IOWA ADMINISTRATIVEBULLETIN
Published Biweekly VOLUME XXII NUMBER 25 June 14,
2000 Pages 1793 to 1956
CONTENTS IN THIS ISSUE
Pages 1804 to 1937 include ARC 9863A to ARC
9889A
ALL AGENCIES
Schedule for rule making 1796
Publication procedures 1797
Administrative rules on CD–ROM 1797
Agency identification numbers 1802
CITATION OF ADMINISTRATIVE RULES 1795
CORRECTIONS DEPARTMENT[201]
Notice, Newton correctional facility, ch 28
ARC
9879A 1804
Notice, Fort Dodge correctional facility,
ch 29 ARC
9880A 1805
ELDER AFFAIRS DEPARTMENT[321]
Notice, Iowa senior living program—
home– and
community–based services for
seniors, ch 28 ARC
9884A 1805
Filed Emergency, Iowa senior
living
program—home– and community–based
services for
seniors, ch 28 ARC 9864A 1930
ENVIRONMENTAL
PROTECTION
COMMISSION[567]
NATURAL RESOURCES
DEPARTMENT[561]“umbrella”
Notice, Emissions, 22.1, 22.3, 22.4(1), 22.100,
22.106,
23.1, 23.2(3), 23.3(2), 24.1, 25.1(9)
ARC 9885A 1806
Notice, Water supplies, amendments to chs 40 to 43,
83
ARC 9888A 1811
Notice, Operator certification: public water
supply systems
and wastewater treatment and
collection systems, ch 81 ARC
9886A 1858
Filed, Water quality, 61.2(2)“h” ARC
9887A 1936
HUMAN SERVICES DEPARTMENT[441]
Notice, Medicaid—pregnant women and infants,
75.1(28)
ARC 9867A 1867
Notice, Skilled nursing and home health aide
services;
home– and community–based services
waivers, 77.30, 77.33(6),
77.34(5), 77.37,
77.39, 78.9, 78.34, 78.37, 78.38(5), 78.41,
78.43, 79.1,
83.1, 83.2, 83.6, 83.21,
83.22(2), 83.41, 83.60, 83.61, 83.66,
83.81,
83.82, 83.86 ARC 9881A 1868
Notice, Medicaid, 78.31, 79.1, 81.1, 81.6, 81.13(9)
ARC
9882A 1888
Notice, HAWK–I program, 86.2(2)
ARC
9868A 1893
Notice, Crediting of current and delinquent
support, 95.1,
95.3 ARC 9870A 1893
Notice, Child care, 130.3(1), 130.4(3),
170.4(7) ARC
9871A 1894
Notice, Adoption, independent living, home studies,
and
shelter care providers, 150.3(5), 150.22(7)
ARC 9872A 1896
Notice, Foster family and adoptive homes,
156.6(1) ARC
9873A 1897
Notice, Iowa senior living trust fund; nursing
facility
conversion and long–term care services
development grants, chs 161,
162
ARC 9883A 1898
Notice, Pregnancy prevention programs, 163.1,
163.3(1),
163.4(2), 163.5(3) ARC 9874A 1904
Notice, Rehabilitative treatment services
providers,
185.112(1) ARC 9875A 1905
Filed Emergency, HAWK–I program, 86.2(2)
ARC
9869A 1933
INSURANCE DIVISION[191]
COMMERCE
DEPARTMENT[181]“umbrella”
Filed Emergency, Replacement of life insurance
and
annuities, 16.22, 16.23, 16.24(2), 16.25(4),
16.26(1), 16.28(2), 16.29(3)
ARC 9863A 1934
PUBLIC HEARINGS
Summarized list 1798
RACING AND GAMING COMMISSION[491]
INSPECTIONS AND APPEALS
DEPARTMENT[481]“umbrella”
Notice, General, adopt chs 1, 5; amend chs 4, 7, 9, 10,
13,
22, 24, 26; rescind chs 6, 20, 21, 25
ARC 9865A 1905
SECRETARY OF STATE[721]
Filed, Competing nominations by nonparty
political
organizations, 21.201 ARC 9889A 1936
SUPREME COURT
Decisions summarized 1938
TRANSPORTATION DEPARTMENT[761]
Notice, Zoning—applicants for dealer’s
or used
vehicle wholesaler’s licenses,
425.10(6), 425.52(1) ARC
9876A 1915
Notice, Fees for driver’s licenses; waiver
or refund
of license fees—pilot project,
602.3, 605.9, 605.10, 630.2(6)
ARC
9866A 1916
UTILITIES DIVISION[199]
COMMERCE
DEPARTMENT[181]“umbrella”
Notice Terminated, Restoration of agricultural
lands during
and after pipeline construction,
ch 9 ARC 9877A 1917
Notice, Restoration of agricultural lands during
and after
pipeline construction, ch 9
ARC 9878A 1917
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
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July 1, 1999, to June 30, 2000 $253.86 plus
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Iowa Administrative
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The Iowa Administrative Code and Supplements are sold in
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Prices for the Iowa Administrative Code and its Supplements
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tax
(Price includes 22 volumes of rules and index, plus a
one–year subscription to the Code Supplement and the Iowa Administrative
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(Subscription expires June 30, 2000)
All checks should be made payable to the Iowa State Printing
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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
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Jan. 7
|
Jan. 26
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Feb. 15
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Mar. 1
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Mar. 3
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Mar. 22
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Apr. 26
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July 24
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Jan. 21
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Feb. 9
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Feb. 29
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Mar. 15
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Mar. 17
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Apr. 5
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May 10
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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
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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
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June 7
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Sept. 4
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Mar. 3
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Mar. 22
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Apr. 11
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Apr. 26
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Apr. 28
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May 17
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June 21
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Sept. 18
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Mar. 17
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Apr. 5
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Apr. 25
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May 10
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May 12
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May 31
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July 5
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Oct. 2
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Mar. 31
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Apr. 19
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May 9
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May 24
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May 26
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June 14
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July 19
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Oct. 16
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Apr. 14
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May 3
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May 23
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June 7
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June 9
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June 28
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Aug. 2
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Oct. 30
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Apr. 28
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May 17
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June 6
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June 21
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June 23
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July 12
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Aug. 16
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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
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July 26
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Aug. 30
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Nov. 27
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May 26
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June 14
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July 4
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July 19
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July 21
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Aug. 9
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Sept. 13
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Dec. 11
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June 9
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June 28
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July 18
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Aug. 2
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Aug. 4
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Aug. 23
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Sept. 27
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Dec. 25
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June 23
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July 12
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Aug. 1
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Aug. 16
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Aug. 18
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Sept. 6
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Oct. 11
|
Jan. 8 ’01
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July 7
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July 26
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Aug. 15
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Aug. 30
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Sept. 1
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Sept. 20
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Oct. 25
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Jan. 22 ’01
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July 21
|
Aug. 9
|
Aug. 29
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Sept. 13
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Sept. 15
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Oct. 4
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Nov. 8
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Feb. 5 ’01
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Aug. 4
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Aug. 23
|
Sept. 12
|
Sept. 27
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Sept. 29
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Oct. 18
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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
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Nov. 22
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Nov. 24
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Dec. 13
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Jan. 17 ’01
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Apr. 16 ’01
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Oct. 13
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Nov. 1
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Nov. 21
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Dec. 6
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Dec. 8
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Dec. 27
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Jan. 31 ’01
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Apr. 30 ’01
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Oct. 27
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Nov. 15
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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
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May 14 ’01
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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
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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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Mar. 28 ’01
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June 25 ’01
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Dec. 22
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Jan. 10 ’01
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Jan. 30 ’01
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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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Apr. 25 ’01
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July 23 ’01
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PRINTING SCHEDULE FOR IAB
|
ISSUE NUMBER
|
SUBMISSION DEADLINE
|
ISSUE DATE
|
27
|
Friday, June 23, 2000
|
July 12, 2000
|
1
|
Friday, July 7, 2000
|
July 26, 2000
|
2
|
Friday, July 21, 2000
|
August 9, 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
|
AGRICULTURE AND LAND STEWARDSHIP
DEPARTMENT[21]
|
|
Eradication of pseudorabies, 64.147, 64.151(3), 64.153(5),
64.154(2), 64.156, 64.157, 64.158, 64.160, 64.161 IAB 5/31/00 ARC
9862A
|
Auditorium Wallace State Office Bldg. Des Moines,
Iowa
|
June 22, 2000 10 a.m.
|
CORRECTIONS DEPARTMENT[201]
|
|
Newton correctional facility, ch 28 IAB 6/14/00 ARC
9879A
|
Second Floor Conference Room 420 Keo Way Des Moines,
Iowa
|
July 5, 2000 11 a.m. to 1 p.m.
|
Fort Dodge correctional facility, ch 29 IAB 6/14/00
ARC 9880A
|
Second Floor Conference Room 420 Keo Way Des Moines,
Iowa
|
July 5, 2000 11 a.m. to 1 p.m.
|
EDUCATION DEPARTMENT[281]
|
|
Ineligible player participation, 36.14(7) IAB 5/31/00
ARC 9854A
|
State Board Room Grimes State Office Bldg. Des Moines,
Iowa
|
June 20, 2000 1 p.m.
|
ELDER AFFAIRS DEPARTMENT[321]
|
|
Iowa senior living program—home– and
community–based services for seniors, ch 28 IAB 6/14/00 ARC
9884A (Also see ARC 9864A herein)
|
North Conference Room—3rd Floor Clemens Bldg. 200
Tenth St. Des Moines, Iowa
|
July 6, 2000 10 a.m.
|
ENVIRONMENTAL PROTECTION COMMISSION[567]
|
|
Air quality; emissions standards, 22.1, 22.3. 22.4(1),
22.100, 22.106, 23.1, 23.2(3), 23.3(2), 24.1, 25.1(9) IAB 6/14/00 ARC
9885A
|
Conference Rooms 5–8 Air Quality Bureau 7900
Hickman Rd. Urbandale, Iowa
|
July 20, 2000 1 p.m.
|
Drinking water standards; laboratory certification,
amendments to chs 40 to 43, 83 IAB 6/14/00 ARC 9888A
|
Auditorium Wallace State Office Bldg. Des Moines,
Iowa
|
July 6, 2000 10 a.m.
|
|
Muse–Norris Conference Center North Iowa Area
Community College 500 College Dr. Mason City, Iowa
|
July 7, 2000 10 a.m.
|
|
Helen Wilson Gallery Washington Public Library 120 E.
Main Washington, Iowa
|
July 14, 2000 10 a.m.
|
ENVIRONMENTAL PROTECTION COMMISSION[567]
(Cont’d)
|
|
|
Municipal Utilities Conference Room 15 W. Third
St. Atlantic, Iowa
|
July 18, 2000 10 a.m.
|
|
Delaware County Community Center 200 E. Acres (at
fairgrounds) Manchester, Iowa
|
July 19, 2000 10 a.m.
|
|
Hansen Room, Siebens Forum Buena Vista University 4th
and Grand Ave. Storm Lake, Iowa
|
July 20, 2000 10 a.m.
|
Water quality standards, 61.2, 61.3 IAB 5/17/00 ARC
9839A
|
Municipal Utilities Conference Room 15 W. Third
St. Atlantic, Iowa
|
June 15, 2000 11 a.m.
|
|
Conference Room—5th Floor West Wallace State Office
Bldg. Des Moines, Iowa
|
June 16, 2000 1 p.m.
|
Operator certification: public water supply systems and
wastewater treatment and collection systems, ch 81 IAB 6/14/00 ARC
9886A
|
Auditorium Wallace State Office Bldg. Des Moines,
Iowa
|
July 6, 2000 10 a.m.
|
|
Muse–Norris Conference Center North Iowa Area
Community College 500 College Dr. Mason City, Iowa
|
July 7, 2000 10 a.m.
|
|
Helen Wilson Gallery Washington Public Library 120 E.
Main Washington, Iowa
|
July 14, 2000 10 a.m.
|
|
Municipal Utilities Conference Room 15 W. Third
St. Atlantic, Iowa
|
July 18, 2000 10 a.m.
|
|
Delaware County Community Center 200 E. Acres (at
fairgrounds) Manchester, Iowa
|
July 19, 2000 10 a.m.
|
|
Hansen Room, Siebens Forum Buena Vista University 4th
and Grand Ave. Storm Lake, Iowa
|
July 20, 2000 10 a.m.
|
HUMAN SERVICES DEPARTMENT[441]
|
|
Skilled nursing and home health aide services; HCBS
waivers, amendments to chs 77 to 79, 83 IAB 6/14/00 ARC
9881A
|
Conference Room—6th Floor Iowa Bldg., Suite
600 411 3rd St. SE Cedar Rapids, Iowa
|
July 11, 2000 9 a.m.
|
|
Administrative Conference Room 417 E. Kanesville
Blvd. Council Bluffs, Iowa
|
July 5, 2000 9 a.m.
|
HUMAN SERVICES DEPARTMENT[441]
(Cont’d)
|
|
|
Large Conference Room Bicentennial Bldg.—5th
Floor 428 Western Ave. Davenport, Iowa
|
July 10, 2000 9 a.m.
|
|
Conference Room 102 City View Plaza 1200
University Des Moines, Iowa
|
July 10, 2000 10 a.m.
|
|
Liberty Room Mohawk Square 22 N. Georgia Ave. Mason
City, Iowa
|
July 7, 2000 11 a.m.
|
|
Conference Room 3 120 E. Main Ottumwa, Iowa
|
July 6, 2000 10 a.m.
|
|
Fifth Floor 520 Nebraska St. Sioux City, Iowa
|
July 7, 2000 2:30 p.m.
|
|
Conference Room 213 Pinecrest Office Bldg. 1407
Independence Ave. Waterloo, Iowa
|
July 5, 2000 10 a.m.
|
Iowa senior living trust fund; facility conversion and
service development grants, chs 161, 162 IAB 6/14/00 ARC
9883A
|
Conference Room—6th Floor Iowa Bldg., Suite
600 411 3rd St. SE Cedar Rapids, Iowa
|
July 11, 2000 11 a.m.
|
|
CPI Conference Room 417 E. Kanesville Blvd. Council
Bluffs, Iowa
|
July 5, 2000 10 a.m.
|
|
Large Conference Room Bicentennial Bldg.—5th
Floor 428 Western Ave. Davenport, Iowa
|
July 10, 2000 11 a.m.
|
|
Conference Room 104 City View Plaza 1200
University Des Moines, Iowa
|
July 11, 2000 10 a.m.
|
|
Liberty Room Mohawk Square 22 N. Georgia Ave. Mason
City, Iowa
|
July 7, 2000 11 a.m.
|
|
Conference Room 3 120 E. Main Ottumwa, Iowa
|
July 6, 2000 11 a.m.
|
|
Fifth Floor 520 Nebraska St. Sioux City, Iowa
|
July 7, 2000 1:30 p.m.
|
HUMAN SERVICES DEPARTMENT[441]
(Cont’d)
|
|
|
Conference Room 402 Pinecrest Office Bldg. 1407
Independence Ave. Waterloo, Iowa
|
July 5, 2000 10 a.m.
|
NATURAL RESOURCE COMMISSION[571]
|
|
Unprotected nongame, 76.1(2) IAB 5/31/00 ARC
9859A
|
Conference Room—4th Floor Wallace State Office
Bldg. Des Moines, Iowa
|
June 21, 2000 10 a.m.
|
Ginseng harvesting and sale, 78.3, 78.4, 78.5 IAB
5/31/00 ARC 9860A
|
Conference Room—5th Floor Wallace State Office
Bldg. Des Moines, Iowa
|
June 22, 2000 10:30 a.m.
|
RACING AND GAMING COMMISSION[491]
|
|
General, adopt chs 1, 5; amend chs 4, 7, 9, 10, 13,
22, 24; rescind chs 6, 20, 21, 25, 26 IAB 6/14/00 ARC
9865A
|
Suite B 717 E. Court Des Moines, Iowa
|
July 10, 2000 9 a.m.
|
TRANSPORTATION DEPARTMENT[761]
|
|
Zoning—dealer’s or used vehicle wholesaler’s
license requirements, 425.10(6), 425.52(1) IAB 6/14/00 ARC
9876A
|
DOT Conference Room Park Fair Mall 100 Euclid
Ave. Des Moines, Iowa
|
July 7, 2000 1 p.m. (If
requested)
|
Fees for driver’s licenses; waiver or refund of license
fees—pilot project, 602.3, 605.9, 605.10, 630.2(6) IAB 6/14/00
ARC 9866A
|
DOT Conference Room Park Fair Mall 100 Euclid
Ave. Des Moines, Iowa
|
July 7, 2000 10 a.m. (If
requested)
|
UTILITIES DIVISION[199]
|
|
Restoration of agricultural lands during and after pipeline
construction, ch 9 IAB 6/14/00 ARC 9878A
|
Board Hearing Room 350 Maple St. Des Moines,
Iowa
|
July 19, 2000 10 a.m.
|
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]
Natural Resource Commission[571]
Preserves, State Advisory Board[575]
PERSONNEL DEPARTMENT[581]
PETROLEUM UNDERGROUND STORAGE TANK
FUND
BOARD, IOWA COMPREHENSIVE[591]
PREVENTION OF DISABILITIES POLICY
COUNCIL[597]
PUBLIC DEFENSE DEPARTMENT[601]
Emergency Management Division[605]
Military Division[611]
PUBLIC EMPLOYMENT RELATIONS BOARD[621]
PUBLIC HEALTH DEPARTMENT[641]
Substance Abuse Commission[643]
Professional Licensure Division[645]
Dental Examiners Board[650]
Medical Examiners Board[653]
Nursing Board[655]
Pharmacy Examiners Board[657]
PUBLIC SAFETY DEPARTMENT[661]
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]
SHEEP AND WOOL PROMOTION BOARD,
IOWA[741]
TELECOMMUNICATIONS AND TECHNOLOGY COMMISSION,
IOWA[751]
TRANSPORTATION DEPARTMENT[761]
Railway Finance Authority[765]
TREASURER OF STATE[781]
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 9879A
CORRECTIONS
DEPARTMENT[201]
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
904.108(1)“k,” the Department of Corrections gives Notice of
Intended Action to rescind Chapter 28, “Correctional Release
Center,” and to adopt a new Chapter 28, “Newton Correctional
Facility,” Iowa Administrative Code.
These proposed rules provide for the days and hours of visits,
tours, and offender trips at the Newton Correctional Facility.
Any interested person may make written suggestions or comments
on the proposed amendment on or before July 5, 2000. Such written materials
should be sent to the Director of Policy and Legal Services, Corrections
Department, 420 Keo Way, Des Moines, Iowa 50309.
There will be a public hearing on July 5, 2000, from11 a.m. to
1 p.m. in the Second Floor Conference Room, 420 Keo Way, Des Moines, Iowa 50309,
at which time persons may present their views either orally or in writing. At
the hearing, persons will be asked to give their names and addresses for the
record and to confine their remarks to the subject of the amendment.
Any persons who intend to attend the public hearing and have
special requirements should contact the Department of Corrections and advise of
special needs.
This amendment is intended to implement Iowa Code section
904.512.
The following amendment is proposed.
Rescind 201—Chapter 28 and adopt the following
new chapter in lieu thereof:
CHAPTER 28
NEWTON CORRECTIONAL FACILITY
201—28.1(904) Visiting: medium
security.
28.1(1) Visiting hours. Visiting hours are from 10
a.m. to 8 p.m., Sunday, Monday, Thursday, Friday, and Saturday.
a. All visitors must show proof of identification and must
submit to a personal search.
b. In the event that the maximum visiting capacity has been
reached, visits will be shortened to accommodate new arrivals.
28.1(2) General population. Each visitor will be
allowed two 3–hour visits per week if the offender is in Level 4 or three
3–hour visits per week if the offender is in Level 5. Offenders are
permitted a maximum of five visitors at any given time without advance, written
permission of the security director.
28.1(3) Close custody. Offenders in close custody,
Levels 1 and 2, may receive one 1–hour, noncontact visit per week.
Offenders in close custody, Level 3, may receive one 2–hour, contact visit
per week.
28.1(4) Disciplinary detention. Offenders in
disciplinary detention will be allowed one 1–hour, noncontact visit per
week, by immediate family only. Children under the age of 18 shall not be
permitted to visit any offender in this status.
28.1(5) County/federal detainees. County or federal
detainees will be permitted one 30–minute, noncontact visit per week, by
immediate family only.
201—28.2(904) Visiting: minimum security
(correctional release center).
28.2(1) Visiting hours are from 8:15 a.m. to 4:30 p.m.
on Saturdays, Sundays, and holidays and from 5:45 p.m. to9:45 p.m., Monday
through Friday. Visiting hours are scheduled to avoid conflicts with offender
work programs/assignments.
28.2(2) An approved visitor may visit three times per
week for a maximum of three hours per visit.
a. Offenders are permitted to have a maximum of five visitors
at any given time without advance written permission from the security
director.
b. Offenders on dormitory confinement are permitted one
2–hour visit per week during normal visiting hours by immediate family
only.
c. Visiting hours for offenders in administrative/disciplinary
segregation are from 10 a.m. to 3 p.m., Monday through Friday. Visits shall be
scheduled in advance by the visitor. Visitors shall be immediate family only,
and visits shall be limited to one hour and shall be noncontact.
28.2(3) Upon arrival, all visitors shall report to the
control center. All visitors must be prepared to show proof of identification.
In the event that maximum visiting capacity has been exceeded, visits will be
shortened to two hours to accommodate new arrivals.
28.2(4) Outdoor visits are permitted April 15 through
October 15, weather permitting.
28.2(5) Visits for offenders of the violator program
will be permitted only in conjunction with scheduled support–group
treatment activities after the fourth week of treatment program participation.
These visits must be scheduled with the unit director.
28.2(6) Visitors will have access only to designated
visiting areas of the institution.
28.2(7) Visits between an attorney and offender shall
be permitted during normal business hours or visiting hours. Such visits during
nonbusiness hours shall be by appointment as authorized by the warden or
designee.
28.2(8) Visitors must report to the control center at
the end of the visit prior to leaving the institution.
201—28.3(904) Tours.
28.3(1) Tours of institutional facilities are
available primarily for adult groups. In special cases, tours may be granted
for persons under the age of 18 at the discretion of the warden or designee.
Tours must be approved by the warden or designee.
28.3(2) Prior approval from the warden or designee
shall be required for relatives or close friends of offenders to tour the
institution.
201—28.4(904) Trips of offenders. An outside
group wishing to schedule a presentation by a panel of offenders from the
correctional release center shall send a written request to the
institution’s treatment director. Trips are limited to a 100–mile
radius. Permission may be granted for longer trips at the discretion of the
warden.
These rules are intended to implement Iowa Code section
904.512.
ARC 9880A
CORRECTIONS
DEPARTMENT[201]
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
904.108(1)“k,” the Department of Corrections gives Notice of
Intended Action to adopt Chapter 29, “Fort Dodge Correctional
Facility,” Iowa Administrative Code.
These rules provide for the days and hours of visits and tours
at the Fort Dodge Correctional Facility.
Any interested person may make written suggestions or comments
on the proposed amendment on or before July 5, 2000. Such written materials
should be sent to the Director of Policy and Legal Services, Corrections
Department, 420 Keo Way, Des Moines, Iowa 50309.
There will be a public hearing on July 5, 2000, from 11 a.m.
to 1 p.m. in the Second Floor Conference Room, 420 Keo Way, Des Moines, Iowa
50309, at which time persons may present their views either orally or in
writing. At the hearing, persons will be asked to give their names and
addresses for the record and to confine their remarks to the subject of the
amendment.
Any persons who intend to attend the public hearing and have
special requirements should contact the Department of Corrections and advise of
special needs.
This amendment is intended to implement Iowa Code section
904.512.
The following new chapter is proposed.
CHAPTER 29
FORT DODGE CORRECTIONAL FACILITY
201—29.1(904) Visiting.
29.1(1) Visitation within the Fort Dodge correctional
facility is additionally governed by the provision of department of corrections
policy IN–V–122.
29.1(2) Contact and noncontact visiting areas are
available.
29.1(3) Visiting hours are from 1 p.m. to 8 p.m.,
Thursday, Friday, Saturday, Sunday and Monday as well as New Year’s Day,
July 4 and Christmas Day.
29.1(4) Visits are limited to a maximum of three hours
on weekdays and two hours on weekends.
29.1(5) All visitors shall present proper
identification upon entrance to the institution. Photo identification is
required for all visitors 16 years of age and older.
29.1(6) Visitors shall be required to clear a metal
detector scan or other scanning device prior to admittance and may be requested
to submit to a pat down search by staff of the same sex.
29.1(7) Each approved visitor will be allowed eight
visits per month. Offenders will be permitted a maximum of five visitors at one
time.
29.1(8) Attorneys, law enforcement officials and
clergy are not required to be placed on an offender’s visiting list.
However, these visitors are encouraged to make prior arrangements for visitation
and shall present proof of identity and appropriate credentials before entrance
to the institution. The offender must express a desire to visit with clergy or
an attorney before either is admitted to the facility for a visit.
29.1(9) County/federal detainees. Detainees will be
allowed visitation with immediate family, approved clergy, and legal
representatives. In limited circumstances, the names of additional visitors may
be submitted by the assigned counselor and approved by the unit manager.
Visiting hours for detainees are from 1 p.m. to 8 p.m. Sunday, Monday, Thursday,
Friday, and Saturday. Subject to availability of space, detainees are allowed
up to three 1–hour noncontact visits per week. Generally, these visits
shall be conducted in the noncontact visitation area of the institution’s
visiting room. Attorney or legal representative visits may be contact visits
and shall take place in the attorney visit area of the visiting room.
201—29.2(904) Visiting: Unit A.
29.2(1) Offenders housed in Unit A shall visit in the
noncontact visiting areas of Unit A. Visitors shall check in at reception and
then be escorted to Unit A visiting area by staff.
29.2(2) Visiting is restricted to two adult immediate
family members or two clergy members at a time.
29.2(3) Offenders are allowed one visit per week.
This visit is limited to one hour.
201—29.3(904) Visiting: administration segregation
of disciplinary detention offenders housed outside of Unit A.
29.3(1) The noncontact visiting area in the visiting
room shall be used.
29.3(2) A maximum of two persons, and one small child
per adult who can sit on an adult’s lap, will be allowed.
29.3(3) Visitors shall be escorted to one of the
noncontact visiting rooms located adjacent to the visiting room.
201—29.4(904) Tours. Tours of the institution
are limited to persons 18 years of age and older having a genuine interest in
corrections and for whom the tour might prove beneficial or enlightening. These
persons may include prospective employees, college or university student groups,
legislators and their staff, employees of other governmental agencies, and civic
organizations. Other individuals or groups may be permitted to tour the
institution upon the specific approval of the office of the warden.
These rules are intended to implement Iowa Code section
904.512.
ARC 9884A
ELDER AFFAIRS
DEPARTMENT[321]
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 2193,
section 7, subsection 2, and section 21, the Department of Elder Affairs hereby
adopts Chapter 28, “Iowa Senior Living Program—Home– and
Community–Based Services for Seniors,” Iowa Administrative
Code.
These rules implement provisions of 2000 Iowa Acts, Senate
File 2193, the Iowa Senior Living Program Act. The goal of the Iowa Senior
Living Program Act is to create a comprehensive long–term care system that
is consumer–directed, provides a balance between the alternatives of
institutionally and noninstitutionally provided services, and contributes to the
quality of the lives of Iowans.
Funds are available from the Iowa Senior Living Trust Fund to
the Area Agencies on Aging and subcontracting long–term care providers for
designing and expanding home– and community–based services to
low– and moderate–income seniors to promote independence and delay
the use of institutional care. These rules set procedure for disbursement of
the funds to the Area Agencies on Aging and their subcontractors for state
fiscal year (SFY) 2001 and call for incorporation of the disbursement of funds
for subsequent state fiscal years into the existing procedure for disbursement
of other senior service funds. Allowable and priority uses for the funds and
reporting requirements for the Area Agencies on Aging and their subcontractors
and the department are established.
These rules do not provide for any waivers in specific
situations because disbursement of the trust fund will confer a benefit on
providers and consumers. Participation by long–term care providers is
voluntary.
Any interested person may make written suggestions or comments
on the proposed rules on or before July 6, 2000. Written comments should be
directed to Dr. Judith A. Conlin, Director, Department of Elder Affairs, Clemens
Building, Third Floor, 200 Tenth Street, Des Moines, Iowa
50309–3609.
Oral or written comments may be submitted at a public hearing
to be held at 10 a.m. Thursday, July 6, 2000, in the North Conference Room,
Department of Elder Affairs. 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 rules.
These rules were also Adopted and Filed Emergency and are
published herein as ARC 9864A. The content of that submission is
incorporated by reference.
These rules are intended to implement 2000 Iowa Acts, Senate
File 2193, sections 7, 9 and 10.
ARC 9885A
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 section 455B.133, the
Environmental Protection Commission hereby gives Notice of Intended Action to
amend Chapter 22, “Controlling Pollution,” Chapter 23,
“Emission Standards for Contaminants,” Chapter 24, “Excess
Emission,” and Chapter 25, “Measurement of Emissions,” Iowa
Administrative Code.
Item 1 incorporates a notification to the department
requirement for certain types of emission units falling under a construction
permit exemption. This notification process will ensure that the Department
knows an exemption is being claimed and will clarify whether a particular piece
of equipment needs or does not need a construction permit. Notification is
required for emission units with construction or start–up dates on or
after November 24, 2000. For emission units covered under the exemption that
were constructed or operated before November 24, 2000, written notification of
the fact that the exemption was taken on emission units is also requested. This
new record keeping and the record keeping that was required under paragraph
22.1(2)“s” have been incorporated into the introductory paragraphs
of subrule 22.1(2).
Item 2 amends paragraph “g” to reflect the
record–keeping amendments made in Item 1. The revision is for
administrative purposes only.
Item 3 deletes the exemption from construction permitting for
emission units emitting less than a pound per hour of a pollutant and replaces
the paragraph with a new exemption for emergency vents. The proposed deletion
of the pound per hour construction permit exemption is being addressed by the
addition of a new construction application form that would be specific for an
emission unit emitting less than1.0 lb/hr of a pollutant. This is explained in
Item 5. The new exemption for emergency vents, etc., is being proposed to
address construction permit requirements for emission points that are not
expected to have any emissions but could have emissions to prevent equipment
damage or personal injury.
Item 4 is a new construction permit exemption that is specific
to emissions from specified equipment at teaching and academic research
institutions. These sources are anticipated to have minimal
emissions.
Item 5 identifies by name and number the forms that can be
used to submit a construction permit application. Form 542–XXXX is
proposed as a new form which can be used to apply for a construction permit for
the emission points emitting less than 1.0 lb/hr of a pollutant. While the 1.0
lb/hr emissions were covered under a construction permit exemption which is
proposed to be deleted, that exemption did not apply until the facility had
provided specified information to the department that exemption was being taken.
In lieu of that information’s being provided to the department as part of
the exemption process, facilities will now be required to apply for a
construction permit for these sources; however, the information requested will
be tailored to the type of information that was required in the
exemption.
Item 6 identifies what sources are eligible for using the
application form for emission units less than 1.0 lb/hr of a pollutant and
identifies what information must be contained in the application.
Item 7 corrects an internal rule citation and changes the
reference to one which pertains to the calculation of emission limits based on
stack height.
Item 8 adds a new subrule that requires the department to be
notified when the ownership of equipment covered by a construction permit
changes. This proposal will require facilities to keep the department informed
of who owns equipment covered by a construction permit.
Item 9 corrects the date of the latest revision of Appendix W
to 40 FR Part 51. Also in the same subrule, the reference to 40 CFR 52.21(1)
should read 40 CFR 52.21(l), replacing the number 1 for the letter
“l.”
Item 10 deletes a referenced date which implies that there is
a level established by the EPA administrator which has defined the level of
radionuclides for major source status. The federal regulations reserve the
right of the administrator to set these levels, but at this time no levels have
been established by the Environmental Protection Agency.
Item 11 clarifies the deadline for submitting annual Title V
fees to the Department of Natural Resources. The existing wording requires
payment to be made on July 1 of each year. The revised wording allows for
payment to be made on or before July 1 of each year.
Item 12 reduces the number of copies of different forms that
must be submitted with the annual emissions fee. These fees only apply to Title
V facilities.
Item 13 reduces the number of copies of each form required to
be submitted with the annual emissions inventory. Instead of the required four
copies, only two will now be required.
Items 14 through 17 update references to 40 CFR Part 63. Item
14 identifies provisions of the three new national emission standards for
hazardous air pollutants (NESHAPS) that are not delegated to the department
which are proposed for adoption by reference in this rule. Items 15 through 17
pertain to the promulgation of three new NESHAPS for hazardous waste combustors
at waste incinerators, cement kilns, and at lightweight aggregate kilns,
amino/phenolic resin production units, and nonindustrial and industrial publicly
owned treatment works, respectively.
Items 18 through 20 update the emission guidelines for
hospital/medical infectious waste incinerators (Part 63, Subpart Ce) by
incorporating compliance dates. Compliance dates were based on the date the
department’s implementation plan was approved by EPA. The
department’s 111(d) plan was approved August 16, 1999.
Item 21 removes the exemption to the state’s open
burning rules which would allow the burning of material for which there is a
local recycling program for the following: trees and tree trimming, landscape
waste, residential waste, paper and plastic pesticide containers and seed corn
bags.
Item 22 corrects a gap in the regulations from a previous rule
making. A revised general particulate emission rate became effective as of July
21, 1999. The regulations did not cover sources which were constructed,
modified or reconstructed on July 21, 1999. The proposed rules clarify that the
new general particulate emission rate applies to sources constructed after as
well as on July 21, 1999, the effective date of the regulations. This item also
includes the abbreviation, dscf, for the term “dry standard cubic
feet.”
Item 23 pertains to excess emissions and excess emissions
reporting and handling by the department. The purpose of these amendments is to
conform to EPA’s policy on startups and shutdowns and excess emissions.
EPA has informed the department that excess emissions during the cleaning of
control equipment is not to be considered an acceptable exclusion from
considering excess emissions a violation of a standard. In addition, the
amendments provide for criteria when excess emissions from startup and shutdown
should not be considered as a violation of the standards.
Item 24 incorporates procedures approved by EPA to calculate
calibration drift in continuous opacity monitors in accordance with 40 CFR Part
60 Appendix B, Performance Specification 1 into “Iowa Compliance Sampling
Manual.” This procedure would apply only to boilers covered under
567—subrule 25.1(1). This item also clarifies the references to the
appendices in the subrule and identifies where they may be found.
Any person may make written suggestions or comments on the
proposed rules on or before July 28, 2000. Written comments should be directed
to Monica Wnuk, Iowa Department of Natural Resources, Air Quality Bureau, 7900
Hickman Road, Suite 1, Urbandale, Iowa 50322, fax (515) 242–5094, or by
electronic mail to Monica.Wnuk@ dnr.state.ia.us.
An informational meeting will be held at 10:30 a.m. in
Conference Rooms 5–8 on June 15, 2000, at the Department’s Air
Quality Bureau office located at 7900 Hickman Road, Urbandale, Iowa. At the
informational meeting, DNR staff will be available to answer questions on any of
the proposed rule revisions.
A public hearing will be held on July 20, 2000, at 1 p.m. in
Conference Rooms 5–8 at the Department’s Air Quality Bureau office
located at 7900 Hickman Road, Urbandale, Iowa, at which time comments may be
submitted orally or in writing. All comments must be received no later than
July 28, 2000.
Any persons who intend to attend a public hearing and have
special requirements, such as those related to hearing or mobility, should
contact Monica Wnuk at (515)281–7212 to advise of any specific
needs.
These amendments may impact small business.
These amendments are intended to implement Iowa Code section
455B.133.
The following amendments are proposed.
ITEM 1. Amend subrule 22.1(2),
introductory paragraph, by adding the following new unnumbered
paragraphs:
Beginning on November 24, 2000, this subrule shall not apply
unless the department is notified in writing within 30 days of installation or
startup of the equipment for which the exemption is being claimed. For
equipment already in use on November 24, 2000, and for which an exemption under
22.1(2)“a,” “b,” “e,” “r” or
“s” is claimed, the department also shall be notified in writing.
Written notification shall contain the following information: the specific
exemption claimed, a description of the associated equipment, and the date the
equipment was installed or put in use.
A facility claiming to be exempt under the provisions of
paragraph “g” shall provide the information listed below to the
department. If the exemption is claimed for a source not yet constructed or
modified, the information shall be provided to the department at least 30 days
in advance of the beginning of construction on the project. If the exemption is
claimed for a source that has already been constructed or modified and that does
not have a construction permit for that construction or modification, the
information listed below shall be provided to the department within 60 days of
March 20, 1996. After that date, if the exemption is claimed by a source that
has already been constructed or modified and that does not have a construction
permit for that construction or modification, the source shall not operate until
the information listed below is provided to the department:
• A detailed emissions
estimate of the actual and potential emissions, specifically noting increases or
decreases, for the project for all regulated pollutants (as defined in
22.100(455B)), accompanied by documentation of the basis for the emissions
estimate;
• A detailed description of
each change being made;
• The name and location of
the facility;
• The height of the emission
point or stack and the height of the highest building within 50 feet;
• The date for beginning
actual construction and the date that operation will begin after the changes are
made; and
• A statement that the
provisions of rules 22.4(455B) and 22.5(455B) do not apply.
The written statement shall contain certification by a
responsible official as defined in rule 22.100(455B) of truth, accuracy, and
completeness. This certification shall state that, based on information and
belief formed after reasonable inquiry, the statements and information in the
document are true, accurate, and complete.
ITEM 2. Amend subrule 22.1(2),
paragraph “g,” as follows:
g. Equipment or control equipment which reduces or eliminates
all emission to the atmosphere. If a source wishes to obtain credit for
reductions under the prevention of significant deterioration requirements, it
must apply for a permit for the reduction prior to the time the reduction is
made. If a construction permit has been previously issued for the equipment or
control equipment, the conditions of the construction permit remain in effect.
In order to use this exemption, the facility must comply with paragraph
“s” below.
ITEM 3. Amend subrule 22.1(2) by
rescinding paragraph “i” and adopting the following
new paragraph “i” in lieu thereof:
i. Emergency emission release systems such as emergency vents,
blow–off valves, relief valves, pop–off valves, and explosion doors
whose primary purpose is the prevention of equipment damage and personal injury.
Emission releases shall be reported as excess emissions as required by
567— 24.1(455B).
ITEM 4. Amend subrule 22.1(2) by
rescinding paragraph “s” and adopting the following
new paragraph “s” in lieu thereof:
s. The equipment at academic institutions (e.g., high schools,
colleges, universities) used exclusively for the purposes of teaching and
academic research. The equipment covered under this exemption is limited to:
lab hoods, art class equipment, wood shop equipment in classrooms, and
fuel–burning units (except incinerators) with a
capacity of less than one million BTU per hour fuel capacity.
This exemption shall not apply if its use would conflict with
any other provision of law.
ITEM 5. Amend subrule 22.1(3),
paragraph “b,” introductory paragraph, as follows:
b. Construction permit applications. Each application for a
construction permit shall be submitted to the department on the appropriate
form supplied by the department, IDNR Form 542–3190 “Air
Construction Permit Application.” or IDNR Form
542–XXXX “Air Construction Permit for Emission Units Below 1.0
lb/hr.” Final plans and specifications for the proposed equipment or
related control equipment shall be submitted with the application for a permit
and shall be prepared by or under the direct supervision of a professional
engineer registered in the state of Iowa in conformance with Iowa Code chapter
542B. Information required and eligibility requirements for use of the
application for a permit to construct an emission below 1.0 lb/hr are identified
in 22.1(3)“d” of this subrule. The application for a permit to
construct, IDNR Form 542–3190 “Air Construction Permit
Application,” shall include the following information:
ITEM 6. Amend subrule 22.1(3) by
adopting the following new paragraph
“d”:
d. Application requirements for emission units less than 1.0
lb/hr. Form 542–XXXX, “Air Construction Permit for Emission Units
Below 1.0 lb/hr,” can be used only for emission units that emit less than
1.0 lb/hr of a pollutant. Form 542–XXXX may not be used if the emission
unit is subject to any of the following: rule 22.4(455B), prevention of
significant deterioration requirements; rule 22.5(455B), special requirements
for nonattainment areas; 567—subrule 23.1(2), new source performance
standards (40 CFR Part 60 NSPS); 567—subrule 23.1(3), emission standards
for hazardous air pollutants (40 CFR Part 61 NESHAP); 567—subrule 23.1(4),
emission standards for hazardous air pollutantsfor source categories (40 CFR
Part 63 NESHAP); or 567— subrule 23.1(5), emission guidelines. The
application for emission units that meet the eligibility criteria above shall
include the following information:
(1) Location information of the emission unit;
(2) Emission unit description and specifications;
(3) Control equipment description and
specifications;
(4) Specifications on the stack or vent;
(5) Emission calculations;
(6) Emission inventory at the facility;
(7) Eligibility criteria checklist; and
(8) A certification from the responsible official that the
emission unit complies with eligibility requirements and that information
provided in the application is true, accurate and complete.
ITEM 7. Amend subrule 22.3(1),
paragraph “c,” as follows:
c. That the applicant has not relied on emission limits based
on stack height that exceeds good engineering practice or any other dispersion
techniques as defined in 567—subrule 23.1(4)
23.1(6), and
ITEM 8. Amend 567—22.3(455B) by
adopting the following new subrule:
22.3(8) Ownership change of permitted equipment. The
department shall be notified in writing no later than 30 days after the change
in ownership of equipment covered by a construction permit pursuant to
567—22.1(455B). The notification to the department shall include the
following information:
a. The date of ownership change;
b. The name, address and telephone number of the responsible
official, contact person and the owner of the equipment both before and after
ownership change; and
c. The construction permit number of the equipment changing
ownership.
ITEM 9. Amend subrule 22.4(1) as
follows:
22.4(1) Federal rules 40 CFR 52.21(a) (Plan
Disapproval), 52.21(q) (Public Participation), 52.21(s) (Environmental Impact
Statement), and 52.21(u) (Delegation of Authority) are not adopted by reference.
Also, for the purposes of 40 CFR 52.21(1) 52.21(l), the
department adopts by reference Appendix W to 40 CFR 51, Guideline on Air Quality
Models (Revised), as adopted March August 12,
1996.
ITEM 10. Amend
567—22.100(455B), definition of “major source,”
numbered paragraph “2,” as follows:
2. A major source of hazardous air pollutants according to
Section 112 of the Act as follows:
For pollutants other than radionuclides, any stationary source
or group of stationary sources located within a contiguous area and under common
control that emits or has the potential to emit, in the aggregate, 10 tpy or
more of any hazardous air pollutant which has been listed pursuant to Section
112(b) of the Act and these rules or 25 tpy or more of any combination of such
hazardous air pollutants. Notwithstanding the previous sentence, emissions from
any oil or gas exploration or production well (with its associated equipment)
and emission from any pipeline compressor or pump station shall not be
aggregated with emissions from other similar units, whether or not such units
are in a contiguous area or under common control, to determine whether such
units or stations are major sources.
For Title V purposes, all fugitive emissions of hazardous air
pollutants are to be considered in determining whether a stationary source is a
major source.
For radionuclides, “major source” shall have the
meaning specified by the administrator by rule as of January 18,
1994.
ITEM 11. Amend subrule 22.106(1) as
follows:
22.106(1) Fee established. Any person required to
obtain a Title V permit shall pay an annual fee based on the total tons of
actual emission of each regulated air pollutant, beginning November 15, 1994.
Beginning July 1, 1996, Title V operating permit fees will be paid on or
before July 1 of each year. The fee shall be based on actual emissions
required to be included in the Title V operating permit application and the
annual emissions statement for the previous calendar year. The department and
the commission will review the fee structure on an annual basis and adjust the
fee as necessary to cover all reasonable costs required to develop and
administer the programs required by the Act. The department shall submit the
proposed budget for the following fiscal year to the commission no later than
the March meeting. The commission shall set the fee based on the reasonable
cost to run the program and the proposed budget no later than the May commission
meeting of each year. The commission shall provide an opportunity for public
comment prior to setting the fee. The commission shall not set the fee higher
than $29 per ton without adopting the change pursuant to formal rule
making.
ITEM 12. Amend subrule 22.106(3),
paragraph “a,” introductory paragraph, as follows:
a. The fee shall be submitted annually by July 1. The fee
shall be submitted with four two copies of the following
forms:
ITEM 13. Amend subrule 22.106(3),
paragraph “b,” introductory paragraph, as follows:
b. Four Two copies of the following
forms shall be submitted annually by March 31 documenting actual emissions for
the previous calendar year:
ITEM 14. Amend subrule 23.1(4),
introductory paragraph, as follows:
23.1(4) Emission standards for hazardous air
pollutants for source categories. The federal standards for emissions of
hazardous air pollutants for source categories, 40 Code of Federal Regulations
Part 63 as amended through June 29, 1999 January 20,
2000, are adopted by reference, except 40 CFR §§63.6(g) and
(h)(9), 63.7(c)(2)(i), 63.7(e)(2)(ii) and (f), 63.8(f), 63.10(f), 63.12, 63.14,
63.15, 63.40(a), 63.42(a) and (b), 63.43(c) and (f) to (m), 63.177, 63.560(b)
and (e)(2) and (3), 63.562(c) and (d), 63.772, 63.777, 63.694, 63.996 to
63.999, 63.1022 to 63.1024, 63.1038, 63.1039, 63.1062, 63.1063(a) and (b),
63.1064 to 63.1066, 63.1157, 63.1158, 63.1161(d)(1), 63.1162(a)(2) to (5),
63.1162(b)(1) to (3), 63.1165, 63.1282, and 63.1287, 63.1403
to 63.1410, and 63.1414 to 63.1417, and shall apply to the following
affected facilities. The corresponding 40 CFR Part 63 Subpart designation is in
parentheses. 40 CFR Part 63 Subpart B incorporates the requirements of Clean
Air Act Sections 112(g) and 112(j) and does not adopt standards for a specific
affected facility. Test methods (Appendix A), sources defined for early
reduction provisions (Appendix B), and determination of the fraction biodegraded
(Fbio) in the biological treatment unit (Appendix C) of Part 63 also
apply to the affected activities or facilities. For the purpose of this
subrule, “hazardous air pollutant” has the same meaning found in
567— 22.100(455B). For the purposes of this subrule, a “major
source” means any stationary source or group of stationary sources located
within a contiguous area and under common control that emits or has the
potential to emit considering controls, in the aggregate, 10 tons per year or
more of any hazardous air pollutant or 25 tons per year or more of any
combination of hazardous air pollutants, unless a lesser quantity is
established, or in the case of radionuclides, where different criteria are
employed. For the purposes of this subrule, an “area source” means
any stationary source of hazardous air pollutants that is not a major stationary
source as defined in this paragraph. Paragraph 23.1(4)“a,” general
provisions (Subpart A) of Part 63, shall apply to owners or operators who are
subject to subsequent subparts of 40 CFR 63 (except when otherwise specified in
a particular subpart or in a relevant standard) as adopted by reference
below.
ITEM 15. Amend subrule 23.1(4) by
adopting the following new paragraph
“be”:
be. Emission standards for hazardous air pollutants from
hazardous waste combustors. These standards apply to all hazardous waste
combustors: hazardous waste incinerators, hazardous waste burning cement kilns,
and hazardous waste burning lightweight aggregate kilns, except as provided in
the rule. Both area sources and major sources are subject to this subpart as of
September 30, 1999, and are subject to the requirement to apply for and obtain a
Title V permit. (Part 63, Subpart EEE)
ITEM 16. Amend subrule 23.1(4) by
adopting the following new paragraph
“bo”:
bo. Emission standards for hazardous air pollutants for
amino/phenolic resins production. These standards apply to new or existing
facilities that own or operate an amino or phenolic resins production unit.
(Part 63, Subpart OOO)
ITEM 17. Amend subrule 23.1(4) by
adopting the following new paragraph
“bv”:
bv. Emission standards for hazardous air pollutants publicly
owned treatment works (POTW). These standards apply to new or reconstructed
nonindustrial POTW and industrial POTW. (Part 63, Subpart VVV)
ITEM 18. Amend subrule 23.1(5),
paragraph “b,” subparagraphs (4), (5) and
(6), as follows:
(4) Operator training and qualification requirements.
Designated facilities shall meet the requirements for operator training and
qualification listed in 40 CFR §60.53c by August 16, 2000 (which is
within one year from EPA’s approval of the state’s
111(d) plan for HMIWI).
(5) Waste management requirements. Designated facilities
shall meet the requirements for a waste management plan listed in 40 CFR
§60.55c by June 16, 2002 (which is within 34 months
from EPA’s approval of the state’s 111(d) plan for
HMIWI).
(6) Inspection requirements. Each remote HMIWI subject to the
emission limits under numbered paragraph “2” of subparagraph
23.1(5)“b”(3) must conduct an initial equipment inspection by
August 16, 2000 (which is withinone year from EPA’s
approval of the state’s 111(d) plan for HMIWI), and perform
equipment inspections annually, no more than 12 months after the previous
inspection. The facility must complete all necessary repairs within ten
operating days following an inspection. If the repairs cannot be accomplished
within this period, then the owner or operator must obtain written approval from
the department requesting an extension. All inspections shall include the
following:
1. through 17. No change.
ITEM 19. Amend subrule 23.1(5),
paragraph “b,” subparagraph (12), as
follows:
(12) Compliance times for designated facilities planning to
retrofit. Designated facilities planning to retrofit existing HMIWI shall
comply with the emission limits specified in subparagraph
23.1(5)“b”(3) by August 16, 2002 (which is
within three years from EPA’s approval of the
state’s 111(d) plan for HMIWI), but not later than
September 16, 2002. To ensure compliance, these facilities must also
comply with the following increments of progress:
1. Submit construction permit application to the department,
as required by rule 567— 22.1(455B), to outline the addition of control
equipment and the modification of existing processes by August 16, 2000
(which is within one year from EPA’s approval of the
state’s 111(d) plan for HMIWI);
2. Award contracts for control systems or process
modifications, or orders for purchase of components by February 16, 2001
(which is within 18 months from EPA’s approval of the
state’s 111(d) plan for HMIWI);
3. Initiate on–site construction or installation of the
air pollution control device(s) or process changes by August 16, 2001 (which
is within two years from EPA’s approval of the
state’s 111(d) plan for HMIWI);
4. Complete on–site construction or installation of air
pollution control device(s) or process changes by May 16, 2002 (which is
within 33 months from EPA’s approval of the state’s
111(d) plan for HMIWI); and
5. Complete initial compliance test(s) on the air pollution
control equipment by June 16, 2002 (which is within 34
months from EPA’s approval of the state’s 111(d) plan for
HMIWI).
ITEM 20. Amend subrule 23.1(5),
paragraph “b,” subparagraph (13), as follows:
(13) Compliance times for designated facilities planning to
shut down. Designated facilities planning to shut down an existing HMIWI shall
shut down by August 16, 2000 (which is within one year
from EPA’s approval of the state’s 111(d) plan for HMIWI).
Designated facilities may request an extension from the department to operate
the HMIWI for up to two additional years. The request for extension must be
submitted to the department by May 16, 2000 (which is
within nine months from EPA’s approval of the
state’s 111(d) plan for HMIWI) and include the following:
1. Documentation to support the need for the requested
extension;
2. An evaluation of the option to transport the waste off site
to a commercial medical waste treatment and disposal facility on a temporary or
permanent basis; and
3. A plan that documents measurable and enforceable
incremental steps of progress to be taken toward compliance with paragraph
23.1(5)“b,” including final compliance date which can be no later
than September 16, 2002.
ITEM 21. Amend subrule 23.2(3),
introductory paragraph, as follows:
23.2(3) Exemptions. The following shall be permitted
unless prohibited by local ordinances or regulations or if the material to be
burned in paragraphs “b,” “d,” “f,” and
“h” is collected as part of a local recycling program.
ITEM 22. Amend subrule 23.3(2),
paragraph “a,” subparagraph (1), as follows:
(1) For sources constructed, modified or reconstructed on
or after July 21, 1999, the emission of particulate matter from any process
shall not exceed an emission standard of 0.1 grain per dry standard cubic foot
(dscf) of exhaust gas, except as provided in 567—21.2(455B),
23.1(455B), 23.4(455B), and 567—Chapter 24.
ITEM 23. Amend rule 567—24.1(455B)
as follows:
567—24.1(455B) Excess emission
emissions reporting.
24.1(1) Excess emission
emissions during periods of startup, or
shutdown, or cleaning of control equipment. Excess
emission during a period of startup, shutdown, or cleaning of control equipment
is not a violation of the emission standard if the startup, shutdown or cleaning
is accomplished expeditiously and in a manner consistent with good practice for
minimizing emissions. Cleaning of control equipment which does not require the
shutdown of the process equipment shall be limited to one six–minute
period per one–hour period. All periods of excess emissions
arising during startup or shutdown shall be treated as violations unless the
following can be demonstrated:
a. The periods of excess emissions that occurred during
startup and shutdown were short and infrequent and could not have been prevented
through planning and design;
b. The excess emissions were not part of a recurring
pattern indicative of inadequate design, operation, or
maintenance;
c. The excess emissions were caused by a bypass (an
intentional diversion of control equipment) that was unavoidable to prevent loss
of life, personal injury, or severe property damage;
d. At all relevant times, the facility was operated in a
manner consistent with good practice for minimizing emissions;
e. The frequency and duration of operation in startup or
shutdown mode was minimized to the maximum extent practicable;
f. All possible steps were taken to minimize the impact of
the excess emissions on ambient air quality;
g. All emission monitoring systems were kept in operation
if at all possible;
h. The owner or operator’s actions during the period
of excess emissions were documented by properly signed, contemporaneous
operating logs, or other relevant evidence; and
i. The owner or operator properly and promptly notified the
appropriate regulatory authority.
24.1(2) Oral report of excess emissions. An incident
of excess emission emissions (other than an
incident of excess emission during a period of startup, shutdown, or
cleaning) shall be reported to the appropriate regional office of the
department within eight hours of, or at the start of, the first working
day following the onset of the incident. The reporting exemption for an
incident of excess emission during startup, shutdown or cleaning does not
relieve the owner or operator of a source with continuous monitoring equipment
of the obligation of submitting reports required in 567—subrule
25.1(6).
An oral report of excess emission
emissions is not required for a source with operational continuous
monitoring equipment (as specified in 567—subrule 25.1(1)) if the incident
of excess emission emissions continues for less than 30
minutes and does not exceed the applicable emission standard by more than 10
percent or the applicable visible emission standard by more than 10 percent
opacity.
The oral report may be made in person or by telephone and
shall include as a minimum the following:
a. The identity of the equipment or source operation from
which the excess emission emissions originated and the
associated stack or emission point.
b. The estimated quantity of the excess
emission emissions.
c. The time and expected duration of the excess
emission emissions.
d. The cause of the excess emission
emissions.
e. The steps being taken to remedy the excess
emission emissions.
f. The steps being taken to limit the excess
emission emissions in the interim period.
24.1(3) Written report of excess
emission emissions. A written report of an incident of
excess emission emissions shall be submitted as a
follow–up to all required oral reports to the department within seven days
of the onset of the upset condition, and shall include as a minimum the
following:
a. The identity of the equipment or source operation point
from which the excess emission emissions originated and
the associated stack or emission point.
b. The estimated quantity of the excess
emission emissions.
c. The time and duration of the excess
emission emissions.
d. The cause of the excess emission
emissions.
e. The steps that were taken to remedy and to prevent the
recurrence of the incident of excess emission
emissions.
f. The steps that were taken to limit the excess
emission emissions.
g. If the owner claims that the excess
emission emissions was due to malfunction, documentation
to support this claim.
24.1(4) Excess emissions. An incident of excess
emission emissions (other than an incident
during startup, shutdown or cleaning of control equipment) is a
violation. An incident of excess emissions during startup or shutdown is a
violation unless the requirements of 24.1(1)“a” through
“i” are documented in writing and submitted to the department.
If the owner or operator of a source maintains that the incident of excess
emission emissions was due to a malfunction, the owner
or operator must show that the conditions which caused the incident of excess
emission emissions were not preventable by reasonable
maintenance and control measures. Determination of any subsequent enforcement
action will be made following review of this report. If excess emissions are
occurring, either the control equipment causing the excess
emission emissions shall be repaired in an expeditious
manner or the process generating the emissions shall be shut down within a
reasonable period of time. An expeditious manner is the time necessary to
determine the cause of the excess emissions and to correct it within a
reasonable period of time. A reasonable period of time is eight hours plus the
period of time required to shut down the process without damaging the process
equipment or control equipment. A variance from this subrule may be available
as provided for in Iowa Code section 455B.143. In the case of an electric
utility, a reasonable period of time is eight hours plus the period of time
until comparable generating capacity is available to meet consumer demand with
the affected unit out of service., unless If, upon
investigation, the director shall, upon investigation,
reasonably determine determines that continued operation
of any source constitutes an unjustifiable environmental hazard, the
department shall and issue an order that such operation is
not in the public interest and require a the process
shutdown to commence immediately.
24.1(5) Compliance with other paragraphs. Subrules
24.1(1) to 24.1(4) notwithstanding, a fossil fuel–fired steam generator to
which 567—paragraph 23.1(2)“a,” “z,” or
“ccc” applies shall comply with 567—paragraph
23.1(2)“a,” “z,” or “ccc.”
ITEM 24. Amend subrule 25.1(9) as
follows:
25.1(9) Methods and procedures. Stack sampling and
associated analytical methods used to evaluate compliance with emission
limitations of 567—Chapter 23 or a permit condition are those specified in
the “Compliance Sampling Manual*” adopted by the commission on May
19, 1977, as revised through January 1, 1995 November 24,
2000. Sampling methods, analytical determinations, minimum performance
specifications and quality assurance procedures for performance evaluations of
continuous monitoring systems are those found in Appendices A (as amended
through March 12, 1996), B (as amended through December 15, 1994) and F (as
amended through February 11, 1991,) of 40 CFR Part 60,
and 40 CFR 75, Appendices A (as amended through May 22, 1996),
B (as amended through May 17, 1995), and H (as amended through July 30, 1993)
of 40 CFR Part 75.
ARC 9888A
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 40, “Scope of
Division—Definitions—Forms—Rules of Practice,” Chapter
41, “Water Supplies,” Chapter 42, “Public Notification, Public
Education, Consumer Confidence Reports, Reporting, and Record
Maintenance,” Chapter 43, “Water Supplies—Design and
Operation,” and Chapter 83, “Laboratory Certification,” Iowa
Administrative Code.
Proposed changes to Chapter 40 include an amendment to rule
40.1(455B) regarding the scope of the division to include Chapter 55,
“Aquifer Storage and Recovery Rules.” Definitions for the following
new terms are proposed: “composite correction program,”
“comprehensive performance evaluation,” “comprehensive
technical assistance,” “disinfection profile,” “enhanced
coagulation,” “enhanced softening,” “filter
profile,” “GAC10,” “haloacetic acids,”
“maximum residual disinfectant level,” “maximum residual
disinfectant level goal,” “SUVA,” and “total organic
carbon.” Changes to the definitions of the following terms are proposed:
“act,” “acute health effect,” “health
advisory,” “influenced groundwater,” “maximum
contaminant level goal,” “nonacute health effect,”
“special irrigation district,” and “transient noncommunity
water system.” The following terms are rescinded: “EPA
methods” and “health–based standard.” The construction
permit application schedule form number is also corrected.
Proposed amendments to Chapter 41 include minor technical
corrections; analytical methodology updates; incorporation of the new
Environmental Protection Agency (EPA) disinfectants/disinfection byproducts rule
requirements; elimination of the surface water treatment requirements (these
will be moved to Chapter 43), elimination of the reiterated ethylene dibromide
and 1,2–dibromo–3–chloropropane requirements in 41.11(455B);
and sodium reporting requirements.
Proposed amendments to Chapter 42 include minor technical
corrections; adoption of the EPA disinfectants/disinfection byproducts and
enhanced surface water treatment rule requirements; elimination of the outdated
special lead ban public notice requirement; and elimination of the
“variances and exemptions” definition from the consumer confidence
reporting requirements.
Proposed amendments to Chapter 43 include minor technical
corrections; reorganization of the operation fee subrule to allow the Department
to adjust the fees by two cents ($0.02) per capita to meet the $350,000 target
revenue and charge a late fee of $100; a requirement that the Commission approve
any increases above the 14 cents per capita rate; incorporation of new EPA
disinfectants/disinfection byproducts and interim enhanced surface water
treatment rule requirements; and incorporation of the surface water treatment
rule requirements now found in 41.7(455B).
Proposed amendments to Chapter 83 include: allowing certified
operators to analyze certain parameters (exempting such from the normal
certified laboratory requirements); eliminating the exception for the University
of Iowa Hygienic Laboratory(UHL); incorporating the newest version of the
underground storage tank program laboratory certification manual; correction of
the term “heterotrophic plate count”; clarification of the
UHL’s role as the Department’s designated appraisal authority for
laboratory certification; new language to allow third parties to provide
performance evaluation samples for water supply testing, a new requirement that
laboratories annually analyze a performance evaluation sample for each
analytical method, new language for the disinfection byproducts quality
assurance requirements, and provisions for revocation of a laboratory’s
certification upon request.
These chapters and the proposed amendments were reviewed by
the water supply technical advisory group at two separate meetings. The group
is comprised of individuals representing a wide variety of water supply
stakeholders, including professional drinking water organizations, certified
operators, environmental interests, public water supply owners, and other state
agencies.
Any interested person may make written suggestions or comments
on these proposed amendments on or before July 26, 2000. Such written materials
should be directed to Diane Moles, Water Supply Section, Department of Natural
Resources, Wallace State Office Building, 502 E. Ninth Street, Des Moines, Iowa
50319–0034; fax (515)281–8895. Persons who wish to convey their
views orally should contact the Water Supply Section at (515)281–8863 or
at the Environmental Protection Commission offices on the fifth floor of the
Wallace State Office Building.
There will be six public hearings at which persons may present
their views either orally or in writing. At the hearing, persons will be asked
to give their names and addresses for the record and to confine their remarks to
the subject of the amendments. The public hearings will be held at 10 a.m. in
the following places on the following dates:
Des Moines July 6, 2000
Auditorium
Wallace State Office Building
502 E. Ninth Street
Des Moines, Iowa
Mason City July 7, 2000
Muse–Norris Conference Center
North Iowa Area Community College
500 College Drive
Mason City, Iowa
Washington July 14, 2000
Helen Wilson Gallery
Washington Public Library
120 E. Main
Washington, Iowa
Atlantic July 18, 2000
Conference Room
Atlantic Municipal Utilities
15 West Third Street
Atlantic, Iowa
Manchester July 19, 2000
Delaware County Community Center
200 E. Acres (at the fairgrounds)
Manchester, Iowa
Storm Lake July 20, 2000
Hansen Room
Siebens Forum
Buena Vista University
Fourth & Grand Avenue
Storm Lake, Iowa
Any persons who intend to attend a public hearing and have
special requirements such as hearing or mobility impairments should contact the
Department of Natural Resources and advise of specific needs.
These amendments are intended to implement Iowa Code section
17A.3(1)“b” and chapter 455B, division III, part 1.
The following amendments are proposed.
ITEM 1. Amend rule
567—40.1(455B) by adopting the following new paragraph
in numerical order:
Chapter 55 contains the provisions for public water supply
aquifer storage and recovery.
ITEM 2. Amend rule
567—40.2(455B) by amending, adopting, or rescinding the following
definitions:
“Act” means the Public Health Service Act
as amended by the Safe Drinking Water Act, Public Law
93–523 as amended (42 U.S.C. 300f et seq.).
“Acute health effect” means the
health effect of a contaminant which is an immediate rather than a
long–term risk to health.
“Composite correction program (CCP)” is a
systematic, comprehensive procedure that identifies and corrects the unique
combination of factors, in the areas of design, operation, maintenance, and
administration, that limit the performance of a filtration plant. The CCP is
comprised of two elements: comprehensive performance evaluation, which is the
evaluation phase, and comprehensive technical assistance, which is the
performance improvement phase.
“Comprehensive performance evaluation (CPE)” is
a thorough review and analysis of a treatment
plant’sperformance–based capabilities and associated administrative,
operation and maintenance practices. CPE is conducted to identify factors that
may be adversely impacting a plant’s capability to achieve compliance and
emphasizes approaches that can be implemented without significant capital
improvements. For purposes of compliance with surface water or influenced
groundwater treatment plant requirements pursuant to 567—Chapters 41 and
43, the comprehensive performance evaluation must consist of at least the
following components: assessment of plant performance; evaluation of major unit
processes; identification and prioritization of performance limiting factors;
assessment of the applicability of comprehensive technical assistance; and
preparation of a CPE report.
“Comprehensive technical assistance (CTA)”
is the performance improvement phase of the composite correction plan that is
implemented if the comprehensive performance evaluation results indicate
improved performance potential by a filtration plant, in which the system must
identify and systematically address plant–specific factors.
“Disinfection profile” is a summary of daily
Giardia lamblia inactivation through the treatment plant. The procedure for
developing a disinfection profile is contained in
567-paragraph
43.9(2)“b.”
“Enhanced coagulation” means the addition of
sufficient coagulant for improved removal of disinfection byproduct precursors
by conventional filtration treatment.
“Enhanced softening” means the improved removal
of disinfection byproduct precursors by precipitative softening.
“EPA methods” means methods listed in the
Manual for the Certification of Laboratories Analyzing Drinking Water, 4th
edition, EPA document 815–B–97–001, March
1997.
“Filter profile” is a graphical representation
of individual filter performance, based on continuous turbidity measurements or
total particle counts versus time for an entire filter run, from startup to
backwash inclusively, that includes an assessment of filter performance while
another filter is being backwashed.
“GAC10” means granular activated carbon filter
beds with an empty–bed contact time of 10 minutes based on average daily
flow and a carbon reactivation frequency of every 180 days.
“Haloacetic acids (HAA5)” means the sum of the
concentrations in milligrams per liter of the haloacetic acid compounds
(monochloroacetic acid, dichloroacetic acid, trichloroacetic acid,
monobromoacetic acid, and dibromoacetic acid), rounded to two significant
figures after addition.
“Health advisory (HA)” means a group of levels set
by EPA below which no harmful health effect is expected from a given
contaminant in drinking water. The HAs used by the department are listed
in the most current edition of the EPA “Drinking Water Regulations and
Health Advisories” bulletin. The lifetime HA is the concentration of a
chemical in drinking water that is not expected to cause any adverse
noncarcinogenic effects over a lifetime of exposure, with a margin of safety.
The long–term HA is the concentration of a chemical in drinking water that
is not expected to cause any adverse noncarcinogenic effects up to approximately
seven years (10 percent of an individual’s lifetime of exposure), with a
margin of safety.
“Health–based standard” means a
standard regulating the amount of allowable contaminant in drinking water, and
includes maximum contaminant levels, action levels, treatment techniques, and
health advisory levels.
“Influenced groundwater (IGW)” means
groundwater which is under the direct or indirect influence of surface water, as
determined by the presence of (1) significant occurrence of insects or other
macroorganisms, algae or large–size pathogens such as Giardia lamblia
or Cryptosporidium; or (2) significant and relatively rapid shifts in
water characteristics such as turbidity (particulate content), temperature,
conductivity, or pH which correlate to climatological or surface water
conditions, or other parameters as specified in 567— 43.5(455B).
“Maximum contaminant level goal (MCLG)” means the
nonenforceable concentration of a drinking water contaminant that is
protective of adverse human health effects and allows an adequate margin of
safety maximum level of a contaminant in drinking water at which no
known or anticipated adverse effect on the health of persons would occur, and
which allows an adequate margin of safety. MCLGs are nonenforceable health
goals.
“Maximum residual disinfectant level (MRDL)”
means a level of a disinfectant added for water treatment that may not be
exceeded at the consumer’s tap without an unacceptable possibility of
adverse health effects.
“Maximum residual disinfectant level goal
(MRDLG)” means the maximum level of a disinfectant added for water
treatment at which no known or anticipated adverse effect on the health of
persons would occur, and which allows an adequate margin of
safety.
“Nonacute health effect” means the health
effect of a contaminant which is a long–term rather than immediate risk to
health.
“Special irrigation district” means an irrigation
district in existence prior to May 18, 1994, that provides primarily
agricultural service through a piped water system with only incidental
residential or similar use where the system or the residential or similar users
of the system comply with 567— Chapters 40 through 43.
the second and third numbered paragraphs listed in the definition of
“Service Connection.”
“SUVA” means Specific Ultraviolet Absorption at
254 nanometers (nm), an indicator of the humic content of water. It is a
calculated parameter obtained by dividing a sample’s ultraviolet
absorption at a wavelength of 254 nm (in
m–1) by its
concentration of dissolved organic carbon (in mg/L).
“Total organic carbon (TOC)” means total
organic carbon in milligrams per liter, measured using heat, oxygen, ultraviolet
irradiation, chemical oxidants, or combinations of these oxidants that convert
organic carbon to carbon dioxide, rounded to two significant
figures.
“Transient noncommunity water sysytem
system (TNC)” means a noncommunity water system that does not
regularly serve at least 25 of the same persons over six months per calendar
year.
ITEM 3. Amend subrule 40.3(1),
introductory paragraph, as follows:
40.3(1) Construction permit application forms.
Schedules “1a” through “16d” are
required.
ITEM 4. Amend subrule 41.2(1),
paragraph “b,” as follows:
b. Maximum contaminant levels (MCL) for total coliforms, fecal
coliforms, and E. coli. The MCL is based on the presence or absence of total
coliforms in a sample.
(1) Nonacute coliform bacteria MCL.
1. For a system which collects 40 samples or more per month,
no more than 5.0 percent of the samples collected during a month may be total
coliform–positive. A nonacute total coliform bacteria MCL
violation occurs when more than 5.0 percent of routine and repeat samples
collected during a month are total coliform–positive, but are not
fecalcoliform–positive or E. coli–positive.
2. For a system which collects less than 40 samples per month,
no more than one sample collected during a month may be total
coliform–positive. A nonacute total coliform bacteria MCL
violation occurs when two or more routine and repeat samples collected during a
month are total coliform–positive, but are not fecal
coliform–positive or E. coli–positive.
(2) Acute coliform bacteria MCL. Any fecal
coliform–positive repeat sample or E. coli–positive repeat sample,or
any total coliform–positive repeat sample following a fecal
coliform–positive or E. coli–positive routine sample constitutes a
violation of the MCL for total coliforms. Forpurposes of the public
notification requirements in 567—paragraph 42.1(1)“b,” this is
a violation that may pose an acute risk to health.
(3) MCL compliance period. Compliance of a system with the
MCL for total coliforms in 41.2(1)“b”(1) and (2) is based on each
month in which the system is required to monitor for total coliforms.
(4) Compliance determination. Results of all routine and
repeat samples not invalidated by the department or laboratory must be included
in determining compliance with the MCL for total coliforms. Repeat samples
must be analyzed at the same laboratory as the corresponding original routine
sample(s), unless written approval for use of a different laboratory is granted
by the department.
ITEM 5. Amend subrule 41.2(1),
paragraph “c,” subparagraph (1), numbered paragraph
“2,” as follows:
2. The public water supply system must collect samples at
regular time intervals throughout the month, except that a system which uses
only groundwater (except groundwater under the direct influence of surface
water, as defined in 567—paragraph 43.5(1)“b”) and serves
4,900 persons or fewer, may collect all required samples on a single day if they
are taken from different sites. A system that uses only groundwater and adds
a chemical disinfectant or provides water with a disinfectant must measure the
residual disinfectant concentration at the same points in the distribution
system and at the same time as total coliform bacteria samples are collected. A
system that uses surface water or IGW must comply with the requirements
specified in 567-numbered paragraph
43.5(4)“b”(2)“2.” The system shall report the residual
disinfectant concentration to the laboratory with the bacteria sample, in
addition to compliance with the applicable reporting requirements of
567-subrule 42.4(3).
ITEM 6. Amend subrule 41.2(1),
paragraph “d,” by adopting the following new
subparagraph (5):
(5) Wellhead protection program. For groundwater systems,
compliance with the requirements of the department’s Wellhead Protection
Program.
ITEM 7. Amend subrule 41.2(1),
paragraph “e,” subparagraph (3), as follows:
(3) Total coliform bacteria analytical methodology. Public
water supply systems must conduct total coliform analyses in accordance with one
of the analytical methods in the following table:
Organism
|
Methodology
|
Citation1
|
Total Coliforms2
|
Total Coliform Fermentation
Technique3,4,5
|
9221A, B
|
|
Total Coliform Membrane Filter
Technique6
|
9222A, B, C
|
|
Presence–Absence (P–A) Coliform
Test5,6
Test5,7
|
9221D
|
|
ONPG–MUG
Test7
Test8
|
9223
|
|
Colisure
Test8
Test9
|
|
|
M*Colite Test
10
|
|
|
m–ColiBlue24
Test11
|
|
The procedures shall be done in accordance with the
documents listed below. The incorporation by reference of the following
documents listed in footnotes 1, 6, 8, 9, 10, and 11 was approved by the
Director of the Federal Register in accordance with5 U.S.C. 552(a) and 1 CFR
Part 51. Copies of the documents may be obtained from the sources listed below.
Information regarding obtaining these documents can be obtained from the Safe
Drinking Water Hotline at (800)426–4791. Documents may be inspected at
EPA’s Drinking Water Docket, 401 M Street SW, Washington, DC 20460,
telephone (202)260–3027; or at the Office of Federal Register, 800 North
Capitol Street NW, Suite 700, Washington, DC 20408.
1Methods 9221A, B; 9222A, B, C;
9221D; and 9223 are contained in Standard Methods for the Examination of Water
and Wastewater, 18th edition, 1992, and 19th edition, 1995, American
Public Health Association, 1015 Fifteenth Street NW, Washington, DC 20005.
Either edition may be used.
2The time from sample
collection to initiation of the analysis may not exceed 30 hours. Systems are
encouraged but not required to hold samples below 10 degrees Celsius during
transit.
3Lactose
broth, as commercially available, may be used in lieu of lauryl tryptose broth,
if the system conducts at least 25 parallel tests between this medium and lauryl
tryptose broth using the water normally tested, and this comparison demonstrates
that the false–positive rate and false–negative rate for total
coliforms, using lactose broth, is less than 10 percent.
4If inverted tubes are used to
detect gas production, the media should cover these tubes at least
one–half to two–thirds after the sample is added.
5No requirement exists to run
the completed phase on 10 percent of all total coliform–positive confirmed
tubes.
