislocated worker program measures average;
3. Youth program measures average; and
4. Customer satisfaction measures average.
At a minimum, the corrective action shall include the
development of a performance improvement plan and the possibility of a
reorganization plan, under which the governor:
a. Requires the appointment and certification of a new
regional workforce investment board;
b. Prohibits the use of particular service providers that have
been identified as achieving poor levels of performance;
c. Requires the certification of a new coordinating service
provider;
d. Requires the development of a new regional plan;
or
e. Requires other appropriate measures designed to improve the
performance of the region.
An appeal to sanctions may be made by following theprocess
identified in 7.24(15). If a region is being sanctioned, it shall not qualify
for an incentive award in the Title I category.
877—7.13(84A,PL105–220) Regional customer
service plan. Each regional workforce investment board, in partnership with
the chief elected official board, shall develop and submit to the governor a
five–year comprehensive plan that is in compliance with the state’s
workforce investment plan. A region must have an approved plan in place prior
to receiving funds.
7.13(1) The plan shall contain the following
elements:
a. Workforce development services available in the
region.
b. An explanation of how customers access the
services.
c. Statement of the region’s workforce development
priorities.
d. An identification of the workforce investment needs of
businesses, job seekers, and workers in the region.
e. Current and projected employment opportunities, and the job
skills necessary to obtain such opportunities.
f. A description of the regional workforce development center
system, including the locations of access points, such as the region’s
one–stop center, satellite workforce development centers, resource
centers, and other locations within the region where access to services shall be
provided (including the access point in each county for department services that
is required by state law); what products and services will be delivered at each
of these locations and how access to those services will be provided at that
location; identification of the products and services that may be provided upon
a fee basis and an explanation of the amount and circumstances when the fee will
be applied; and a description or flowchart of the service delivery system,
identifying how customers will be served and referred within the center system,
and when necessary, how program services, including the adult, dislocated worker
and youth programs, will be provided to employers, and to other customers
through the adult, dislocated workers, rapid response, and youth
programs.
g. Description of the region’s policies regarding issues
such as activities and services, eligibility, selection, enrollment, and
applicant and participant processes.
h. If a region will be sharing the costs of delivering
services with another region within a labor market area, that arrangement and
cost–sharing agreement shall be described.
i. Identification of the chief elected official board’s
and regional workforce investment board’s oversight policies concerning
the region’s performance standards and continuous improvement
activities.
j. Identification of how the regional workforce investment
board and chief elected official board will evaluate the service delivery
process and service providers’ performance.
k. Description of the annual budget development, review and
monitoring process for the region.
l. Description of how economic development groups, older
workers, disabled individuals, and partners are provided an opportunity to
provide periodic and meaningful input regarding the operation of the workforce
development system.
m. Identification of the subrecipient or entity responsible
for the disbursal of grant funds.
n. Attachments, including the regional needs assessment and
analysis; region’s negotiated performance measures; the region’s
memorandum of understanding; a copy of the region’s complaint procedures;
procurement procedures; and any documentation customers will be asked to provide
for enrollment.
o. Public input process, including proof of publication for
public notices soliciting public input for the plan.
p. Limitations on the dollar amount or duration of an
individual training account (ITA), or both. There may be a limit for an
individual participant that is based on the needs identified in the individual
employment plan, as documented by an individual needs determination, or there
may be a maximum amount applied to all ITAs. The amount of any ITA must be
decreased by the amount of any Pell Grant awarded to a participant.
7.13(2) Prior to submitting the plan to the governor,
the regional workforce investment board shall provide opportunities for public
input regarding the plan. The public input process must include, at
minimum:
a. Making copies of a proposed plan available to the public
through such means as public hearings and public notices in local
newspapers.
b. Allowing a 30–day period for regional workforce
investment board members and members of the public, including representatives of
business and labor organizations, to submit comments to the regional workforce
investment board on the proposed plan after the plan is made available to the
public. When the plan is submitted to the governor, any comments received
expressing disagreement with the plan shall be included.
c. Holding open meetings to make information about the plan
available to the public on an ongoing basis.
7.13(3) The plan must be formally approved by the
regional workforce investment board and chief elected official board. An
original signed document and four copies must be submitted by April 1, 2000, to
the Division of Workforce Development Center Administration, Department of
Workforce Development, 150 Des Moines Street, Des Moines, Iowa 50309.
7.13(4) The department shall review the plan and
recommend approval to the state workforce development board, unless deficiencies
in the plan are identified in writing by the department and revision is
required; or the plan is not in compliance with federal and state laws and
regulations, including required consultations and public comment
provisions.
7.13(5) Modifications to the plan may be required by
the department under certain circumstances, including significant changes in
regional economic conditions, changes in the financing available, changes in the
regional workforce investment board structure, or a need to revise strategies to
meet performance goals. A proposed modification of the plan must be approved by
vote of the regional workforce investment board and chief elected official board
at a public meeting.
877—7.14(84A,PL105–220) Activities and
services.
7.14(1) Core services. Core services are designated
as self–service and informational, which do not require registration or
eligibility determination; and staff–assisted, which require registration
and eligibility determination.
a. The following types of activities and services are
considered self–service or informational core services:
(1) Determination of eligibility to receive services under
WIA;
(2) Outreach, intake (which may include worker profiling) and
orientation to the information and other services available through the
system;
(3) Initial assessment of skill levels, aptitudes, abilities,
and supportive service needs;
(4) Job search and placement assistance and, where
appropriate, career counseling;
(5) Provision of employment statistics information, related to
local, regional, and national labor market areas, such as job vacancy listings
in such labor market areas, information on job skills necessary to obtain the
jobs listed, and information relating to local occupations in demand and the
earnings and skill requirements for such occupations.
(6) Provision of performance and program cost information on
eligible providers of training services;
(7) Provision of information regarding how the local area is
performing on the local performance measures and any additional information with
respect to the workforce development center system in the local
region;
(8) Provision of accurate information relating to the
availability of supportive services, including child care and transportation
available in the local region, and referral to such services as
appropriate;
(9) Provision of information regarding filing claims for
unemployment compensation;
(10) Assistance in establishing eligibility for
welfare–to–work and programs of financial aid for assistance for
training and education programs that are not funded under the Act and are
available in the region;
(11) Follow–up services, including counseling regarding
the workplace, for WIA participants who are placed in unsubsidized employment,
for not less than 12 months after the first day of employment, as
appropriate.
b. The following types of activities and services are
considered staff–assisted core services:
(1) Counseling;
(2) Individual job development;
(3) Job clubs; and
(4) Screened referrals.
7.14(2) Intensive services. A participant must
receive intensive services before being determined to be in need of training
services to obtain employment that leads to self–sufficiency. Intensive
services include:
a. Comprehensive and specialized assessments of skill levels
and service needs, including diagnostic testing and use of other assessment
tools, and in–depth interviewing and evaluation to identify employment
barriers and appropriate employment goals;
b. Development of an individual employment plan to identify
the employment goals, appropriate achievement objectives, and appropriate
combination of services for the participant to achieve the employment
goals;
c. Group counseling;
d. Individual counseling and career planning;
e. Case management for participants seeking training
services;
f. Short–term prevocational services, including
development of learning skills, communication skills, interviewing skills,
punctuality, personal maintenance skills, and professional conduct, to prepare
individuals for unsubsidized employment or training;
g. Out–of–area job search expenses;
h. Relocation expenses;
i. Internships; and
j. Work experience.
7.14(3) Training services. The following types of
activities and services are considered to be training services:
a. Occupational skills training, including training for
nontraditional employment;
b. Programs that combine workplace training with related
instruction, which may include cooperative education programs;
c. Training programs operated by the private sector;
d. Skill upgrading and retraining;
e. Entrepreneurial training;
f. Job readiness training; and
g. Customized training.
7.14(4) Supportive services.
Supportive services are those services necessary to enable an individual to
participate in activities authorized under WIA. The following types of
supportive services are allowable:
a. Clothing;
b. Counseling;
c. Dependent care;
d. Financial assistance;
e. Health care;
f. Housing assistance;
g. Miscellaneous services;
h. Needs–related payments;
i. Residential/meals support;
j. Services to individuals with disabilities;
k. Supported employment and training; and
l. Transportation.
7.14(5) Youth services. An array of services may be
made available to youth. The list of youth services, which must be made
available in each region, is as follows:
a. Tutoring, study skills training and instruction leading to
secondary school completion, including dropout prevention strategies;
b. Alternative secondary school offerings;
c. Summer employment opportunities directly linked to academic
and occupational learning;
d. Paid and unpaid work experiences, including internships and
job shadowing;
e. Occupational skill training;
f. Leadership development opportunities;
g. Supportive services;
h. Adult mentoring, for a duration of at least 12 months,
which may occur both during and after program participation;
i. Follow–up services; and
j. Comprehensive guidance and counseling, including drug and
alcohol abuse counseling.
71.4(6) Customized training. The
purpose of customized training is to provide training that is specific to an
employer’s needs, so individuals will be hired, or retained, by the
employer after successful completion of the training. Customized training is
normally provided in a classroom setting and is designed to meet the special
requirements of an employer or group of employers. The employer(s) must commit
to hire, or in the case of incumbent workers, continue to employ, an individual
on successful completion of the training and must pay not less than 50 percent
of the cost of the training. Participants enrolled in this activity must be
covered by adequate medical and accident insurance.
7.14(7) Entrepreneurial training. The purpose of
entrepreneurial training is to help participants acquire the skills and
abilities necessary to successfully establish and operate their own
self–employment businesses or enterprises.
a. The methods of providing training may include classes in
small business development, marketing, accounting, financing, or any other
courses that could contribute to a participant’s goal of
self–employment. On–site observation and instruction in business
skills may also be provided, as well as individualized instruction and
mentoring.
b. Entrepreneurial training may not be used for training in
job–specific skills other than business management. However, it may be
provided concurrently or consecutively with specific skill training for the
purpose of establishing an enterprise that utilizes those skills.
c. Payments under entrepreneurial training are limited to
training programs and activities that provide instruction in business operation
and management. Funds may not be used for any direct costs associated with the
establishment or operation of the business (e.g., materials, inventory,
overhead, or advertising).
d. All participants who are enrolled in this training must
apply for any financial assistance for which they may qualify, including Pell
Grants. For purposes of this requirement, financial assistance does not include
loans.
e. Participants must be covered by adequate medical and
accident insurance.
7.14(8) Follow–up services.