6MI agar also may be
used. Preparation and use of MI agar is set forth in the article, “New
medium for the simultaneous detection of total coliform and Escherichia coli in
water,” by Brenner, K.P., et al., 1993, Applied Environmental Microbiology
56:3534–3544. Also available from the Office of Water Resource Center
(RC–4100), 401 M Street SW, Washington, DC, 20460, EPA
600/J–99/225.
6Six–times
7Six–times
formulation strength may be used if the medium is filter–sterilized rather
than autoclaved.
7The
8The ONPG–MUG Test is also known as the
Autoanalysis Colilert System.
8The
Colisure Test must be incubated for 28 hours before examining the results. If
an examination of the results at 28 hours is not convenient, then results may be
examined at any time between 28 hours and 48 hours. A description of the
Colisure Test may be obtained from the Millipore Corp., Technical Services
Department, 80 Ashby Road, Bedford, MA 01730.
9The Colisure Test
may be read after an incubation time of 24 hours. A description of the Colisure
Test, February 28, 1994, may be obtained from IDEXX Laboratories, Inc., One
IDEXX Drive, Westbrook, ME 04092.
10A description of
the E*Colite Test, “Presence/Absence for Coliforms and E. Coli in
Water,” December 21, 1997, is available from Charm Sciences, Inc., 25
Franklin Street, Malden, MA 02148–4120.
11A description of
the m–ColiBlue24 Test, August 17, 1999, is available from the Hach
Company, 100 Dayton Avenue, Ames, IA 50010.
12The department
strongly recommends that laboratories evaluate the false–positive and
false–negative rates for the method(s) they use for monitoring total
coliforms. It also encourages laboratories to establish false–positive
and false–negative rates within their own laboratory and sample matrix
(drinking water or source water) with the intent that if the method chosen has
an unacceptable false–positive or false–negative rate, another
method can be used. The department suggests that laboratories perform these
studies on a minimum of 5 percent of all total coliform–positive samples,
except for those methods where verification/confirmation is already required,
e.g., the M–Endo and LES Endo Membrane Filter Tests, Standard Total
Coliform Fermentation Technique, and Presence–Absence Coliform Test.
Methods for establishing false–positive and false–negative rates may
be based on lactose fermentation, the rapid test for beta–galactosidase
and cytochrome oxidase, multi–test identification systems, or equivalent
confirmation tests. False–positive and false–negative information
is often available in published studies or from the
manufacturer(s).
ITEM 8. Amend subrule 41.2(1),
paragraph “e,” subparagraph (5), as follows:
(5) Fecal coliform analytical methodology. Public water
systems must conduct fecal coliform analysis in accordance with the following
procedure. When the MTF Technique or presence–absence (P–A)
coliform test is used to test for total coliforms, shake the
lactose–positive presumptive tube or P–A bottle vigorously and
transfer the growth with a sterile 3–mm loop or sterile applicator stick
into brilliant green lactose bile broth and EC medium to determine the presence
of total and fecal coliforms, respectively. For EPA–approved analytical
methods which use a membrane filter, transfer the total
coliform–positive culture by one of the following methods: remove the
membrane containing the total coliform colonies from the substrate with sterile
forceps and carefully curl and insert the membrane into a tube of EC
medium. (The laboratory may first remove a small portion of
selected colonies for verification); swab the entire membrane filter surface
with a sterile cotton swab and transfer the inoculum to EC medium (do not leave
the cotton swab in the EC medium); or inoculate individual total
coliform–positive colonies into EC medium. Gently shake the
inoculated EC tubes to ensure adequate mixing and incubate in a waterbath at
44.5 (+ or -) 0.2 degrees C for 24 (+ or -) 2 hours. Gas production of any
amount in the inner fermentation tube of the EC medium indicates a positive
fecal coliform test. The preparation of EC medium is described in Method 9221E
(paragraph 1a) in Standard Methods for the Examination of Water and Wastewater,
18th edition, 1992, and in the 19th edition, 1995; either edition may be
used. Public water supply systems need only determine the
presence or absence of fecal coliforms; a determination of fecal coliform
density is not required.
ITEM 9. Amend subrule 41.2(1),
paragraph “e,” subparagraph (6), as follows:
(6) E. coli analytical methodology. Public water systems must
conduct analysis of Escherichia coli (E. coli) in accordance with one of the
following analytical methods:
1. EC medium supplemented with 50 micrograms per milliliter of
4–methylumbelliferyl–beta–D–glucuronide (MUG) (final
concentration). EC medium is described in Standard Methods for the Examination
of Water and Wastewater, 18th edition, 1992, and in the 19th edition,
1995, Method 9221E, paragraph 1a; either edition may be used.
MUG may be added to EC medium before autoclaving. EC medium
supplemented with 50 micrograms per milliliter of MUG is commercially available.
At least 10 mL of EC medium supplemented with MUG must be used. The inner
inverted fermentation tube may be omitted. The procedure for transferring a
total coliform–positive culture to EC medium supplemented with MUG shall
be as specified in subrule 41.2(1)“e”(5) for
transferring a total coliform–positive culture to EC medium. Observe
fluorescence with an ultraviolet light (366 nm) in the dark after incubating
tube at 44.5 plus or minus 0.2 degrees Celsius for 24 plus or minus 2
hours.
2. Nutrient agar supplemented with 100 micrograms per mL
4–methylumbelliferyl–beta–D–glucuronide (MUG) (final
concentration). Nutrient agar is described in Method 9221B (paragraph 3)
in Standard Methods for the Examination of Water and Wastewater,
18th edition, 1992, and in the 19th edition, 1995; either edition may be
used. This test is used to determine if a total
coliform–positive sample, as determined by the Membrane–Filter
Technique or any other method in which a membrane filter is used, contains E.
coli. Transfer the membrane filter containing a total coliform colony(ies) to
nutrient agar supplemented with 100 micrograms per mL (final concentration) of
MUG. After incubating the agar plate at 35 degrees Celsius for 4 hours, observe
the colony(ies) under ultraviolet light (366 nm) in the dark for fluorescence.
If fluorescence is visible, E. coli are present.
3. Minimal Medium ONPG–MUG (MMO–MUG) Test, as set
forth in the article “National Field Evaluation of a Defined Substrate
Method for the Simultaneous Detection of Total Coliforms and Escherichia coli
from Drinking Water: Comparisons with Presence–Absence Techniques”
(Edberg et al.), Applied and Environmental Microbiology, Volume 55, pp.
1003–1008, April 1989. (Note: The Autoanalysis Colilert System is an
MMO–MUG test.) If the MMO–MUG Test is total coliform–positive
after a 24–hour incubation, test the medium for fluorescence with a
366–nm ultraviolet light (preferably with a 6–watt lamp) in the
dark. If fluorescence is observed, the sample is E. coli–positive. If
fluorescence is questionable (cannot be definitively read) after 24 hours
incubation, incubate the culture for an additional four hours (but not to exceed
28 hours total), and again test the medium for fluorescence. The MMO–MUG
Test with hepes buffer is the only approved formulation for the detection of E.
coli.
4. The membrane filter method with MI agar, as described
in footnote 6 of the Total Coliform Methodology Table in
41.2(1)“e”(3).
5. E*Colite Test, as described in footnote 10 of the Total
Coliform Methodology Table in 41.2(1)“e”(3).
6. m–ColiBlue24 Test, as described in footnote 11 of
the Total Coliform Methodology Table in 41.2(1)“e”(3).
ITEM 10. Amend subrule 41.2(3),
paragraph “e,” as follows:
e. Analytical methodology. Public water systems shall conduct
heterotrophic plate count bacteria analysis in accordance with 567—subrule
43.5(2) and the following analytical method. Measurements for heterotrophic
plate count bacteria must be conducted by a laboratory certified by the
department to do such analysis., when heterotrophic plate
count bacteria are being measured in lieu of a detectable residual disinfectant
pursuant to 567-paragraph
43.5(2)“d.” In addition, the time from sample collection to
initiation of analysis may not exceed 8 hours, and the systems must hold the
samples below 10 degrees Celsius during transit to the laboratory.
(1) Method. The heterotrophic plate count shall be performed
in accordance with Method 9215B Pour Plate Method, Standard Methods for the
Examination of Water and Wastewater, 18th edition, 1992, and 19th
edition, 1995 (either edition may be used).
(2) Reporting. The public water system shall report the
results of heterotrophic plate count in accordance with 567— subparagraph
42.4(3)“c”(2).
ITEM 11. Amend subrule 41.3(1),
paragraph “c,” subparagraph (2), numbered paragraph
“4,” as follows:
4. Composite sampling. The department may reduce the total
number of samples which must be analyzed by the use of compositing. In systems
serving less than or equal to 3,300 persons, composite samples from a maximum of
five samples are allowed, provided that the detection limit of the method used
for analysis is less than one–fifth of the MCL. Compositing of samples
must be done in the laboratory. If the concentration in the composite sample is
greater than or equal to one–fifth of the MCL of any inorganic chemical,
then a follow–up sample must be taken within 14 days at each sampling
point included in the composite. These samples must be analyzed for the
contaminants which exceeded one–fifth of the MCL in the composite sample.
If duplicates of the original sample taken from each sampling point used in the
composite are available, the system may use these duplicates instead of
resampling, provided the holding time of the duplicate samples is not
exceeded. The duplicate must be analyzed and the results reported to the
department within 14 days of collection after completing
analysis of the composite sample. If the population served by the system is
greater than 3,300 persons, then compositing may only be permitted by the
department as sampling points within a single system. In systems serving less
than or equal to 3,300 persons, the department may permit compositing among
different systems provided the five–sample limit is maintained. Detection
limits for each inorganic contaminant analytical method are contained in
41.3(1)“e”(1).
ITEM 12. Amend subrule 41.3(1),
paragraph “c,” subparagraph (7), numbered paragraph
“1,” as follows:
1. Deadline for IOCs confirmation samples. Where the results
of an analysis for antimony, arsenic, asbestos, barium, beryllium, cadmium,
chromium, cyanide, fluoride, mercury, nickel, selenium, and
or thallium indicate an exceedance of the maximum contaminant level, the
department may require that one additional sample be collected as soon as
possible after the initial sample was taken (but not to exceed two weeks) at the
same sampling point.
ITEM 13. Amend subrule 41.3(1),
paragraph “c,” subparagraph (8), numbered paragraph
“3,” as follows:
3. Blending or treatment processes conducted for the purpose
of complying with health–based standards a maximum
contaminant level, treatment technique, or action level, and
ITEM 14. Amend subrule 41.3(1),
paragraph “e,” subparagraph (1), as follows:
(1) Analytical methods for IOCs. Analysis for the listed
inorganic contaminants shall be conducted using the following methods, or their
equivalent as determined by EPA. Criteria for analyzing arsenic, barium,
beryllium, cadmium, chromium, copper, lead, nickel, selenium, sodium, and
thallium with digestion or directly without digestion, and other analytical test
procedures are contained in Technical Notes on Drinking Water Methods,
EPA–600/R–94–173, October, 1994. This document is available
from the National Technical Information Service, NTIS PB95–104766, U.S.
Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161. The
toll–free number is (800)553–6847.
INORGANIC CONTAMINANTS ANALYTICAL METHODS
|
Contaminant
|
Methodology15
|
EPA
|
ASTM3
|
SM4
|
Other
|
Detection Limit, mg/L
|
Antimony
|
Atomic absorption; furnace
|
|
|
3113B
|
|
0.003
|
|
Atomic absorption; platform
|
200.92
|
|
|
|
0.000812
|
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
0.0004
|
|
Atomic absorption; hydride
|
|
D3697–92
|
|
|
0.001
|
Arsenic16
|
Inductively coupled plasma
|
200.72
|
|
3120B
|
|
|
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
|
|
Atomic absorption; platform
|
200.92
|
|
|
|
|
|
Atomic absorption; furnace
|
|
D2972–93C
|
3113B
|
|
|
|
Atomic absorption; hydride
|
|
D2972–93B
|
3114B
|
|
|
Asbestos
|
Transmission electron microscopy
|
100.19
|
|
|
|
0.01 MFL
|
|
Transmission electron microscopy
|
100.210
|
|
|
|
|
Barium
|
Inductively coupled plasma
|
200.72
|
|
3120B
|
|
0.002
|
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
|
|
Atomic absorption; direct
|
|
|
3111D
|
|
0.1
|
|
Atomic absorption; furnace
|
|
|
3113B
|
|
0.002
|
Beryllium
|
Inductively coupled plasma
|
200.72
|
|
3120B
|
|
0.0003
|
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
0.0003
|
|
Atomic absorption; platform
|
200.92
|
|
|
|
0.0000212
|
|
Atomic absorption; furnace
|
|
D3645–93B
|
3113B
|
|
0.0002
|
Cadmium
|
Inductively coupled plasma
|
200.72
|
|
|
|
0.001
|
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
|
|
Atomic absorption; platform
|
200.92
|
|
|
|
|
|
Atomic absorption; furnace
|
|
|
3113B
|
|
0.0001
|
Chromium
|
Inductively coupled plasma
|
200.72
|
|
3120B
|
|
0.007
|
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
|
|
Atomic absorption; platform
|
200.92
|
|
|
|
|
|
Atomic absorption; furnace
|
|
|
3113B
|
|
0.001
|
Cyanide
|
Manual distillation (followed by one of the following
analytical methods):
|
|
D2036–91A
|
4500–CN–C
|
|
|
|
Spectrophotometric;
amenable14
|
|
D2036–91B
|
4500–CN–D G
|
|
0.02
|
|
Spectrophotometric;
manual13
|
|
D2036–91A
|
4500–CN–E
|
I–3300–855
|
0.02
|
|
Spectrophotometric;
semi–automated13
|
335.46
|
|
|
|
0.005
|
|
Selective electrode13
|
|
|
4500–CN–F
|
|
0.05
|
Fluoride
|
Ion chromatography
|
300.06
|
D4327–91
|
4110B
|
|
|
|
Manual distillation; colorimetric; SPADNS
|
|
|
4500F–B,D
|
|
|
|
Manual electrode
|
|
D1179–93B
|
4500F–C
|
|
|
|
Automated electrode
|
|
|
|
380–75WE11
|
|
|
Automated alizarin
|
|
|
4500F–E
|
129–71W11
|
|
Magnesium
|
Atomic absorption; direct
|
|
D511–93B
|
3111B
|
|
|
|
ICP
|
200.71
|
|
3120B
|
|
|
|
Complexation Titrimetric Methods
|
|
D511–93A
|
3500–MgE
|
|
|
Mercury
|
Manual, cold vapor
|
245.12
|
D3223–91
|
3112B
|
|
0.0002
|
|
Automated, cold vapor
|
245.21
|
|
|
|
0.0002
|
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
|
Nickel
|
Inductively coupled plasma
|
200.72
|
|
3120B
|
|
0.005
|
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
0.0005
|
|
Atomic absorption; platform
|
200.92
|
|
|
|
0.000612
|
|
Atomic absorption; direct
|
|
|
3111B
|
|
|
|
Atomic absorption; furnace
|
|
|
3113B
|
|
0.001
|
Nitrate
|
Ion chromatography
|
300.06
|
D4327–91
|
4110B
|
B–10118
|
0.01
|
|
Automated cadmium reduction
|
353.26
|
D3867–90A
|
4500–NO3–F
|
|
0.05
|
|
Ion selective electrode
|
|
|
4500–NO3–D
|
6017
|
1
|
|
Manual cadmium reduction
|
|
D3867–90B
|
4500–NO3–E
|
|
0.01
|
Nitrite
|
Ion chromatography
|
300.06
|
D4327–91
|
4110B
|
B–10118
|
0.004
|
|
Automated cadmium reduction
|
353.26
|
D3867–90A
|
4500–NO3–F
|
|
0.05
|
|
Manual cadmium reduction
|
|
D3867–90B
|
4500–NO3–E
|
|
0.01
|
|
Spectrophotometric
|
|
|
4500–NO32–B
|
|
0.01
|
Selenium
|
Atomic absorption; hydride
|
|
D3859–93A
|
3114B
|
|
0.002
|
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
|
|
Atomic absorption; platform
|
200.92
|
|
|
|
|
|
Atomic absorption; furnace
|
|
D3859–93B
|
3113B
|
|
0.002
|
Sodium
|
Inductively coupled plasma
|
200.72
|
|
|
|
|
|
Atomic absorption; direct
|
|
|
3111B
|
|
|
Thallium
|
ICP–Mass spectrometry
|
200.82
|
|
|
|
|
|
Atomic absorption; platform
|
200.92
|
|
|
|
0.000712
|
The procedures shall be done in accordance with the documents
listed below. The incorporation by reference of the following documents was
approved by the Director of the Federal Register in accordance with 5 U.S.C.
552(a) and 1 CFR Part 51, effective January 4, 1995. Copies of the documents
may be obtained from the sources listed below. Contact the Safe Drinking Water
Hotline at (800)426–4791 to obtain information about these documents.
Documents may be inspected at EPA’s Drinking Water Docket, 401 M Street
SW, Washington, DC 20460 (telephone: (202)260–3027); or at the Office of
Federal Register, 800 North Capitol Street NW, Suite 700, Washington,
DC.
1“Methods for Chemical
Analysis of Water and Wastes,” EPA–600/4–79–020, March
1983. Available at NTIS, PB84–128677. Also available from US EPA, EMSL,
Cincinnati, OH 45268.
2“Methods for the
Determination of Metals in Environmental Samples—Supplement I,”
EPA–600/R–94–111, May 1994. Available at NTIS,
PB94–184942.
3Annual Book of ASTM Standards,
1994, Vols. 11.01 and 11.02, American Society for Testing and Materials (ASTM).
Copies may be obtained from the American Society for Testing and Materials, 101
Barr Harbor Drive, West Conshohocken, PA 19428.
418th and 19th
edition editions of Standard Methods for the
Examination of Water and Wastewater, 1992 and 1995, respectively,
American Public Health Association; either edition may be used. Copies
may be obtained from the American Public Health Association, 1015 Fifteenth
Street NW, Washington, DC 20005.
5Techniques of Water Resources
Investigation of the U.S. Geological Survey, Book 5, Chapter A–1, 3rd
edition, 1989, Method I–3300–85. Available from Information
Services, U.S. Geological Survey, Federal Center, Box 25286, Denver, CO
80225–0425.
6“Methods for the
Determination of Inorganic Substances in Environmental Samples,”
EPA–600–R–93–100, August 1993. Available at NTIS,
PB94–121811 120821.
7The procedure shall be done in
accordance with the Technical Bulletin 601, “Standard Method of Test for
Nitrate in Drinking Water,” July 1994, PN221890–001, Analytical
Technology, Inc. This incorporation by reference was approved by the Director
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51,
effective January 4, 1995. Copies may be obtained from ATI Orion, 529 Main
Street, Boston, MA 02129. Copies may be inspected at EPA’s Drinking
Water Docket, 401 M Street SW, Washington, DC 20460; or at the Office of the
Federal Register, 800 North Capitol Street NW, Suite 700, Washington,
DC.
8Method B–1011,
“Water Waters Test Method for Determination of
Nitrite/Nitrate in Water Using Single Column Ion Chromatography.” Copies
may be obtained from Waters Corporation, Technical Services Division, 34 Maple
Street, Milford, MA 01757.
9Method 100.1,
“Analytical Method for Determination of Asbestos Fibers in Water,”
EPA–600/4–83–043, EPA, September 1983. Available at NTIS,
PB83–260471.
10Method 100.2,
“Determination of Asbestos Structure Over 10 Microns in Length in Drinking
Water,” EPA–600/R–94–134, June 1994. Available at NTIS,
PB94–201902.
11Industrial Method No.
129–71W, “Fluoride in Water and Wastewater,” December 1972,
and Method No. 380–75WE, “Fluoride in Water and Wastewater,”
February 1976, Technicon Industrial Systems. Copies may be obtained from Bran
& Luebbe, 1025 Busch Parkway, Buffalo Grove, IL 60089.
12Lower MDLs are reported using
stabilized temperature graphite furnace atomic absorption.
13Screening method for total
cyanides.
14Measures “free”
cyanides.
15Because MDLs
reported in EPA Methods 200.7 and 200.9 were determined using a 2X
preconcentration step during sample digestion, MDLs determined when samples are
analyzed by direct analysis (i.e., no sample digestion) will be higher. For
direct analysis of cadmium and arsenic by Method 200.7, and arsenic by Method
3120B, sample preconcentration using pneumatic nebulization may be required to
achieve lower detection limits. Preconcentration may also be required for
direct analysis of antimony and thallium by Method 200.9, and antimony by Method
3113B, unless multiple in–furnace depositions are made.
16If ultrasonic
nebulization is used in the determination of arsenic by Method 200.7, 200.8, or
SM 3120B, the arsenic must be in the pentavalent state to provide uniform signal
response. For Methods 200.7 and 3120B, both samples and standards must be
diluted in the same mixed acid matrix concentration of nitric and hydrochloric
acid with the addition of 100 ∝L
of 30 hydrogen peroxide per 100 mL of solution. For direct analysis of arsenic
with Method 200.8 using ultrasonic nebulization, samples and standards must
contain 1 mg/L of sodium hypochlorite.
ITEM 15. Amend subrule 41.3(1),
paragraph “e,” subparagraph (2), as follows:
(2) Sampling methods for IOCs. Sample collection for
antimony, asbestos, barium, beryllium, cadmium, chromium, cyanide, fluoride,
mercury, nickel, nitrate, nitrite, selenium, and thallium under this
subparagraph shall be conducted using the sample preservation, container, and
maximum holding time procedures specified in the table below:
SAMPLING METHODS FOR IOCs
Contaminant
|
Preservative1
|
Container2
|
Time3
|
Antimony
|
HNO3
|
P or G
|
6 months
|
Asbestos
|
4 degrees C
|
P or G
|
48 hours for
filtration5
|
Barium
|
HNO3
|
P or G
|
6 months
|
Beryllium
|
HNO3
|
P or G
|
6 months
|
Cadmium
|
HNO3
|
P or G
|
6 months
|
Chromium
|
HNO3
|
P or G
|
6 months
|
Cyanide
|
4 degrees C, NaOH
|
P or G
|
14 days
|
Fluoride
|
None
|
P or G
|
1 month
|
Mercury
|
HNO3
|
P or G
|
28 days
|
Nickel
|
HNO3
|
P or G
|
6 months
|
Nitrate4
|
4 degrees C
|
P or G
|
48 hours
|
Nitrate–Nitrite4
|
H2SO4
|
P or G
|
28 days
|
Nitrite4
|
4 degrees C
|
P or G
|
48 hours
|
Selenium
|
HNO3
|
P or G
|
6 months
|
Thallium
|
HNO3
|
P or G
|
6 months
|
1When indicated, samples must
be acidified at the time of collection to pH <2 with concentrated acid, or
adjusted with sodium hydroxide to pH >12. Samples collected for metals
analysis may be preserved by acidification at the laboratory, using a 1:1 nitric
acid solution (50 percent by volume), provided the shipping time and other
instructions in Section 8.3 of EPA Methods 200.7, 200.8, and 200.9 are followed.
When chilling is indicated, the sample must be shipped and stored at 4
degrees C or less.
2P: plastic, hard or soft; G:
glass, hard or soft
3In all cases, samples should
be analyzed as soon after collection as possible. Follow additional (if any)
information on preservation, containers, or holding times that is specified in
the method.
4Nitrate may only be measured
separate from nitrite in samples that have not been acidified. Measurement of
acidified samples provides a total nitrate (sum of nitrate plus nitrite)
concentration. Acidification of total nitrate (nitrate plus nitrite) samples
must be done in the field at the time of sample collection.
5Instructions for containers,
preservation procedures, and holding times as specified in Method 100.2 must be
adhered to for all compliance analyses, including those conducted with Method
100.1.
ITEM 16. Amend subrule 41.4(1),
paragraph “g,” subparagraph (1), as follows:
(1) Analytical methods. The following analytical
methods must be used by an approved laboratory, except for temperature which
should be measured by the supplier using the approved method:
Analyses for alkalinity, calcium, conductivity, orthophosphate, pH, silica,
and temperature may be performed by a Grade I, II, III, or IV certified operator
meeting the requirements of 567—Chapter 81, any person under the
supervision of a Grade I, II, III, or IV certified operator meeting the
requirements of 567—Chapter 81, or a laboratory certified by the
department to perform analysis under 567—Chapter 83. Analyses under this
subrule for lead and copper shall only be conducted by laboratories that have
been certified by the department, pursuant to
567-Chapter 83. The following methods
must be used:
LEAD, COPPER AND WATER QUALITY PARAMETER ANALYTICAL
METHODS
Contaminant
|
EPA
Contaminant Code
|
Methodology9
|
Reference (Method Number)
|
|
|
|
EPA
|
ASTM3
|
SM4
|
USGS5
|
Alkalinity
|
1927
|
Titrimetric
|
|
D1067–92B
|
2320 B
|
|
|
|
Electrometric titration
|
|
|
|
I–1030–85
|
Calcium
|
1919
|
EDTA titrimetric
|
|
D511–93A
|
3500–Ca D
|
|
|
|
Atomic absorption; direct aspiration
|
|
D511–93B
|
3111 B
|
|
|
|
Inductively–coupled plasma
|
200.72
|
|
3120 B
|
|
Chloride
|
1017
|
Ion chromatography
|
300.08
|
D4327–91
|
4110 B
|
|
|
|
Potentiometric titration
|
|
|
4500–Cl–D
|
|
Conductivity
|
1064
|
Conductance
|
|
D1125–91A95A
|
2510 B
|
|
Copper6
|
1022
|
Atomic absorption; furnace technique
|
|
D1688–90C95C
|
3113 B
|
|
|
|
Atomic absorption; direct aspiration
|
|
D1688–90A95A
|
3111 B
|
|
|
|
Inductively–coupled plasma
|
200.72
|
|
3120 B
|
|
|
|
Inductively–coupled plasma; mass spectrometry
|
200.82
|
|
|
|
|
|
Atomic absorption; platform furnace
|
200.92
|
|
|
|
Lead6
|
1030
|
Atomic absorption; furnace
technique
|
|
D3559–90D95D
|
3113 B
|
|
|
|
Inductively–coupled plasma; mass spectrometry
|
200.82
|
|
|
|
|
|
Atomic absorption; platform furnace technique
|
200.92
|
|
|
|
|
|
Differential pulse anodic stripping voltammatry
|
|
|
|
Method
100110
|
pH
|
1925
|
Electrometric
|
150.11
|
D1293–84 95
|
4500–H+ B
|
|
|
|
|
150.21
|
|
|
|
Orthophosphate (Unfiltered no digestion or
hydrolysis)
|
1044
|
Colorimetric, automated, ascorbic acid
colorimetric
|
365.18
|
|
4500–P F
|
|
|
|
Colorimetric, ascorbic acid, single reagent
|
|
D515–88A
|
4500–P E
|
|
|
|
Colorimetric, phosphomolybdate;
|
|
|
|
I–1601 1602–85
|
|
|
Automated–segmented flow
|
|
|
|
I–2601–908
|
|
|
Automated discrete
|
|
|
|
I –2598–85
|
|
|
Ion chromatography
|
300.07
|
D4327–91
|
4110 B
|
|
Silica
|
1049
|
Colorimetric, molybdate blue
|
|
|
|
I–1700–85
|
|
|
Automated–segmented flow
|
|
|
|
I–2700–85
|
|
|
Colorimetric
|
|
D859–88 95
|
|
|
|
|
Molybdosilicate
|
|
|
4500–Si D
|
|
|
|
Heteropoly blue
|
|
|
4500–Si E
|
|
|
|
Automated method for molybdate–reactive silica
|
|
|
4500–Si F
|
|
|
|
Inductively–coupled
plasma6
|
200.72
|
|
3120 B
|
|
Temperature
|
1996
|
Thermometric
|
|
|
2550 B
|
|
Total Filterable Residue (TDS)
|
1930
|
Gravimetric
|
|
|
2540 C
|
|
The procedures shall be done in accordance with the documents
listed below. The incorporation by reference of the following documents was
approved by the Director of the Federal Register in accordance with 5 U.S.C.
552(a) and 1 CFR Part 51, effective January 4, 1995. Copies of the documents
may be obtained from the sources listed below. Contact the Safe Drinking Water
Hotline at (800)426–4791 to obtain information about these documents.
Documents may be inspected at EPA’s Drinking Water Docket, 401 M Street
SW, Washington, DC 20460 (telephone: (202)260–3027); or at the Office of
Federal Register, 800 North Capitol Street NW, Suite 700, Washington,
DC.
1“Methods for Chemical
Analysis of Water and Wastes,” EPA–600/4–79–020, March
1983. Available at NTIS as PB84– 128677. Also available at US EPA, EMSL,
Cincinnati, OH.
2“Methods for the
Determination of Metals in Environmental Samples,”
EPA–600/4–91–010, June 1991. Available at NTIS as
PB91–231498.
3Annual Book of ASTM Standards,
1994 and 1996, Vols. 11.01 and 11.02, American Society for Testing and
Materials. The previous versions of D1688–95A and D1688–95C
(copper), D3559–95D (lead), D1293–95 (pH), D1125–91A
(conductivity), and D859–94 (silica) are also approved. These previous
versions, D1688–90A, C, D3559–90D, D1293–84, D1125–91A
and D859–88, respectively, are located in the Annual Book of ASTM
Standards, 1994, Volume 11.01. Copies may be obtained from the American
Society for Testing and Materials, 101 Barr Harbor Drive, West Conshohocken, PA
19428.
418th and 19th
edition editions of Standard Methods for the
Examination of Water and Wastewater, 1992 and 1995, respectively,
American Public Health Association. Copies may be obtained from the American
Public Health Association, 1015 Fifteenth Street NW, Washington, DC
20005.
5Techniques of Water Resources
Investigation of the U.S. Geological Survey, Book 5, Chapter A–1, 3rd ed.,
1989. Available from Information Services, U.S. Geological Survey, Federal
Center, Box 25286, Denver, CO 80225–0425.
6Samples may not be filtered.
Samples that contain less than 1 NTU (Nephelometric turbidity unit) and are
properly preserved (concentrated nitric acid to pH < 2) may be analyzed
directly (without digestion) for total metals; otherwise, digestion is required.
When digestion is required, the total recoverable technique as defined in the
method must be used.
7“Methods for the
Determination of Inorganic Substances in Environmental Samples,”
EPA/600/R–93/100, August 1993. Available at NTIS as
PB94–121811 120821.
8“Methods of Analysis by
the U.S. Geological Survey National Water Quality Laboratory—Determination
of Inorganic and Organic Constituents in Water and Fluvial Sediments, Open File
Report 93–125.” Available at Superintendent of Documents, U.S.
Government Printing Office, Washington, DC 20402.
9Because MDLs
reported in EPA Methods 200.7 and 200.9 were determined using a 2X
preconcentration step during sample digestion, MDLs determined when samples are
analyzed by direct analysis (i.e., no sample digestion) will be higher.
Preconcentration may be required for direct analysis of lead by Methods 200.9,
3113B, and 3559–90D unless multiple in–furnace depositions are made.
10The description for
Method 1001 is available from Palintest, Ltd., 21 Kenton Lands Road, P.O. Box
18395, Erlanger, KY 41018; or from the Hach Company, P.O. Box 389, Loveland,
CO.
ITEM 17. Amend subrule 41.4(1),
paragraph “g,” subparagraph (2), as follows:
(2) Certified laboratory requirements.
Analyses Lead and copper analyses under this subrule
shall only be conducted by laboratories that have been certified by the
department and are in compliance with the requirements of
567- Chapter
83.
ITEM 18. Amend subrule 41.5(1),
paragraph “a,” as follows:
a. Applicability. The maximum contaminant levels for
volatile and synthetic organic contaminants apply to community and
nontransient noncommunity water systems. Compliance with the volatile and
synthetic organic contaminant maximum contaminant level is calculated
pursuant to 41.5(1)“b.” The maximum contaminant level for
total trihalomethanes applies only to community water systems which serve a
population of 10,000 or more individuals and which add a disinfectant (oxidant)
to the water in any part of the drinking water treatment process. Compliance
with the maximum contaminant level for total trihalomethanes is calculated
pursuant to 41.5(1)“e”(4). Total trihalomethanes is the sum of the
concentrations of bromodichloromethane, dibromochloromethane, tribromomethane
(bromoform) and trichloromethane (chloroform). The maximum
contaminant level of 0.10 mg/L for total trihalomethanes (the sum of the
concentrations of bromodichloromethane, tribromomethane (bromoform),
dibromochloromethane, and trichloromethane (chloroform)) applies to all surface
water community public water systems (CWS) serving 10,000 or more persons and
all IGW CWS serving 10,000 or more persons until December 31, 2001, after which
time the systems must comply with 41.6(455B). This 0.10 mg/L MCL also applies
to all groundwater CWS serving 10,000 or more persons until December 31, 2003,
after which time the systems must comply with 41.6(455B). Compliance with the
maximum contaminant level for total trihalomethanes is calculated pursuant to
41.5(1)“e”(4).
ITEM 19. Amend 41.5(1), paragraph
“b,” introductory paragraph, as follows:
b. Maximum contaminant levels (MCLs) and analytical
methodology for organic compounds. The maximum contaminant levels for
organic chemicals are listed in the following table. Analyses for the
contaminants in this subrule shall be conducted using the following methods, or
their equivalent as approved by EPA.
ITEM 20. Amend subrule 41.5(1),
paragraph “b,” subparagraph (1), as follows:
(1) Table:
ORGANIC CHEMICAL CONTAMINANTS, CODES, MCLS,
ANALYTICAL METHODS, AND DETECTION LIMITS
Contaminant
|
EPA Contaminant Code
|
MCL (mg/L)
|
Methodology1
|
Detection Limit
(mg/L)2 (mg/L)
|
Volatile Organic Chemicals (VOCs):
|
Benzene
|
2990
|
0.005
|
502.2, 524.2
|
0.0005
|
Carbon tetrachloride
|
2982
|
0.005
|
502.2, 524.2, 551
551.1
|
0.0005
|
Chlorobenzene (mono)
|
2989
|
0.7 0.1
|
502.2, 524.2
|
0.0005
|
Contaminant
|
EPA Contaminant Code
|
MCL (mg/L)
|
Methodology1
|
Detection Limit
(mg/L)2 (mg/L)
|
1,2–Dichlorobenzene (ortho)
|
2968
|
0.6
|
502.2, 524.2
|
0.0005
|
1,4–Dichlorobenzene (para)
|
2969
|
0.075
|
502.2, 524.2
|
0.0005
|
1,2–Dichloroethane
|
2980
|
0.005
|
502.2, 524.2
|
0.0005
|
1,1–Dichloroethylene
|
2977
|
0.007
|
502.2, 524.2
|
0.0005
|
cis–1,2–Dichloroethylene
|
2380
|
0.07
|
502.2, 524.2
|
0.0005
|
trans–1,2–Dichloroethylene
|
2979
|
0.1
|
502.2, 524.2
|
0.0005
|
Dichloromethane
|
2964
|
0.005
|
502.2, 524.2
|
0.0005
|
1,2–Dichloropropane
|
2983*
|
0.005
|
502.2, 524.2
|
0.0005
|
Ethylbenzene
|
2992
|
0.7
|
502.2, 524.2
|
0.0005
|
Styrene
|
2996
|
0.1
|
502.2, 524.2
|
0.0005
|
Tetrachloroethylene
|
2987
|
0.005
|
502.2, 524.2, 551
551.1
|
0.0005
|
Toluene
|
2991
|
1
|
502.2, 524.2
|
0.0005
|
1,1,1–Trichloroethane
|
2981
|
0.2
|
502.2, 524.2, 551
551.1
|
0.0005
|
Trichloroethylene
|
2984
|
0.005
|
502.2, 524.2, 551
551.1
|
0.0005
|
1,2,4–Trichlorobenzene
|
2378
|
0.07
|
502.2, 524.2
|
0.0005
|
1,1,2–Trichloroethane
|
2985
|
0.005
|
502.2, 524.2, 551
551.1
|
0.0005
|
Vinyl chloride
|
2976
|
0.002
|
502.2, 524.2
|
0.0005
|
Xylenes (total)
|
2955*
|
10
|
502.2, 524.2
|
0.0005
|
Synthetic Organic Chemicals (SOCs):
|
|
|
|
|
Alachlor3
|
2051
|
0.002
|
5053
505, 507, 525.2,
508.1, 525.2, 551.1
|
0.0002
|
Aldicarb
|
2047
|
0.003
|
531.1, 6610
|
0.0005
|
Aldicarb sulfone
|
2044
|
0.002
|
531.1, 6610
|
0.0008
|
Aldicarb sulfoxide
|
2043
|
0.004
|
531.1, 6610
|
0.0005
|
Atrazine3
|
2050
|
0.003
|
5053
505, 507, 525.2, 508.1, 525.2,
551.1
|
0.0001
|
Benzo(a)pyrene
|
2306
|
0.0002
|
525.2, 550, 550.1
|
0.00002
|
Carbofuran
|
2046
|
0.04
|
531.1, 6610
|
0.0009
|
Chlordane3
|
2959
|
0.002
|
505, 508, 508.1, 525.2
|
0.0002
|
2,4–D6
(as acids, salts, or esters)
|
2105
|
0.07
|
515.1, 515.2, 515.3, 555, 515.1
D5317–93
|
0.0001
|
Dalapon
|
2031
|
0.2
|
515.1, 515.3, 552.1, 552.2
|
0.001
|
1,2–Dibromo–3–chloropropane (DBCP)
|
2931
|
0.0002
|
504.1,
5516
551.1
|
0.00002
|
Di(2–ethylhexyl)adipate
|
2035
|
0.4
|
506, 525.2
|
0.0006
|
Di(2–ethylhexyl)phthalate
|
2039
|
0.006
|
506, 525.2
|
0.0006
|
Dinoseb6
|
2041
|
0.007
|
515.1, 515.2, 515.3, 555,
515.1
|
0.0002
|
Diquat
|
2032
|
0.02
|
549.12
|
0.0004
|
Endothall
|
2033
|
0.1
|
548.1
|
0.009
|
Endrin3
|
2005
|
0.002
|
505, 508, 508.1, 525.2, 551.1
|
0.00001
|
Ethylene dibromide (EDB)
|
2946
|
0.00005
|
504.1, 551 551.1
|
0.00001
|
Glyphosate
|
2034
|
0.7
|
547, 6651
|
0.006
|
Heptachlor3
|
2065
|
0.0004
|
505, 508, 508.1, 525.2, 551.1
|
0.00004
|
Heptachlor epoxide3
|
2067
|
0.0002
|
505, 508, 508.1, 525.2, 551.1
|
0.00002
|
Hexachlorobenzene3
|
2274
|
0.001
|
505, 508, 508.1, 525.2, 551.1
|
0.0001
|
Contaminant
|
EPA Contaminant Code
|
MCL (mg/L)
|
Methodology1
|
Detection Limit
(mg/L)2 (mg/L)
|
Hexachlorocyclopentadiene3
|
2042
|
0.05
|
505, 508, 508.1, 525.2, 551.1
|
0.0001
|
Lindane (gamma BHC)
3
|
2010
|
0.0002
|
505, 508, 508.1, 525.2, 551.1
|
0.00002
|
Methoxychlor3
|
2015
|
0.04
|
505, 508, 508.1, 525.2, 551.1
|
0.0001
|
Oxamyl
|
2036
|
0.2
|
531.1, 6610
|
0.002
|
Pentachlorophenol
|
2326
|
0.001
|
515.1, 515.2, 515.3, 525.2, 555,
D5317–93
|
0.00004
|
Picloram3,6
|
2040
|
0.5
|
515.1, 515.2, 515.3, 555,
D5317–93
|
0.0001
|
Polychlorinated
biphenyls4
(as decachlorobiphenyl)
(as Arochlors)
3
|
2383
|
0.0005
|
508A
505, 508, 508.1, 525.2
|
0.0001
|
Simazine3
|
2037
|
0.004
|
5053
505, 507, 508.1, 525.2, 551.1
|
0.00007
|
2,3,7,8–TCDD (dioxin)
|
2063
|
3x10–8
|
1613
|
5x10–9
|
2,4,5–TP6
(Silvex)
|
2110
|
0.05
|
515.1, 515.2, 515.3, 555,
D5317–93
|
0.0002
|
Toxaphene3
|
2020
|
0.003
|
505, 508, 508.1, 525.2
|
0.001
|
Total Trihalomethanes
(TTHMs)5:
|
Total Trihalomethanes
(the sum of the concentrations of
bromo– dichloromethane, dibromochloromethane, tribromomethane
(bromoform), and tri– chloromethane (chloroform))
|
2950
|
0.10
|
502.2, 524.2, 551.1
|
|
*As of January 1, 1999, the contaminant code
codes for the following compounds was were
changed from the Iowa Contaminant Code to the EPA Contaminant
Code:
Contaminant
|
Iowa Contaminant Code (Old)
|
EPA Contaminant Code (New)
|
1,2 Dichloropropane
|
2325
|
2983
|
Xylenes (total)
|
2974
|
2955
|
1Analyses for the contaminants
in this section shall be conducted using the following EPA methods or their
equivalent as approved by EPA. This incorporation by reference was approved by
the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1
CFR Part 51, effective January 4, 1995. Copies may be inspected at EPA’s
Drinking Water Docket, 401 M Street SW, Washington, DC 20460; or at the Office
of the Federal Register, 800 North Capitol Street NW, Suite 700, Washington, DC.
The following methods are available from the National
Technical Information Service, U.S. Department of Commerce, 5285 Port Royal
Road, Springfield, VA 22161 (telephone: (800)553–6847).
Methods for the Determination of Organic Compounds in Drinking
Water, EPA–600/4–88–039, December 1988, Revised July 1991
(NTIS PB91–231480): Methods 502.2, 505, 507, 508,
508A, and 515.1, 531.1.
Methods for the Determination of Organic Compounds in Drinking
Water—Supplement I, EPA–600/4–90–020, July 1990 (NTIS
PB91–146027): Methods 506, 547, 550, 550.1,
551.
Methods for the Determination of Organic Compounds in Drinking
Water—Supplement II, EPA–600/R–92–129, August 1992 (NTIS
PB92–207703): Methods 515.2, 524.2, 548.1,
549.1, 552.1, 555.
Methods for the Determination of Organic Compounds in
Drinking Water—Supplement III, EPA–600/R–95–131, August
1995 (NTIS PB95–261616): Methods 502.2, 504.1, 505, 506, 507, 508, 508.1,
515.2, 524.2, 525.2, 531.1, 551.1, 552.2.
Method 1613 “Tetra–through Octa–Chlorinated
Dioxins and Furans by Isotope–Dilution HRGC/HRMS,”
EPA–821–B–94–005, October 1994 (NTIS
PB95–104774).
The following American Public Health Association (APHA)
documents are available from APHA, 1015 Fifteenth Street NW, Washington, DC
20005.
Supplement to the 18th edition of Standard Methods for the
Examination of Water and Wastewater, 1994, or Standard Methods for the
Examination of Water and Wastewater, 19th edition, 1995 (either publication may
be used), APHA: Method 6610.
Standard Methods for the Examination of Water and Wastewater,
18th edition, 1992, and 19th edition, 1995 (either edition may be
used), APHA: Method 6651.
The following American Society for Testing and Materials
(ASTM) method is available from ASTM, 100 Barr Harbor Drive, West Conshohocken,
PA 19428.
Annual Book of ASTM Standards, 1996, Vol. 11.02 (or any
edition published after 1993), ASTM: D5317–93.
Methods 504.1, 508.1, and 525.2 515.3 and
549.2 are available from U.S. EPA EMSL NERL, 26
W. Martin Luther King Drive, Cincinnati, OH 45268 (telephone:
(513)569–7586).
Other required analytical test procedures germane to the
conduct of these analyses are contained in Technical Notes on Drinking Water
Methods, EPA–600/R–94–173, October 1994 (NTIS
PB95–104766). are listed in this table.
2Detection limits are
only listed for the SOCs, per 40 CFR141.
3Substitution of the detector
specified in Method 505, 507, 508, or 508.1 for the purpose of achieving
lower detection limits is allowed as follows. Either an electron capture or
nitrogen–phosphorus detector may be used provided all regulatory
requirements and quality control criteria are met.
4PCBs are qualitatively
identified as Aroclors and measured for compliance purposes as
decachlorobiphenyl. Users of Method 505 may have more difficulty in
achieving the required detection limits than users of Method 508, 508.1, or
525.2.
5The TTHM MCL for
surface water or influenced groundwater CWS and NTNC systems serving over 10,000
persons will be changed to 0.080 mg/L on January 1, 2002. All remaining CWS and
NTNC will be required to comply with the 0.080 mg/L MCL on January 1, 2004. See
rule 41.6(455B) for additional requirements.
6Accurate
determination of the chlorinated esters requires hydrolysis of the sample as
described in EPA Methods 515.1, 515.2, 515.3, and 555, and ASTM Method
D5317–93.
ITEM 21. Amend subrule 41.5(1),
paragraph “c,” subparagraph (5), numbered paragraph
“2,” as follows:
2. If duplicates of the original sample taken from each
sampling point used in the composite are available, the system may use these
instead of resampling, provided the holding time of the samples is not
exceeded. The duplicate duplicates must be analyzed
and the results reported to the department within 14 days of
collection after completing analysis of the composite
sample.
ITEM 22. Amend subrule 41.5(1),
paragraph “e,” subparagraph (1), as follows:
(1) Applicability. Community water systems which use a
groundwater source, serve a population of 10,000 or more individuals,
and which add disinfectant (oxidant) to the water in any part of the drinking
water treatment process shall analyze for total trihalomethanes in accordance
with this subrule, until December 31, 2003, after which time the systems must
comply with 41.6(455B). The requirements of this subrule also apply to
community water systems which use surface water or IGW in whole or in part and
serve 10,000 or more persons, until December 31, 2001, after which time the
systems must comply with 41.6(455B). After December 31, 2003, paragraph
41.5(1)“e” is no longer applicable to any Iowa public water
supply.
1. and 2. No change.
3. The system shall submit the results of at least one
sample for maximum TTHM potential using the procedure specified in
41.5(1)“e”(5).
4. A sample must be analyzed from each treatment
plant used by the system and be taken at a point in the distribution system
reflecting the maximum residence time of the water in the
system.
ITEM 23. Amend subrule 41.5(1),
paragraph “f,” subparagraph (2), as follows:
(2) PCB analytical methodology. Analysis for PCBs shall be
conducted using the methods in 41.5(1)“b”(1) and as
follows:
1. Each system which monitors for PCBs shall analyze each
sample using either Method 505, 508, 508.1, or 525.2
or 508 pursuant to 41.5(1)“b.” Users of Method
505 may have more difficulty in achieving the required Aroclor detection limits
than users of Method 508, 508.1, or 525.2.
2. and 3. No change.
ITEM 24. Amend 567—Chapter 41 by
adopting the following new rule:
567—41.6(455B) Disinfection byproducts maximum
contaminant levels and monitoring requirements.
41.6(1) Disinfection byproducts.
a. Applicability.
(1) This rule establishes criteria under which CWS and NTNC
public water supply systems that add a chemical disinfectant to the water in any
part of the drinking water treatment process or which provide water that
contains a chemical disinfectant must modify their practices to meet the MCLs
listed in this rule and the maximum residual disinfectant levels (MRDL) and
treatment technique requirements for disinfection byproduct precursors listed in
567—43.6(455B).
(2) This rule establishes criteria under which TNC public
water supply systems that use chlorine dioxide as a disinfectant or oxidant must
modify their practices to meet the chlorine dioxide MRDL listed in
567—paragraph 43.6(1)“b.”
(3) Compliance dates for this rule are based upon the source
water type and the population served. Systems are required to comply with this
rule as follows, unless otherwise noted. The department may assign an earlier
monitoring period as part of the operation permit, but compliance with the
maximum contaminant level is not required until the dates stated
below.
1. Surface water and IGW CWS and NTNC. CWS and NTNC systems
using surface water or groundwater under the direct influence of surface water
in whole or in part and which serve 10,000 or more persons must comply with this
rule beginning January 1, 2002. CWS and NTNC systems serving fewer than 10,000
persons must comply with this rule beginning January 1, 2004.
2. Groundwater CWS and NTNC. CWS and NTNC systems using only
groundwater not under the direct influence of surface water must comply with
this rule beginning January 1, 2004.
3. TNC using chlorine dioxide. TNC systems are not required
to comply with this rule.
(4) Consecutive systems. Consecutive systems that provide
water containing a disinfectant or oxidant are required to comply with this
rule. A consecutive system may be incorporated into the sampling plan of the
supply that produces the water (the primary water supplier), provided:
1. There is a mutual signed agreement between the primary and
consecutive system supplied by that primary system that states the primary
system will be responsible for the compliance of its consecutive system with
this rule, regardless of additional treatment by the consecutive
system.
2. Beginning with the primary water supply, each successive
consecutive system must also be included in the primary supply’s sampling
plan, so that there is no system with its own sampling plan between the primary
supply and the consecutive supply covered by the primary supply’s
plan.
3. It is understood by the primary and all consecutive systems
that, even if only one system in the sampling plan has a violation, all systems
in the sampling plan will receive the violation and be required to conduct
public notification.
4. The department receives a copy of the signed agreement and
approves the sampling plan prior to the beginning of the compliance
period.
If a mutual agreement is not possible, each system (the
primary system and each consecutive system) is responsible for compliance with
this rule for its specific system.
(5) Systems with multiple water sources. Systems with water
sources that are used independently from each other, are not from the same
source as determined by the department, or do not go through identical treatment
processes are required to conduct the monitoring for the applicable
disinfectants or oxidants and disinfection byproducts during operation of each
source. The system must comply with this rule during the use of each water
source.
b. Maximum contaminant levels for disinfection byproducts.
The maximum contaminant levels (MCLs) for disinfection byproducts are as
follows:
Disinfection byproduct
|
MCL (mg/L)
|
Bromate
|
0.010
|
Chlorite
|
1.0
|
Haloacetic acids (HAA5)
|
0.060
|
Total trihalomethanes (TTHM)
|
0.080
|
c. Monitoring requirements for disinfection
byproducts.
(1) General requirements.
1. Systems must take all samples during normal operating
conditions.
2. Systems may consider multiple wells drawing water from a
single aquifer as one treatment plant for determining the minimum number of TTHM
and HAA5 samples required, with department approval.
3. Failure to monitor in accordance with the monitoring plan
required under 41.6(1)“c”(1)“6” is a monitoring
violation.
4. Failure to monitor is a violation for the entire period
covered by the annual average where compliance is based on a running annual
average of monthly or quarterly samples or averages, and the system’s
failure to monitor makes it impossible to determine compliance with
MCLs.
5. Systems may use only data collected under the provisions of
this rule or 567—43.6(455B) to qualify for reduced monitoring.
6. Each system required to monitor under the provisions of
this rule or 567—43.6(455B) must develop and implement a monitoring plan.
The system must maintain the plan and make it available for inspection by the
department and the general public no later than 30 days following the applicable
compliance dates in 41.6(1)“a”(3). All systems using surface water
or groundwater under the direct influence of surface water and serving more than
3,300 people must submit a copy of the monitoring plan to the department by the
applicable date in 41.6(1)“a”(3)“1.” The department may
also require the plan to be submitted by any other system. After review, the
department may require changes in any plan elements. The plan must include at
least the following elements:
• Specific locations and
schedules for collecting samples for any parameters included in this
rule.
• How the system will
calculate compliance with MCLs, MRDLs, and treatment techniques.
• If providing water to one
or more consecutive systems, and the consecutive systems have agreed to the
sampling plan by the primary supplier of the water pursuant to
41.6(1)“a”(4), the sampling plan of the primary water supplier must
reflect the entire distribution system.
7. The department may require a monthly monitoring frequency
for disinfection byproducts, which would be specified in the operation
permit.
(2) Bromate. Community and nontransient noncommunity systems
using ozone for disinfection or oxidation must conduct monitoring for
bromate.
1. Routine monitoring. Systems must take at least one sample
per month for each treatment plant in the system using ozone, collected at each
source/entry point to the distribution system while the ozonation system is
operating under normal conditions.
2. Reduced monitoring. The department may allow systems
required to analyze for bromate to reduce monitoring from monthly to once per
quarter if the system demonstrates that the average source water bromide
concentration is less than 0.05 mg/L based upon representative monthly bromide
measurements for one year. The system may remain on reduced bromate monitoring
until the running annual average source water bromide concentration, computed
quarterly, is greater than or equal to 0.05 mg/L based upon representative
monthly measurements. If the running annual average source water bromide
concentration is greater than or equal to 0.05 mg/L, the system must resume
routine monitoring required by
41.6(1)“c”(2)“1.”
(3) Chlorite. Community and nontransient noncommunity water
systems using chlorine dioxide, for disinfection or oxidation, must conduct
monitoring for chlorite.
1. Routine daily monitoring. Systems must take daily samples
at the entrance to the distribution system. For any daily sample that exceeds
the chlorite MCL, the system must take additional samples in the distribution
system the following day at the locations required by
41.6(1)“c”(3)“3,” which are in addition to the sample
required at the entrance to the distribution system.
2. Routine monthly monitoring. Systems must take a
three–sample set each month in the distribution system. The system must
take one sample at each of the following locations: near the first customer, at
a location representative of average residence time, and at a location
reflecting maximum residence time in the distribution system. Any additional
routine sampling must be conducted in the same manner (as three–sample
sets, at the specified locations). The system may use the results of additional
monitoring conducted in accordance with 41.6(1)“c”(3)“3”
to meet the requirement for monitoring in this subparagraph.
3. Additional monitoring. On each day following a routine
sample monitoring result that exceeds the chlorite MCL at the entrance to the
distribution system, the system is required to take three chlorite distribution
system samples at the following locations: as close to the first customer as
possible, in a location representative of average residence time, and as close
to the end of the distribution system as possible (reflecting maximum residence
time in the distribution system).
4. Reduced monitoring.
• Daily chlorite monitoring
at the entrance to the distribution system required by
41.6(1)“c”(3)“1” may not be reduced.
• The department may allow
systems with monthly chlorite monitoring in the distribution system required by
41.6(1)“c”(3)“2” to be reduced to a requirement of
1 three–sample set per quarter after one year of monitoring where no
individual chlorite sample taken in the distribution system under
41.6(1)“c”(3)“2” has exceeded the chlorite MCL and the
system has not been required to conduct additional monitoring under
41.6(1)“c”(3)“3.” The system may remain on the reduced
monitoring schedule until either any of the three individual chlorite samples
taken quarterly in the distribution system under
41.6(1)“c”(3)“2” exceeds the chlorite MCL or the system
is required to conduct monitoring under 41.6(1)“c”(3)“3”
of this rule, at which time the system must revert to routine
monitoring.
(4) Total trihalomethanes (TTHM) and haloacetic acids
(HAA5).
1. Routine monitoring. Systems must monitor at the frequency
indicated in the following table:
Routine Monitoring Frequency for TTHM and HAA5
Type of System
(source water type and population served)
|
Minimum Monitoring Frequency
|
Sample Location in the Distribution System
|
SW/IGW3
system serving ≥10,000 persons
|
Four water samples per quarter per treatment plant
|
At least 25 percent of all samples collected each quarter at
locations representing maximum residence time. Remaining samples taken at
locations representative of at least average residence time in the distribution
system and representing the entire distribution system, taking into account
number of persons served, different sources of water, and different treatment
methods.1
|
SW/IGW3
system serving 500 – 9,999 persons
|
One water sample per quarter per treatment plant
|
Locations representing maximum residence
time.1
|
SW/IGW3
system serving <500 persons
|
One sample per year per treatment plant during month of
warmest water temperature
|
Locations representing maximum residence
time.1 If the sample (or average of annual
samples, if more than one sample is taken) exceeds MCL, system must increase
monitoring to one sample per treatment plant per quarter, taken at a point
reflecting the maximum residence time in the distribution system, until system
meets reduced monitoring criteria in 41.6(1)“c”(4)“2,”
fourth unnumbered paragraph.
|
System using only non–IGW groundwater using chemical
disinfectant and serving ≥10,000
persons
|
One water sample per quarter per treatment
plant2
|
Locations representing maximum residence
time.1
|
System using only non–IGW groundwater using chemical
disinfectant and serving <10,000 persons
|
One sample per year per treatment plant during month of
warmest water temperature
|
Locations representing maximum residence
time.1 If the sample (or average of annual
samples, if more than one sample is taken) exceeds MCL, system must increase
monitoring to one sample per treatment plant per quarter, taken at a point
reflecting the maximum residence time in the distribution system, until system
meets reduced monitoring criteria in 41.6(1)“c”(4)“2,”
fourth unnumbered paragraph.
|
1If a system chooses to sample
more frequently than the minimum required, at least 25 percent of all samples
collected each quarter (including those taken in excess of the required
frequency) must be taken at locations that represent the maximum residence time
of the water in the distribution system. The remaining samples must be taken at
locations representative of at least average residence time in the distribution
system.
2Multiple wells drawing water
from a single aquifer may be considered one treatment plant for determining the
minimum number of samples required, with department approval.
3SW/IGW indicates those systems
that use either surface water (SW) or groundwater under the direct influence of
surface water (IGW), in whole or in part.
2. Reduced monitoring. The department may allow systems a
reduced monitoring frequency, except as otherwise provided, in accordance with
the following table. Source water total organic carbon (TOC) levels must be
determined in accordance with 567—subparagraph
43.6(2)“c”(1).
Reduced Monitoring Frequency for TTHM and HAA5
If you are a . . .
|
And you have monitored at least one year and your . .
.
|
You may reduce monitoring to this level
|
SW/IGW1
system serving ≥10,000 persons which has
a source water annual average TOC level, before any treatment, of
≤4.0 mg/L.
|
TTHM annual average ≤0.040
mg/L and HAA5 annual average ≤0.030
mg/L
|
One sample per treatment plant per quarter at distribution
system location reflecting maximum residence time.
|
SW/IGW1 system serving 500
– 9,999 persons that has a source water annual average TOC level, before
any treatment, of ≤4.0 mg/L.
|
TTHM annual average ≤0.040
mg/L and HAA5 annual average ≤0.030
mg/L
|
One sample per treatment plant per year at distribution system
location reflecting maximum residence time during month of warmest water
temperature.
|
SW/IGW1
system serving <500 persons
|
Any SW/IGW1
system serving <500 persons may not reduce
its monitoring to less than one sample per treatment plant per year.
|
System using only non–IGW groundwater using chemical
disinfectant and serving ≥10,000
persons
|
TTHM annual average ≤0.040
mg/L and HAA5 annual average ≤0.030
mg/L
|
One sample per treatment plant per year at distribution system
location reflecting maximum residence time during month of warmest water
temperature.
|
System using only non–IGW groundwater using chemical
disinfectant and serving <10,000 persons
|
TTHM annual average ≤0.040
mg/L and HAA5 annual average ≤0.030 mg/L for
two consecutive years;
or,
TTHM annual average ≤0.020
mg/L and HAA5 annual average ≤0.015 mg/L for
one year.
|
One sample per treatment plant per three–year monitoring
cycle at distribution system location reflecting maximum residence time during
month of warmest water temperature, with the three–year cycle beginning on
January 1 following quarter in which system qualifies for reduced
monitoring.
|
1SW/IGW indicates those systems
that use either surface water (SW) or groundwater under the direct influence of
surface water (IGW), in whole or in part.
• Systems on a reduced
monitoring schedule may remain on that reduced schedule as long as the average
of all samples taken in the year (for systems which must monitor quarterly) or
the result of the sample (for systems which must monitor no more frequently than
annually) is less than or equal to 0.060 mg/L for TTHMs and is less than or
equal to 0.045 mg/L for HAA5. Systems that do not meet these levels must resume
monitoring at the frequency identified in
41.6(1)“c”(4)“1” in the quarter immediately following
the quarter in which the system exceeds 0.060 mg/L for TTHMs and 0.045 mg/L for
HAA5. For systems using only groundwater not under the direct influence of
surface water and serving fewer than 10,000 persons, if either the TTHM annual
average is >0.080 mg/L or the HAA5 annual average
is >0.060 mg/L, the system must go to increased
monitoring identified in 41.6(1)“c”(4)“1.”
• The department may allow
systems on increased monitoring to return to routine monitoring if TTHM annual
average is less than or equal to 0.040 mg/L and HAA5 annual average is less than
or equal to 0.030 mg/L.
• The department may return
a system to routine monitoring at the department’s discretion.
d. Analytical requirements for disinfection
byproducts.
(1) Systems must use only the analytical method(s) specified
in this paragraph, or equivalent methods as determined by EPA, to demonstrate
compliance with the requirements of this rule.
(2) Systems must measure disinfection byproducts by the
methods (as modified by the footnotes) listed in the following table:
Approved Methods for Disinfection Byproduct Compliance
Monitoring
Methodology2
|
EPA
|
Standard Methods
|
Byproduct measured1
|
|
|
|
TTHM
|
HAA5
|
Chlorite4
|
Bromate
|
P&T/GC/EICD & PID
|
502.23
|
|
X
|
|
|
|
P&T/GC/MS
|
524.2
|
|
X
|
|
|
|
LLE/GC/ECD
|
551.1
|
|
X
|
|
|
|
LLE/GC/ECD
|
|
6251 B
|
|
X
|
|
|
SPE/GC/ECD
|
552.1
|
|
|
X
|
|
|
LLE/GC/ECD
|
552.2
|
|
|
X
|
|
|
Amperometric Titration
|
|
4500–ClO2E
|
|
|
X
|
|
IC
|
300.0
|
|
|
|
X
|
|
IC
|
300.1
|
|
|
|
X
|
X
|
The procedures shall be done in accordance with the documents
listed below. The incorporation by reference of the following documents was
approved by the Director of the Federal Register on February 16, 1999, in
accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies of the documents may
be obtained from the sources listed below. Information regarding obtaining
these documents can be obtained from the Safe Drinking Water Hotline at
(800)426–4791. Documents may be inspected at EPA’s Drinking Water
Docket, 401 M Street SW, Washington, DC 20460 (telephone: (202)260–3027);
or at the Office of Federal Register, 800 North Capitol Street NW, Suite 700,
Washington, DC.
The following method is available from the American Society
for Testing and Materials, 100 Barr Harbor Drive, West Conshohoken, PA
19428:
Annual Book of ASTM Standards, Volume 11.01, American Society
for Testing and Materials, 1996: Method D 1253–86.
The following methods are available from the National
Technical Information Service, U.S. Department of Commerce, 5285 Port Royal
Road, Springfield, VA 22161 (telephone: (800)553–6847):
“Determination of Inorganic Anions in Drinking Water by
Ion Chromatography, Revision 1.0,” EPA–600/R–98/118, 1997
(available through NTIS, PB98–169196): Method 300.1.
Methods for the Determination of Inorganic Substances in
Environmental Samples, EPA–600/R–93/100, August 1993, (NTIS
PB94–121811): Method 300.0.
Methods for the Determination of Organic Compounds in Drinking
Water—Supplement II, EPA–600/R–92–129, August 1992 (NTIS
PB92–207703): Method 552.1.
Methods for the Determination of Organic Compounds in Drinking
Water—Supplement III, EPA–600/R–95–131, August 1995
(NTIS PB95–261616): Methods 502.2, 524.2, 551.1, and 552.2.
The following methods are available from the American Public
Health Association, 1015 Fifteenth Street NW, Washington, DC 20005:
Standard Methods for the Examination of Water and Wastewater,
19th edition, American Public Health Association, 1995: Methods: 4500–Cl
D, 4500–Cl E, 4500–Cl F, 4500–Cl G, 4500–Cl H,
4500–Cl I, 4500–ClO2 D, 4500–ClO2 E,
6251 B, and 5910 B.
Standard Methods for the Examination of Water and Wastewater,
Supplement to the 19th edition, American Public Health Association, 1996:
Methods: 5310 B, 5310 C, and 5310 D.
1X indicates method is approved
for measuring specified disinfection byproduct.
2ECD = electron capture
detector IC = ion chromatography P&T = purge and trap
EICD = electrolytic conductivity detector LLE = liquid/liquid
extraction PID = photoionization detector
GC = gas chromatography MS = mass spectrometer SPE = solid
phase extractor
3If TTHMs are the only analytes
being measured in the sample, then a PID is not required.
4Amperometric titration may be
used for routine daily monitoring of chlorite at the entrance to the
distribution system, as prescribed in 41.6(1)“c”(3)“1.”
Ion chromatography must be used for routine monthly monitoring of chlorite and
additional monitoring of chlorite in the distribution system, as prescribed in
41.6(1)“c”(3)“2” and “3.”
(3) Certified laboratory requirements. Analyses under this
rule for disinfection byproducts shall only be conducted by laboratories that
have been certified by the department and are in compliance with the
requirements of 567-Chapter 83, except as specified
under subparagraph 41.6(1)“d”(4).
(4) Daily chlorite samples at the entrance to the distribution
system must be measured by a Grade II, III or IV operator meeting the
requirements of 567—Chapter 81, any person under the supervision of a
Grade II, III or IV operator meeting the requirements of 567—Chapter 81,
or a laboratory certified by the department to perform analysis under
567—Chapter 83.
e. Compliance requirements for disinfection
byproducts.
(1) General requirements.
1. When compliance is based on a running annual average of
monthly or quarterly samples or averages and the system fails to monitor for
TTHM, HAA5, or bromate, this failure to monitor will be treated as a monitoring
violation for the entire period covered by the annual average.
2. Unless invalidated by the department, all samples taken and
analyzed under the provisions of this rule must be included in determining
compliance, even if that number is greater than the minimum required.
3. If, during the first year of monitoring under paragraph
41.6(1)“c,” any individual quarter’s average will cause the
running annual average of that system to exceed the MCL, the system is out of
compliance at the end of that quarter.
(2) Bromate. Compliance must be based on a running annual
arithmetic average, computed quarterly, of monthly samples (or, for months in
which the system takes more than one sample, the average of all samples taken
during the month) collected by the system as prescribed by subparagraph
41.6(1)“c”(2). If the average of samples covering any consecutive
four–quarter period exceeds the MCL, the system is in violation of the MCL
and must notify the public pursuant to 567—Chapter 42, in addition to
reporting to the department pursuant to 567—paragraph
42.4(3)“d.” If a PWS fails to complete 12 consecutive months’
monitoring, compliance with the MCL for the last four–quarter compliance
period must be based on an average of the available data.
(3) Chlorite. Compliance must be based on an arithmetic
average of each three–sample set taken in the distribution system as
prescribed by 41.6(1)“c”(3)“1” and
41.6(1)“c”(3)“2.” If the arithmetic average of any
three–sample set exceeds the MCL, the system is in violation of the MCL
and must notify the public pursuant to 567—Chapter 42, in addition to
reporting to the department pursuant to 567—paragraph
42.4(3)“d.”
(4) TTHM and HAA5.
1. For systems monitoring quarterly, compliance with MCLs in
paragraph 41.6(1)“b” must be based on a running annual arithmetic
average, computed quarterly, of quarterly arithmetic averages of all samples
collected by the system as prescribed by subparagraph 41.6(1)“c”(4).
2. For systems monitoring less frequently than quarterly,
systems demonstrate MCL compliance if the average of samples taken that year
under the provisions of subparagraph 41.6(1)“c”(4) does not exceed
the MCLs in 41.6(1)“b.” If the average of these samples exceeds the
MCL, the system must increase monitoring to once per quarter per treatment plant
and is not in violation of the MCL until it has
completed one year of quarterly monitoring, unless the result of fewer than four
quarters of monitoring will cause the running annual average to exceed the MCL,
in which case the system is in violation at the end of that quarter. Systems
required to increase to quarterly monitoring must calculate compliance by
including the sample that triggered the increased monitoring plus the following
three quarters of monitoring.
3. If the running annual arithmetic average of quarterly
averages covering any consecutive four–quarter period exceeds the MCL, the
system is in violation of the MCL and must notify the public pursuant to
567—Chapter 42 in addition to reporting to the department pursuant
to 567—paragraph 42.4(3)“d.”
4. If a PWS fails to complete four consecutive quarters of
monitoring, compliance with the MCL for the last four–quarter compliance
period must be based on an average of the available data.
f. Reporting requirements for disinfection byproduct
precursors. Systems required to sample quarterly or more frequently must report
to the department within ten days after the end of each quarter in which samples
were collected, notwithstanding the public notification provisions of 567—
42.1(455B). Systems required to sample less frequently than quarterly must
report to the department within ten days after the end of each monitoring period
in which samples were collected. The specific reporting requirements for
disinfection byproducts are listed in
567-subparagraph 42.4(3)“d”(2).
41.6(2) Reserved.
ITEM 25. Rescind and reserve rule
567—41.7(455B).
ITEM 26. Amend subrule 41.9(2),
paragraph “a,” subparagraph (1), as follows:
(1) Initial monitoring requirement and period. Initial
sampling to determine compliance with 41.8(1) shall begin by June 24, 1979, and
the analysis shall be completed by June 24, 1980. Compliance shall be based on
the analysis of an annual composite of four consecutive quarterly samples or the
average of the analyses of four samples obtained at quarterly
intervals.
A gross alpha particle activity measurement may be substituted
for the required radium–226 and radium–228 analysis, provided that
the measured gross alpha particle activity does not exceed 5 pCi/L at a
confidence level of 95 percent (1.65 0 {sigma}
where 0 {sigma} is the standard deviation of
the net counting rate of the sample). In localities whereradium–228 may
be present in drinking water, radium–226 or radium–228 analyses are
required when the gross alpha particle activity exceeds 2 pCi/L.
When the gross alpha particle activity exceeds 5 pCi/L, the
same or an equivalent sample shall be analyzed forradium–226. If the
concentration of radium–226 exceeds 3 pCi/L, the same or an equivalent
sample shall be analyzed for radium–228.
ITEM 27. Rescind subrule 41.11(1),
paragraph “c,” subparagraph (4).
ITEM 28. Amend subrule 41.11(1),
paragraph “d,” subparagraph (2), as follows:
(2) Certified laboratory requirements. Analysis under this
subrule shall only be conducted by laboratories certified under
567—Chapter 83. In addition to these requirements, each
laboratory analyzing for ethylene dibromide (EDB) and
1,2–dibromo–3–chloropropane (DBCP) must achieve a method
detection limit for EDB and DBCP of 0.00002 mg/L, according to the procedures in
Appendix B of 40 Code of Federal Regulations Part 136, June 20,
1986.
ITEM 29. Amend subrule 41.11(2),
paragraph “a,” subparagraph (1), as follows:
(1) Sampling for unregulated organic contaminants.
Each community and nontransient noncommunity water system shall take four
consecutive quarterly samples at each source/entry point for each contaminant
listed in 41.11(2)“b” and report the results to the department.
Monitoring must be completed by December 31, 1995, and take place during the
calendar quarter which is specified by the department.
ITEM 30. Amend subrule 41.11(2),
paragraph “b,” as follows:
b. Unregulated organic chemical (SOC) contaminants. Systems
shall monitor for the unregulated contaminants listed below, using the methods
identified below and using the analytical test procedures contained within
Technical Notes on Drinking Water Methods, EPA–600/R–94–173,
October 1994, which is available at NTIS, PB95–104766. Method 6610 shall
be followed in accordance with the Standard Methods for the Examination of Water
and Wastewater, 18th edition Supplement, 1994, American Public Health
Association. This incorporation by reference was approved by the Director of
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51,
effective January 4, 1995. Copies of methods listed in Standard Methods for the
Examination of Water and Wastewater may be obtained from the American Public
Health Association, 1015 Fifteenth Street NW, Washington, DC 20005. Copies may
be inspected at EPA’s Drinking Water Docket, 401 M Street SW, Washington,
DC 20460; or at the Office of the Federal Register, 800 North Capitol Street NW,
Suite 700, Washington, DC.
Unregulated Organic Contaminants and Methodology
Organic Contaminants
|
EPA Analytical Method
|
Aldicarb
|
531.1, 6610
|
Aldicarb sulfone
|
531.1, 6610
|
Aldicarb sulfoxide
|
531.1, 6610
|
Aldrin
|
505, 508, 508.1, 525.1 2
|
Butachlor
|
507, 525.1 2
|
Carbaryl
|
531.1, 6610
|
Dicamba
|
515.1, 515.2, 555
|
Dieldrin
|
505, 508, 508.1, 525.1 2
|
3–Hydroxycarbofuran
|
531.1, 6610
|
Methomyl
|
531.1, 6610
|
Metolachlor
|
507, 508.1, 525.1 2
|
Metribuzin
|
507, 508.1, 525.1 2
|
Propachlor
|
507, 508.1, 525.1 2
|
ITEM 31. Amend subrule 41.11(3) as
follows:
41.11(3) Special monitoring for sodium. Suppliers of
water for community public water systems shall collect and have analyzed one
sample per source or plant, for the purpose of determining the sodium
concentration in the distribution system. Systems utilizing multiple wells,
drawing raw water from a single aquifer may, with departmental approval, be
considered as one source for determining the minimum number of samples to be
collected. Sampling frequency and approved analytical methods are as
follows:
a. Surface water systems. Systems utilizing a surface water
source, in whole or in part, shall monitor for sodium at least once annually
at the entry point to the distribution system;
b. Groundwater systems. Systems utilizing groundwater sources
shall monitor at least once every three years at the entry point to the
distribution system;
c. Increased monitoring. Suppliers may be required to monitor
more frequently where sodium levels are variable;
d. Analytical methodology. Analyses for sodium shall be
performed using the flame photometric method in accordance with
41.3(1)“e”(1).
e. Reporting. The sodium level shall be reported to the
public by at least one of the following methods:
(1) The community public water supply shall notify the
appropriate local public health officials of the sodium levels by written notice
by direct mail within three months. A copy of each notice required by this
subrule shall be sent to the department within 10 days of its
issuance.
(2) In lieu of the reporting requirement of
41.11(3)“e”(1), the community public water supply shall include the
sodium level in its annual consumer confidence report, per subparagraph
42.3(3)“c”(12).
ITEM 32. Amend subrule 42.1(1) as
follows:
42.1(1) Maximum contaminant level (MCL), maximum
residual disinfectant level (MRDL), treatment technique, compliance
schedule, and health advisory violations. The owner or operator of a public
water supply system which fails to comply with an applicable MCL established by
567- 41.2(455B) through
567-41.8(455B), maximum residual disinfectant
level or disinfection byproduct precursor treatment technique established by
567—43.6(455B), treatment technique established by 567—subrule
43.3(10), fails to comply with the requirements of any compliance schedule
prescribed in an operation permit, administrative order, or court order pursuant
to 567—subrule 43.2(5), or fails to comply with a health advisory as
determined by the department, shall notify persons served by the system as
follows:
a. Distribution of public notice.