The purpose of these services is to identify any problems or needs that might
preclude a former participant from remaining employed or continuing to progress
toward unsubsidized employment. The provision of follow–up services and
contacts or attempted contacts must be documented in the participant
file.
a. Follow–up services must be provided for all adults
and dislocated workers who enter employment for not less than 12 months after
the first day of employment. The firstfollow–up contact must occur within
the first 30 days of entering employment. The first contact must be a personal
contact (in person or by telephone) with the participant. A second contact must
occur approximately 90 days after the first day of employment. Contacts are
required quarterly thereafter for the next three quarters. The types of
follow–up services provided must be based on the needs of the adult or
dislocated worker. Follow–up services may include:
(1) Counseling regarding the workplace;
(2) Assistance to obtain better employment;
(3) Determination of the need for additional assistance;
and
(4) Referral to services of partner agencies or other
community resources.
b. Follow–up services must be provided for all youth for
not less than 12 months from the date of exit from the program. The first
follow–up contact must occur within the first 30 days of entering
employment. The first contact must be a personal contact (in person or by
telephone) with the participant. A second contact must occur approximately 90
days after the first day of employment. Contacts are required quarterly
thereafter for the next three quarters. Follow–up services may be
provided beyond 12 months at the discretion of the RWIB. The types of services
provided must be determined based on the needs of the youth. Follow–up
services for youth may include:
(1) Leadership development and supportive services;
(2) Regular contact with the youth’s employer, including
assistance in addressing work–related problems that arise;
(3) Assistance in securing better paying jobs, career
development, and further education;
(4) Work–related peer support groups;
(5) Adult mentoring; and
(6) Tracking the progress of youth in employment,
postsecondary training, or advanced training.
7.14(9) Guidance and counseling.
Guidance and counseling is the provision of advice to participants through a
mutual exchange of ideas and opinions, discussion and deliberation. Guidance
and counseling should be academic or employment–related, and may include
drug and alcohol abuse counseling and referral. Guidance for youth must be
categorized as either academic (primarily provided to assist a youth in
achieving academic success), or employment–related (primarily provided to
assist a youth in achieving employment–related success).
7.14(10) Institutional skill
training. The purpose of this service is to provide
individuals with the technical skills and information required to perform a
specific job or group of jobs. Institutional skill training is conducted in a
classroom setting.
a. All participants who are enrolled in this service must
apply for any financial assistance for which they may qualify, including Pell
Grants. All participants must be covered by the training institution’s
tuition refund policy. In the absence of a refund policy established by the
training institution, the WIA service provider must negotiate a reasonable
refund policy with the training site.
b. Participants must be covered by adequate medical and
accident insurance.
c. A participant who is employed must not be earning a
self–sufficiency wage to be enrolled in this service.
7.14(11) Job club. The purpose of this activity is to
provide a structured job search activity for a group of participants who develop
common objectives during their time of learning and working together, supporting
one another in the job search process. The scheduled activities and required
hours of participation should reflect proven job search techniques and the
employment environment of the region.
a. Participants in job club shall meet the following
objectives:
(1) Have been prepared to understand and
function in the interview process and the workplace;
(2) Have completed all tools needed for
effective work search, including a résumé and an application
letter; and
(3) Have the opportunity to complete as
many actual job contacts and interviews as possible after completing all of the
job search tools.
b. Participants must be covered by adequate medical and
accident insurance.
7.14(12) Leadership development. The purpose of
leadership development is to enhance the personal life, social, and leadership
skills of participants, and to remove barriers to educational and
employment–related success. Leadership development opportunities may
include the following:
a. Exposure to postsecondary educational
opportunities;
b. Community and service learning projects;
c. Peer–centered activities, including peer mentoring
and tutoring;
d. Organizational and team training, including team leadership
training;
e. Training in decision making, including determining
priorities;
f. Citizenship training, including life skills training such
as parenting, work behavior training, and budgeting of resources;
g. Employability training; and
h. Positive social behavior or “soft skills,”
including but not limited to, positive attitudinal development,
self–esteem building, cultural diversity training, and work simulation
activities.
Leadership development activities are normally conducted in a
group setting and must include a schedule for the participant to follow, regular
contact by a staff person, a maximum length of time allowed in the activity, and
documentation that the participant and staff are making the required contacts
and following the established schedule. Participants must be covered by
adequate on–site medical and accident insurance.
7.14(13) Limited internship. The purpose of a limited
internship is to provide a participant with exposure to work and the
requirements for successful job retention that are needed to enhance the
long–term employability of that participant.
a. Limited internships are limited in duration, devoted to
skill development, and enhanced by significant employer investment.
b. Internships may be conducted at public, private,
for–profit and nonprofit work sites. The use of an intern should involve
a substantial investment of effort by employers accepting the intern, and an
intern must not be employed in a manner that subsidizes or appears to subsidize
private sector employers.
c. The total participation in a limited internship for any
participant must not exceed 500 hours per enrollment. In addition, for
in–school youth, participation must be limited to 20 hours per week during
the school year. In–school youth may participate full–time during
summer vacation and holidays.
d. Limited internship agreements must be written only for
positions for which a participant would not normally be hired because of lack of
experience or other barriers to employment.
e. Participants may be compensated for time spent in the
activity. This compensation may be in the form of incentive and bonus payments
or wages. If the participant receives wages, the WIA service provider is the
employer of record. The wages paid to the participant must be at the same rates
as similarly situated employees or trainees of the employer of record, but in no
event less than the higher of the federal or state minimum wage. Participants
receiving wages must always be paid for time worked, must not be paid for any
scheduled hours they failed to attend without good cause, and must, at a
minimum, be covered by workers’ compensation in accordance with state law.
In addition, all participants who are paid wages must be provided benefits and
working conditions at the same level and to the same extent as other employees
of the employer of record working a similar length of time and doing the same
type of work.
f. Participants receiving incentive or bonus payments based on
attendance must not receive any payment for scheduled hours that they failed to
attend without good cause.
g. Participants who are not receiving wages must be covered by
adequate on–site medical and accident insurance.
h. Limited internships may be used in conjunction with
on–the–job training with the same employer. However, when this
occurs, the internship must precede on–the–job training, and the
on–the–job training time for the participant must be
reduced.
i. If the private sector work site employer hires the
participant during internship, the internship for that participant must be
terminated.
7.14(14) Mentoring. The purpose of mentoring is to
provide a participant with the opportunity to develop a positive relationship
with an adult. The adult mentor should provide a positive role model for
educational, work skills, or personal or social development. Mentoring for
youth must be categorized as either academic (primarily provided to assista
youth in achieving academic success) or employment–related (primarily
provided to assist a youth in achievingemployment–related
success).
7.14(15) On–the–job training. The purpose
of on–the–job training (OJT) is to train a participant in an actual
work situation that has career advancement potential in order to develop
specific occupational skills or obtain specialized skills required by an
individual employer.
a. Since OJT is employment, state and federal regulations
governing employment situations apply to OJT. Participants in OJT must be
compensated at the same rates, including periodic increases, as trainees or
employees who are similarly situated in similar occupations by the same
employer. Wages paid must not be less than the highest of federal or state
minimum wage or the prevailing rates of pay for individuals employed in similar
occupations by the same employer.
b. Participants in OJT must be provided benefits and working
conditions at the same level and to the same extent as other trainees or
employees working a similar length of time and doing the same type of job. Each
participant in OJT must be covered by workers’ compensation in accordance
with state law.
c. Payment to employers is compensation for the extraordinary
costs of training participants, including costs of classroom training, and
compensation for costs associated with the lower productivity of such
participants. A trainer must be available at the work site to provide training
under an OJT contract. For example, a truck driving position in which the
driver drives alone or without immediate supervision or training would not be
appropriate for OJT. The payment must not exceed 50 percent of the wages paid
by the employer to the participant during the period of the training agreement.
Wages are considered to be moneys paid by the employer to the participant.
Wages do not include tips, commissions, piece–rate–based earnings or
nonwage employee fringe benefits. Payment for overtime hours and holidays is
only allowable in accordance with local policies. Holidays may be used as the
basis for OJT payments only if the participant actually works and receives
training on the holiday.
d. An OJT contract with an employer may be written for a
maximum of 6 calendar months unless the contract is for a part–time OJT of
less than 500 hours, in which instance the contract period may be extended to a
maximum of 12 months. Under no circumstances may an OJT contract be written for
a participant if the hours of training required for the position in which the
participant is to be trained are determined to be less than 160 hours. The
number of OJT training hours for a participant must be determined using a
standardized chart, unless the regional customer service plan contains an
alternative methodology for determining the length of OJTs. The hours specified
must be considered as a departure point for determining actual WIA training
hours. If the total number of training hours for the OJT position cannot be
provided during the maximum contract length allowable, as many training hours as
possible must be provided. The OJT training hours for a participant must be
reduced if a participant has related prior employment or training in the same or
similar occupation. Previous training or experience, which occurred so long ago
that skills gained from that experience are obsolete, may be disregarded to the
extent that those skills need to be relearned or reacquired. The number of
training hours for a participant may be increased based upon the
participant’s circumstances, such as a disability. The number of hours of
training for any participant as well as the process for extending or reducing
those training hours from the basic method of determination must be
documented.
e. OJTs may not be written with temporary help agencies or
employee leasing firms for positions which will be “hired out” to
other employers for probationary, seasonal, temporary or intermittent
employment. A temporary employment agency may serve as the employer of record
only when the OJT position is one of the staff positions with the agency and not
a position that will be “hired out.”
f. In situations in which an employer refers an individual for
eligibility determination with the intent of hiring that individual under an OJT
contract, the individual referred may be enrolled in an OJT with the referring
employer only when the referring employer has not already hired the individual
and an objective assessment and service plan have been completed which support
the development of an OJT with the referring employer.
g. Prior to recontracting with an OJT employer, the past
performance of that employer must be reviewed. An OJT contract must not be
entered into with an employer who has previously exhibited a pattern of failing
to provide OJT participants with continued long–term employment as regular
employees with wages and working conditions at the same level and to the same
extent as similarly situated employees. Employer eligibility for future OJT
contracts need not result in termination if OJT participants voluntarily quit,
are terminated for cause, or are released due to unforeseeable changes in
business conditions. An employer that has been excluded from OJT contracting
because of failing to hire participants may again be considered for an OJT
placement one year after that sanction was imposed. In this recontracting
situation, if the employer fails to retain the participant after the OJT ends,
and there is no apparent cause for dismissing the employee, the employer must
not receive any future OJT contracts.
h. OJTs may be written for employed workers when the following
additional criteria are met and documented:
(1) The employee is not earning a self–sufficiency wage
as defined in the regional customer service plan; and
(2) The OJT relates to the introduction of new technologies,
introduction to new production or service procedures, upgrading to new jobs that
require additional skills or workplace literacy, or other appropriate purposes
identified in the regional customer service plan.
7.14(16) Preemployment training. The purpose of
preemployment training is to help participants acquire skills necessary to
obtain unsubsidized employment and to maintain employment.
a. Activities may include, but are not limited to:
(1) Instruction on how to keep jobs, including
employer’s expectations relating to punctuality, job attendance,
dependability, professional conduct, and interaction with other
employees;
(2) Assistance in personal growth and development which may
include motivation, self–esteem building, communication skills, basic
living skills, personal maintenance skills, social planning, citizenship, and
life survival skills; and
(3) Instruction in how to obtain jobs, including completing
applications and résumés, and interviewing skills.
b. Preemployment training activities must include a schedule
for the participant to follow, regular contact by a staff person, a maximum
length of time allowed in the activity, and documentation that the participant
and staff are making the required contacts and following the established
schedule.
c. Participants must be covered by adequate on–site
medical and accident insurance.
7.14(17) Remedial and basic skill training. The
purpose of remedial and basic skill training is to enhance the employability of
participants by upgrading basic literacy skills through basic and remedial
education courses, literacy training, adult basic education, and English as a
second language (ESL) instruction. Remedial and basic skill training may be
conducted in a classroom setting or on an individual basis. Remedial and basic
skill training may be used to improve academic or language skills prior to
enrollment in other training activities.
a. For adults and dislocated workers, remedial and basic skill
training must be offered in combination with other allowable training services
(not including customized training).
b. Remedial and basic skill training activities must include a
schedule for the participant to follow, regular contact by a staff person, a
maximum length of time allowed in the activity, and documentation that the
participant and staff are making the required contacts and following the
established schedule.
c. Participants must be covered by adequate on–site
medical and accident insurance.
7.14(18) Secondary education certification. The
purpose of secondary education certification is to enhance the employability of
participants by upgrading their level of education. Secondary education
certification activities may be conducted in a classroom setting or on an
individual basis.
a. Secondary education certification must be categorized as
one of the following:
(1) Secondary school;
(2) Alternative school;
(3) Tutoring; or
(4) Individualized study.
b. Participation in this component must be expected to result
in a high school diploma, general educational development (GED) certificate, or
an individualized educational program (IEP) diploma.
c. Secondary education certification activities must include a
schedule for the participant to follow, regular contact by a staff person, a
maximum length of time allowed in the activity, and documentation that the
participant and staff are making the required contacts and following the
established schedule.
d. Participants must be covered by adequate on–site
medical and accident insurance.
7.14(19) Skill upgrading. The purpose of skill
upgrading is to provide short–term prevocational training to participants
to upgrade their occupational skills and enhance their employability. Examples
of allowable skill upgrading activities include a typing refresher to increase
speed and accuracy, keyboarding, or basic computer literacy. Skill upgrading
may be conducted in a classroom setting or on an individual basis, but must be
short–term in nature and must not exceed nine weeks in duration.
Participants must be covered by adequate on–site medical and accident
insurance.
7.14(20) Summer activities. The purpose of summer
activities is to provide a youth with summer employment activities that are
directly linked to academic and occupational learning.
a. The employment component provides participants with a
positive employment experience during the summer months. The employment
experience should be directly linked to academic and occupational learning
activities. The employment component could be a limited internship,
on–the–job training, vocational exploration, or work
experience.
b. The summer academic learning component assists youth in
achieving academic success. For in–school youth the goal is to prevent
the erosion of basic literacy skills over the summer months and, to the extent
possible, to increase basic literacy skill levels, particularly in reading and
math. In addition, the purpose of the academic learning component includes the
improvement of the employment potential of individuals who are not intending to
return to school.
(1) All participants must have at least 30 hours of academic
learning activities included in their service strategies.
(2) The academic learning activities should be designed as a
comprehensive instructional approach that includes thinking, reasoning, and
decision–making processes that are necessary for success in school, on the
job, and in society in general.
(3) The academic learning activity may include:
1. Remedial and basic skill training;
2. Basic literacy training;
3. Adult basic education;
4. English as a second language;
5. General educational development (GED)
instruction;
6. Tutoring;
7. Study skills training;
8. Leadership development opportunities;
9. Adult mentoring;
10. Citizenship training;
11. Postsecondary vocational and academic courses;
12. Applied academic courses; and
13. Other courses or training methods that are intended to
retain or improve the basic educational skills of the participant.
(4) The academic learning activities may be conducted in a
classroom setting or on an individual basis. The academic learning curriculum
provided to a participant should take into account the learning level and
interests of that participant.
(5) A participant may be paid a wage–equivalent payment
(stipend) based upon attendance for time spent in the academic learning
activity, or may be paid release time wages for time spent in the academic
learning activity if work experience, on–the–job training, limited
internship or vocational exploration is the primary activity. In lieu of being
paid a stipend or wages, the youth may be rewarded with an incentive and bonus
payment. Participants cannot be paid for unattended hours in the academic
learning activity.
c. The occupational learning component provides youth with an
opportunity to learn occupational skills related to a specific occupation, or to
an occupational cluster. The occupational learning activities may be
incorporated in the employment or academic learning component or may be a
separate component such as skill upgrading.
d. Participants must be covered by adequate on–site
medical and accident insurance.
7.14(21) Vocational exploration. The purpose of
vocational exploration is to expose participants to jobs available in the
private or public sector through job shadowing, instruction and, if appropriate,
limited practical experience at actual work sites.
a. Vocational exploration may take place at public, private
nonprofit, or private–for–profit work sites.
b. The total participation in this activity for any
participant in any one occupation must not exceed 160 hours per
enrollment.
c. The length of a participant’s enrollment is limited
to a maximum of 640 hours, regardless of the number of explorations conducted
for the participant.
d. The participant must not receive wages for the time spent
in this activity and is not necessarily entitled to a job at the end of the
vocational exploration period.
e. The service provider must derive no immediate advantage
from the activities of the participant and on occasion the operation of the
employer may actually be impeded. In the case of private–for–profit
organizations, the participant must not be involved in any activity that
contributes, or could be expected to contribute, to additional sales or profits
or otherwise result in subsidization of wages for the organization.
f. Vocational exploration activities must include a schedule
for the participant to follow, regular contact by a staff person, a maximum
length of time allowed in the activity, and documentation that the participant
and staff are making the required contacts and following the established
schedule.
g. Participants must be covered by adequate on–site
medical and accident insurance.
7.14(22) Work experience. The purpose of work
experience is to provide participants with short–term or part–time
subsidized work assignments to enhance their employability through the
development of good work habits and basic work skills. Work experience should
help participants acquire the personal attributes, knowledge, and skills needed
to obtain a job and advance in employment.
a. This activity should be used for individuals who have never
worked or have been out of the labor force for an extended period of time
including, but not limited to, students, school dropouts, individuals with
disabilities, displaced homemakers, and older individuals. Work experience must
be limited to persons who need assistance to become accustomed to basic work
requirements, including basic work skills, in order to successfully compete in
the labor market.
b. Work experience may be used to provide:
(1) Instructions concerning work habits and employer and
employee relationships in a work environment;
(2) An improved work history and work references;
(3) An opportunity to actively participate in a specific work
field; and
(4) An opportunity to progressively master more complex
tasks.
c. Work experiences may be paid or unpaid. If the participant
is paid wages, the wages must be at the same rates as similarly situated
employees or trainees of the employer of record, but in no event less than the
higher of the federal or state minimum wage. In most situations, the service
provider is the employer of record. Participants must always be paid for time
worked, but must not be paid for any scheduled hours they failed to attend
without good cause.
d. In addition, all individuals participating in work
experience must be provided benefits and working conditions at the same level
and to the same extent as other employees of the employer of record working a
similar length of time and doing the same type of work. Each participant must
be covered either by workers’ compensation in accordance with state law or
by adequate on–site medical and accident insurance. Participants are
exempt from unemployment compensation insurance. Therefore, unemployment
compensation costs are not allowable.
e. Under certain conditions participants in a
wage–paying work experience may be paid for time spent attending other
activities. Such payments may be made only if work experience participation is
scheduled for more than 50 percent of the scheduled training time in all
activities. Usually, the participant will be enrolled simultaneously in both
the work experience and another activity.
f. Service providers may supplement the costs of wages and
fringe benefits only if the service provider is the employer of record. In
these instances, the payment for work experience would be made to the employer
after adequate time and attendance and supporting documentation is provided.
Any such arrangement must be specified in an agreement with the service
provider.
g. Work experience may take place in the private,
for–profit sector, the nonprofit sector, or the public sector. A
participant cannot be placed in work experience with an employer with whom the
participant is already employed in an unsubsidized position.
h. Work experience must not be used as a substitute for public
service employment activities.
i. A work experience agreement at one work site may be written
for a maximum of 13 calendar weeks unless the agreement is for a part–time
work experience of less than 500 hours, in which instance the activity period
may be extended to a maximum of 26 weeks.
7.14(23) Miscellaneous services.
a. Bonding is an allowable cost, if it is not available under
federally or locally sponsored programs. If bonding is an occupational
requirement, it should be verified that the participant is bondable before the
participant is placed in training for that occupation.
b. The costs of licenses or application fees are allowable if
occupationally required.
c. The costs of relocation are allowable if it is determined
by service provider staff that a participant cannot obtain employment within a
reasonable commuting area and that the participant has secured suitable
long–duration employment or obtained a bona fide job offer in the area of
relocation.
d. The costs of lodging for each night away from the
participant’s permanent home are allowable if required for continued
program participation. While the participant is away from home or in travel
status for required training the costs for meals are allowable.
e. The costs of special services, supplies, equipment, and
tools necessary to enable a participant with a disability to participate in
training are allowable. It is not an allowable use of WIA funds to make capital
improvements to a training or work site for general compliance with the
Americans with Disabilities Act requirements.
f. Supported employment and training payments are allowable to
provide individuals requiring individualized assistance with
one–on–one instruction and with the support necessary to enable them
to complete occupational skill training and to obtain and retain competitive
employment. Supported employment and training may only be used in training
situations that are designed to prepare the participant for continuing
nonsupported competitive employment. Employment positions supported at
sheltered workshops or similar situations may not utilize this
activity.
g. The cost of transportation necessary to travel to and from
WIA activities and services, including job interviews, are allowable.
h. Incentive and bonus payments are allowable to reward youth
for attendance or achievement. Payments must be based upon a local policy that
is described in the regional customer service plan, is applied consistently to
all participants and is based on attendance or achievement of basic education
skills, preemployment/work maturity skills, or occupational skills. The
payments may be based on a combination of attendance and achievement.
877—7.15(84A,PL105–220) Individual training
accounts. The individual training account (ITA) is established on behalf of
a participant by the intensive service provider. ITA is the mechanism through
which adults and dislocated workers shall purchase training services from
eligible training providers. Payment for supportive services and related needs
is not allowable under the ITAs.
7.15(1) Adult and dislocated worker service providers
must provide participants the opportunity to select an eligible training
provider, maximizing participant choice yet also allowing consultation from the
participant’s case manager. Unless the program has exhausted funding or
has insufficient funds to cover the estimated cost of the program, the service
provider must refer the individual to the selected training provider. Since
funds are limited, priority shall be given to recipients of public assistance
and other low–income individuals.
7.15(2) Participants whose application for a Pell
Grant is pending may receive training services; however, an agreement must be in
place between the participant and the training provider. In the event the Pell
Grant is awarded, funds shall be released to reimburse the program and not the
participant.
7.15(3) Payments from ITAs may be made in a variety of
ways including credit vouchers, electronic transfer of funds through financial
institutions, purchase orders, credit/debit cards or other appropriate methods.
How funds will be transferred within a region, within the state and outside the
state shall be a local decision as described by the regional workforce
investment board in the local plan.
7.15(4) The actual implementation of ITAs will involve
the service provider(s) in the region where the participant resides and the
selected training provider. Payment amounts and duration of an ITA may be
limited according to the needs identified in the individual’s employment
plan and specified in the local plan.