(1) Daily newspaper and mail delivery. Notice shall be given
by publication in a daily newspaper of general circulation in the area served by
the system as soon as possible, but in no case later than 14 days after the
violation or failure, and by mail delivery (by direct mail, with the water bill,
or by hand delivery) not later than 45 days after the violation or failure. The
department may waive mail delivery if it determines that the owner or operator
of the public water system in violation has corrected the violation or failure
within the 45–day period. The department must issue the waiver in writing
and within the 45–day period.
(2) Weekly newspaper and mail delivery. If the area served by
a public water supply system is not served by a daily newspaper of general
circulation, notice shall instead be given by publication in a weekly newspaper
of general circulation serving the area and by mail
delivery., not later than 45 days after the violation or
failure. The department may waive mail delivery if it determines that the owner
or operator of the public water system in violation has corrected the violation
or failure within the 45–day period. The department must issue the waiver
in writing and within the 45–day period.
(3) Separable distribution systems. If a public water system
has a distribution system separable from other parts of the distribution system
with no interconnections, the department may allow the system to give public
notice only to the area served by that portion of the system which is out of
compliance.
b. Additional acute MCL violation notification requirements
(electronic media). For violations of the MCLs of contaminants or MRDLs of
disinfectants that may pose an acute risk to human health, the owner or
operator of a public water supply system shall, as soon as possible but in no
case later than 72 hours after the violation, furnish a copy of the notice to
the radio and television stations serving the area served by the public water
system in addition to meeting the requirements of 42.1(1)“a.” The
following violations are acute violations:
(1) Any violations specified by the department as posing an
acute risk to human health.
(2) Violation of the MCL for nitrate, nitrite, or combined
nitrate and nitrite as established in 567-paragraph
41.3(1)“b” and determined according to
567-paragraph 41.3(1)“c.”
(3) Violation of the MCL for total coliforms, when fecal
coliforms or E. coli are present in the water distribution system, as specified
in 567-subparagraph
41.2(1)“b”(2).
(4) Occurrence of a waterborne disease outbreak.
(5) Violation of the MRDL for chlorine dioxide, as
specified in 567—paragraph 43.6(2)“b” and determined according
to 567—paragraph 43.6(2)“e.”
For contaminants which pose an acute or immediate threat to
public health, the department may require immediate public notification for a
boil water order or where to obtain bottled water, via electronic media or
door–to–door delivery of the notices.
c. Repeat nonacute MCL violation public
notice re-quirements. Following the initial notice given under
42.1(1)“a,” the owner or operator of the public water supply system
must give notice at least once every three months by mail delivery (by direct
mail, with the water bill, or by hand delivery), for as long as the violation or
failure exists.
d. Additional public notice distribution methods. The owner
or operator of a community water system in an area that is not served by a daily
or weekly newspaper of general circulation must, in lieu of the requirements of
42.1(1)“a,” “b,” and “c,” give notice within
14 days (72 hours for an acute violation) after the violation or failure by hand
delivery or by continuous posting in conspicuous places within the area served
by the system. Hand delivery must be repeated every three months or posting
must continue for as long as the violation or failure exists.
e. Noncommunity water system public notice distribution
requirements. The owner or operator of a noncommunity water system may, in lieu
of the requirements of 42.1(1)“a,” “b,” and
“c,” give notice within 14 days (72 hours for an acute violation)
after the violation or failure by hand delivery or by continuous posting in
conspicuous places within the area served by the system. Hand delivery must be
repeated every three months or posting must continue for as long as the
violation or failure exists.
f. Notice to new billing units. The owner or operator of a
community water system must give a copy of the most recent public notice for any
outstanding violation of any health–based standard
maximum contaminant level, health advisory, treatment technique, or
compliance schedule to all billing units or new service connections prior to or
at the time service begins.
ITEM 33. Amend subrule 42.1(6),
introductory paragraph, as follows:
42.1(6) Operation permit compliance schedule public
notice requirements. When the director determines that a public water supply
system cannot promptly comply with one or more health–based
standards of
567-Chapters 41 and
43 maximum contaminant levels of
567-41.2(455B) through 41.8(455B),
and that there is no immediate, unreasonable risk to the health of persons
served by the system, a draft operation permit or modified permit will be
formulated, which may include interim contaminant levels or a compliance
schedule. Prior to issuance of a final permit, notice and opportunity for
public participation must be given in accordance with this subrule. The notice
shall be circulated in a manner designed to inform interested and potentially
interested persons of any proposed interim contaminant level or compliance
schedule.
ITEM 34. Rescind subrule
42.2(6).
ITEM 35. Amend subrule 42.3(3),
paragraph “b,” subparagraphs (3) through (5),
as follows:
(3) “Variances and exemptions” means state
permission not to meet an MCL or a treatment technique under certain conditions.
This definition is only required for a water system which has been granted a
variance, an exemption, or a compliance schedule extension through an operation
permit, administrative order, or court order.
(4) A report which contains data on a contaminant for which
EPA has set a treatment technique or an action level must include one or both of
the following definitions, as applicable:
1. “Treatment technique (TT)” means a
required process intended to reduce the level of a contaminant in drinking
water.
2. “Action level (AL)” means the
concentration of a contaminant which, if exceeded, triggers treatment or other
requirements which a water system must follow.
(5) “Detected.” For the purposes of this
subrule, “detected” means at or above the levels prescribed by the
following
567-Chapter 41
references:
1. Inorganic contaminants:
567-subparagraph
41.3(1)“e”(1).
2. Volatile organic contaminants:
567-paragraph
41.5(1)“b.”
3. Synthetic organic contaminants:
567-paragraph
41.5(1)“b.”
4. Radionuclide contaminants:
567-paragraph
41.9(1)“c.”
5. Other contaminants with health advisory levels, as
assigned by the department.
ITEM 36. Amend subrule 42.3(3),
paragraph “c,” introductory paragraph, as follows:
c. Information on detected contaminants. This paragraph
specifies the requirements for information to be included in each report for
contaminants subject to mandatory monitoring (except Cryptosporidium, which is
listed in 42.3(3)“c”(2)). It applies to the following: contaminants
subject to an MCL, action level, or treatment technique (regulated
contaminants); contaminants for which monitoring is required by
567-paragraph
41.3(1)“f,” 567-41.11(455B), and
567-41.15(455B) (unregulated and special
contaminants); and disinfection byproducts or microbial contaminants for which
monitoring is required by 567-Chapters 40 to 43,
except as provided under 42.3(3)“e”(1), and which are detected in
the finished water. For the purposes of this subrule, “detected”
means at or above the levels prescribedby the following: inorganic contaminants
in 567-subparagraph
41.3(1)“e”(1); volatile organic contaminants in
567-paragraph
41.5(1)“b”; synthetic organic contaminants in
567-paragraph 41.5(1)“b”;
radionuclide contaminants in
567-paragraph 41.9(1)“c”;
and other contaminants with health advisory levels, as assigned by the
department.
ITEM 37. Amend subrule 42.3(3),
paragraph “c,” subparagraph (1), numbered paragraph
“4,” as follows:
4. For turbidity:
• When it is reported
pursuant to 567-paragraph 41.7(1)“b”: the
highest average monthly value.
• When it is reported
pursuant to 567-43.5(455B): the highest single
measurement and the lowest monthly percentage of samples meeting the turbidity
limits specified in 567-43.5(455B) for the filtration
technology being used. The report should include an explanation of the reasons
for measuring turbidity. After January 1, 2002, systems serving more than
10,000 people must report the highest single turbidity measurement and the
lowest monthly percentage of samples meeting the turbidity limits specified in
567— 43.9(455B) for the filtration technology being used.
ITEM 38. Amend subrule 42.3(3),
paragraph “c,” subparagraph (1), numbered paragraph
“9,” as follows:
9. The table(s) must clearly identify any data indicating
MCL or TT violations of a health–based standard,
and the report must contain a clear and readily understandable explanation of
the violation including:
• The length of the
violation,
• The potential adverse
health effects,
• Actions taken by the
system to address the violation, and
• The relevant language from
Appendix E to describe the potential health effects.
ITEM 39. Amend subrule 42.3(3),
paragraph “c,” subparagraph (2), as follows:
(2) If monitoring indicates that Cryptosporidium may be
present in the source water or the finished water, or that radon may be present
in the finished water, the report must include:
1. A summary of the results of the
monitoring;
1. A summary of the Cryptosporidium monitoring
results;
2. The radon monitoring results; and
2 3. An explanation of the
significance of the results.
ITEM 40. Amend subrule 42.3(3),
paragraph “c,” subparagraph (3), as follows:
(3) If the system has performed additional monitoring which
indicates the presence of other contaminants in the finished water, the system
must report any results which may indicate a health concern. To determine if
results may indicate a health concern, the community public water supply can
determine if there is a current or proposed health–based
standard maximum contaminant level, treatment technique, action
level, or health advisory by contacting the department or by calling the
national Safe Drinking Water Hotline ((800)426–4791). The department
considers the detection of a contaminant above a proposed MCL or health advisory
to indicate possible health concerns. For such contaminants, the report should
include:
1. The results of the monitoring; and
2. An explanation of the significance of the results noting
the existence of a health advisory or a proposed regulation.
ITEM 41. Amend subrule 42.3(3),
paragraph “c,” by adopting the following new
subparagraph (4):
(4) If the system was required to comply with the federal
Information Collection Rule pursuant to the Code of Federal Regulations Title 40
Part 141, it must include the results of monitoring in compliance with Sections
141.142 and 141.143. These results need only be included for five years from
the date of the sample or until any of the detected contaminants become
regulated and subject to routine monitoring requirements, whichever comes
first.
ITEM 42. Amend subrule 42.3(3),
paragraph “d,” subparagraph (1), as follows:
(1) Monitoring and reporting of compliance data pursuant to
567-Chapters 41 and 43, which includes any
contaminant with a health–based standard maximum
contaminant level, treatment technique, action level, or health
advisory;
ITEM 43. Amend subrule 42.3(3),
paragraph “g,” subparagraph (1), as follows:
(1) All systems. All reports must prominently display the
following language: Some people may be more vulnerableto contaminants in
drinking water than the general population. Immuno–compromised persons
such as persons with cancer undergoing chemotherapy, persons who have undergone
organ transplants, people with HIV/AIDS or other immune system disorders, some
elderly, and infants can be particularly at risk from infections. These people
should seek advice about drinking water from their health care providers. The
EPA/CDC guidelines on appropriate means to lessen the risk of infection
by Cryptosporidium and other microbial contaminants are available from the
national Safe Drinking Water Hotline ((800)426–4791).
ITEM 44. Amend subrule 42.3(3),
paragraph “g,” subparagraph (5), introductory
paragraph, as follows:
(5) Lead 95th percentile levels above the action level (0.015
mg/L). Systems which detect lead above the action level in more than 5 percent
(95th percentile) but fewer than and up to and including
10 percent (90th percentile) of homes sampled:
ITEM 45. Amend subrule 42.3(4),
paragraph “c,” introductory paragraph, as follows:
c. Waiver from mailing requirements for systems serving less
than 10,000 persons. All community public water supply systems with fewer than
10,000 persons served will be granted the waiver, except for those systems which
have the following: one or more exceedances of a health–based
standard maximum contaminant level, treatment technique, action
level, or health advisory; an administrative order; a court order;
significant noncompliance with monitoring or reporting requirements; or an
extended compliance schedule contained in the operation permit. Even though a
public water supply system has been granted a mailing waiver, subparagraphs
42.3(4)“a”(2) to (4) and paragraph 42.3(4)“b” still
apply to all community public water supply systems. A mailing waiver is not
allowed for the report covering the year during which one of the previously
listed exceptions occurred. Systems which use the mailing waiver
must:
ITEM 46. Amend subrule 42.3(4),
paragraph “d,” as follows:
d. Waiver from mailing requirements for systems serving 500 or
fewer in population. All community public water supply systems serving 500 or
fewer persons will be granted the waiver, except for those systems which have
the following: one or more exceedances of a health–based
standard maximum contaminant level, treatment technique, action
level, or health advisory; an administrative order; a court order;
significant noncompliance with monitoring or reporting requirements; or an
extended compliance schedule contained in the operation permit. Systems serving
500 or fewer persons which use the waiver may forego the requirements of
subparagraphs 42.3(4)“c”(1) and (2) if they provide notice at least
once per year to their customers by mail, door–to–door delivery, or
by posting that the report is available upon request, in conspicuous places
within the area served by the system acceptable to the department. A mailing
waiver is not allowed for the report covering the year during which one of the
previously listed exceptions occurred. Even though a public water supply system
has been granted a mailing waiver, subparagraphs 42.3(4)“a”(2) to
(4) and paragraph 42.3(4)“b” still apply to all community public
water supply systems.
ITEM 47. Amend subrule 42.4(2),
paragraph “e,” subparagraph (2), numbered paragraph
“2,” as follows:
2. Conducted sampling which demonstrates that the lead
concentration in all service line samples from individual line(s), taken
pursuant to 567-numbered
paragraph 41.4(1)“c”(2)“3,” is less than or equal
to 0.015 mg/L. In such cases, the total number of lines replaced and those
lines which meet the criteria in 567—paragraph 43.7(4)“c”
shall equal at least 7 percent of the initial number of lead lines identified
under 567—paragraph 43.7(4)“c b” or
the percentage specified by the department under 567—paragraph
43.7(4)“f.” A lead service line meeting the criteria of
567-
paragraph 43.7(4)“c” may only be used to comply with
the 7 percent criteria for a specific year, and may not be used again to
calculate compliance with the 7 percent criteria in future years.
ITEM 48. Amend subrule 42.4(2),
paragraph “f,” as follows:
f. Public education program reporting requirements. By
December 31 of each year, a water system that is subject to the public
education requirements in 42.2(455B) shall submit a letter to the department
demonstrating that the system has delivered the public education materials that
meet the content requirements in 42.2(2) and 42.2(3) and the delivery
requirements in 42.2(4). This information shall include a list of all the
newspapers, radio stations, television stations, facilities and organizations to
which the system delivered public education materials during the previous year.
The water system shall submit the letter annually for as long as it exceeds the
lead action level.
ITEM 49. Amend subrule 42.4(3),
paragraph “a,” subparagraph (1), as follows:
(1) Applicability. No change.
1. to 3. No change.
4. Does not use a treatment technique such as blending to
achieve compliance with health–based standards a
maximum contaminant level, treatment technique, action level, or health
advisory.
The reports shall be completed as described in
42.4(3)“a”(2) and maintained at the facility for inspection by the
department for a period of five years. For CWS and NTNC PWSs, the monthly
operation report must be signed by the certified operator in direct responsible
charge or the certified operator’s designee. For TNC PWSs, the monthly
operation report, if required by the department, must be signed by the owner or
the owner’s designee.
All public water supplies must also comply with
therecord–keeping requirements in
567-43.5(455B).
ITEM 50. Amend subrule 42.4(3),
paragraph “a,” subparagraph (2), numbered paragraph
“3,” as follows:
3. Treatment effectiveness for a primary standard. Where the
raw water quality does not meet the requirements of
567-Chapters 41 and 43 and treatment is practiced for
the purpose of complying with a health–based standard drinking
water standard maximum contaminant level, action level, health
advisory, or treatment technique criteria, daily measurement of the primary
standard constituent or an appropriate indicator constituent designated by the
department shall be recorded. The department will require reporting of these
results in the operation permit to verify MCL compliance.
ITEM 51. Amend subrule 42.4(3),
paragraph “a,” subparagraph (2), numbered paragraph
“7,” as follows:
7. Noncommunity systems (NTNC and TNC) are exempt from the
self–monitoring requirements for cation–exchange softening and
iron/manganese removal if the treatment unit:
• Is a commercially
available “off–the–shelf” unit designed for home
use;
• Is self–contained,
requiring only a piping connection for installation;
• Operates throughout a
range of 35 to 80 psi; and
• Has not been installed for
the purpose of removing a contaminant which has a health–based
standard maximum contaminant level, treatment technique, action
level, or health advisory.
ITEM 52. Amend 42.4(3), paragraph
“c,” as follows:
c. Reporting and record–keeping requirements for systems
using surface water and groundwater under the direct influence of surface water.
In addition to the monitoring requirements required by 42.4(3)“a”
and “b,” a public water system that uses a surface water source or a
groundwater source under the direct influence of surface water must report
monthly to the department the information specified in this subrule beginning
June 29, 1993, or when filtration is installed, whichever is later.
(1) Turbidity measurements as required by
567—subrules 41.7(1) and subrule 43.5(3) must be
reported within ten days after the end of each month the system serves water to
the public. Information that must be reported includes:
1. The total number of filtered water turbidity measurements
taken during the month.
2. The number and percentage of filtered water turbidity
measurements taken during the month which are less than or equal to the
turbidity limits specified in 567—paragraph
41.7(1)“b” paragraphs 43.5(3)“b” through
“e” for the filtration technology being used.
3. The date and value of any turbidity measurements taken
during the month which exceed 5 NTU. If at any time the turbidity exceeds 5
NTU, the system must inform the department as soon as possible, but no later
than the end of the next business day. This requirement is in addition to the
monthly reporting requirement, pursuant to 567— 43.5(455B).
(2) Disinfection information specified in 567—subrule
41.7(2) 43.5(2) and 567—paragraph
42.4(3)“b” must be reported to the department within ten days after
the end of each month the system serves water to the public. Information that
must be reported includes:
1. For each day, the lowest measurement of residual
disinfectant concentration in mg/L in water entering the distribution
system.
2. The date and duration of each period when the residual
disinfectant concentration in water entering the distribution system fell below
0.3 mg/L and when the department was notified of the occurrence. If at any time
the residual falls below 0.3 mg/L in the water entering the distribution system,
the system must notify the department as soon as possible, but no later than by
the end of the next business day. The system also must notify the department by
the end of the next business day whether or not the residual was restored to at
least 0.3 mg/L within four hours. This requirement is in addition to the monthly
reporting requirement, pursuant to 567—43.5(455B).
3. The information on the samples taken in the distribution
system in conjunction with total coliform monitoring listed in
567-paragraph 43.5(2)“d” and pursuant to
567— paragraph 41.2(1)“c.”
ITEM 53. Amend subrule 42.4(3), by
adopting the following new paragraph
“d”:
d. Reporting and recordkeeping requirements for disinfection
byproducts, disinfectants, and disinfection byproduct precursors.
(1) General requirements.
1. In addition to the monitoring requirements required by
42.4(3)“a” and “b,” a CWS or NTNC public water system
that adds a chemical disinfectant to the water in any part of the drinking water
treatment process or which provides water that contains a chemical disinfectant
must report monthly to the department the information specified in this
paragraph by the dates listed in 567—subparagraphs
41.6(1)“a”(3) and 43.6(1)“a”(3). A TNC public water
system which adds chlorine dioxide as a disinfectant or oxidant must report
monthly to the department the information specified in this paragraph by the
dates listed in 567—numbered paragraph
43.6(1)“a”(3)“3.”
2. Systems required to sample quarterly or more frequently
must report to the department within ten days after the end of each quarter in
which samples were collected, notwithstanding the public notification provisions
of 567— 42.1(455B). Systems required to sample less frequently than
quarterly must report to the department within ten days after the end of each
monitoring period in which samples were collected.
(2) Disinfection byproducts. Systems must report the
information specified in the following table:
Disinfection Byproducts Reporting Table
If you are a . . .
|
You must report . . .
|
System monitoring for TTHMs and HAA5 under the requirements of
567—subparagraph 41.6(1)“c”(4) on a quarterly or more frequent
basis
|
1.
2.
3.
4.
5.
|
The number of samples taken during the last quarter.
The location, date, and result of each sample taken during the
last quarter.
The arithmetic average of all samples taken in the last
quarter.
The annual arithmetic average of the quarterly arithmetic
averages for the last four quarters.
Whether the MCL was exceeded.
|
System monitoring for TTHMs and HAA5 under the requirements of
567—subparagraph 41.6(1)“c”(4) less frequently than quarterly,
but at least annually
|
1.
2.
3.
4.
|
The number of samples taken during the last year.
The location, date, and result of each sample taken during the
last monitoring period.
The arithmetic average of all samples taken over the last
year.
Whether the MCL was exceeded.
|
System monitoring for TTHMs and HAA5 under the requirements of
567—subparagraph 41.6(1)“c”(4) less frequently than
annually
|
1.
2.
|
The location, date, and result of the last sample
taken.
Whether the MCL was exceeded.
|
System monitoring for chlorite under the requirements of
567—subparagraph 41.6(1)“c”(3)
|
1.
2.
3.
4.
|
The number of samples taken each month for the last 3
months.
The location, date, and result of each sample taken during the
last quarter.
For each month in the reporting period, the arithmetic average
of all samples taken in the month.
Whether the MCL was exceeded, and in which month it was
exceeded.
|
System monitoring for bromate under the requirements of
567—subparagraph 41.6(1)“c”(2)
|
1.
2.
3.
4.
|
The number of samples taken during the last quarter.
The location, date, and result of each sample taken during the
last quarter.
The arithmetic average of the monthly arithmetic averages of
all samples taken in the last year.
Whether the MCL was exceeded.
|
(3) Disinfectants. In addition to the requirements in
567-subparagraph 41.2(1)“c”(2), systems
must report the information specified in the following table:
Disinfectants Reporting Table
If you are a . . .
|
You must report . . .
|
System monitoring for chlorine or chloramines under the
requirements of 567—subparagraph
43.6(1)“c”(1)“2.”
|
1.
2.
3.
4.
|
The number of samples taken during each month of the last
quarter.
The monthly arithmetic average of all samples taken in each
month for the last 12 months.
The arithmetic average of all monthly averages for the last 12
months.
Whether the MRDL was exceeded.
|
System monitoring for chlorine dioxide under the
requirements of 567—subparagraph
43.6(1)“c”(1)“3.”
|
1.
2.
3.
|
The dates, results, and locations of samples taken during the
last quarter.
Whether the MRDL was exceeded.
Whether the MRDL was exceeded in any two consecutive daily
samples and whether the resulting violation was acute or nonacute.
|
(4) Disinfection byproduct precursors and enhanced coagulation
or enhanced softening. Systems must report the information specified in the
following table:
Disinfection Byproduct Precursors and Enhanced Coagulation
or Enhanced Softening Reporting Table
If you are a . . .
|
You must report . . .
|
System monitoring monthly or quarterly for TOC under the
requirements of 567—subparagraph 43.6(1)“c”(2) and required to
meet the enhanced coagulation or enhanced softening requirements in
567—subparagraph 43.6(3)“b”(2) or (3).
|
1.
2.
3.
4.
5.
|
The number of paired (source water and treated water, prior to
continuous disinfection) samples taken during the last quarter.
The location, date, and result of each paired sample and
associated alkalinity taken during the last quarter.
For each month in the reporting period that paired samples
were taken, the arithmetic average of the percent reduction of TOC for each
paired sample and the required TOC percent removal.
Calculations for determining compliance with the TOC percent
removal requirements, as provided in 567—subparagraph
43.6(3)“c”(1).
Whether the system is in compliance with the enhanced
coagulation or enhanced softening percent removal requirements in
567—paragraph 43.6(3)“b” for the last four quarters.
|
System monitoring monthly or quarterly for TOC under the
requirements of 567—subparagraph 43.6(1)“c”(2) and meeting one
or more of the alternative compliance criteria in 567—subparagraph
43.6(3)“a”(2) or (3).
|
1.
2.
3.
4.
|
The alternative compliance criterion that the system is
using.
The number of paired samples taken during the last
quarter.
The location, date, and result of each paired sample and
associated alkalinity taken during the last quarter.
The running annual arithmetic average based on monthly
averages (or quarterly samples) of source water TOC for systems meeting a
criterion in 567—numbered paragraph
43.6(3)“a”(2)“1” or “3” or of treated water
TOC for systems meeting the criterion in
43.6(3)“a”(2)“2.”
|
|
5.
6.
7.
8.
9.
|
The running annual arithmetic average based on monthly
averages (or quarterly samples) of source water SUVA for systems meeting the
criterion in 567—numbered paragraph
43.6(3)“a”(2)“5” or of treated water SUVA for systems
meeting the criterion in 43.6(3)“a”(2)“6.”
The running annual average of source water alkalinity for
systems meeting the criterion in 567—numbered paragraph
43.6(3)“a”(2)“3” and of treated water alkalinity for
systems meeting the criterion in
43.6(3)“a”(3)“1.”
The running annual average for both TTHM and HAA5 for systems
meeting the criterion in 567—numbered paragraph
43.6(3)“a”(2)“3” or “4.”
The running annual average for the amount of magnesium
hardness removal (as CaCO3, in mg/L) for systems meeting the
criterion in 567—numbered paragraph
43.6(3)“a”(3)“2.”
Whether the system is in compliance with the particular
alternative compliance criterion in 567—paragraph
43.6(3)“a”(2) or (3).
|
ITEM 54. Amend subrule 42.5(1),
paragraph “b,” as follows:
b. Lead and copper record–keeping requirements. A
system subject to the requirements of 42.4(2) shall retain on its premises
original records of all data and analyses, reports, surveys, public education,
letters, evaluations, schedules, and any other information required by
567-41.4(455B) and 567—Chapter 43. Each water
system shall retain the records required by this subrule for
ten 12 years.
ITEM 55. Amend subrule 42.5(1),
paragraph “e,” as follows:
e. Operation or construction permits. Records concerning an
operation or a construction permit issued pursuant to 567—Chapter 43 to
the system shall be kept for a period ending not less than ten years after the
system achieves compliance with the health–based standard
maximum contaminant level, treatment technique, action level, or health
advisory, or after the system in question completes the associated
construction project.
ITEM 56. Amend 567—Chapter
42, Appendix A, by deleting all paragraph numbers.
ITEM 57. Amend 567—Chapter
42, Appendix A, by adopting the following new
paragraphs in alphabetical order:
Bromate. The United States Environmental Protection Agency
(EPA) sets drinking water standards and has determined that bromate is a health
concern at certain levels of exposure. Bromate is formed as a byproduct of
ozone dis–infection of drinking water. Ozone reacts with
naturally–occurring bromide in the water to form bromate. Bromate has
been shown to produce cancer in rats. EPA has set a drinking water standard to
limit exposure to bromate.
Chloramines. The United States Environmental Protection
Agency (EPA) sets drinking water standards and has determined that chloramines
are a health concern at certain levels of exposure. Chloramines are added to
drinking water as a disinfectant to kill bacteria and other
disease–causing microorganisms and are also added to provide continuous
disinfection throughout the distribution system. Disinfection is required for
surface water systems. However, at high doses for extended periods of time,
chloramines have been shown to affect blood and the liver in laboratory animals.
EPA has set a drinking water standard for chloramines to protect against the
risk of these adverse effects. Drinking water which meets this EPA standard is
associated with little to none of this risk and should be considered safe with
respect to chloramines.
Chlorine. The United States Environmental Protection Agency
(EPA) sets drinking water standards and has determined that chlorine is a health
concern at certain levels of exposure. Chlorine is added to drinking water as a
disinfectant to kill bacteria and other disease–causing microorganisms and
is also added to provide continuous disinfection throughout the distribution
system. Disinfection is required for surface water systems. However, at high
doses for extended periods of time, chlorine has been shown to affect blood and
the liver in laboratory animals. EPA has set a drinking water standard for
chlorine to protect against the risk of these adverse effects. Drinking water
which meets this EPA standard is associated with little to none of this risk and
should be considered safe with respect to chlorine.
Chlorine dioxide. The United States Environmental Protection
Agency (EPA) sets drinking water standards and has determined that chlorine
dioxide is a health concern at certain levels of exposure. Chlorine dioxide is
used in water treatment to kill bacteria and other disease–causing
microorganisms and can be used to control tastes and odors. Disinfection is
required for surface water systems. However, at high doses, chlorine
dioxide–treated drinking water has been shown to affect blood in
laboratory animals. Also, high levels of chlorine dioxide in drinking water
given to laboratory animals have been shown to cause neurological effects on the
developing nervous system. These neurodevelopmental effects may occur as a
result of a short–term excessive chlorine dioxide exposure. To protect
against such potentially harmful exposures, EPA requires chlorine dioxide
monitoring at the treatment plant, where disinfection occurs, and at
representative points in the distribution system serving water users. EPA has
set a drinking water standard for chlorine dioxide to protect against the risk
of these adverse effects. (Note: One of the following two paragraphs must be
included with the language of the previous paragraph.)
A. Systems with a nonacute violation at the treatment plant
must also include the following language: The chlorine dioxide violations
reported today are the result of ex–ceedances at the treatment facility
only, and do not include violations within the distribution system serving users
of this water supply. Continued compliance with chlorine dioxide levels within
the distribution system minimizes the potential risk of these violations to
present consumers.
B. Systems with an acute violation in the distribution system
must also include the following language: The chlorine dioxide violations
reported today include exceedances of the EPA standard within the distribution
system serving water users. Violations of the chlorine dioxide standard within
the distribution system may harm human health based on short–term
exposures. Certain groups, including pregnant women, infants, and young
children, may be especially susceptible to adverse effects of excessive exposure
to chlorine dioxide–treated water. The purpose of this notice is to
advise that such persons should consider reducing their risk of adverse effects
from these chlorine dioxide violations by seeking alternate sources of
water for human consumption until such exceed–ances are rectified. Local
and state health authorities are the best sources for information concerning
alternate drinking water.
Chlorite. The United States Environmental Protection Agency
(EPA) sets drinking water standards and has determined that chlorite is a health
concern at certain levels of exposure. Chlorite is formed from the breakdown of
chlorine dioxide, a drinking water disinfectant. Chlorite in drinking water has
been shown to affect blood and the developing nervous system. EPA has set a
drinking water standard for chlorite to protect against these effects. Drinking
water which meets this standard is associated with little to none of these risks
and should be considered safe with respect to chlorite.
Disinfection byproducts and treatment techniques for DBPs.
The United States Environmental Protection Agency (EPA) sets drinking water
standards and requires the disinfection of drinking water. However, when used
in the treatment of drinking water, disinfectants react with naturally occurring
organic and inorganic matter present in water to form chemicals called
disinfection byproducts (DBPs). EPA has determined that a number of DBPs are a
health concern at certain levels of exposure. Certain DBPs, including some
trihalomethanes (THMs) and some haloacetic acids (HAAs) have been shown to cause
cancer in laboratory animals. Other DBPs have been shown to affect the liver
and the nervous system, and cause reproductive or developmental effects in
laboratory animals. Exposure to certain DBPs may produce similar effects in
people. EPA has set standards to limit exposure to THMs, HAAs, and other DBPs.
Drinking water which meets the EPA standards is associated with little to none
of these risks and should be considered safe with respect to the disinfection
byproducts.
ITEM 58. Amend 567—Chapter
42, Appendix A, “Coliforms: Fecal coliforms/E. coli,” as
follows:
Coliforms: Fecal coliforms/E. coli (to be used when there is
a violation of 567-subparagraph
41.2(1)“b”(2) or both 567-subparagraphs
41.2(1)“b”(1) and (2)). The United States Environmental Protection
Agency (EPA) sets drinking water standards and has determined that the presence
of fecal coliforms or E. coli is a serious health concern. Fecal coliforms and
E. coli are generally not harmful themselves, but their presence in drinking
water is serious because they usually are associated with sewage or animal
wastes. The presence of these bacteria in drinking water is generally a result
of a problem with water treatment or the pipes which distribute the water and
indicates that the water may be contaminated with organisms that can cause
disease. Disease symptoms may include diarrhea, cramps, nausea, and
possibly jaundice, and associated headaches and fatigue. These symptoms,
however, are not just associated with disease–causing organisms in
drinking water, but also may be caused by a number of factors other than
the your drinking water. EPA has set an enforceable
drinking water standard for fecal coliforms and E. coli to reduce the risk of
these adverse health effects. Under this standard all drinking water samples
must be free of these bacteria. Drinking water which meets this standard is
associated with little or none of this risk and should be considered safe.
State and local health authorities recommend that consumers take the following
precautions: (to be inserted by the public water supply system, according to
instructions from state or local authorities).
ITEM 59. Amend 567—Chapter
42, Appendix A, “Coliforms: Total coliforms,” as
follows:
Coliforms: Total coliforms (to be used when there is a
violation of 567-subparagraph
41.2(1)“b”(1) and not a violation of
567-subparagraph 41.2(1)“b”(2)). The
United States Environmental Protection Agency (EPA) sets drinking water
standards and has determined that the presence of total coliforms is a possible
health concern. Total coliforms are common in the environment and are generally
not harmful themselves. The presence of these bacteria in drinking water,
however, generally is a result of a problem with water treatment or the pipes
which distribute the water and indicates that the water may be contaminated with
organisms that can cause disease. Disease symptoms may include diarrhea,
cramps, nausea, and possibly jaundice, and any associated headaches and fatigue.
These symptoms, however, are not just associated with disease–causing
organisms in drinking water but also may be caused by a number of factors other
than the your drinking water. EPA has set an
enforceable drinking water standard for total coliforms to reduce the risk of
these adverse health effects. Under this standard, no more than 5.0 percent of
the samples collected during a month can contain these bacteria, except that
systems collecting fewer than 40 samples per month that have one total
coliform–positive sample per month are not violating the standard.
Drinking water which meets this standard is usually not associated with a health
risk from disease–causing bacteria and should be considered
safe.
ITEM 60. Amend 567—Chapter
42, Appendix A, “microbiological contaminants,” as
follows:
Microbiological contaminants (for use when there is a
violation of the treatment technique requirements for filtration and
disinfection in 567—43.5(455B)). The United States Environmental
Protection Agency (EPA) sets drinking water standards and has determined that
the presence of microbiological contaminants is a health concern at certain
levels of exposure. If water is inadequately treated, microbiological
contaminants in that water may cause disease. Disease symptoms may include
diarrhea, cramps, nausea, and possibly jaundice, and any associated headaches
and fatigue. These symptoms, however, are not just associated
withdisease–causing organisms in drinking water, but also may be caused by
a number of factors other than your drinking water. EPA has set
enforceable requirements for treating drinking water to reduce the risk of these
adverse health effects. Treatment such as filtering and disinfecting the water
removes or destroys microbiological contaminants. Drinking water which is
treated to meet EPA requirements is associated with little or
no to none of this risk and should be considered safe.
ITEM 61. Amend 567—Chapter
42, Appendix B, Section I, Notes, second bulleted paragraph, as
follows:
• TNCs are exempt from the
self–monitoring requirements for point–of–use treatment
devices, unless the device is used to remove a contaminant which has a
health–based standard maximum contaminant level or
treatment technique, in which case additional SMRs will be assigned by the
department.
ITEM 62. Amend 567—Chapter
42, Appendix B, Section I, General Requirements, introductory
paragraph, as follows:
All TNCs which meet the criteria in 42.4(3)“a”(1)
must measure the following parameters, where applicable. Additional SMRs are
required if treatment is used to remove a contaminant which has a
health–based standard maximum contaminant level or
treatment technique. See Section II for the requirements under the specific
treatment type.
ITEM 63. Amend 567—Chapter
42, Appendix B, Section II, Notes, as follows:
• The self–monitoring
requirements (SMR) only apply to those supplies meeting the criteria in
42.4(3)“a”(1).
• NTNCs are exempt from the
self–monitoring requirements for point–of–use treatment
devices, unless the device is used to remove a contaminant which has a
health–based standard maximum contaminant level,
treatment technique, action level, or health advisory, in which case
additional SMRs will be assigned by the department.
• Daily monitoring for NTNCs
and IGW/SW TNCs applies only when the facility is in operation.
• These are the minimum
self–monitoring requirements. Additional or more frequent monitoring
requirements may be assigned by the department in the operation
permit.
ITEM 64. Amend 567—Chapter
42, Appendix B, Section II, Subsection A, as follows:
A. General Requirements
All PWSs which meet the criteria in 42.4(3)“a”(1)
must measure the following parameters, where applicable:
|
PWS Type:
|
IGW TNC
|
NTNC*
|
CWS
|
Parameter
|
Sample Site
|
Frequency
|
Frequency
|
Frequency
|
Pumpage (Flow)
|
raw:
bypass:
final:
|
1/day
1/day
|
1/week
1/week
1/week
|
1/day
1/day
1/day
|
Static Water and Pumping Water Levels (Drawdown)
|
each active well:
|
1/month
|
1/month
|
1/month
|
*NTNCs must measure and record the total water used each week,
but daily measurements are recommended, and may be required by the department in
specific PWSs.
ITEM 65. Amend 567—Chapter
42, Appendix B, Section II, Subsection C, introductory paragraph, as
follows:
Nonmunicipalities except rural water systems, benefited water
districts, and publicly owned PWSs are exempt from monitoring of iron/manganese
removal equipment unless the treatment is or was installed to remove a
contaminant which has a health–based standard maximum
contaminant level, treatment technique, action level, or health advisory.
Any chemicals which are applied during the treatment process must be measured
under section “B. Chemical Addition” of this table.
ITEM 66. Amend 567—Chapter
42, Appendix B, Section II, Subsection E, catchwords and introductory
paragraph, as follows:
E. Catione Cation Exchange (Zeolite)
Softening
Nonmunicipalities except for rural water systems and benefited
water districts are exempt from the monitoring of water quality parameters
associated with ion–exchange softening unless the treatment is or was
installed to remove a contaminant which has a health–based
standard maximum contaminant level, treatment technique, action
level, or health advisory.
ITEM 67. Amend 567—Chapter
42, Appendix B, Section II, Subsection F, as follows:
F. Direct Filtration of Surface Waters or Influenced
Groundwaters
|
Pumpage or Flow:
|
All
|
Parameter
|
Sample Site
|
Frequency
|
CT Ratio
|
final:
|
1/day
|
Disinfectant Residual
|
source/entry point:
distribution system*:
|
see 567-subrules 43.5(2) and
43.5(4), and 567—43.6(455B) for the specific requirements
|
Disinfectant, quantity used
|
day tank/scale:
|
1/day
|
pH
|
final:
|
1/day
|
Temperature
|
raw:
|
1/day
|
Turbidity
|
raw:
final:
|
see 567-subrules 43.5(3) and
43.5(4), and 567—43.9(455B) for the specific requirements
|
* Monitoring is to be conducted at representative points in
the distribution system which adequately demonstrate compliance with
567-subrule 43.5(2), and
567-subrule 43.5(4), and
567—43.6(455B).
ITEM 68. Amend 567—Chapter
42, Appendix B, Section II, Subsection G, as follows:
G. Clarification or Lime Softening of Surface Waters or
Influenced Groundwaters
|
Pumpage or Flow:
|
All
|
Parameter
|
Sample Site
|
Frequency
|
Alkalinity
|
raw:
final:
|
1/day
1/day
|
Caustic Soda, quantity used
|
day tank/scale:
|
1/week
|
CT Ratio
|
final:
|
1/day
|
Disinfectant Residual
|
source/entry point:
distribution system*:
|
see 567-subrules 43.5(2) and
43.5(4), and 567—43.6(455B) for the specific requirements
|
Disinfectant, quantity used
|
day tank/scale:
|
1/day
|
Hardness as CaCO3
|
raw:
final:
|
1/day
1/day
|
Odor
|
raw:
final:
|
1/week
1/day
|
pH
|
raw:
final:
|
1/day
1/day
|
Temperature
|
raw:
|
1/day
|
Turbidity
|
raw:
final:
|
see 567-subrules 43.5(3) and
43.5(4), and 567—43.9(455B) for the specific requirements
|
* Monitoring is to be conducted at representative points in
the distribution system which adequately demonstrate compliance with
567-subrule 43.5(2), and
567-subrule 43.5(4), and
567—43.6(455B).
ITEM 69. Amend 567—Chapter
42, Appendix C, Key, by adopting the following new
definition in alphabetical order:
N/A not applicable
ITEM 70. Amend 567—Chapter
42, Appendix C, “acrylamide” entry in the
“Synthetic Organic Contaminants” table, as follows:
ITEM 71. Amend 567—Chapter
42, Appendix C, “TTHM – Total Trihalomethanes”
entry in the “Volatile Organic Contaminants” table, as
follows:
TTHM [Total trihalomethanes]
|
0.1 0.10
|
1000
|
100 ppb
|
0 N/A
|
ITEM 72. Amend 567—Chapter
42, Appendix D, Key, by adopting the following new
definition in alphabetical order:
N/A not applicable
ITEM 73. Amend 567—Chapter
42, Appendix D, “turbidity” entry in the
“Microbiological Contaminants” table, as follows:
Turbidity (NTU)
|
N/A
|
TT
|
Soil runoff
|
ITEM 74. Amend 567—Chapter
42, Appendix D, “arsenic” entry in the “Inorganic
Contaminants” table, as follows:
Arsenic (ppb)
|
N/A
|
50
|
Erosion of natural deposits; runoff from orchards;
natural deposits; runoff from glass and electronic production
wastes
|
ITEM 75. Amend 567—Chapter
42, Appendix D, “di(2–ethylhexyl)adipate” entry in
the “Synthetic Organic Contaminant” table, as follows:
Di(2–ethylhexyl)adipate (ppb)
|
400
|
400
|
Leaching from PVC plumbing systems; discharge
Discharge from chemical factories
|
ITEM 76. Amend 567—Chapter
42, Appendix D, “tetrachloroethylene” entry in the
“Volatile Organic Contaminants” table, as follows:
Tetrachloroethylene (ppb)
|
0
|
5
|
Leaching from PVC pipes; discharge
Discharge from factories and dry cleaners
|
ITEM 77. Amend 567—Chapter
42, Appendix D, “TTHM – Total Trihalomethanes”
entry in the “Volatile Organic Contaminants” table, as
follows:
TTHM (ppb) [Total trihalomethanes]
|
0 N/A
|
100
|
Byproducts of drinking water chlorination
|
ITEM 78. Amend subrule 43.1(3),
paragraph “a,” as follows:
a. Community PWS. Community public water systems shall not
use bottled water, point–of–use (POU) or point–of–entry
(POE) devices to achieve permanent compliance with a health–based
standard maximum contaminant level, action level, or treatment
technique requirement in 567—Chapters 41 and 43.
ITEM 79. Amend subrule 43.1(3),
paragraph “d,” subparagraph (1), as follows:
(1) Monitoring program. Submit for approval to the department
a monitoring program for bottled water. The monitoring program must provide
reasonable assurances that the bottled water complies with all
health–based standards maximum contaminant levels,
action levels, or treatment technique requirements in 567—Chapters 41
and 43. The public water system must monitor a representative sample of bottled
water for all contaminants regulated under 567—Chapters 41 and 43 the
first quarter that it supplies the bottled water to the public, and annually
thereafter. Results of the monitoring program shall be provided to the
department annually.
ITEM 80. Amend subrule 43.1(5),
paragraph “b,” as follows:
b. TNC systems. Any transient noncommunity public water
supply system which is owned by the state or federal government, such as a state
park, state hospital, or interstate rest stop, or is using a groundwater under
the direct influence of surface water or surface water source, must have a
certified operator in direct responsible charge of the treatment and
distribution systems, in accordance with 567—Chapters 40 through 44 and
81. Any TNC which uses chlorine dioxide as a disinfectant or oxidant must
have a certified operator in direct responsible charge of the system, pursuant
to 567— Chapter 81. The department may require any TNC to have a
certified operator in direct responsible charge.
ITEM 81. Amend subrule 43.2(1) as
follows:
43.2(1) Operation fees.
a. Annual fee. A nonrefundable fee for the
operation of a public water supply system shall be paid annually. The fee
will not be prorated and is nonrefundable. The fee shall be based on the
population served. The fee shall be the greater of $25 per year or $0.14
multiplied by the total population served by the public water supply for all
community and nontransient noncommunity public water supply systems. The fee
shall be $25 per year for all transient noncommunity water systems. Where a
system provides water to another public water supply system (consecutive public
water supply system) which is required to have an operation permit, the
population of the recipient water supply shall not be counted as a part of the
water system providing the water.
b. Fee notices. The department will send annual notices to
public water supply systems at least 60 days prior to the date that the
operation fee is due.
c. Fee payments. For the state fiscal year beginning
July 1, 1996, and thereafter, the The annual operation fee must
be paid to the department by September 1 each year.
d. New public water systems. The initial operation
fee payment for a new public water supply is due with the initial application
for the annual operation permit. The amount of the initial yearly payment of
the operation fee shall be determined based upon the population served. The
operation fee will not be prorated. Annual operation fee payments after
obtaining an initial operation permit shall be due by September 1 each year, in
accordance with the fee schedule outlined in 43.2(3)“b”(1).
e. Fee schedule adjustment. The
environmental protection commission department may
adjust the per capita fee payment by up to +/– $0.02 per person served so
as to achieve the targeted revenue of $350,000 during each fiscal year.
The environmental protection commission must approve any per capita fee rate
above $0.14 per person. The environmental protection commission may
hold a public hearing concerning the necessity for making a fee schedule
adjustment upward or downward for a particular state fiscal year. The
extent of the fee adjustment is limited by the intent of 1994 Iowa Acts,
Senate File 2314, section 48, and 1995 Iowa Acts, House File 553, section
39 must comply with the Iowa Code section 455B.183A.
The fee payments will produce revenue amounts of $350,000 during each
fiscal year.
f e. Exempted public water
supply systems. Public water supply systems located on Indian lands are exempt
from the fee requirements.
g f. Late fees. When the owner
of a public water supply fails to make timely application or to remit
payment of fees by September 1, the department will notify the system by
a single notice of violation. In addition, a late fee of $100 will be
assessed for failure to remit the operation fee by September 1. The
department may thereafter issue an administrative order pursuant to Iowa Code
section 455B.175(1) or request a referral to the attorney general under Iowa
Code section 455B.175(3) as necessary.
ITEM 82. Amend subrule 43.2(5),
paragraph “b,” as follows:
b. Compliance schedule. Where one or more
health–based standards maximum contaminant levels,
treatment techniques, designated health advisories, or action levels cannot
be met immediately, a compliance schedule for achieving compliance with
standards may be made a condition of the permit. A compliance schedule
requiring alterations in accordance with the standards for construction in
43.3(1) and 43.3(2) may also be included for any supply that, in the opinion of
the director, contains a potential hazard.
ITEM 83. Amend subrule 43.3(1) as
follows:
43.3(1) Standards for public water supplies. Any
public water supply that does not meet the drinking water standards contained in
567—Chapters 41 and 43 shall make the alterations in accordance with the
standards for construction contained in 43.3(2) necessary to comply with the
drinking water standards unless the public water supply has been granted a
variance from a health–based standard maximum
contaminant level or treatment technique as a provision of its operation
permit pursuant to 43.2(455B), provided that the public water supply meets the
schedule established pursuant to 43.2(455B). Any public water supply that, in
the opinion of the director, contains a potential hazard shall make the
alterations in accordance with the standards for construction contained in this
rule necessary to eliminate or minimize that hazard.
ITEM 84. Amend subrule 43.3(5),
paragraph “a,” as follows:
a. Such information and data must supply pertinent information
as set forth in chapter 1 of the “Iowa Water Supply Facilities
Design Standards.” part one of the Ten States
Standards.
ITEM 85. Amend subrule 43.3(10),
paragraph “b,” “Inorganic chemical” chart,
footnote “a,” as follows:
aBAT only if influent Hg concentrations are less
than or equal to 10 micrograms/liter.
ITEM 86. Adopt new
paragraph 43.3(10)“c” as follows and reletter paragraphs
“c” to “f” as “d” to
“g”:
c. BATs for disinfection byproducts and disinfectants. The
department identifies the following as the best technology, treatment
techniques, or other means available for achieving compliance with the maximum
contaminant levels for the disinfection byproducts listed in 567—paragraph
41.5(2)“b,” and the maximum residual disinfectant levels listed in
567—paragraph 41.5(2)“c.”
DBP
MCL or MRDL
|
Best Available Technology
|
Bromate MCL
|
Control of ozone treatment process to reduce production of
bromate
|
Chlorite MCL
|
Control of treatment processes to reduce disinfectant demand
and control of disinfection treatment processes to reduce disinfectant
levels
|
HAA5 MCL
|
Enhanced coagulation or enhanced softening or GAC10, with
chlorine as the primary and residual disinfectant
|
TTHM MCL
|
Enhanced coagulation or enhanced softening or GAC10, with
chlorine as the primary and residual disinfectant
|
MRDL
|
Control of treatment processes to reduce disinfectant demand
and control of disinfection treatment processes to reduce disinfectant
levels
|
ITEM 87. Amend subrule 43.3(10),
relettered paragraphs “d” and “f,” as
follows:
d. Requirement to install BAT. The department shall
require community water systems and nontransient noncommunity water systems to
install and use any treatment method identified in 43.3(10) as a condition for
granting an interim contaminant level except as provided in paragraph
“d e.” If, after the system’s
installation of the treatment method, the system cannot meet the maximum
contaminant level, the system shall be eligible for a compliance schedule with
an interim contaminant level granted under the provisions of
567—42.2(455B) and 43.2(455B).
f. Compliance schedule. If the department determines
that a treatment method identified in 43.3(10)“a,”
and “b,” and “c” is
technically feasible, the department may require the system to install or use
that treatment method in connection with a compliance schedule issued under the
provisions of 567—42.2(455B) and 43.2(455B). The determination shall be
based upon studies by the system and other relevant information.
ITEM 88. Amend subrule 43.5(1),
paragraph “a,” introductory paragraph, as follows:
a. These rules apply to community and
noncommunity all public water supply systems using surface water
or groundwater under the direct influence of surface water in whole or in
part. The rules, and establish criteria under which
filtration is required as a treatment technique. In addition, these rules
establish treatment technique requirements in lieu of maximum contaminant levels
for Giardia lamblia, heterotrophic plate count bacteria, Legionella,
viruses and turbidity. Each public water system with a surface water source or
a groundwater source under the direct influence of surface water must provide
treatment of that source water which complies with these treatment technique
requirements. Systems which serve at least 10,000 persons must also comply
with the requirements of 43.9(455B). The department may require systems serving
less than 10,000 persons to comply with 43.9(455B). The treatment technique
requirements consist of installing and properly operating water treatment
processes which reliably achieve:
ITEM 89. Amend 43.5(2), paragraphs
“c” and “d,” as follows:
c. Disinfectant residual Residual
disinfectant entering system. The residual disinfectant concentration in
the water entering the distribution system, measured as specified in
567—paragraphs 41.7(2)“c” and
“e,” 43.5(4)“a”(5) and
43.5(4)“b”(2), cannot be less than 0.3 mg/L free residual or 1.5
mg/L total residual chlorine for more than four hours.
d. Disinfectant residual Residual
disinfectant in the system. The residual disinfectant concentration in the
distribution system, measured as total chlorine, combined chlorine, or chlorine
dioxide, as specified in 567—paragraphs 41.7(2)“c” and
“e,” 43.5(4)“a”(5) and
43.5(4)“b”(2), cannot be undetectable in more than 5 percent of
the samples each month for any two consecutive months that the system serves
water to the public. Water within the distribution system with a heterotrophic
plate count bacteria concentration less than or equal to 500/mL, measured
as heterotrophic plate count (HPC) as specified in 567—paragraph
41.2(3)“e,” is deemed to have a detectable disinfectant residual for
purposes of determining compliance with this requirement. Therefore, the value
“V” in the following formula cannot exceed 5 percent in one month
for any two consecutive months.
where:
a = number of instances where in which
the residual disinfectant concentration is measured;
b = number of instances where in which
the residual disinfectant concentration is not measured but heterotrophic
bacteria plate count bacteria (HPC) is
measured;
c = number of instances where in which
the residual disinfectant concentration is measured but not detected and no HPC
is measured;
d = number of instances where in which
no residual disinfectant concentration is detected and where the HPC is greater
than 500/mL; and
e = number of instances where in which
the residual disinfectant concentration is not measured and HPC is greater than
500/mL.
ITEM 90. Amend subrule 43.5(3) as
follows:
43.5(3) Filtration.
a. Applicability. A public water system that uses a
surface water source or a groundwater source under the direct influence of
surface water must provide treatment consisting of both disinfection, as
specified in 43.5(2), and filtration treatment which complies with the turbidity
requirements of 567—subrule 41.7(1) subrules 43.5(3),
43.5(4), and 43.5(5). A system providing or required to provide filtration
on or before December 30, 1991, must meet the requirements of
567—subrule 41.7(1) this subrule by June 29, 1993.
A system providing or required to provide filtration after December 30, 1991,
must meet the requirement of 567—subrule 41.7(1) this
subrule when filtration is installed. Beginning January 1, 2002, systems
serving at least 10,000 people must meet the turbidity requirements in
43.9(455B). A system shall install filtration within 18 months after the
department determines, in writing, that filtration is required. The department
may require and the system shall comply with any interim turbidity requirements
the department deems necessary. Failure to meet any requirements of the
referenced subrules after the dates specified is a treatment technique
violation.
b. Conventional filtration treatment or direct
filtration.
(1) For systems using conventional filtration or direct
filtration, the turbidity level of representative samples of a system’s
filtered water must be less than or equal to 0.5 nephelometric turbidity units
(NTU) in at least 95 percent of the measurements taken each month when measured
as specified in 43.5(4)“a”(1) and
43.5(4)“b”(1).
(2) The turbidity level of representative samples of a
system’s filtered water must at no time exceed 5 NTU when measured as
specified in 43.5(4)“a”(1) and
43.5(4)“b”(1).
c. Slow sand filtration.
(1) For systems using slow sand filtration, the turbidity
level of representative samples of a system’s filtered water must be less
than or equal to 1 NTU in at least 95 percent of the measurements taken each
month when measured as specified in 43.5(4)“a”(1) and
43.5(4)“b”(1).
(2) The turbidity level of representative samples of a
system’s filtered water must at no time exceed 5 NTU when measured as
specified in 43.5(4)“a”(1) and
43.5(4)“b”(1).
d. Diatomaceous earth filtration.
(1) For systems using diatomaceous earth filtration, the
turbidity level of representative samples of a system’s filtered water
must be less than or equal to 1 NTU in at least 95 percent of the measurements
taken each month when measured as specified in 43.5(4)“a”(1) and
43.5(4)“b”(1).
(2) The turbidity level of representative samples of a
system’s filtered water must at no time exceed 5 NTU when measured as
specified in 43.5(4)“a”(1) and
43.5(4)“b”(1).
e. Other filtration technologies. A public water system
may use either a filtration technology not listed in 43.5(3)“b” to
43.5(3)“d” or a filtration technology listed in
43.5(3)“b” or 43.5(3)“c” at a higher turbidity level if
it demonstrates to the department through a preliminary report submitted by a
registered professional engineer, using pilot plant studies or other means, that
the alternative filtration technology in combination with disinfection treatment
that meets the requirements of 567—subrule 43.5(2) consistently achieves
99.9 percent removal or inactivation of Giardia lamblia and 99.99 percent
removal or inactivation of viruses. For a system that uses alternative
filtration technology and makes this demonstration, the turbidity
treatment technique requirements are as follows:
(1) The turbidity level of representative samples of a
system’s filtered water must be less than or equal to 1 NTU in at least 95
percent of the measurements taken each month when measured as specified in
43.5(4)“a”(1) and 43.5(4)“b”(1).
(2) The turbidity level of representative samples of a
system’s filtered water must at no time exceed 5 NTU when measured as
specified in 43.5(4)“a”(1) and
43.5(4)“b”(1).
Beginning January 1, 2002, systems serving at least 10,000
people must meet the requirements for other filtration technologies in
43.9(3)“b.”
ITEM 91. Amend subrule 43.5(4) as
follows:
43.5(4) Analytical and monitoring
requirements.
a. Analytical requirements. Only the analytical method(s)
specified in this paragraph, or otherwise approved by the department, may be
used to demonstrate compliance with the requirements of 43.5(2) and 43.5(3).
Measurements for pH, temperature, turbidity, and residual disinfectant
concentrations must be conducted by a Grade II, III or IV operator meeting the
requirements of 567—Chapter 81, any person under the supervision of a
Grade II, III or IV operator meeting the requirements of 567—Chapter 81,
or a laboratory certified by the department to perform analysis under
567—Chapter 83. For consecutive public water supplies from a surface
water or groundwater under the direct influence of surface water system, the
disinfectant concentration analyses must be conducted by a certified operator
who meets the requirements of 567—Chapter 81. Measurements for
heterotrophic plate count bacteria must be conducted by a laboratory certified
by the department to do such analysis. The procedures shall be
performed in accordance with 567— Chapters 41 and 83 as listed below and
the referenced publications.
(1) Heterotrophic plate count –
567—subrule 41.2(3)
(2) Turbidity – 567—subrule
41.7(1)
(3) Residual disinfectant concentration –
567—subrule 41.7(2)
(4) Temperature – 567—subrule
41.7(3)
(5) pH – 567—subrule
41.7(4)
(1) Turbidity analytical methodology. Turbidity analysis
shall be conducted using the following methodology:
|
Analytical Method
|
Methodology
|
EPA
|
SM
|
GLI
|
Nephelometric
|
180.11
|
2130B2
|
Method
23
|
1“Methods
for the Determination of Inorganic Substances in Environmental Samples,”
EPA–600/R–93–100, August 1993. Available at NTIS,
PB94–121811.
2Standard
Methods for the Examination of Water and Wastewater, 18th edition, 1992, and
19th edition, 1995 (either edition may be used), American Public Health
Association, 1015 Fifteenth Street NW, Washington, DC 20005.
3GLI
Method 2, “Turbidity,” November 2, 1992, Great Lakes Instruments,
Inc., 8855 North 55th Street, Milwaukee, WI 53223.
(2) Temperature analytical methodology. The temperature
shall be determined in compliance with the methodology listed in
567-subparagraph
41.4(1)“g”(1).
(3) pH (hydrogen ion concentration) analytical methodology.
The pH shall be determined in compliance with the methodology listed in
567-subparagraph
41.4(1)“g”(1).
(4) Heterotrophic plate count bacteria analytical
methodology. The heterotrophic plate count bacteria sampling and analysis shall
be conducted in compliance with
567-
subrule 41.2(3) and paragraph 43.5(2)“d.” The time
from sample collection to initiation of analysis shall not exceed 8 hours, and
the samples must be held below 10 degrees C during transit.
(5) Residual disinfectant analytical methodology. The
residual disinfectant concentrations shall be determined in compliance with one
of the analytical methods in the following table. Residual disinfectant
concentrations for free chlorine and combined chlorine may also be measured by
using DPD colorimetric test kits. Free and total chlorine residuals may be
measured continuously by adapting a specified chlorine residual method for use
with a continuous monitoring instrument provided the chemistry, accuracy and
precision remain the same. Instruments used for continuous monitoring must be
calibrated with a grab sample measurement at least every five
days.
DISINFECTANT ANALYTICAL METHODOLOGY
Residual
|
Methodology
|
Methods1,2
|
Free chlorine
|
Amperometric Titration
|
4500–Cl D
|
|
DPD Ferrous Titrimetric
|
4500–Cl F
|
|
DPD Colorimetric
|
4500–Cl G
|
|
Syringaldazine (FACTS)
|
4500–Cl H
|
Total chlorine
|
Amperometric Titration
|
4500–Cl D
|
|
Amperometric Titration (low level
measurement)
|
4500–Cl E
|
|
DPD Ferrous Titrimetric
|
4500–Cl F
|
|
DPD Colorimetric
|
4500–Cl G
|
|
Iodometric Electrode
|
4500–Cl I
|
Chlorine dioxide
|
Amperometric Titration
|
4500–ClO2 C
|
|
DPD Method
|
4500–ClO2 D
|
|
Amperometric Titration
|
4500–ClO2 E
|
Ozone
|
Indigo method
|
4500–O3 B
|
1Standard
Methods for the Examination of Water and Wastewater, 18th edition, 1992, and
19th edition, 1995 (either edition may be used), American Public Health
Association, 1015 Fifteenth Street NW, Washington, DC 20005.
2Other
analytical test procedures are contained within Technical Notes on Drinking
Water Methods, EPA–600/R– 94–173, October 1994, which is
available as NTIS PB95– 104766.
b. Monitoring requirements. A public water system that uses a
surface water source or groundwater source under the influence of surface water
must monitor in accordance with this paragraph or some interim requirements
required by the department, until filtration is installed.
(1) Turbidity measurements to demonstrate compliance
with 43.5(3) shall be performed in accordance with 567— subrule
41.7(1).
(1) Turbidity.
1. Routine turbidity monitoring requirements. Turbidity
measurements as required by 43.5(3) must be performed on representative samples
of the system’s filtered water every four hours (or more frequently) that
the system serves water to the public. A public water system may substitute
continuous turbidity monitoring for grab sample monitoring if it validates the
continuous measurement for accuracy on a regular basis using a calibration
protocol approved by the department and audited for compliance during sanitary
surveys. Major elements of the protocol shall include, but are not limited to:
method of calibration, calibration frequency, calibration standards,
documentation, data collection and data reporting. For any systems using slow
sand filtration or filtration treatment other than conventional treatment,
direct filtration, or diatomaceous earth filtration, the department may reduce
the sampling frequency to once per day if it determines that less frequent
monitoring is sufficient to indicate effective filtration performance. For
systems serving 500 or fewer persons, the department may reduce the turbidity
sampling frequency to once per day, regardless of the type of filtration
treatment used, if the department determines that less frequent monitoring is
sufficient to indicate effective filtration performance. Approval shall be
based upon documentation provided by the system, acceptable to the department
and pursuant to the conditions of an operation permit.
2. Turbidity monitoring requirements for population greater
than 100,000. A supplier of water serving a population or population equivalent
of greater than 100,000 persons shall provide a continuous or rotating cycle
turbidity monitoring and recording device or take hourly grab samples to
determine compliance with 43.5(3).
(2) Residual disinfectant. concentration of the
water entering the distribution system to demonstrate compliance with
43.5(2)“d” shall be monitored in accordance with 567—
subparagraph 41.7(2)“c”(1).
1. Residual disinfectant entering the system. The residual
disinfectant concentration of the water entering the distribution system shall
be monitored continuously, and the lowest value recorded each day, except that
if there is a failure in the continuous monitoring equipment, grab sampling
every four hours may be conducted in lieu of continuous monitoring, but not to
exceed five working days following the failure of the equipment. If acceptable
to the department, systems serving 3,300 or fewer persons may take grab samples
in lieu of providing continuous monitoring on an ongoing basis at the
frequencies prescribed below:
RESIDUAL DISINFECTANT SAMPLES REQUIRED OF SURFACE WATER
OR IGW PWS
System size (persons served)
|
Samples per day*
|
500 or fewer
|
1
|
501 to 1,000
|
2
|
1,001 to 2,500
|
3
|
2,501 to 3,300
|
4
|
*When more than one grab sample is required per day, the
day’s samples cannot be taken at the same time. The sampling intervals
must be at a minimum of four–hour intervals.
If at any time the disinfectant concentration falls
below0.3 mg/L free residual or 1.5 mg/L total residual chlorine in a system
using grab sampling in lieu of continuous monitoring, the system shall take a
grab sample every four hours until the residual disinfectant concentration is
equal to or greater than 0.3 mg/L free residual or 1.5 mg/L total residual
chlorine.
(3) The residual disinfectant concentration of the
water in the distribution system to demonstrate compliance with
43.5(2)“d” shall be monitored in accordance with
567—subparagraph 41.7(2)“c”(2).
2. Residual disinfectant in the system. The residual
disinfectant concentration must be measured at least at the same points in the
distribution system and at the same time as total coliforms are sampled, as
specified in 567-paragraph
41.2(1)“c,” except that the department may allow a public water
system which uses both a surface water source or a groundwater source under
direct influence of surface water, and a groundwater source to take residual
disinfectant samples at points other than the total coliform sampling points, if
these points are included as a part of the coliform sample site plan meeting the
requirements of
567-41.2(1)“c”(1)“1”
and the department determines that such points are representative of treated
(disinfected) water quality within the distribution system. Heterotrophic plate
count bacteria (HPC) may be measured in lieu of residual disinfectant
concentration, using Method 9215B, Pour Plate Method, Standard Methods for the
Examination of Water and Wastewater, 18th edition, 1992. The time from sample
collection to initiation of analysis shall not exceed 8 hours. Samples must be
kept below 10 degrees C during transit to the laboratory. All samples must be
analyzed by a department–certified laboratory meeting the requirements of
567—Chapter 83.
43.5(5) Reporting
requirements.
(4) Reporting and response to violation.
Public water supplies shall report the results of routine monitoring required to
demonstrate compliance with 43.5(455B) and treatment technique violations as
follows:
1 a. Waterborne disease
outbreak. Each system, upon discovering that a waterborne disease outbreak
potentially attributable to that water system has occurred, must report that
occurrence to the department as soon as possible, but no later than by the end
of the next business day.
2 b. Turbidity exceeds 5 NTU.
If at any time the turbidity exceeds 5 NTU, the system must inform the
department as soon as possible, but no later than by the end of the next
business day.
3 c. Residual disinfectant entering
distribution system below 0.3 mg/L. If at any time the residual falls below
0.3 mg/L in the water entering the distribution system, the system must notify
the department as soon as possible, but no later than by the end of the next
business day. The system also must notify the department by the end of the next
business day whether or not the residual was restored to at least 0.3 mg/L
within four hours.
4 d. Routine monitoring reporting
requirements. Routine monitoring results shall
be provided as part of the monthly operation reports in accordance with
567— 40.3(455B) and 42.4(3).
ITEM 92. Amend 567—Chapter 43 by
adopting the following new rule:
567—43.6(455B) Residual disinfectant and
disinfection byproduct precursors.
43.6(1) Residual disinfectant.
a. Applicability.
(1) CWS and NTNC systems. This rule establishes criteria
under which CWS and NTNC public water supply systems that add a chemical
disinfectant to the water in any part of the drinking water treatment process or
that provide water that contains a chemical disinfectant must modify their
practices to meet the MCLs listed in 567—41.6(455B), the maximum residual
disinfectant levels (MRDL) listed in this subrule, and treatment technique
requirements for disinfection byproduct precursors listed in subrule
43.6(3).
(2) TNC systems with chlorine dioxide disinfection. This rule
establishes criteria under which TNC public water supply systems that use
chlorine dioxide as a disinfectant or oxidant must modify their practices to
meet the chlorine dioxide MRDL listed in paragraph
43.6(1)“b.”
(3) Compliance dates. Compliance dates for this subrule are
based upon the source water type and the population served. Systems are
required to comply with this rule as follows, unless otherwise noted:
1. Surface water and IGW CWS and NTNC. CWS and NTNC systems
using surface water or groundwater under the direct influence of surface water
(IGW) in whole or in part and which serve 10,000 or more persons must comply
with this rule beginning January 1, 2002. CWS and NTNC surface water or IGW
systems serving fewer than 10,000 persons must comply with this rule beginning
January 1, 2004.
2. Groundwater CWS and NTNC. CWS and NTNC systems using only
groundwater not under the direct influence of surface water must comply with
this rule beginning January 1, 2004.
3. TNC using chlorine dioxide. TNC systems serving over
10,000 persons and using surface water or groundwater under the direct influence
of surface water and using chlorine dioxide as a disinfectant or oxidant must
comply with any requirements for chlorine dioxide in this rule beginning January
1, 2002. TNC systems serving 10,000 persons or less, regardless of source water
type, and using chlorine dioxide as a disinfectant or oxidant must comply with
any requirements for chlorine dioxide in this rule beginning January 1, 2004.
4. Extension of compliance period for GAC or membrane
technology installation. A system that is installing GAC or membrane technology
to comply with this rule may apply to the department for an extension of up to
24 months past the dates in subparagraph 43.6(1)“a”(3), but not
beyond December 31, 2003. In granting the extension, the department will set a
schedule for compliance and may specify any interim measures the system must
take. Failure to meet a compliance schedule or interim treatment requirements
constitutes a violation of the public drinking water supply rules, requires
public notification per 567—subrule 42.1(1), and may result in an
administrative order.
(4) Control of residual disinfectants. Notwithstanding the
MRDLs in this rule, systems may increase residual disinfectant levels of
chlorine or chloramines (but not chlorine dioxide) in the distribution system to
a level and for a time necessary to protect public health, to address specific
microbiological contamination problems caused by circumstances such as, but not
limited to, distribution line breaks, storm run–off events, source water
contamination events, or cross–connection events.
(5) Consecutive systems. Consecutive systems that provide
water containing a disinfectant or oxidant are required to comply with this
rule. A consecutive system may be incorporated into the sampling plan of the
supply that produces the water (the primary water supplier), provided:
1. There is a mutual signed agreement between the primary and
consecutive system supplied by that primary system that states the primary
system will be responsible for the compliance of its consecutive system with
this rule, regardless of additional treatment by the consecutive
system.
2. Beginning with the primary water supply, each successive
consecutive system must also be included in the primary supply’s sampling
plan, so that there is no system with its own sampling plan between the primary
supply and the consecutive supply covered by the primary supply’s
plan.
3. It is understood by the primary and all consecutive systems
that even if only one system in the sampling plan has a violation, all systems
in the sampling plan will receive the violation and be required to conduct
public notification.
4. The department receives a copy of the signed agreement and
approves the sampling plan prior to the beginning of the compliance
period.
If a mutual agreement is not possible, each system (the
primary system and each consecutive system) is responsible for compliance with
this rule for its system.
(6) Systems with multiple water sources. Systems with water
sources that are used independently from each other, are not from the same
source as determined by the department, or do not go through identical treatment
processes are required to conduct the monitoring for the applicable
disinfectants or oxidants and disinfection byproducts during operation of each
source. The system must comply with this rule during the use of each water
source.
b. Maximum residual disinfectant levels. Maximum residual
disinfectant levels (MRDLs) are as follows:
Disinfection Residual
|
MRDL (mg/L)
|
Chloramines
|
4.0 as Cl2
|
Chlorine
|
4.0 as Cl2
|
Chlorine dioxide
|
0.8 as ClO2
|
c. Monitoring requirements for residual
disinfectants.
(1) General requirements.
1. Systems must take all samples during normal operating
conditions.
2. Failure to monitor in accordance with the monitoring plan
required under 43.6(1)“c”(1)“5” is a monitoring
violation.
3. Failure to monitor is a violation for the entire period
covered by the annual average where compliance is based on a running annual
average of monthly or quarterly samples or averages and the system’s
failure to monitor makes it impossible to determine compliance with
MRDLs.
4. Systems may use only data collected under the provisions of
this rule or of 567—41.6(455B) to qualify for reduced
monitoring.
5. Systems required to monitor under the provisions of this
rule or of 567—41.6(455B) must develop and implement a monitoring plan, in
accordance with 567-numbered paragraph
41.6(1)“c”(1)“6.”
(2) Chlorine and chloramines.
1. Routine monitoring. Community and nontransient
noncommunity water systems that use chlorine or chloramines must measure the
residual disinfectant level at the same points in the distribution system and at
the same time as total coliforms are sampled, as specified in
43.5(4)“b”(2)“2.” Surface water and groundwater under
the direct influence of surface water systems may use the results of residual
disinfectant concentration sampling conducted under
43.5(4)“b”(2)“1,” in lieu of taking separate
samples.
2. Reduced monitoring. Chlorine and chloramine monitoring may
not be reduced.
(3) Chlorine dioxide.
1. Routine monitoring. Any public water supply systems that
use chlorine dioxide for disinfection or oxidation must take daily samples at
the entrance to the distribution system. For any daily sample that exceeds the
MRDL, the system must take samples in the distribution system the following day
at the locations required by 43.6(1)“c”(3)“2,” in
addition to the sample required at the entrance to the distribution
system.
2. Additional monitoring. On each day following a routine
sample monitoring result that exceeds the MRDL, the system is required to take
three chlorine dioxide distribution system samples.
• If chlorine dioxide or
chloramines are used to maintain a residual disinfectant in the distribution
system, or if chlorine is used to maintain a residual disinfectant in the
distribution system and there are no disinfection addition points after the
entrance to the distribution system (i.e., no booster chlorination), the system
must take three samples as close to the first customer as possible, at intervals
of at least six hours.
• If chlorine is used to
maintain a residual disinfectant in the distribution system and there are one or
more disinfection addition points after the entrance to the distribution system
(i.e., booster chlorination), the system must take one sample at each of the
following locations: as close to the first customer as possible, in a location
representative of average residence time, and as close to the end of the
distribution system as possible (reflecting maximum residence time in the
distribution system).
3. Reduced monitoring. Chlorine dioxide monitoring may not be
reduced.
d. Analytical requirements for residual
disinfectants.
(1) Analytical methods. Systems must measure residual
disinfectant concentrations for free chlorine, combined chlorine (chloramines),
and chlorine dioxide by the methods listed in the following table:
Approved Methods for Residual Disinfectant Compliance
Monitoring
Methodology
|
Standard Methods
|
ASTM Method
|
Residual measured1
|
|
|
|
Free Chlorine
|
Combined Chlorine
|
Total Chlorine
|
Chlorine Dioxide
|
Amperometric Titration
|
4500–Cl D
|
D 1253–86
|
X
|
X
|
X
|
|
Low Level Amperometric Titration
|
4500–Cl E
|
|
|
|
X
|
|
DPD Ferrous Titrimetric
|
4500–Cl F
|
|
X
|
X
|
X
|
|
DPD Colorimetric
|
4500–Cl G
|
|
X
|
X
|
X
|
|
Syringaldazine (FACTS)
|
4500–Cl H
|
|
X
|
|
|
|
Iodometric Electrode
|
4500–Cl I
|
|
|
|
X
|
|
DPD
|
4500–ClO2 D
|
|
|
|
|
X
|
Amperometric Method II
|
4500–ClO2 E
|
|
|
|
|
X
|
The procedures shall be done in accordance with the documents
listed below. The incorporation by reference of the following documents was
approved by the Director of the Federal Register on February 16, 1999, in
accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies of the documents may
be obtained from the sources listed below. Information regarding obtaining
these documents can be obtained from the Safe Drinking Water Hotline at
(800)426–4791. Documents may be inspected at EPA’s Drinking Water
Docket, 401 M Street SW, Washington, DC 20460 (telephone: (202)260–3027);
or at the Office of Federal Register, 800 North Capitol Street NW, Suite 700,
Washington, DC.
The following method is available from the American Society
for Testing and Materials, 100 Barr Harbor Drive, West Conshohoken, PA
19428:
Annual Book of ASTM Standards, Volume 11.01, American Society
for Testing and Materials, 1996: Method D 1253–86.
The following methods are available from the American Public
Health Association, 1015 Fifteenth Street NW, Washington, DC 20005:
Standard Methods for the Examination of Water and Wastewater,
19th edition, American Public Health Association, 1995: Methods: 4500–Cl
D, 4500–Cl E, 4500–Cl F, 4500–Cl G, 4500–Cl H,
4500–Cl I, 4500–ClO2 D, 4500–ClO2
E.
1X
indicates method is approved for measuring specified residual
disinfectant.