877—7.16(84A,PL105–220) Certification of
training providers.
7.16(1) Eligible training providers. Eligible
training providers include:
a. Postsecondary educational institutions that are eligible to
receive funds under Title IV of the Higher Education Act of 1965 and provide a
program that leads to an associate degree, baccalaureate degree or certificate;
b. Entities that carry out programs under the National
Apprenticeship Act; and
c. Other public or private providers of a program of training
services.
7.16(2) Training programs. A program of training
services is one or more courses or classes that, upon successful completion,
lead to a certificate, an associate degree, or baccalaureate degree; or a
competency or skill recognized by employers; or a training regimen that provides
individuals with additional skills or competencies generally recognized by
employers.
7.16(3) Certification process. An application for
each training program must be submitted to the regional workforce investment
board in the region in which the training provider desires its program to be
approved. Each program of training services must be described, including
appropriate performance and cost information. Training providers shall be
approved, initially, as well as subsequently, by regional workforce investment
boards in partnership with the department.
7.16(4) Regional workforce investment board role. The
regional workforce investment board shall be responsible for:
a. Accepting applications from postsecondary educational
institutions, entities providing apprenticeship programs, and public and private
providers for initial and subsequent approval.
b. Submitting to the department the local list of approved
providers, including performance and cost information for each
program.
c. Ensuring dissemination of the statewide list to
participants in employment and training activities through the regional
workforce development center system.
d. Consulting with the department in cases where approved
providers shall have their approval revoked because inaccurate information has
been provided.
e. Notifying all known providers of training in their region
regarding the process and time line for accepting applications.
7.16(5) Department role. The department shall be
responsible for:
a. Establishing initial approval criteria as well as setting
minimum levels of performance for public and private providers;
b. Setting minimum levels of performance measures for all
providers to remain subsequently approved;
c. Developing and maintaining the state list of eligible
training providers, which is compiled from information submitted by the regional
workforce investment boards;
d. Verifying the accuracy of the information on the state
list;
e. Removing training providers who do not meet program
performance levels;
f. Disapproving training providers who provide inaccurate
information; and
g. Disapproving training providers who violate any provision
of the Workforce Investment Act.
7.16(6) Initial provider approval. Upon completion of
the application, initial approval shall be granted to:
a. Postsecondary educational institutions that are eligible to
receive funds under Title IV of the Higher Education Act of 1965 and provide a
program that leads to an associate or baccalaureate degree, certificate, or
diploma; and
b. Entities that carry out apprenticeship programs registered
under the National Apprenticeship Act.
c. Other public and private providers of training services
that currently provide a training program shall be required to submit additional
information to the regional workforce investment board in the region in which
they desire to provide training services.
The department shall accept documentation from the appropriate
certification body for postsecondary educational institutions that are eligible
to receive funds under Title IV and National Apprenticeship programs, who do not
provide a program of training services at the time of application.
7.16(7) Other public and private providers of training
services that currently do not provide a program of training services at the
time of application must:
a. Document the need for the training based on specific
employer needs in the region; and
b. Develop a training curriculum with the agreement of local
employers.
Once the training provider’s program is approved, the
training provider shall be included on a statewide list that will be available
to customers seeking training services.
7.16(8) To be eligible effective July 1, 2000,
interested training providers must submit their applications to the regional
workforce investment board in their region. The application date shall be
established by each regional workforce investment board. All approved
applications must be submitted to the department by May 31, 2000. The
department has 30 days from the receipt of the regionally approved applications
to review and verify the information provided. Initial approval for all
training providers shall be effective until November 30, 2001.
7.16(9) If a training provider has been determined to
be initially eligible and desires to continue its eligibility, it must submit
performance information to the regional workforce investment board and meet
performance levels annually.
7.16(10) Each regional workforce investment board
shall maintain a list of all approved training providers, including providers
for on–the–job and customized training in the region, and make the
list available statewide. The regional workforce investment board shall submit
all approved applications to the department after the applications are
received locally. The department shall be responsible for maintaining the
statewide list of all approved training providers. The list will be updated at
least annually or as needed and made available to participants in employment and
training activities and others through the regional workforce development center
system. The regional workforce investment board has the responsibility of
notifying all known providers of training in the board’s region regarding
the process and time line for accepting applications. The department may
approve training providers from other neighboring states when
requested.
7.16(11) Application process for initial
approval.
a. Postsecondary educational institutions that are eligible to
receive funds under Title IV of the Higher Education Act of 1965 and entities
that carry out programs under the National Apprenticeship Act must submit an
application as required by the regional workforce investment board. The
regional workforce investment board may develop its own application procedures
or adopt the procedure developed by the department for other public and private
training providers.
b. Other public or private providers of a program of training
services shall be required to complete and submit an application to the regional
workforce investment board in each region as specified below. The application
requires identifying information on the training provider and enrollment
periods, as well as the following information:
(1) The name and description of the training program(s) to be
offered.
(2) The cost of each training program (tuition; books;
supplies, including tools; uniforms; fees, including laboratory; rentals,
deposits and other miscellaneous charges) to complete a certificate or degree
program or an employer–identified competency skill.
(3) A description of the facility and organization of the
school.
c. Program completion rate for all individuals participating
in the applicable program conducted by the provider. A program completer is a
person who has obtained a certificate, degree, or diploma; or received credit
for taking the program; or received a passing grade in the program; or finished
the required curriculum of the program.
d. Percentage of all students in the program who obtained
unsubsidized employment.
e. Average wages of all students in unsubsidized
employment.
For initial approval, the regional workforce investment board
may require additional information.
7.16(12) Required information for subsequent approval.
To remain an approved training provider, all training providers must have their
performance information reviewed by the regional workforce investment board on
an annual basis. The required performance information for subsequent approval
includes the following information:
a. Program completion rate for all individuals participating
in the applicable program conducted by the provider.
b. Percentage of all students who obtained unsubsidized
employment.
c. Average wages of all students who obtained unsubsidized
employment. (If a training provider is using the unemployment insurance
database to calculate wages, the average starting wage will be calculated by a
national Department of Labor formula that converts quarterly unemployment
insurance wages into an hourly rate.)
d. Where applicable, the rates of licensure or certification,
attainment of academic degrees or equivalents, or attainment of other measures
of skill of the graduates of the training program.
e. Percentage of WIA participants who obtained unsubsidized
employment.
f. Percentage of WIA participants who have completed the
training program and who are placed in unsubsidized employment.
g. Retention rates in unsubsidized employment, six months
after the first day of employment, of WIA participants who have completed the
training program.
h. Average wages, six months after the first day of
employment, received by WIA participants who have completed the training
program.
i. Average actual cost of training, including tuition, fees,
and books, for WIA participants to complete the training program.
The department shall publish, on an annual basis, guidelines
on acceptable performance measures for training providers.
7.16(13) Nonapproval. The department, in consultation
with the regional workforce investment board, determines whether or not to
approve a training provider. If the regional workforce investment board
determines that the training provider does not meet the established performance
levels, a written recommendation shall be sent to the division administrator of
the division of workforce development center administration. The division
administrator shall make a determination whether the training provider is
disapproved and removed from the list. Regional workforce investment boards and
the department must take into consideration the following factors when
determining subsequent approval:
a. The specific economic, geographic, and demographic factors
in the region in which the training providers seeking approval are located;
and
b. Characteristics of the populations served by the training
providers seeking approval, including difficulties in serving such populations,
where applicable.
If it is determined that an eligible provider or an individual
supplying information on behalf of the provider intentionally supplies
inaccurate information, the department shall terminate the approval of the
training provider for a minimum of two years. If either the regional workforce
investment board or the department determines that an eligible provider
substantially violates any requirement under the Act, it may terminate approval
to receive funds for the program involved or take other such action as
determined to be appropriate. A provider whose approval is terminated under any
of these conditions is liable to repay all WIA training funds it received during
the period of noncompliance.
7.16(14) Appeal process. If a training provider has
been determined to be ineligible by failing to meet performance levels,
intentionally supplying inaccurate information, or violating any provision of
the Act, it has the right to appeal the denial of approval to the department.
The training provider shall follow appeal procedures as defined in
7.24(13).
877—7.17(84A,PL105–220) Financial
management. Allowable costs shall be determined in accordance with the
Office of Management and Budget (OMB) circulars applicable to the various
entities receiving grant funds from the department. Nothing in this rule shall
supersede the requirements placed on each entity as promulgated by the
applicable OMB circular including factors which affect allowability of costs,
reasonable costs, allocable costs, applicable credits, direct costs, indirect or
facility and administrative costs, allowable costs as defined in “selected
items of cost,” in accordance with the appropriate OMB circular.
Additional regulations applicable to contractors are found in
29 CFR Part 97 for State and Local Governments and Part 95 for Institutions of
Higher Education, Hospitals and other Non–Profit Organizations.
Exceptions to those regulations are that:
1. Procurement contracts and other transactions between local
boards and units of state and local governments must be conducted only on a cost
reimbursement basis.
2. Program income shall be calculated based on the methods
outlined in 7.17(2).
3. Any excess revenue over expenditures incurred for services
provided by a governmental unit or nonprofit must be considered program
income.
7.17(1) General requirements of a financial management
system. Financial management systems should provide fiscal controls and
accounting procedures that conform to generally accepted accounting principles
(GAAP) as they relate to programs administered. A financial management system
must also have certain procedures in place to ensure that the system meets the
requirements of state and federal laws and regulations.
7.17(2) Program income means income generated by a
program–supported activity or earned only as a result of the
contract.
a. Program income includes:
(1) Income from fees for services performed and from
conferences;
(2) Income from the use or rental of property acquired with
contract funds;
(3) Income from the sale of commodities or items fabricated
under a contract;
(4) Income generated due to revenue in excess of expenditures
for services rendered, when provided by a governmental unit or nonprofit
entity.
b. Program income does not include:
(1) Interest earned on grant funds, rebates, credits,
discounts, refunds, or any interest earned on any of them. (Such funds shall be
credited as a reduction of costs if received during the same funding period.
Any credits received after the funding period must be returned to the
department.);
(2) Taxes, special assessments, levies, fines, and other
governmental revenues raised by a contractor;
(3) Income from royalties and license fees, copyrighted
material, patents, patent applications, trademarks, and inventions developed by
a contractor;
(4) Any other refunds or reimbursements, such as Pell Grant
reimbursement. (Such funds shall be credited back to the program that incurred
the original costs.);
(5) Any other funds received as the result of the sale of
equipment. (Such funds shall be credited back to the program that incurred the
original costs.)
c. Costs incidental to the generation of program income must
be deducted, if not already charged to the grant, from gross program income to
determine net program income. Net program income earned may be retained and not
sent back to the department, if such income is added to the funds committed to
the particular program under which it was earned. Net program income must be
used for allowable program purposes, and under the terms and conditions
applicable to the use of that program’s funds. Program income generated
may be used for any allowable activity under the program that generated that
income.
d. All net program income generated and expended must be
reported to the department each month on the financial status report.
Documentation of the use of net program income must be maintained on file. Any
net program income not used in accordance with the requirements of this rule
must be returned to the department.
(1) The classification of costs, including cost limitations,
apply to net program income. Net program income must be disbursed prior to
requesting additional cash payments. Net program income not disbursed prior to
the submittal of the annual closeout reports must be returned to the
department.
(2) If the net program income cannot be used by the region
that generated such income for allowable purposes, the funds must be returned to
the department. The department may permit another region to use the net program
income for allowable purposes.
7.17(3) Working capital advance payments of federal
funds.
a. Reimbursement is the preferred method for payment.
However, the subrecipient may provide working capital advance payments of
federal funds only to contractors, not vendors or training providers, after
determining that:
(1) Reimbursement is not feasible because the contractor lacks
sufficient working capital;
(2) The contractor meets the standards of this rule governing
advances to contractor;
(3) Advance payment is in the best interest of the grantee or
subrecipient; and
(4) The reason for needing an advance is not the unwillingness
or inability of the grantee or subrecipient to provide timely reimbursements to
meet the contractor’s actual cash disbursements.
b. If the conditions in 7.17(3)“a” are met,
working capital advance payments may be made to contractors by use of one of the
two procedures outlined below:
(1) Cash is only advanced (through check or warrant) to the
contractor to cover its estimated disbursement needs for an initial period,
generally geared to the contractor’s disbursement cycle, but in no event
may the advance exceed 20 percent of the contract amount. After the initial
advance, the contractor is only reimbursed for its actual cash disbursements;
or
(2) Cash is advanced electronically on a weekly basis similar
to the system maintained between the department and its contractors. Drawdowns
and expenditures must be timed in a way that minimizes the delay between the
receipt and actual disbursement of those funds.
7.17(4) Cost allocation. The methods of cost
allocation identified in this subrule are not all inclusive. Any method chosen
must be consistent with cost allocation principles as defined in the OMB
circular applicable to the contractor.
a. Any single cost which is properly chargeable to more than
one program or cost category is allocated among the appropriate programs and
cost categories based on the benefits derived. Contractors that receive WIA
funds are required to maintain a written cost allocation for WIA expenditures.
A cost allocation plan is the means by which costs related to more than one
program or cost category are distributed appropriately. All costs included in a
cost allocation plan must be supported by formal accounting records that
substantiate the propriety of eventual charges. Each subrecipient must develop
a written plan that addresses how joint costs will be allocated during the
fiscal year. The plan must include:
(1) The time period involved;
(2) Programs that must be allocated;
(3) Basis to be used for allocation; and
(4) Exceptions to the general rules.
Any cost that cannot be identified as a direct cost of a
particular program or a cost category is allocated based on one of the
acceptable methods discussed above and must be included in the cost allocation
plan.
b. Cost allocation plans are based on a documented basis. The
basis upon which a given cost is allocated is relevant to the nature of the cost
being allocated, and whether the cost is a legitimate charge to the program(s)
and cost category to which it is being allocated. The basis upon which costs
are allocated is consistent throughout the fiscal year.
c. Possible acceptable actual bases for allocating costs
include:
(1) Staff timesheet allocation basis (fixed or
variable).
(2) Service level allocation basis (fixed
or variable).
(3) Usage rate allocation basis (fixed or
variable).
(4) Full–time employees basis (fixed
only).
d. Funds received under various programs may be allocated
using the cost pooling method. Under a cost pooling method, expenditures that
cannot be identified to a particular cost category or program may be pooled and
allocated in total on a monthly basis. If this method is established, the
expenditures must be allocated to each program based upon the benefit derived by
each program. Cost pools may be established for a cost category, a line item in
an agency’s budget or to include multiple programs. The process used to
allocate pool costs must ensure that no program or cost category is charged an
amount in excess of what is allowed by law or regulation. Examples
include:
(1) Administrative, program services or combined cost category
pool. (An administrative pool may be used if an entity also has administrative
costs associated with programs other than WIA Title I programs.)
(2) Facility or supplies line item cost pool.
(3) Workforce (multiple) programs.
e. Cost allocation plans must be submitted by August 31 of
each year to Bureau of Administrative Support, Budgeting and Reporting,
Department of Workforce Development, 1000 E. Grand Avenue, Des Moines, Iowa
50319.
7.17(5) Indirect costs may be charged to programs, if
the contractor has an approved indirect cost agreement with a federal cognizant
agency or another state agency and the agreement covers the term of the grant.
The plan must be in compliance with the applicable OMB circular for the entity
charging indirect costs.
7.17(6) Time and attendance documentation must be
maintained for any individual who receives any part of the individual’s
wage from programs funded by WIA and for all participants receiving payments
based in whole or in part on attendance in programs funded by WIA.
7.17(7) A contractor receiving federal or state funds
from the department and conducting its own procurement must have written
procurement procedures. The procedures must be consistent with applicable state
and local laws and regulations; the procurement standards set forth in this
subrule; and the regulations as described in 29 CFR Part 95 for institutions of
higher education and nonprofit organizations; or 29 CFR Part 97 for state and
local government organizations.
a. State and federal procurement laws and regulations,
including the procurement standards set forth in this subrule, take precedence
over any contractor procurement policies and procedures.
b. The written procurement policies and procedures of each
contractor must include, at a minimum, the following elements:
(1) Authority to take procurement actions;
(2) Standards of conduct;
(3) Methods of procurement;
(4) Solicitation procedures; and
(5) Documentation requirements.
c. There are three types of allowable procurement procedures:
request for quotations (RFQ), request for proposals (RFP), and sole source.
Contractors must conduct competitive procurement except as outlined in
“d” below.
d. The circumstances or situations under which sole source
procurement is allowable are limited to the following:
(1) Any single purchase of supplies, equipment, or services
totaling less than $2,000 in the aggregate;
(2) Single participant work experience, vocational
exploration, limited internship and on–the–job training
contracts;
(3) Enrollment of individual participants in institutional
skills training;
(4) All other individual training or services contracts
involving only one participant, except where such contracts include the purchase
of property. Such property must be purchased through competitive
procedures;
(5) Activities and services that are provided by the fiscal
agent, designated service provider, or subrecipient when a determination of
demonstrated performance clearly documents the staff’s ability to provide
the training or services;
(6) A modification to a contract that does not substantially
change the statement of work of that contract;
(7) After solicitation of an adequate number of sources, only
one acceptable response was received;
(8) Any single service or workshop costing less than $5,000
identified in the regional customer service plan;
(9) Supplies, property and services which have been determined
to be available from a single source; and
(10) An emergency situation for which the department or
applicable governing boards provide written approval.
7.17(8) Property purchased with funds received through
the department must be acquired in accordance with the department
standards.
a. Prior approval must be obtained from the department before
purchasing any property with a unit acquisition value of $5,000 or
more.
b. Real property (real estate and land) shall not be purchased
with funds received through the department.
c. Title to all property purchased with the department funds,
including participant property, is vested with the state if the state is the
majority owner. (If more than one agency contributed funds for the purchase of
property, the majority owner is the entity that provided the largest portion of
funds. In instances in which entities contributed the same amount of funding,
the state is considered the majority owner.)
d. Prenumbered department property tags shall be affixed to
all property with a unit acquisition value of $2,000 or more, and to all
personal computer logic units and monitors. Unnumbered department property tags
shall be affixed to all property with an aggregate value of $2,000 or more at
time of purchase. Prenumbered and unnumbered tags will be provided to each
region.
e. At a minimum, an inventory of all property must include the
following:
1. Property tag number, if applicable;
2. Description of the property;
3. Stock or identification number, including model and
manufacturer’s serial number, when applicable;
4. Manufacturer;
5. Purchase date;
6. Purchase order number, when applicable;
7. Unit cost;
8. Location of property;
9. Condition of property;
10. Disposition of property as applicable; and
11. Grant agreement number.
f. A physical observation of all property must be conducted by
the program operator prior to the end of each fiscal year (June 30). A complete
inventory list must be provided to the department in each fiscal year’s
close–out package.
g. All property purchased with the department funds or
transferred from programs under the authority of the department must be used to
meet program objectives and the needs and priorities identified in the regional
customer service plan. Property purchased with the department funds must be
used by the coordinating service provider or program operator in the program or
project for which it was acquired, as long as it is needed for that project or
program. When no longer needed for the original program or project, the
property may be used in other activities supported by the department.
h. The department–purchased property may be made
available for use on other projects or programs providing such use does not
interfere with the work on the project or program for which it was originally
acquired. Priority should be given to other programs or projects supported by
the department.
i. Disposition of any property, including participant
property, is allowable only with the written concurrence of the department. The
request to dispose of property must be in writing and include:
1. A description of the property;
2. Its purchase price;
3. Property tag number;
4. Current condition; and
5. Preference for the method of disposal.
j. The method of disposal may be the outright disposal by
local waste agencies of items that are either unusable or unsafe or are
currently of immaterial value. Those items that do not fit this definition may
be sold locally, using a public process, to generate program income.
k. Requests to dispose of property are to be sent to Business
Management, Department of Workforce Development, 1000 E. Grand Avenue, Des
Moines, Iowa 50319.
l. Any funds generated from sale of property are to be
considered program income and must be used to further the objectives of the
program(s) that paid for that property originally. If that funding source no
longer exists, then the program income generated must be used for other
allowable employment or training activities. In cases where the property was
purchased from multiple funding sources, the program income generated may be
attributed to the funding source that paid the greatest share of the cost of the
property. Otherwise, the program income must be allocated by the same
percentages as were used to purchase the property originally.
7.17(9) Certifications. All contractors must certify,
as a condition to receive funding, compliance with the following laws and
implementing regulations:
a. Workforce Investment Act of 1998 (P. L. 105–220) and
all subsequent amendments.
b. U.S. Department of Labor implementing
regulations.
c. Iowa Code chapters 84, 84A, and 96.
d. Iowa Administrative Code 877—Chapter 11.
e. Iowa Civil Rights Act of 1965.
f. OMB Circular A–87 for State and Local
Governments.
g. OMB Circular A–122 for Non–Profit
Entities.
h. OMB Circular A–21 for Institutions of Higher
Education.
i. Appendix E of 45 CFR Part 74 for hospitals receiving
research and development grants.
j. 29 CFR Part 97 for State and Local Governments.
k. 29 CFR Part 95 for Institutions of Higher Education,
Hospitals and other Non–Profit Organizations.
l. Age Discrimination Act of 1975 (42 U.S.C. 6101 et
seq.).
m. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C.
794).
n. Americans with Disabilities Act of 1990.
o. Title IX of the Education Amendments of 1972 (20 U.S.C.
1681 et seq.).
p. Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d
et seq.).
q. Debarment and suspension; restrictions on lobbying (29 CFR
Part 93).
r. Drug–Free Workplace (29 CFR Part 98).
s. Other relevant regulations as noted in the
department’s handbook for grantees and contracts for services with the
department.