(2) Test kit use. Systems may also measure residual
disinfectant concentrations for chlorine, chloramines, and chlorine dioxide by
using DPD colorimetric test kits acceptable to the department. Free and total
chlorine residual disinfectant concentrations may be measured continuously by
adapting a specified chlorine residual method for use with a continuous
monitoring instrument provided the chemistry, accuracy, and precision remain the
same. Instruments used for continuous monitoring must be calibrated with a grab
sample measurement at least every five days.
(3) Operator requirement. Measurements for residual
disinfectant concentration shall be conducted by a Grade A through IV operator
meeting the requirements of 567— Chapter 81, any person under the direct
supervision of a Grade A through IV operator meeting the requirements of
567—Chapter 81, or a laboratory certified by the department to perform
analysis under 567—Chapter 83.
e. Compliance requirements for residual
disinfectants.
(1) General requirements.
1. When compliance is based on a running annual average of
monthly or quarterly samples or averages and the system’s failure to
monitor makes it impossible to determine compliance with MRDLs for chlorine and
chloramines, this failure to monitor will be treated as a monitoring violation
for the entire period covered by the annual average.
2. All samples taken and analyzed under the provisions of this
rule must be included in determining compliance, even if that number is greater
than the minimum required.
(2) Chlorine and chloramines.
1. Compliance must be based on a running annual arithmetic
average, computed quarterly, of monthly averages of all samples collected by the
system under subparagraph 43.6(1)“c”(2). If the average of
quarterly averages covering any consecutive four–quarter period exceeds
the MRDL, the system is in violation of the MRDL and must notify the public
pursuant to 567—42.1(455B), in addition to reporting to the department
pursuant to 567—paragraph 42.4(3)“d.”
2. In cases where systems switch between the use of chlorine
and chloramines for residual disinfection during the year, compliance must be
determined by including together all monitoring results of both chlorine and
chloramines in calculating compliance. Reports submitted pursuant to
567—paragraph 42.4(3)“d” must clearly indicate which residual
disinfectant was analyzed for each sample.
(3) Chlorine dioxide.
1. Acute violations. Compliance must be based on consecutive
daily samples collected by the system under subparagraph
43.6(1)“c”(3). If any daily sample taken at the entrance to the
distribution system exceeds the MRDL, and on the following day one or more of
the three samples taken in the distribution system exceed the MRDL, the system
is in violation of the MRDL and must take immediate corrective action to lower
the level of chlorine dioxide below the MRDL and must notify the public pursuant
to the procedures for acute health risks in 567—subparagraph
42.1(1)“b”(5) in addition to reporting to the department pursuant to
567— paragraph 42.4(3)“d.” Failure to take samples in the
distribution system the day following an exceedance of the chlorine dioxide MRDL
at the entrance to the distribution system will also be considered an MRDL
violation and the system must notify the public of the violation in accordance
with the provisions for acute violations under 567—subparagraph
42.1(1)“b”(5) in addition to reporting to the department pursuant to
567—paragraph 42.4(3)“d.”
2. Nonacute violations. Compliance must be based on
consecutive daily samples collected by the system under subparagraph
43.6(1)“c”(3). If any two consecutive daily samples taken at the
entrance to the distribution system exceed the MRDL and all distribution system
samples taken are below the MRDL, the system is in violation of the MRDL and
shall take corrective action to lower the level of chlorine dioxide below the
MRDL at the point of sampling and shall notify the public pursuant to the
procedures for nonacute health violations in 567—subrule 42.1(1), in
addition to reporting to the department pursuant to 567—paragraph
42.4(3)“d.” Failure to monitor at the entrance to the distribution
system the day following an exceedance of the chlorine dioxide MRDL at the
entrance to the distribution system is also an MRDL violation and the system
must notify the public of the violation in accordance with the provisions for
nonacute violations under 567—subrule 42.1(1), in addition to reporting to
the department pursuant to 567—paragraph 42.4(3)“d.”
f. Reporting requirements for disinfectants. Systems required
to sample quarterly or more frequently must report to the department within ten
days after the end of each quarter in which samples were collected,
notwithstanding the public notification provisions of 567—42.1(455B).
Systems required to sample less frequently than quarterly must report to the
department within ten days after the end of each monitoring period in which
samples were collected. The specific reporting requirements for disinfectants
are listed in 567—subparagraph 42.4(3)“d”(3).
43.6(2) Disinfection byproduct precursors.
a. Applicability.
(1) Surface water or IGW CWS and NTNC systems with
conventional filtration. This rule establishes criteria under which surface
water or influenced groundwater CWS and NTNC public water supply systems using
conventional filtration treatment, as defined in
567-40.2(455B), that add a chemical disinfectant to
the water in any part of the drinking water treatment process or which provide
water that contains a chemical disinfectant must modify their practices to meet
the MCLs listed in 567—41.6(455B) and the maximum residual disinfectant
levels (MRDL) and treatment technique requirements for disinfection byproduct
precursors listed in this rule.
(2) CWS and NTNC systems using ozone treatment. CWS and NTNC
systems that use ozone in their treatment process must comply with the bromide
requirements of this subrule.
(3) Compliance dates. Compliance dates for this rule are
based upon the population served. CWS and NTNC systems using surface water or
groundwater under the direct influence of surface water in whole or in part and
which serve 10,000 or more persons must comply with this rule beginning January
1, 2002; while those systems serving fewer than 10,000 persons must comply with
this rule beginning January 1, 2004.
(4) The department may require groundwater systems to conduct
monitoring for disinfection byproduct precursors as a part of an operation
permit.
b. Monitoring requirements for disinfection byproduct
precursors.
(1) Routine monitoring. Surface water and groundwater under
the direct influence of surface water systems which use conventional filtration
treatment must monitor each treatment plant for total organic carbon (TOC) no
later than the point of combined filter effluent turbidity monitoring and
representative of the treated water. All systems required to monitor under this
paragraph must also monitor for TOC in the source water prior to any treatment
at the same time as monitoring for TOC in the treated water. These samples
(source water and treated water) are referred to as paired samples. At the same
time the source water sample is taken, all systems must monitor for alkalinity
in the source water prior to any treatment. Systems must take
one paired set of source water and treated water
samples and one source water alkalinity sample per month per plant at a time
representative of normal operating conditions and influent water
quality.
(2) Reduced monitoring. The department may allow surface
water and groundwater under the direct influence of surface water systems with
an average treated water TOC of less than 2.0 mg/L for two consecutive years, or
less than 1.0 mg/L for one year, to reduce monitoring for both TOC and
alkalinity to one set of paired samples and one source water alkalinity sample
per plant per quarter. The system must revert to routine monitoring in the
month following the quarter when the annual average treated water TOC is greater
than or equal to 2.0 mg/L.
(3) Bromide. The department may allow systems required to
analyze for bromate to reduce bromate monitoring from monthly to once per
quarter, if the system demonstrates that the average source water bromide
concentration is less than 0.05 mg/L based upon representative monthly
measurements for one year. The system must continue bromide monitoring to remain
on reduced bromate monitoring.
(4) The department may assign disinfection byproduct precursor
monitoring prior to the compliance dates in 43.6(2)“a”(2) as part of
an operation permit.
c. Analytical requirements for disinfection byproduct
precursors.
(1) Analytical methods. Systems required to monitor
disinfectant byproduct precursors must use the following methods, which must be
conducted by a certified laboratory pursuant to 567—Chapter 83, unless
otherwise specified.
Approved Methods for Disinfection Byproduct Precursor
Monitoring1
Analyte
|
Methodology
|
EPA
|
Standard
Methods
|
ASTM
|
Other
|
Alkalinity
|
Titrimetric
|
|
2320B
|
D 1067–92B
|
|
|
Electrometric titration
|
|
|
|
I–1030–85
|
Bromide
|
Ion chromatography
|
300.0
|
|
|
|
|
|
300.1
|
|
|
|
Dissolved Organic Carbon2
|
High temperature combustion
|
|
5310B
|
|
|
|
Persulfate–UV or heated–persulfate
oxidation
|
|
5310C
|
|
|
|
Wet oxidation
|
|
5310D
|
|
|
pH3
|
Electrometric
|
150.1
|
4500–H+–B
|
D1293–84
|
|
|
|
150.2
|
|
|
|
Total Organic Carbon4
|
High temperature combustion
|
|
5310B
|
|
|
|
Persulfate–UV or heated–persulfate
oxidation
|
|
5310C
|
|
|
|
Wet oxidation
|
|
5310D
|
|
|
Ultraviolet Absorption at 254
nm5
|
UV absorption
|
|
5910B
|
|
|
1The procedures shall be done
in accordance with the documents listed below. The incorporation by reference
of the following documents was approved by the Director of the Federal Register
on February 16, 1999, in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51.
Copies of the documents may be obtained from the sources listed below.
Information regarding obtaining these documents can be obtained from the Safe
Drinking Water Hotline at (800)426–4791. Documents may be inspected at
EPA’s Drinking Water Docket, 401 M Street SW, Washington, DC 20460
(telephone: (202)260–3027); or at the Office of Federal Register, 800
North Capitol Street NW, Suite 700, Washington, DC.
The following methods are available from the American Society
for Testing and Materials, 100 Barr Harbor Drive, West Conshohoken, PA
19428:
Annual Book of ASTM Standards, Volume 11.01, American Society
for Testing and Materials, 1996: Method D 1067–92B and Method
D1293–84.
The following methods are available from the National
Technical Information Service, U.S. Department of Commerce, 5285 Port Royal
Road, Springfield, VA 22161 (telephone: (800)553–6847):
“Determination of Inorganic Anions in Drinking Water by
Ion Chromatography, Revision 1.0,” EPA–600/R–98/118, 1997
(NTIS, PB98–169196): Method 300.1.
Methods for Chemical Analysis of Water and Wastes,
EPA–600/4–79–020, March 1983, (NTIS PB84–128677):
Methods 150.1 and 150.2.
Methods for the Determination of Inorganic Substances in
Environmental Samples, EPA–600/R–93/100, August 1993, (NTIS
PB94–121811): Method 300.0.
The following methods are available from the American Public
Health Association, 1015 Fifteenth Street NW, Washington, DC 20005:
Standard Methods for the Examination of Water and Wastewater,
19th edition, American Public Health Association, 1995: Methods: 2320B,
4500–H+–B, and 5910B.
Standard Methods for the Examination of Water and Wastewater,
Supplement to the 19th edition, American Public Health Association, 1996:
Methods: 5310B, 5310C, and 5310D.
Method I–1030–85 is available from the Books and
Open–File Reports Section, U.S. Geological Survey, Federal Center, Box
25425, Denver, CO 80225–0425.
2Dissolved Organic Carbon
(DOC). DOC and UV254 samples used to determine an SUVA value must be
taken at the same time and at the same location, prior to the addition of any
disinfectant or oxidant by the system. Prior to analysis, DOC samples must be
filtered through a 0.45 ∝ pore–diameter
filter. Water passed through the filter prior to filtration of the sample must
serve as the filtered blank. This filtered blank must be analyzed using
procedures identical to those used for analysis of the samples and must meet a
DOC concentration of <0.5 mg/L. DOC samples must be filtered through the
0.45 ∝ pore–diameter filter prior to
acidification. DOC samples must either be analyzed or must be acidified to
achieve pH less than 2.0 by minimal addition of phosphoric or sulfuric acid as
soon as practical after sampling, not to exceed 48 hours. Acidified DOC samples
must be analyzed within 28 days.
3pH must be measured by a
laboratory certified by the department to perform analysis under
567—Chapter 83; a Grade II, III or IV operator meeting the requirements of
567—Chapter 81; or any person under the supervision of a Grade II, III or
IV operator meeting the requirements of 567—Chapter 81.
4Total Organic Carbon (TOC).
TOC samples may not be filtered prior to analysis. TOC samples must either be
analyzed or must be acidified to achieve pH less than 2.0 by minimal addition of
phosphoric or sulfuric acid as soon as practical after sampling, not to exceed
24 hours. Acidified TOC samples must be analyzed within 28 days.
5Ultraviolet Absorption at 254
nm (UV254). DOC and UV254 samples used to determine a
SUVA value must be taken at the same time and at the same location, prior to the
addition of any disinfectant or oxidant by the system. UV absorption must be
measured at 253.7 nm (may be rounded off to 254 nm). Prior to analysis,
UV254 samples must be filtered through a 0.45
∝ pore–diameter filter. The pH of
UV254 samples may not be adjusted. Samples must be analyzed as soon
as practical after sampling, not to exceed 48 hours.
(2) SUVA. Specific Ultraviolet Absorbance (SUVA) is equal to
the UV absorption at 254nm (UV254) (measured in
m–1) divided
by the dissolved organic carbon (DOC) concentration (measured as mg/L). In
order to determine SUVA, it is necessary to separately measure UV254
and DOC. When determining SUVA, systems must use the methods stipulated in
subparagraph 43.6(1)“c”(1) to measure DOC and UV254.
SUVA must be determined on water prior to the addition of disinfectants/oxidants
by the system. DOC and UV254 samples used to determine an SUVA value
must be taken at the same time and at the same location.
d. Compliance requirements for disinfection byproduct
precursors.
(1) General requirements. All samples taken and analyzed
under the provisions of this rule must be included in determining compliance,
even if that number is greater than the minimum required.
(2) Compliance determination. Compliance must be determined
as specified by paragraph 43.6(3)“c.” The
department may assign monitoring through an operation permit, or systems may
begin monitoring to determine whether Step 1 TOC removals can be met 12 months
prior to the compliance date for the system. This monitoring is not required
and failure to monitor during this period is not a
violation. However, any system that does not monitor during this period and
then determines in the first 12 months after the compliance date that it is not
able to meet the Step 1 requirements in subparagraph 43.6(3)“b”(2),
and must therefore apply for alternate minimum TOC removal (Step 2)
requirements, is not eligible for retroactive approval of alternate minimum TOC
removal (Step 2) requirements as allowed pursuant to subparagraph
43.6(3)“b”(3) and is in violation. Systems may apply for alternate
minimum TOC removal (Step 2) requirements any time after the compliance date.
For systems required to meet Step 1 TOC removals, if the value calculated under
43.6(3)“c”(1)“4” is less than 1.00, the system is in
violation of the treatment technique requirements and must notify the public
pursuant to 567—42.1(455B), in addition to reporting to the department
pursuant to 567—paragraph 42.4(3)“d.”
e. Reporting requirements for disinfection byproduct
precursors. Systems required to sample quarterly or more frequently must report
to the department within ten days after the end of each quarter in which samples
were collected, notwithstanding the public notification provisions of 567—
42.1(455B). Systems required to sample less frequently than quarterly must
report to the department within ten days after the end of each monitoring period
in which samples were collected. The specific reporting requirements for
disinfection byproduct precursors are listed in
567-subparagraph 42.4(3)“d”(4).
43.6(3) Treatment technique for control of
disinfection byproduct precursors.
a. Applicability.
(1) Systems using surface water or groundwater under the
direct influence of surface water and conventional filtration treatment (as
defined in 567—40.2(455B)) must operate with enhanced coagulation or
enhanced softening to achieve the TOC percent removal levels specified in
paragraph “b” of this subrule unless the system meets at least one
of the alternative compliance criteria listed in subparagraph
43.6(3)“a”(2) or (3).
(2) Alternative compliance criteria for enhanced coagulation
and enhanced softening systems. Systems using surface water or groundwater
under the direct influence of surface water and conventional filtration
treatment may use the alternative compliance criteria in “1” through
“6” below to comply with this subrule in lieu of complying with
paragraph 43.6(3)“b.” Systems must still comply with monitoring
requirements in paragraph 43.6(2)“b.”
1. The system’s source water TOC level, measured
according to subparagraph 43.6(2)“c”(1), is less than 2.0 mg/L,
calculated quarterly as a running annual average.
2. The system’s treated water TOC level, measured
according to subparagraph 43.6(2)“c”(1), is less than 2.0 mg/L,
calculated quarterly as a running annual average.
3. The system’s source water TOC level, measured
according to subparagraph 43.6(2)“c”(1), is less than 4.0 mg/L,
calculated quarterly as a running annual average; the source water alkalinity,
measured according to subparagraph 43.6(2)“c”(1), is greater than 60
mg/L as CaCO3, calculated quarterly as a running annual average; and
either the TTHM and HAA5 running annual averages are no greater than 0.040 mg/L
and 0.030 mg/L, respectively; or prior to the effective date for compliance in
567—subparagraph 41.6(1)“a”(3) and in
43.6(1)“a”(3) and 43.6(2)“a”(3), the system has made a
clear and irrevocable financial commitment not later than the effective date for
compliance in 567—subparagraph 41.6(1)“a”(3) and in
subparagraphs 43.6(1)“a”(3) and 43.6(2)“a”(3), to use of
technologies that will limit the levels of TTHMs and HAA5 to no more than 0.040
mg/L and 0.030 mg/L, respectively. Systems must submit evidence of a clear and
irrevocable financial commitment, in addition to a schedule containing
milestones and periodic progress reports for installation and operation of
appropriate technologies, to the department for approval not later than the
effective date for compliance in 567—subparagraph
41.6(1)“a”(3) and in 43.6(1)“a”(3) and
43.6(2)“a”(3). These technologies must be installed and operating
not later than June 30, 2005. Failure to install and operate these technologies
by the date in the approved schedule will constitute a treatment technique
violation.
4. The TTHM and HAA5 running annual averages are less than or
equal to 0.040 mg/L and 0.030 mg/L, respectively, and the system uses only
chlorine for primary disinfection and maintenance of a residual in the
distribution system.
5. The system’s source water SUVA, prior to any
treatment and measured monthly according to paragraph 43.6(2)“c,” is
less than or equal to 2.0 L/mg–m, calculated quarterly as a running annual
average.
6. The system’s finished water SUVA, measured monthly
according to paragraph 43.6(2)“c,” is less than or equal to 2.0
L/mg–m, calculated quarterly as a running annual average.
(3) Additional alternative compliance criteria for softening
systems. Systems practicing enhanced softening that cannot achieve the TOC
removals required by subparagraph 43.6(3)“b”(2) may use the
alternative compliance criteria in 43.6(3)“a”(3)“1” and
“2” in lieu of complying with paragraph 43.6(3)“b.”
Systems must still comply with monitoring requirements in paragraph
43.6(2)“b.”
1. Softening that lowers the treated water alkalinity to less
than 60 mg/L as CaCO3, measured monthly according to paragraph
43.6(2)“c” and calculated quarterly as a running annual
average.
2. Softening that removes at least 10 mg/L of magnesium
hardness as CaCO3, measured monthly and calculated quarterly as a
running annual average.
b. Enhanced coagulation and enhanced softening performance
requirements.
(1) Systems must achieve the percent reduction of TOC
specified in subparagraph 43.6(3)“b”(2) between the source water and
the combined filter effluent, unless the department approves a system’s
request for alternate minimum TOC removal (Step 2 requirements under
subparagraph 43.6(3)“b”(3)).
(2) Required Step 1 TOC reductions, indicated in the following
table, are based upon specified source water parameters measured in accordance
with paragraph 43.6(2)“c.” Systems using softening are required to
meet the Step 1 TOC reductions in the right–hand column (Source water
alkalinity >120 mg/L) for the specified source water TOC:
Step 1 Required Removal of TOC by Enhanced Coagulation and
Enhanced Softening for Surface Water or IGW Systems Using Conventional
Treatment1,2
Source water TOC, mg/L
|
Source water Alkalinity, mg/L as
CaCO3
|
|
0–60
|
>60–120
|
>1203
|
>2.0 – 4.0
|
35.0 %
|
25.0 %
|
15.0 %
|
>4.0 – 8.0
|
45.0 %
|
35.0 %
|
25.0 %
|
>8.0
|
50.0 %
|
40.0 %
|
30.0 %
|
1Systems meeting at least one
of the conditions in 43.6(3)“a”(2)“1” to “6”
are not required to operate with enhanced coagulation.
2Softening systems meeting one
of the alternative compliance criteria in subparagraph 43.6(3)“a”(3)
are not required to operate with enhanced softening.
3Systems practicing softening
must meet the TOC removal requirements in this column.
(3) Surface water and groundwater under the influence of
surface water systems using conventional treatment that cannot achieve the Step
1 TOC removals required by subparagraph 43.6(3)“b”(2) due to water
quality parameters or operational constraints must apply to the department for
approval of alternative minimum Step 2 TOC removal requirements submitted by the
system within three months of failure to achieve the TOC removals required by
subparagraph 43.6(3)“b”(2). If the department approves the
alternative minimum Step 2 TOC removal requirements, the department may make
those requirements retroactive for the purposes of determining compliance. The
system must meet the Step 1 TOC removals contained in subparagraph
43.6(3)“b”(2) until the department approves the alternate minimum
Step 2 TOC removal requirements.
(4) Alternate minimum Step 2 TOC removal requirements.
Applications made to the department by enhanced coagulation systems for approval
of alternate minimum Step 2 TOC removal requirements under subparagraph
43.6(3)“b”(3) must include, as a minimum, results of
bench–scale or pilot–scale testing conducted under
43.6(3)“b”(4)“1” below and used to determine the
alternate enhanced coagulation level.
1. Alternate enhanced coagulation level. Alternate enhanced
coagulation level is defined as coagulation at a coagulant dose and pH as
determined by the method described in 43.6(3)“b”(4)“1”
to “5” such that an incremental addition of 10 mg/L of alum (or
equivalent amount of ferric salt) results in a TOC removal of less than or equal
to 0.3 mg/L. The percent removal of TOC at this point on the “TOC removal
versus coagulant dose” curve is then defined as the minimum TOC removal
required for the system. Once approved by the department, this minimum
requirement supersedes the minimum TOC removal required by the table in
subparagraph 43.6(3)“b”(2). This requirement will be effective
until such time as the department approves a new value based on the results of a
new bench–scale or pilot–scale test. Failure to achieve
department–set alternative minimum TOC removal levels is a treatment
technique violation.
2. Bench–scale or pilot–scale testing of enhanced
coagulation must be conducted by using representative water samples and adding
10 mg/L increments of alum (or equivalent amounts of ferric salt) until the pH
is reduced to a level less than or equal to the enhanced coagulation Step 2
target pH shown in the following table:
Enhanced Coagulation Step 2 Target pH
Alkalinity (mg/L as CaCO3)
|
Target pH
|
0–60
|
5.5
|
>60–120
|
6.3
|
>120–240
|
7.0
|
>240
|
7.5
|
3. For waters with alkalinities of less than 60 mg/L for which
addition of small amounts of alum or equivalent addition of iron coagulant
drives the pH below 5.5 before significant TOC removal occurs, the system must
add necessary chemicals to maintain the pH between 5.3 and 5.7 in samples until
the TOC removal of 0.3 mg/L per 10 mg/L alum added (or equivalent addition of
iron coagulant) is reached.
4. The system may operate at any coagulant dose or pH
necessary (consistent with other public drinking water rules in
567—Chapters 41 through 43) to achieve the minimum TOC percent removal
approved under subparagraph 43.6(3)“b”(3).
5. If the TOC removal is consistently less than 0.3 mg/L of
TOC per 10 mg/L of incremental alum dose at all dosages of alum (or equivalent
addition of iron coagulant), the water is deemed to contain TOC not amenable to
enhanced coagulation. The system may then apply to the department for a waiver
of enhanced coagulation requirements.
c. Compliance calculations.
(1) Surface water or groundwater under the influence of
surface water systems other than those identified in subparagraph
43.6(3)“a”(2) or (3) must comply with requirements contained in
subparagraph 43.6(3)“b”(2) or (3). Systems must calculate
compliance quarterly, beginning after the system has collected 12 months of
data, by determining an annual average using the following method:
1. Step 1: Determine actual monthly TOC percent removal using
the following equation, to two decimal places:
Actual monthly TOC percent removal
|
=
|
1
|
-
|
(
|
treated water TOC
|
)
|
?
|
100
|
|
|
|
|
|
source water TOC
|
|
|
|
2. Step 2: Determine the required monthly TOC percent removal
from either subparagraph 43.6(3)“b”(2) or (3).
3. Step 3: Divide the “actual monthly TOC percent
removal” value (from Step 1) by the “required monthly TOC percent
removal” value (from Step 2). Determine this value for each of the last
12 months.
Monthly percent removal ratio
|
=
|
actual monthly TOC percent removal
|
|
|
required monthly TOC percent removal
|
4. Step 4: Add together the “monthly percent removal
ratio” values from Step 3 for each of the last 12 months and divide by 12,
to determine the annual average value.
Annual average
|
=
|
S monthly percent removal
ratio
|
|
|
12
|
5. Step 5: If the “annual average” value
calculated in Step 4 is less than 1.00, the system is not in compliance with the
TOC percent removal requirements.
(2) Systems may use the provisions in
43.6(3)“c”(2)“1” through “5” in lieu of the
calculations in 43.6(3)“c”(1)“1” through “5”
to determine compliance with TOC percent removal requirements.
1. In any month that the system’s treated or source
water TOC level, measured according to 567—subparagraph
46.3(2)“c”(1), is less than 2.0 mg/L, the system may assign a
monthly value of 1.0 (in lieu of the value calculated in
43.6(3)“c”(1)“3” when calculating compliance under the
provisions of 43.6(3)“c”(1).
2. In any month that a system practicing softening removes at
least 10 mg/L of magnesium hardness as CaCO3, the system may assign a
monthly value of 1.0 (in lieu of the value calculated in
43.6(3)“c”(1)“3”) when calculating compliance under the
provisions of subparagraph 43.6(3)“c”(1).
3. In any month that the system’s source water SUVA,
prior to any treatment and measured according to 43.6(2)“c”(2), is
less than or equal to 2.0 L/mg–m, the system may assign a monthly value of
1.0 (in lieu of the value calculated in
43.6(3)“c”(1)“3”) when calculating compliance under the
provisions of subparagraph 43.6(3)“c”(1).
4. In any month that the system’s finished water SUVA,
measured according to 43.6(2)“c”(2), is less than or equal to 2.0
L/mg–m, the system may assign a monthly value of 1.0 (in lieu of the value
calculated in 43.6(3)“c”(1)“3”) when calculating
compliance under the provisions of subparagraph
43.6(3)“c”(1).
5. In any month that a system using enhanced softening lowers
alkalinity below 60 mg/L as CaCO3, the system may assign a monthly
value of 1.0 (in lieu of the value calculated in
43.6(3)“c”(1)“3”) when calculating compliance under the
provisions of subparagraph 43.6(3)“c”(1).
(3) Surface water or groundwater under the direct influence of
surface water systems using conventional treatment may also comply with the
requirements of this subrule by meeting the criteria in subparagraph
43.6(3)“a”(2) or (3).
d. Treatment technique requirements for disinfection byproduct
precursors. The treatment techniques to control the level of disinfection
byproduct precursors in drinking water treatment and distribution systems, for
surface water or groundwater under the direct influence of surface water systems
using conventional filtration treatment, are enhanced coagulation or enhanced
softening.
ITEM 93. Amend subrule 43.7(1),
paragraph “b,” as follows:
b. Optimum corrosion control. A public water supply system
has optimized corrosion control and is not required to complete the applicable
corrosion control treatment steps identified in this subrule if the system
satisfies one of the following criteria:
(1) A small or medium–size water supply system has
optimized corrosion control if the system meets the lead and copper action
levels during each of two consecutive six–month monitoring
periods., conducted in accordance with
567-
paragraph 41.4(1)“c.”
(2) Any public water supply system may be deemed to have
optimized corrosion control treatment if the system demonstrates to the
satisfaction of the department that it has conducted activities equivalent
to the corrosion control steps applicable to such system under this subrule. If
the department makes this determination, it shall provide the water supply
system with written notice explaining the basis for its decision and shall
specify the water quality control parameters representing optimal corrosion
control in accordance with 43.7(2)“f.” A system shall provide the
department with the following information in order to support a determination
under this paragraph:
1. to 4. No change.
(3) Any water system has optimized corrosion control if it
submits results of tap water monitoring conducted in accordance with
567—paragraph 41.4(1)“c” and source water monitoring conducted
in accordance with 567—paragraph 41.4(1)“e” that demonstrate
for two consecutive six–month monitoring periods that the difference
between the 90th percentile tap water lead level computed under
567—paragraph subparagraph
41.4(1)“b”(3) and the highest source water lead
concentration, is less than the practical quantitation level
for lead specified in 567—paragraph 41.4(1)“g.”
ITEM 94. Amend subrule 43.7(1),
paragraph “c,” as follows:
c. Recommence corrosion control. Any small or
medium–size water system that is required to complete the corrosion
control steps due to its exceedance of the lead or copper action level may cease
completing the treatment steps whenever the system meets both action levels
during each of two consecutive monitoring periods conducted pursuant to
567—paragraph 41.4(1)“c” and submits the results to the
department. If any such water system thereafter exceeds the lead or copper
action level during any monitoring period, the system shall recommence
completion of the applicable treatment steps, beginning with the first treatment
step which was not previously completed in its entirety. The department may
require a system to repeat treatment steps previously completed by the system
where when it is determined by the
department that this is necessary to
implement properly the treatment requirements of this rule. The department will
notify the system in writing of such a determination and explain the basis for
its decision. The requirement for any small or medium–size system to
implement corrosion control treatment steps in accordance with
43.7(1)“e” (including systems deemed to have optimized corrosion
control under 43.7(1)“b”(1)) is triggered whenever any small or
medium–size system exceeds the lead or copper action level.
ITEM 95. Amend subrule 43.7(2),
paragraph “c,” subparagraph (4), as follows:
(4) The public water supply system shall identify all chemical
or physical constraints that limit or prohibit the use of a particular corrosion
control treatment and outline such constraints with the following: data and
documentation showing that a particular corrosion control treatment has
adversely affected other water treatment processes when used by another water
system with comparable water quality characteristics; or data and
documentation demonstrating that the water system has previously attempted
to evaluate a particular corrosion control treatment and has found that the
treatment is ineffective or adversely affects other water quality treatment
processes.
ITEM 96. Amend subrule 43.7(2),
paragraph “h,” as follows:
h. Modification of department treatment decisions. A
determination of the optimal corrosion control treatment under
43.7(2)“d” or optimal water quality control parameters under
43.7(2)“f” may be modified. A request for modification by a public
water supply system or other interested party shall be in writing, explain why
the modification is appropriate, and provide supporting documentation.
The department may modify its determination where when
it concludes that such change is necessary to ensure that the public water
supply system continues to optimize corrosion control treatment. A revised
determination will be made in writing, which will set forth the new treatment
requirements, explain the basis for the decision, and provide an implementation
schedule for completing the treatment modifications.
ITEM 97. Amend subrule 43.7(3),
paragraph “b,” subparagraph (2), as follows:
(2) Source water treatment determinations. The department
will complete an evaluation of the results of all source water samples submitted
by the public water supply system to determine whether source water treatment is
necessary to minimize lead or copper levels in water delivered to
user users’ taps. If the department determines
that treatment is needed, the department will require installation and operation
of the source water treatment recommended by the public water supply system or
require the installation and operation of another source water treatment from
among the following: ion exchange, reverse osmosis, lime softening
orcoagulation/filtration. If the department requests additional information to
aid in its review, the water system shall provide the information by the date
specified in its request. The department will notify the system in writing of
its determination and set forth the basis for its decision.
ITEM 98. Amend subrule 43.7(4),
paragraph “d,” as follows:
d. Lead service line control. A public water supply system
shall replace the entire service line (up to the building inlet) unless it
demonstrates to the satisfaction of the department under paragraph
43.7(4)“e” that it controls less than the entire service line.
In such cases, the system shall replace the portion of the line which the
department determines is under the system’s control. The system shall
notify the user served by the line that the system will replace the portion of
the service line under its control and shall offer to replace the building
owner’s portion of the line, but is not required to bear the cost of
replacing the building owner’s portion of the line. For buildings where
only a portion of the lead service line is replaced, the water system shall
inform the resident(s) that the system will collect a first flush tap water
sample after partial replacement of the service line is completed if the
resident(s) so desires. In cases where the resident(s) accepts the offer, the
system shall collect the sample and report the results to the resident(s) within
14 days following partial lead service line replacement.
ITEM 99. Amend 567—Chapter 43 by
adopting the following new rule:
567—43.9(455B) Enhanced filtration and disinfection
requirements for surface water and IGW systems serving at least 10,000
people.
43.9(1) General requirements.
a. Applicability. The requirements of this rule constitute
national primary drinking water regulations. This rule establishes the
filtration and disinfection requirements that are in addition to criteria under
which filtration and disinfection are required in 43.5(455B). The requirements
of this rule are applicable, beginning January 1, 2002, to all public water
systems using surface water or groundwater under the direct influence of surface
water, in whole or in part, and which serve at least 10,000 people. This rule
establishes or extends treatment technique requirements in lieu of maximum
contaminant levels for the following contaminants: Giardia lamblia, viruses,
heterotrophic plate count bacteria, Legionella, Cryptosporidium, and turbidity.
Each surface water or groundwater under the direct influence of a surface water
system serving at least 10,000 people must provide treatment of its source water
that complies with these treatment technique requirements and are in addition to
those identified in subrule 43.5(1). The treatment technique requirements
consist of installing and properly operating water treatment processes that
reliably achieve:
(1) At least 99 percent (2–log) removal of
Cryptosporidium between a point where the raw water is not subject to
recontamination by surface water runoff and a point downstream before or at the
first customer for filtered systems.
(2) Compliance with the profiling and benchmark requirements
under subrule 43.9(2).
(3) The department may require other surface water or
groundwater under the direct influence of surface water systems to comply with
this rule, through an operation permit.
b. Compliance determination. A public water system subject to
the requirements of this rule is considered to be in compliance with the
requirements of paragraph 43.9(1)“a” if it meets the applicable
filtration requirements in either subrule 43.5(3) or 43.9(3) and the
disinfection requirements in subrules 43.5(2) and 43.6(2).
c. Prohibition of uncovered intermediate or finished water
reservoirs new construction. Systems are not permitted to begin construction of
uncovered intermediate or finished water storage facilities.
43.9(2) Disinfection profiling and
benchmarking.
a. Determination of systems required to profile. A public
water system subject to the requirements of this rule must determine its total
trihalomethane (TTHM) and haloacetic acid (HAA5) annual averages using the
procedures listed below. The annual average is the arithmetic average of the
quarterly averages of four consecutive quarters of monitoring. Both the TTHM
and HAA5 samples must be collected as paired samples during the same time period
in order for each parameter to have the same annual average period for result
comparison. A paired sample is one that is collected at the same location and
time and is analyzed for both TTHM and HAA5 parameters.
(1) Allowance of information collection rule data. Those
systems that collected data under the provisions of the federal Information
Collection Rule listed in Code of Federal Regulations Title 40, Part 141,
Subpart M, must use the results of the TTHM and HAA5 samples collected during
the last four quarters of monitoring required under 40 CFR 141.142. The system
must have submitted the results of the samples collected during the last 12
months of required monitoring.
(2) Systems that have not collected TTHM and HAA5 data under
43.9(2)“a”(1). Those systems that have not collected four
consecutive quarters of paired TTHM and HAA5 samples as described under
subparagraph 43.9(2)“a”(1) must comply with all other provisions of
this subrule as if the HAA5 monitoring had been conducted and the results of
that monitoring required compliance with paragraph 43.9(2)“b.” The
system that elects this option must notify the department in writing of its
decision.
(3) The department may require that a system use a more
representative annual data set than the data set determined under
567-subparagraph 42.9(2)“a”(1) for the
purpose of determining applicability of the requirements of this
subrule.
(4) Profiling determination criteria. Any system having
either a TTHM annual average greater than 0.064 mg/L or an HAA5 annual average
greater than 0.048 mg/L during the period identified in subparagraphs
43.9(2)“a”(1) through (3) must comply with paragraph
43.9(2)“b.”
b. Disinfection profiling.
(1) Applicability. Any system that meets the criteria in
subparagraph 43.9(2)“a”(4) must develop a disinfection profile of
its disinfection practice for a period of up to three years.
(2) Monitoring requirements. The system must monitor daily
for a period of 12 consecutive calendar months to determine the total logs of
inactivation for each day of operation, based on the CT99.9 values in
Tables 1 through 8 in Appendix A, as appropriate, through the entire treatment
plant. This system must begin this monitoring as directed by the department.
As a minimum, the system with a single point of disinfectant application prior
to entrance to the distribution system must conduct the monitoring in
43.9(2)“b”(2)“1” through “4.” A system with
more than one point of disinfectant application must conduct the monitoring in
43.9(2)“b”(2)“1” through “4” for each
disinfection segment. The system must monitor the parameters necessary to
determine the total inactivation ratio, using analytical methods in paragraph
43.5(4)“a” as follows:
1. The temperature of the disinfected water must be measured
once per day at each residual disinfectant concentration sampling point during
peak hourly flow.
2. If the system uses chlorine, the pH of the disinfected
water must be measured once per day at each chlorine residual disinfectant
concentration sampling point during peak hourly flow.
3. The disinfectant contact time(s) (“T”) must be
determined for each day during peak hourly flow.
4. The residual disinfectant concentration(s)
(“C”) of the water before or at the first customer and prior to each
additional point of disinfection must be measured each day during peak hourly
flow.
(3) Use of existing data. A system that has existing
operational data may use those data to develop a disinfection profile for
additional years, in addition to the disinfection profile generated under
subparagraph 43.9(2)“b”(2). Such systems may use these additional
yearly disinfection profiles to develop a benchmark under the provisions of
paragraph 43.9(2)“c.” The department must determine whether these
operational data are substantially equivalent to data collected under the
provisions of subparagraph 43.9(2)“b”(2). These data must also be
representative of inactivation through the entire treatment plant and not just
of certain treatment segments.
(4) Calculation of the total inactivation ratio. The system
must calculate the total inactivation ratio as follows, using the
CT99.9 values from Tables 1 through 8 listed in Appendix A:
1. If the system uses only one point of disinfectant
application, the system may determine the total inactivation ratio for the
disinfection segment based on either of the following two methods:
• Determine one inactivation
ratio (CTcalc/CT99.9) before or at the first customer during peak
hourly flow.
• Determine successive
CTcalc/CT99.9 values, representing sequential inactivation ratios,
between the point of disinfectant application and a point before or at the first
customer during peak hourly flow. Under this alternative, the system must
calculate the total inactivation ratio by determining (CTcalc/CT99.9)
for each sequence and then adding the (CTcalc/CT99.9) values together
to determine
Σ(CTcalc/CT99.9).
2. If the system uses more than one point of disinfectant
application before the first customer, the system must determine the CT value of
each disinfection segment immediately prior to the next point of disinfectant
application, or for the final segment, before or at the first customer, during
peak hourly flow. The CTcalc/CT99.9 value of each segment and
Σ(CTcalc/CT99.9) must be calculated
using the method in 43.9(2)“b”(4)“1.”
3. The system must determine the total logs of inactivation by
multiplying the value calculated in 43.9(2)“b”(4)“1” or
“2” by 3.0.
(5) Systems using chloramines or ozone. A system that uses
either chloramines or ozone for primary disinfection must also calculate the
logs of inactivation for viruses using a method approved by the
department.
(6) Profile retention requirements. The system must retain
disinfection profile data in graphic form, as a spreadsheet, or in some other
format acceptable to the department for review as part of sanitary surveys
conducted by the department. The department may require the system to submit
the data to the department directly or as part of a monthly operation
report.
c. Disinfection benchmarking.
(1) Significant change to disinfection practice. Any system
required to develop a disinfection profile under the provisions of paragraph
43.9(2)“a” or “b” that decides to make a significant
change to its disinfection practice must obtain department approval prior to
making such change. Significant changes to disinfection practice are:
1. Changes to the point of disinfection;
2. Changes to the disinfectant(s) used in the treatment
plant;
3. Changes to the disinfection process; and
4. Any other modification identified by the
department.
(2) Calculation of the disinfection benchmark. Any system
that is modifying its disinfection practice must calculate its disinfection
benchmark using the procedure specified below:
1. For each year of profiling data collected and calculated
under paragraph 43.9(2)“b,” the system must determine the lowest
average monthly Giardia lamblia inactivation in each year of profiling data.
The system must determine the average Giardia lamblia inactivation for each
calendar month for each year of profiling data by dividing the sum of daily
Giardia lamblia inactivation by the number of values calculated for that
month.
2. The disinfection benchmark is the lowest monthly average
value (for systems with one year of profiling data) or average of lowest monthly
average values (for systems with more than one year of profiling data) of the
monthly logs of Giardia lamblia inactivation in each year of profiling data.
(3) A system that uses either chloramines or ozone for primary
disinfection must also calculate the disinfection
benchmark for viruses using a method approved by the department.
(4) The system must submit the following information to the
department as part of its consultation process:
1. A description of the proposed change;
2. The disinfection profile for Giardia lamblia (and, if
necessary, viruses) under paragraph 43.9(2)“b” and the disinfection
benchmark as required by subparagraph 43.9(2)“c”(2); and
3. An analysis of how the proposed change will affect the
current levels of disinfection.
43.9(3) Filtration.
a. Conventional filtration treatment or direct filtration.
(1) Turbidity requirement in 95 percent of samples. For
systems using conventional filtration or direct filtration, the turbidity level
of representative samples of a system’s filtered water must be less than
or equal to 0.3 NTU in at least 95 percent of the measurements taken each month,
measured as specified in subparagraphs 43.5(4)“a”(1) and
43.5(4)“b”(1).
(2) Maximum turbidity level. The turbidity level of
representative samples of a system’s filtered water must at no time exceed
1 NTU, measured as specified in subparagraphs 43.5(4)“a”(1) and
43.5(4)“b”(1).
(3) Systems with lime–softening treatment. A system
that uses lime softening may acidify representative samples prior to analysis
using a protocol approved by the department.
b. Filtration technologies other than conventional filtration
treatment, direct filtration, slow sand filtration, or diatomaceous earth
filtration. The department may allow a public water system to use a filtration
technology not listed in paragraph 43.9(3)“a” or
43.5(3)“c” or “d” if it demonstrates to the department,
using pilot plant studies or other means, that the alternative filtration
technology, in combination with disinfection treatment that meets the
requirements of subrule 43.5(2), consistently achieves 99.9 percent removal or
inactivation of Giardia lamblia cysts, 99.99 percent removal or inactivation of
viruses, and 99 percent removal of Crypto–sporidium oocysts and the
department approves the use of the filtration technology. For each approval,
the department will set turbidity performance requirements that the system must
meet at least 95 percent of the time and the requirement that the system may not
exceed at any time at a level that consistently achieves 99.9 percent removal or
inactivation of Giardia lamblia cysts, 99.99 percent removal or inactivation of
viruses, and 99 percent removal of Cryptosporidium oo–cysts.
43.9(4) Filtration sampling requirements.
a. Monitoring requirements for systems using filtration
treatment. In addition to monitoring required by subrule 43.5(4), a public
water system subject to the requirements of this rule that provides conventional
filtration treatment or direct filtration must conduct continuous monitoring of
turbidity for each individual filter using an approved method in subparagraph
43.5(4)“a”(1) and must calibrate turbidimeters using the procedure
specified by the manufacturer. Systems must record the results of individual
filter monitoring every 15 minutes.
b. Failure of the continuous turbidity monitoring equipment.
If there is a failure in the continuous turbidity monitoring equipment, the
system must conduct grab sampling every four hours in lieu of continuous
monitoring until the turbidimeter is repaired and back online. A system has a
maximum of five working days after failure to repair the equipment, or else it
is in violation.
43.9(5) Reporting and record–keeping
requirements. In addition to the reporting and record–keeping
requirements in 567-paragraph 42.4(3)“c,”
a system subject to the requirements of this rule that provides conventional
filtration treatment or direct filtration must report monthly to the department
the information specified in paragraphs 43.9(5)“a” and
“b” beginning January 1, 2002. In addition to the reporting and
record–keeping requirements in 567-paragraph
42.4(3)“c,” a system subject to the requirements of this rule that
provides filtration approved under paragraph 43.9(3)“b” must report
monthly to the department the information specified in paragraph
43.9(5)“a” beginning January 1, 2002. The reporting in paragraph
43.9(5)“a” is in lieu of the reporting specified in
567-subparagraph 42.4(3)“c”(1).
a. Turbidity. Turbidity measurements as required by subrule
43.9(3) must be reported in a format acceptable to the department and within ten
days after the end of each month that the system serves water to the public.
Information that must be reported includes:
(1) The total number of filtered water turbidity measurements
taken during the month;
(2) The number and percentage of filtered water turbidity
measurements taken during the month which are less than or equal to the
turbidity limits specified in paragraph 43.9(3)“a” or
“b”; and
(3) The date and value of any turbidity measurements taken
during the month which exceed 1 NTU for systems using conventional filtration
treatment or direct filtration or which exceed the maximum level set by the
department under paragraph 43.9(3)“b.”
b. Individual filter turbidity monitoring. Systems must
maintain the results of individual filter turbidity monitoring taken under
subrule 43.9(4) for at least three years. Systems must report to the department
that they have conducted individual filter turbidity monitoring under subrule
43.9(4) within ten days after the end of each month that the system serves water
to the public. Systems must report to the department individual filter
turbidity measurement results taken under subrule 43.9(4) within ten days after
the end of each month that the system serves water to the public only if
measurements demonstrate one or more of the conditions specified in
subparagraphs 43.9(5)“b”(1) through (4). Systems that use lime
softening may apply to the department for alternative exceedance levels for the
levels specified in subparagraphs 43.9(5)“b”(1) through (4) if they
can demonstrate that higher turbidity levels in individual filters are due to
lime carryover only and not due to degraded filter performance.
(1) For any individual filter that has a measured turbidity
level of greater than 1.0 NTU in two consecutive measurements taken 15 minutes
apart, the system must report the filter number, the turbidity measurement, and
the date(s) on which the exceedance occurred. In addition, the system must
either produce a filter profile for the filter within seven days of the
exceedance (if the system is not able to identify an obvious reason for the
abnormal filter performance) and report that the profile has been produced or
report the obvious reason for the exceedance.
(2) For any individual filter that has a measured turbidity
level of greater than 0.5 NTU in two consecutive measurements taken 15 minutes
apart at the end of the first four hours of continuous filter operation after
the filter has been backwashed or otherwise taken offline, the system must
report the filter number, the turbidity, and the date(s) on which the exceedance
occurred. In addition, the system must either produce a filter profile for the
filter within seven days of the exceedance (if the system is not able to
identify an obvious reason for the abnormal filter performance) and report that
the profile has been produced or report the obvious reason for the
exceedance.
(3) For any individual filter that has a measured turbidity
level of greater than 1.0 NTU in two consecutive measurements taken 15 minutes
apart at any time in each month of three consecutive months, the system must
report the filter number, the turbidity measurement, and the date(s) on which
the exceedance occurred. In addition, the system must conduct a
self–assessment of the filter within 14 days of the exceedance and report
that the self–assessment was conducted. The self–assessment must
consist of at least the following components: assessment of filter performance;
development of a filter profile; identification and prioritization of factors
limiting filter performance; assessment of the applicability of corrections; and
preparation of a filter self–assessment report.
(4) For any individual filter that has a measured turbidity
level of greater than 2.0 NTU in two consecutive measurements taken 15 minutes
apart at any time in each month of two consecutive months, the system must
report the filter number, the turbidity measurement, and the date(s) on which
the exceedance occurred. In addition, the system must arrange for a
comprehensive performance evaluation to be conducted by the department or a
third party approved by the department no later than 30 days following the
exceedance and have the evaluation completed and submitted to the department no
later than 90 days following the exceedance.
c. Additional reporting requirement for turbidity combined
filter effluent.
(1) If at any time the turbidity exceeds 1 NTU in
representative samples of filtered water in a system using conventional
filtration treatment or direct filtration, the system must inform the department
as soon as possible, but no later than the end of the next business
day.
(2) If at any time the turbidity in representative samples of
filtered water exceeds the maximum level set by the department under paragraph
43.9(3)“b” for filtration technologies other than conventional
filtration treatment, direct filtration, slow sand filtration, or diatomaceous
earth filtration, the system must inform the department as soon as possible, but
no later than the end of the next business day.
ITEM 100. Amend 567—Chapter
43 by adopting the following new Appendix A:
APPENDIX A: CT99.9 TABLES FOR DISINFECTION
PROFILING
TABLE 1: CT Values (CT99.9) for 99.9 Percent
Inactivation of Giardia Lamblia Cysts by Free Chlorine at
0.5_C or
Lower1
Free Residual
|
pH
|
Chlorine, mg/L
|
?6.0
|
6.5
|
7.0
|
7.5
|
8.0
|
8.5
|
?9.0
|
?0.4
|
137
|
163
|
195
|
237
|
277
|
329
|
390
|
0.6
|
141
|
168
|
200
|
239
|
286
|
342
|
407
|
0.8
|
145
|
172
|
205
|
246
|
295
|
354
|
422
|
1.0
|
148
|
176
|
210
|
253
|
304
|
365
|
437
|
1.2
|
152
|
180
|
215
|
259
|
313
|
376
|
451
|
1.4
|
155
|
184
|
221
|
266
|
321
|
387
|
464
|
1.6
|
157
|
189
|
226
|
273
|
329
|
397
|
477
|
1.8
|
162
|
193
|
231
|
279
|
338
|
407
|
489
|
2.0
|
165
|
197
|
236
|
286
|
346
|
417
|
500
|
2.2
|
169
|
201
|
242
|
297
|
353
|
426
|
511
|
2.4
|
172
|
205
|
247
|
298
|
361
|
435
|
522
|
2.6
|
175
|
209
|
252
|
304
|
368
|
444
|
533
|
2.8
|
178
|
213
|
257
|
310
|
375
|
452
|
543
|
3.0
|
181
|
217
|
261
|
316
|
382
|
460
|
552
|
1These CT values achieve
greater than a 99.99 percent inactivation of viruses. Any CT values between the
indicated pH values may be determined by linear interpolation. Any CT values
between the indicated temperatures of different tables may be determined by
linear interpolation. If no interpolation is used, use the CT99.9
value at the lower temperature and at the higher pH.
TABLE 2: CT Values (CT99.9) for 99.9 Percent
Inactivation of Giardia Lamblia Cysts by Free Chlorine at
5.0_C1
Free Residual
|
pH
|
Chlorine, mg/L
|
?6.0
|
6.5
|
7.0
|
7.5
|
8.0
|
8.5
|
?9.0
|
?0.4
|
97
|
117
|
139
|
166
|
198
|
236
|
279
|
0.6
|
100
|
120
|
143
|
171
|
204
|
244
|
291
|
0.8
|
103
|
122
|
146
|
175
|
210
|
252
|
301
|
1.0
|
105
|
125
|
149
|
179
|
216
|
260
|
312
|
1.2
|
107
|
127
|
152
|
183
|
221
|
267
|
320
|
1.4
|
109
|
130
|
155
|
187
|
227
|
274
|
329
|
1.6
|
111
|
132
|
158
|
192
|
232
|
281
|
337
|
1.8
|
114
|
135
|
162
|
196
|
238
|
287
|
345
|
2.0
|
116
|
138
|
165
|
200
|
243
|
294
|
353
|
2.2
|
118
|
140
|
169
|
204
|
248
|
300
|
361
|
2.4
|
120
|
143
|
172
|
209
|
253
|
306
|
368
|
2.6
|
122
|
146
|
175
|
213
|
258
|
312
|
375
|
2.8
|
124
|
148
|
178
|
217
|
263
|
318
|
382
|
3.0
|
126
|
151
|
182
|
221
|
268
|
324
|
389
|
1These CT values achieve
greater than a 99.99 percent inactivation of viruses. Any CT values between the
indicated pH values may be determined by linear interpolation. Any CT values
between the indicated temperatures of different tables may be determined by
linear interpolation. If no interpolation is used, use the CT99.9
value at the lower temperature and at the higher pH.
TABLE 3: CT Values (CT99.9) for 99.9 Percent
Inactivation of Giardia Lamblia Cysts by Free Chlorine at
10.0_C1
Free Residual
|
pH
|
Chlorine, mg/L
|
?6.0
|
6.5
|
7.0
|
7.5
|
8.0
|
8.5
|
?9.0
|
?0.4
|
73
|
88
|
104
|
125
|
149
|
177
|
209
|
0.6
|
75
|
90
|
107
|
128
|
153
|
183
|
218
|
0.8
|
78
|
92
|
110
|
131
|
158
|
189
|
226
|
1.0
|
79
|
94
|
112
|
134
|
162
|
195
|
234
|
1.2
|
80
|
95
|
114
|
137
|
166
|
200
|
240
|
1.4
|
85
|
98
|
116
|
140
|
170
|
206
|
247
|
1.6
|
83
|
99
|
119
|
144
|
174
|
211
|
253
|
1.8
|
86
|
101
|
122
|
147
|
179
|
215
|
259
|
2.0
|
87
|
104
|
124
|
150
|
182
|
221
|
265
|
2.2
|
89
|
105
|
127
|
153
|
186
|
225
|
271
|
2.4
|
90
|
107
|
129
|
157
|
190
|
230
|
276
|
2.6
|
92
|
110
|
131
|
160
|
194
|
234
|
281
|
2.8
|
93
|
111
|
134
|
163
|
197
|
239
|
287
|
3.0
|
95
|
113
|
137
|
166
|
201
|
243
|
292
|
1These CT values achieve
greater than a 99.99 percent inactivation of viruses. Any CT values between the
indicated pH values may be determined by linear interpolation. Any CT values
between the indicated temperatures of different tables may be determined by
linear interpolation. If no interpolation is used, use the CT99.9
value at the lower temperature and at the higher pH.
TABLE 4: CT Values (CT99.9) for 99.9 Percent
Inactivation of Giardia Lamblia Cysts by Free Chlorine at
15.0_C1
Free Residual
|
pH
|
Chlorine, mg/L
|
?6.0
|
6.5
|
7.0
|
7.5
|
8.0
|
8.5
|
?9.0
|
?0.4
|
49
|
59
|
70
|
83
|
99
|
118
|
140
|
0.6
|
50
|
60
|
72
|
86
|
102
|
122
|
146
|
0.8
|
52
|
61
|
73
|
88
|
105
|
126
|
151
|
1.0
|
53
|
63
|
75
|
90
|
108
|
130
|
156
|
1.2
|
54
|
64
|
76
|
92
|
111
|
134
|
160
|
1.4
|
55
|
65
|
78
|
94
|
114
|
137
|
165
|
1.6
|
56
|
66
|
79
|
96
|
116
|
141
|
169
|
1.8
|
57
|
68
|
81
|
98
|
119
|
144
|
173
|
2.0
|
58
|
69
|
83
|
100
|
122
|
147
|
177
|
2.2
|
59
|
70
|
85
|
102
|
124
|
150
|
181
|
2.4
|
60
|
72
|
86
|
105
|
127
|
153
|
184
|
2.6
|
61
|
73
|
88
|
107
|
129
|
156
|
188
|
2.8
|
62
|
74
|
89
|
109
|
132
|
159
|
191
|
3.0
|
63
|
76
|
91
|
111
|
134
|
162
|
195
|
1These CT values achieve
greater than a 99.99 percent inactivation of viruses. Any CT values between the
indicated pH values may be determined by linear interpolation. Any CT values
between the indicated temperatures of different tables may be determined by
linear interpolation. If no interpolation is used, use the CT99.9
value at the lower temperature and at the higher pH.
TABLE 5: CT Values (CT99.9) for 99.9 Percent
Inactivation of Giardia Lamblia Cysts by Free Chlorine at
20.0_C1
Free Residual
|
pH
|
Chlorine, mg/L
|
?6.0
|
6.5
|
7.0
|
7.5
|
8.0
|
8.5
|
?9.0
|
?0.4
|
36
|
44
|
52
|
62
|
74
|
89
|
105
|
0.6
|
38
|
45
|
54
|
64
|
77
|
92
|
109
|
0.8
|
39
|
46
|
55
|
66
|
79
|
95
|
113
|
1.0
|
39
|
47
|
56
|
67
|
81
|
98
|
117
|
1.2
|
40
|
48
|
57
|
69
|
83
|
100
|
120
|
1.4
|
41
|
49
|
58
|
70
|
85
|
103
|
123
|
1.6
|
42
|
50
|
59
|
72
|
87
|
105
|
126
|
1.8
|
43
|
51
|
61
|
74
|
89
|
108
|
129
|
2.0
|
44
|
52
|
62
|
75
|
91
|
110
|
132
|
2.2
|
44
|
53
|
63
|
77
|
93
|
113
|
135
|
2.4
|
45
|
54
|
65
|
78
|
95
|
115
|
138
|
2.6
|
46
|
55
|
66
|
80
|
97
|
117
|
141
|
2.8
|
47
|
56
|
67
|
81
|
99
|
119
|
143
|
3.0
|
47
|
57
|
68
|
83
|
101
|
122
|
146
|
1These CT values achieve
greater than a 99.99 percent inactivation of viruses. Any CT values between the
indicated pH values may be determined by linear interpolation. Any CT values
between the indicated temperatures of different tables may be determined by
linear interpolation. If no interpolation is used, use the CT99.9
value at the lower temperature and at the higher pH.
TABLE 6: CT Values (CT99.9) for 99.9 Percent
Inactivation of Giardia Lamblia Cysts
by Free Chlorine at
25.0_C and
Higher1
Free Residual
|
pH
|
Chlorine, mg/L
|
?6.0
|
6.5
|
7.0
|
7.5
|
8.0
|
8.5
|
?9.0
|
?0.4
|
24
|
29
|
35
|
42
|
50
|
59
|
70
|
0.6
|
25
|
30
|
36
|
43
|
51
|
61
|
73
|
0.8
|
26
|
31
|
37
|
44
|
53
|
63
|
75
|
1.0
|
26
|
31
|
37
|
45
|
54
|
65
|
78
|
1.2
|
27
|
32
|
38
|
46
|
55
|
67
|
80
|
1.4
|
27
|
33
|
39
|
47
|
57
|
69
|
82
|
1.6
|
28
|
33
|
40
|
48
|
58
|
70
|
84
|
1.8
|
29
|
34
|
41
|
49
|
60
|
72
|
86
|
2.0
|
29
|
35
|
41
|
50
|
61
|
74
|
88
|
2.2
|
30
|
35
|
42
|
51
|
62
|
75
|
90
|
2.4
|
30
|
36
|
43
|
52
|
63
|
77
|
92
|
2.6
|
31
|
37
|
44
|
53
|
65
|
78
|
94
|
2.8
|
31
|
37
|
45
|
54
|
66
|
80
|
96
|
3.0
|
32
|
38
|
46
|
55
|
67
|
81
|
97
|
1These CT values achieve
greater than a 99.99 percent inactivation of viruses. Any CT values between the
indicated pH values may be determined by linear interpolation. Any CT values
between the indicated temperatures of different tables may be determined by
linear interpolation. If no interpolation is used, use the CT99.9
value at the lower temperature and at the higher pH.
TABLE 7: CT Values (CT99.9) for 99.9 Percent
Inactivation of Giardia Lamblia Cysts by Chlorine Dioxide and
Ozone1
|
Temperature, _C
|
Disinfectant
|
<1
|
5
|
10
|
15
|
20
|
?25
|
Chlorine Dioxide
|
63
|
26
|
23
|
19
|
15
|
11
|
Ozone
|
2.9
|
1.9
|
1.4
|
0.95
|
0.72
|
0.48
|
1These CT values achieve
greater than a 99.99 percent inactivation of viruses. Any CT values between the
indicated temperatures may be determined by linear interpolation. If no
interpolation is used, use the CT99.9 value at the lower temperature
for determining CT99.9 values between indicated
temperatures.
TABLE 8: CT Values (CT99.9) for 99.9 Percent
Inactivation of Giardia Lamblia Cysts by
Chloramines1
Disinfectant
|
Temperature, _C
|
|
<1
|
5
|
10
|
15
|
20
|
25
|
Chloramines
|
3800
|
2200
|
1850
|
1500
|
1100
|
750
|
1These values are for pH values
of 6 to 9. These CT values may be assumed to achieve greater than 99.99 percent
inactivation of viruses only if chlorine is added and mixed in the water prior
to the addition of ammonia. If this condition is not met, the system must
demonstrate, based on on–site studies or other information, as approved by
the department, that the system is achieving at least 99.99 percent inactivation
of viruses. Any CT values between the indicated temperatures may be determined
by linear interpolation. If no interpolation is used, use the CT99.9
value at the lower temperature for determining CT99.9 values between
indicated temperatures.
ITEM 101. Amend subrule 83.1(3) as
follows:
83.1(3) Applicability to environmental program
areas.
a. Water supply (drinking water). The requirements of this
chapter apply to all laboratories conducting drinking water analyses
(with the exception of the University of Iowa Hygienic
Laboratory) pursuant to 567—Chapters 40, 41, 42, 43, and 47.
Routine, on–site monitoring for pH, turbidity, and chlorine
residual alkalinity, calcium, conductivity, residual disinfectant,
orthophosphate, pH, silica, temperature, turbidity and on–site
operation and maintenance–related analytical monitoring are excluded from
this requirement, and may be performed by a Grade I, II, III, or IV certified
operator meeting the requirements of 567—Chapter 81, any person under the
supervision of a Grade I, II, III, or IV certified operator meeting the
requirements of 567—Chapter 81, or a laboratory certified by the
department to perform water supply analyses under this chapter.
b. Underground storage tanks. The requirements of this
chapter also apply to all laboratories conducting underground storage tank
analyses (with the exception of the University of Iowa Hygienic
Laboratory) for petroleum constituents pursuant to 567—Chapter
135. Routine on–site monitoring conducted by or for underground storage
tank owners for leak detection or a nonregulatory purpose are excluded from this
requirement.
c. Wastewater. The requirements of this chapter also apply to
all laboratories conducting analyses of wastewater, groundwater or sewage sludge
analyses (with the exception of the University of Iowa Hygienic
Laboratory) pursuant to 567—Chapters 63, 67, and 69. Routine
on–site monitoring for pH, temperature, dissolved oxygen, total residual
chlorine and other pollutants that must be analyzed immediately upon sample
collection, settleable solids, physical measurements such as flow and cell
depth, and operational monitoring tests specified in 567—subrule 63.3(4)
are excluded from this requirement.
ITEM 102. Amend rule
567—83.2(455B), definition of “Manual for the Certification
of Laboratories Analyzing Environmental Samples for the Iowa Department of
Natural Resources,” as follows:
“Manual for the Certification of Laboratories Analyzing
Environmental Samples for the Iowa Department of Natural Resources” (1999)
(Iowa Manual) is incorporated by reference in this chapter.
1. Chapter 1 of the Iowa Manual pertains to certification of
laboratories analyzing samples of drinking water and incorporates by reference
the Manual for the Certification of Laboratories Analyzing Drinking Water, 4th
edition, March 1997, EPA document 815–B–97–001.
2. Chapter 2 of the Iowa Manual, 2nd edition, March 1999,
pertains to laboratories analyzing samples for the underground storage tank
program.
3. Chapter 3 of the Iowa Manual, 1st edition, March
1996, pertains to laboratories analyzing samples for the wastewater and
sewage sludge disposal programs.
ITEM 103. Amend subrule 83.3(2),
paragraph “c,” subparagraph (1), numbered paragraph
“1,” as follows:
1. The fee for microbiological analyses including total
coliform, fecal coliform, E. coli, heterotrophic plate count bacteria,
viruses, algae, diatoms, rotifers, and Giardia shall be $600. Laboratories may
also be certified for fluoride, nitrate and nitrite with no additional fee (when
they are certified for microbiological analyses) providing they are not seeking
certification for any other inorganic analyte.
ITEM 104. Amend subrule 83.3(2),
paragraph “c,” subparagraph (1), by rescinding
numbered paragraph “8.”
ITEM 105. Amend subrule 83.6(4) as
follows:
83.6(4) Site visits.
(1) a. Certification of the University of
Iowa Hygienic Laboratory. The department has designated the University of Iowa
Hygienic Laboratory (UHL) as its appraisal authority for laboratory
certification. As such, the certification Certification of
the University of Iowa Hygienic Laboratory (UHL), as
the designee of the department for appraisal authority, is the
responsibility of the EPA for the water supply program, and the UHL
quality assurance officer for the wastewater and underground storage tank
programs for those areas with no available EPA certification program. The
UHL quality assurance officer reports directly to the office of the
UHL director and operates independently of all areas of the laboratory
generating data to ensure complete objectivity in the evaluation of laboratory
operations. The quality assurance officer will schedule a biennial
on–site inspection of the UHL and review results for acceptable
performance. Inadequacies or unacceptable performance shall be reported by the
quality assurance officer to the UHL and the department for correction. The
department shall be notified if corrective action is not taken.
(2) b. On–site visits.
Laboratories must consent to a periodic site visit by the department or its
designee, at least every two years. However, an on–site visit may be
conducted more frequently if the laboratory undergoes a major change which may
alter or impair analytical capability, fails a PE sample analysis, or if the
department questions an aspect of data submitted which is not satisfactorily
resolved.
ITEM 106. Amend subrule 83.6(6),
paragraph “a,” subraragraph (1), as follows:
(1) Certified laboratories must report to the department, or
its designee such as the University of Iowa Hygienic Laboratory, all
analytical test results for all public water supplies, using forms provided or
approved by the department or by electronic means acceptable to the department.
If a public water supply is required by the department to collect and analyze a
sample for an analyte not normally required by 567—Chapters 41 and 43, the
laboratory testing for that analyte must also be certified and report the
results of that analyte to the department. It is the responsibility of the
laboratory to correctly assign and track the sample identification number as
well as facility ID and source/entry point data for all reported
samples.
1. to 3. No change.
4. The sample type cannot be changed after submittal to the
laboratory, without written approval by the department. The
prescreening, splitting, or selective reporting of compliance samples is not
allowed.
ITEM 107. Amend subrule 83.6(7),
paragraph “a,” as follows:
a. Water supply program. In addition to the analytes
specifically listed in 83.6(7)“a,” PE samples are required for
certification of the unregulated and discretionary compounds listed in
567—Chapter 41, using statistical acceptance limits determined by the PE
sample provider.
(1) Volatile organic chemical (VOC) PE laboratory
certification. Analysis for VOCs shall only be conducted by laboratories
certified by EPA or the department or its authorized designee according to the
following conditions. To receive approval to conduct analyses for the VOC
contaminants in 567—subparagraph 41.5(1)“b”(1), except for
vinyl chloride, the laboratory must:
1. Analyze PE samples provided by EPA, the department, or
its designee a third–party provider acceptable to the
department, at least once a year by each method for which the laboratory
desires certification.
2. to 5. No change.
(2) To receive approval for vinyl chloride, the laboratory
must:
1. Analyze PE samples which include vinyl chloride provided by
EPA, the department, or its authorized designee or a
third–party provider acceptable to the department, at least once a
year by each method for which the laboratory desires
certification.
2. and 3. No change.
(3) Synthetic organic chemicals (SOCs) PEs—laboratory
certification. Analysis under this paragraph shall only be conducted by
laboratories certified by EPA or the department or its authorized designee. To
receive approval to conduct analyses for the SOC contaminants in
567—subparagraph 41.5(1)“b”(2), the laboratory must:
1. Analyze PE samples which include those substances provided
by EPA, the department, or its authorized designee a
third–party provider acceptable to the department, at least once a
year by each method for which the laboratory desires
certification.
2. No change.
(4) Inorganic chemical PE—laboratory certification.
Analysis under this paragraph shall be conducted only by laboratories certified
by EPA or the department or its authorized designee a
third–party provider acceptable to the department. To receive
approval to conduct analyses for antimony, asbestos, barium, beryllium, cadmium,
chromium, cyanide, fluoride, mercury, nickel, nitrate, nitrite, selenium and
thallium, the laboratory must:
1. Analyze PE samples which include those
substances provided by EPA, the department, or its
designee a third–party provider acceptable to the
department, at least once a year.
2. For each contaminant that has been included in the PE
sample and for each method for which the laboratory desires
certification, achieve quantitative results on the analyses that are within
the following acceptance limits:
List of acceptance limits. No change.
(5) Lead and copper PE—laboratory certification. To
obtain certification to conduct analyses for lead and copper, laboratories
must:
1. Analyze PE samples which include lead and copper provided
by EPA, the department, or its designee a third–party
provider acceptable to the department, at least once a year, and
2. Achieve quantitative acceptance limits as follows for
each method for which the laboratory desires certification:
• Lead: plus or minus 30
percent of the actual amount in the PE sample when the actual amount is greater
than or equal to 0.005 mg/L. The practical quantitation level or PQL for lead
is 0.005 mg/L; and
• Copper: plus or minus 10
percent of the actual amount in the PE sample when the actual amount is greater
than or equal to 0.050 mg/L. The practical quantitation level or PQL for copper
is 0.050 mg/L;
3. and 4. No change.
(6) Disinfection byproducts PE—laboratory
certification. To obtain certification to conduct analyses for disinfection
byproducts listed in 567—paragraph 41.6(1)“b,” laboratories
must:
1. Analyze performance evaluation (PE) samples approved by
EPA, the department, or its designee, at least once a year; and
2. Achieve quantitative results within the acceptance limit
on a minimum of 80 percent of the analytes included in each PE sample. The
acceptance limit is defined as the 95 percent confidence interval calculated
around the mean of the PE study data. However, the acceptance limit range shall
not exceed +/– 50 percent or be less than +/– 15 percent of the
study mean.
3. Be currently certified by EPA or the department to
perform analyses to the specifications described in 567—paragraph
41.6(1)“d.”
ITEM 108. Amend subrule 83.7(5) by
adopting the following new paragraph:
d. Laboratory–requested revocation. The department may
revoke certification upon receipt of a written request by the certified
laboratory for removal from the certification program.
ITEM 109. Amend subrule 83.7(6) as
follows:
83.7(6) Revoked certification procedure.
a. Notification to the laboratory. If
Except for the instance when the laboratory voluntarily requests revocation in
paragraph 83.7(5)“d,” if a laboratory is subject to revocation
on the basis of 83.7(5), the department will notify the party in writing of its
intent to revoke certification in accordance with 561—7.16(17A,455A).
Certification may be revoked for an analyte, a related analytical series, an
environmental program area, or the entire laboratory.
b. No change.
c. Right to appeal. There is no appeal process for revocation
of an analyte or a related analytical series unless the analyte(s) represents an
entire environmental program area, such as underground storage tank parameters,
or the entire laboratory. When the laboratory requests revocation pursuant
to paragraph 83.7(5)“d,” the revocation will be promptly issued and
will be immediately effective with no appeal process.
(1) and (2) No change.
d. No change.
ARC 9886A
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 gives Notice of Intended
Action to rescind Chapter 81, “Public Water Supply Systems and Wastewater
Treatment Plants,” and adopt new Chapter 81, “Operator
Certification: Public Water Supply Systems and Wastewater Treatment and
Collection Systems,” Iowa Administrative Code.
Because of the significant number of changes proposed to the
current chapter, the Commission proposes to rescind Chapter 81 and adopt a new
chapter rather than amend the existing Chapter 81. The new rules primarily
affect public water supply system operators, although rules regarding the
wastewater operator certification program are also being proposed.
The new chapter includes the following: amended definitions
for “activated sludge,” “aeration,”
“chlorination,” “classification,”
“coagulation,” “continuing education unit (CEU),”
“direct responsible charge (DRC),” “direct surface water
filtration,” “directly related post–high school
education,” “director,” “grade,”
“operator–in–charge,” and “waste stabilization
lagoon”; new definitions for “average daily pumpage,”
“community water system (CWS),” “disinfection,”
“ion exchange,” “nontransient noncommunity water system
(NTNC),” “public water system certificate,” “water
distribution system,” “water supply system,” “wastewater
treatment plant,” and “water treatment plant”; and omitted
definitions for “benefited water district,”
“demineralization,” “ion exchange softening,”
“oxidation,” and “pumpage.”
The new chapter also includes rules adding new classification
of “public water system certificate” for small public water supply
systems; expanding water distribution system classifications from three to four
to better correspond to water treatment classifications; classifying rural water
distribution systems according to miles of pipe; eliminating the provision that
the water treatment certificate satisfies the water distribution requirements;
reclassifying the current IR operators into the new classifications, adding the
same continuing education and renewal fee requirements as other certified
operators to these reclassified operators, and omitting the allowance for
certification without examination to satisfy a new EPA requirement; adopting a
Grade A classification for very small water supplies (limited to CWS and NTNC
with only hypochlorination treatment and excluding municipal and rural water
systems and NTNCs serving more than 500 persons); eliminating the double credit
for directly related post–high school education; requiring half the
post–high school education for Grades III and IV to be directly related;
increasing the DRC requirement of Grade IV to two years at a Grade III or IV
plant; and no longer allowing the substitution of experience for a high school
diploma or GED.
The last fee increase in this program was implemented in 1983,
and the number of certificates (currently 4,600) has doubled in that time
period. The new chapter proposes to allow the department to reduce any fees but
to require the commission to approve any fee increase; increase the fees for all
categories (examination, oral examination, reciprocity, certification, renewal,
penalty, duplicate certification, and temporary certificate); provide that
reasonable accommodation be made for the administration of the examination;
increase the late application and failure to renew time periods to 60 days;
change the operator by affidavit rule to allow such operators of nonmunicipal
systems; omit the allowance of an operator by affidavit at Grade III surface
water plants (currently none operating as such in Iowa); reference additional
chapters from the Iowa Administrative Code that are applicable to the operation
of plants and distribution systems in the disciplinary action rules; make the
disciplinary action procedures consistent with other enforcement actions within
the Environmental Protection Commission of the Department of Natural Resources;
and adopt a new subrule that allows for the denial of an application for
certification or certificate renewal based upon receipt of a notice of
noncompliance with a child support order.
This new chapter was first reviewed by the certified
operators’ technical advisory group during several meetings in 1999. This
advisory group is comprised of individuals representing the wastewater and
drinking water professional organizations, the continuing education providers,
and the municipal and rural area interests. The proposed new chapter was then
reviewed by a water supply technical advisory group at two separate meetings.
This second advisory group is comprised of individuals representing a wide
variety of water supply stakeholders, including professional drinking water
organizations, certified operators, environmental interests, public water supply
owners, and other state agencies.
Any interested person may make written suggestions or comments
on this chapter on or before July 26, 2000. Such written materials should be
directed to Mike Wiemann, Water Supply Section, Department of Natural Resources,
Wallace State Office Building, 502 E. Ninth Street, Des Moines, Iowa
50319–0034; fax (515)281–8895. Persons who wish to convey their
views orally should contact the Water Supply Section at (515)281–3989 at
the Environmental Protection Commission offices on the fifth floor of the
Wallace State Office Building.
Also, there will be six public hearings 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 rules. The public hearings will be held at
10 a.m. at the following places on the dates given:
Des Moines July 6, 2000
Auditorium
Wallace State Office Building
502 E. Ninth Street
Des Moines, Iowa
Mason City July 7, 2000
Muse–Norris Conference Center
North Iowa Area Community College
500 College Drive
Mason City, Iowa
Washington July 14, 2000
Helen Wilson Gallery
Washington Public Library
120 E. Main
Washington, Iowa
Atlantic July 18, 2000
Conference Room
Atlantic Municipal Utilities
15 West Third Street
Atlantic, Iowa
Manchester July 19, 2000
Delaware County Community Center
200 E. Acres (at the fairgrounds)
Manchester, Iowa
Storm Lake July 20, 2000
Hansen Room
Siebens Forum
Buena Vista University
Fourth & Grand Avenue
Storm Lake, Iowa
Any persons who intend to attend a public hearing and have
special requirements such as hearing or mobility impairments should contact the
Department of Natural Resources and advise of specific needs.
These rules are intended to implement Iowa Code sections
455B.211 to 455B.224 and chapter 272C.
The following amendment is proposed.
Rescind 567—Chapter 81 and adopt the following
new chapter in lieu thereof:
CHAPTER 81
OPERATOR CERTIFICATION: PUBLIC WATER SUPPLY
SYSTEMS AND WASTEWATER TREATMENT AND COLLECTION SYSTEMS
567—81.1(455B) Definitions. In addition to the
definitions in Iowa Code section 455B.211, the following definitions shall apply
to this chapter.
“Activated sludge” means a biological wastewater
treatment process in which a mixture of wastewater and sludge floc, produced in
a raw or settled wastewater by the growth of microorganisms, is agitated and
aerated in the presence of a sufficient concentration of dissolved oxygen,
followed by sedimentation.
“Aerated lagoon system” means a lagoon system
which utilizes aeration to enhance oxygen transfer and mixing in the
cell.
“Aeration” means the process of initiating contact
between air and water. This definition includes but is not limited to: spraying
the water in the air, bubbling air through the water, or forcing the air into
the water by pressure.
“Average daily pumpage” means the total quantity
of water pumped during the most recent one–year period of record divided
by 365 days.
“Chlorination” means the addition of a
chlorine compound or chlorine gas to water to inactivate pathogenic
organisms.
“Classification” means the type of plant or
distribution system: wastewater treatment plants, water treatment plants, or
water distribution systems.
“Coagulation” means a process using coagulation
chemicals and mixing by which colloidal and suspended materials are destabilized
and agglomerated into flocs.
“Community water system (CWS)” means a public
water supply system which has at least 15 service connections used by
year–round residents or regularly serves at least 25 year–round
residents.
“Continuing education unit (CEU)” means ten
contact hours of participation in an organized education experience approved by
an accredited college, university, technical institute, or issuing agency, or by
the department, and must be directly related to the subject matter of the
particular certificate to which the credit is being applied.
“Directly related post–high school
education” is post–high school education in chemistry, microbiology,
biology, math, engineering, water, wastewater, or other curriculum pertaining to
plant and distribution system operation.
“Director” means the director of the department of
natural resources or a designee.
“Direct responsible charge (DRC)” means, where
shift operation is not required, accountability for and performance of active,
daily on–site operation of the plant or distribution system, or of a major
segment of the plant or distribution system. Where shift operation is required,
“direct responsible charge” means accountability for and performance
of active, daily on–site operation of an operating shift, or a major
segment of the plant or distribution system. A city manager, superintendent of
public works, city clerk, council member, business manager, or other
administrative official shall not be deemed to have direct responsible charge of
a plant or distribution system unless this person’s duties include the
active, daily on–site operation of the plant or distribution system.
On–site operation may not necessarily mean full–time attendance at
the plant or distribution system.
“Direct surface water filtration” means a water
treatment system that applies surface water and groundwater under the influence
(influenced groundwater as defined in rule 567— 40.2(455B)) directly to
the filters after chemical treatment consisting of coagulation and flocculation
or chemical treatment consisting of coagulation. This type of system eliminates
the sedimentation unit process.
“Disinfection” means a process which inactivates
pathogenic organisms in water by chemical oxidants or equivalent
agents.
“Electrodialysis” means the demineralization of
water by the removal of ions through special membranes under the influence of a
direct–current electric field.
“Fixed film biological treatment” means a
treatment proc–ess in which wastewater is passed over a media onto which
are attached biological organisms capable of oxidizing the organic matter,
normally followed by sedimentation. This definition includes but is not limited
to: trickling filters, rotating biological contactors, packed towers and
activated filters.
“Fluoridation” means the addition of fluoride to
produce the optimum fluoride concentration in water.
“Grade” means one of seven certification levels,
designated as A, I, IL, II, IIL, III, or IV.
“Ion exchange” means the process of using ion
exchange materials such as resin or zeolites to remove undesirable ions from
water and substituting acceptable ions, for example, ion exchange for nitrate
removal or ion exchange for softening.
“Issuing agency” means a professional,
technical/educational organization authorized by the department to
provide continuing education for certification renewal or upgrade in accordance
with the commitments and guidelines detailed in the written issuing agency
agreement and procedures.
“Nontransient noncommunity water system (NTNC)”
means a public water system other than a community water system which regularly
serves at least 25 of the same persons four hours or more per day for four or
more days per week for 26 or more weeks per year.
“Operator–in–charge” means person or
persons on site in direct responsible charge for a plant or distribution system.
A city manager, superintendent of public works, city clerk, council member,
business manager, or other administrative official shall not be deemed to be the
operator–in–charge of a plant or distribution system unless this
person’s duties include the active, daily on–site operation of the
plant or distribution system. On–site operation may not necessarily mean
full–time attendance at the plant or distribution system.
“Plant” means those facilities which are
identified as either a water treatment plant or wastewater treatment plant as
defined in Iowa Code section 455B.211.
“Population equivalent” for a wastewater treatment
plant means the calculated number of people which would contribute the same
biochemical oxygen demand (BOD) per day as the system in question, assuming that
each person contributes 0.167 pounds of five–day,
20°C, BOD per day.
“Post–high school education” means credit
received for completion of courses given or cosponsored by an accredited
college, university, technical institute, or issuing agency. Courses offered by
regulatory agencies may also be recognized as post–high school education.
One year of post–high school education is 30 semester hours or 45 quarter
hours or 45 CEUs of credit.
“Primary treatment” means a treatment process
designed to remove organic and inorganic settleable solids from wastewater by
the physical process of sedimentation.
“Public water system certificate” means a
certificate issued by the department certifying that an operator has
successfully completed the certification requirements of this chapter. The
certificate specifies the grades and classifications for which the certificate
is valid.
“Reverse osmosis” means the process in which
external pressure is applied to mineralized water against a semipermeable
membrane to effectively reduce total dissolved solids (TDS) and radionuclides
content as the water is forced through the membrane.
“Rural water district” means a water supply
incorporated and organized as such pursuant to Iowa Code chapter 357A or
504A.
“Stabilization” means the addition of chemical
compounds to water to maintain an ionic equilibrium whereby the water is not in
a depository or corrosive state.
“Waste stabilization lagoon” means an excavation
designed and constructed to receive raw or pretreated wastewater in which
stabilization is accomplished by several natural self–purification
processes. This definition includes both anaerobic and aerobic
lagoons.
“Wastewater treatment plant” means the facility or
group of units used for the treatment of wastewater from public sewer systems
and for the reduction and handling of solids removed from such wastes.
“Water distribution system” means that portion of
the water supply system in which water is conveyed from the water treatment
plant or other supply point to the premises of the consumer, including storage
facilities and pumping stations. For the purposes of this chapter, a water
distribution system does not include individual service lines to the premises of
the consumer, which are not under the control of the system.
“Water supply system” means the system of pipes,
structures, and facilities through which water for a public water supply is
obtained, treated, sold or distributed for human consumption or household use.
“Water treatment plant” means that portion of the
water supply system which in some way alters the physical, chemical, or
microbiological quality of the water.
567—81.2(455B) General.
81.2(1) Plant grade for system with multiple treatment
processes. A plant having a combination of treatment proc–esses
that are in different grades shall be assigned the highest numerical plant grade
of that combination.
81.2(2) Increase in facility grade for complex
systems. The director may increase a plant or water distribution system
grade above that indicated in rules 81.3(455B) to 81.6(455B) for those systems
which in the judgment of the director include unusually complex treatment
processes, complex distribution systems, or which present unusual operation or
maintenance conditions.
81.2(3) Operator–in–charge certification
requirement. The operator–in–charge shall hold a
certificate of the same classification of the plant or water distribution system
and of equal or higher grade than the grade designated for that plant or
distribution system.
81.2(4) Shift operator certification. Any person who
is responsible for the operation of an operating shift of a plant or
distribution system or major segment of the plant or distribution system and is
under the supervision of the operator–in–charge identified in
81.2(3) shall be certified in a grade no less than a Grade II level for Grade
III and IV plants and distribution systems and Grade I for Grade I and II plants
and distribution systems.
81.2(5) PWS certificate requirement. The operator who
is designated by the owner to be the operator–in–charge of both the
water treatment plant and the water distribution system shall hold a public
water system certificate valid for water treatment and water distribution in
accordance with 81.2(3) and 81.2(6).
81.2(6) Public water system certificate. A public
water system certificate shall be issued to an operator successfully completing
water treatment or water distribution certification. The public water system
certificate shall specify the grade and classification for which the certificate
is valid. An operator successfully completing both water treatment and water
distribution certification shall be issued a public water system certificate
valid for both classifications. For purposes of renewal, all renewal fees and
CEU requirements shall be applied as one certification. The number of CEUs
required shall be determined by the highest certification grade on the
operator’s public water system certificate.
81.2(7) PWS certificate issuance. An operator
who holds a valid water treatment or water distribution certificate on March 31,
2001, and who renews the certificate for the July 1, 2001, through June 30,
2003, renewal period shall be issued a public water system certificate as
follows:
a. Grades I and II water treatment certificate holder.
A Grade I or II water treatment certificate holder shall be issued a public
water system certificate valid for the appropriate water treatment and water
distribution classifications, e.g., a Grade I water treatment certificate holder
shall be issued a public water system certificate valid for both Grade I water
treatment plants and Grade I water distribution systems.
b. Grade III and IV water treatment certificate holder. A
Grade III or IV water treatment certificate holder shall be issued a public
water system certificate valid for the appropriate water treatment and water
distribution classifications providing the certificate holder has at least two
years of operating experience in a water distribution system. For example, a
Grade III water treatment certificate holder shall be issued a public water
system certificate valid for both Grade III water treatment plants and Grade III
water distribution systems if the certificate holder has at least two years of
operating experience in a water distribution system. If the certificate holder
does not have the prerequisite experience, upon application the certificate
holder may be issued a temporary water distribution system certification.
Temporary certification is not renewable and will expire 24 months after the
issuance of a water distribution system operator certificate. Holders of this
type of temporary certification will be allowed to take the certification
examination in the appropriate classification regardless of education and
experience qualifications. For example, a Grade III water treatment certificate
holder without the two years of operating experience in a water distribution
system shall be issued a public water system certificate valid for Grade III
water treatment plants and temporarily valid for Grade III water distribution
systems.
c. Water distribution certificate holder. A water
distribution certificate holder shall be issued a public water system
certificate valid for the appropriate water distribution, e.g., a Grade I water
distribution certificate holder shall be issued a public water system
certificate valid for only Grade I water distribution systems.
d. PWS certificate renewal. Upon renewal of the
operator’s certificate in accordance with the criteria of this subrule,
the operator shall be issued a public water system certificate. For purposes of
renewal, all renewal fees and CEU requirements shall be applied as one
certification. The number of CEUs required shall be determined by the highest
certification grade on the operator’s public water system
certificate.
81.2(8) Notification requirements for a personnel
change in the operator–in–charge. The owner of a plant or
distribution system must notify the department of a change
inoperator(s)–in–charge within 30 days after the change.
81.2(9) Change of address or employment. Certified
operators must report to the department a change in address or employment within
30 days after the change.
81.2(10) Owner reporting requirements. All owners of
plants and distribution systems must report, when requested by the department,
the method of treatment provided, the average daily pumpage, and the
operator(s)–in–charge.
81.2(11) Compliance plan. When the director
allows the owner of a plant or distribution system required to have a certified
operator time to obtain an operator, the owner must submit a compliance plan
indicating what action will be taken to obtain a certified operator. The plan
must be on Form 52, Compliance Plan 542–3120, provided by the department
and must be submitted within 30 days of the facility owner’s receipt of a
notice of violation.
567—81.3(455B) Wastewater treatment plant
grades.
81.3(1) Classifications. The wastewater treatment
plant classifications are listed in the following table:
Wastewater Treatment Plant Classifications
|
Grade
|
|
Based on Design Pounds of
BOD5/Day
|
|
less than 334
|
334– 835
|
836– 2,505
|
2,506– 8,350
|
more than 8,350
|
Treatment Type
|
Based on Design Population Equivalent
|
|
less than 2,000
|
2,000– 5,000
|
5,001– 15,000
|
15,001– 50,000
|
more than 50,000
|
1. Primary Treatment
|
I
|
I
|
II
|
III
|
IV
|
2. Waste Stabilization Lagoon
|
IL
|
IL
|
IL
|
IL
|
IL
|
3. Aerated Lagoon System
|
IL
|
IL
|
IIL
|
IIL
|
IIL
|
4. Fixed Film Biological Treatment
|
II
|
II
|
III
|
III
|
IV
|
5. Activated Sludge
|
II
|
III
|
III
|
IV
|
IV
|
81.3(2) Unknown design
BOD5 loading. When the design
BOD5 loading is unknown, the plant
BOD5 loading shall be determined by using the
average pounds of BOD5 of the 24–hour
composite samples taken in the last 12 months. If no 24–hour composite
samples were taken, then grab samples shall be used.
81.3(3) A Grade I, II, III, or IV wastewater treatment
certificate will satisfy the certification requirements for a Grade IL plant. A
Grade II, III, or IV wastewater treatment certificate will satisfy the
certification requirements for a Grade IIL plant.
567—81.4(455B) Water treatment plant
grades.
81.4(1) Classifications. The water treatment plant
classifications are listed in the following table:
Water Treatment Plant Classifications
|
Grade*
|
Treatment Type
|
Average Daily Pumpage in MGD
|
|
0–0.1
|
>0.1–0.5
|
>0.5–1.5
|
>1.5
|
1. Iron or manganese removal; aeration; chlorination;
fluoridation; stabilization; any other chemical addition; or any
combination of these processes
|
I
|
II
|
II
|
III
|
2. Ion exchange
|
II
|
II
|
III
|
III
|
3. Direct surface water filtration
|
II
|
II
|
III
|
III
|
4. Utilization of lime, soda ash or other chemical addition
for pH adjustment in the precipitation and coagulation of iron or
manganese
|
II
|
II
|
III
|
III
|
5. Complete surface water clarification or lime softening of
surface water or groundwater
|
III
|
III
|
III
|
IV
|
6. Reverse osmosis and electrodialysis
|
II
|
II
|
III
|
IV
|
7. Activated carbon for THM or synthetic organics
removal
|
III
|
III
|
III
|
IV
|
*For Grade A water supply classification, see subrule
81.6(1).
81.4(2) Average daily pumpage. When the average daily
pumpage is unknown, the plant grade will be determined from the population of
the most recent census and an evaluation of commercial, industrial, and other
users.
567—81.5(455B) Water distribution system
grades.
81.5(1) Classifications. The water
distribution plant classifications are listed in the following table:
Water Distribution System Classifications*
|
Grade**
|
System Type
|
Average Daily Pumpage in MGD
|
|
0–0.1
|
>0.1–1.5
|
>1.5–5
|
>5
|
All municipal water systems
Community water systems not classified as a Grade A water
system
Nontransient noncommunity water systems not classified as a
Grade A water system
|
I
|
II
|
III
|
IV
|
|
Miles of Pipe
|
|
0–100
|
>100–1000
|
>1000–2500
|
>2500
|
Rural water districts
|
I
|
II
|
III
|
IV
|
*Note: A public water system with a well, storage, and a
distribution system shall be classified as a water distribution system if no
treatment is provided.
**For Grade A water system classification, see subrule
81.6(1).
81.5(2) Average daily pumpage. When the average daily
pumpage is unknown, the system grade will be determined from the population of
the most recent census and an evaluation of commercial, industrial, and other
users.
81.5(3) IR certificate holders. Operators with
a IR certificate issued before July 1, 1999, may be issued a Grade I water
distribution certificate restricted to the specific system(s)at which the IR
certificate holder has been designated as the operator–in–charge.
No fee or examination shall be required for the reclassification. The
certificate issued shall be subject to renewal, continuing education
requirements, and all other provisions of this chapter.
567—81.6(455B) Grade A classification.
81.6(1) Grade A water system classification.
a. Community water system. A community water system
which serves a population of 250 persons or less and provides no treatment other
than hypochlorination or treatment which does not require any chemical addition,
process adjustment, backwashing or media regeneration by an operator shall be
classified as a Grade A water system.
b. Nontransient noncommunity water system. A
nontransient noncommunity water system which serves a population of 500 persons
or less and provides no treatment other than hypochlorination or treatment which
does not require any chemical addition, process adjustment, backwashing or media
regeneration by an operator shall be classified as a Grade A water
system.
81.6(2) Certification requirements for Grade A water
systems. Any grade of water treatment certification will satisfy the
certification requirements for a Grade A water system with hypochlorination.
Any grade of water distribution certification will satisfy the certification
requirements for a Grade A water system without hypochlorination.
567—81.7(455B) Operator education and experience
qualifications.
81.7(1) Education and experience requirements. All
applicants shall meet the education and experience requirements for the grade of
certificate shown in the table below prior to being allowed to take the
examination. Experience shall be in the same classification for which the
applicant is
applying except that partial credit may be given in accordance
with 81.7(2) and 81.7(3). Directly related post–high school education
shall be in the same subject matter as the classification in which the applicant
is applying.
Operator Education and Experience Qualifications
Grade
|
Education
|
Substitution for Education
|
Experience
|
Substitution for Experience
|
A
|
High school diploma or GED
|
None
|
Completion of an IDNR– approved training
course
|
None
|
I
|
High school diploma or GED
|
None
|
1 year
|
See 81.7(3)“b”(1), (3) to (5)
|
IL
|
High school diploma or GED
|
None
|
1 year
|
See 81.7(3)“b”(1), (3) to (5)
|
II
|
High school diploma or GED
|
None
|
3 years
|
See 81.7(3)“b”(2) to (5)
|
IIL
|
High school diploma or GED
|
None
|
3 years
|
See 81.7(3)“b”(2) to (5)
|
III
|
High school diploma or GED and 2 years of post–high
school education (1 year must be directly related)
|
See 81.7(3)“a”(1), (3)
|
4 years of experience in a Grade I or higher
|
See 81.7(3)“b”(2), (3)
|
IV
|
High school diploma or GED and 4 years of post–high
school education (2 years must be directly related)
|
See 81.7(3)“a”(1), (3)
|
4 years of experience in a Grade III or higher including 2
years of DRC
|
See 81.7(3)“b”(2), (3);
81.7(3)“c”(1)
|
81.7(2) Related work experience. The following
substitutions of related work experience for operating experience requirements
may be accepted by the director.
a. Laboratory personnel. Laboratory personnel em–ployed
in water or wastewater treatment plants may be allowed 50 percent credit for
work experience toward meeting the operating experience requirements for Grades
I and II certification only. Laboratory experience must be in the same
classification for which the applicant is applying.
b. Oversight personnel. Personnel with experience in
on–site operation review and evaluation of plants and distribution systems
may be allowed 50 percent credit for on–site work experience toward
meeting the operating experience requirements for Grades I and II certification
only. On–site experience must be in the same classification for which the
applicant is applying.
c. Maintenance personnel. Maintenance personnel employed in
water or wastewater treatment plants may be allowed 50 percent credit for work
experience toward meeting the operating experience requirements for Grades I and
II certification only. Maintenance experience may be applied either to the
water or to the wastewater experience requirements.
d. Certified operators.
(1) Certified water treatment operators may be allowed 50
percent credit for work experience toward meeting the operating experience
requirements for Grades I and II wastewater treatment certification
only.
(2) Certified wastewater treatment operators may be allowed 50
percent credit for work experience toward meeting the operating experience
requirements for Grades I and II water treatment certification only.
(3) Certified water treatment operators may be allowed 50
percent credit for work experience toward meeting the operating experience
requirements for Grades I and II water distribution certification
only.
(4) Certified water distribution operators may be allowed 50
percent credit for work experience toward meeting the operating experience
requirements for Grades I and II water treatment certification only.
e. Limitation. The portion of related work experience that is
substituted for operating experience cannot also be used to substitute for
education.
81.7(3) The following substitutions for experience or
education may be accepted by the director.
a. Substitution of experience for education.
(1) One year of operating experience in a Grade II or higher
position may be substituted for one year of post–high school education for
Grade III certification up to one–half the post–high school
education requirement.
(2) One year of operating experience in a Grade III or higher
position may be substituted for one year of post–high school education for
Grade IV certification up to one–half the post–high school education
requirement.
(3) That portion of experience which is applied toward
substitution for education cannot also be used for experience.
b. Substitutions of education for experience.
(1) Two semester hours or three quarter hours or three CEUs of
directly related post–high school education may be substituted for
one–half the experience requirement for Grades I and IL.
(2) Thirty semester hours or 45 quarter hours or 45 CEUs of
post–high school education may be substituted for one year of experience
up to a maximum of one–half the experience requirement for Grades II, IIL,
III and IV.
(3) That portion of education which is applied toward
substitution for experience cannot also be used for education.
(4) Class hours involving closely supervised
on–the–job type training in a pilot or full–scale facility
where there are clearly defined educational objectives may be applied to the
on–the–job experience requirement. The substitution value of such
training shall be applicable only toward obtaining a Grade I and Grade II
certification and shall not exceed one–half year of on–the–job
experience. One hour of on–the–job training is equivalent to three
hours of on–the–job experience. One month of on–the–job
training consists of 20 eight–hour days. Credit for
on–the–job training may be applied only to the examination for the
type of system in which the experience was obtained.
(5) That portion of on–the–job training courses
which is applied toward substitution for the on–the–job experience
requirement cannot also be used for education.
c. Substitution of education for direct responsible charge
experience. Thirty semester hours or 45 quarter hours or 45 CEUs of
directly related post–high school education may be substituted for one
year of direct responsible charge experience up to one–half the
requirement for Grade IV certification.
567—81.8(455B) Certification and examination
fees.
81.8(1) Examination fee. The examination fee for each
examination shall be $30.
81.8(2) Oral examination fee. The oral examination
fee for each oral examination shall be $90.
81.8(3) Reciprocity application fee. The reciprocity
application fee for each type of classification shall be $30.
81.8(4) Certification fee. The certification fee
shall be $20 for each one–half year of a two–year period from the
date of issuance to June 30 of odd–numbered years.
81.8(5) Renewal fee. The certification renewal fee
shall be $60.
81.8(6) Penalty fee. The certification and renewal
penalty fee shall be $18.
81.8(7) Duplicate certificate fee. The duplicate
certificate fee shall be $20.
81.8(8) Temporary certificate fee. The temporary
certificate fee shall be $60.
81.8(9) Fee adjustments. The department may adjust
the fees annually by up to plus or minus 20 percent to cover costs of
administering and enforcing these rules and reimbursement for other expenses
relating to operator certification. The environmental protection commission
must approve any fee increases above those listed in 81.8(1) through 81.8(8).
All fees collected shall be retained by the department for administration of the
operator certification program.
567—81.9(455B) Examinations.
81.9(1) Examination application. All persons wishing
to take the examination required to become a certified operator of a wastewater
or water treatment plant or a water distribution system shall complete the
Operator Certification Examination Application, Form
CFN–542–3118/CPG–63997. A listing of dates and locations of
examinations is available from the department upon request. The application
form requires the applicant to indicate educational background, training and
past experience in water or wastewater operation. The completed application and
examination fee shall be sent to Iowa Department of Natural Resources, Operator
Certification, 502 East Ninth, Des Moines, Iowa 50319– 0034. The
completed application and examination fee must be received by the department at
least 30 days prior to the date of examination.
81.9(2) Application evaluation. The director
shall designate department personnel to evaluate all applications for
examination, certification, and renewal of certification and upgrading of
certification. The director will review applications when it is indicated the
applicant has falsified information or when questions arise concerning an
applicant’s qualifications of eligibility for examination or
certification.
81.9(3) Application expiration. A properly
completed application for examination shall be valid for one year from the date
the application is approved by the department. An applicant may request only
one class and grade of examination with each application. A new application
shall be required with each different class or grade of examination desired by
the applicant.
81.9(4) Refund of examination fee. An
applicant who does not qualify for examination at the time of application will
have the examination fee refunded if the applicant cannot qualify for
examination within one year. If the applicant will qualify for a scheduled
examination within one year, the applicant will be notified when the examination
may be taken and the fee will not be refunded.
81.9(5) Reexamination. Upon failure of the
first examination, the applicant may be reexamined at the next scheduled
examination. Upon failure of the second examination, the applicant shall be
required to wait a period of 180 days between each subsequent
examination.
81.9(6) Reexamination fee. Upon each
reexamination when a valid application is on file, the applicant shall submit
the examination fee to the department at least ten days prior to the date of
examination.
81.9(7) Application invalidation. Failure to
successfully complete the examination within one year from the date of approval
of the application shall invalidate the application.
81.9(8) Retention of completed examinations.
Completed examinations will be retained by the director for a period of one year
after which they will be destroyed.
81.9(9) Oral examination. Upon written request by an
applicant for Grade A, I, IL, II or IIL certification, the director will
consider the presentation of an oral examination on an individual basis when the
plant or distribution system which employs the applicant is not in compliance
with Iowa Code section 455B.113; the applicant has failed the written
examination at least twice; the applicant has shown difficulty in reading or
understanding written questions but may be able to respond to oral questioning;
the applicant is capable of communicating in writing with regard to departmental
requirements and inquiries; and the director has received a written
recommendation for an oral examination from a department staff member attesting
to the operational and performance capabilities of the applicant. The director
shall designate department personnel to administer the examination. The
examination shall contain practical questions pertaining to the operation of the
plant or distribution system in which the applicant is employed. Certificates
issued to operators through oral examinations shall be restricted to the plant
or distribution system where the operator is employed at the time of
certification.
81.9(10) Reasonable accommodation. Upon request for
certification by an applicant, the director will consider on an individual basis
reasonable accommodation to allow administration of the examination without
discrimination on the basis of disability. The applicant shall request the
accommodation 30 days prior to the date of the examination. The applicant must
provide documentation of eligibility for the accommodation. Documentation shall
be submitted with the completed examination application. Accommodations based
on documentation may include site accessibility, oral examination, extended
time, separate testing area, or other concerns.
567—81.10(455B) Certification by
examination.
81.10(1) Examination requirement. All
applicants not addressed for certification in 81.11(1) shall successfully
complete and pass an examination prior to receiving certification.
81.10(2) Certification application time line.
Application for certification must be received by the department within 30
days of the date the applicant receives notification of successful completion of
the examination. All applications for certification shall be made on a form
provided by the department and shall be accompanied by the certification
fee.
81.10(3) Late certification application.
Applications for certification by examination which are received more than
30 days but less than 60 days after notification of successful completion of the
examination shall be accompanied by the certification fee and the penalty fee.
Applicants who do not apply for certification within 60 days’ notice of
successful completion of the examination will not be certified on the basis of
that examination.
567—81.11(455B) Certification by
reciprocity.
81.11(1) Other states’ mandatory certification
programs. For applicants who have been certified under other
states’ mandatory certification programs, the equivalency of which has
been previously reviewed and accepted by the department, certification in an
appropriate classification and grade, without examination, will be recommended.
The applicant must have successfully completed an examination generally
equivalent to the Iowa examination and must meet the education and experience
qualifications established by the director.
81.11(2) Other states’ voluntary certification
programs. For applicants who have been certified under voluntary
certification programs in other states, certification in an appropriate class
will be considered. The applicant must have successfully completed an
examination generally equivalent to the Iowa examination and must meet the
education and experience qualifications established by the director. The
director may require the applicant to successfully complete the Iowa
examination.
81.11(3) Reciprocity application. Applicants
who seek Iowa certification pursuant to subrule 81.11(1) or 81.11(2) shall
submit an application for examination accompanied by a letter requesting
certification pursuant to these subrules. Application for certification
pursuant to 81.11(1) and 81.11(2) shall be received by the director in
accordance with these subrules.
567—81.12(455B) Restricted and temporary
certification.
81.12(1) Restricted certification. Upon written
request by an operator, the director may determine that further education
requirements be waived when a plant or distribution system grade has been
increased and the operator has been in direct responsible charge of the existing
plant or distribution system. An operator successfully completing the
examination will be restricted to that plant or distribution system until the
education requirements are met.
81.12(2) Temporary certification. Upon written
request by the owner of a plant or system not previously required to have a
certified operator, the director may issue a temporary certificate of the
appropriate grade and classification to the operator(s)–in–charge.
The temporary certificate holder will be restricted to that plant or
distribution system until all certification requirements, in accordance with
rules 81.6(455B), 81.8(455B) and 81.9(455B), are met. The temporary certificate
is not renewable and will expire 24 months after issuance. No temporary
certificates will be issued to operators of new water plants or distribution
systems, as defined in 567—subrule 43.8(1).
567—81.13(455B) Certification renewal.
81.13(1) Renewal period. All certificates shall
expire on June 30 of odd–numbered years and must be renewed every two
years in order to maintain certification.
81.13(2) Application for renewal. An application for
renewal will be mailed to currently certified operators prior to the expiration
date of their certificates. Application for renewal must be made in accordance
with this rule and the instructions on the form in order to renew the
certificate for the next two years. Application for renewal of a certificate
without penalty must be received by the director or postmarked prior to the
expiration of the certificate, and shall be accompanied by the certification
renewal fee.
81.13(3) Late application. A late application for
renewal of a certificate may be made provided that the application is received
by the director or postmarked within 60 days of the expiration of the
certificate on forms provided by the department. Such late application shall be
accompanied by the penalty fee and the certification renewal fee.
81.13(4) Failure to renew. If a certificate holder
fails to renew within 60 days following expiration of the certificate, the right
to renew the certificate is automatically terminated. Certification may be
allowed at any time following such termination, provided that the applicant
successfully completes an examination. The applicant must then apply for
certification in accordance with 81.10(455B).
81.13(5) Expired certificate. An operator may not
continue as the operator–in–charge of a plant, distribution system,
operating shift, or major segment of the plant or distribution system after
expiration of a certificate unless the certificate is renewed.
567—81.14(455B,272C) Continuing
education.
81.14(1) CEU requirements. Continuing education must
be earned during two–year periods between April 1 and March 31 of
odd–numbered years. A Grade III or IV certified operator must earn two
units or 20 contact hours per certificate during each two–year period.
All other certified operators must earn one unit or 10 contact hours per
certificate during each two–year period. Newly certified operators
(previously uncertified) who become certified after April 1 of a two–year
period will not be required to earn CEUs until the next two–year period.
If an operator upgrades a certificate after April 1 of a two–year period
and that upgrade increases the CEU requirement, the operator will not be
required to meet the higher CEU requirement until the next two–year period
but must fulfill the lower CEU requirement for that period.
81.14(2) Certificate renewal. Only those operators
fulfilling the continuing education requirements before the end of each
two–year period (March 31) will be allowed to renew their certificate(s).
The certificate(s) of operators not fulfilling the continuing education
requirements shall expire on June 30 of the applicable biennium.
81.14(3) CEU approval. All activities for which
continuing education credit will be granted must be approved by an accredited
college, university, technical institute, or issuing agency, or by the
department, and must be directly related to the subject matter of the particular
certificate to which the credit is being applied.
81.14(4) CEU extensions. The director may, in
individual cases involving hardship or extenuating circumstances, grant an
extension of up to three months within which the certified operator may fulfill
the minimum continuing education requirements. Hardship or extenuating
circumstances include documented health–related confinement or other
circumstances beyond the control of the certified operator which prevent
attendance at the required activities. All requests for extensions must be made
prior to March 31 of each biennium.
81.14(5) CEU reporting. It is the certified
operator’s personal responsibility to maintain a written record and to
notify the department of the continuing education credit earned during the
period. The continuing education credits earned during the period shall be
listed on the application for renewal.
567—81.16(455B) Operator by affidavit.
81.16(1) Affidavit allowance. The owner of a
plant or distribution system that is required to have a Grade A, I, IL, II, IIL
certified operator may sign an affidavit with a certified operator of the
required classification and grade.
81.16(2) Affidavit requirements. This
affidavit will verify that the certified operator is the
operator–in–charge and has direct responsibility for a plant or
distribution system that does not have first rights on the services of that
operator. The affidavit form shall be provided by the director and shall
require the name and signature of the certified operator, the operator’s
certification number, class and grade, and the date of last renewal of the
operator’s certificate. The affidavit form shall be proof that the
certified operator has agreed to be directly responsible for the operation and
maintenance of the plant or distribution system. The director may specify
additional operational and maintenance requirements based on the complexity and
size of the plant or distribution system. Four duly notarized copies of the
affidavit must be returned to and approved by the director, based upon the
ability of the certified operator to properly operate and maintain additional
facilities. In event of disapproval, the owner of the plant or distribution
system must terminate the agreement with the certified operator and seek the
services of another certified operator. Both the owner of the plant or
distribution system and the certified operator shall notify the director at
least 30 days before the termination of the agreement.
567—81.17(455B,272C) Disciplinary
actions.
81.17(1) Disciplinary action may be taken against a
certified operator on any of the grounds specified in Iowa Code section 455B.219
and chapter 272C and the following more specific grounds.
a. Failure to use reasonable care or judgment or to apply
knowledge or ability in performing the duties of a certified operator.
(1) Wastewater operator duties. Examples of a
wastewater operator’s duties are specified in the Water Environment
Federation Manual of Practice #11, 1996; California State
University—Sacramento (CSUS) Operation of Wastewater Treatment Plants,
Volume I, 4th edition, 1998; CSUS Operation of Wastewater Treatment Plants,
Volume II, 4th edition, 1998; CSUS Advanced Waste Treatment, 3rd edition, 1998;
and 567—Chapters 60 through 64, 67, and 83, Iowa Administrative
Code.
(2) Water treatment or distribution operator duties.
Examples of a water treatment or distribution operator’s duties are
specified in the American Water Works Association (AWWA) Manuals of Water Supply
Practice (Volumes 1, 3–7, 9, 11–12, 14, 17, 19–38,
41–42, 44–48); AWWA Water Supply Operations Series, 2nd edition:
Vol. 1, 1995; Vol. 2, 1995; Vol. 3, 1996; Vol. 4, 1995; and Vol. 5, 1995; AWWA
Water Distribution Operator Handbook, 2nd edition, 1976; and California State
University—Sacramento (CSUS) Water Treatment Plant Operation, Volume I,
4th edition, 1999; CSUS Water Treatment Plant Operation, Volume II, 3rd edition,
1998; CSUS Small Water System Operation and Maintenance, 4th edition, 1999; CSUS
Water Distribution System Operation and Maintenance, 4th edition, 2000; and
567—Chapters 40 through 43 and 83, Iowa Administrative Code.
b. Failure to submit required records of operation or other
reports required under applicable permits or rules of the department, including
failure to submit complete records or reports.
c. Knowingly making any false statement, representation, or
certification on any application, record, report or document required to be
maintained or submitted under any applicable permit or rule of the
department.
d. Fraud in procuring a license.
e. Professional incompetence.
f. Knowingly making misleading, deceptive, untrue or
fraudulent representations in the practice of the licensee’s profession or
engaging in unethical conduct or practice harmful or detrimental to the public.
Proof of actual injury need not be established.
g. Habitual intoxication or addiction to the use of
drugs.
h. Conviction of a felony related to the profession or
occupation of the licensee. A copy of the record of conviction or plea of
guilty shall be conclusive evidence.
i. Fraud in representations as to skill or ability.
j. Use of untruthful or improbable statements in
advertisements.
k. Willful or repeated violations of the provisions of Iowa
Code chapter 272C or 455B, division III.
81.17(2) Disciplinary sanctions. Disciplinary
sanctions may include those specified in Iowa Code section 272C.3(2) and the
following:
a. Revocation of a certificate. Revocation may be permanent
without chance of recertification or for a specified period of time.
b. Partial revocation or suspension. Revocation or
suspension of the practice of a particular aspect of the operation of a plant or
distribution system, including the restriction of operation to a particular
plant or distribution system, or a particular type of plant or distribution
system.
c. Probation. Probation under specified conditions
relevant to the specific grounds for disciplinary action.
d. Additional education, training, and examination
requirements. Additional education, training, and reexamination may be
required as a condition of reinstatement.
e. Penalties. Civil penalties not to exceed $1,000 may
be assessed for causes identified in 81.17(1).
81.17(3) Procedure.
a. Initiation of disciplinary action. The department staff
shall initiate a disciplinary action by conducting such lawful investigation as
is necessary to establish a legal and factual basis for action. The
administrator of the environmental protection commission or designee shall make
a decision as to any disciplinary action based on the department staff
recommendations. Except as specified by this subrule, the disciplinary action
shall be initiated by a notice of intended action in accordance with rule
561—7.16(17A,455A). At any time, the licensee and the department may
enter into a settlement agreement, subject to approval by the director, which
provides for a disciplinary sanction.
b. Request for hearing. Notwithstanding references in
561—subrule 7.16(4), a licensee shall be deemed to have waived any right
to a contested case hearing unless the licensee appeals the action and requests
a hearing within 30 days of receipt of the notice of intended action. If a
timely appeal is filed, further contested case procedures shall apply in
accordance with 561—Chapter 7.
c. Appeal and review of proposed decision. After a contested
case hearing conducted in accordance with rule 561— 7.14(17A,455A), the
director shall review the presiding officer’s proposed decision issued in
accordance with 561— subrule 7.15(3). The proposed decision shall
constitute a final decision of the director and the department unless the
licensee or the director and department appeal the proposed decision to the
environmental protection commission within 30 days of receipt as provided in
561—subrule 7.15(5).
d. Effective date of suspension or revocation.
Notwithstanding any contrary interpretation in 561—subrule 7.16(7),
suspension, revocation or other disciplinary action shall be effective 30 days
after receipt of the notice of intended action if the licensee fails to file a
timely appeal and request for hearing. If a contested case hearing is timely
requested, the disciplinary action is effective as specified in the presiding
officer’s proposed decision unless the licensee obtains a stay of the
action in accordance with 561—subrule 7.15(7) pending a timely appeal to
the environmental protection commission.
e. Emergency disciplinary action. The director may initiate
an emergency suspension or other disciplinary action upon such grounds and
following those procedures as provided in 561—subrule 7.16(6). The terms
of the emergency order shall be effective upon service as provided in 561—
subrule 7.16(7). The department shall promptly give notice of an opportunity to
appeal and request a contested case hearing following the procedures as
specified above.
f. Reinstatement of revoked certificates. Upon
revocation of a certificate in accordance with the authority provided in Iowa
Code section 455B.219 and chapter 272C, application for certification may be
allowed after two years from the date of revocation unless otherwise specified
in accordance with 81.17(2). Any such applicant must successfully complete an
examination and be certified in the same manner as a new applicant.
81.17(4) Noncompliance with child support order
procedures. Upon receipt of a certification of noncompliance with a child
support obligation as provided in Iowa Code section 252J.7, the department will
initiate procedures to deny an application for certification or renewal, or to
suspend a certification in accordance with Iowa Code section 252J.8(4). The
department shall issue a notice by restricted certified mail to the person of
its intent to deny or suspend operator certification based on receipt of a
certificate of noncompliance. The suspension or denial shall be effective 30
days after receipt of the notice unless the person provides the department with
a withdrawal of the certificate of noncompliance from the child support recovery
unit as provided in Iowa Code section 252J.8(4)“c.” Pursuant to
Iowa Code section 252J.8(4), the person does not have a right to a hearing
before the department to contest the denial or suspension action under this
subrule but may seek a hearing in district court in accordance with Iowa Code
section 252J.9.
These rules are intended to implement Iowa Code sections
455B.211 to 455B.224 and chapter 272C.
ARC 9867A
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 249A.4, the
Department of Human Services proposes to amend Chapter 75, “Conditions of
Eligibility,” appearing in the Iowa Administrative Code.
The Seventy–eighth General Assembly directed the
Department to increase the medical assistance eligibility income limit for
pregnant women and infants under the Mothers and Children Program to 200 percent
of the federal poverty level effective July 1, 2000. Federal law does not allow
an increase in the current eligibility income limit of 185 percent of the
federal poverty level, but does allow additional deductions.
This amendment allows pregnant women and infants Medicaid
eligibility up to 200 percent of the federal poverty level by providing a
deduction equal to 15 percent of the federal poverty level for the family
size.
This amendment does not provide for waiver in specified
situations because it confers a benefit by allowing the Department of Human
Services to provide for coverage of medical services for more pregnant women and
infants under the Mothers and Children Program.
It is anticipated this amendment will also be adopted on an
emergency basis by the Council on Human Services at its June 8, 2000, meeting to
be effective July 1, 2000.
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 July 5, 2000.
This amendment is intended to implement 2000 Iowa Acts, Senate
File 2435, section 8, subsection 12, and Iowa Code section
249A.3(1)“k” as amended by 2000 Iowa Acts, Senate File 2435, section
41.
The following amendment is proposed.
Amend subrule 75.1(28), paragraph
“a,” subparagraph (1), as follows:
(1) Family income shall not exceed 185 percent of the federal
poverty level for pregnant women when establishing initial eligibility under
these provisions and for infants (under one year of age) when establishing
initial and ongoing eligibility. Family income shall not exceed 133 percent of
the federal poverty level for children who have attained one year of age but who
have not attained 19 years of age. Income to be considered in determining
eligibility for pregnant women, infants, and children shall be determined
according to family medical assistance program (FMAP) methodologies except that
the three–step process for determining initial eligibility and the
two–step process for determining ongoing eligibility, as described at rule
441—75.57(249A), shall not apply. Family income is the income remaining
after disregards and deductions have been applied in accordance with the
provisions of rule 441—75.57(249A).
In determining eligibility for pregnant women and infants,
after the aforementioned disregards and deductions have been applied, an
additional disregard equal to 15 percent of the applicable federal poverty level
shall be applied to the family’s income.
ARC 9881A
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 249A.4 and 2000
Iowa Acts, House File 2555, section 1, subsection 1, and section 11, the
Department of Human Services proposes to amend Chapter 77, “Conditions of
Participation for Providers of Medical and Remedial Care,” Chapter 78,
“Amount, Duration and Scope of Medical and Remedial Services,”
Chapter 79, “Other Policies Relating to Providers of Medical and Remedial
Care,” and Chapter 83, “Medicaid Waiver Services,” appearing
in the Iowa Administrative Code.
These amendments implement the following changes to skilled
nursing and home health aide services and to the Home– and
Community–Based Services waivers as mandated by the Seventy–eighth
General Assembly:
• The definitions of skilled
nursing and home health aide services that meet the intermittent guidelines for
payment under Medicaid are being expanded.
Daily skilled nursing visits or multiple daily visits for
wound care or insulin injections are covered when ordered by a physician and
included in the plan of care.
Home health aide services provided for four to seven days per
week, not to exceed 28 hours per week when ordered by a physician and included
in a plan of care, are allowed as intermittent services under certain
conditions.
• An interim medical
monitoring and treatment service is added to the ill and handicapped, mental
retardation, and brain injury waivers.
Interim medical monitoring and treatment services are
monitoring and treatment of a medical nature requiring specially trained
caregivers. The services allow the consumer’s usual caregivers to be
employed. Interim medical monitoring and treatment services may also be
provided for a limited period of time for academic or vocational training of a
usual caregiver; due to the hospitalization, treatment for physical or mental
illness, or death of a usual caregiver; or during a search for employment by a
usual caregiver.
Interim medical monitoring and treatment services provide
experiences for each consumer’s social, emotional, intellectual, and
physical development, include comprehensive developmental care and any special
services for a consumer with special needs, and include medical assessment,
medical monitoring, and medical intervention as needed on a regular or emergency
basis. Services may include transportation to and from school.
A maximum of 12 one–hour units of service is available
per day. Interim medical monitoring and treatment services may not duplicate
any regular Medicaid or waiver services provided under the state plan. They may
be provided only in the consumer’s home, in a registered group child care
home, in a registered family child care home, in a licensed child care center,
or during transportation to and from school. The staff–to–consumer
ratio shall not be less than one to six.
The following providers may provide interim medical monitoring
and treatment services: licensed child care centers, registered group and family
child care homes, and home health agencies certified to participate in the
Medicare program.
Staff members providing interim medical monitoring and
treatment services to consumers are to meet all of the following requirements:
be at least 18 years of age, not be the spouse of the consumer or a parent or
stepparent of the consumer if the consumer is aged 17 or under, not be a usual
caregiver of the consumer, and be qualified by training or experience, as
determined by the usual caregivers and a licensed medical professional on the
consumer’s interdisciplinary team, to provide medical intervention or
intervention in a medical emergency necessary to carry out the consumer’s
plan of care.
• Assisted living programs
certified or voluntarily accredited by the Iowa Department of Elder Affairs are
clearly identified as an agency provider of consumer–directed attendant
care in the elderly waiver program and a separate unit of service is
identified.
When provided by an assisted living program, a unit of
consumer–directed attendant care service is one calendar month. If
services are provided by an assisted living program for less than one full
calendar month, the monthly reimbursement rate shall be prorated based on the
number of days service is provided.
• The aggregate monthly cost
limit in the elderly waiver program for a person needing the nursing facility
level of care is increased from $852 to $1,052.
• Respite services available
under the HCBS waiver programs are expanded by adding medical respite, expanding
potential providers, and increasing rates for all providers. In addition,
criteria are added to require safety procedures during the provision of respite
care.
Respite is a basic service that gives the caregiver of a
person with a disability or an elderly person a necessary break from care.
Respite is available under all of the HCBS waivers with the exception of the
physical disability waiver.
Respite services provided by home health agencies, home care
agencies, and other nonfacility providers are divided into specialized respite,
group respite, and basic individual respite, with separate rates of payment.
“Specialized respite” means respite provided on a
staff–to–consumer ratio of one to one or higher to individuals with
specialized medical needs requiring the care, monitoring or supervision of a
licensed registered nurse or licensed practical nurse. “Group
respite” is respite provided on a staff–to–consumer ratio of
less than one to one and “basic individual respite” means respite
provided on a staff–to–consumer ratio of one to one or higher to
individuals without specialized needs requiring the care of a licensed
registered nurse or licensed practical nurse.
• The reimbursement rates
for the following providers are increased by 7/10 of 1 percent (hereinafter
referred to as “0.7 percent” or “0.7%”): HCBS AIDS/HIV
waiver counseling, homemaker, nursing, home–delivered meals, adult day
care, and consumer–directed attendant care providers; HCBS Brain Injury
waiver personal emergency response, adult day care, case management,
consumer–directed attendant care, behavioral programming, family
counseling and training, and prevocational services providers; HCBS Elderly
waiver adult day care, emergency response, homemaker, nursing, chore,
home–delivered meals, nutritional counseling, assistive devices, senior
companion, and consumer–directed attendant care providers; HCBS Ill and
Handicapped waiver homemaker, adult day care, nursing care, counseling, and
consumer–directed attendant care providers; HCBS MR waiver personal
emergency response and consumer–directed attendant care providers; and
HCBS Physical Disability waiver consumer–directed attendant care and
personal emergency response providers.
• Home– and
Community–Based Service (HCBS) waiver home health providers shall be paid
the maximum Medicare rate.
These amendments do not provide for waivers because the
legislature directed these changes and they confer a benefit. Exceptions to the
amended limits and from particular requirements regarding these services can be
requested under the Department’s general rule on exceptions at rule
441— 1.8(17A).
It is anticipated these amendments will also be adopted on an
emergency basis by the Council on Human Services at its June 8, 2000, meeting to
be effective July 1, 2000.
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 July 5, 2000.
Oral presentations may be made by persons appearing at the
following meetings. Written comments will also be accepted at these
times.
Cedar Rapids—July 11, 2000 9 a.m.
Cedar Rapids Regional Office
Iowa Building – Suite 600
Sixth Floor Conference Room
411 Third St. S.E.
Cedar Rapids, Iowa 52401
Council Bluffs—July 5, 2000 9 a.m.
Administrative Conference Room
Council Bluffs Regional Office
417 E. Kanesville Boulevard
Council Bluffs, Iowa 51501
Davenport—July 10, 2000 9 a.m.
Davenport Area Office
Bicentennial Building – Fifth Floor
Large Conference Room
428 Western
Davenport, Iowa 52801
Des Moines—July 10, 2000 10 a.m.
Des Moines Regional Office
City View Plaza
Conference Room 102
1200 University
Des Moines, Iowa 50314
Mason City—July 7, 2000 11 a.m.
Mason City Area Office
Mohawk Square, Liberty Room
22 North Georgia Avenue
Mason City, Iowa 50401
Ottumwa—July 6, 2000 10 a.m.
Ottumwa Area Office
Conference Room 3
120 East Main
Ottumwa, Iowa 52501
Sioux City—July 7, 2000 2:30 p.m.
Sioux City Regional Office
Fifth Floor
520 Nebraska St.
Sioux City, Iowa 51101
Waterloo—July 5, 2000 10 a.m.
Waterloo Regional Office
Pinecrest Office Building
Conference Room 213
1407 Independence Avenue
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
Bureau of Policy Analysis at (515)281–8440 and advise of special
needs.
These amendments are intended to implement Iowa Code section
249A.4 and 2000 Iowa Acts, House File 2555, section 1, subsection 1, paragraphs
“f,” “h,” and “i.”
The following amendments are proposed.
ITEM 1. Amend rule 441—77.30(249A)
as follows:
Amend subrule 77.30(5) as follows:
77.30(5) Respite care providers.
a. The following providers
agencies may provide respite care
services:
a. (1) Home health agencies
which meet the conditions of participation set forth in 77.30(2)
above that are certified to participate in the Medicare
program.
b. (2) Respite providers certified
under the HCBS MR waiver.
c. (3) Nursing facilities,
intermediate care facilities for the mentally retarded, and hospitals
certified to participate enrolled as providers in the
Iowa Medicaid program.
d. (4) Child Group
living foster care facilities for children licensed by the department
according to 441—Chapters 112 and 114 to 116 and child care
centers licensed according to 441—Chapter 109.
e. (5) Camps
accredited certified by the American Camping
Association.
f. (6) Home care agencies
which that meet the conditions of participation set
forth in subrule 77.30(1).
g. (7) Adult day care providers
which that meet the conditions of participation set
forth in subrule 77.30(3).
(8) Residential care facilities for persons with mental
retardation (RCF/PMR) licensed by the department of inspection and
appeals.
b. Respite providers shall meet the following
conditions:
(1) Providers shall maintain the following information that
shall be updated at least annually:
1. The consumer’s name, birth date, age, and address
and the telephone number of each parent, guardian or primary
caregiver.
2. An emergency medical care release.
3. Emergency contact telephone numbers such as the number
of the consumer’s physician and the parents, guardian, or primary
caregiver.
4. The consumer’s medical issues, including
allergies.
5. The consumer’s daily schedule which includes the
consumer’s preferences in activities or foods or any other special
concerns.
(2) Procedures shall be developed for the dispensing,
storage, authorization, and recording of all prescription and nonprescription
medications administered. Home health agencies must follow Medicare regulations
for medication dispensing.
All medications shall be stored in their original
containers, with the accompanying physician’s or pharmacist’s
directions and label intact. Medications shall be stored so they are
inaccessible to consumers and the public. Nonprescription medications shall be
labeled with the consumer’s name.
In the case of medications that are administered on an
ongoing, long–term basis, authorization shall be obtained for a period not
to exceed the duration of the prescription.
(3) Policies shall be developed for:
1. Notifying the parent, guardian, or primary caregiver of
any injuries or illnesses that occur during respite provision. A
parent’s, guardian’s or primary caregiver’s signature is
required to verify receipt of notification.
2. Requiring the parent, guardian or primary caregiver to
notify the respite provider of any injuries or illnesses that occurred prior to
respite provision.
3. Documenting activities and times of respite. This
documentation shall be made available to the parent, guardian or primary
caregiver upon request.
4. Ensuring the safety and privacy of the individual.
Policies shall at a minimum address threat of fire, tornado, or flood and bomb
threats.
c. A facility providing respite under this subrule shall
not exceed the facility’s licensed capacity, and services shall be
provided in locations consistent with licensure.
d. Respite provided outside the consumer’s home or
the facility covered by the licensure, certification, accreditation, or contract
must be approved by the parent, guardian or primary caregiver and the
interdisciplinary team and must be consistent with the way the location is used
by the general public. Respite in these locations shall not exceed 72
continuous hours.
Adopt the following new subrule:
77.30(8) Interim medical monitoring and treatment
providers.
a. The following providers may provide interim medical
monitoring and treatment services:
(1) Licensed child care centers.
(2) Registered group child care homes.
(3) Registered family child care homes.
(4) Home health agencies certified to participate in the
Medicare program.
b. Staff requirements. Staff members providing interim
medical monitoring and treatment services to consumers shall meet all of the
following requirements:
(1) Be at least 18 years of age.
(2) Not be the spouse of the consumer or a parent or
stepparent of the consumer if the consumer is aged 17 or under.
(3) Not be a usual caregiver of the consumer.
(4) Be qualified by training or experience, as determined by
the usual caregivers and a licensed medical professional on the consumer’s
interdisciplinary team and documented in the service plan, to provide medical
intervention or intervention in a medical emergency necessary to carry out the
consumer’s plan of care.
ITEM 2. Amend subrule 77.33(6) as
follows:
77.33(6) Respite care providers.
a. The following providers
agencies may provide respite care
services:
a. (1) Home health agencies
certified by Medicare that are certified to participate in
the Medicare program.
b. (2) Nursing facilities and
hospitals certified to participate enrolled as providers
in the Iowa Medicaid program.
c. (3) Camps
accredited certified by the American Camping
Association.
d. (4) Respite providers certified
under the HCBS MR waiver.
e. (5) Home care agencies
which that meet the conditions of participation set
forth in subrule 77.33(4).
f. (6) Adult day care providers
which that meet the conditions set forth in subrule
77.33(1).
b. Respite providers shall meet the following conditions:
(1) Providers shall maintain the following information that
shall be updated at least annually:
1. The consumer’s name, birth date, age, and address
and the telephone number of the spouse, guardian or primary
caregiver.
2. An emergency medical care release.
3. Emergency contact telephone numbers such as the number
of the consumer’s physician and the spouse, guardian, or primary
caregiver.
4. The consumer’s medical issues, including
allergies.
5. The consumer’s daily schedule which includes the
consumer’s preferences in activities or foods or any other special
concerns.
(2) Procedures shall be developed for the dispensing,
storage, authorization, and recording of all prescription and nonprescription
medications administered. Home health agencies must follow Medicare regulations
for medication dispensing.
All medications shall be stored in their original
containers, with the accompanying physician’s or pharmacist’s
directions and label intact. Medications shall be stored so they are
inaccessible to consumers and the public. Nonprescription medications shall be
labeled with the consumer’s name.
In the case of medications that are administered on an
ongoing, long–term basis, authorization shall be obtained for a period not
to exceed the duration of the prescription.
(3) Policies shall be developed for:
1. Notifying the spouse, guardian, or primary caregiver of
any injuries or illnesses that occur during respite provision. A
spouse’s, guardian’s or primary caregiver’s signature is
required to verify receipt of notification.
2. Requiring the spouse, guardian or primary caregiver to
notify the respite provider of any injuries or illnesses that occurred prior to
respite provision.
3. Documenting activities and times of respite. This
documentation shall be made available to the spouse, guardian or primary
caregiver upon request.
4. Ensuring the safety and privacy of the individual.
Policies shall at a minimum address threat of fire, tornado, or flood and bomb
threats.
c. A facility providing respite under this subrule shall
not exceed the facility’s licensed capacity, and services shall be
provided in locations consistent with licensure.
d. Respite provided outside the consumer’s home or
the facility covered by the licensure, certification, accreditation, or contract
must be approved by the spouse, guardian or primary caregiver and the
interdisciplinary team and must be consistent with the way the location is used
by the general public. Respite in these locations shall not exceed 72
continuous hours.
ITEM 3. Amend subrule 77.34(5) as
follows:
77.34(5) Respite care providers. Respite care
providers shall be:
a. The following agencies may provide respite
services:
a. (1) Home health agencies
which meet the conditions of participation set forth in
77.34(2) that are certified to participate in the Medicare
program.
b. (2) Nursing facilities,
intermediate care facilities for the mentally retarded, or hospitals
certified to participate enrolled as providers in the
Iowa Medicaid program.
c. (3) Respite providers certified
under the HCBS MR waiver.
d. (4) Child Group
living foster care facilities for children licensed by the department
according to 441—Chapters 112 and 114 to 116 and child care
centers licensed according to 441—Chapter 109.
e. (5) Camps
accredited certified by the American Camping
Association.
f. (6) Home care agencies
which that meet the conditions of participation set
forth in subrule 77.34(3).
g. (7) Adult day care providers
which that meet the conditions of participation set
forth in subrule 77.34(7).
b. Respite providers shall meet the following conditions:
(1) Providers shall maintain the following information that
shall be updated at least annually:
1. The consumer’s name, birth date, age, and address
and the telephone number of each parent, guardian or primary
caregiver.
2. An emergency medical care release.
3. Emergency contact telephone numbers such as the number
of the consumer’s physician and the parents, guardian, or primary
caregiver.
4. The consumer’s medical issues, including
allergies.
5. The consumer’s daily schedule which includes the
consumer’s preferences in activities or foods or any other special
concerns.
(2) Procedures shall be developed for the dispensing,
storage, authorization, and recording of all prescription and nonprescription
medications administered. Home health agencies must follow Medicare regulations
for medication dispensing.
All medications shall be stored in their original
containers, with the accompanying physician’s or pharmacist’s
directions and label intact. Medications shall be stored so they are
inaccessible to consumers and the public. Nonprescription medications shall be
labeled with the consumer’s name.
In the case of medications that are administered on an
ongoing, long–term basis, authorization shall be obtained for a period not
to exceed the duration of the prescription.
(3) Policies shall be developed for:
1. Notifying the parent, guardian, or primary caregiver of
any injuries or illnesses that occur during respite provision. A
parent’s, guardian’s or primary caregiver’s signature is
required to verify receipt of notification.
2. Requiring the parent, guardian or primary caregiver to
notify the respite provider of any injuries or illnesses that occurred prior to
respite provision.
3. Documenting activities and times of respite. This
documentation shall be made available to the parent, guardian or primary
caregiver upon request.
4. Ensuring the safety and privacy of the individual.
Policies shall at a minimum address threat of fire, tornado, or flood and bomb
threats.
c. A facility providing respite under this subrule shall
not exceed the facility’s licensed capacity, and services shall be
provided in locations consistent with licensure.
d. Respite provided outside the consumer’s home or
the facility covered by the licensure, certification, accreditation, or contract
must be approved by the parent, guardian or primary caregiver and the
interdisciplinary team and must be consistent with the way the location is used
by the general public. Respite in these locations shall not exceed 72
continuous hours.
ITEM 4. Amend rule 441—77.37(249A)
as follows:
Amend the introductory paragraph as follows:
441—77.37(249A) HCBS MR waiver service providers.
Supported community living and supported employment providers shall be
eligible to participate as approved HCBS MR service providers in the Medicaid
program based on theoutcome–based standards set forth below in subrules
77.37(1) and 77.37(2) evaluated according to subrules 77.37(10) to 77.37(12),
the requirements of subrules 77.37(3) to 77.37(9), and the applicable subrules
pertaining to the individual service. Respite providers shall meet the
conditions set forth in subrules 77.37(1) and 77.37(15). Home and vehicle
modification shall meet the conditions set forth in subrule 77.37(17). Personal
emergency response system providers shall meet the conditions set forth in
subrule 77.37(18). Nursing providers shall meet the conditions set forth in
subrule 77.37(19). Home health aide providers shall meet the conditions set
forth in subrule 77.37(20). Consumer–directed attendant care providers
shall meet the conditions set forth in subrule 77.37(21). Interim medical
monitoring and treatment providers shall meet the conditions set forth in
subrule 77.37(22).
Amend subrule 77.37(15) as follows:
77.37(15) Respite care providers. The
department will contract only with public or private agencies to provide respite
services. The department does not recognize individuals as service providers
under the respite program.
a. The following agencies may provide HCBS
MR res–pite services:
a. (1) Providers of services
meeting the definition of foster care or day care licensed according to
applicable 441— Chapters 108, 109, 112, 114, 115, and 116.
Group living foster care facilities for children licensed by the department
according to 441—Chapters 112 and 114 to 116 and child care centers
licensed according to 441—Chapter 109.
Providers of services may employ or contract with
individuals meeting the definition of foster family homes or family or group day
care homes to provide respite services. These individuals shall be licensed
according to applicable 441—Chapters 110, 112, and 113.
b. (2) Nursing facilities,
intermediate care facilities for the mentally retarded, and hospitals
certified to participate enrolled as providers in the
Iowa Medicaid program.
c. (3) RCF/MR facilities
certified Residential care facilities for persons with mental
retardation (RCF/PMR) licensed by the department of inspections and
appeals.
d. (4) Home health agencies
provided they that are certified to participate in the
Medicare program (Title XVIII of the Social Security
Act).
e. (5) Day camps provided they
are Camps certified by the American Camping
Association.
f. (6) Adult day health services
accredited by the Joint Commission on Accreditation of Healthcare Organizations
(JCAHO) or the Commission on Accreditation of Rehabilitation Facilities
(CARF).
(7) Home care agencies that meet the home care standards
and requirements set forth in department of public health rules
641—80.5(135) through 641— 80.7(135).
(8) Agencies certified by the department to provide
res–pite services in the consumer’s home that meet the requirements
of 77.37(1) and 77.37(3) through 77.37(9).
b. Respite providers shall meet the following conditions:
(1) Providers shall maintain the following information that
shall be updated at least annually:
1. The consumer’s name, birth date, age, and address
and the telephone number of each parent, guardian or primary
caregiver.
2. An emergency medical care release.
3. Emergency contact telephone numbers such as the number
of the consumer’s physician and the parents, guardian, or primary
caregiver.
4. The consumer’s medical issues, including
allergies.
5. The consumer’s daily schedule which includes the
consumer’s preferences in activities or foods or any other special
concerns.
(2) Procedures shall be developed for the dispensing,
storage, authorization, and recording of all prescription and nonprescription
medications administered. Home health agencies must follow Medicare regulations
for medication dispensing.
All medications shall be stored in their original
containers, with the accompanying physician’s or pharmacist’s
directions and label intact. Medications shall be stored so they are
inaccessible to consumers and the public. Nonprescription medications shall be
labeled with the consumer’s name.
In the case of medications that are administered on an
ongoing, long–term basis, authorization shall be obtained for a period not
to exceed the duration of the prescription.
(3) Policies shall be developed for:
1. Notifying the parent, guardian, or primary caregiver of
any injuries or illnesses that occur during respite provision. A
parent’s, guardian’s or primary caregiver’s signature is
required to verify receipt of notification.
2. Requiring the parent, guardian or primary caregiver to
notify the respite provider of any injuries or illnesses that occurred prior to
respite provision.
3. Documenting activities and times of respite. This
documentation shall be made available to the parent, guardian or primary
caregiver upon request.
4. Ensuring the safety and privacy of the individual.
Policies shall at a minimum address threat of fire, tornado, or flood and bomb
threats.
c. A facility providing respite under this subrule shall
not exceed the facility’s licensed capacity, and services shall be
provided in locations consistent with licensure.
d. Respite provided outside the consumer’s home or
the facility covered by the licensure, certification, accreditation, or contract
must be approved by the parent, guardian or primary caregiver and the
interdisciplinary team and must be consistent with the way the location is used
by the general public. Respite in these locations shall not exceed 72
continuous hours.
Adopt the following new subrule:
77.37(22) Interim medical monitoring and treatment
providers.
a. The following providers may provide interim medical
monitoring and treatment services:
(1) Licensed child care centers.
(2) Registered group child care homes.
(3) Registered family child care homes.
(4) Home health agencies certified to participate in the
Medicare program.
b. Staff requirements. Staff members providing interim
medical monitoring and treatment services to consumers shall meet all of the
following requirements:
(1) Be at least 18 years of age.
(2) Not be the spouse of the consumer or a parent or
stepparent of the consumer if the consumer is aged 17 or under.
(3) Not be a usual caregiver of the consumer.
(4) Be qualified by training or experience, as determined by
the usual caregivers and a licensed medical professional on the consumer’s
interdisciplinary team and documented in the service plan, to provide medical
intervention or intervention in a medical emergency necessary to carry out the
consumer’s plan of care.
ITEM 5. Amend rule 441—77.39(249A)
as follows:
Amend the introductory paragraph as follows:
441—77.39(249A) HCBS brain injury waiver service
providers. Adult day care, behavioral programming, case management,
consumer–directed attendant care, family counseling and training, home and
vehicle modification, interim medical monitoring and treatment, personal
emergency response, prevocational service, respite, specialized medical
equipment, supported community living, supported employment, and transportation
providers shall be eligible to participate as approved brain injury waiver
service providers in the Medicaid program based on the applicable subrules
pertaining to the individual service and provided that they and each of their
staff involved in direct consumer service have training regarding or experience
with consumers who have a brain injury. In addition, behavioral programming,
supported community living, and supported employment providers shall meet the
outcome–based standards set forth below in subrules 77.39(1) and 77.39(2)
evaluated according to subrules 77.39(8) to 77.39(10), and the requirements of
subrules 77.39(3) to 77.39(7). Respite providers shall also meet the standards
in subrule 77.39(1).
Amend subrule 77.39(14) as follows:
77.39(14) Respite service providers. The
department shall enter into a formal agreement only with public or private
agencies to provide respite services. The department does not recognize
individuals as service providers under the respite program. The
following Respite providers are eligible to be providers of
respite service in the HCBS brain injury waiver if they have documented training
or experience with persons with a brain injury.
a. The following agencies may provide respite
services:
a. (1) Respite providers certified
under the HCBS mental retardation waiver.
b. (2) Providers of respite
services which have been approved as a Medicaid vendor may provide in–home
home health aid respite services or out–of–home medical facility
respite services. Adult day health service providers accredited by
the Joint Commission on Accreditation of Healthcare Organizations (JCAHO) or the
Commission on Accreditation of Rehabilitation Facilities (CARF).
c. (3) Child Group
living foster care facilities for children licensed by the department
according to 441—Chapters 112 and 114 to 116 and child care
centers licensed according to 441—Chapter 109.
d. (4) Camps
accredited certified by the American Camping
Association.
e. (5) Home care providers
meeting agencies that meet the conditions of participation set
forth in subrule 77.30(1).
f. Providers of services meeting the definition of
foster care or day care shall also be licensed according to applicable standards
of 441—Chapters 108, 109, 112, 114, 115, and 116.
g. Providers of services may employ or contract with
individuals meeting the definition of foster family homes or family or group day
care homes to provide respite services. These individuals shall be licensed
according to applicable 441—Chapters 110, 112, and 113.
h. (6) Nursing facilities,
intermediate care facilities for the mentally retarded, and hospitals
certified to participate enrolled as providers in the
Iowa Medicaid program.
i. (7) RCF/MR
Residential care facilities for persons with mental retardation
(RCF/PMR) certified licensed by the department of
inspections and appeals.
j. (8) Home health agencies
provided they that are certified to participate in the
Medicare program (Title XVIII of the Social Security
Act).
(9) Agencies certified by the department to provide
res–pite services in the consumer’s home that meet the requirements
of subrules 77.39(1) and 77.39(3) through 77.39(7).
b. Respite providers shall meet the following
conditions:
(1) Providers shall maintain the following information that
shall be updated at least annually:
1. The consumer’s name, birth date, age, and address
and the telephone number of each parent, guardian or primary
caregiver.
2. An emergency medical care release.
3. Emergency contact telephone numbers such as the number
of the consumer’s physician and the parents, guardian, or primary
caregiver.
4. The consumer’s medical issues, including
allergies.
5. The consumer’s daily schedule which includes the
consumer’s preferences in activities or foods or any other special
concerns.
(2) Procedures shall be developed for the dispensing,
storage, authorization, and recording of all prescription and nonprescription
medications administered. Home health agencies must follow Medicare regulations
for medication dispensing.
All medications shall be stored in their original
containers, with the accompanying physician’s or pharmacist’s
directions and label intact. Medications shall be stored so they are
inaccessible to consumers and the public. Nonprescription medications shall be
labeled with the consumer’s name.
In the case of medications that are administered on an
ongoing, long–term basis, authorization shall be obtained for a period not
to exceed the duration of the prescription.
(3) Policies shall be developed for:
1. Notifying the parent, guardian, or primary caregiver of
any injuries or illnesses that occur during respite provision. A
parent’s, guardian’s or primary caregiver’s signature is
required to verify receipt of notification.
2. Requiring the parent, guardian or primary caregiver to
notify the respite provider of any injuries or illnesses that occurred prior to
respite provision.
3. Documenting activities and times of respite. This
documentation shall be made available to the parent, guardian or primary
caregiver upon request.
4. Ensuring the safety and privacy of the individual.
Policies shall at a minimum address threat of fire, tornado, or flood and bomb
threats.
c. A facility providing respite under this subrule shall
not exceed the facility’s licensed capacity, and services shall be
provided in locations consistent with licensure.
d. Respite provided outside the consumer’s home or
the facility covered by the licensure, certification, accreditation, or contract
must be approved by the parent, guardian or primary caregiver and the
interdisciplinary team and must be consistent with the way the location is used
by the general public. Respite in these locations shall not exceed 72
continuous hours.
Adopt the following new subrule:
77.39(25) Interim medical monitoring and treatment
providers.
a. The following providers may provide interim medical
monitoring and treatment services:
(1) Licensed child care centers.
(2) Registered group child care homes.
(3) Registered family child care homes.
(4) Home health agencies certified to participate in the
Medicare program.
b. Staff requirements. Staff members providing interim
medical monitoring and treatment services to consumers shall meet all of the
following requirements:
(1) Be at least 18 years of age.
(2) Not be the spouse of the consumer or a parent or
stepparent of the consumer if the consumer is aged 17 or under.
(3) Not be a usual caregiver of the consumer.
(4) Be qualified by training or experience, as determined by
the usual caregivers and a licensed medical professional on the consumer’s
interdisciplinary team and documented in the service plan, to provide medical
intervention or intervention in a medical emergency necessary to carry out the
consumer’s plan of care.
ITEM 6. Amend rule 441—78.9(249A)
as follows:
Amend subrule 78.9(3), introductory paragraph, as
follows:
78.9(3) Skilled nursing services. Skilled nursing
services are services that when performed by a home health agency require a
licensed registered nurse or licensed practical nurse to perform. Situations
when a service can be safely performed by the recipient or other nonskilled
person who has received the proper training or instruction or when there is no
one else to perform the service are not considered a “skilled nursing
service.” Skilled nursing services shall be available only on an
intermittent basis. Intermittent services for skilled nursing services shall be
defined as a medically predictable recurring need requiring a skilled nursing
service at least once every 60 days, not to exceed five days per week (except
as provided below), with an attempt to have a predictable end. Daily visits
(six or seven days per week) that are reasonable and necessary and show
an attempt to have a predictable end shall be covered for up to three weeks.
Coverage of additional daily visits beyond the initial anticipated time frame
may be appropriate for a short period of time, based on the medical necessity of
service. Medical documentation shall be submitted justifying the need for
continued visits, including the physician’s estimate of the length of time
that additional visits will be necessary. Daily skilled nursing visits or
multiple daily visits for wound care or insulin injections shall be covered when
ordered by a physician and included in the plan of care.
Daily Other daily skilled nursing visits which are
ordered for an indefinite period of time and designated as daily skilled nursing
care do not meet the intermittent definition and shall be denied.
Amend subrule 78.9(7), paragraph
“c,” introductory paragraph, as follows:
c. Services shall be provided on an intermittent basis.
“Intermittent basis” for home health agency services is defined as
services that are usually two to three times a week for two to three hours at a
time. Services provided for four to seven days per week, not to exceed 28
hours per week, when ordered by a physician and included in a plan of care shall
be allowed as intermittent services. Increased services provided when
medically necessary due to unusual circumstances on a short–term basis of
two to three weeks may also be allowed as intermittent services when the home
health agency documents the need for the excessive time required for home health
aide services.
ITEM 7. Amend rule 441—78.34(249A)
as follows:
Amend subrule 78.34(5) as follows:
78.34(5) Respite care services. Respite care services
are temporary care to a client to provide relief to the usual informal
caregiver and provide all the care the usual caregiver would provide
services provided to the consumer that give temporary relief to the usual
caregiver and provide all the necessary care that the usual caregiver would
provide during that time period. The purpose of respite care is to
enable the consumer to remain in the consumer’s current living
situation.
a. If the respite care is provided in the
client’s home, only the cost of care is reimbursed. Services
provided outside the consumer’s home shall not be reimbursable if the
living unit where respite is provided is reserved for another person on a
temporary leave of absence.
b. If the respite care is provided outside of the
client’s home, charges may include room and board.
Staff–to–consumer ratios shall be appropriate to the individual
needs of the consumer as determined by the consumer’s interdisciplinary
team.
c. A unit of service is either one 24–hour day
for out–of–home respite care provided by a facility or camp, one
4– to 8–hour period of time for in–home respite care provided
by a home health agency, or one hour for respite care provided by an adult day
care provider, HCBS MR waiver provider, home care agency, day camp, or home
health agency when the home health agency provides one to three hours of respite
service one hour.
d. Respite care is not to be provided to persons aged
17 or under during the hours in which the usual caregiver is employed
except when the provider is a camp providing a 24–hour
service.
e. The interdisciplinary team shall determine if the
consumer will receive basic individual respite, specialized res–pite, or
group respite as defined in rule 441—83.1(249A).
f. A maximum of 14 consecutive days of 24–hour
respite care may be reimbursed.
g. Respite services provided for a period exceeding 24
consecutive hours to three or more individuals who require nursing care because
of a mental or physical condition must be provided by a health care facility
licensed as described in Iowa Code chapter 135C.