7.17(10) Unallowable costs. WIA funds shall not be
spent on the following:
a. Wages of incumbent employees during their participation in
economic development activities provided through a statewide workforce
investment system.
b. Expenses prohibited under any other federal, state or local
law or regulation.
c. Foreign travel, if the source of funds is formula funds
under Subtitle B, Title I of WIA.
d. Financial assistance for any program involving political
activities.
e. The encouragement of a business to relocate from any
location in the United States if the relocation results in any employees losing
their jobs at the original location.
f. Customized, skill, or on–the–job training or
company–specific assessments of job applicants or employees of a business
that has relocated from any location in the United States, until the company has
operated at that location for 120 days, if the relocation has resulted in any
employees losing their jobs at the original location.
g. Any region may enter into an agreement with another region
within the same labor market to pay or share costs of program services,
including supportive services. The agreement must be approved by each regional
board providing guidance to the area and shall be described in the regional
customer service plan.
h. WIA funds cannot be used for public service employment
except for disaster relief employment.
i. Fees may not be charged for placement or referral to a WIA
activity. However, services, facilities, or equipment funded under the WIA may
be used on a fee–for–service basis by employers in a region in order
to provide employment and training activities to incumbent workers when such
services, facilities, or equipment is not in use to provide services for WIA
participants; if such use for incumbent workers would not have an adverse affect
on providing services to WIA participants; and if the income derived from such
fees is used to carry out WIA programs.
j. WIA funds may not be spent on employment generating
activities, economic development, and other similar activities, unless they are
directly related to training for eligible individuals. Employer outreach and
job development activities are directly related to training for eligible
individuals. Allowable employer outreach and job development activities
include:
(1) Contacts with potential employers for the purpose of
placement of WIA participants;
(2) Participation in business associations (such as chambers
of commerce);
(3) Staff participation on economic development boards and
commissions, and work with economic development agencies to provide information
about WIA programs, to assist in making informed decisions about community job
training needs, and to promote the use of first source hiring agreements and
enterprise zone vouchering services;
(4) Active participation in local business resource centers
(incubators) to provide technical assistance to small and new business to reduce
the rate of business failure;
(5) Subscriptions to relevant publications;
(6) General dissemination of information of WIA programs and
activities;
(7) The conduct of labor market surveys;
(8) The development of on–the–job training
opportunities; and
(9) Other allowable WIA activities in the private
sector.
k. The employment or training of participants in sectarian
activities is prohibited, as is the construction, operation or maintenance of
any part of any facility that is used for sectarian instruction or religious
worship. However, WIA funds may be used for the maintenance of a facility that
is not primarily devoted to sectarian instruction or religious worship if the
organization operating the facility is part of a program or activity providing
services to WIA participants.
l. WIA Title I funds may not be used for the encouragement of
a business to relocate from any location in the United States if the relocation
results in any employee’s losing ajob at the original location. Also, WIA
Title I funds maynot be used for customized, skill, or on–the–job
training or company–specific assessments of job applicants or employees of
a business that has relocated from any location in the United States, until the
company has operated at that location for 120 days, if the relocation has
resulted in any employee’s losing a job at the original location.
Pre–award reviews must be conducted to verify that employers are new or
expanding and are not relocating from another area.
m. A participant in a program or activity authorized under
Title I of WIA shall not displace (including a partial displacement) any current
employee as of the date of the participation. In addition, a program or
activity authorized under Title I of WIA must not impair existing contracts for
services or collective bargaining agreements. If so, the appropriate labor
organization and employer must provide written concurrence before the program or
activity begins. Regular employees and program participants alleging
displacement may file a complaint under WIA grievance procedures.
7.17(11) Record retention. Contractors must maintain
all records pertinent to funds received from IWD, including financial,
statistical, property, and participant records and supporting
documentation.
a. Contractors shall maintain books, records, and documents
that sufficiently and properly document and calculate all charges billed for a
period of at least five years after the end of each contractor’s fiscal
year.
b. All records must be retained for a longer period of time if
any litigation, audit, or claim is started and not resolved during that period.
In these instances, the records must be retained either for five years after the
end of the entity’s fiscal year or for three years after the litigation,
audit, or claim is resolved, whichever is longer.
c. Records for property must be retained for a period of three
years after the final disposition of the property.
7.17(12) Disaster recovery system. The contractor
must ensure that a satisfactory plan is in place for record recovery in the
event that critical records are lost due to fire, vandalism, or natural
disaster. All computerized or microfilmed MIS and accounting records must be
safeguarded by off–site or multiple–site storage of such
records.
7.17(13) Access to records. The state, U.S.
Department of Labor, Director—Office of Civil Rights, the Comptroller
General of the United States, and any of their authorized representatives must
have timely and reasonable right of access to any pertinent books, documents,
papers, or other records of the contractor to make audits, examinations,
excerpts or transcripts. These rights are not limited to the record retention
policies, but may last as long as the records are actually retained by the
contractor. If the contractor has established a retention period longer than
that required by the regulations, access to those records, by any of the above
organizations, does not cease until the records are actually destroyed or
discarded.
7.17(14) Records substitution. Substitution of
original records can be made by microfilming, photocopying, film imaging or
other similar methods.
877—7.18(84A,PL105–220)
Auditing.
7.18(1) State and local governments, nonprofits,
institutions for higher education and hospitals. Contractors that expend
$300,000 or more in a fiscal year in federal funds shall have a single or
program–specific audit conducted for that year. Contractors that expend
$300,000 or more in federal funds in a fiscal year shall have a single audit
conducted, in compliance with OMB Circular A–133 (A–133), except
when they elect to have a program–specific audit conducted.
Program–specific audits are allowed under the following
circumstances:
a. A contractor expends federal funds under only one federal
program; and
b. Federal program laws, regulations, or grant agreements do
not require a financial statement audit of the contractor.
Contractors that expend less than $300,000 in federal funds in
a fiscal year are exempt from federal audit requirements for that year.
However, records must be made available for review or audit by the state and
federal agencies and the General Accounting Office.
7.18(2) Commercial organizations. If such entities
expend more than $300,000 in federal funds in their fiscal year, then either an
A–133 audit or a program–specific audit must be conducted.
7.18(3) Vendors. In most cases, contractors need only
ensure that procurement, receipt, and payment for goods or services comply with
the laws, regulations, and the provisions of contracts or agreements. However,
the contractor is responsible for ensuring compliance for vendor transactions
which are structured such that the vendor is responsible for program compliance
or the vendor’s records must be reviewed to determine compliance. If
these transactions relate to a major program, the scope of the audit shall
include determining whether these transactions are in compliance with laws,
regulations, and the provisions of the contract or agreement.
7.18(4) Relation to other audits. Audits performed in
accordance with A–133 are in lieu of any financial audit required under
individual federal awards. To the extent that this audit meets a federal
agency’s needs, it shall rely upon and use such audits. However, this
does not limit the authority of the federal agency, including the General
Accounting Office, to conduct or arrange for additional audits. Federal
agencies that conduct additional audits shall ensure that they build upon audit
work previously conducted and be responsible for costs incurred for the
additional audit work.
7.18(5) Frequency of audits. With the following
exceptions, the audit is normally conducted on an annual basis. Entities which
are required by constitution or statute, in effect on January 1, 1987, to have
audits performed less frequently are permitted to undergo audits biennially.
Also, nonprofit entities that had biennial audits for all biennial periods
ending between July 1, 1992, and January 1, 1995, are permitted to undergo
audits biennially.
7.18(6) Completion and submittal. The audit must be
completed and data collection/reporting package forms are to be submitted the
earlier of 30 days after the completion of the audit or within nine months after
the period covered by the audit. The data collection form and reporting package
must also be submitted to the federal clearinghouse designated by the Office of
Management and Budget. In addition, one copy of the reporting package and any
management letters issued by the auditors are to be submitted to Budgeting and
Reporting Bureau, Department of Workforce Development, 1000 E. Grand Avenue, Des
Moines, Iowa 50319. Each contractor shall provide one copy of the reporting
package to the contracting entity that provided the contractor with WIA
funds.
7.18(7) Data collection form. Each contractor shall
submit a data collection form to the contracting entity that provided the
contractor with WIA funds. This form should state whether the audit was
completed in accordance with A–133 guidelines and provide information
concerning the federal funds and the results of the audit. The form used shall
be approved by the Office of Management and Budget, available from the
clearinghouse designated by OMB, and include a signature of a senior level
representative of the contractor. Also, a certification must be submitted which
states that the entity audited complied with the requirements of A–133,
that the form was prepared in accordance with A–133, and that the form, in
its entirety, is accurate and complete.
The auditors must sign a statement to be included with the
data collection form that indicates, at a minimum, the source of the information
included in the form, the auditor’s responsibility for the information,
the form is not a substitute for the reporting package, and the content of the
form is limited to the data elements prescribed by OMB.
7.18(8) Reporting package. Auditors are required to
complete a reporting package that includes:
1. Financial statements and schedule of expenditures of
federal awards;
2. Summary schedule of prior audit findings;
3. Auditor’s report(s); and
4. Corrective action plan.
7.18(9) Records retention. One copy of the data
collection form and one copy of the reporting package must remain on file for
three years from the date of submission to the federal clearinghouse.
7.18(10) Audit resolution. If an audit is completed
with no findings, the department shall receive a notification of audit letter
from the appropriate audit firm. The auditee shall be notified of the
acceptance of that letter. In no case shall the date from receipt of an
acceptable audit report or notification letter to the date of the final
determination exceed 180 days. The department shall issue an initial
determination within 30 days of receipt of each audit report with negative
findings. Such initial determination shall identify costs questioned under the
audit and either propose corrective actions to be taken or request additional
documentation from the auditee.
a. Each initial determination shall include:
(1) Relevant statutory, regulatory or grant agreement
citations supporting the findings and determinations;
(2) Necessary corrective actions required by the auditee to
achieve compliance;
(3) A request for additional documentation, as necessary, to
adequately respond to the findings; and
(4) Notice of the opportunity for an audit resolution
conference with the department.
Each auditee shall be allowed a 30–day period in which
to respond. An additional 30 days in which to respond may be requested in
writing prior to the end of the initial 30 days. Such request shall include the
reason the extension is needed and the date by which the response will be
completed. Such a request must be received by the department no later than 30
days after the issuance of the initial determination. The auditee shall be
notified in writing of the approval or disapproval of the request.
b. Within 30 days after the due date of the response to the
initial determination, a final determination shall be issued and sent to the
auditee. A final determination shall be issued whether or not a response to the
initial determination has been made. The final determination shall
include:
(1) Identification of those costs questioned in the audit
report that will be allowed and an explanation of why those costs are
allowed;
(2) Identification of disallowed costs, a listing of each
disallowed cost and a description of the reasons for each
disallowance;
(3) Notification to the chief elected official board and
auditee of final determination and debt establishment, if relevant;
and
(4) Information on the auditee’s and chief elected
official board’s right to appeal through the department’s
appealsprocess.
When a debt has been established, the final determination will
be used to set up a debt account in the amount of the debt.