Adopt the following new subrule:
78.34(8) Interim medical monitoring and treatment
services. Interim medical monitoring and treatment services are monitoring and
treatment of a medical nature requiring specially trained caregivers beyond what
is normally available in a day care setting. The services must be needed to
allow the consumer’s usual caregivers to be employed or, for a limited
period of time, for academic or vocational training of a usual caregiver; due to
the hospitalization, treatment for physical or mental illness, or death of a
usual caregiver; or during a search for employment by a usual
caregiver.
a. Service requirements. Interim medical monitoring and
treatment services shall:
(1) Provide experiences for each consumer’s social,
emotional, intellectual, and physical development;
(2) Include comprehensive developmental care and any special
services for a consumer with special needs; and
(3) Include medical assessment, medical monitoring, and
medical intervention as needed on a regular or emergency basis.
b. Interim medical monitoring and treatment services may
include supervision to and from school.
c. Limitations.
(1) A maximum of 12 one–hour units of service is
available per day.
(2) Covered services do not include a complete nutritional
regimen.
(3) Interim medical monitoring and treatment services may not
duplicate any regular Medicaid or waiver services provided under the state
plan.
(4) Interim medical monitoring and treatment services may be
provided only in the consumer’s home, in a registered group child care
home, in a registered family child care home, in a licensed child care center,
or during transportation to and from school.
(5) The staff–to–consumer ratio shall not be less
than one to six.
d. A unit of service is one hour.
ITEM 8. Amend rule 441—78.37(249A)
as follows:
Amend subrule 78.37(6) as follows:
78.37(6) Respite care services. Respite care services
are temporary care to a client to provide relief to the usual informal
caregiver and provide all the care the usual caregiver would provide
services provided to the consumer that give temporary relief to the usual
caregiver and provide all the necessary care that the usual caregiver would
provide during that time period. The purpose of respite care is to
enable the consumer to remain in the consumer’s current living
situation.
a. If the respite care is provided in the
client’s home, only the cost of care is reimbursed. Services
provided outside the consumer’s home shall not be reimbursable if the
living unit where respite is provided is reserved for another person on a
temporary leave of absence.
b. If the respite care is provided outside of the
client’s home, charges may include room and board.
Staff–to–consumer ratios shall be appropriate to the individual
needs of the consumer as determined by the consumer’s interdisciplinary
team.
c. A unit of service is either one 24–hour day
for out–of–home respite care provided by a facility or camp, one
4– to 8–hour period of time for in–home respite care provided
by a home health agency, or one hour for respite care provided by an adult day
care provider, HCBS MR waiver provider, home care agency, day camp, or home
health agency when the home health agency provides one to three hours of respite
service one hour.
d. Rescinded IAB 3/30/94, effective 6/1/94.
The interdisciplinary team shall determine if the consumer will receive basic
individual respite, specialized respite or group respite as defined in rule
441—83.21(249A).
e. When respite care is provided, the provision of, or payment
for, other duplicative services under the waiver is precluded.
f. A maximum of 14 consecutive days of 24–hour
respite care may be reimbursed.
g. Respite services provided for a period exceeding 24
consecutive hours to three or more individuals who require nursing care because
of a mental or physical condition must be provided by a health care facility
licensed as described in Iowa Code chapter 135C.
h. Respite care is not to be provided to persons during the
hours in which the usual caregiver is employed except when the provider is a
camp.
Amend subrule 78.37(15), paragraph
“c,” as follows:
c. A unit of service provided by an individual or an
agency, other than an assisted living program, is 1 hour, or one 8– to
24–hour day provided by an individual or an agency.
When provided by an assisted living program, a unit of service is one
calendar month. If services are provided by an assisted living program for less
than one full calendar month, the monthly reimbursement rate shall be prorated
based on the number of days service is provided. Each
Except for services provided by an assisted living program, each service
shall be billed in whole units.
ITEM 9. Amend subrule 78.38(5) as
follows:
78.38(5) Respite care services. Respite care services
are temporary care to a client to provide relief to the usual informal
caregiver and provide all the care the usual caregiver would provide
services provided to the consumer that give temporary relief to the usual
caregiver and provide all the necessary care that the usual caregiver would
provide during that time period. The purpose of respite care is to
enable the consumer to remain in the consumer’s current living
situation.
a. If the respite care is provided in the
client’s home, only the cost of care is reimbursed. Services
provided outside the consumer’s home shall not be reimbursable if the
living unit where respite is provided is otherwise reserved for another person
on a temporary leave of absence.
b. If the respite care is provided outside of the
client’s home, charges may include room and board.
Staff–to–consumer ratios shall be appropriate to the individual
needs of the consumer as determined by the consumer’s interdisciplinary
team.
c. A unit of service is either one 24–hour day
for out–of–home respite care provided by a facility or camp, one
4– to 8–hour period of time for in–home respite care provided
by a home health agency, or one hour for respite care provided by an adult day
care provider, HCBS MR waiver provider, home care agency, day camp, or home
health agency when the home health agency provides one to three hours of respite
service one hour.
d. Rescinded IAB 3/30/94, effective 6/1/94.
The interdisciplinary team shall determine if the consumer will receive basic
individual respite, specialized respite or group respite as defined in rule
441—83.41(249A).
e. When respite care is provided, the
provision of, or payment for, other duplicative services under the waiver is
precluded.
f. A maximum of 14 consecutive days of 24–hour
respite care may be reimbursed.
g. Respite services provided for a period exceeding 24
consecutive hours to three or more individuals who require nursing care because
of a mental or physical condition must be provided by a health care facility
licensed as described in Iowa Code chapter 135C.
h. Respite care is not to be provided to persons during the
hours in which the usual caregiver is employed except when the provider is a
camp.
ITEM 10. Amend rule 441—78.41(249A)
as follows:
Amend subrule 78.41(2) as follows:
78.41(2) Respite services. Respite services
are those services provided to consumers who are unable to care for themselves
living with persons manually providing their care. Respite is short–term
relief provided in the absence of the family or legal representative normally
providing the care. Service activities shall be documented in the consumer
record. Respite care services are services provided to the consumer
that give temporary relief to the usual caregiver and provide all the necessary
care that the usual caregiver would provide during that time period. The
purpose of res–pite care is to enable the consumer to remain in the
consumer’s current living situation.
a. Services provided outside the consumer’s home
shall not be reimbursable if the living unit where the respite is
provided is otherwise reserved for persons
another person on a temporary leave of absence.
b. For respite services provided in the
consumer’s home, only the cost of care is reimbursed. Room and board is
excluded from reimbursement. Staff–to–consumer ratios
shall be appropriate to the individual needs of the consumer as determined by
the consumer’s interdisciplinary team.
c. For respite services provided out of the home,
charges may include room and board.
d c. A unit of service is one hour
for nonfacility care or one day for facility care. One
day equals 24 hours.
e d. A maximum of 576 hours
are available per 12–month period. A maximum of 336 hours may be used in
any calendar month. One unit of nonfacility care counts as one hour. One unit
of facility care counts as 24 hours. Payment for res–pite
services shall not exceed $7,050 per the consumer’s waiver
year.
f e. The service shall be identified
in the consumer’s individual comprehensive plan.
g f. Respite services shall not be
simultaneously reimbursed with other residential or respite services, HCBS MR
waiver supported community living services, Medicaid or HCBS MR nursing, or
Medicaid or HCBS MR home health aide services.
g. Respite care is not to be provided to persons during the
hours in which the usual caregiver is employed except when the provider is a
camp.
h. The interdisciplinary team shall determine if the
consumer will receive basic individual respite, specialized res–pite or
group respite as defined in rule 441—83.60(249A).
i. A maximum of 14 consecutive days of 24–hour
respite care may be reimbursed.
j. Respite services provided for a period exceeding 24
consecutive hours to three or more individuals who require nursing care because
of a mental or physical condition must be provided by a health care facility
licensed as described in Iowa Code chapter 135C.
Adopt the following new subrule:
78.41(9) Interim medical monitoring and treatment
services. Interim medical monitoring and treatment services are monitoring and
treatment of a medical nature requiring specially trained caregivers beyond what
is normally available in a day care setting. The services must be needed to
allow the consumer’s usual caregivers to be employed or, for a limited
period of time, for academic or vocational training of a usual caregiver; due to
the hospitalization, treatment for physical or mental illness, or death of a
usual caregiver; or during a search for employment by a usual
caregiver.
a. Service requirements. Interim medical monitoring and
treatment services shall:
(1) Provide experiences for each consumer’s social,
emotional, intellectual, and physical development;
(2) Include comprehensive developmental care and any special
services for a consumer with special needs; and
(3) Include medical assessment, medical monitoring, and
medical intervention as needed on a regular or emergency basis.
b. Interim medical monitoring and treatment services may
include supervision to and from school.
c. Limitations.
(1) A maximum of 12 one–hour units of service is
available per day.
(2) Covered services do not include a complete nutritional
regimen.
(3) Interim medical monitoring and treatment services may not
duplicate any regular Medicaid or waiver services provided under the state
plan.
(4) Interim medical monitoring and treatment services may be
provided only in the consumer’s home, in a registered group child care
home, in a registered family child care home, in a licensed child care center,
or during transportation to and from school.
(5) The staff–to–consumer ratio shall not be less
than one to six.
d. A unit of service is one hour.
ITEM 11. Amend rule 441—78.43(249A)
as follows:
Amend subrule 78.43(3) as follows:
78.43(3) Respite services. Respite services
are those services provided to consumers who are unable to care for themselves
living with their family or legal representative. Respite is short–term
relief provided in the absence of the family or legal representative normally
providing the care. Service activities shall be documented in the consumer
record. Respite care services are services provided to the consumer
that give temporary relief to the usual caregiver and provide all the necessary
care that the usual caregiver would provide during that time period. The
purpose of respite care is to enable the consumer to remain in the
consumer’s current living situation.
a. Rescinded IAB 12/3/97, effective 2/1/98.
Services provided outside the consumer’s home shall not be reimbursable
if the living unit where respite is provided is reserved for another person on a
temporary leave of absence.
b. If the respite care is provided in the
consumer’s home, only the cost of care is reimbursed.
Staff–to–consumer ratios shall be appropriate to the individual
needs of the consumer as determined by the consumer’s interdisciplinary
team.
c. If the respite care is provided outside of the
consumer’s home, charges may include room and board.
d c. A unit of service is
either one 24–hour day for out–of–home respite care
provided by a facility or camp, one 4– to 8–hour day for
in–home respite care provided by a home health aid
agency, or one hour for respite care provided by an HCBS MR or HCBS brain injury
waiver provider, homemaker agency, or camp one hour.
e d. Respite care is not to be
provided to persons aged 17 or under during the hours in which
the usual caregiver is employed except when the provider is a camp
providing a 24–hour service.
f e. Respite services shall not be
simultaneously reimbursed with other residential or respite services, HCBS brain
injury waiver supported community living services, Medicaid nursing, or Medicaid
home health aide services.
g f. For respite services
provided through in–home health or through an out–of–home
medical facility, the consumer must have medical needs, meet skilled level of
care criteria, or be technologically dependent. The
interdisciplinary team shall determine if the consumer will receive basic
individual respite, specialized respite or group respite as defined in rule
441—83.81(249A).
g. A maximum of 14 consecutive days of 24–hour
respite care may be reimbursed.
h. Respite services provided for a period exceeding 24
consecutive hours to three or more individuals who require nursing care because
of a mental or physical condition must be provided by a health care facility
licensed as described in Iowa Code chapter 135C.
Adopt the following new subrule:
78.43(14) Interim medical monitoring and treatment
services. Interim medical monitoring and treatment services are monitoring and
treatment of a medical nature requiring specially trained caregivers beyond what
is normally available in a day care setting. The services must be needed to
allow the consumer’s usual caregivers to be employed or, for a limited
period of time, for academic or vocational training of a usual caregiver; due to
the hospitalization, treatment for physical or mental illness, or death of a
usual caregiver; or during a search for employment by a usual
caregiver.
a. Service requirements. Interim medical monitoring and
treatment services shall:
(1) Provide experiences for each consumer’s social,
emotional, intellectual, and physical development;
(2) Include comprehensive developmental care and any special
services for a consumer with special needs; and
(3) Include medical assessment, medical monitoring, and
medical intervention as needed on a regular or emergency basis.
b. Interim medical monitoring and treatment services may
include supervision to and from school.
c. Limitations.
(1) A maximum of 12 one–hour units of service is
available per day.
(2) Covered services do not include a complete nutritional
regimen.
(3) Interim medical monitoring and treatment services may not
duplicate any regular Medicaid or waiver services provided under the state
plan.
(4) Interim medical monitoring and treatment services may be
provided only in the consumer’s home, in a registered group child care
home, in a registered family child care home, in a licensed child care center,
or during transportation to and from school.
(5) The staff–to–consumer ratio shall not be less
than one to six.
d. A unit of service is one hour.
ITEM 12. Amend rule 441—79.1(249A)
as follows:
Amend subrule 79.1(2), basis of reimbursement provider
categories of “HCBS AIDS/HIV waiver service providers,” “HCBS
brain injury waiver service providers,” “HCBS elderly waiver service
providers,” “HCBS ill and handicapped waiver service
providers,” “HCBS MR waiver service providers,” and
“HCBS physical disability waiver service providers,” as
follows:
Provider category
|
Basis of reimbursement
|
Upper limit
|
HCBS AIDS/HIV waiver service providers, including:
|
|
|
1. Counseling
|
|
|
Individual:
|
Fee schedule
|
$10 $10.07 per unit
|
Group:
|
Fee schedule
|
$39.98 $40.26 per hour
|
2. Home health aide
|
Retrospective cost–related
|
Maximum Medicaid Medicare rate
in effect on 6/30/99 plus 2%
|
3. Homemaker
|
Fee schedule
|
$18.36 $18.49 per hour
|
4. Nursing care
|
Agency’s financial and statistical cost report and
Medicare percentage rate per visit
|
Cannot exceed $74.25 $74.77 per
visit
|
5. Respite care providers, including:
|
|
|
In–home:
|
|
|
Home health agency
|
Fee schedule
|
$106.08 per 4– to 8–hour
unit
|
Out–of–home:
|
|
|
Nursing facility, or intermediate care facility for
the mentally retarded
|
Prospective reimbursement
|
Limit for nursing facility level of
care
|
Hospital or skilled nursing
facility
|
Prospective reimbursement
|
Limit for skilled nursing facility level of
care
|
Foster group care
|
Prospective reimbursement
|
P.O.S. contract rate
|
Foster family care
|
Fee schedule
|
(See 441—subrule 156.11(2))
|
Camps
|
Fee schedule
|
$117.30 per day
|
Hourly rate providers:
|
|
|
Adult day care
|
Fee schedule
|
$12.24 per hour
|
HCBS MR waiver
|
Fee schedule
See
79.1(15)
|
$12.24 per hour
|
Home care agency
|
Fee schedule
|
$12.24 per hour
|
Home health agency
|
Fee schedule
|
$12.24 per hour
|
Day camp
|
Fee schedule
|
$12.24 per hour
|
Home health agency:
|
|
|
Specialized respite
|
Rate for nursing services provided by a home health agency
(encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Basic individual respite
|
Rate for home health aide services provided by a home
health agency (encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Home care agency:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Nonfacility care:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Facility care:
|
|
|
Hospital or nursing facility providing skilled
care
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for skilled
nursing facility level of care
|
Nursing facility
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for nursing
facility level of care
|
Intermediate care facility for the mentally
retarded
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for ICF/MR
level of care
|
Foster group care
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem rate for
rehabilitative treatment and supportive services
|
Camps
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Adult day care
|
$12.24 per hour
|
$12.24 per hour not to exceed rate for regular adult day
care services
|
Child care facilities
|
$12.24 per hour
|
$12.24 per hour not to exceed contractual daily per
diem
|
6. Home–delivered meal providers
|
Fee schedule
|
$7.14 $7.19 per meal. Maximum of 14
meals per week
|
7. Adult day care
|
Fee schedule
|
Veterans administration contract rate or
$20.40 $20.54 per half day, $40.80
$41.09 per full day, or $61.20 $61.63 per
extended day if no veterans administration contract.
|
8. Consumer–directed attendant care:
|
|
|
Agency provider
|
Fee agreed upon by consumer and provider
|
$18.36 $18.49 per hour
$106.08 $106.82 per day
|
Individual provider
|
Fee agreed upon by consumer and provider
|
$12.24 $12.33 per hour
$71.40 $71.90 per day
|
HCBS brain injury waiver service providers,
including:
|
|
|
1. Supported community living
|
No change
|
|
2. Respite care providers, including:
|
|
|
Nonfacility care:
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour. $106.08 per 4– to 8–hour
day
|
Facility care:
|
|
|
Hospital or skilled nursing
facility
|
Prospective reimbursement
|
Limit for skilled nursing facility level of
care
|
Nursing facility, or intermediate care facility for
the mentally retarded
|
Prospective reimbursement
|
Limit for nursing facility level of
care
|
Foster group care
|
Prospective reimbursement. See
441—185.106(234)
|
Rehabilitative treatment and supportive services
rate
|
Home health agency:
|
|
|
Specialized respite
|
Rate for nursing services provided by a home health agency
(encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Basic individual respite
|
Rate for home health aide services provided by a home
health agency (encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Home care agency:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Nonfacility care:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Facility care:
|
|
|
Hospital or nursing facility providing skilled
care
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for skilled
nursing facility level of care
|
Nursing facility
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for nursing
facility level of care
|
Intermediate care facility for the mentally
retarded
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for ICF/MR
level of care
|
Residential care facilities for persons with mental
retardation
|
$12.24 per hour
|
$12.24 per hour not to exceed contractual daily per
diem
|
Foster group care
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem rate for
rehabilitative treatment and supportive services
|
Camps
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Adult day care
|
$12.24 per hour
|
$12.24 per hour not to exceed rate for regular adult day
care services
|
Child care facilities
|
$12.24 per hour
|
$12.24 per hour not to exceed contractual daily per
diem
|
3. Personal emergency response system
|
Fee schedule
|
Initial one–time fee of $45.90
$46.22. Ongoing monthly fee of $35.70
$35.95.
|
4. Case management
|
Fee schedule
|
$571.49 $575.49 per month
|
5. Supported employment
|
No change
|
|
6. Transportation
|
No change
|
|
7. Adult day care
|
Fee schedule
|
$20.40 $20.54 per half day,
$40.80 $41.09 per full day, or $61.20
$61.63 per extended day
|
8. Consumer–directed attendant care:
|
|
|
Agency provider
|
Fee agreed upon by consumer and provider
|
$18.36 $18.49 per hour
$106.08 $106.82 per day
|
Individual provider
|
Fee agreed upon by consumer and provider
|
$12.24 $12.33 per hour
$71.40 $71.90 per day
|
9. Home and vehicle modification
|
No change
|
|
10. Specialized medical equipment
|
No change
|
|
11. Behavioral programming
|
Fee schedule
|
$10 $10.07 per 15 minutes
|
12. Family counseling and training
|
Fee schedule
|
$39.98 $40.26 per hour
|
13. Prevocational services
|
Fee schedule.
See 79.1(17)
|
$34.70 $34.94 per day
|
14. Interim medical monitoring and
treatment:
|
|
|
Home health agency:
|
|
|
Provided by home health aide
|
Rate for home health aide services provided by a home
health agency (encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly
rate
|
Provided by nurse
|
Rate for nursing services provided by a home health agency
(encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly
rate
|
Provided by a registered group child care home, registered
family child care home, or licensed child care center
|
Contractual rate.
See 441—170.4(7)
|
$12.24 per hour
|
HCBS elderly waiver service providers, including:
|
|
|
1. Adult day care
|
Fee schedule
|
Veterans administration contract rate or
$20.40 $20.54 per half day, $40.80
$41.09 per full day, or $61.20 $61.63 per
extended day if no veterans administration contract.
|
2. Emergency response system
|
Fee schedule
|
Initial one–time fee $45.90
$46.22. Ongoing monthly fee $35.70
$35.95.
|
3. Home health aides
|
Retrospective cost–related
|
Maximum Medicaid Medicare rate
in effect on 6/30/99 plus 2%
|
4. Homemakers
|
Fee schedule
|
Maximum of $18.36 $18.49 per
hour
|
5. Nursing care
|
Fee schedule as determined by Medicare
|
$74.25 $74.77 per visit
|
6. Respite care providers, including:
|
|
|
In–home:
|
|
|
Home health agency
|
Fee schedule
|
$106.08 per 4– to 8–hour
unit
|
Out–of–home:
|
|
|
Nursing facility
|
Prospective reimbursement
|
Limit for nursing facility level of
care
|
Hospital or skilled nursing
facility
|
Prospective reimbursement
|
Limit for skilled nursing facility level of
care
|
Hourly rate providers:
|
|
|
Adult day care
|
Fee schedule
|
$12.24 per hour
|
Day camp
|
Fee schedule
|
$12.24 per hour
|
Home care agency
|
Fee schedule
|
$12.24 per hour
|
Home health agency
|
Fee schedule
|
$12.24 per hour
|
HCBS MR waiver
|
Fee schedule. See 79.1(15)
|
$12.24 per hour
|
Home health agency:
|
|
|
Specialized respite
|
Rate for nursing services provided by a home health agency
(encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Basic individual respite
|
Rate for home health aide services provided by a home
health agency (encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Home care agency:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Nonfacility care:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Facility care:
|
|
|
Hospital or nursing facility providing skilled
care
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for skilled
nursing facility level of care
|
Nursing facility
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for nursing
facility level of care
|
Camps
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Adult day care
|
$12.24 per hour
|
$12.24 per hour not to exceed rate for regular adult day
care services
|
7. Chore providers
|
Fee schedule
|
$7.14 $7.19 per half hour
|
8. Home–delivered meal providers
|
Fee schedule
|
$7.14 $7.19 per meal. Maximum of 14
meals per week.
|
9. Home and vehicle modification providers
|
No change
|
|
10. Mental health outreach providers
|
No change
|
|
11. Transportation providers
|
No change
|
|
12. Nutritional counseling
|
Fee schedule
|
$7.65 $7.70 per quarter hour
|
13. Assistive devices
|
Fee schedule
|
$102 $102.71 per unit
|
14. Senior companion
|
Fee schedule
|
$6.12 $6.16 per hour
|
15. Consumer–directed attendant care:
|
|
|
Agency provider other than an assisted living program
|
Fee agreed upon by consumer and provider
|
$18.36 $18.49 per hour
$106.08 $106.82 per day
|
Assisted living provider
|
Fee agreed upon by consumer and provider
|
$1,052 per calendar month. Rate must be prorated per day
for a partial month, at a rate not to exceed $34.60 per day.
|
Individual provider
|
Fee agreed upon by consumer and provider
|
$12.24 $12.33 per hour
$71.40 $71.90 per day
|
HCBS ill and handicapped waiver service providers, including:
|
|
|
1. Homemakers
|
Fee schedule
|
Maximum of $18.36 $18.49 per
hour
|
2. Home health aides
|
Retrospective cost–related
|
Maximum Medicaid Medicare rate
in effect on 6/30/99 plus 2%
|
3. Adult day care
|
Fee schedule
|
Veterans administration contract rate or
$20.40 $20.54 per half day, $40.80
$41.09 per full day, or $60.20 $61.63 per
extended day if no veterans administration contract.
|
4. Respite care providers, including:
|
|
|
In–home:
|
|
|
Home health agency
|
Fee schedule
|
$106.08 per 4– to 8–hour
unit
|
Out–of–home:
|
|
|
Hospital or skilled nursing
facility
|
Prospective reimbursement
|
Limit for skilled nursing facility level of
care
|
Nursing facility, or intermediate care facility for
the mentally retarded
|
Prospective reimbursement
|
Limit for nursing facility level of
care
|
Foster group care
|
Prospective reimbursement. See
441—185.106(234)
|
Rehabilitative treatment and supportive services
rate
|
Foster family home
|
Fee schedule
|
Emergency care rate (See 441—subrule
156.11(2))
|
Camps
|
Fee schedule
|
$117.30 per day
|
Hourly rate providers:
|
|
|
Adult day care
|
Fee schedule
|
$12.24 per hour
|
HCBS MR waiver
|
Fee schedule. See 79.1(15)
|
$12.24 per hour
|
Home care agency
|
Fee schedule
|
$12.24 per hour
|
Home health agency
|
Fee schedule
|
$12.24 per hour
|
Day camp
|
Fee schedule
|
$12.24 per hour
|
Home health agency:
|
|
|
Specialized respite
|
Rate for nursing services provided by a home health agency
(encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Basic individual respite
|
Rate for home health aide services provided by a home
health agency (encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Home care agency:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Nonfacility care:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Facility care:
|
|
|
Hospital or nursing facility providing skilled
care
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for skilled
nursing facility level of care
|
Nursing facility
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for nursing
facility level of care
|
Intermediate care facility for the mentally
retarded
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for ICF/MR
level of care
|
Residential care facilities for persons with mental
retardation
|
$12.24 per hour
|
$12.24 per hour not to exceed contractual daily per
diem
|
Foster group care
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem rate for
rehabilitative treatment and supportive services
|
Camps
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Adult day care
|
$12.24 per hour
|
$12.24 per hour not to exceed rate for regular adult day
care services
|
Child care facilities
|
$12.24 per hour
|
$12.24 per hour not to exceed contractual daily per
diem
|
5. Nursing care
|
Agency’s financial and statistical cost report and
Medicare percentage rate per visit
|
Cannot exceed $74.25 $74.77 per
visit
|
6. Counseling
|
|
|
Individual:
|
Fee schedule
|
$10 $10.07 per unit
|
Group:
|
Fee schedule
|
$39.98 $40.26 per hour
|
7. Consumer–directed attendant care:
|
|
|
Agency provider
|
Fee agreed upon by consumer and provider
|
$18.36 $18.49 per hour
$106.08 $106.82 per day
|
Individual provider
|
Fee agreed upon by consumer and provider
|
$12.24 $12.33 per hour
$71.40 $71.90 per day
|
8. Interim medical monitoring and treatment:
|
|
|
Home health agency:
|
|
|
Provided by home health aide
|
Rate for home health aide services provided by a home
health agency (encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly
rate
|
Provided by nurse
|
Rate for nursing services provided by a home health agency
(encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly
rate
|
Provided by a registered group child care home, registered
family child care home, or licensed child care center
|
Contractual rate.
See 441—170.4(7)
|
$12.24 per hour
|
HCBS MR waiver service providers, including:
|
|
|
1. Supported community living
|
No change
|
|
2. Respite care providers, including:
|
|
|
Nonfacility care:
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour.
|
Facility care:
|
|
|
Hospital or skilled nursing
facility
|
Prospective reimbursement
|
Limit for skilled nursing facility level of
care
|
Nursing facility, or intermediate care facility for
the mentally retarded
|
Prospective reimbursement
|
Limit for nursing facility level of
care
|
Foster group care
|
Prospective reimbursement. See
441—185.106(234)
|
Rehabilitative treatment and supportive services
rate
|
Home health agency:
|
|
|
Specialized respite
|
Rate for nursing services provided by a home health agency
(encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Basic individual respite
|
Rate for home health aide services provided by a home
health agency (encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Home care agency:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Nonfacility care:
|
|
|
Specialized respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$31.50 per hour not to exceed $294 per day
|
Basic individual respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$16.80 per hour not to exceed $294 per day
|
Group respite
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Facility care:
|
|
|
Hospital or nursing facility providing skilled
care
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for skilled
nursing facility level of care
|
Nursing facility
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for nursing
facility level of care
|
Intermediate care facility for the mentally
retarded
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem for ICF/MR
level of care
|
Residential care facilities for persons with mental
retardation
|
$12.24 per hour
|
$12.24 per hour not to exceed contractual daily per
diem
|
Foster group care
|
$12.24 per hour
|
$12.24 per hour not to exceed daily per diem rate for
rehabilitative treatment and supportive services
|
Camps
|
Retrospectively limited prospective rates. See
79.1(15)
|
$12.24 per hour not to exceed $294 per day
|
Adult day care
|
$12.24 per hour
|
$12.24 per hour not to exceed rate for regular adult day
care services
|
Child care facilities
|
$12.24 per hour
|
$12.24 per hour not to exceed contractual daily per
diem
|
3. Supported employment
|
No change
|
|
4. Nursing
|
Fee schedule as determined by Medicare
|
Maximum Medicare rate converted to an hourly
rate
|
5. Home health aides
|
Retrospective cost–related
|
Maximum Medicaid Medicare rate
in effect on 6/30/99 plus 2% converted to an hourly
rate
|
6. Personal emergency response system
|
Fee schedule
|
Initial one–time fee of $38.15
$38.42.
Ongoing monthly fee of $26.01
$26.19.
|
7. Home and vehicle modifications
|
No change
|
|
8. Consumer–directed attendant care:
|
|
|
Agency provider
|
Fee agreed upon by consumer and provider
|
$18.36 $18.49 per hour
$106.08 $106.82 per day
|
Individual provider
|
Fee agreed upon by consumer and provider
|
$12.24 $12.33 per hour
$71.40 $71.90 per day
|
9. Interim medical monitoring and treatment:
|
|
|
Home health agency:
|
|
|
Provided by home health aide
|
Rate for home health aide services provided by a home
health agency (encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed the maximum daily per diem for ICF/MR level of care
|
Provided by nurse
|
Rate for nursing services provided by a home health agency
(encounter services–intermittent services)
|
Maximum Medicare rate converted to an hourly rate not to
exceed the maximum daily per diem for ICF/MR level of care
|
Provided by a registered group child care home, registered
family child care home, or licensed child care center
|
Contractual rate.
See 441—170.4(7)
|
$12.24 per hour not to exceed the maximum daily per diem
for ICF/MR level of care
|
HCBS physical disability waiver service providers,
including:
|
|
|
1. Consumer–directed attendant care:
|
|
|
Agency provider
|
Fee agreed upon by consumer and provider
|
$18.36 $18.49 per hour
$106.08 $106.82 per day
|
Individual provider
|
Fee agreed upon by consumer and provider
|
$12.24 $12.33 per hour
$71.40 $71.90 per day
|
2. Home and vehicle modification providers
|
No change
|
|
3. Personal emergency response system
|
Fee schedule
|
Initial one–time fee of $45.90
$46.22. Ongoing monthly fee of $35.70
$35.95.
|
4. Specialized medical equipment
|
No change
|
|
5. Transportation
|
No change
|
|
Amend subrule 79.1(15) as follows:
Amend the catchwords as follows:
79.1(15) Reimbursement for HCBS MR and BI supported
community living, respite, and supported employment and HCBS
AIDS/HIV, BI, elderly, ill and handicapped, and MR respite when basis of
reimbursement is retrospectively limited prospective rate. This includes
home health agencies providing group respite; nonfacility providers of
specialized, basic individual, and group respite; camps; and home care agencies
providing specialized, basic individual, and group respite.
Amend paragraph “b,” by adopting the
following new subparagraphs:
(6) For respite care provided in the consumer’s home,
only the cost of care is reimbursed.
(7) For respite care provided outside the consumer’s
home, charges may include room and board.
Amend paragraph “c,” catchwords, as
follows:
c. Prospective rates for new providers other than
respite.
Amend paragraph “d,” catchwords and
subparagraph (5), as follows:
d. Prospective rates for established providers other than
respite.
(5) Prospective rates for services other than respite
shall be subject to retrospective adjustment as provided in paragraph
“e f.”
Reletter paragraphs “e” and
“f” as “f” and “g” and
adopt the following new paragraph
“e”:
e. Prospective rates for respite shall be agreed upon between
the consumer, interdisciplinary team and the provider up to the maximum, subject
to retrospective adjustment as provided in paragraph “f.”
ITEM 13. Amend rule
441—83.1(249A) by adopting the following new
definitions in alphabetical order:
“Basic individual respite” means respite provided
on a staff–to–consumer ratio of one to one or higher to individuals
without specialized needs requiring the care of a licensed registered nurse or
licensed practical nurse.
“Group respite” is respite provided on a
staff–to–consumer ratio of less than one to one.
“Medical assessment” means a visual and physical
inspection of the consumer, noting deviations from the norm, and a statement of
the consumer’s mental and physical condition that can be amendable to or
resolved by appropriate actions of the provider.
“Medical intervention” means consumer care in the
areas of hygiene, mental and physical comfort, assistance in feeding and
elimination, and control of the consumer’s care and treatment to meet the
physical and mental needs of the consumer in compliance with the plan of care in
areas of health, prevention, restoration, and maintenance.
“Medical monitoring” means observation for the
purpose of assessing, preventing, maintaining, and treating disease or illness
based on the consumer’s plan of care.
“Specialized respite” means respite provided on a
staff–to–consumer ratio of one to one or higher to individuals with
specialized medical needs requiring the care, monitoring or supervision of a
licensed registered nurse or licensed practical nurse.
“Usual caregiver” means a person or persons who
reside with the consumer and are available on a
24–hour–per–day basis to assume responsibility for the care of
the consumer.
ITEM 14. Amend rule 441—83.2(249A)
as follows:
Amend subrule 83.2(1) by adopting the following
new paragraph “e”:
e. To be eligible for interim medical monitoring and treatment
services the consumer must be:
(1) Under the age of 21;
(2) Currently receiving home health agency services under rule
441—78.9(249A) and require medical assessment, medical monitoring, and
regular medical intervention or intervention in a medical emergency during those
services. (The home health aide services for which the consumer is eligible
must be maximized before the consumer accesses interim medical monitoring and
treatment.);
(3) Residing in the consumer’s family home or foster
family home; and
(4) In need of interim medical monitoring and treatment as
ordered by a physician.
Amend subrule 83.2(2) by adopting the following
new paragraph “c”:
c. Interim medical monitoring and treatment services must be
needed because all usual caregivers are unavailable to provide care due to one
of the following circumstances:
(1) Employment. Interim medical monitoring and treatment
services are to be received only during hours of employment.
(2) Academic or vocational training. Interim medical
monitoring and treatment services provided while a usual caregiver participates
in postsecondary education or vocational training shall be limited to 24 periods
of no more than 30 days each per caregiver as documented by the service worker.
Time spent in high school completion, adult basic education, GED, or English as
a second language does not count toward the limit.
(3) Absence from the home due to hospitalization, treatment
for physical or mental illness, or death of the usual caregiver. Interim
medical monitoring and treatment services under this subparagraph are limited to
a maximum of 30 days.
(4) Search for employment.
1. Care during job search shall be limited to only those hours
the usual caregiver is actually looking for employment, including travel
time.
2. Interim medical monitoring and treatment services may be
provided under this paragraph only during the execution of one job search plan
of up to 30 working days in a 12–month period, approved by the department
service worker or targeted case manager pursuant to 441—subparagraph
170.2(2)“b”(5).
3. Documentation of job search contacts shall be furnished to
the department services worker or targeted case manager.
ITEM 15. Amend rule 441—83.6(249A)
as follows:
441—83.6(249A) Allowable services. Services
allowable under the ill and handicapped waiver are homemaker services, home
health services, adult day care services, respite care services, nursing
services, counseling services, andconsumer–directed
attendant care services, and interim medical monitoring and treatment
services as set forth in rule 441—78.34(249A).
ITEM 16. Amend rule
441—83.21(249A) by adopting the following new
definitions in alphabetical order:
“Basic individual respite” means respite provided
on a staff–to–consumer ratio of one to one or higher to individuals
without specialized needs requiring the care of a licensed registered nurse or
licensed practical nurse.
“Group respite” is respite provided on a
staff–to–consumer ratio of less than one to one.
“Specialized respite” means respite provided on a
staff–to–consumer ratio of one to one or higher to individuals with
specialized medical needs requiring the care, monitoring or supervision of a
licensed registered nurse or licensed practical nurse.
“Usual caregiver” means a person or persons who
reside with the consumer and are available on a
24–hour–per–day basis to assume responsibility for the care of
the consumer.
ITEM 17. Amend subrule 83.22(2),
paragraph “b,” as follows:
b. The total monthly cost of the elderly waiver services shall
not exceed the established monthly cost of the level of care. Aggregate monthly
costs are limited as follows:
Skilled level of care
|
Nursing level of care
|
$2,480
|
$852 $1,052
|
ITEM 18. Amend rule
441—83.41(249A) by adopting the following new
definitions in alphabetical order:
“Basic individual respite” means respite provided
on a staff–to–consumer ratio of one to one or higher to individuals
without specialized needs requiring the care of a licensed registered nurse or
licensed practical nurse.
“Group respite” is respite provided on a
staff–to–consumer ratio of less than one to one.
“Specialized respite” means respite provided on a
staff–to–consumer ratio of one to one or higher to individuals with
specialized medical needs requiring the care, monitoring or supervision of a
licensed registered nurse or licensed practical nurse.
“Usual caregiver” means a person or persons who
reside with the consumer and are available on a
24–hour–per–day basis to assume responsibility for the care of
the consumer.
ITEM 19. Amend rule
441—83.60(249A) by adopting the following new
definitions in alphabetical order:
“Basic individual respite” means respite provided
on a staff–to–consumer ratio of one to one or higher to individuals
without specialized needs requiring the care of a licensed registered nurse or
licensed practical nurse.
“Group respite” is respite provided on a
staff–to–consumer ratio of less than one to one.
“Medical assessment” means a visual and physical
inspection of the consumer, noting deviations from the norm, and a statement of
the consumer’s mental and physical condition that can be amendable to or
resolved by appropriate actions of the provider.
“Medical intervention” means consumer care in the
areas of hygiene, mental and physical comfort, assistance in feeding and
elimination, and control of the consumer’s care and treatment to meet the
physical and mental needs of the consumer in compliance with the plan of care in
areas of health, prevention, restoration, and maintenance.
“Medical monitoring” means observation for the
purpose of assessing, preventing, maintaining, and treating disease or illness
based on the consumer’s plan of care.
“Specialized respite” means respite provided on a
staff–to–consumer ratio of one to one or higher to individuals with
specialized medical needs requiring the care, monitoring or supervision of a
licensed registered nurse or licensed practical nurse.
“Usual caregiver” means a person or persons who
reside with the consumer and are available on a
24–hour–per–day basis to assume responsibility for the care of
the consumer.
ITEM 20. Amend rule 441—83.61(249A)
as follows:
Amend subrule 83.61(1) by adopting the following
new paragraph “i”:
i. To be eligible for interim medical monitoring and treatment
services the consumer must be:
(1) Under the age of 21;
(2) Currently receiving home health agency services under rule
441—78.9(249A) and require medical assessment, medical monitoring, and
regular medical intervention or intervention in a medical emergency during those
services. (The home health aide services for which the consumer is eligible
must be maximized before the consumer accesses interim medical monitoring and
treatment.);
(3) Residing in the consumer’s family home or foster
family home; and
(4) In need of interim medical monitoring and treatment as
ordered by a physician.
Amend subrule 83.61(2) by adopting the following
new paragraph “h”:
h. Interim medical monitoring and treatment services must be
needed because all usual caregivers are unavailable to provide care due to one
of the following circumstances:
(1) Employment. Interim medical monitoring and treatment
services are to be received only during hours of employment.
(2) Academic or vocational training. Interim medical
monitoring and treatment services provided while a usual caregiver participates
in postsecondary education or vocational training shall be limited to 24 periods
of no more than 30 days each per caregiver as documented by the service worker.
Time spent in high school completion, adult basic education, GED, or English as
a second language does not count toward the limit.
(3) Absence from the home due to hospitalization, treatment
for physical or mental illness, or death of the usual caregiver. Interim
medical monitoring and treatment services under this subparagraph are limited to
a maximum of 30 days.
(4) Search for employment.
1. Care during job search shall be limited to only those hours
the usual caregiver is actually looking for employment, including travel
time.
2. Interim medical monitoring and treatment services may be
provided under this paragraph only during the execution of one job search plan
of up to 30 working days in a 12–month period, approved by the department
service worker or targeted case manager pursuant to 441—subparagraph
170.2(2)“b”(5).
3. Documentation of job search contacts shall be furnished to
the department services worker or targeted case manager.
ITEM 21. Amend rule 441—83.66(249A)
as follows:
441—83.66(249A) Allowable services. Services
allowable under the HCBS MR waiver are supported community living, respite,
personal emergency response system, nursing, home health aide, home and vehicle
modifications, supported employment, and
consumer–directed attendant care services, and interim medical
monitoring and treatment services as set forth in rule
441—78.41(249A).
ITEM 22. Amend rule
441—83.81(249A) by adopting the following new
definitions in alphabetical order:
“Basic individual respite” means respite provided
on a staff–to–consumer ratio of one to one or higher to individuals
without specialized needs requiring the care of a licensed registered nurse or
licensed practical nurse.
“Group respite” is respite provided on a
staff–to–consumer ratio of less than one to one.
“Medical assessment” means a visual and physical
inspection of the consumer, noting deviations from the norm, and a statement of
the consumer’s mental and physical condition that can be amendable to or
resolved by appropriate actions of the provider.
“Medical intervention” means consumer care in the
areas of hygiene, mental and physical comfort, assistance in feeding and
elimination, and control of the consumer’s care and treatment to meet the
physical and mental needs of the consumer in compliance with the plan of care in
areas of health, prevention, restoration, and maintenance.
“Medical monitoring” means observation for the
purpose of assessing, preventing, maintaining, and treating disease or illness
based on the consumer’s plan of care.
“Specialized respite” means respite provided on a
staff–to–consumer ratio of one to one or higher to individuals with
specialized medical needs requiring the care, monitoring or supervision of a
licensed registered nurse or licensed practical nurse.
“Usual caregiver” means a person or persons who
reside with the consumer and are available on a
24–hour–per–day basis to assume responsibility for the care of
the consumer.
ITEM 23. Amend rule 441—83.82(249A)
as follows:
Amend subrule 83.82(1) by adopting the following
new paragraph “j”:
j. To be eligible for interim medical monitoring and treatment
services the consumer must be:
(1) Under the age of 21;
(2) Currently receiving home health agency services under rule
441—78.9(249A) and require medical assessment, medical monitoring, and
regular medical intervention or intervention in a medical emergency during those
services. (The home health aide services for which the consumer is eligible
must be maximized before the consumer accesses interim medical monitoring and
treatment.);
(3) Residing in the consumer’s family home or foster
family home; and
(4) In need of interim medical monitoring and treatment as
ordered by a physician.
Amend subrule 83.82(2) by adopting the following
new paragraph “b”:
b. Interim medical monitoring and treatment services must be
needed because all usual caregivers are unavailable to provide care due to one
of the following circumstances:
(1) Employment. Interim medical monitoring and treatment
services are to be received only during hours of employment.
(2) Academic or vocational training. Interim medical
monitoring and treatment services provided while a usual caregiver participates
in postsecondary education or vocational training shall be limited to 24 periods
of no more than 30 days each per caregiver as documented by the service worker.
Time spent in high school completion, adult basic education, GED, or English as
a second language does not count toward the limit.
(3) Absence from the home due to hospitalization, treatment
for physical or mental illness, or death of the usual caregiver. Interim
medical monitoring and treatment services under this subparagraph are limited to
a maximum of 30 days.
(4) Search for employment.
1. Care during job search shall be limited to only those hours
the usual caregiver is actually looking for employment, including travel
time.
2. Interim medical monitoring and treatment services may be
provided under this paragraph only during the execution of one job search plan
of up to 30 working days in a 12–month period, approved by the department
service worker or targeted case manager pursuant to 441—subparagraph
170.2(2)“b”(5).
3. Documentation of job search contacts shall be furnished to
the department services worker or targeted case manager.
ITEM 24. Amend rule 441—83.86(249A)
as follows:
441—83.86(249A) Allowable services. Services
allowable under the brain injury waiver are case management, respite, personal
emergency response, supported community living, behavioral programming, family
counseling and training, home and vehicle modification, specialized medical
equipment, prevocational services, transportation, supported employment
services, adult day care, and consumer–directed attendant
care services, and interim medical monitoring and treatment services as
set forth in rule 441—78.43(249A).
ARC 9882A
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 249A.4 and 2000
Iowa Acts, House File 2555, section 1, subsection 1 and section 11; Senate File
2193, section 21; and Senate File 2435, section 8, subsection 16, section 31,
subsection 15, and section 44, the Department of Human Services proposes to
amend Chapter 78, “Amount, Duration and Scope of Medical and Remedial
Services,” Chapter 79, “Other Policies Relating to Providers of
Medical and Remedial Care,” and Chapter 81, “Nursing
Facilities,” appearing in the Iowa Administrative Code.
These amendments implement the following changes to the
Medicaid program as mandated by the General Assembly:
• Policy is revised to allow
for Medicaid reimbursement for family and pediatric nurse practitioners who are
employed by a hospital and are providing services in ahospital–owned
facility or in another location that is not on or part of the hospital’s
licensed premises.
Currently, hospitals employing family and pediatric nurse
practitioners are not reimbursed for services provided by these practitioners,
when the practitioners are providing services in a satellite location (i.e., not
on the licensed premises of the hospital). This amendment would allow hospitals
employing family and pediatric nurse practitioners to receive reimbursement for
the practitioners’ services where these practitioners are providing
services in a setting in which the hospital cannot receive reimbursement for
“outpatient hospital services” (e.g., a satellite clinic) and where
these practitioners are not able to bill for their services
“incident–to” their supervising physician (i.e., because they
are not employed by that physician and because “incident–to”
billing is a function of an employment relationship between a physician and
auxiliary practitioner, such as a nurse practitioner, not an employment
relationship between a hospital and an auxiliary practitioner).
• All of the reimbursement
rates for the following noninstitutional providers are increased by 7/10 of 1
percent (hereinafter referred to as “0.7 percent” or
“0.7%”): ambulances; area education agencies; birth centers;
certified registered nurse anesthetists; community mental health centers;
durable medical equipment, prosthetic devices and medical supply dealers; family
planning clinics; hearing aid dealers; lead inspection agencies; maternal health
centers; opticians; orthopedic shoe dealers; rehabilitation agencies; and
screening centers.
• The reimbursement rate for
the following noninstitutional providers, excluding anesthesia and dental
services, is increased to the rate in effect on January 1, 2000, under the fee
schedule established for Iowa under the federal Medicare program, which
incorporates the resource–based relative value scale (hereinafter referred
to as “RBRVS methodology”): audiologists, chiropractors, clinics,
family and pediatric nurse practitioners, nurse midwives, optometrists, physical
therapists, physicians, podiatrists, and psychologists.
The Seventy–eighth General Assembly directed the
Department to adopt the RBRVS methodology based on a report prepared by the
Department in consultation with the Iowa Medical Society, the Iowa Osteopathic
Medical Association, and the Iowa Academy of Family Physicians.
At the current time, Medicaid fees for the above providers are
the result of an outdated payment methodology and inconsistent provider
increases. This is the result of the current Medicaid fee schedule being an
outgrowth of the “usual, customary and reasonable” payment approach
that is currently being used by fewer and fewer payors. Medicare’s RBRVS
payment methodology is being increasingly used by commercial and private payors
as well as other states’ Medicaid programs.
The cornerstone of the RBRVS plan was to base physician
reimbursement on the amount of work it takes physicians to diagnose and treat
patients, instead of paying based on physicians’ charge histories, which
vary widely. By tying payments to work adjusted by costs of practicing medicine
in different parts of the country, the assumption was that Medicare would more
equitably reimburse physicians across specialties and geographic areas. The
RBRVS payment methodology reapportions payments to providers in such a way as to
increase payments for primary and preventive care services, at the expense of
specialty and procedure–related services.
The Iowa–specific, RBRVS–based Medicare fee
schedule is released to the public in mid–November of each year and
implemented by Medicare on January 1. These changes adopt the January 1, 2000,
Medicare rates.
• The reimbursement rate for
dentists is increased to 75 percent of the “usual and customary
rate.”
• The dispensing fee for
pharmacists is increased by 0.7 percent.
• The reimbursement rate for
community mental health centers is increased by 16.63 percent and the 0.7
percent increase provided above for noninstitutional providers, for a total of
17.33 percent.
• Home health agency
providers shall be paid the maximum Medicare rate.
• The reimbursement rate for
psychiatric medical institutions for children is increased to rates based on
actual costs on June 30, 2000, not to exceed a maximum of $147.20 per
day.
• The reimbursement rate for
hospitals is increased by 3 percent.
• The maximum reimbursement
rate for nursing facilities is increased by changing the maximum from the
seventieth percentile of facility costs based on 1999 cost reports to the same
percentile based on June 30, 2000, cost reports. It is estimated the maximum
Medicaid nursing facility rate will increase from $85.93 to $87.86 effective
July 1, 2000.
• Nursing facilities are
required to include expenses attributable to the home or principal office or
headquarters in their cost reports. They are also required to conduct prior to
admission a resident assessment of all persons seeking nursing facility
placement. The assessment information shall be similar to the data in the
minimum data set (MDS) resident assessment tool.
• A case–mix
add–on factor is added for nursing facilities providing intermediate and
skilled care. Participating nursing facilities with higher than average patient
care service expenses and higher than average aggregate care needs of residents
will receive an add–on of $5.20 per day to their reimbursement rate.
Participating nursing facilities with lower than average patient care service
expenses and higher than average aggregate care needs of residents will receive
an add–on of $2.60 per day to their reimbursement rate. Freestanding
nursing facilities providing skilled care that exceeds the Iowa case–mix
nursing facility average will receive an add–on of $5.20 per day to their
reimbursement rate.
The current reimbursement system for Iowa nursing facilities
provides a facility rate and maximum rate based only on costs. Many states,
with federal encouragement, have adopted reimbursement systems which factor in
the care needs of residents, providing a higher rate of reimbursement to
facilities that care for residents with greater care needs. The Department,
with the support of the Iowa nursing home industry, plans to begin moving the
Iowa reimbursement system in this direction.
It is believed this change will encourage facilities to accept
and retain more difficult–to–care–for residents. A consultant
has been hired on contract to make recommendations for further changes in the
reimbursement system. Additional changes to the reimbursement system will
likely be sought for the next fiscal year.
It is anticipated these amendments, with the exception of the
changes implementing the RBRVS methodology, will also be adopted on an emergency
basis by the Council on Human Services at its June 8, 2000, meeting to be
effective July 1, 2000. The legislature mandated a November 1, 2000, effective
date for the changes implementing the RBRVS methodology for the following
providers: audiologists, chiropractors, clinics, family and pediatric nurse
practitioners, nurse midwives, optometrists, physical therapists, physicians,
podiatrists, and psychologists.
These amendments do not provide for waiver in specified
situations because they confer a benefit on providers by allowing additional
Medicaid reimbursement for family and pediatric nurse practitioners and
increasing reimbursement to affected providers. The General Assembly directed
the Department to implement these changes, with no provisions for exceptions.
All providers of the same category should be reimbursed on the same
basis.
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 July 5, 2000.
These amendments are intended to implement Iowa Code section
249A.4 and 2000 Iowa Acts, House File 2555, section 1, subsection 1, paragraphs
“a,” “b,” “e,” “f,” and
“j,” and section 7; Senate File 2193, sections 12 and 20, subsection
3; and Senate File 2435, section 8, subsection 16, and section 31, subsection 1,
paragraph “h,” subsection 2, paragraph “c,” and
subsection 13, and section 39.
The following amendments are proposed.
ITEM 1. Amend rule 441—78.31(249A)
as follows:
Amend subrule 78.31(1), introductory paragraph, as
follows:
78.31(1) Covered hospital outpatient services.
Payment will be approved only for the following outpatient hospital services and
medical services when provided on the licensed premises of the hospital or
pursuant to subrule 78.31(5). Hospitals with alternate sites approved by
the department of inspections and appeals are acceptable sites. All outpatient
services listed in paragraphs “g” to “m” are subject to
a random sample retrospective review for medical necessity by the Iowa
Foundation for Medical Care. All services may also be subject to a more
intensive retrospective review if abuse is suspected. Services in paragraphs
“a” to “f” shall be provided in hospitals on an
outpatient basis and are subject to no further limitations except medical
necessity of the service.
Adopt the following new subrule:
78.31(5) Services rendered by family or pediatric
nurse practitioners employed by a hospital. Hospitals may be reimbursed for
services rendered by family or pediatric nurse practitioners who are employed by
the hospital and providing services in a facility or other location that is
owned by the hospital, but is not on or part of the hospital’s licensed
premises, if reimbursement is not otherwise available for the services rendered
by these employed nurse practitioners. As a condition of reimbursement,
employed family and pediatric nurse practitioners rendering these services must
enroll with the Medicaid program, receive a provider number, and designate the
employing hospital to receive payment. Claims for services shall be submitted
by the employed family or pediatric nurse practitioner. Payment shall be at the
same fee–schedule rates as those in effect for independently practicing
family or pediatric nurse practitioners under 441—subrule
79.1(2).
ITEM 2. Amend rule 441—79.1(249A)
as follows:
Amend subrule 79.1(2), Basis of reimbursement provider
categories “Ambulance,” “Area education agencies,”
“Audiologists,” “Birth centers,” “Certified
registered nurse anesthetists,” “Chiropractors,”
“Clinics,” “Community mental health centers,”
“Dentists,” “Durable medical equipment, prosthetic devices and
medical supply dealers,” “Family planning clinics,”
“Family or pediatric nurse practitioner,” “Hearing aid
dealers,” “Home health agencies,” “Hospitals
(Inpatient),” “Hospitals (Outpatient),” “Intermediate
care facilities for the mentally retarded,” “Lead inspection
agency,” “Maternal health centers,”
“Nurse–midwives,” “Nursing facilities,”
“Opticians,” “Optometrists,” “Orthopedic shoe
dealers,” “Physical therapists,” “Physicians (doctors of
medicine or osteopathy),” “Podiatrists,” “Prescribed
drugs,” “Psychiatric medical institutions for children,”
“Psychologists,” “Rehabilitation agencies,” and
“Screening centers,” as follows:
Provider category
|
Basis of reimbursement
|
Upper limit
|
Ambulance
|
Fee schedule
|
Ground ambulance: Fee schedule in effect
6/30/99 6/30/00 plus 2% 0.7%.
Air ambulance: A base rate of $208.08
$209.54 plus $7.80 $7.85 per mile for each mile the
patient is carried.
|
Area education agencies
|
Fee schedule
|
Fee schedule in effect 6/30/99 6/30/00
plus 2% 0.7%
|
Audiologists
|
Fee schedule
|
- Fee schedule in effect 6/30/99 plus
2%
Rate in effect on 1/1/00 under the fee
schedule established for Iowa under the federal Medicare program, incorporating
the resource–based relative value scale (RBRVS) methodology
|
Birth centers
|
Fee schedule
|
Fee schedule in effect 6/30/99 6/30/00
plus 2% 0.7%
|
Certified registered nurse anesthetists
|
Fee schedule
|
Fee schedule in effect 6/30/99 6/30/00
plus 2% 0.7%
|
Chiropractors
|
Fee schedule
|
- Fee schedule in effect 6/30/99 plus
2%
Rate in effect on 1/1/00 under the fee
schedule established for Iowa under the federal Medicare program, incorporating
the resource–based relative value scale (RBRVS) methodology
|
Clinics
|
Fee schedule
|
- Fees as determined by the physician fee
schedule
Maximum physician reimbursement
rate
|
Community mental health centers
|
Fee schedule
|
Reimbursement rate for center in effect
6/30/99 6/30/00 plus 5
17.33%
|
Dentists
|
Fee schedule
|
Fee schedule in effect 6/30/99 plus
2% 75% of usual and customary rate
|
Durable medical equipment, prosthetic devices and medical
supply dealers
|
Fee schedule.
See 79.1(4)
|
Fee schedule in effect 6/30/99 6/30/00
plus 2% 0.7%
|
|
|
|
Family planning clinics
|
Fee schedule
|
Fees in effect 6/30/99 6/30/00 plus
2% 0.7%
|
Family or pediatric nurse practitioner
|
Fee schedule
|
- Fee schedule in effect 6/30/99 plus
2%
Rate in effect on 1/1/00 under the fee
schedule established for Iowa under the federal Medicare program, incorporating
the resource–based relative value scale (RBRVS) methodology
|
Hearing aid dealers
|
Fee schedule plus product acquisition cost
|
Fee schedule in effect 6/30/99
6/30/00 plus 2% 0.7%
|
Home health agencies
|
|
|
(Encounter services–intermittent services)
|
Retrospective cost–related
|
Maximum Medicaid Medicare rate
in effect on 6/30/99 plus 2%
|
(Private duty nursing or personal care and VFC vaccine
administration for persons aged 20 and under)
|
Interim fee schedule with retrospective cost settling based on
Medicaid Medicare methodology
|
Retrospective cost settling according to
Medicaid Medicare methodology not to exceed the
rate in effect on 6/30/99 plus 2%
|
Hospitals (Inpatient)
|
Prospective reimbursement See 79.1(5)
|
Reimbursement rate in effect 6/30/99
6/30/00 increased by 2% 3%
|
Hospitals (Outpatient)
|
Prospective reimbursement for providers listed at
441—paragraphs 78.31(1)“a” to “f.”
See 79.1(16)
|
Ambulatory patient group rate (plus an evaluation rate) and
assessment payment rate in effect on 6/30/99 6/30/00
increased by 2% 3%
|
|
Fee schedule for providers listed at 441—paragraphs
78.31(1)“g” to “n.” See 79.1(16)
|
Rates in effect on 6/30/99 6/30/00
increased by 2% 3%
|
Intermediate care facilities for the mentally
retarded
|
Prospective reimbursement. See
441—82.5(249A)
|
Eightieth percentile of facility costs as calculated from
12/31/98 12/31/99 cost reports
|
Lead inspection agency
|
Fee schedule
|
Fee schedule in effect 6/30/99
6/30/00 plus 2% 0.7%
|
Maternal health centers
|
Reasonable cost per procedure on a prospective basis as
determined by the department based on financial and statistical data submitted
annually by the provider group
|
Fee schedule in effect 6/30/99
6/30/00 plus 2% 0.7%
|
Nurse–midwives
|
Fee schedule
|
- Fee schedule in effect 6/30/99 plus
2%
Rate in effect on 1/1/00 under the fee
schedule established for Iowa under the federal Medicare program, incorporating
the resource–based relative value scale (RBRVS) methodology
|
Nursing facilities
|
|
|
1. Nursing facility care
|
Prospective reimbursement. See 441—subrule 81.10(1)
and 441—81.6(249A)
|
Seventieth percentile of facility costs as calculated from all
6/30/99 6/30/00 cost reports
|
2. Skilled nursing care
|
No change
|
|
|
|
|
Opticians
|
Fee schedule. Fixed fee for lenses and frames; other optical
materials at product acquisition cost
|
Reimbursement rate for provider in effect
6/30/99 6/30/00 plus 2%
0.7%
|
Optometrists
|
Fee schedule. Fixed fee for lenses and frames; other optical
materials at product acquisition cost
|
- Reimbursement rate for provider in effect 6/30/99 plus
2%
Rate in effect on 1/1/00 under the fee
schedule established for Iowa under the federal Medicare program, incorporating
the resource–based relative value scale (RBRVS) methodology
|
Orthopedic shoe dealers
|
Fee schedule
|
Reimbursement rate for provider in effect
6/30/99 6/30/00 plus 2%
0.7%
|
Physical therapists
|
Fee schedule
|
- Fee schedule in effect 6/30/99 plus
2%
Rate in effect on 1/1/00 under the fee
schedule established for Iowa under the federal Medicare program, incorporating
the resource–based relative value scale (RBRVS) methodology
|
Physicians (doctors of medicine or osteopathy)
|
Fee schedule.
See 79.1(7)
|
- Fee schedule in effect 6/30/99 plus
2%
Rate in effect on 1/1/00 under the fee
schedule established for Iowa under the federal Medicare program, incorporating
the resource–based relative value scale (RBRVS) methodology
|
Podiatrists
|
Fee schedule
|
- Fee schedule in effect 6/30/99 plus
2%
Rate in effect on 1/1/00 under the fee
schedule established for Iowa under the federal Medicare program, incorporating
the resource–based relative value scale (RBRVS) methodology
|
Prescribed drugs
|
See 79.1(8)
|
$4.10 $4.13 or $6.38
$6.42 dispensing fee (See 79.1(8) “a” and
“e”)
|
Psychiatric medical institutions for children
|
|
|
(Inpatient)
|
Prospective reimbursement
|
Reimbursement rate for provider based on per diem rates for
actual costs on 6/30/99 6/30/00, not to exceed a maximum
of $145.74 $147.20 per day
|
(Outpatient day treatment)
|
Fee schedule
|
Fee schedule in effect 6/30/99 6/30/00
plus 2% 0.7%
|
Psychologists
|
Fee schedule
|
- Reimbursement rate for provider in effect 6/30/99 plus
2%
Rate in effect on 1/1/00 under the fee
schedule established for Iowa under the federal Medicare program, incorporating
the resource–based relative value scale (RBRVS) methodology
|
Rehabilitation agencies
|
Retrospective cost–related
|
Reimbursement rate for agency in effect
6/30/99 6/30/00 plus 2%
0.7%
|
Screening centers
|
Fee schedule
|
Reimbursement rate for center in effect
6/30/99 6/30/00 plus 2%
0.7%
|
Amend subrule 79.1(8), paragraph
“a,” second and third unnumbered paragraphs, as
follows:
The basis of payment for prescribed drugs for which the MAC
has been established shall be the lesser of the MAC plus a professional
dispensing fee of $4.10 $4.13 or the pharmacist’s
usual and customary charge to the general public.
The basis of payment for drugs for which the MAC has not been
established shall be the lesser of the EAC plus a professional dispensing fee of
$6.38 $6.42 or the pharmacist’s usual and
customary charge to the general public.
Amend subrule 79.1(9) by adopting the following
new paragraph:
j. Freestanding skilled facilities with a case–mix index
above the statewide average for the previous reporting period shall receive a
case–mix adjustment of $5.20 added to their daily rate for a
six–month period. The case–mix index of each facility and the
statewide average case–mix index are calculated by the United States
Health Care Financing Administration from the minimum data set (MDS) report
submitted by each facility pursuant to 441—subrule 81.13(9).
ITEM 3. Amend rule
441—81.1(249A) by adopting the following new
definitions in alphabetical order:
“Case–mix add–on” means additional
Medicaid reimbursement based on the acuity and care need level of residents of a
nursing facility.
“Minimum data set” or “MDS” refers to
a federally required resident assessment tool. Information from the MDS is used
by the federal Health Care Financing Administration to determine the
facility’s case–mix index for purposes of the case–mix
add–on provided by paragraph 81.6(16)“f.” MDS is described in
subrule 81.13(9).
ITEM 4. Amend rule 441—81.6(249A)
as follows:
Amend subrule 81.6(16), paragraphs
“c” and “e,” as follows:
c. For non–state–owned nursing facilities, the
reimbursement rate shall be established by determining, on a per diem basis, the
allowable cost plus the established inflation factor plus
and the established incentive factor, subject to the maximum allowable
cost ceiling, plus any applicable case–mix add–on.
e. Effective January 1, 1999 July 1,
2000, the basis for establishing the maximum reimbursement rate for
non–state–owned nursing facilities shall be the seventieth
percentile of participating facilities’ per diem rates as calculated from
the December 31, 1998 June 30, 2000, report of
“unaudited compilation of various costs and statistical
data.”
Beginning July 1, 1999, the basis for establishing the
maximum reimbursement rate for non–state–owned nursing facilities
shall be the seventieth percentile of participating facilities’ per diem
rates as calculated from the June 30, 1999, report of “unaudited
compilation of various costs and statistical data” submitted by each
facility on medical assistance cost reports. A facility which does not have a
current cost report on file with the department as of June 30, 1999, shall
continue to receive the per diem rate in effect for that facility on June 30,
1999, until the facility’s costs are above that rate or until June 30,
2000, whichever is earlier.
Further amend subrule 81.6(16) by relettering
paragraphs “f” and “g” as
“g” and “h,” respectively, and adopting
the following new paragraph “f”:
f. Notwithstanding paragraph “e,” a semiannual
case–mix factor shall be calculated and applied to the payment rates for
certain facilities as follows:
(1) A case–mix index for each facility and the statewide
average case–mix index are calculated by the United States Health Care
Financing Administration from the minimum data set (MDS) report submitted by
each facility pursuant to 441—subrule 81.13(9). A patient care cost per
patient day is calculated by the department from the facility’s most
recent financial and statistical cost report by dividing the facility’s
patient care costs by patient days. This is compared to the statewide average
for patient care costs computed as of every June 30 and December 31.
(2) Facilities with a case–mix index derived from MDS
reports that exceeds the Iowa nursing facility average and with a patient care
service cost that exceeds the average for all participating nursing facilities
for the previous reporting period shall receive an addition of $5.20 to their
payment rate for a six–month period.
(3) Facilities with a case–mix index that exceeds the
Iowa nursing facility average and with a patient care service cost that is less
than the average for all participating facilities for the previous reporting
period shall receive an addition of $2.60 to their payment rate for a
six–month period.
Amend subrule 81.6(17), introductory paragraph, as
follows:
81.6(17) Cost report documentation. Beginning
July 1, 1999, all All nursing facilities shall submit semiannual
cost reports based on the closing date of the facility’s fiscal year and
the midpoint of the facility’s fiscal year, that incorporate
additional documentation as set forth below.
Initially, the additional documentation shall provide baseline
information by describing the status of the facility with reference to the
information requested as of July 1, 1999, and subsequently the additional
documentation shall describe the status of the facility for the period of the
cost report. The additional documentation to
be incorporated in the cost reports shall include all of the following
information:
Further amend subrule 81.6(17) by adopting the
following new paragraph:
c. An itemization of expenses attributable to the home or
principal office or headquarters of the nursing facility included in the
administrative cost line item.
ITEM 5. Amend subrule 81.13(9) by
adopting the following new paragraph:
g. Preadmission resident assessment. The facility shall
conduct prior to admission a resident assessment of all persons seeking nursing
facility placement. The assessment information gathered shall be similar to the
data in the minimum data set (MDS) resident assessment tool.
ARC 9868A
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 514I.5(8), the
Department of Human Services proposes to amend Chapter 86, “Healthy and
Well Kids in Iowa (HAWK–I) Program,” appearing in the Iowa
Administrative Code.
This amendment increases the income limits for the
HAWK–I Program from 185 percent of the federal poverty level to 200
percent of the federal poverty level, the maximum amount allowable under federal
law.
Under current policy, income limits for children under the
HAWK–I program are from 133 percent to 185 percent of the federal poverty
level. The Seventy–eighth General Assembly directed the Department to
increase the income limits to 200 percent of the federal poverty level,
providing coverage to as many uninsured children as possible. This amendment
increases the income limits of the HAWK–I Program to the full extent
allowed under federal law.
The Department projects that an additional 6,075 children will
be eligible for the HAWK–I Program for state fiscal year 2001. An
additional $669,793 in state dollars was requested to fund HAWK–I
expansion to 200 percent of the federal poverty level. The General Assembly did
not specifically appropriate any additional state dollars to fund the expansion.
Rather, moneys in the HAWK–I trust fund shall be used to offset any
program costs for state fiscal year 2001.
This amendment does not provide for waiver in specified
situations because it confers a benefit by allowing the Department of Human
Services to provide for coverage of medical services for more children under the
HAWK–I Program.
The substance of this amendment is also Adopted and Filed
Emergency and is published herein as ARC 9869A. The purpose of this
Notice is to solicit comment on that submission, the subject matter of which is
incorporated by reference.
Consideration will be given to all written data, views, and
arguments thereto received by the Office of Policy Analysis, Department of Human
Services, Hoover State Office Building, Des Moines, Iowa 50319–0114, on or
before July 5, 2000.
This amendment is intended to implement Iowa Code section
514I.8(2)“c” as amended by 2000 Iowa Acts, House File 2555, section
9.
ARC 9870A
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 252D.22 and
2000 Iowa Acts, House File 2135, section 3, the Department of Human Services
proposes to amend Chapter 95, “Collections,” appearing in the Iowa
Administrative Code.
These amendments require the Collection Services Center (CSC)
to use the date of withholding, e.g., the employee’s payday, rather than
the day CSC receives the payment when crediting a support payment made by income
withholding. These changes conform the rules to a recent amendment to state
statute.
1998 Iowa Acts, chapter 1170, section 8, amended the income
withholding statute to remove, as of October 1, 1999, the requirement that a
payor of income (e.g., the employer) report the payday to CSC when the payment
of income was submitted to CSC. In 1999, the Department adopted a rule change
to implement that 1998 change in state statute. The rule would have used the
date CSC received the support payment rather than the date the employer withheld
the support from the wages as the date of the payment. However, the
Administrative Rules Review Committee (ARRC) disagreed with the change and
decided to delay implementation ofthe change until the legislature could revisit
the issue. The Seventy–eighth General Assembly agreed with ARRC and
adopted 2000 Iowa Acts, House File 2135, to continue the policy of using the
obligor employee’s payday to credit a payment made by income withholding.
House File 2135 also directed the Department to rescind any rules in conflict
with House File 2135 and provided that the Act’s changes would be
effective upon enactment. House File 2135 was enacted on April 20,
2000.
With two exceptions, these amendments replace the rescinded
rules with the same language in effect before the 1999 rule change. The
exceptions are that (1) these rules no longer refer to rebates since the $50
rebate payments to families in the Family Investment Program were removed from
state law in July 1998, and (2) these rules retain an exception for payments
received at the end of the month from payors of income as well as
obligors.
These amendments do not provide for waiver in specified
situations because they confer a benefit on obligors. By requiring the CSC to
use the date of withholding, the obligor will receive credit as of the date the
obligor is paid and loses control of the funds.
It is anticipated these amendments will also be adopted on an
emergency basis by the Council on Human Services at its June 8, 2000, meeting to
be effective June 8, 2000.
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 July 5, 2000.
These amendments are intended to implement Iowa Code sections
252B.15 and 252D.17 as amended by 2000 Iowa Acts, House File 2135, section
2.
The following amendments are proposed.
ITEM 1. Amend rule
441—95.1(252B), definition of “date of collection,” as
follows:
“Date of collection” shall mean the date that a
support payment is received by the unit department or the
legal entity of any state or political subdivision actually making the
collection, or the date that a support payment is withheld from the income of a
responsible person by an employer or other income provider, whichever is
earlier.
ITEM 2. Rescind rule 441—95.3(252B)
and adopt the following new rule in lieu thereof:
441—95.3(252B) Crediting of current and delinquent
support. The amounts received as support from the obligor shall be credited
as the required support obligation for the month in which they are collected.
Any excess shall be credited as delinquent payments and shall be applied to the
immediately preceding month, and then to the next immediately preceding month
until all excess has been applied. Funds received as a result of federal tax
offsets shall be credited according to rule 441—95.7(252B).
The date of collection shall be determined as
follows:
95.3(1) Payments from income withholding. Payments
collected as the result of income withholding are considered collected in the
month in which the income was withheld by the income provider. The date of
collection shall be the date on which the income was withheld.
a. For the purpose of reporting the date the income was
withheld, the department shall notify income providers of the requirement to
report the date income was withheld and shall provide Form 470–3221,
“Income Withholding Return Document,” to those income providers who
manually remit payments. When reported on this form or through other electronic
means or multiple account listings, the date of collection shall be used to
determine support distributions. When the date of collection is not reported,
support distributions shall initially be issued based on the date of the check.
If proof of the date of collection is subsequently provided, any additional
payments due the recipient shall be issued.
b. When the collection services center (CSC) is notified or
otherwise becomes aware that a payment received from an income provider pursuant
to 441—Chapter 98, Division II, includes payment amounts such as vacation
pay or severance pay, these amounts are considered irrevocably withheld in the
months documented by the income provider.
95.3(2) Payments from state or political subdivisions.
Payments collected from any state or political subdivision are considered
collected in the same month the payments were actually received by that legal
entity or the month withheld by an income provider, whichever is earlier. Any
state or political subdivision transmitting payments to the department shall be
responsible for reporting the date the payments were collected. When the date
of collection is not reported, support distributions shall be initially issued
based on the date of the state’s or political subdivision’s check.
If proof of the date of collection is subsequently provided, any additional
payments due the recipient shall be issued.
95.3(3) Additional payments. An additional payment in
the month which is received within five calendar days prior to the end of the
month shall be considered collected in the next month if:
a. The CSC is notified or otherwise becomes aware that the
payment is for the next month, and
b. Support for the current month is fully paid.
This rule is intended to implement Iowa Code section 252B.15
and section 252D.17 as amended by 2000 Iowa Acts, House File 2135, section
2.
ARC 9871A
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 217.6 and 2000
Iowa Acts, Senate File 2435, section 31, subsection 15, and section 44, the
Department of Human Services proposes to amend Chapter 130, “General
Provisions,” and Chapter 170, “Child Day Care Services,”
appearing in the Iowa Administrative Code.
These amendments update income guidelines and the fees parents
pay for child care services based on their monthly gross income to be consistent
with the federal poverty guidelines for 2000 and implement new provider rate
ceilings, except for nonregistered family day care homes.
The Seventy–eighth General Assembly directed the
Department to set provider reimbursement rates based on the rate reimbursement
survey completed in December 1998, and to set rates in a manner so as to provide
incentives for a nonregistered provider to become registered.
These amendments do not provide for any waivers in specific
situations because these changes confer a benefit on consumers, by providing an
increase in the income eligibility guidelines, and on providers, by increasing
reimbursement rates. In addition, these changes were mandated by the
legislature, with no provisions for exceptions.
It is anticipated these amendments will also be adopted on an
emergency basis by the Council on Human Services at its June 8, 2000, meeting to
be effective July 1, 2000.
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 July 5, 2000.
These amendments are intended to implement Iowa Code section
234.6 and 2000 Iowa Acts, Senate File 2435, section 31, subsection 12, and
Senate File 2344, section 14.
The following amendments are proposed.
ITEM 1. Amend subrule 130.3(1),
paragraph “d,” subparagraph (2), as follows:
(2) Income eligible status. The monthly gross income
according to family size is no more than the following amounts:
Family Size
|
For Child Care Monthly Gross Income
|
All Other Services Monthly Gross Income Below
|
|
A
|
B
|
C
|
|
1 Members
|
$ 687
|
$ 696
|
$ 961
|
$ 974
|
$1,202
|
$1,219
|
$ 583
|
2 Members
|
922
|
938
|
1,290
|
1,313
|
1,613
|
1,641
|
762
|
3 Members
|
1,157
|
1,179
|
1,619
|
1,651
|
2,024
|
2,064
|
942
|
4 Members
|
1,392
|
1,421
|
1,948
|
1,989
|
2,435
|
2,486
|
1,121
|
5 Members
|
1,627
|
1,663
|
2,277
|
2,328
|
2,847
|
2,910
|
1,299
|
6 Members
|
1,862
|
1,904
|
2,606
|
2,666
|
3,258
|
3,332
|
1,478
|
7 Members
|
2,097
|
2,146
|
2,935
|
3,004
|
3,669
|
3,755
|
1,510
|
8 Members
|
2,332
|
2,388
|
3,264
|
3,343
|
3,766
|
4,178
|
1,546
|
9 Members
|
2,567
|
2,629
|
3,593
|
3,681
|
3,863
|
4,601
|
1,581
|
10 Members
|
2,802
|
2,871
|
3,922
|
4,019
|
3,960
|
4,701
|
1,612
|
For child care, Column A, add $235
$242 for each additional person over 10 members. For child care, Column
B, add $329 $338 for each additional person over 10
members. For child care, Column C, add $97 $100 for each
additional person over 10 members. For other services, add $33 for each
additional person over 10 members.
Column A is used to determine income eligibility when funds
are insufficient to serve additional families beyond those already receiving
services or requiring protective child care and applications are being taken
from families who are at or below 100 percent of the federal poverty guidelines
and in which the parents are employed at least 28 hours per week or are under
the age of 21 and participating in an educational program leading to a high
school diploma or equivalent or from parents under the age of 21 with a family
income at or below 100 percent of the federal poverty guidelines who are
participating, at a satisfactory level, in an approved training or education
program. (See 441—paragraphs 170.2(3)“a” and
“c.”)
Column B is used to determine income eligibility when funds
are insufficient to serve additional families beyond those already receiving
services or requiring protective child care and applications are being taken
from families with an income of more than 100 percent but not more than 140
percent of the federal poverty level whose members are employed at least 28
hours per week (see 441—paragraph 170.2(3)“d”) or when there
is adequate funding and no waiting lists and applications are being taken from
families applying for services, with the exception of families with children
with special needs.
Column C is used to determine income eligibility for families
with children with special needs.
ITEM 2. Amend rule 441—130.4(234)
as follows:
Amend subrule 130.4(3), introductory paragraph and
“Monthly Income Increment Levels According to Family Size” table, as
follows:
130.4(3) Child care services. The monthly income
chart and fee schedule for child care services in a licensed child care center,
an exempt facility, a registered family or group child care home, a
nonregistered family child care home, or in–home care, or
relative care are shown in the following table:
Monthly Income Increment Levels According to Family
Size
|
Income Increment Levels
|
|
|
|
|
|
|
|
|
|
|
|
1
|
2
|
3
|
4
|
5
|
6
|
7
|
8
|
9
|
10
|
Half–Day Fee
|
A
|
653
661
|
877
891
|
1100
1120
|
1323
1350
|
1546
1579
|
1770
1809
|
1993
2039
|
2216
2268
|
2440
2498
|
2663
2727
|
.00
|
B
|
688
696
|
923
938
|
1158
1179
|
1393
1421
|
1628
1663
|
1863
1904
|
2098
2146
|
2333
2388
|
2568
2629
|
2803
2871
|
.50
|
C
|
726
735
|
974
990
|
1222
1245
|
1471
1500
|
1719
1756
|
1967
2011
|
2215
2266
|
2464
2521
|
2712
2776
|
2960
3032
|
1.00
|
D
|
767
776
|
1029
1045
|
1291
1315
|
1553
1584
|
1815
1854
|
2077
2123
|
2340
2393
|
2602
2662
|
2864
2932
|
3126
3201
|
1.50
|
E
|
810
819
|
1087
1104
|
1363
1389
|
1640
1673
|
1917
1958
|
2193
2242
|
2471
2527
|
2747
2811
|
3024
3096
|
3301
3381
|
2.00
|
F
|
855
865
|
1147
1166
|
1440
1466
|
1732
1767
|
2024
2067
|
2316
2368
|
2609
2668
|
2901
2969
|
3193
3269
|
3486
3570
|
2.50
|
G
|
903
914
|
1212
1231
|
1520
1548
|
1829
1866
|
2137
2183
|
2446
2500
|
2755
2818
|
3064
3135
|
3372
3453
|
3681
3770
|
3.00
|
H
|
954
965
|
1279
1300
|
1605
1635
|
1931
1970
|
2257
2305
|
2583
2641
|
2909
2976
|
3235
3311
|
3561
3646
|
3887
3981
|
3.50
|
I
|
1007
1019
|
1351
1373
|
1695
1727
|
2039
2081
|
2383
2434
|
2728
2788
|
3072
3142
|
3416
3496
|
3760
3850
|
4105
4204
|
4.00
|
J
|
1063
1076
|
1427
1450
|
1790
1823
|
2154
2197
|
2517
2571
|
2880
2945
|
3244
3318
|
3608
3692
|
3971
4066
|
4334
4439
|
4.50
|
K
|
1123
1136
|
1507
1531
|
1890
1926
|
2274
2320
|
2658
2715
|
3042
3109
|
3426
3504
|
3810
3899
|
4193
4293
|
4577
4688
|
5.00
|
L
|
1186
1200
|
1591
1617
|
1996
2033
|
2402
2450
|
2807
2867
|
3212
3284
|
3618
3700
|
4023
4117
|
4428
4534
|
4834
4950
|
5.50
|
M
|
1252
1267
|
1680
1707
|
2108
2147
|
2536
2587
|
2964
3027
|
3392
3467
|
3820
3908
|
4248
4348
|
4676
4788
|
5104
5228
|
6.00
|
ITEM 3. Amend subrule 170.4(7),
paragraph “a,” Table I and Table II, as follows:
Table I Half–Day Rate Ceilings For Basic
Care
|
Age Group
|
Day Care Center
|
Registered Family Home
|
Registered Group Home
|
Nonregistered Family Home
|
Infant and Toddler
|
$11.50 $12.45
|
$9.00 $10.00
|
$8.50 $9.00
|
$8.19
|
Preschool
|
$9.50 $10.50
|
$9.00
|
$7.88 $8.55
|
$7.19
|
School Age
|
$8.50 $9.00
|
$9.00
|
$7.88 $8.33
|
$7.36
|
Table II Half–Day Rate Ceilings For Special Needs
Care
|
Age Group
|
Day Care Center
|
Registered Family Home
|
Registered Group Home
|
Nonregistered Family Home
|
Infant and Toddler
|
$28.13 $48.00
|
$11.25 $15.75
|
$11.00 $12.38
|
$10.24
|
Preschool
|
$28.55 $28.13
|
$9.72 $14.63
|
$10.28 $12.38
|
$8.99
|
School Age
|
$29.93 $28.04
|
$13.50
|
$11.47 $11.25
|
$9.20
|
ARC 9872A
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 234.6 and 2000
Iowa Acts, Senate File 2435, section 31, subsection 15, and section 44; and
House File 2555, section 1, subsection 1, and section 11, the Department of
Human Services proposes to amend Chapter 150, “Purchase of Service,”
appearing in the Iowa Administrative Code.
These amendments update fiscal year changes and rate increases
mandated by the Seventy–eighth General Assembly. Adoption, independent
living, home studies, and shelter care providers are given a
cost–of–living adjustment of 5 percent.
All current shelter care providers are currently reimbursed by
the Department at the maximum rate of $79.70 per day. In order for the current
shelter care providers to realize the full 5 percent increase, it is necessary
to apply the 5 percent increase to:
• The current maximum
reimbursement per diem rate of $79.70, raising the maximum to $83.69.
• Each per diem (combined
service and maintenance) provider rate currently reimbursed by the Department,
resulting in a per diem increase of $3.99.
• The provider’s
actual and allowable unit cost plus inflation based on the most recently
submitted and audited financial and statistical report, increasing the cost by
$3.99.
• The statewide average
actual and allowable unit cost plus inflation based upon the most recently
submitted and audited financial and statistical reports as of May 15, 2000,
increasing the rate by $3.99.
These amendments do not provide for a waiver in specific
situations because they confer a benefit by increasing reimbursement rates. All
independent living, shelter care, and adoption providers should be reimbursed on
the same basis.
It is anticipated these amendments will also be adopted on an
emergency basis by the Council on Human Services at its June 8, 2000, meeting to
be effective July 1, 2000.
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 July 5, 2000.
These amendments are intended to implement Iowa Code section
234.6 and 2000 Iowa Acts, House File 2555, section 1, subsection 1, paragraph
“d,” and Senate File 2435, section 31, subsections 7 and
14.
The following amendments are proposed.
ITEM 1. Amend subrule 150.3(5),
paragraph “p,” as follows:
Amend subparagraph (1) as follows:
(1) Unless otherwise provided for in 441—Chapter 156,
rates for shelter care shall not exceed $79.70 83.69 per
day based on a 365–day year.
Amend subparagraph (2), introductory paragraph, and
numbered paragraph “1,” introductory paragraph, as
follows:
(2) For the fiscal year beginning July 1,
1999 2000, the maximum reimbursement rates for services
provided under a purchase of social service agency contract (adoption; local
purchase services including adult day care, adult support, adult residential,
community supervised apartment living arrangement, sheltered work, work
activity, and transportation; shelter care; family planning; and independent
living) shall be the same as the rates in effect on June 30,
1999 2000, except under any of the following
circumstances:
1. If a new service was added after June 30,
1999 2000, the initial reimbursement rate for the
service shall be based upon actual and allowable costs. A new service does not
include a new building or location or other changes in method of service
delivery for a service currently provided under the contract.
Further amend subparagraph (2), numbered paragraph
“3,” as follows:
3. For the fiscal year beginning July 1, 1999
2000, the combined service and maintenance reimbursement rate paid to a
shelter care provider shall be based on the financial and statistical report
submitted to the department. The maximum reimbursement rate shall be
$79.70 83.69 per day. If the department reimburses the
provider at less than the maximum rate, but the provider’s cost report
justifies a rate of at least $79.70 83.69 the department
shall readjust the provider’s reimbursement rate to the actual and
allowable cost plus the inflation factor or $79.70
83.69, whichever is less.
Further amend subparagraph (2) by adopting the
following new numbered paragraph “4” and
rescinding numbered paragraph “5”:
4. For the fiscal year beginning July 1, 2000, the purchase of
service reimbursement rate for adoption, independent living services, and
shelter care shall be increased by 5 percent of the rates in effect on June 30,
2000. The 5 percent increase in shelter care rates results in a per diem
increase of $3.99. The shelter care providers actual and allowable cost plus
inflation shall be increased by $3.99. For state fiscal year 2001 beginning
July 1, 2000, the established statewide average actual and allowable rate shall
be increased by $3.99.
ITEM 2. Amend the implementation clause
following 441—Chapter 150, Division I, to read as
follows:
These rules are intended to implement Iowa Code section 234.6
and 1999 Iowa Acts, House File 760, section 33, subsections 6, 8, and
9 2000 Iowa Acts, House File 2555, section 1, subsection 1,
paragraph “d,” and Senate File 2435, section 31, subsection
7.
ITEM 3. Amend subrule 150.22(7),
paragraph “p,” as follows:
Amend subparagraph (1), introductory paragraph, and
numbered paragraph “1,” introductory paragraph, as
follows:
(1) For the fiscal year beginning July 1,
1999 2000, the maximum reimbursement rates for local
purchase services, including adult day care, adult support, adult residential,
community supervised apartment living arrangement, sheltered work, work
activity, and transportation shall be the same as the rates in effect on June
30, 1999 2000, except under any of the following
circumstances:
1. If a new service was added after June 30,
1999 2000, the initial reimbursement rate for the
service shall be based upon actual and allowable costs. A new service does not
include a new building or location or other changes in method of service
delivery for a service currently provided under the contract.
ITEM 4. Amend the implementation clause
following 441—Chapter 150, Division II, to read as
follows:
These rules are intended to implement Iowa Code section 234.6
and 1999 Iowa Acts, House File 760, section 33, subsection 6
2000 Iowa Acts, Senate File 2435, section 31, subsection 7.
ARC 9873A
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 234.6 and 2000
Iowa Acts, Senate File 2435, section 31, subsection 15, and section 44, the
Department of Human Services proposes to amend Chapter 156, “Payments for
Foster Care and Foster Parent Training,” and Chapter 201,
“Subsidized Adoptions,” appearing in the Iowa Administrative
Code.
These amendments implement the increases to foster family
homes and adoptive homes mandated by the Seventy–eighth General
Assembly.
The daily foster family care and adoption payment rates are
increased as follows: for a child aged 0 through 5 from $13.79 to $14.00, for a
child aged 6 through 11 from $14.54 to $14.78, for a child aged 12 through 15
from $16.28 to $16.53, and for a child aged 16 and over from $16.32 to
$16.53.
The maximum foster family basic monthly maintenance rate and
the maximum adoption subsidy rate for children remain at 70 percent of the
United States Department of Agriculture’s estimate of the cost to raise a
child in the Midwest with a cost–of–living increase added for Fiscal
Year 2001.
These amendments do not provide for any waivers inspecified
situations because these changes confer a benefit on foster parents and adoptive
parents by increasing the foster family daily maintenance rate and the maximum
adoption subsidy rate.
It is anticipated these amendments will also be adopted on an
emergency basis by the Council on Human Services at its June 8, 2000, meeting to
be effective July 1, 2000.
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 July 5, 2000.
These amendments are intended to implement Iowa Code section
234.6 and 2000 Iowa Acts, Senate File 2435, section 31, subsection 6.
The following amendments are proposed.
ITEM 1. Amend rule 441—156.6(234)
as follows:
Amend subrule 156.6(1) as follows:
156.6(1) Basic rate. A monthly payment for care in a
foster family home licensed in Iowa shall be made to the foster family based on
the following schedule:
Age of child
|
|
Daily rate
|
0 through 5
|
|
$13.79 $14.00
|
6 through 11
|
|
14.54 14.78
|
12 through 15
|
|
16.28 16.53
|
16 and over
|
|
16.32 16.53
|
Further amend rule 441—156.6(234), implementation
clause, to read as follows:
This rule is intended to implement Iowa Code section 234.38
and 1999 Iowa Acts, House File 760, section 33, subsection 5
2000 Iowa Acts, Senate File 2435, section 31, subsection 6.
ITEM 2. Amend 441—Chapter
201, implementation clause, to read as follows:
These rules are intended to implement Iowa Code sections
600.17 to 600.21 and 600.23; and 1999 Iowa Acts, House File 760, section
33, subsection 5 2000 Iowa Acts, Senate File 2435, section 31,
subsection 6.
ARC 9883A
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 2193,
sections 4(5), 6(3) and (4), and 21, the Department of Human Services proposes
to adopt Chapter 161, “Iowa Senior Living Trust Fund,” and Chapter
162, “Nursing Facility Conversion and Long–Term Care Services
Development Grants,” Iowa Administrative Code.
These rules implement provisions of 2000 Iowa Acts, Senate
File 2193, the Iowa Senior Living Program Act. The goal of the Iowa Senior
Living Program Act is to create a comprehensive long–term care system that
is consumer–directed, provides a balance between the alternatives of
institutionally and noninstitutionally provided services, and contributes to the
quality of the lives of persons who are elderly or adults with disabilities in
Iowa.
These rules implement the Iowa Senior Living Trust Fund
created in the state treasury under the authority of the Department of Human
Services and define and structure nursing facility conversion grants and
long–term care services development grants to be made from the Iowa Senior
Living Trust Fund by the Department.
The Iowa Senior Living Trust Fund is funded by receipt of
federal revenue from public nursing facilities participating in the medical
assistance program. The Department shall provide increased reimbursement to the
participating public facilities for nursing facility services provided under the
Medicaid program. The facilities shall retain $5,000 of additional
reimbursement received per agreement as a processing payment and shall refund
the remainder of the additional reimbursement through intergovernmental transfer
to the Department. The Department shall deposit the federal share of the refund
(less the $5,000 retained by the nursing facility) in the Iowa Senior Living
Trust Fund and shall credit the nonfederal share of the refund to the
Department’s medical assistance appropriation.
Under these rules, Iowa nursing facilities will be eligible to
apply for grants for capital or other one–time expenditure costs to assist
with the cost of converting all or a portion of the facility to an assisted
living facility or other alternatives to nursing facility care, and providers of
long–term care services and nursing homes will be eligible to apply for
grants to develop additional needed long–term care alternatives other than
assisted living. These alternatives can then be funded through a Medicaid
Home– and Community–Based Services (HCBS) waiver.
The rules establish criteria for awarding grants and set
limits on funding. The General Assembly appropriated $20 million from the
Senior Living Trust Fund for state fiscal year 2001 to provide these
grants.
Conversion grants are limited to $1,000,000 per facility, with
an additional $100,000 if the provider agrees to also provide adult day care,
child care for children with special needs, safe shelter for victims of
dependent adult abuse, or respite care. The maximum conversion grant per
assisted living unit is $45,000. Service development grants are limited to
$150,000 for HCBS waiver services. These rules also provide for an
architectural and financial feasibility study allowance for conversion or
service development grants of up to $15,000.
These rules do not provide for any waivers in specific
situations because creation of the trust fund and awarding of grants will confer
a benefit on providers and consumers. Participation by public nursing
facilities in the creation of the trust fund is voluntary. All participants in
the creation of the fund and all grant applicants should be subject to the same
rules.
It is anticipated these rules will also be adopted on an
emergency basis by the Council on Human Services at its June 8, 2000, meeting to
be effective July 1, 2000.
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 July 5, 2000.
Oral presentations may be made by persons appearing at the
following meetings. Written comments will also be accepted at these
times.
Cedar Rapids – July 11, 2000 11 a.m.
Cedar Rapids Regional Office
Iowa Building – Suite 600
Sixth Floor Conference Room
411 Third St. S.E.
Cedar Rapids, Iowa 52401
Council Bluffs – July 5, 2000 10 a.m.
CPI Conference Room
Council Bluffs Regional Office
417 E. Kanesville Boulevard
Council Bluffs, Iowa 51501
Davenport – July 10, 2000 11 a.m.
Davenport Area Office
Bicentennial Building – Fifth Floor
Large Conference Room
428 Western
Davenport, Iowa 52801
Des Moines – July 11, 2000 10 a.m.
Des Moines Regional Office
City View Plaza
Conference Room 104
1200 University
Des Moines, Iowa 50314
Mason City – July 7, 2000 11 a.m.
Mason City Area Office
Mohawk Square, Liberty Room
22 North Georgia Avenue
Mason City, Iowa 50401
Ottumwa – July 6, 2000 11 a.m.
Ottumwa Area Office
Conference Room 3
120 East Main
Ottumwa, Iowa 52501
Sioux City – July 7, 2000 1:30 p.m.
Sioux City Regional Office
Fifth Floor
520 Nebraska St.
Sioux City, Iowa 51101
Waterloo – July 5, 2000 10 a.m.
Waterloo Regional Office
Pinecrest Office Building
Conference Room 402
1407 Independence Avenue
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 2193, sections 4, 5, and 6.
The following amendments are proposed.
ITEM 1. Adopt the following
new chapter:
CHAPTER 161
IOWA SENIOR LIVING TRUST FUND
PREAMBLE
These rules describe the Iowa senior living trust fund created
by 2000 Iowa Acts, Senate File 2193, and explain how public nursing facilities
can participate in a program for funding of the senior living trust
fund.
441—161.1(78GA,SF2193) Definitions.
“Department” means the Iowa department of human
services.
“Senior living coordinating unit” means the senior
living coordinating unit created within the Iowa department of elder affairs
pursuant to Iowa Code section 231.58 as amended by 2000 Iowa Acts, Senate File
2193, section 13.
“Senior living program” means the Iowa senior
living program established by 2000 Iowa Acts, Senate File 2193.
“Senior living trust fund” or “trust
fund” means the Iowa senior living trust fund created by 2000 Iowa Acts,
Senate File 2193, section 4, in the state treasury under the authority of the
department.
441—161.2(78GA,SF2193) Funding and operation of
trust fund.
161.2(1) Moneys from intergovernmental agreements and
other sources. Moneys received by the department through intergovernmental
agreements for the senior living program and moneys received by the department
from other sources for the senior living trust fund, including grants,
contributions, and participant payments, shall be deposited in the senior living
trust fund.
161.2(2) Use of moneys. Moneys deposited in the trust
fund shall be used only for the purposes of the senior living program as
specified in 2000 Iowa Acts, Senate File 2193, and in rule
441—161.3(78GA,SF2193).
441—161.3(78GA,SF2193) Allocations from the senior
living trust fund. Moneys deposited in the senior living trust fund shall
be used only as provided in appropriations from the trust fund to the department
of human services and the department of elder affairs and for purposes,
including the awarding of grants, as specified in 2000 Iowa Acts, Senate File
2193, section 6, and in 441—Chapter 162.
441—161.4(78GA,SF2193) Participation by
government–owned nursing facilities.
161.4(1) Participation agreement. Iowa
government–owned nursing facilities participating in the Iowa Medicaid
program and wishing to participate in the funding of the senior living trust
fund shall contact the Department of Human Services, Division of Medical
Services, Fifth Floor, 1305 E. Walnut, Des Moines, Iowa 50319–0114, for
information regarding the conditions of participation. Upon acceptance of the
conditions of participation, the facility shall sign Form 470–3763,
Participation Agreement.
161.4(2) Reimbursement. Upon acceptance of the
participation agreement, the department shall authorize increased reimbursement
to the participating facility for nursing facilities services provided under the
Medicaid program. The facility shall retain $5,000 of the additional
reimbursement received per agreement as a processing payment and shall refund
the remainder of the additional reimbursement through intergovernmental transfer
to the department for deposit of the federal share (less the $5,000 retained by
the facility) in the Iowa senior living trust fund and the nonfederal share of
money in the medical assistance appropriation.
These rules are intended to implement 2000 Iowa Acts, Senate
File 2193, sections 4 and 5.
ITEM 2. Adopt the following
new chapter:
CHAPTER 162
NURSING FACILITY CONVERSION
AND
LONG–TERM CARE SERVICES
DEVELOPMENT GRANTS
PREAMBLE
These rules define and structure grants to be made from the
Iowa senior living trust fund, hereafter referred to as the trust
fund.
Grants are available to nursing facilities for capital or
other one–time expenditure costs incurred for conversion of all or a
portion of the facility to an assisted living facility or other alternatives to
nursing facility care, and to noninstitutional providers of long–term care
for development of other needed long–term care alternatives.
These rules implement provisions of 2000 Iowa Acts, Senate
File 2193, which establishes an overall goal of moving toward a balanced,
comprehensive, affordable, high quality long–term care system.
441—162.1(78GA,SF2193) Definitions.
“Adult day care” means structured social,
habilitation, and health activities provided in a congregate setting to
alleviate deteriorating effects of isolation; to aid in transition from one
living arrangement to another; to provide a supervised environment while the
regular caregiver is working or otherwise unavailable; or to provide a setting
for receipt of multiple health services in a coordinated setting.
“Affordable” means rates for payment of services
that do not exceed the rates established for providers of medical and health
services under the medical assistance program. In relation to services provided
by a home– and community–based waiver services provider,
“affordable” means that the total monthly cost of the home–
and community–based waiver services provided do not exceed the maximum
cost for that level of care as established by rule by the department.
In relation to assisted living, “affordable” means
rates for the costs not paid by medical assistance are less than or equal to 110
percent of the maximum prevailing fair market rent for the same size apartment
under guidelines of the applicable United States Department of Housing and Urban
Development (HUD) low–rent housing program in the area where the assisted
living program is located, plus 185 percent of the maximum federal supplemental
security income benefit for an individual or couple (as applicable). Rates for
the costs paid by medical assistance may not exceed the rates established for
payment under the medical assistance home– and community–based
services (HCBS) elderly waiver program.
“Assisted living program” means an assisted living
program certified or voluntarily accredited by the Iowa department of elder
affairs under Iowa Code chapter 231C as amended by 2000 Iowa Acts, Senate File
2193, section 14.
“Child care for children with special needs” means
physical, emotional, and social care delivered up to ten hours a day to children
under the age of 18 by a service provider approved for participation in the
medical assistance waivers in lieu of care by the parent or legal
guardian.
“Department” means the Iowa department of human
services.
“Director” means the director of the Iowa
department of human services.
“Distinct portion of a nursing facility” means a
clearly identifiable area or section within a nursing facility, consisting of at
least a living unit, wing, floor, or building containing contiguous
rooms.
“Efficient and economical care” means services
provided within the reimbursement limits for the services under
441—subrule 79.1(2) for Medicaid home– and community–based
services (HCBS) waivers and for less than the cost of comparable services
provided in a nursing facility.
“Grantee” means the recipient of a
grant.
“HCBS waivers” means Medicaid home–
andcommunity–based services waivers under 441—Chapter 83, which
provide service funding for specific eligible consumer populations in
Iowa.
“Long–term care alternatives” means those
services specified under HCBS waivers as available services for elderly persons
or adults with disabilities; elder group homes certified under Iowa Code chapter
231B; assisted living programs certified or voluntarily accredited under Iowa
Code chapter 231C as amended by 2000 Iowa Acts, Senate File 2193, section 14;
and the PACE program. These are services other than nursing facility care
provided to the elderly and persons with disabilities.
“Long–term care service development” means
either of the following:
1. The remodeling of existing space and, if necessary, the
construction of additional space required to accommodate development of
long–term care alternatives, excluding the development of assisted living
programs or elder group home alternatives.
2. New construction for long–term care alternatives,
excluding new construction of assisted living programs or elder group homes, if
the senior living coordinating unit determines that new construction is more
cost–effective for the grant program than the conversion of existing
space.
“Medical assistance program” means the program
established in Iowa Code chapter 249A and otherwise referred to as Medicaid or
Title XIX.
“Nursing facility” means a licensed nursing
facility as defined in Iowa Code section 135C.1 or a licensed hospital as
defined in Iowa Code section 135B.1, a distinct part of which provides
long–term care nursing facility beds.
“Nursing facility conversion” means either of the
following:
1. The remodeling of nursing facility space existing on July
1, 1999, and certified for medical assistance nursing facility reimbursement
and, if necessary, the construction of additional space required to accommodate
an assisted living program.
2. New construction of an assisted living program if existing
nursing facility beds are no longer licensed and the senior living coordinating
unit determines that new construction is more cost–effective for the grant
program than the conversion of existing space.
“PACE program” means a program of
all–inclusive care for the elderly established pursuant to 42 U.S.C.
Section 1396u–4 that provides delivery of comprehensive health and social
services to seniors by integrating acute and long–term care services, and
that is operated by a public, private, nonprofit, or proprietary entity.
“Pre–PACE program” means a PACE program in the initial
start–up phase that provides the same scope of services as a PACE
program.
“Persons with disabilities” means persons 18 years
of age or older with disabilities as disability is defined in Iowa Code section
225B.2.
“Respite care” means temporary care of an aged
adult, or an adult or child with disabilities, to relieve the usual caregiver
from continuous support and care responsibilities. Components of respite care
services are supervision, tasks related to the individual’s physical
needs, tasks related to the individual’s psychological needs, and social
and recreational activities. A facility providing respite care must provide
some respite care in the facility, but may also provide in–home
respite.
“Safe shelter for victims of dependent adult
abuse” means board, room, and services provided to persons identified by a
department dependent adult abuse investigator as victims of dependent adult
abuse.
“Senior” means elder as defined in Iowa Code
section 231.4.
“Senior living coordinating unit” means the
planning group established in Iowa Code section 231.58 as amended by 2000 Iowa
Acts, Senate File 2193, section 13, or its designee.
“Senior living program” means the senior living
program created by 2000 Iowa Acts, Senate File 2193, to provide for
long–term care alternatives, long–term care service development, and
nursing facility conversion.
“Trust fund” means the Iowa long–term care
trust fund established by 2000 Iowa Acts, Senate File 2193, section 4.
“Underserved area” means a county in which the
number of currently licensed nursing facility beds and certified or accredited
assisted living units is less than or equal to 4.4 percent of the number of
individuals 65 years of age or older according to the most current census data.
In addition, the department, in determining if a county is underserved, may
consider additional information gathered through its own research or submitted
by an applicant including, but not limited to, any of the following:
1. Availability of and access to long–term care
alternatives relative to individuals eligible for medical assistance.
2. The current number of seniors and persons with disabilities
and the projected number of these individuals.
3. The current number of seniors and persons with disabilities
requiring professional nursing care and the projected number of these
individuals.
4. The current availability of long–term care
alternatives and any anticipated changes in the availability of these
alternatives.
441—162.2(78GA,SF2193) Availability of grants.
In any year in which funds are available for new nursing facility conversion or
long–term care services development grants, the department shall issue a
request for applications for grants. The amount of money granted shall be
contingent upon the funds available. The use of funds appropriated to award
grants shall be in compliance with legislation and at the direction of the
senior living coordinating unit.
There is no entitlement to any funds available for grants
awarded pursuant to this chapter. The department may award grants to the extent
funds are available and, within its discretion, to the extent that applications
are approved.
441—162.3(78GA,SF2193) Grant
eligibility.
162.3(1) Eligible applicants. A grant applicant shall
be:
a. A licensed nursing facility that has been an approved
provider under the medical assistance program under the same ownership for the
three–year period prior to application for the grant.
b. A provider of long–term care services, including one
not covered by the medical assistance program, that has been in business for at
least three years under the same owner.
162.3(2) Types and amounts of grants.
a. Architectural and financial feasibility study
allow–ance. An architectural and financial feasibility study allowance
may be awarded solely for costs directly attributable to development of the
architectural and financial review documentation associated with conversion or
service development. Architectural and financial feasibility study allowances
for conversion or service development grants are limited to $15,000, not to
exceed actual costs for each project.
b. Conversion grants. A conversion grant may be awarded to
convert all or a portion of a licensed nursing facility to affordable certified
assisted living units (limited to $45,000 per unit) and for capital or
one–time expenditures including, but not limited to, start–up
expenses, training expenses, and operating losses for the first year of
operation following conversion.
Conversion grants are limited to a total of $1,000,000 per
facility, with an additional $100,000 if the provider agrees to also provide
adult day care, child care for children with special needs, safe shelter for
victims of dependent adult abuse, or respite care.
A grant application which expands resident capacity of an
existing nursing facility shall not be considered. A grant that requires
additional space to accommodate supportive services related to the functioning
of the long–term care alternative, such as dining rooms, kitchen and
recreation areas, or other community–use areas may be
considered.
c. Long–term care services development grant. A
long–term care services development grant may be awarded for capital or
one–time expenditures to develop needed long–term care services
covered under a Medicaid HCBS waiver or to develop a PACE program. Expenditures
may include, but are not limited to, start–up expenses, training expenses,
and operating losses for the first year of operation. Service development
grants are limited to $1,000,000 per PACE program, and $150,000 for HCBS waiver
services.
162.3(3) Criteria for grant applicants. A grant shall
be awarded only to an applicant meeting all of the following criteria:
a. The applicant is located in an area determined by the
senior living coordinating unit to be underserved with respect to a particular
long–term care alternative service.
b. The applicant is able to provide a minimum matching
contribution of 20 percent of the total cost of any conversion, remodeling, or
construction. Costs used by grantees to match grant funds shall be directly
attributable to the costs of conversion or service development.
c. Grants applications from nursing facilities shall be
considered only from facilities with an established history of providing quality
long–term care services. Facilities shall be in substantial compliance
with federal Medicaid participation requirements as evidenced at a minimum by
all of the following:
(1) No identified deficiencies which pose a significant risk
to resident health and safety at the time of application.
(2) No more than one isolated event resulting in actual harm
to residents during the current Medicaid certification period.
(3) No citations for a pattern of events resulting in actual
harm to residents for three years prior to application.
d. Grants to applicants other than nursing facilities shall be
considered from applicants only when:
(1) There is substantial compliance with Medicare and Medicaid
participation requirements or other applicable provider certification
requirements at the time of application.
(2) Compliance exists with Medicare and Medicaid requirements,
if applicable, for a three–year period prior to application.
(3) Compliance exists with the criminal background check
system, if applicable.
e. The applicant agrees to do all of the following as
applicable to the type of grant:
(1) Participate in the medical assistance program and maintain
a medical assistance client participation rate of at least 40 percent, subject
to the demand for participation by persons eligible for medical assistance.
Applicants shall also agree that persons able to pay the costs of assisted
living shall not be discharged from their living unit due to a change in payment
source.
(2) Provide a service delivery package that is affordable for
those persons eligible for services under the medical assistance home– and
community–based services waiver program.
(3) Provide a refund of the grant to the senior living trust
fund on a prorated basis if the applicant or the applicant’s successor in
interest: ceases to operate an affordable long–term care alternative
within the first ten–year period of operation following the awarding of
the grant; fails to maintain a participation rate of 40 percent in accordance
with subparagraph (1) within the first ten–year period of operation
following the awarding of the grant; or discharges persons able to pay the costs
of assisted living from their living unit due to a change in payment
source.
f. The applicant must demonstrate that the proposed method of
construction, whether new or remodeling, is the most cost–effective for
the grant program and, when developing assisted living units, must agree that a
specified number of existing nursing facility beds will not continue to be
licensed.
162.3(4) Allowable and nonallowable costs.
a. Examples of allowable costs include:
(1) Professional fees incurred specifically for conversion of
facility or service development, including architectural, financial, legal,
human resources, research, and marketing fees.
(2) Construction costs for the remodeling of existing space
and, if necessary, the construction of additional space required to accommodate
assisted living program services or other alternatives to nursing facility care
or new construction of an assisted living facility or other alternative to
nursing facility care if existing nursing facility beds are no longer licensed
and the department determines that new construction is more cost–effective
for the grant program than the conversion of existing space.
(3) Start–up and training expenses and operating losses
for the first year.
b. Examples of nonallowable costs include:
(1) Costs of travel, personal benefits, and other facility
programs or investments.
(2) Construction costs to remodel nursing facility space that
will remain in use for nursing facility care.
(3) Any costs associated with operation and maintenance of a
non–grant–related facility or service.
(4) Any costs incurred above per unit grant amounts.
441—162.4(78GA,SF2193) Grant application
process.
162.4(1) Public notice of grant availability. When
funds are available for new grants, the department shall announce through public
notice the opening of a competitive application period. The announcement shall
include information on how agencies may obtain an application package and the
deadlines for submitting an application.
162.4(2) Request for applications. The department
shall distribute grant application packages for nursing facility conversion and
long–term care service development grants upon request. Applicants
desiring to apply for a grant shall submit Form 470–3759, Application for
Nursing Facility Conversion Grant, or Form 470–3760, Application for
Long–Term Care Service Development Grant, with accompanying documentation
to the department by the date established in the application package. If an
application does not include the information specified in the grant application
package or if it is late, it will be disapproved.
The application must be submitted by the legal owner of the
nursing facility or long–term care provider. In cases in which the
provider licensee does not hold title to the real property in which the service
is operated, both the licensee and the owner of the real property must submit a
joint application. Form 470–3759 or Form 470–3760 must be signed by
an individual authorized to bind the applicant to perform legal obligations.
The title of the individual must be stated.
162.4(3) Application requirements.
a. Prior to submission of an application, the applicant must
arrange and conduct a community assessment and solicit public comment on the
plans proposed in the grant application. In soliciting public comment the
applicant must at a minimum:
(1) Publish an announcement in a local or regional newspaper
of the date, time, and location of a public meeting regarding the proposed
project, with a brief description of the proposed project.
(2) Post notice of the meeting at the nursing facility or
applicant’s offices and at other prominent civic locations.
(3) Notify potentially affected clients and their families of
the proposed project, of the potential impact on them, and of the public meeting
at least two weeks prior to the public meeting.
(4) Advise the department of the public meeting date at least
two weeks before the scheduled meeting.
(5) Address the following topics at the public meeting: a
summary of the proposed project, the rationale for the project, and resident
retention and relocation issues.
(6) Receive written and oral comments at the meeting and
provide for a seven–day written comment period following the
meeting.
(7) Summarize all comments received at the meeting or within
the seven–day written comment period and submit the summary to the
department as part of the application package.
b. Grant applications shall contain, at a minimum, the
following information:
(1) Applicant identification and a description of the agency
and its resources, which will demonstrate the ability of the applicant to carry
out the proposed plan.
(2) Information to indicate the nursing facility
applicant’s extent of conversion of all or a portion of its facility to an
assisted living program or development of other long–term care
alternatives. Current and proposed bed capacity shall be given as well as the
number of beds to be used for special services. Nursing facility and
noninstitutional providers shall describe outpatient services they wish to
develop.
(3) A request for an architectural and financial feasibility
study allowance, if desired.
(4) Demonstration at a minimum of the following:
1. Public support for the proposal exists. Evidence of public
support shall include, but not be limited to, the following: the summary of all
comments received at the public meeting or within the seven–day written
comment period and letters of support from the area agency on aging; the local
board of health; local provider or consumer organizations such as the local case
management program for the frail elders, resident advocate committee or
Alzheimer’s chapter; and consumers eligible to receive services from the
developed long–term care alternative.
2. The proposed conversion or service development will have a
positive impact on the overall goal of moving toward a balanced, comprehensive,
high–quality, long–term care system.
3. Conversion of the nursing facility or a distinct portion of
the nursing facility to an assisted living program or development of an
alternative service will offer efficient and economical long–term care
services in the service area described by the applicant.
4. The assisted living program or other alternative services
are otherwise not likely to be available in the service area described by the
applicant for individuals eligible for services under the medical assistance
program.
5. If applicable, a resulting reduction in the availability of
nursing facility services will not cause undue hardship to those individuals
requiring nursing facility services for a period of at least ten
years.
6. Conversion to an assisted living program or development of
other alternative services will result in a lower per client reimbursement to
the grant applicant under the medical assistance program.
7. The service delivery package will be affordable for
individuals eligible for services under the medical assistance home– and
community–based services waiver program.
8. Long–term care alternatives will be available and
accessible to individuals eligible for medical assistance and other individuals
with low or moderate income.
9. Long–term care alternative services are needed based
on the current and projected numbers of seniors and persons with disabilities,
including those requiring assistance with activities of daily living in the
service area described by the applicant.
10. Long–term care alternatives in the service area are
needed based on the community needs assessment and upon current availability and
any anticipated changes in availability.
162.4(4) Selection of grantees. All applications
received by the department within the designated time frames and meeting the
criteria set forth in rule 441—162.3(78GA, SF2193) and subrule 162.4(3)
shall be reviewed by the department under the direction of the senior living
coordinating unit.
If grant applications that meet the minimum criteria exceed
the amount of available funds, scoring criteria shall be used to determine which
applicants shall receive a grant. Scoring shall be based on the
following:
1. The degree to which the county or counties in the service
area described by the grant applicant are underserved – up to 20 points.
If more than one county is in the service area, a weighted average shall be
used.
2. The level of community support as identified by the
community–based assessment, public meeting comments, and letters of
support and the degree of collaboration among local service providers – up
to 20 points.
3. For conversion grants, the number of licensed beds
eliminated or converted to special needs beds, with evidence that the resulting
reduction in licensed beds will not cause a hardship for persons requiring
nursing services – up to 20 points.
4. The number of added services to fill a service need gap
– up to 20 points.
5. Evidence of an adequate plan to carry out the requirements
of this chapter and regulations pertaining to the long–term care
alternative service – up to 20 points.
6. Costs of long–term care alternative services to
consumers – up to 30 points.
7. Evidence of the ability and commitment to make proposed
alternatives accessible to low– and moderate–income persons –
up to 20 points.
162.4(5) Notification of applicants. Applicants shall
be notified whether the grant proposal is approved or denied. Denial of an
application in one year does not preclude submission of an application in a
subsequent year.
441—162.5(78GA,SF2193) Grant dispersal stages.
Following approval of an applicant’s grant proposal by the department, the
grant process shall proceed through the following stages:
162.5(1) Completion of architectural and financial
feasibility study.
a. An architectural and financial feasibility study shall be
completed pursuant to the guidelines included in the applicable grant
application package and applicable service regulations.
(1) For facility conversion, construction, or remodeling, the
architectural plan shall provide schematic drawings at a minimum of
one–eighth scale consisting of the building site plan, foundation plan,
floor plan, cross section, wall sections, and exterior elevations.
(2) The grantee shall comply with all local, state and
national codes pertaining to construction; and certification, licensure, or
accreditation requirements applicable to the long–term care
alternative.
(3) Construction documents, budget cost estimates, and related
services must be rendered by a professional architect or engineer registered in
Iowa.
b. Payment of up to $15,000 may be issued to each approved
applicant to proceed with the architectural and financial feasibility study if
requested in the original application. By making a request for an architectural
and financial feasibility study allowance, the applicant agrees that the funds
will be used solely for costs directly attributable to development of the
architectural and financial review documentation associated with conversion or
service development.
c. All grantees must submit the completed study documents
within the time frame identified in the request for application together with an
itemized accounting of the expenditure of any allowance funds. Any unexpended
architectural and financial review allowance funds shall be returned to the
department.
162.5(2) Review of architectural and financial
feasibility study. The department shall review the architectural and financial
feasibility study materials and shall grant or deny approval to develop or
obtain final budget estimates for the proposed project. Approval to proceed
shall be granted only if the architectural and financial feasibility study
supports the ability of the grantee to meet the minimum grant criteria and to
complete the proposed project as set forth in the original
application.
162.5(3) Completion of final budget estimate.
Grantees approved to proceed with the final budget estimate shall submit the
final budget estimates, any revisions to previously submitted materials, and a
request for a grant in a specific amount. The matching fund amount to be paid
by the grantee must be stated in the request.
162.5(4) Review of final budget estimate. The
department shall review the final budget estimate and issue a notice of award
for a grant in a specific amount if the final budget estimate supports the
ability of the grantee to meet the minimum grant criteria and to complete the
proposed project as set forth in the original application.
441—162.6(78GA,SF2193) Project contracts. The
funds for approved applications shall be awarded through a contract entered into
by the department and the applicant.
441—162.7(78GA,SF2193) Grantee
responsibilities.
162.7(1) Records and reports.
a. The grantee shall maintain the following records:
(1) Consumer participation records that identify persons by
payment source.
(2) Complete and separate records regarding the expenditure of
senior living trust funds for the grant amounts received.
b. Recipients of grants shall submit a bimonthly progress
report to the department and senior living coordinating unit beginning the
second month following project approval through project completion.
c. Recipients shall submit annual cost reports to the
department, in conformance with policies and procedures established by the
department, regarding the project for a period of ten years after the date the
grantee begins operation of its facility as an assisted living facility or other
long–term care alternative.
162.7(2) Reasonable access. The grantee shall allow
access to records at reasonable times by duly authorized representatives of the
department for the purpose of conducting audits and examinations and for
preparing excerpts and transcripts. This access to records shall continue for a
period of ten years from the date the grantee begins operation as an assisted
living facility or other long–term care alternative.
162.7(3) Relinquishment of license. The grantee shall
relinquish the nursing facility bed license for any facility space converted to
assisted living or alternatives to nursing facility care for a ten–year
period.
162.7(4) Acceptance of financial responsibility. The
grantee shall accept financial responsibility for all costs over and above the
grant amount which are related to project completion.
162.7(5) Participation in the medical assistance
program. The grantee shall participate in the medical assistance program as a
provider of nursing facility services if the grantee continues to provide any
nursing facility services.
162.7(6) Segregation of medical assistance residents
forbidden. The grantee shall not segregate medical assistance residents in an
area, section, or portion of an assisted living program or long–term care
alternative service. Grantees shall allow a resident who is converting from
private–pay to medical assistance to remain in the resident’s living
unit if the resident is able to pay the rate and shall not relocate the resident
solely due to a change in payment source.
441—162.8(78GA,SF2193) Offset. The department
may deduct the amount of any refund due from a grantee from any money owed by
the department to the grantee or the grantee’s successor in
interest.
441—162.9(78GA,SF2193) Appeals. Applicants
dissatisfied with the department’s actions regarding applications for
grants and grantees dissatisfied with actions regarding a grant may file an
appeal with the director. The letter of appeal must be received by the director
within five working days of the date of the notice and must include a request
for the director to review the action 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 five working days following the notice awarding the original grants. If an
appeal is filed within the five days, all disbursements shall be held pending a
final decision on the appeal.
These rules are intended to implement 2000 Iowa Acts, Senate
File 2193, section 6.
ARC 9874A
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 234.6, the
Department of Human Services proposes to amend Chapter 163, “Adolescent
Pregnancy Prevention and Services to Pregnant and Parenting Adolescents
Programs,” appearing in the Iowa Administrative Code.
These amendments provide that grants to pregnancy prevention
programs that are developed after July 1, 2000, shall be awarded to programs
which are comprehensive in scope and which are based on existing models that
have demonstrated positive outcomes. Priority in the awarding of grants shall
be given to programs that serve areas of the state which demonstrate the highest
percentage of unplanned pregnancies of females aged 13 or older but younger than
age 18 within the geographic area to be served by the grant.
These amendments do not provide for waivers in specified
situations because these changes were mandated by theSeventy–eighth
General Assembly.
It is anticipated these amendments will also be adopted on an
emergency basis by the Council on Human Services at its June 8, 2000, meeting to
be effective July 1, 2000.
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 July 5, 2000.
These amendments are intended to implement Iowa Code section
234.6 and 2000 Iowa Acts, Senate File 2435, section 3, subsection 11.
The following amendments are proposed.
ITEM 1. Amend rule
441—163.1(234) by adopting the following new
definition in alphabetical order:
“Percentage of pregnancies” means the total number
of births to mothers aged 13 years of age and older but younger than 18 years of
age in the service area for the most recent year for which data is available
divided by the total number of births statewide for the same age group and the
same year.
ITEM 2. Amend subrule 163.3(1) as
follows:
163.3(1) Grants will be awarded to eligible applicants
for specifically designed projects. Preference in awarding grants shall be
given to projects which utilize use a variety of
community resources and agencies. Priority in awarding of points for
community grants shall be given to programs that serve areas of the state which
demonstrate the highest percentage of pregnancies of females aged 13 years of
age or older but younger than age 18 within the geographic area to be served by
the grant. Projects selected for the adolescent pregnancy prevention
statewide campaign, adolescent pregnancy evaluation grant, and state coalition
grants will be eligible for noncompetitive funding for up to three years,
pending availability of funds and based upon satisfactory progress toward
program goals. Projects which do not make satisfactory progress toward program
goals shall be required to competitively bid for refunding. After three years,
all projects must competitively bid for refunding.
Projects funded prior to July 2000 under the community
adolescent pregnancy prevention and services grants are eligible for funding for
up to nine years, pending availability of funds and based upon
satisfactory progress toward program goals if the programs are
comprehensive in scope and have demonstrated positive outcomes. Grants
awarded after July 2000 must be comprehensive in scope and be based on existing
models that have demonstrated positive outcomes.
An increasing grantee match will be required. A 5 percent
grantee match will be required in year one. The match will increase by 5
percent each subsequent year a project receives funding. In–kind matches
may be applied toward the grantee match. Projects which do not make
satisfactory progress toward program goals shall be required to competitively
bid for refunding.
ITEM 3. Amend subrule 163.4(2),
paragraph “d,” as follows:
d. Statement of problem and need, including information
demonstrating the percentage of pregnancies of females aged 13 years of age or
older but younger than age 18 within the geographic area to be
served.
ITEM 4. Amend subrule 163.5(3),
introductory paragraph, and paragraph “i,” as
follows:
163.5(3) A weighted Weighted
scoring criteria will be used to determine grant awards. The maximum
amount number of points possible is 110
125. Determination of final point awards will be based on the
following:
i. Overall quality and impact of program and
consideration of legislative preference areas—10
points.
Further amend subrule 163.5(3) by adding the following
new paragraph “k”:
k. Consideration of legislative priority area—15
points.
ARC 9875A
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 217.6 and 2000
Iowa Acts, House File 2555, section 1, subsection 1, and section 11, and Senate
File 2435, section 31, subsection 15, and section 44, the Department of Human
Services proposes to amend Chapter 185, “Rehabilitative Treatment
Services,” appearing in the Iowa Administrative Code.
This amendment discontinues during state fiscal year 2001 the
practice of allowing individual rehabilitative treatment and supportive service
(RTSS) rates to be renegotiated and implements a rate increase, both as mandated
by the General Assembly. RTSS providers will receive a 5 percent
across–the–board cost–of–living adjustment that shall be
applied to each individual provider’s state–negotiated
rate.
This amendment does not provide for any waivers in specific
situations because these changes were mandated by the legislature, with no
provisions for exceptions.
It is anticipated this amendment will also be adopted on an
emergency basis by the Council on Human Services at its June 8, 2000, meeting to
be effective July 1, 2000.
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 July 5, 2000.
This amendment is intended to implement Iowa Code section
234.6 and 2000 Iowa Acts, House File 2555, section 1, subsection 1, paragraph
“c,” and Senate File 2435, section 31, subsections 9 and
14.
The following amendment is proposed.
Amend subrule 185.112(1), paragraph
“k,” as follows:
k. Once a negotiated rate is established based on the
provisions of this subrule, it shall not be changed or renegotiated
during the time period of this rule except in the following
circumstances:
(1) By mutual consent of the provider and the regional
administrator of the host region based upon the factors delineated at paragraph
185.112(1)“f.,” except that rates shall
not be changed or renegotiated for the period of July 1, 2000, through June 30,
2001.
(2) In accordance with paragraph
185.112(6)“b.,” except that rates shall
not be changed or renegotiated for services not assumed by a new provider for
the period of July 1, 2000, through June 30, 2001.
(3) When Rates may be changed when
funds are appropriated for an across–the–board increase. Effective
July 1, 1999 2000, a 2 5 percent
across–the–board increase
cost–of–living adjustment will be applied.
ARC 9865A
RACING AND GAMING
COMMISSION[491]
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 99D.7 and
99F.4, the Racing and Gaming Commission hereby gives Notice of Intended Action
to rescind Chapter 1, “Organization and Operation,” and adopt a new
Chapter 1 with the same title; amend Chapter 4, “Contested Cases and Other
Proceedings”; rescind Chapter 5, “Applications for Track Licenses
and Racing Dates,” and adopt a new Chapter 5, “Track and Excursion
Boat Licensees’ Responsibilities”; rescind Chapter 6,
“Criteria for Granting Licenses and Determining Race Dates”; amend
Chapter 7, “Greyhound Racing,” Chapter 9, “Harness
Racing,” Chapter 10, “Thoroughbred Racing,” and Chapter 13,
“Occupational and Vendor Licensing”; rescind Chapter 20,
“Application Process for Excursion Boats and Racetrack Enclosure Gaming
License,” and Chapter 21, “Criteria for Granting an Excursion Boat
and Racetrack Enclosure Gaming License”; amend Chapter 22,
“Manufacturers and Distributors,” and Chapter 24, “Accounting
and Cash Control”; rescind Chapter 25, “Riverboat Operation”;
and amend Chapter 26, “Rules of the Games,” Iowa Administrative
Code.
This rule making proposes to rescind current Chapters 1, 5, 6,
20, 21, and 25 and to put in place new Chapters 1 and 5. There have been no new
rules added of any substance. This rule making only rewrites existing rules to
make them consistent with current practice, eliminates redundant rules, and
moves some current rules to more appropriate chapters. The chapters that are
being rescinded basically mirror each other except that some are for
pari–mutuel facilities and others for excursion boat gambling facilities.
These amendments make the rules of the Commission more clear and concise and
ensure that each licensee is treated fairly.
These amendments are not subject to waiver, pending adoption
of a uniform waiver rule.
This rule making was sent to all the licensees prior to its
going before the Commission. No comments were received.
Any person may make written suggestions or comments on the
proposed amendments on or before July 10, 2000. Written material should be
directed to the Racing and Gaming Commission, 717 E. Court, Suite B, Des Moines,
Iowa 50309. Persons who wish to convey their views orally should contact the
Commission office at (515)281–7352.
Also, there will be a public hearing on July 10, 2000, at9
a.m. in the office of the Racing and Gaming Commission, 717 E. Court, Suite B,
Des Moines, Iowa. Persons may pre–sent their views at the public hearing
either orally or in writing.
These amendments are intended to implement Iowa Code chapters
99D and 99F.
The following amendments are proposed.
ITEM 1. Rescind 491—Chapter
1 and adopt in lieu thereof the following new
chapter:
CHAPTER 1
ORGANIZATION AND OPERATION
491—1.1(99D,99F) Function. The racing and
gaming commission was created by Iowa Code chapter 99D and is charged with the
administration of the Iowa pari–mutuel wagering Act and excursion boat
gambling Act. Iowa Code chapters 99D and 99F mandate that the commission shall
have full jurisdiction over and shall supervise all race meetings and gambling
operations governed by Iowa Code chapters 99D and 99F.
491—1.2(99D,99F) Organization and
operations.
1.2(1) The racing and gaming commission is located at
717 E. Court, Suite B, Des Moines, Iowa 50309; telephone (515)281–7352.
Office hours are 8 a.m. to 4:30 p.m., Monday through Friday.
1.2(2) The racing and gaming commission consists of
five members. The membership shall elect a chairperson and
vice–chairperson in July of each year. No chairperson shall serve more
than two consecutive one–year full terms.
1.2(3) The commission meets periodically throughout
the year and shall meet in July of each year. Notice of a meeting is published
on the commission’s Web site at www3.state.ia.us/irgc/ at least
five days in advance of the meeting or will be mailed to interested persons upon
request. The notice shall contain the specific date, time, and place of the
meeting. Agendas are available to any interested persons 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 four members or all members present for the reasons
specified in Iowa Code section 21.5. The operation of commission meetings shall
be governed by the following rules of procedure:
a. A quorum shall consist of three members.
b. When a quorum is present, a position is carried by an
affirmative vote of the majority of the entire membership of the
commission.
c. Persons wishing to appear before the commission should
submit a written request to the commission office not less than ten working days
prior to the meeting. The administrator or commission may place a time limit on
presentations after taking into consideration the number of presentations
requested.
d. Special or electronic meetings may be called by the chair
only upon a finding of good cause and shall be held in strict accordance with
Iowa Code section 21.4 or 21.8.
e. The presiding officer may exclude any person from the
meeting for behavior that disrupts or obstructs the meeting.
f. Cases not covered by this rule shall be governed by the
1990 edition of Robert’s Rules of Order Newly Revised.
491—1.3(99D,99F) Administration of the
commission. The commission shall appoint an administrator for the racing
and gaming commission who shall be responsible for the day–to–day
administration of the commission’s activities.
491—1.4(17A,22,99F) Open records. Except as
provided in Iowa Code sections 17A.2(11)“f” and 22.7, all public
rec–ords of the commission shall be available for public inspection during
business hours. Requests to obtain records may be made either by mail,
telephone, or in person. Minutes of commission meetings, forms, and other
records routinely requested by the public may be obtained without charge or
viewed on the commission’s Web site. Other records requiring more than
ten copies may be obtained upon payment of the actual cost for copying. This
charge may be waived by the administrator.
491—1.5(17A,99D,99F) Forms. All forms utilized
in the conduct of business with the racing and gaming commission shall be
available from the commission upon request. These forms include but are not
limited to:
1.5(1) Racetrack or excursion boat license
application. This form shall contain at a minimum the full name of the
applicant, all ownership interests, balance sheets and
profit–and–loss statements for three fiscal years immediately
preceding the application, pending legal action, location and physical plant of
the facility, and description of proposed operation. The form may include other
information the commission deems necessary to make a decision on the license
application. The qualified nonprofit corporation and the boat operator, if
different than the qualified nonprofit corporation, shall pay a nonrefundable
application fee to offset the commission’s cost for processing the
application in the amount of $25,000. The fee shall be $5,000 for each
subsequent application involving the same operator and the same qualified
sponsoring organization. Additionally, the applicant shall remit an
investigative fee of $15,000 to the department of public safety to do background
investigations as required by the commission. The department of public safety
shall bill the applicant/licensee for additional fees as appropriate and refund
any unused portion of the investigative fee within 90 days after the denial or
operation begins.
1.5(2) Renewal application for racing license. This
form shall contain, at a minimum, the full name of the applicant, racing dates,
simulcast proposal, feasibility of racing facility, distribution to qualified
sponsoring organizations, table of organization, management agreement, articles
of incorporation and bylaws, lease agreements, financial statements, information
on the gambling treatment program, and description of racetrack operations. The
form may include other information the commission deems necessary to make a
decision on the license application.
1.5(3) Renewal application for excursion boat license.
This form shall contain, at a minimum, the full name of the applicant, annual
fee, distribution to qualified sponsoring organizations, table of organization,
internal controls, operating agreement, hours of operation, casino operations,
Iowa resources, contracts, guarantee bond, notarized certification of
truthfulness, and gambling treatment program. The form may include other
information the commission deems necessary to make a decision on the license
application. An annual fee to operate an excursion gambling boat shall be based
on the passenger–carrying capacity including crew. The fee shall be $5
per person capacity and accompany this application.
1.5(4) Renewal application for racetrack enclosure
license. This form shall contain, at a minimum, the full name of the applicant,
annual fee, casino operations, internal controls, Iowa resources, guarantee
bond, and notarized certification of truthfulness. The form may include other
information the commission deems necessary to make a decision on the license
application. A $1,000 application fee must accompany this license
application.
1.5(5) Occupational license application. This form
shall contain, at a minimum, the applicant’s full name, social security
number, residence, date of birth, and other personal identifying information
that the commission deems necessary. A fee set by the commission shall apply to
this application. (Refer to 491—Chapter 13 for additional
information.)
1.5(6) Application for season approvals. This form
shall contain, at a minimum, a listing of the department heads and racing
officials, minimum purse, purse supplements for Iowa–breds, grading system
(greyhound racing only), schedule and wagering format, equipment, security plan,
certification, and any other information the commission deems necessary for
approval. This request must be submitted 45 days prior to the meet. Any
changes to the items approved by the commission shall be requested in writing by
the licensee and subject to the written approval of the administrator or
commission representative before the change occurs.
1.5(7) Manufacturers and distributors license
application. This form shall contain at a minimum the full name of the
applicant, all ownership interests, balance sheets and
profit–and–loss statements for three fiscal years immediately
preceding the application, pending legal action, location and physical plant of
the applicant, and description of proposed operation. The form may include
other information the administrator deems necessary to make a decision on the
license application. (Refer to 491—Chapter 22 for additional
information.)
491—1.6(99D,99F) Limitation on location and number
of racetracks and excursion gambling boats.
1.6(1) The number of licenses to conduct horse racing
shall be one for a racetrack located in Polk County. The number of licenses to
conduct dog racing shall be two, one for a racetrack located in Dubuque County
and one for a racetrack located in Pottawattamie County. The total number of
licenses issued to conduct gambling games on excursion boats shall not exceed
ten and shall be restricted to the counties where such boats were operating (or
licensed to operate in the future) as of May 1, 1998.
1.6(2) Notwithstanding subrule 1.6(1), with the
approval of the commission:
a. A licensed facility may be sold and a new license may be
issued for operation in the same county.
b. A licensee may move to a new location within the same
county.
c. If a license is surrendered, not renewed, or revoked, a new
license may be issued for operation in the same county.
1.6(3) A licensee seeking an increase in the number of
gaming machines or gaming tables must obtain prior approval from the commission.
In the request for approval from the commission, a licensee shall demonstrate to
the commission’s satisfaction that the additional gaming
equipment:
a. Will have a positive economic impact on the community in
which the licensee operates;
b. Will benefit the residents of Iowa;
c. Will result in increased distributions to qualified
organizations entitled to distributions under Iowa Code section
99F.6(4)“a”;
d. Is necessary to satisfy overall excess demand in the
particular market in which the licensee is located;
e. Will result in permanent improvements and land–based
development in Iowa;
f. Is supported within the broader community in which the
licensee operates;
g. Will not have a detrimental impact on the financial
viability of other licensees operating in the market in which the licensee
operates;
h. Is consistent with legislative intent concerning the
purpose of excursion gambling boats or the definition of “racetrack
enclosure” and the purpose of gambling games at racetrack enclosures;
and
i. If for a racetrack enclosure, will benefit the horse or
greyhound industries in Iowa.
The various criteria set forth may not have the same
importance in each instance, and other factors may present themselves in the
consideration of the increase. The criteria are not listed in any order of
priority.
In addition to the foregoing criteria, a licensee requesting
additional gaming machines shall demonstrate to the commission’s
satisfaction that the licensee is in compliance with applicable statutes, rules,
and orders, has not had any material violation of any statutes, rules, or orders
in the previous 12 months, and has taken sufficient steps to address the social
and economic burdens of problem gambling.
491—1.7(99D,99F) Criteria for granting licenses,
renewing licenses, and determining race dates. The commission sets forth
the following criteria which the commission will consider when deciding whether
to issue a license to conduct racing or gaming in Iowa. The various criteria
may not have the same importance in each instance and other factors may present
themselves in the consideration of an application or applications for a license.
The criteria are not listed in order of priority. After the initial
consideration for issuing a license, applicable criteria need only be considered
when an applicant has demonstrated a deficiency.
1.7(1) Compliance. The commission will consider
whether or not the applicant is and has been in compliance with the terms and
conditions specified in Iowa Code section 99D.9 or 99F.4.
1.7(2) Revenue provided by facility. The commission
will consider the amount of revenue to be provided by the proposed facility to
the state and local communities through direct taxation on its operation and
indirect revenues from tourism, ancillary businesses, creation of new industry,
and taxes on employees and patrons.
1.7(3) Viability. The commission will consider
whether the proposed operation is economically viable and properly
financed.
1.7(4) Security. The commission will consider whether
the proposed operation is planned in a manner that provides adequate security
for all aspects of its operation and for the people working at and visiting the
facility.
1.7(5) Efficient and safe operation. The commission
will consider whether the proposed facility is planned in a manner that promotes
efficient and safe operation of all aspects of its facility.
1.7(6) Efficient, safe, and enjoyable for patrons.
The commission will consider whether the proposed facility, including, but not
limited to, parking facilities, concessions, the casino/grandstand, access to
cashier windows, and restrooms, is planned in a manner that promotes efficient,
safe, and enjoyable use by patrons.
1.7(7) Compliance with applicable state and local
laws. The commission will consider whether the proposed facility is in
compliance with applicable state and local laws regarding fire, health,
construction, zoning, and other similar matters.
1.7(8) Employ appropriate persons. The commission
will consider whether the applicant will employ the persons necessary to operate
the facility in a manner consistent with the needs, safety, and interests of all
persons who will be at the facility.
1.7(9) Population. The commission will consider the
population of the area to be served by a facility together with location of
other facilities of whatever nature within and without the state. The
commission may engage an independent firm proficient in market feasibility
studies in the industry for specific analysis of any application to determine
the potential market of any proposed facility as well as the impact on existing
licensees.
1.7(10) Community support. The commission will
consider support within the community in which a proposed facility is to be
located for the promotion and continuation of racing or gaming.
1.7(11) Character and reputation. The commission will
consider whether there is substantial evidence that the officers, directors,
partners, or shareholders of the applicant are not of good repute and moral
character. Any evidence concerning an officer’s, director’s,
partner’s, or shareholder’s current or past conduct, dealings,
habits, or associations relevant to that individual’s character and
reputation may be considered. The commission may consider all relevant facts
surrounding alleged criminal or wrongful conduct resulting in the filing of
criminal charges, a conviction, nolo contendere, no contest or Alford pleas
entered by the applicant or operator in any court or administrative proceedings.
A criminal conviction of an individual shall be conclusive evidence that the
individual committed the offense for which the individual was convicted, but
this does not preclude the commission from considering evidence that the
individual committed additional offenses. The commission shall decide what
weight and effect evidence about an officer, director, partner, or shareholder
should have in the determination of whether there is substantial evidence that
the individual is not of good reputation and character. Officers, directors,
partners, and shareholders who have a significant interest in the management,
ownership, operation, or success of an application may be held to a more
stringent standard of conduct and reputation than others with a less significant
interest or role in such matters.
1.7(12) Nurture the racing industry. The commission
will consider whether the proposed racetrack operation would serve to nurture,
promote, develop, and improve the racing industry in Iowa and provide high
quality racing in Iowa.
1.7(13) Purses. The commission will consider whether
the proposed racetrack operation will maximize purses.
1.7(14) Breeders. The commission will consider
whether the proposed racetrack operation is beneficial to Iowa
breeders.
1.7(15) Gaming integrity. The commission will
consider whether the proposed operation would ensure that gaming is conducted
with a high degree of integrity in Iowa.
1.7(16) Economic development. The commission will
consider whether the proposed operation will maximize economic
development.
1.7(17) Tourism. The commission will consider whether
the proposed operation is beneficial to Iowa tourism.
1.7(18) Employment opportunities. The commission will
consider the number and quality of employment opportunities for Iowans the
proposed operation will create and promote.
1.7(19) Sale of Iowa products. The commission will
consider how the proposed operation will promote the development and sale of
Iowa products.
1.7(20) Shore development. The commission will
consider the amount and type of shore developments associated with the excursion
gambling boat project.
1.7(21) The commission will consider such other
factors as may arise in the circumstances presented by a particular
application.
These rules are intended to implement Iowa Code chapters 99D
and 99F.
ITEM 2. Amend subrule 4.6(5),
paragraph “h,” as follows:
h. A licensee may appeal a board of stewards’ decision.
An appeal must be made in writing to the office of the stewards or the
commission’s office in Des Moines. The appeal must be received within 72
hours of service of the decision. The appeal shall be on a form prescribed
by the commission or must contain numbered paragraphs and set forth the name
of the person seeking the review, the decision to be reviewed, separate
assignments of error, clear and concise statement of relevant facts, reference
to applicable statutes, rules or other authority, prayer setting forth relief
sought and signature, and the name, address, and telephone number of the
person seeking the review or that person’s representative,
or shall be on a form prescribed by the commission. If a licensee
is granted a stay of a suspension, pursuant to 491—4.45(17A), and the
ruling is upheld in a contested case proceeding, then the board of stewards may
reassign the dates of suspension so that the suspension dates are served in the
state of Iowa.
ITEM 3. Rescind 491—Chapter
5 and adopt in lieu thereof the following new
chapter:
CHAPTER 5
TRACK AND EXCURSION BOAT
LICENSEES’
RESPONSIBILITIES
491—5.1(99D,99F) In general. For purposes of
this chapter, the requirements placed upon an applicant shall become a
requirement to the licensee once a license to race or operate a gaming facility
has been granted. Every license is granted upon the condition that the license
holder shall accept, observe, and enforce the rules and regulations of the
commission. It is the affirmative responsibility and continuing duty of each
officer, director, and employee of said license holder to comply with the
requirements of the application and conditions of the license and to observe and
enforce the rules. The holding of a license is a privilege. The burden of
proving qualifications for the privilege to receive any license is on the
licensee at all times. A licensee must accept all risks of adverse public
notice or public opinion, embarrassment, criticism, or financial loss that may
result from action with respect to a license. Licensees further covenant and
agree to hold harmless and indemnify the Iowa racing and gaming commission from
any claim arising from any action of the commission in connection with that
license.
491—5.2(99D,99F) Annual reports. Licensees
shall submit audits to the commission as required by Iowa Code sections 99D.20
and 99F.13. The audit of financial transactions and condition of
licensee’s operation shall include an internal control letter, a balance
sheet, and a profit–and–loss statement pertaining to the
licensee’s activities in the state. If the licensee’s fiscal year
does not correspond to the calendar year, a supplemental schedule indicating
financial activities on a calendar year basis shall be included in the report.
In the event of a license termination, change in business entity, or material
change in ownership, the administrator may require the filing of an interim
report, as of the date of occurrence of the event. The filing due date shall be
the later of 30 calendar days after notification to the licensee or 30 calendar
days after the date of the occurrence of the event, unless an extension is
granted.
5.2(1) The annual audit report required by Iowa Code
section 99D.20 shall include a schedule detailing the following information:
number of performances; taxable attendance and the dollar amount remitted to the
state; total mutuel handle and taxes paid to state, city, and county; unclaimed
winnings; purses paid indicating sources; total breakage and disbursements; and
the disbursements of 1 percent of the triples.
5.2(2) The annual audit report required by Iowa Code
section 99F.13 shall include:
a. A schedule detailing a weekly breakdown of adjusted gross
revenue; taxes paid to the state, city, county, and gambler’s treatment;
and admission fees.
b. A report on whether material weaknesses in internal
accounting control exist.
c. A report on whether the licensee has followed the system of
internal accounting control approved by the administrator.
491—5.3(99D,99F) Information. The licensee
shall submit all information specifically requested in writing by the commission
or commission representative.
491—5.4(99D,99F) Uniform requirements.
5.4(1) Maintenance of grounds and facilities. Each
licensee shall at all times maintain its grounds and facilities so as to be neat
and clean, well landscaped, painted and in good repair, handicapped accessible,
with special consideration for the comfort and safety of patrons, employees, and
other persons whose business requires their attendance.
5.4(2) Facilities for commission. Each licensee shall
provide reasonable, adequately furnished office space, including utilities,
direct long–distance access for voice and data lines, custodial services,
and necessary office equipment, and, if applicable, work space on the boat for
the exclusive use of the commission employees and officials. The licensee shall
also make available appropriate parking places for commission staff.
5.4(3) Sanitary facilities for patrons. Each licensee
shall, on every day of operation, provide adequate and sanitary toilets and
washrooms and furnish free drinking water for patrons and persons having
business on the licensee’s grounds.
5.4(4) First–aid room. Each licensee shall
equip and maintain adequate first–aid facilities and have in attendance,
during the hours of operation, either a physician, a registered nurse, a
licensed practical nurse, a paramedic, or an emergency medical technician, all
properly licensed according to requirements of the Iowa department of public
health.
5.4(5) Security force.
a. Peace officer. Each licensee shall ensure that a person
who is a certified peace officer is present during all gaming hours, unless
permission is otherwise granted by the administrator.
b. Employ adequate security. Each licensee shall employ
sufficient security to remove a person violating a provision of Iowa Code
chapter 99D or 99F, commission rules, or orders; any person deemed to be
undesirable by racing and gaming commission officials; or any person engaging in
a fraudulent practice from the licensed premises. Security shall also be
provided in and about the grounds to secure restricted areas such as the barn
area, kennel area, paddock, and testing area.
c. Incident reports. The licensee shall be required to file a
written report, within 72 hours, detailing any incident in which an employee or
patron is detected violating a provision of Iowa Code chapter 99D or 99F, a
commission rule or order, or internal controls; or is removed for reasons
specified under paragraph 5.4(5)“b.” In addition to the written
report, the licensee shall provide immediate notification to the commission and
DCI representatives on duty or, if representatives are not on duty, provide
notification on each office’s messaging system if the incident involved
employee theft, criminal activity, Iowa Code chapter 99D or 99F violations, or
gaming receipts.
d. Ejection or exclusion. A licensee may eject or exclude any
person, licensed or unlicensed, from the grounds or a part thereof of the the
licensee’s facility, solely of the licensee’s own volition and
without any reason or excuse given, provided ejection or exclusion is not
founded on race, creed, color, disability, or national origin.
Reports of all ejections or exclusions for any reason shall be
made promptly to the commission representative and DCI and shall state the
circumstances. The name of the person must be reported when ejected or excluded
for more than one gaming day.
The commission may exclude any person ejected by a licensee
from any or all pari–mutuel facilities or excursion gambling boats
controlled by any licensee upon a finding that attendance of the person would
be adverse to the public interest.
5.4(6) Firearms possession within casino.
a. No patron or employee of the licensee, including the
security department members, shall possess or be permitted to possess any pistol
or firearm within a casino without the express written approval of the
administrator unless:
(1) The person is a peace officer, on duty, acting in the
peace officer’s official capacity; or
(2) The person is a peace officer possessing a valid peace
officer permit to carry weapons who is employed by the licensee and who is
authorized by the administrator to possess such pistol or firearm while acting
on behalf of the licensee within that casino.
b. Each casino licensee shall post in a conspicuous location
at each entrance to the casino a sign that may be easily read stating,
“Possession of any firearm within the casino without the express written
permission of the Iowa racing and gaming commission is
prohibited”.
5.4(7) Videotaping. Licensees are required to conduct
continuous surveillance with the capability of videotaping all gambling
activities under Iowa administrative rules 661— Chapter 23, promulgated by
the department of public safety.
5.4(8) Commission approval of contracts and business
arrangements.
a. No track or boat operator shall enter into any contract or
business arrangement, verbal or written, with any related party, or in which the
term exceeds three years or the total value of the contract exceeds $50,000,
without first submitting advance written notice thereof to the commission and
obtaining commission approval therefor.
b. Purpose of contract review. The commission conducts
reviews of contracts to serve the public interests in order that:
(1) Gaming is free from criminal and corruptive
elements.
(2) Gaming–related funds are directed to the lawful
recipient.
(3) Gaming profits are not improperly distributed.
c. Related parties. Other contract submittal requirements
notwithstanding, contracts negotiated between the operator and a related party
must be accompanied by an economic and qualitative justification.
d. Review criteria. The commission shall approve all
contracts that, in their opinion, represent a normal business transaction. The
commission may deny approval of any contract that, in their sole opinion,
represents a distribution of profits that differs from commission–approved
ownership and beneficial interest. This rule does not prohibit the commission
from changing the approved ownership or beneficial interest.
5.4(9) Cash access restrictions.
a. Satellite terminal. A licensee shall not permit or
facilitate the operation of a satellite terminal, as defined in Iowa Code
section 527.2, or any other device or arrangement, by which credit is given to a
licensee’s customer through use of a credit card, as defined by Iowa Code
section 537.1301(16). This provision, however, does not prohibit:
(1) The exchange of money for tokens, chips, or other forms of
credit to be wagered on gambling games as specifically authorized by Iowa Code
section 99F.9(4); or
(2) The sale of lodging, food, beverages, or other nongambling
services or products by credit card purchase.
b. Satellite debit terminals. Satellite terminals, as defined
in Iowa Code section 527.2, or any other devices or arrangements by which cash
is dispensed to a licensee’s customer through use of an access device that
results in a debit to a customer asset account shall be located in nongambling
areas of the licensee’s facility as approved by the commission.
c. Checks. The acceptance of personal checks shall be
allowed; however, “counter” checks shall not be allowed. All checks
accepted must be deposited in a bank by the close of the banking day following
acceptance.
5.4(10) Taxes and admission fees.
a. Annual taxes and fees. All taxes and fees, whose
collection by the state is authorized under Iowa Code chapters 99D and 99F,
shall be accounted for on a fiscal–year basis, each fiscal year beginning
on July 1 and ending on June 30.
b. Admission fees.
(1) Excursion gambling boat. Admission fees, whose collection
by the state is authorized under Iowa Code section 99F.10(2), shall be set for
the following fiscal year by the commission on or before the June meeting of the
commission. The total amount payable to the commission shall be determined on a
per–boat basis with each responsible licensee paying a proportionate
amount of the total amount consistent with Iowa Code section
99F.10(4).
(2) Racetrack enclosure. Admission fees as required by Iowa
Code section 99D.14(2) shall be collected in lieu of any fees imposed by Iowa
Code section 99F.10.