7.18(11) The decision to impose the disallowed cost
sanction shall take into consideration whether or not the funds were expended in
accordance with that program’s rules and regulations, the contract
agreement, the Iowa Administrative Code and generally accepted accounting
practices. Ignorance of the requirements is not sufficient justification to
allow a previously questioned cost nor will the auditee’s inability to pay
the debt be a consideration in the decision to impose the disallowed cost
sanction.
7.18(12) An audit file shall be maintained for each
audit or notification letter received from each auditee. The audit may not be
considered closed until such time as the federal clearinghouse designated by the
Office of Management and Budget accepts the state’s resolution
report.
877—7.19(84A,PL105–220) Debt collection
procedures.
7.19(1) Debt collection begins once the debt has been
established by either an audit final determination or financial/program
monitoring final decision letter. Debts arising from other forms of oversight
will be identified through written communication to the chief elected official
board.
7.19(2) If the debt is appealed, debt collection is
suspended until that appeal is resolved. If the appeal is granted, debt
collection shall not be established.
7.19(3) No earlier than 15 days, but not later than 20
days, after the debt has been established, an initial demand for repayment
letter shall be sent to the chief elected official board by certified mail with
return receipt requested. The initial demand letter informs the chief elected
official board that a debt has been established and references the previous
letter that established the debt. When applicable, instructions for requesting
a waiver from debt shall be provided in the letter. The chief elected official
board shall be granted 15 days from the date of the initial demand letter either
to submit payment in full or to forward the applicable request for waiver. If
the chief elected official board refuses those options, does not accept the
letter, or if no response is received within the required time frame, a final
demand for payment shall be issued.
7.19(4) The final demand letter, also sent by
certified mail with return receipt requested, shall ask for payment within 10
days from the date of that letter. If the chief elected official board refuses
the options identified in the final demand letter, does not accept the letter or
does not respond, legal action shall be taken. Such action will seek payment of
the debt as well as applicable court costs and accrued interest.
7.19(5) The debt collection process is suspended if a
request for waiver is received by the department in accordance with waiver
policies applicable to that program. If the request for waiver is denied, the
debt collection process will continue.
7.19(6) Payment options. Payment options include the
following:
a. Payment in full. Payment of debts is generally a
one–time cash payment due at the time of final determination by the
department. In cases of documented financial hardship or for other reasons as
allowed by law, the department may grant repayment as outlined in
“b” or “c” below. However, the department may charge
interest on debts from the date they are established.
b. Repayment agreement. A repayment agreement may be
negotiated for a time period not to exceed one year. The agreement must be
written and signed by both parties. The agreement must include a schedule of
payments which includes exact payment dates, amount of debt and each payment,
interest, dates of agreement and a requirement for payment in full for breach of
the agreement by the chief elected official board.
c. Allocation reduction. Where allowable, a reduction may be
made in a chief elected official board’s budget to offset a debt. This
may be done in cases where the misexpenditure of funds was not due to willful
disregard of the Act or regulations, gross negligence, failure to observe
accepted standards of administration or a pattern of misexpenditure. Such
allocation reductions will come from administrative funds only.
877—7.20(84A,PL105–220) Grantee report
requirements.
7.20(1) Financial reports. Financial status reports
and funds verification forms are tools used by the department for oversight of
financial activity, as well as providing the documentation necessary to complete
state and federal reports. Failure to report in a timely manner may result in
advance payment delays, negative performance evaluations or possible termination
of the contract.
a. Financial status reports. Expenditures
must be reported according to the programs and cost categories identified in the
budget summary section of each contract. Revenue is reported according to the
amount drawn from the department, via wire transfer, at the end of the reporting
period. At least quarterly (September, December, March and June reports)
expenditures must be reported on an accrued cost basis. Expenditures should
further be reported on a modified first–in, first–out basis, which
means the oldest year’s funds, by cost category, are to be expended first.
Financial status reports and fund source pages are to be submitted to Department
of Workforce Development, Bureau of Financial Management, 1000 E. Grand Avenue,
Des Moines, Iowa 50319.
b. Funds verification forms. Funds drawn
by the contractor from the department are done so by electronic funds transfer.
The funds are generally requested on Monday of each week and distributed on
Friday of the same week. Exceptions are made for weeks that include holidays,
and those are addressed on a case–by–case basis. The financial
management bureau of the department shall notify contractors in advance of
call–in date changes. Funds are requested by preparation of an electronic
funds verification form that is attached to an E–mail request. This is
sent to the financial management bureau and is the basis for the Friday wire
transfer. In order to establish a wire transfer system for a contractor, bank
account information must be received by the department two weeks prior to the
first wire transfer of funds. The timing of the contractor’s receipt of
funds and the disbursement of those funds must be done in a manner that
minimizes the time that elapses between those two transactions.
7.20(2) Program reports. The information entered into
the department’s management information system is the official database to
be used for reporting. Reports are to be submitted to the program coordinator
responsible for each individual program. Monthly expenditure reports are due
the twentieth of the month following the month that is being reported. Final
federal program reports for adult and dislocated worker programs are due August
15 of each year. Final federal program reports for youth programs are due May
15 of each year.
7.20(3) Performance reports. Progress on performance
objectives must be reported to the department on a quarterly basis. Quarterly
progress reports are due from each regional workforce investment board on
October 30, January 31, and April 30 of each year. The annual progress report
is due from each region to the department on August 15 of each year.
877—7.21(84A,PL105–220) Compliance review
system. The department shall conduct annual financial, program, and quality
reviews.
7.21(1) Financial compliance reviews. An annual
financial compliance review shall be conducted by the department. The
on–site reviews will be of all programs administered through written
agreement between the department, the subrecipient, and the fiscal agents.
Monitoring of non–fiscal agent entities will be limited to those
subcontractors of the department that receive $100,000 or more during the fiscal
year. The monitoring will be performed to ensure compliance with, but is not
limited to, federal and state laws and regulations, the workforce development
center system handbook, welfare–to–work handbook, contractual
agreements with the department, and generally accepted accounting principles,
memorandum(s) of understanding, resource sharing agreements and cost allocation
plans.
7.21(2) Program compliance reviews. An annual program
compliance review shall be conducted by the department. The reviews will focus
on the designated service providers for various programs. The on–site
reviews include, but are not limited to, the following: activities and services;
applicant and participant processes; participant eligibility; participant file
review; procurement procedures; management information systems; local plans; and
verifications of program performance. The review will ensure local compliance
with the applicable state and federal laws and regulations.
7.21(3) Initial determination. Separate initial
determination letters are completed for each on–site visit. The report
shall include a description of findings, which includes specific references to
the standards, policies or procedures which have been violated; if necessary,
recommended and required corrective action to be implemented by the contractor,
designated service provider or coordinating service provider; a description of
any questioned costs, including the amount; and time frames for completing any
corrective action and responding to the initial report. Responses to the
initial determination letter shall be submitted to the department within 20 days
from the date of receipt of the letter.
7.21(4) Final determination. A final determination
letter shall be issued to the subrecipient within 20 days after receipt of the
response from the fiscal agent. The letter shall state the department’s
determination on all findings that required a response and the notification of
the right to appeal the final determination. If any findings are unresolved or
if costs are disallowed, the letter shall also include a description of the
unresolved finding(s); a citation or reference to the applicable regulations or
policies on which the finding was based; the final determination of the
department on each unresolved finding; and, if there are disallowed costs, the
amount of costs disallowed and notification that an initial demand letter shall
be sent. Copies of the final determination letter shall be sent to each
region’s regional workforce investment board, chief elected official
board, and coordinating service provider chairs.
7.21(5) Follow–up. Follow–up on findings
identified shall be conducted during the following fiscal year’s review.
The department’s follow–up will review corrective actions taken in
response to those findings.
7.21(6) Appeals. The subrecipient may submit an
appeal of a final determination within ten days of receipt of the final
determination. The appeal may be on behalf of a designated service provider,
coordinating service provider or the fiscal agent. The appeal must be directed
to the Division Administrator, Division of Workforce Development Center
Administration, Department of Workforce Development, 150 Des Moines Street, Des
Moines, Iowa 50309. The request for an appeal must also include a copy of the
final determination and the basis for the appeal. Appeals shall be reviewed by
a three–member appeal committee which shall include one staff member from
three different bureaus in the department. Appeals shall be reviewed by staff
not actually involved in the on–site monitoring that resulted in the
original finding and subsequent final determination. A decision on the appeal
shall be rendered by a majority vote of the appeal committee. If the appeal
committee cannot arrive at a decision, the division administrator shall make the
final decision.
7.21(7) Quality reviews. The department shall conduct
annual quality reviews. The reviews will focus on overall workforce development
center system performance, customer satisfaction, and continuous
improvement.
a. System performance measures will be reviewed with the
coordinating service provider to identify areas of strength and areas that may
need improvement. The review will include an interview with the required
workforce development center system partners individually or the partners as a
group, or both. The regional customer service plan will also be reviewed to
determine what progress is being made to meet the needs and priorities
identified by the regional workforce investment board and chief elected official
board. In the event system performance standards are not being met, the
objective of the review will be to help identify methods for improvement.
Should the same issues be identified for two consecutive years, a corrective
action plan will be required by the department. All other issues will be
referred to the regional workforce investment board for its action.
b. The memorandum(s) of understanding between the workforce
development center system partners and the regional workforce investment board
will be reviewed. The purpose is to ensure that the products and services
offered through the system are available, accessible, and being used.
c. The review will look at efforts being made to coordinate
workforce development services throughout the region, to build new partnerships,
and to assess the results of these efforts. This may include, but is not
limited to, joint grant applications, efforts to integrate services and minimize
duplication from the system, level of participation in the system by required
and voluntary partners, and unique funding or service delivery methods involving
multiple service providers.
d. Overall customer satisfaction of the workforce development
center system is to be evaluated. Randomly selected program participants and
employers identified in the common intake system will be interviewed. The
interview will include, at a minimum, a review of the customer’s file as
presented on the common intake system, the customer’s overall perception
of how the customer was treated, an evaluation of the services offered as
compared to the needs of the customer, and a review of the case file with the
case manager.
e. An exit interview to review the findings will be conducted
with the regional workforce investment board and coordinating service provider.
Methods for improving systems will be discussed and an agreement reached on
their implementation. The coordinating service provider will have 14 days to
respond to the findings and recommendations, at which time a final report will
be prepared and delivered to the chair of the regional workforce investment
board.
877—7.22(84A,PL105–220) Equal opportunity
compliance. Reserved.
877—7.23(84A,PL105–220) Regional level
complaint procedures. Each coordinating service provider must establish
procedures for grievances and complaints. At a minimum, the local procedures
must provide:
7.23(1) A process for dealing with grievances and
complaints from participants and other interested parties affected by the local
workforce investment system, including one–stop partners and service
providers;
7.23(2) An opportunity for an informal resolution and
a hearing to be completed within two days of the filing of the grievance or
complaint;
7.23(3) A process which allows an individual alleging
a labor standards violation to submit a grievance to a binding arbitration
procedure, if a collective bargaining agreement covering the parties to the
grievance so provides; and
7.23(4) An opportunity for a local level appeal to
the department when:
a. No decision is reached within 60 days; or
b. Either party is dissatisfied with the local hearing
decision.
7.23(5) Participants, service providers and other
interested individuals must be informed of the local complaint procedure in
writing, as well as the ability and procedures to appeal local decisions to the
department.
877—7.24(84A,PL105–220) Department complaint
procedures. Complaints may be filed with the department to resolve alleged
violations of the Act, federal or state regulations, grant agreements, contract
or other agreements under the Act. The department’s complaint procedure
may also be used to resolve complaints with respect to audit findings,
investigations or monitoring reports.
7.24(1) Grievances and complaints from customers and
other parties related to the regional workforce development center system and
regional programs shall be filed through regional complaint procedures. Any
party which has alleged violations at the regional level, and has filed a
complaint at the regional level, may request review by the department if that
party receives an adverse decision or no decision within 60 days of the date the
complaint was filed at the regional level.
7.24(2) Any interested person, organization or agency
may file a complaint. Complaints must be filed within 90 calendar days of the
alleged occurrence. Complaints must be clearly portrayed as such and meet the
following requirements:
a. Complaints must be legible and signed by the complainant or
the complainant’s authorized representative;
b. Complaints must pertain to a single subject, situation or
set of facts and pertain to issues over which the state has authority (unless
appealed from the regional level);
c. The name, address and telephone number (or TDD number) must
be clearly indicated. If the complainant is represented by an attorney or other
representative of the complainant’s choice, the name, address and
telephone number of the representative must also appear in the
complaint;
d. Complaints must state the name of the party or parties
complained against and, if known to the complainant, the address and telephone
number of the party or parties complained against;
e. Complaints must contain a clear and concise statement of
the facts, including pertinent dates, constituting the alleged
violations;
f. Complaints must cite the provisions of federal or state
regulations, grant agreements, or other agreements believed to have been
violated, if applicable;
g. Complaints must state the relief or remedial action(s)
sought;
h. Copies of documents supporting or referred to in the
complaint must be attached to the complaint; and
i. Complaints must be addressed to Complaint Officer, Division
of Workforce Development Center Administration, Department of Workforce
Development, 150 Des Moines Street, Des Moines, Iowa 50309.
7.24(3) A complaint is deemed filed with the
department when it has been received by the complaint officer and meets the
requirements outlined in 7.24(2). Upon receipt of a complaint, the department
will send a copy of the complaint and a letter of acknowledgment and notice to
the complainant and any persons or entities cited in the complaint within seven
calendar days. The letter of acknowledgment and notice shall contain the filing
date and notice of the following opportunities:
a. The opportunity for informal resolution of the complaint at
any time before a hearing is convened; and
b. The opportunity for a party to request a hearing by filing
with the complaint officer within seven calendar days of receipt of the
acknowledgment of the complaint.
7.24(4) Failure to file a written request for a
hearing within the time provided constitutes a waiver of the right to a hearing,
and a three–member panel shall rule on the complaint based upon the
information submitted. If a hearing is requested within seven calendar days of
receipt of the acknowledgment of the complaint, the hearing shall be held within
20 calendar days of the filing of the complaint. The party(ies) to the
complaint shall have the opportunity to submit written evidence, statements, and
documents in a time and manner prescribed by the complaint officer.
7.24(5) The complaint officer shall convene a review
panel of three agency staff members to review complaints within 20 calendar days
of the receipt of the complaint. The review panel may, at its discretion,
request oral testimony from the complainant and the parties complained against.
Within 30 calendar days of the receipt of the complaint, the review panel shall
issue a written decision, including the basis for the decision and, if
applicable, remedies to be granted. The decision shall detail the procedures
for a review by the director if the complainant is not satisfied with the
decision.
7.24(6) Party(ies) may appeal the decision by filing
an appeal with the complaint officer no later than 10 calendar days from the
issuance date of the decision. The complaint officer will forward the complaint
file to the director for review. If no appeal of the decision is filed within
the time provided, the decision shall become the final agency
decision.
7.24(7) A complaint may, unless precluded by statute,
be informally settled by mutual agreement of the parties at any time before a
hearing is convened. The settlement must be effected by a settlement agreement
or a statement from the complainant that the complaint has been withdrawn or
resolved to the complainant’s satisfaction. The complaint officer must
acknowledge the informal settlement and notify the parties of the final action.
With respect to the specific factual situation which is the subject of
controversy, the informal settlement constitutes a waiver by all parties of the
formalities to which they are entitled under the terms of the Iowa
administrative procedure Act, Iowa Code chapter 17A, the Act, and the rules and
regulations of the Act.
7.24(8) Upon receipt of a timely request for a
hearing, the complaint officer shall assign the matter to a panel. The panel
will give all parties at least seven days’ written notice either by
personal service or certified mail of the date, time and place of the hearing.
The notice may be waived in case of emergency, as determined by the panel, or
for administrative expediency upon agreement of the interested
parties.
a. The notice of hearing shall include:
(1) A statement of the date, time, place, and nature of the
hearing;
(2) A brief statement of the issues involved; and
(3) A statement informing all parties of their opportunities
at the hearing.
b. All parties are granted the following opportunities at
hearing:
(1) Opportunity for the complainant to withdraw the request
for hearing before the hearing;
(2) Opportunity to reschedule the hearing for good cause,
provided the hearing is not held later than 20 days after the filing of the
complaint;
(3) Opportunity to be represented by an attorney or other
representative of choice at the complainant’s expense;
(4) Opportunity to respond and present evidence and bring
witnesses to the hearing;
(5) Opportunity to have records or documents relevant to the
issues produced by their custodian when such records or documents are kept by or
for the state, contractor or its subcontractor in the ordinary course of
business and where prior reasonable notice has been given to the complaint
officer;
(6) Opportunity to question any witnesses or
parties;
(7) The right to an impartial review panel; and
(8) A final written agency decision shall be issued within 60
days of the filing of the complaint.
7.24(9) An appeal to the director must be filed within
10 calendar days from the issuance date of the decision and include the date of
filing the appeal and the specific grounds upon which the appeal is made. Those
provisions upon which an appeal is not requested shall be considered resolved
and not subject to further review. Appeals must be addressed to Complaint
Officer, Division of Workforce Development Center Administration, Department of
Workforce Development, 150 Des Moines Street, Des Moines, Iowa 50309.
Upon receipt of an appeal, the complaint officer shall forward
the complaint file to the director. The complaint officer shall give written
notice to all parties of the filing of the appeal and set a deadline for
submission of all written evidence, statements, and documents. The director
shall consider all timely filed appeals, exceptions, statements, and documents
at the time the decision is reviewed. With the consent of the director, each
party may present oral argument. The director may adopt, modify or reject the
review panel’s decision or remand the case to the review panel for the
taking of such additional evidence and the making of such further findings of
fact, decision and order as the director deems necessary.
Upon completing the review of the review panel’s
decision, the director shall issue and forward to all parties a final written
decision no later than 60 days after the filing of the initial
complaint.
7.24(10) The director’s decision is final unless
the Secretary of Labor exercises the authority of federal review in accordance
with 20 CFR Part 667. Federal level review may be accepted by the Secretary if
the complaint meets the requirements of 20 CFR Part 667. Upon exhaustion of the
state’s grievance and complaint procedure, or when the Secretary has
reason to believe that the state is failing to comply with the Act, the state
plan, or the region’s customer service plan, the Secretary must
investigate the allegation or belief and determine within 120 days after
receiving the complaint whether such allegation or complaint is true.
7.24(11) Any party receiving an adverse decision at
the regional level may file an appeal within 10 calendar days to the
department’s complaint officer. In addition, any complaint filed at the
regional level with no decision within 60 days of the date of the filing may be
reviewed by the department. The request to review the complaint must be filed
with the complaint officer within 15 calendar days from the date on which the
decision should have been received. The appeal or request for review must
comply with the procedures as prescribed in 7.24(2) for filing a complaint. The
parties involved shall be afforded the rights and opportunities for filing a
state level complaint.
The complaint officer shall review all complaints filed within
seven calendar days. If the subject and facts presented in the complaint are
most relevant to regional policy, the complaint officer shall remand the
complaint to the coordinating service provider of the appropriate region for
resolution.
Failure to file the complaint or grievance in the proper venue
does not negate the complainant’s responsibility for filing the complaint
in the appropriate time frames.
7.24(12) A unit or combination of units of general
local governments or a rural concentrated employment program grant recipient
that requests, but is not granted automatic or temporary and subsequent
designation as a local workforce investment area, may appeal to the state
workforce development board within 30 days of the nondesignation. If the state
workforce development board does not grant designation on appeal, the decision
may be appealed to the Secretary of Labor within 30 days of the written notice
of denial. The appeal must be submitted by certified mail, return receipt
requested, to the Secretary, U.S. Department of Labor, Washington, DC 20210.
The appellant must establish that it was not accorded procedural rights under
the appeal process described in the state plan or establish that it meets the
requirements for designation in the Act. The Secretary shall take into account
any comments submitted by the state workforce development board.
7.24(13) Training providers have the opportunity to
appeal denial of eligibility by a regional workforce investment board or the
department, termination of eligibility or other action by a regional workforce
investment board or the department, or denial of eligibility as a provider of
on–the–job training or customized training by the coordinating
service provider. All appeals must be filed with the department within 30 days
of receipt of written notice of denial or termination of eligibility.
Appellants must follow the procedures for a complaint described in 7.24(2).
Appeals shall be handled in the same manner as a complaint. State decisions
issued under this subrule may not be appealed to the Secretary of
Labor.
7.24(14) WIA participants subject to testing for use
of controlled substances and WIA participants who are sanctioned after testing
positive for the use of controlled substances may appeal to the department using
the procedures for a complaint described in 7.24(2). State decisions issued
under this subrule may not be appealed to the Secretary of Labor.
7.24(15) A workforce development region may appeal
nonperformance sanctions to the Secretary of Labor under the following
conditions:
a. The region has been found in substantial violation of WIA
Title I, and has received notice from the governor that either all or part of
the local plan will be revoked or that a reorganization will occur; or
b. The region has failed to meet regional performance measures
for two consecutive years and has received the governor’s notice of intent
to impose a reorganization plan.
Revocation of the regional plan or reorganization does not
become effective until the time for appeal has expired or the Secretary has
issued a decision. An appeal must be filed within 30 days after receipt of
written notification of plan revocation or imposed reorganization. It must be
submitted by certified mail, return receipt requested, to Secretary of Labor,
Attention: ASET, U.S. Department of Labor, Washington, DC 20010. A copy of the
appeal must be simultaneouslyprovided to the governor. In deciding the appeal,
the Secretary may consider comments submitted in response from the governor.
The Secretary will notify the governor and appellant in writing of the
Secretary’s decision within 45 days after receipt of the appeal filed
under 7.24(15)“a” above; and within 30 days after receipt of appeals
filed under 7.24(15)“b” above.
These rules are intended to implement Iowa Code sections 84A.1
to 84A.1B, Iowa Code chapter 96, and the Workforce Investment Act of
1998.
[Filed 4/21/00, effective 6/21/00]
[Published 5/17/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 5/17/00.
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