(3) Fee free passes. A fee free pass may be issued at the
discretion of the facility for persons actually working in the facility. The
facility must maintain a fee free pass logbook, available for inspection by
commission or DCI representatives. The logbook must reflect the following
information: date the fee free pass is being used; user’s name and date of
birth (verified by photo ID); company or purpose that the fee free pass is being
used for; issuer; pass number; time out; and time in. Fee free passes shall
only be issued on a daily basis and must be returned before the individual who
is using the fee free pass leaves the facility grounds. Fee free passes are
subject to the license requirements of 491—paragraph
13.2(5)“a.” A fee free pass may be used by an employee who has
forgotten the employee’s license but may not be used to avoid obtaining a
duplicate license. An occupational license issued by the commission may be used
in lieu of a fee free pass. A holder of a fee free pass will not be counted
toward admission for tax purposes.
c. Submission of taxes and admission fees. All moneys
collected for and owed to the commission or state of Iowa under Iowa Code
chapter 99F shall be accounted for and itemized on a weekly basis on a form
provided by the commission. A week shall begin on Monday and end on Sunday.
The reporting form must be received in the commission office by 3 p.m. on
Wednesday following the week’s end. The moneys owed, according to the
reporting form, must be received in the treasurer’s office by 11 a.m. on
the Thursday following the week’s end. Additionally, each licensee shall
file a monthly report indicating adjusted gross receipts received from gambling
games, total number of admissions, and amount of admission fees paid. These
reports shall be by calendar month and filed by close of the third business day
following the end of the month.
d. Admission tracking requirement. All entrances used for
admission of patrons must have a counting device of a type approved by the
commission.
5.4(11) Rate of tax revenue. Each licensee shall
prominently display at the licensee’s gambling facility the annual
percentage rate of state and local tax revenue collected by state and local
government from the gambling facility annually.
5.4(12) Gambling treatment program.
a. The holder of a license to operate gambling games shall
adopt and implement policies and procedures designed to:
(1) Identify problem gamblers; and
(2) Prevent previously identified problem gamblers from
gambling at the licensee’s facility or other facilities licensed by the
state of Iowa.
b. The policies and procedures shall be developed in
cooperation with the gambling treatment program and shall include without
limitation the following:
(1) Training of key employees to identify and report suspected
problem gamblers;
(2) Procedures for recording and tracking identified problem
gamblers;
(3) Policies designed to prevent serving alcohol to
intoxicated casino patrons;
(4) Steps for removing problem gamblers from the casino;
and
(5) Procedures for preventing reentry of problem
gamblers.
c. A licensee shall include information on the availability of
the gambling treatment program in a substantial number of its advertisements and
printed materials.
5.4(13) Records regarding ownership.
a. In addition to other records and information required by
these rules, each licensee shall maintain the followingrecords regarding the
equity structure and owners:
(1) If a corporation:
1. A certified copy of articles of incorporation and any
amendments thereto.
2. A copy of bylaws and amendments thereto.
3. A current list of officers and directors.
4. Minutes of all meetings of stockholders and
directors.
5. A current list of all stockholders and stockholders of
affiliates, including their names and the names of beneficial
shareholders.
6. A complete record of all transfers of stock.
7. A record of amounts paid to the corporation for issuance of
stock and other capital contributions and dates thereof.
8. A record, by stockholder, of all dividends distributed by
the corporation.
9. A record of all salaries, wages, and other remuneration
(including perquisites), direct and indirect, paid by the corporation during the
calendar or fiscal year to all officers, directors, and stockholders with an
ownership interest at any time during the calendar or fiscal year, equal to or
greater than 5 percent of the outstanding stock of any class of stock.
(2) If a partnership:
1. A schedule showing the amounts and dates of capital
contributions, the names and addresses of the contributors, and percentage of
interest in net assets, profits, and losses held by each.
2. A record of the withdrawals of partnership funds or
assets.
3. A record of salaries, wages, and other remuneration
(including perquisites), direct and indirect, paid to each partner during the
calendar or fiscal year.
4. A copy of the partnership agreement and certificate of
limited partnership, if applicable.
(3) If a sole proprietorship:
1. A schedule showing the name and address of the proprietor
and the amount and date of the original investment.
2. A record of dates and amounts of subsequent additions to
the original investment and withdrawals therefrom.
3. A record of salaries, wages, and other remuneration
(including perquisites), direct or indirect, paid to the proprietor during the
calendar or fiscal year.
b. All records regarding ownership shall be located in a place
approved by the commission.
c. If the licensee is publicly held, upon the request of the
administrator, the licensee shall submit to the commission one copy of any
report required to be filed by such licensee or affiliates with the Securities
and Exchange Commission or other domestic or foreign securities regulatory
agency. If the licensee is privately held, upon the request of the
administrator, the licensee shall submit financial, ownership, or other entity
records for an affiliate.
5.4(14) Retention, storage, and destruction of books,
rec–ords, and documents.
a. Except as otherwise provided, all original books,
rec–ords, and documents pertaining to the licensee’s operations
shall be:
(1) Prepared and maintained in a complete and accurate
form.
(2) Retained at a site approved by the administrator until
audited.
(3) Held immediately available for inspection by the
commission during business hours of operations.
(4) Organized and indexed in such a manner as to provide
immediate accessibility to the commission.
b. For the purpose of this subrule, “books, records, and
documents” shall be defined as any book, record, or document pertaining to
or prepared or generated by the licensee including, but not limited to, all
forms, reports, accounting records, ledgers, subsidiary records,
computer–generated data, internal audit records, correspondence,
contracts, and personnel records.
c. All original books, records, and documents may be copied
and stored on microfilm, microfiche, or other suitable media system approved by
the administrator.
d. No original book, record, document, or suitable media copy
may be destroyed by a licensee, for three years, without the prior approval of
the administrator.
5.4(15) Remodeling. For any change to be made to the
facility itself directly associated with racing or gaming or in the structure of
the boat itself, the licensee must first submit plans to and receive the
approval of the administrator.
491—5.5(99D) Pari–mutuel uniform
requirements.
5.5(1) Insect and rodent control. The licensee shall
provide systematic and effective insect and rodent control, including control of
flies, mosquitoes, fleas, and mice, to all areas of licensee’s premises at
all times during a race meeting.
5.5(2) Results boards, totalizators required. Each
licensee shall provide and maintain computerized totalizators and electronic
boards showing odds, results, and other racing information located in plain view
of patrons.
5.5(3) Photo finish camera. A licensee shall provide
two electronic photo finish devices with mirror image to photograph the finish
of each race and record the time of each racing animal in at least hundredths of
a second. The location and operation of the photo finish device must be
approved by the commission before its first use in a race. The licensee shall
promptly post a photograph, on a monitor, of each photo finish for win, place or
show, or for fourth place in superfecta races, in an area accessible to the
public. The licensee shall ensure that the photo finish devices are calibrated
before the first day of each race meeting and at other times as required by the
commission. On request by the commission, the licensee shall provide, without
cost, a print of a photo finish to the commission. A photo finish of each race
shall be maintained by the licensee for not less than six months after the end
of the race meeting, or such other period as may be requested by the
commission.
5.5(4) Electric timing device. Any electric timing
device used by the licensee shall be approved by the commission.
5.5(5) Official scale. The licensee shall provide and
maintain in good working order official scales or other approved weighing
devices. The licensee shall provide to the stewards certification of the
accuracy of the scales at the beginning of each race meeting or more frequently
if requested by the stewards.
5.5(6) Lighting. Each licensee shall provide and
maintain adequate illumination in the barn/kennel area, parking area, and
racetrack area.
5.5(7) Fencing. The stable and kennel areas should be
properly fenced as defined by the commission and admission permitted only in
accord with rules of the commission.
5.5(8) Guest passes. The licensee shall develop a
policy to be approved by the stewards for the issuance of guest passes for
entrance to the kennel or stable area. The guest pass is not an occupational
license and does not permit the holder to work in any capacity or in any way
confer the benefits of an occupational license to participate in racing. The
license holder shall be responsible for the conduct of the guest pass
holder.
491—5.6(99F) Excursion gambling boat uniform
requirements.
5.6(1) Boat design.
a. The minimum passenger capacity necessary for an excursion
gambling boat is 250.
b. Boats must be self–propelled. A boat may contain
more than one “vessel” as defined by the U.S. Coast Guard. In order
to be utilized for gaming purposes, the vessel containing the casino must either
contain a permanent means of propulsion or have its means of propulsion
contained in an attached vessel. In the event that the vessel containing the
casino is propelled by a second vessel, the boat will be considered
self–propelled only when the vessels are designed, constructed, and
operated as a single unit.
5.6(2) Excursions.
a. Length. The excursion season shall be from April 1 through
October 31 of each calendar year. An excursion gambling boat must operate at
least one excursion each day for 100 days during the excursion season to operate
during the off–season, although a waiver may be granted by the commission
in the first year of a boat’s operation if construction of the boat was
not completed in time for the boat to qualify. Excursions shall consist of a
minimum of two hours in transit during the excursion season. The number of
excursions per day is not limited. During the excursion season and the
off–season, while the excursion gambling boat is docked, passengers may
embark or disembark at any time during its business hours pursuant to Iowa Code
section 99F.4(17).
b. Dockside completion of excursions. If, during the
excursion season, the captain determines that it would be unsafe to complete any
portion of an excursion, or if mechanical problems prevent the completion of any
portion of an excursion, the boat may be allowed to remain at the dock or, if
the excursion is underway, return to the dock and conduct the gaming portion of
the excursion while dockside, unless the captain determines that passenger
safety is threatened.
c. Notification. If an excursion is not completed due to
reasons specified in paragraph 5.6(2)“b,” a commission
representative shall be notified as soon as is practical.
These rules are intended to implement Iowa Code chapters 99D
and 99F.
ITEM 4. Rescind and reserve
491—Chapter 6.
ITEM 5. Adopt new rule
491—7.2(99D) as follows:
491—7.2(99D) Track licensee’s
responsibilities.
7.2(1) Racetrack. Each licensee shall provide a race
course which:
a. Is constructed and elevated in a manner that is safe and
humane for greyhounds.
b. Has a surface, including cushion subsurface and base,
constructed of materials and to a depth that adequately provides for the safety
of the greyhounds.
c. Has a drainage system approved by the commission.
d. Must be approved by the commission and be subject to
periodic inspections by the commission.
7.2(2) Patrol films or videotapes. Each licensee
shall at all times during a race meeting provide and maintain personnel and
equipment necessary to produce adequate motion pictures or videotapes and record
with the same personnel and equipment each race from start to finish. Films and
videotapes shall be retained and secured by the licensee until the first day of
the following racing season.
7.2(3) Communications. Each licensee shall install
and maintain in good working order communications systems among the stewards,
pari–mutuel department, starting gate/box, public address announcer,
paddock, testing area, and necessary on–track officials.
ITEM 6. Rescind subrule 7.3(3),
paragraph “e,” and adopt in lieu thereof the following
new paragraph:
e. Disclosure to the racing secretary of the true and entire
ownership of each greyhound in the trainer’s care upon arrival on
licensee’s property, or at time of license application, or entry,
whichever event occurs first, and making revision immediately upon any
subsequent change in ownership. The disclosure, together with all written
agreements and affidavits setting out oral agreements pertaining to the
ownership for or rights in and to a greyhound, shall be attached to the
registration certificate for the greyhound and filed with the racing
secretary.
ITEM 7. Amend subrule 7.9(7),
paragraph “b,” as follows:
b. The racing secretary is responsible for maintaining a file
of all National Greyhounds Association lease (or appropriate substitute) and
ownership papers on greyhounds racing at the meeting. The racing secretary
shall inspect all papers and documents dealing with owners and trainers,
partnership agreements, appointments of authorized agents, and adoption of
kennel names to be sure they are accurate, complete, and up to date. The racing
secretary has the authority to demand the production of any documents or other
evidence in order to be satisfied as to their validity and authenticity to
ensure compliance with the rules. The racing secretary shall be responsible
for the care and security of the papers while the greyhounds are located on
licensee’s property. Disclosure is made for the benefit of the public and
all documents pertaining to the ownership or lease of a greyhound filed with the
racing secretary shall be available for public inspection.
ITEM 8. Rescind and reserve subrule
9.2(6), paragraph “d,” subparagraph
(2).
ITEM 9. Amend subrule 9.2(7) by
adopting the following new paragraph
“l”:
l. Registration. The racing secretary shall be responsible
for the care and security of all registrations and supporting documents
submitted by the trainer while the horses are located on licensee’s
property. Disclosure is made for the benefit of the public, and all documents
pertaining to the ownership or lease of a horse filed with the racing secretary
shall be available for public inspection.
ITEM 10. Rescind subrule 9.3(1),
paragraph “a,” subparagraph (6), and adopt in lieu
thereof the following new subparagraph:
(6) Trainers shall register with the racing secretary, on a
form provided by the racing secretary, all horses which are intended to race at
the meeting stating their names, age, sex, color, breeding, and disclosing any
and all person(s) having any interest in said horse(s). Any change in ownership
shall be reported immediately to, and approved by, the commission representative
and recorded by the racing secretary. The disclosure, together with all written
agreements and affidavits setting out oral agreements pertaining to the
ownership for or rights in and to a horse, shall be attached to the registration
certificate for the horse and filed with the racing secretary. This
registration must be presented to the racing secretary immediately upon arrival
of the trainer and all changes must be reported within 24 hours after taking
place.
ITEM 11. Rescind and reserve subrule
10.2(6), paragraph “d,” subparagraph
(2).
ITEM 12. Amend subrule 10.2(7) by
adopting the following new paragraph
“l”:
l. Registration. The racing secretary shall be responsible
for the care and security of all registrations and supporting documents
submitted by the trainer while the horses are located on licensee’s
property. Disclosure is made for the benefit of the public, and all documents
pertaining to the ownership or lease of a horse filed with the racing secretary
shall be available for public inspection.
ITEM 13. Adopt new rule
491—10.3(99D) as follows:
491—10.3(99D) Track licensee’s
responsibilities.
10.3(1) Stalls. The licensee shall ensure that racing
animals are stabled in individual box stalls; that the stables and immediate
surrounding area are maintained in approved sanitary condition at all times;
that satisfactory drainage is provided; and that manure and other refuse are
kept in separate boxes or containers at locations distant from living quarters
and promptly and properly removed.
10.3(2) Paddocks and equipment. The licensee shall
ensure that paddocks, starting gates and other equipment subject to contact by
different animals be kept in a clean condition and free of dangerous
surfaces.
10.3(3) Receiving barn and stalls. Each licensee
shall provide a conveniently located receiving barn or stalls for the use of
horses arriving during the meeting. The barn shall have adequate stable room
and facilities, hot and cold water, and stall bedding. The licensee shall
employ attendants to operate and maintain the receiving barn or stalls in a
clean and healthy condition.
10.3(4) Fire protection. The licensee shall develop
and implement a program for fire prevention on licensee premises in accordance
with applicable state fire codes. The licensee shall instruct employees working
on licensee premises in procedures for fire prevention and evacuation. The
licensee shall, in accordance with state fire codes, prohibit the
following:
a. Smoking in horse stalls, in feed and tack rooms, and in the
alleyways.
b. Sleeping in feed rooms or stalls.
c. Open fires and oil– or gasoline–burning
lanterns or lamps in the stable area.
d. Leaving electrical appliances in use unattended or in
unsafe proximity to walls, beds or furnishings.
e. Keeping flammable materials, including cleaning fluids or
solvents, in the stable area.
10.3(5) Horsemen’s bookkeeper.
a. General authority. The horsemen’s bookkeeper shall
maintain the records and accounts and perform the duties described herein and
maintain such other records and accounts and perform such other duties as the
licensee and commission may prescribe.
b. Records.
(1) The records shall include the name, mailing address,
social security number or federal tax identification number, and the state or
country of residence of each horse owner, trainer, or jockey participating at
the race meeting who has funds due or on deposit in the horsemen’s
account.
(2) The records shall include a file of all required
statements of partnerships, syndicates, corporations, assignments of interest,
lease agreements, and registrations of authorized agents.
(3) All records of the horsemen’s bookkeeper shall be
kept separate and apart from the records of the licensee.
(4) All records of the horsemen’s bookkeeper including
records of accounts and moneys and funds kept on deposit are subject to
inspection by the commission at any time.
c. Moneys and funds on account.
(1) All moneys and funds on account with the horsemen’s
bookkeeper shall be maintained:
1. Separate and apart from moneys and funds of the
licensee;
2. In a trust account designated as “horsemen’s
trust account”; and
3. In an account insured by the Federal Deposit Insurance
Corporation or the Federal Savings and Loan Insurance Corporation.
(2) The horsemen’s bookkeeper shall be bonded in
accordance with commission stipulations.
(3) The amount of purse money earned is credited in the
currency of the jurisdiction in which the race was run. There shall be an
appeal for any exchange rate loss at the time of transfer of funds from another
jurisdiction.
d. Payment of purses.
(1) The horsemen’s bookkeeper shall receive, maintain,
and disburse the purses of each race and all stakes, entrance money, jockey
fees, purchase money in claiming races, all applicable taxes and other moneys
that properly come into possession in accordance with the provisions of
commission rules.
(2) The horsemen’s bookkeeper may accept moneys due
belonging to other organizations or recognized meetings, provided prompt return
is made to the organization to which the money is due.
(3) The fact that purse money has been distributed prior to
the issuance of a laboratory report shall not be deemed a finding that no
chemical substance has been administered, in violation of these rules, to the
horse earning such purse money.
(4) The horsemen’s bookkeeper shall disburse the purse
of each race and all stakes, entrance money, jockey fees and purchase money in
claiming races, and all applicable taxes, upon request, within 48 hours of
receipt of notification that all tests with respect to such races have cleared
the drug testing laboratory (commission chemist) as reported by the stewards.
Minimum jockey mount fees may be disbursed prior to notification that the tests
have cleared the testing laboratory.
(5) Absent a prior request, the horsemen’s bookkeeper
shall disburse moneys to the persons entitled to receive same within 15 days
after the last race day of the race meeting, including purses for official
races, provided that all tests with respect to such races have cleared the drug
testing laboratory as reported by the stewards, and further provided that no
protest or appeal has been filed with the stewards or the commission.
(6) In the event a protest or appeal has been filed with the
stewards or the commission, the horsemen’s bookkeeper shall disburse the
purse within 48 hours of receipt of dismissal or a final nonappealable order
disposing of such protest or appeal.
e. No portion of purse money other than jockey fees shall be
deducted by the licensee for itself or for another, unless so requested in
writing by the person to whom purse moneys are payable or by the person’s
duly authorized representative. The horsemen’s bookkeeper shall mail to
each owner at the close of each race meeting a duplicate of each record of a
deposit, withdrawal, or transfer of funds affecting the owner’s racing
account.
10.3(6) Starting gate.
a. During racing hours a licensee shall provide at least two
operable padded starting gates that have been approved by the
commission.
b. During designated training hours a licensee shall make at
least one starting gate and qualified starting gate employee available for
schooling.
c. If a race is started at a place other than in a chute, the
licensee shall provide and maintain in good operating condition backup equipment
for moving the starting gate. The backup equipment must be immediately
available to replace the primary moving equipment in the event of
failure.
10.3(7) Distance markers.
a. A licensee shall provide and maintain starting point
markers and distance poles in a size and position clearly seen from the
steward’s stand.
b. The starting point markers and distance poles must be
marked as follows:
1/4 poles red and white horizontal stripes
1/8 poles green and white horizontal stripes
1/16 poles black and white horizontal stripes
220 yards green and white
250 yards blue
300 yards yellow
330 yards black and white
350 yards red
400 yards black
440 yards red and white
550 yards black and white horizontal stripes
660 yards green and white horizontal stripes
770 yards black and white horizontal stripes
870 yards blue and white horizontal stripes
10.3(8) Detention enclosure. Each licensee shall
maintain a detention enclosure for use by the commission in securing from horses
who have run in a race, samples of urine, saliva, blood or other bodily
substances or tissues for chemical analysis. The enclosure shall include a wash
rack, commission veterinarian office, a walking ring, at least four stalls,
workroom for the sample collectors with hot and cold running water and glass
observation windows for viewing of the horses from the office and workroom. An
owner, trainer, or designated representative, licensed by the commission, shall
be with a horse in the detention barn at all times.
10.3(9) Ambulance. A licensee shall maintain, on the
grounds during every day when its track is open for racing or exercising, an
ambulance for humans and an ambulance for horses, each equipped according to
prevailing standards and staffed by medical doctors, paramedics, or other
personnel trained to operate them. When an ambulance is used for transfer of a
horse or patient to medical facilities, a replacement ambulance must be
furnished by the track to comply with this rule.
10.3(10) Helmets and vests. The licensee shall not
allow any person to exercise any horse on association grounds unless that person
is wearing a protective helmet and safety vest of a type approved by the
commission.
10.3(11) Racetrack.
a. The surface of a racetrack, including cushion, subsurface,
and base, must be designed, constructed, and maintained to provide for the
safety of the jockeys and racing animals.
b. Distances to be run shall be measured from the starting
line at a distance three feet out from the inside rail.
c. A licensee shall provide an adequate drainage system for
the racetrack.
d. A licensee shall provide adequate equipment and personnel
to maintain the track surface in a safe training and racing condition. The
licensee shall provide backup equipment for maintaining the track surface. A
licensee that conducts races on a turf track shall:
(1) Maintain an adequate stockpile of growing medium;
and
(2) Provide a system capable of adequately watering the entire
turf course evenly.
e. Rails.
(1) Racetracks, including turf tracks, shall have inside and
outside rails, including gap rails, designed, constructed, and maintained to
provide for the safety of jockeys and horses. The design and construction of
rails must be approved by the commission prior to the first race meeting at the
track.
(2) The top of the rail must be at least 38 inches but not
more than 44 inches above the top of the cushion. The inside rail shall have no
less than a 24–inch overhang with a continuous smooth cover.
(3) All rails must be constructed of materials designed to
withstand the impact of a horse running at a gallop.
10.3(12) Patrol films or videotapes. Each licensee
shall provide:
a. A videotaping system approved by the commission. Cameras
must be located to provide clear, panoramic head–on views of each race.
Separate monitors, which simultaneously display the images received from each
camera and are capable of simultaneously displaying a synchronized view of the
recordings of each race for review, shall be provided in the stewards’
stand. The location and construction of video towers must be approved by the
commission.
b. One camera, designated by the commission, to videotape the
prerace loading of all horses into the starting gate and shall continue to
videotape them until the field is dispatched by the starter.
c. One camera, designated by the commission, to videotape the
apparent winner of each race from the finish line until the horse has returned,
the jockey has dismounted, and the equipment has been removed from the
horse.
d. At the discretion of the stewards, video camera operators
to videotape the activities of any horses or persons handling horses prior to,
during, or following a race.
e. That races run on an oval track be recorded by at least
three video cameras. Races run on a straight course must be recorded by at
least two video cameras.
f. Upon request to the commission, without cost, a copy of a
videotape of a race.
g. Videotapes recorded prior to, during, and following each
race to be maintained by the licensee for not less than six months after the end
of the race meeting, or such other period as may be requested by the stewards or
the commission.
h. A viewing room in which, on approval by the stewards, an
owner, trainer, jockey, or other interested individual may view a videotape
recording of a race.
i. Following any race in which there is an inquiry or
objection, to the public on designated monitors, the videotaped replays of the
incident in question which were utilized by the stewards in making their
decision.
10.3(13) Communications.
a. Each licensee shall provide and maintain in good working
order a communication system between the:
(1) Stewards’ stand;
(2) Racing office;
(3) Tote room;
(4) Jockeys’ room;
(5) Paddock;
(6) Test barn;
(7) Starting gate;
(8) Weigh–in scale;
(9) Video camera locations;
(10) Clocker’s stand;
(11) Racing veterinarian;
(12) Track announcer;
(13) Location of the ambulances (equine and human);
and
(14) Other locations and persons designated by the
commission.
b. A licensee shall provide and maintain a public address
system capable of clearly transmitting announcements to the patrons and to the
stable area.
ITEM 14. Rescind subrule 10.4(1),
paragraph “b,” subparagraph (6), and adopt in lieu
thereof the following new subparagraph:
(6) Disclosure to the racing secretary of the true and entire
ownership of each horse in the trainer’s care, custody, or control. Any
change in ownership shall be reported immediately to, and approved by, the
commission representative and recorded by the racing secretary. The disclosure,
together with all written agreements and affidavits setting out oral agreements
pertaining to the ownership for or rights in and to a horse, shall be attached
to the registration certificate for the horse and filed with the racing
secretary.
ITEM 15. Rescind and reserve subrule
13.2(5), paragraph “a.”
ITEM 16. Rescind and reserve subrule
13.2(6).
ITEM 17. Rescind and reserve
491—Chapters 20 and 21.
ITEM 18. Amend 491—Chapter 22 by
adopting the following new rule:
491—22.24(99F) Movement of slot machines and video
games of chance. Reports must be filed with the commission on movements of
slot machines and video games of chance into and out of the state of Iowa.
Reports must be submitted on forms provided by the commission and must be
received in the commission office no later than 15 calendar days after the
movement.
ITEM 19. Rescind and reserve rules
491—24.13(99F) through 491—24.15(99F).
ITEM 20. Rescind and reserve
491—Chapter 25.
ITEM 21. Amend 491—Chapter 26 by
adopting the following new rule:
491—26.9(99F) Gambling games
authorized.
26.9(1) Dice, roulette, twenty–one,
big–six (roulette), red dog, baccarat, and poker are authorized as table
games.
26.9(2) Slot machines, progressive slot machines,
video poker, and all other video games of chance will be allowed as machine
games, subject to the approval of individual game prototypes. For racetrack
enclosures, video machine as used in Iowa Code section 99F.1(9) shall mean video
keno and any video machine game version of a table or card game including but
not limited to those listed in subrule 26.9(1). A weighted average of the
theoretical payout percentage as defined in subrule 26.15(6) on all machine
games shall be posted at the main casino entrance, cashier cages, and slot
booths.
ARC 9876A
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 425, “Motor Vehicle and Travel Trailer Dealers,
Manufacturers, Distributors and Wholesalers,” Iowa Administrative
Code.
Currently, an applicant for a dealer’s or used vehicle
wholesaler’s license must certify compliance with zoning requirements.
Items 1 and 3 amend this procedure to require written evidence of compliance
with zoning requirements. This change will ensure that applicants are aware of
zoning requirements. Item 2 updates an Iowa Acts citation. No waiver
provisions have been included in these amendments. It was determined that
waivers are not appropriate.
Any person or agency may submit written comments concerning
these proposed amendments or may submit a written request to make an oral
presentation. The comments or request shall:
1. Include the name, address, and telephone number of the
person or agency authoring the comments or request.
2. Reference the number and title of the proposed rule, as
given in this Notice, that is the subject of the comments or request.
3. Indicate the general content of a requested oral
presentation.
4. Be addressed to the Department of Transportation,
Director’s Staff Division, 800 Lincoln Way, Ames, Iowa 50010; fax
(515)239–1639; Internet E–mail address:
jfitzge@max.state.ia.us.
5. Be received by the Director’s Staff Division no later
than July 5, 2000.
A meeting to hear requested oral presentations is scheduled
for Friday, July 7, 2000, at 1 p.m. in the DOT Conference Room at Park Fair
Mall, 100 Euclid Avenue, Des Moines, Iowa.
The meeting will be canceled without further notice if no oral
presentation is requested.
The proposed amendments may have an impact on small business.
A request for a regulatory analysis pursuant to Iowa Code section 17A.4A must be
received by the Director’s Staff Division at the address listed in this
Notice no later than 32 days after publication of this Notice in the Iowa
Administrative Bulletin.
These amendments are intended to implement Iowa Code chapters
322 and 322C.
Proposed rule–making actions:
ITEM 1. Amend subrule 425.10(6) as
follows:
425.10(6) Zoning. The applicant shall certify
on the application provide to the office of vehicle services written
evidence, issued by the office responsible for the enforcement of zoning
ordinances in the city or county where the applicant’s business is
located, which states that the applicant’s principal place of business
and any extensions comply with all applicable zoning provisions or are a legal
nonconforming use.
ITEM 2. Amend rule
761—425.31(322), implementation clause, as follows:
This rule is intended to implement Iowa Code section
322.5 as amended by 1999 Iowa Acts, Senate File 203, section 23
Supplement subsection 322.5(5).
ITEM 3. Amend subrule 425.52(1) as
follows:
425.52(1) Application for license.
a. To apply for a license as a used vehicle
wholesaler,the applicant shall complete Form 417004, “Used Vehicle
Distributor/Wholesaler Application for License,” and submit it to the
office of vehicle services.
b. The applicant shall certify on the
application provide to the office of vehicle services written
evidence, issued by the office responsible for the enforcement of zoning
ordinances in the city or county where the applicant’s business is
located, which states that the applicant’s designated location
complies with all applicable zoning provisions or is a legal nonconforming
use.
c. If the applicant is a corporation, the applicant
shall certify on the application that the corporation complies with all
applicable state requirements for incorporation.
ARC 9866A
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 602, “Classes of Driver’s Licenses,” Chapter
605, “License Issuance,” and Chapter 630, “Nonoperator’s
Identification,” Iowa Administrative Code.
Items 1 and 2 move a reference to Iowa Code section 321.191
from rule 761—602.3(321) to rule 761—605.9(321) and delete
superfluous language.
Items 3 and 4 establish the pilot project authorized by 2000
Iowa Acts, House File 2538, section 5. This legislation authorizes the
Department to conduct a pilot project at two driver’s license stations
pursuant to rules adopted by the Department. In conducting the pilot project,
the legislation provides that the Department may waive payment of or refund fees
for a renewal or duplicate of a driver’s license or nonoperator’s
identification card if the Department determines that the service standard for
timely issuance has not been met or an error on the license or identification
card requires the applicant to return to the driver’s license
station.
Any person or agency may submit written comments concerning
these proposed amendments or may submit a written request to make an oral
presentation. The comments or request shall:
1. Include the name, address, and telephone number of the
person or agency authoring the comments or request.
2. Reference the number and title of the proposed rule, as
given in this Notice, that is the subject of the comments or request.
3. Indicate the general content of a requested oral
presentation.
4. Be addressed to the Department of Transportation,
Director’s Staff Division, 800 Lincoln Way, Ames, Iowa 50010; fax
(515)239–1639; Internet E–mail address: jfitzge@
max.state.ia.us.
5. Be received by the Director’s Staff Division no later
than July 5, 2000.
A meeting to hear requested oral presentations is scheduled
for Friday, July 7, 2000, at 10 a.m. in the DOT Conference Room at Park Fair
Mall, 100 Euclid Avenue, Des Moines, Iowa.
The meeting will be canceled without further notice if no oral
presentation is requested.
After adoption, the Department intends to file these
amendments “emergency” in accord with Iowa Code paragraph
17A.5(2)“b” and make them effective upon filing, on the ground that
these amendments will confer a benefit on members of the public who experience
service that does not meet the standards established in the new rule
language.
These amendments are intended to implement 2000 Iowa Acts,
House File 2538, section 5.
Proposed rule–making actions:
ITEM 1. Rescind rule
761—602.3(321).
ITEM 2. Amend rule 761—605.9(321),
introductory paragraph, as follows:
761—605.9(321) Payment of fee.
Fees for driver’s licenses. Fees for driver’s
licenses are specified in Iowa Code section 321.191. A license fee may be
paid by cash, check or money order. If payment is by check, the following
requirements apply:
ITEM 3. Adopt new rule
761—605.10(321) as follows:
761—605.10(321) Waiver or refund of license
fees—pilot project. This rule establishes the pilot project
authorized by 2000 Iowa Acts, House File 2538, section 5.
605.10(1) The department may waive payment of or
refund the fee for a renewal or duplicate of a driver’s license
if:
a. An error occurs during the issuance process and is
discovered by the applicant at the time of issuance. However, the fee shall not
be waived or refunded if the error is discovered by department staff and is
corrected within the 30–minute time period specified in paragraph
“c” of this subrule.
b. An error occurs during the issuance process and is
discovered during the edit process of updating the driver record, and the error
requires the applicant to return to the driver’s license station to have
the error corrected.
c. The applicant is required to wait more than 30 minutes to
renew a license or obtain a duplicate license. This 30–minute time period
is determined by using an automated customer numbering system that monitors
waiting time.
605.10(2) The department shall not waive payment of or
refund a fee if the applicant does not have in the applicant’s possession
at the time of application the previously issued driver’s
license.
605.10(3) The department shall not waive payment of or
refund fees for any of the following transactions: reinstatements following
sanctions, new applications, or applications requiring knowledge or skills
testing.
605.10(4) This pilot project is limited to issuance
activity at the driver’s license stations in Burlington, Iowa, and
Davenport, Iowa.
This rule is intended to implement 2000 Iowa Acts, House File
2538, section 5.
ITEM 4. Amend rule 761—630.2(321)
by adopting the following new subrule:
630.2(6) This subrule establishes the pilot project
authorized by 2000 Iowa Acts, House File 2538, section 5.
a. The department may waive payment of or refund the fee for a
renewal or duplicate of a nonoperator’s identification card if:
(1) An error occurs during the issuance process and is
discovered by the applicant at the time of issuance. However, the fee shall not
be waived or refunded if the error is discovered by department staff and is
corrected within the 30–minute time period specified in subparagraph
(3).
(2) An error occurs during the issuance process and is
discovered during the edit process of updating the identification record, and
the error requires the applicant to return to the driver’s license station
to have the error corrected.
(3) The applicant is required to wait more than 30 minutes to
renew a nonoperator’s identification card or obtain a duplicate card.
This 30–minute time period is determined by using an automated customer
numbering system that monitors waiting time.
b. The department shall not waive payment of or refund a fee
if the applicant does not have in the applicant’s possession at the time
of application the previously issued nonoperator’s identification
card.
c. The department shall not waive payment of or refund fees
for new applications.
d. This pilot project is limited to issuance activity at the
driver’s license stations in Burlington, Iowa, and Davenport,
Iowa.
ARC 9877A
UTILITIES DIVISION[199]
Notice of Termination
Pursuant to the authority of Iowa Code section
17A.4(1)“b,” the Iowa Utilities Board (Board) gives notice that on
May 15, 2000, the Board issued an order in Docket No. RMU–99–10,
In re: Restoration of Agricultural Lands During and After Pipeline
Construction, “Order Terminating Rule Making.”
On September 15, 1999, the Board issued an order commencing a
rule making to receive public comment on the adoption of land restoration rules.
The Board proposed to rescind current Chapter 9 and replace it with a new
Chapter 9. Notice of Intended Action was published in IAB Vol. XXII, No. 7
(10/6/99), p. 573, as ARC 9400A. Written comments were filed on or
before October 28, 1999, and a workshop to receive oral comments was held on
November 17, 1999.
Pursuant to the authority of Iowa Code section
17A.4(1)“b” (1999), the Utilities Board terminates the rule making.
The Board will issue an Order Initiating Rule Making and Notice of Intended
Action in the near future to receive additional comment on a new set of proposed
land restoration rules.
ARC 9878A
UTILITIES DIVISION[199]
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 Iowa Code sections 17A.4, 476.1, and 476.2 and
Iowa Code Supplement sections 479.29, 479A.14, and 479B.20, the Utilities Board
(Board) gives notice that on May 19, 2000, the Board issued an order in Docket
No. RMU–99–10, In re: Restoration of Agricultural Lands During
and After Pipeline Construction, “Order Commencing Rule
Making.”
On September 15, 1999, the Board issued an order in Docket No.
RMU–99–10, In re: Restoration of Agricultural Lands During and
After Pipeline Construction, “Order Commencing Rule Making” to
receive public comment on the adoption of land restoration rules. The Notice of
Intended Action was published in the IAB Vol. XXII, No. 7 (10/6/99) p. 573, as
ARC 9400A. Written comments were filed on or before October 28, 1999,
and a workshop to receive oral comments was held on November 17, 1999. On
November 24, 1999, the Board issued an “Order Scheduling Additional
Comments.” Additional comments were filed on or before December 8,
1999.
Pursuant to the authority of Iowa Code section
17A.4(1)“b,” on May 15, 2000, the Board issued an order In re:
Restoration of Agricultural Lands During and After Pipeline Construction,
“Order Terminating Rule Making,” published herein as ARC
9877A. At the November 17, 1999, oral presentation, in the rule making
noticed as ARC 9400A (herein the pretermination proceeding will be
identified as ARC 9400A), the Board stated its intent to receive
additional written and oral comments on a new set of proposed land restoration
rules. (Tr. 197). After considering fully all written and oral submissions and
the 180–day rule–making parameters, the Board terminated ARC
9400A and is issuing new proposed land restoration rules in this Notice of
Intended Action. The proposed new rules incorporate written and oral comments
regarding ARC 9400A. This Notice will discuss the proceedings that
resulted in the proposed new rules. The rule–making docket, identified as
Docket No. RMU–99–10, will remain the same to facilitate continuity
between the previous and current rule–making proceeding.
The Board is proposing to rescind current 199 IAC Chapter 9
and replace it with a new Chapter 9. Currently, Chapter 9 sets the
standards for underground improvements, soil conservation structures, and
restoration of agricultural lands after pipeline construction. The rules apply
to pipelines transporting any solid, liquid, or gaseous substance except water,
including intrastate and interstate natural gas pipelines and hazardous liquid
pipelines.
New Chapter 9 is intended to implement the changes adopted in
1999 Iowa Acts, chapter 85 [Senate File 160], including prescribing standards
for the restoration of land for agricultural purposes during and after pipeline
construction. The legislation amended Iowa Code sections 479.29, 479.45,
479.48, 479A.14, 479A.24, 479A.27, 479B.20, 479B.29, and 479B.32.
1999 Iowa Acts, chapter 85, amended Iowa Code chapters 479,
479A, and 479B to focus the Board’s authority to establish standards for
the restoration of agricultural lands during and after pipeline construction.
The amendments directed the Board to adopt rules which include a list of items
in the statutes. The legislation affirms the county boards of
supervisors’ authority to inspect projects and gives the county boards of
supervisors the authority to file a complaint with the Board in order to seek
civil penalties for noncompliance with various requirements. The new chapter
requires petitioners for permits or federal certificates for pipeline
construction to file a written land restoration plan and provide copies to all
landowners. The proposed rules, pursuant to the statute, allow the application
of different provisions, which are contained in agreements with landowners, and
define compensable losses.
In the new Chapter 9, the Board sets out a procedure for
review of land restoration plans. Those pipeline companies that are subject to
Iowa Code chapters 479 and 479B and, therefore, must file a petition for
pipeline permit shall file a land restoration plan at the time they file a
petition for permit or application for amendment of permit with the Board.
Those interstate pipeline companies that are subject to Iowa Code chapter 479A
and have construction projects requiring a certificate from the Federal Energy
Regulatory Commission (FERC) must file a land restoration plan at least 120 days
prior to construction. The proposed rules describe the contents of a land
restoration plan and set out detailed requirements for land
restoration.
Written comments in ARC 9400A were filed by the
Consumer Advocate Division of the Department of Justice (Consumer Advocate),
Alliant Energy–IES Utilities Inc. and Interstate Power Company (Alliant),
MidAmerican Energy Company (MidAmerican), Northern Natural Gas Company and
Northern Border Pipeline (Northern), Alliance Pipeline L.P. (Alliance), BP Amoco
Pipelines–North America (Amoco) and the Iowa Petroleum Council (IPC). ANR
Pipeline Company (ANR) and Grundy County Board of Supervisors filed letters
announcing their intention to participate in the workshop but not making
specific comments. Poweshiek County filed a letter supporting the rules as
drafted but did not make specific comments. The Office of Grundy County
Engineer (Grundy County) filed late comments on November 15, 1999.
At the November 17, 1999, workshop, in ARC 9400A, panel
discussions were held on the definition of pipeline construction, FERC
environmental assessments, preapproval of land restoration plans for hazardous
liquid, intrastate and interstate natural gas pipelines, storage of topsoil on
traveled ways, temporary tile repair, mandatory county inspections,
postconstruction drainage issues, and the proposed rules. Northern, Alliance,
IPC, Consumer Advocate, the Iowa Farm Bureau Federation (Farm Bureau),
MidAmerican, Delaware County Supervisor Shirley Helmrichs, and landowners Todd
Voss, Jack and Debbie Hartman, Jim Shover, and Gary Mugge participated in the
workshop discussions.
Additional comments in ARC 9400A were filed by Consumer
Advocate, Northern, Farm Bureau, Robert and Susan Garner, Allen Cassel, Mr. and
Mrs. Donald Langbehn, Richard and Betty Lynch, James L. Shover, Michael J. Ryan,
Gordon Mau, Ed Offerman, ANR, Shirley E. Helmrichs, and Henry Bechtel. Kathryn
A. Hall filed additional comments on December 10, 1999. On December 22, 1999,
Sherwood Jackson filed comments, and Amoco filed comments on December 28,
1999.
Alliance and Northern asserted that the statutory language in
Iowa Code Supplement section 479A.14(12) exempting any pipeline projects that
have received a Federal Energy Regulatory Commission (FERC) certificate by June
1, 1999, from the land restoration requirements should be incorporated in
subrule 9.1(1). 2000 Iowa Acts, House File 2247, amended Iowa Code chapter
479A by removing the provision that the land restoration requirements of Iowa
Code Supplement section 479A.14 did not apply to interstate natural gas pipeline
construction projects that had received a certificate from FERC prior to
June 1, 1999. 2000 Iowa Acts, House File 2247, is effective July 1, 2000.
In order to avoid any future confusion, a sentence will be added to subrule
9.1(1) to clarify that certain construction commenced during 1999 is not subject
to the requirements of new Chapter 9.
MidAmerican suggested clarification of the definition of
“landowner” in paragraph 9.1(3)“c” and the addition
of a definition of “property interest.” The definition of
“landowner” is set forth in various sections of Iowa Code chapters
479 and 479B. Pursuant to Iowa Code sections 479.5 and 479B.4, a landowner, for
informational meeting notices, is “a person listed on the tax assessment
rolls as responsible for the payment of real estate taxes imposed on the
property.” Persons residing on the property must also be notified but are
not classified as landowners. For payment of damages, pursuant to Iowa Code
sections 479.46(7), 479A.25(7), and 479B.30(7), the term “landowner”
includes a farm tenant.
With the possible exception of contract purchasers, tenants do
not usually possess property rights that allow the tenants to dictate how the
property is treated. Where the legislature intended the term
“landowner” to have more than its usual meaning, or to give rights
to persons who are not the landowner, it has specifically done so. Expanding
the term creates ambiguities and difficulty in determining who is entitled.
Nonowners can be difficult to identify and locate. See Anstey v. Iowa State
Commerce Commission, 292 N.W.2d 380 (Iowa 1980). The Board does not believe a
specific statement in the rule is necessary to allow landowners to have another
party represent their interests. Paragraph 9.1(3)“c” is modified by
deleting the second sentence in the definition.
The interstate pipeline companies objected to paragraph
9.1(3)“f” because of the procedural burdens of filing a land
restoration plan for “construction.” Northern, IPC, and Amoco
suggested exempting minor projects. Northern sought clarification that certain
activities it considered maintenance not be considered
“construction.” Northern suggested exempting normal operation or
maintenance activities, construction for emergency or safety purposes,
construction required by state or local governmental agencies or authorities,
and construction on property owned or leased by the pipeline company. Consumer
Advocate and Farm Bureau maintained the exemption for emergency construction
could be a potential loophole and that activities construed as maintenance could
also damage the land.
The definition of “pipeline construction” is of
critical importance because, under Iowa Code Supplement sections 479.29(1),
479A.14(1), and 479B.20(1), the land restoration standards apply to pipeline
construction. The Board believes a broad definition of construction is
necessary to carry out the intent of the legislature to protect and restore Iowa
agricultural land. The determination of the breadth of the definition of
“pipeline construction” is within the Board’s discretion in
this rule making. To prevent the creation of a serious loophole in the
applicability of the standards in these rules, the definition will include
installation, replacement, operation, and maintenance involving a significant
disturbance to the land, and removal of a pipeline. The Board recognizes that,
for public safety reasons, emergency repairs sometimes must be conducted in a
manner inconsistent with this chapter. For this reason, the definition of
“pipeline construction” in paragraph 9.1(3)“f” will
exempt emergency repairs. While that means the land restoration standards
technically will not apply to emergency repairs, if the definition is adopted,
the Board will emphatically urge the pipeline companies to make every reasonable
effort, whenever they disturb the soil, to fully restore agricultural land in
compliance with the standards in this chapter.
The definition of “pipeline construction” is also
important with regard to interstate natural gas pipelines because, under Iowa
Code Supplement section 479A.14(9), a land restoration plan must be filed prior
to the initiation of construction. Proposed rule 9.2(479, 479A, 479B) requires
a specific land restoration plan filing for all interstate natural gas pipeline
construction projects requiring a certificate from the Federal Energy Regulatory
Commission. For the generally less significant interstate natural gas
construction projects that do not require a federal certificate, these rules
provide a sufficient level of specificity in methods, procedures, and
restoration results to deem that the rules constitute a land restoration plan.
This approach is consistent with Iowa Code Supplement sections 479.29(9) and
479B.20(9), which require a land restoration plan for intrastate and hazardous
liquid pipeline projects only when the pipeline company files a petition for a
permit. Lesser projects not requiring a permit are subject to the standards in
these rules, but are not required to be individually addressed in a plan.
Interstate natural gas proj–ects will be handled in the same
way.
Turning to Northern’s other assertions, construction
required by state or local governments, such as road projects, may impact
privately owned agricultural land. Exemption is not appropriate. Also, since
the land restoration standards apply only to agricultural land, no exception is
necessary for land that has been leased or purchased by a pipeline company and
used for nonagricultural purposes.
Alliant suggested the term “proper notice” to the
county inspector be defined. Northern also supported defining the term and
recommended language. In the panel discussion, Consumer Advocate, Farm Bureau,
Delaware County Supervisor Shirley Helmrichs, and several landowners asserted
that it was important for the county inspector to inspect and approve all land
restoration. The county inspector should be informed when critical functions
occur. New paragraph 9.1(3)“g” will require the county inspector
receive at least 24 hours’ written notice prior to trenching, tile
repairing, or backfilling at a specific location. (With the addition of new
paragraph 9.1(3)“g,” subsequent paragraphs have been
relettered.)
MidAmerican and Northern commented about the possible
implication of a general reference to soil conservation agencies rather than to
a specific agency in paragraph 9.1(3)“h” (formerly
9.1(3)“g”). Northern suggested the paragraph reference only the
Iowa Natural Resources Conservation Service. MidAmerican and Northern’s
apparent concern is what type of groups could be classified as soil conservation
agencies. The Board recognizes their concern and will clarify paragraph
9.1(3)“h” by adding the phrase “federal or state soil
conservation agencies.” The reference to “soil conservation
agencies” in paragraph 9.1(3)“i” will also be modified by
adding the phrase “federal or state soil conservation agencies” for
the same reasons.
Northern also recommended deleting “timber” as a
soil conservation practice in paragraph 9.1(3)“h” because it may be
too broad. The Board agrees with Northern. The term “timber” could
encompass natural woods and other wooded areas that are not intended to be used
for land conservation purposes. Paragraph 9.1(3)“h” will be
modified by substituting “tree plantings” for the term
“timber” and the phrase “but not limited to” will also
be added.
Northern recommended clarifying the definition of
“topsoil” set forth in paragraph 9.1(3)“k” (formerly
9.1(3)“j”) by deleting the last sentence and adding the phrase
“whether in cultivated or uncultivated soil” to the first sentence.
Delaware County Supervisor Shirley Helmrichs maintained the definition of
“topsoil” should be more detailed, and cited as an example the
change in color between topsoil and subsoil. Landowner Gordon Mau suggested
adding a reference to the organic content and color of typical topsoil. The
Board finds merit in these suggestions and will revise the definition
accordingly.
Rule 9.2(479,479A,479B) sets forth when a plan is required.
In written and oral comments, many commenters proposed filing a generic plan,
which could be preapproved by the Board. The commenters contended that the
filing of a generic plan would eliminate the need for individual plan
preparation and Board consideration in each proceeding. Consumer Advocate and
Farm Bureau suggested the pipeline companies file generic plans for all
construction plus maintenance, repair, and emergency work. The plans would be
subject to Board review both at filing and periodically thereafter.
One of the advantages of a generic plan would be that the
landowners could be informed of the company’s plan early in the process.
However, with a generic plan, the landowners would not have the opportunity for
input into the plan content, nor could the Board address any unique aspects of
the project. The Board declines to modify rule 9.2(479,479A, 479B) concerning a
generic plan. As previously discussed, specific plans are only required when
permits or certificates are required by the state or FERC. Pipeline companies
are not precluded by the rule from submitting a model plan for review and
comment in advance of a petition for federal or state construction
authorization. Additionally, construction activities not requiring permits or
certificates from the Board or FERC remain subject to the land restoration
requirements but not individual plans. The rules in Chapter 9 effectively
provide the generic plan for construction not requiring the filing of a specific
plan.
Amoco opposed the inclusion of information pertaining to the
purpose and nature of the pipeline project as required by paragraph
9.2“a”“1” (now 9.2(1)“a”) as part of the
plan. Amoco contended the information could be confidential and that the plan
is not the proper forum for information unrelated to land restoration. The
information benefits the landowners that receive a copy of the plan. In
addition, the information will be available through the Iowa pipeline permitting
process, which includes public informational meetings, notice and hearing.
Paragraph 9.2(1)“a” will be proposed without change.
Amoco proposed deleting the phrase “good cause”
from subrule 9.2“b” (now 9.2(2)). Amoco contended the subrule sets
an unnecessary threshold of proof to obtain a waiver to accept plan variations.
On January 18, 2000, the Board issued an order in Docket No.
RMU–00–1, “In re: Rule Waivers,” to implement
changes in Governor Vilsack’s Executive Order 11, issued September 14,
1999, which requires each agency to adopt uniform waiver rules. The Board will
modify subrule 9.2(2) to reference 199 IAC 1.3(17A,474) to reflect the current
and future waiver rule, whichever is in effect at a particular time.
Northern and Alliance suggested subrule 9.2“c”
(now 9.2(3)) be modified to include a FERC Environmental Assessment (EA) as an
alternative to a land restoration plan. Consumer Advocate was not opposed to
the suggestion if the EA was comparable to the Environmental Impact Statement
(EIS). Farm Bureau contended an EA was not as comprehensive as an EIS, usually
does not cover all required areas of a land restoration plan, and has less
opportunity for public input than an EIS. The Board’s role is to review
the land restoration plans to ensure that Iowa requirements will be met. If an
EA contains the information necessary to make this determination, there is no
reason why it cannot be utilized. The Board has found the EA information
sufficient in Docket No. WRU–99–35–233, Northern Natural
Gas Company, and will modify the rule to include EAs.
Northern also recommended the Board define EIS and EA by
citing the FERC definition. The Board finds merit in Northern’s
recommendation and will modify the rule to cite the federal regulation
containing these definitions.
Northern and Alliance opposed the 120–day prefiling
requirement in subrule 9.3(2). They argued the FERC certificate may be
issued less than 120 days before the planned start of construction and the
process could be delayed by the filing requirement. The Board must balance the
timeliness of federal actions with the time needed for review and distribution
of the approved plan. The Board will modify subrule 9.3(2) to accept draft
environmental documents or best–available information at the beginning of
the review period, and to allow conditional decisions if final information is
not available.
Amoco and IPC objected to the requirements set forth in
subrule 9.4(1) that topsoil be stripped from the subsoil storage area. They
contended there is no evidence that placing subsoil on the topsoil is harmful
and alleged this is not a common industry practice. If topsoil is stripped from
the subsoil storage area, the subsoil and the topsoil will never come in contact
so they cannot be mixed. This separation is common practice for gas pipelines
and is required by the FERC Upland Erosion Control, Revegetation, and
Maintenance Plan. The subrule will be proposed without change.
Consumer Advocate recommended adding stringent requirements
for staking the area to be topsoiled because of instances in which it was
difficult to verify that the required amount of the topsoil had been removed.
The Board is reluctant to add stringent requirements for staking to subrule
9.4(1) as suggested by Consumer Advocate since none of the landowners, nor the
comments of a county inspector provided by the Delaware County Supervisor,
indicate a problem in this area.
Landowner Gordon Mau suggested removing all topsoil regardless
of depth from both the trench and the entire working right–of–way.
The Board believes removing topsoil from the working right–of–way
would risk more damage to the topsoil and place underlying tile lines at greater
risk than leaving it in place. The working right–of–way can be 50
feet and more in width, and, especially in deep topsoil stripping, 50+ feet adds
up to such a large volume of earth that Mr. Mau’s proposal is not
practical. The exception would be if wet conditions threatened mixing of
topsoil and subsoil by construction equipment, and that is addressed in subrule
9.4(10).
Farm Bureau and landowners Ed Offerman and Gordon Mau opposed
the 12–inch limit on topsoil removal, contending that all topsoil should
be removed from the trench whatever its depth. Neither the FERC Upland Erosion
Control, Revegetation, and Maintenance Plan, nor current Iowa rules were
designed to replace all the topsoil. The intent was to ensure that a layer of
fertile soil covers the right–of–way area after construction.
However, the practice is not without precedent. The Agricultural Impact
Mitigation Agreement (AIMA) for the 1998 Northern Border Project required the
removal of all topsoil, up to 36 inches deep, both from the trench and subsoil
storage area. The Illinois AIMA for the Alliance Project required topsoil
removal up to 36 inches in the pipeline trench and 12 inches on the subsoil
storage area. FERC also adopted these requirements for Northern Border Project
2000, the ANR portion of the Independence Pipeline and Market Link Expansion
Projects, and the ANR Wisconsin Expansion project. Therefore, subrule 9.4(1)
will be amended to require that the actual depth of the topsoil, not to exceed
36 inches, will first be stripped from the area to be excavated above the
pipeline and to a maximum of 12 inches from the adjacent subsoil storage
area.
Alliance and Northern opposed the prohibition against using
stored topsoil as a roadway without landowner consent. Alliance alleged this is
a fairly standard construction practice, which should not require landowner
agreement to implement. Northern maintained that storing topsoil on traveled
ways may be unavoidable and proposed the rule allow the practice when the
construction right–of–way is limited. Consumer Advocate argued that
placing topsoil on the traveled way increases the risk of mixing with the
subsoil. Farm Bureau also opposed this practice. The Board believes this
matter is of sufficient concern to landowners that it should not be done without
their consent and the requirement in the rule will remain as proposed.
Delaware County Supervisor Shirley Helmrichs and landowner
Michael J. Ryan maintained that topsoil had been used for entrance roads and
ramps instead of right–of–way storage. They also contended that
land leveling to facilitate construction was done without separating the
topsoil. Topsoil should not be used for entrance roads and ramps or removed
from the landowner’s property without consent. Nor should land leveling
be performed without storing and replacing the topsoil. Paragraph
9.4(1)“b” will be modified to prohibit the use of topsoil for such
purposes.
Alliant suggested the clearance requirement in subrule 9.4(2)
apply only “when possible.” Subrule 9.4(2) will be proposed without
change. The 12–inch clearance requirement is intended to provide
workspace between the pipeline and tile line without affecting the other
facility and is consistent with federal pipeline safety standards for both gas
and liquid pipelines.
Subrule 9.4(2) sets forth the requirements for temporary and
permanent repair of drain tile. IPC, Amoco and Northern suggested the
requirement in paragraph 9.4(2)“b” that flowing tile lines be
temporarily repaired immediately be deleted. Northern recommended that the rule
state repairs to flowing lines be made “promptly” rather than
“immediately.” IPC and Amoco recommended requiring temporary repair
only “to the extent practical.” Northern contended repair of tile
lines that are parallel to the trench would be impractical. IPC and Amoco
asserted that temporary repair of dry tile lines should not be required.
Northern suggested the rule require temporary repairs to dry tile lines within
30 days rather than 4; Alliance suggested 20 days.
Northern regarded water in the trench as inevitable in many
cases and a manageable problem. IPC and Amoco stated that they consider
allowing tile to flow into the trench or, in the alternative, plugging the tile
to be options. They argued they should be allowed to choose between temporary
repair and paying damages. Consumer Advocate challenged the practicality of
payments. Consumer Advocate and Farm Bureau also questioned if pumping of large
amounts of trench water would create erosion or wetness problems for the
landowner.
Farm Bureau, Delaware County Supervisor Helmrichs, and
landowners Cassel, Shover, and the Garners maintained that temporary tile
repairs are needed to prevent wet soil conditions on the
right–of–way and adjacent lands. They stated wet soils could cause
problems such as difficult construction, soil mixing, and compaction. Landowner
Gary Mugge contended that unrepaired tile during construction had caused
flooding and crop damage on his land, as well as soil compaction. Landowners
Cassel and Mau said unrepaired tile lines need to be capped to keep mud out if
trench water reaches open tile ends. The Langbehns favored temporary repairs
for wet or dry lines but pointed out the need for animal guards on lines left
open.
The comments from farm and landowner interests indicate that
the fundamental concerns to be addressed are maintaining drainage from adjacent
lands during and after construction and preventing entry of mud and debris into
the open ends of cut tile. It appears these concerns can be protected without
requiring temporary repair in all instances. The Board also recognizes that if
tile lines are crossed at a sharp angle, the ends of cut tile lines may be too
far apart for temporary repair to be practical. If water flows from
unre–paired tile lines, the presence of water in the trench has minimal
impact on the construction of the pipeline.
The Board will make several modifications to paragraph
9.4(2)“b” based on these comments. Repairs to flowing tile lines
must be made as soon as is practicable. Temporary repairs to lines that remain
dry will not be required if permanent repairs can be made within ten days.
Temporary repair will not be required if the ends of the tile line are too
widely separated for temporary repair to be practical. The open ends of
unrepaired tile lines must be protected from entry of mud if water rises,
foreign material, or small animals. Plugging of upstream tile lines will not be
permitted. The rules do not provide for payment of damages in lieu of repairs.
Alliance recommended paragraph 9.4(2)“c” be
modified to include a statement that the tile line marker will have to be moved
to the edge of the right–of–way to accommodate the spoil bank and
various construction activities. Grundy County recommended requiring a
wheel–type trenching machine to help establish the location of existing
lines.
The spoil bank is created when the trench is dug. The
locations of tile lines in the trench wall are then noted and marker flags or
stakes placed in the spoil bank. No construction occurs on the spoil bank to
disturb the markers. If areas of the trench away from the tile line were
backfilled, the spoil pile next to the exposed tile would remain. No situation
can be envisioned that would require moving the stakes to the edge of the
right–of–way. The Board agrees that wheel trenchers leave smooth
and even trench sides which may make it easier to find cut tile lines than in a
backhoe excavation. However, no one type of machine is suitable in all soil or
working conditions. The paragraph will be proposed without change.
Paragraph 9.4(2)“d” sets forth the requirements
for permanent repairs. Alliance argued that a pipeline company should be
allowed to backfill the trench and later re–excavate tile lines for
permanent repairs. Amoco and IPC suggested deletion of the requirement for
permanent repairs before backfilling. The Board opposes backfilling the trench
prior to final repairs. Reexcavating the trench to repair tile would be more
difficult and expensive than leaving the trench open at the point of tile
crossing. Any error would leave unre–paired tile behind. The Board
declines to incorporate the suggestions.
The Langbehns recommended that if clay tile is replaced with
corrugated plastic tile, the plastic tile should be a larger size since
corrugated plastic tile will not have the same capacity as clay tile. The Board
agrees that replacing clay tile with the same diameter of corrugated plastic
tile would reduce the flow capacity of the tile line. Paragraph
9.4(2)“d” will be amended to state that replacement tile must be of
a “size and flow capacity” at least equal to the tile being
replaced.
Alliance asserted paragraph 9.4(2)“e” should not
require inspection of each repair and suggested a sampling should be sufficient.
Amoco and IPC questioned whether county inspector approval of all tile repairs
was a practical requirement. A county inspector is specifically required by
Iowa Code Supplement sections 479.29(4), 479A.14(4) and 479B.20(4) to be present
on the site and at each phase and separate activity of specified actions,
including restoration of underground improvements. A sampling would not satisfy
that requirement. The paragraph will be clarified to state that each permanent
tile repair is to be inspected by the county inspector.
Landowner Ryan alleged that an 18–inch rock rolled off
the pipeline right–of–way from a spoil pile. Mr. Ryan stated he
subsequently hit the rock and damaged his silage chopper. The Board
acknowledges it is possible that during soil stockpiling or rock hauling chunks
of rock could end up off the easement along with other debris from the
right–of–way. Paragraph 9.4(3)“a” will be modified to
state that the pipeline company shall examine the area adjacent to the easement
and along access roads on which rock was hauled and shall remove any debris or
large rocks which may have rolled or blown over from the
right–of–way or fallen from vehicles.
Amoco and IPC suggested paragraph 9.4(3)“b” be
amended to allow spilled petroleum or chemical products to be
“remediated” instead of removed. This type of spill can sometimes
be treated in place using biological or chemical agents. This practice is not
uncommon during environmental cleanups. Paragraph 9.4(3)“b” will be
amended to allow in situ remediation of chemical petroleum spills.
Landowners Cassel and Offerman contended that on a recent
project, the contractor tilled the soil less than 18 inches deep. Landowner Mau
stated that only one tillage pass was made, and it was done under wet conditions
leaving the soil hard and lumpy with large clods. The Garners reported that the
contractor attempted to till with undersized equipment and could not till 18
inches deep. Landowner Ryan maintained that between wet conditions and the type
of equipment used the contractor could not till more than 8 inches deep, and
counted the future addition of 12 inches of topsoil to say that 18 inches of
tillage would be achieved. Farm Bureau also reported inadequate deep tillage
in recent pipeline construction.
While these comments primarily allege violations of
Agricultural Impact Mitigation Agreement standards which the Board has no
authority to address, the commenters make a valid point: Attempting to till in
wet conditions hampers deep tillage efforts and leaves the soil in
unsatisfactory condition. Paragraph 9.4(4)“a” will be modified to
require tillage be done when soil conditions are appropriate.
Northern suggested that the requirement that roads be tilled
not apply to roads that will remain in service. While it seems unlikely that
the rule would be misapplied in this manner, there is a technical conflict with
subrule 9.4(9), which requires that roads to remain in service be left in
serviceable condition. Paragraph 9.4(4)“a” will be modified by
adding language excepting roads that will remain in service.
Amoco and IPC proposed substituting “elevation and
grade” for “line and grade” in subrule 9.4(5). The Board
finds merit in the suggestion and will modify the subrule by substituting
“elevation” for “line.”
Alliance contended subrule 9.4(6) should require the seed mix
restore the original ground cover “type,” not the same species,
otherwise there might be an unnecessary diversity of seeding requirements.
Alliance appeared concerned that it might be required to prepare a customized
seed mix exactly reproducing the disturbed plant species for each tract crossed.
To preclude such an interpretation, subrule 9.4(6) will be modified by adding
the phrase “or a comparable” ground cover.
Alliance maintained that a local highway department might
object to leaving field entrances in place and that a landowner request only
need be acceded to if it complies with all required permits. The Board agrees
that leaving a field entrance permanently in place may require approval of the
highway authority and, if such approval is not forthcoming, it may not be
possible to accede to a landowner request.
Landowner Mau requested the Board strengthen subrule 9.4(9).
According to Mr. Mau, the FERC environmental inspector ordered an access road
removed before all land restoration work on the property was completed.
Although the Board cannot control a FERC inspector, future disagreement over
whether completion of construction includes completion of land restoration can
be prevented. Subrule 9.4(9) will be amended by adding the phrase “Upon
completion of construction and land restoration.” The modification makes
clear that some roads may still be needed for a time after the pipe is
installed.
Three landowners noted an additional problem with construction
in wet conditions that was not anticipated by subrule 9.4(10): rutting so deep
that underlying tile lines were crushed. Although the tile was eventually
repaired, the crushed lines contributed to other drainage problems. The phrase
“or underground drainage structures may be damaged” will be added to
the subrule.
Delaware County Supervisor Helmrichs suggested more specific
criteria for construction in wet conditions, such as a certain rut depth or
amount of rainfall. Amoco questioned who would decide if “construction
equipment may cause rutting to the extent that the topsoil and subsoil are
mixed” and how this would be determined. Because the impact of rutting or
rainfall will depend on local circumstances, such as the nature of the soil and
prior rainfall, the Board does not believe it practical to create specific
criteria. The Board believes this decision is best left to the on–site
judgment of the county inspector.
Amoco and IPC proposed revisions to subrule 9.4(10) that would
limit application of this rule to agricultural lands and allow the land
restoration plan to specify other preventive or remedial actions. The companies
noted that construction in wet conditions might be unavoidable if areas of
chronically wet soil are encountered. The application of these rules is limited
to agricultural land and it is unnecessary to repeat this throughout the rules.
The Board agrees there may be other ways of preventing soil mixing; for example,
use of pads or mats to drive over. Subrule 9.4(10) will be amended to give more
flexibility in the options available to reduce the damage to the soil or tile
lines.
In the recently adopted FERC Rule 18 CFR Part 157.6(d)3(iv),
(Docket No. RM98–17–000, Order No. 609, effective 11/25/99), notices
to landowners of a pipeline certificate filing must include “how the
landowner may contact the applicant, including a local or toll–free number
and a name of a specific person to contact who is knowledgeable about the
project.” For additional work to be done under existing certificates, 15
CFR Part 157.203(d)2(ii) requires the notice include “the name and phone
number of a company representative that is knowledgeable about the
project.”
In its original comments, Northern suggested rule 9.5(479,
479A,479B) be struck because FERC’s rule adequately covers this issue.
However, the FERC rule affects only interstate natural gas pipelines. Other
pipelines are also affected by the Iowa rules, so rule 9.5(479,479A,479B) cannot
be eliminated. In subsequent comments, Northern proposed language stating that
this rule should not apply when the FERC rule is followed.
The Farm Bureau maintained its members have reported
difficulty locating a contact person. Delaware County Board Supervisor
Helmrichs reported that, in a recent project, many landowners’ only
contacts with the company were cell phone numbers that were disconnected after
construction, thus supporting the need for a longer term contact point. One
landowner strongly supported a point of contact requirement, stating that
pipeline personnel are mobile and it is hard to contact the same person twice.
Another also referred to problems finding someone with whom to discuss their
concerns.
The FERC rule does not ensure that a point of contact will
remain available once construction is completed. Nor does it ensure that this
person would be an appropriate contact for claims. The Board finds the FERC
rule insufficient to fully protect Iowa’s interests, and does not support
Northern’s proposal that Iowa rules not apply when the FERC rule is in
effect.
Consumer Advocate suggested revising rule 9.5(479, 479A,479B)
by including a toll–free telephone number and an Iowa mailing address,
specifying that information and changes must be communicated in writing,
requiring a designated point of contact be available for five years rather than
one year after construction, requiring response to any landowner inquiry or
claim within 48 hours, and adding a new section on identification of an agent
for service of process in Iowa. Farm Bureau supported Consumer Advocate’s
comments.
The Board finds merit in Consumer Advocate’s suggestion
regarding a toll–free telephone number. It should not cost landowners to
seek information from the company, and is consistent with the FERC rule. The
Board also agrees with Consumer Advocate’s recommendation that the
information and changes be communicated in writing. Consumer Advocate asserted
that it might take more than a year to settle all damage claims. Five years
seems no less arbitrary than one year. A better idea might be to require
landowners have a contact point until their damage claims are settled. Rule
9.5(479,479A,479B) will be modified to provide for a toll–free telephone
number, communication of contact information changes in writing, and maintaining
a point of contact for individuals until their damage claims are resolved. The
Board believes the proposed rules sufficiently address designating a contact for
landowner inquiries and declines to propose Consumer Advocate’s additional
suggestions.
Alliance contended that a separate agreement made in
accordance with rule 9.6(479,479A,479B) that varies from the Board’s rules
would by definition be inconsistent with those rules and requested
clarification. The Board would note that it is not a violation of these rules to
accommodate reasonable landowner requests as long as they are not inconsistent
with the restoration requirements.
The Farm Bureau and a number of the landowner commenters
sought more authority for the county inspector. One landowner questioned
whether the penalty provisions of the laws were adequate deterrents.
Enforcement powers can only be granted by the legislature and cannot be created
by the Board.
Several landowner commenters were also critical of the
performance of the county inspectors and the FERC Environmental Inspectors.
Responsibility for the performance of the county inspector lies with the county
board of supervisors, and the FERC inspector with FERC. Any failings in this
area are not within the authority of the Board to address by rule.
Some landowner commenters suggested rules limiting the size of
a work “spread” or the number of simultaneous construction
activities, because on past projects there were not enough county inspectors to
properly cover all ongoing activities. The responsibility of having adequate
personnel to fulfill its obligations lies with the county. Although the laws
sometimes refer to “the inspector,” no limit is set on the number of
inspectors the county can hire, within reason. The laws provide that the
reasonable costs of county inspection will be borne by the pipeline company, so
the county should not be under financial restraint in staffing.
Other landowner comments sought adoption of rules on damage
claim issues. One landowner argued that the state of Iowa should enforce
contracts made between landowners and pipeline companies. Grundy County
suggested the Board require contractors to post a performance bond and a
certificate of insurance with the county. Consumer Advocate also raised issues
of compensation. However, the Board has little, if any, authority in these
matters, particularly with regard to the counties, and these remedies are not
available through the Board.
The IPC and Delaware County Supervisor Helmrichs recommended
rules for crossing of county roads. The county, not the Board, determines the
manner in which county roads are crossed by pipelines. These comments appear to
arise from misunderstanding due to the frequent practice of having the county
inspectors inspect pipeline road crossings in addition to their land restoration
duties.
Pursuant to Iowa Code sections 17A.4(1)“a” and
“b,” any interested person may file a written statement of position
pertaining to the proposed rules. The statement must be filed on or before July
5, 2000, by filing an original and ten copies in a form substantially complying
with 199 IAC 2.2(2). All written statements should clearly state the
author’s name and address and should make specific reference to Docket No.
RMU–99–10. All communications should be directed to the Executive
Secretary, Utilities Board, 350 Maple Street, Des Moines, Iowa 50319–0069.
Since the rule–making docket will be a continuation from
ARC 9400A, the comments should contain new arguments not previously
presented to the Board. The Board also requests the commenters specifically
address the following: (1) the definition of pipeline construction; (2) what
activities constitute pipeline maintenance; (3) what activities constitute
pipeline operation; (4) what is a significant disturbance to the soil; (5) the
definition of proper notice; (6) filing requirements with the Board under
paragraph 9.3(2)“c” for interstate natural gas pipelines; and (7)
topsoil removal.
A public hearing to receive comments on the proposed rules
will be held at 10 a.m. on July 19, 2000, in the Board’s hearing room at
the address listed above.
Pursuant to Iowa Code section 479.29(1), the Board will
distribute copies of this Notice of Intended Action to each county board of
supervisors.
These rules are intended to implement Iowa Code chapters 479,
479A, and 479B.
The following rules are proposed.
Rescind 199—Chapter 9 and adopt the following
new chapter in lieu thereof:
CHAPTER 9
RESTORATION OF AGRICULTURAL LANDS DURING AND
AFTER PIPELINE CONSTRUCTION
199—9.1(479,479A,479B) General
information.
9.1(1) Authority. The standards contained herein are
prescribed by the Iowa utilities board pursuant to the authority granted to the
board in Iowa Code Supplement sections 479.29, 479A.14, and 479B.20, relating to
land restoration standards for pipelines. The requirements of this chapter do
not apply to interstate natural gas pipeline projects that were both constructed
between June 1, 1999, and July 1, 2000, and that also received a certificate
from the Federal Energy Regulatory Commission prior to June 1, 1999.
9.1(2) Purpose. The purpose of this chapter is to
establish standards for the restoration of agricultural lands during and after
pipeline construction. Agricultural lands disturbed by pipeline construction
shall be restored in compliance with these rules.
9.1(3) Definitions. The following words and terms,
when used in these rules, shall have the meanings indicated below:
a. “Agricultural land” shall mean:
(1) Land which is presently under cultivation, or
(2) Land which has previously been cultivated and not
subsequently developed for nonagricultural purposes, or
(3) Cleared land capable of being cultivated.
b. “Drainage structures” or “underground
improvements” means any permanent structure used for draining agricultural
lands, including tile systems and buried terrace outlets.
c. “Landowner” means a person listed on the tax
assessment rolls as responsible for the payment of real estate taxes imposed on
the property.
d. “Pipeline” means any pipe, pipes, or pipelines
used for the transportation or transmission of any solid, liquid, or gaseous
substance, except water, in intrastate or interstate commerce.
e. “Pipeline company” means any person, firm,
copart–nership, association, corporation, or syndicate engaged in or
organized for the purpose of owning, operating, or controlling
pipelines.
f. “Pipeline construction” means installation,
replacement, operation and maintenance involving substantial disturbance to the
land, and removal of a pipeline, but shall not include emergency repairs.
g. “Proper notice” to the county inspector means
that the pipeline company and its contractor shall keep the person responsible
for the inspection continually informed of the work schedule and any schedule
changes, and shall provide at least 24 hours’ written notice before
trenching, permanent tile repair, or backfilling is undertaken at any specific
location.
h. “Soil conservation practices” means any land
conservation practice recognized by federal or state soil conservation agencies
including, but not limited to, grasslands and grassed waterways, hay land
planting, pasture, and tree plantings.
i. “Soil conservation structures” means any
permanent structure recognized by federal or state soil conservation agencies
including but not limited to toe walls, drop inlets, grade control works,
terraces, levees, and farm ponds.
j. “Till” means to loosen the soil in preparation
for planting or seeding by plowing, chiseling, discing, or similar means. For
the purposes of this chapter, agricultural land planted using
no–till–planting practices is also considered tilled.
k. “Topsoil” means the uppermost part of the soil
frequently designated as the plow layer, or the soil depth sometimes referred to
as the A horizon, which represents the depth of the soil that is ordinarily
moved in tillage, or its equivalent in uncultivated soils. Topsoil can
ordinarily be distinguished from subsoil by its higher organic content and
darker color.
199—9.2(479,479A,479B) Filing of land restoration
plans. Land restoration plans shall be prepared pursuant to Iowa Code
Supplement sections 479.29(9) and 479B.20(9) and this chapter for pipeline
construction projects requiring a permit or an amendment to a permit which
proposes pipeline construction or relocation. Plans for interstate natural gas
pipeline construction projects requiring a certificate from the Federal Energy
Regulatory Commission shall be prepared pursuant to Iowa Code Supplement section
479A.14(9) and this chapter.
9.2(1) Content of plan. A land restoration plan shall
include but not be limited to the following:
a. A brief description of the purpose and nature of the
pipeline construction project.
b. A description of the sequence of events that will occur
during pipeline construction.
c. A description of how compliance with subrules 9.4(1) to
9.4(10) will be accomplished.
d. The plan should include the point of contact for landowner
inquiries or claims as provided for in rule 9.5(479,479A,479B).
9.2(2) Plan variations. The board may by waiver
accept variations from this chapter in such plans if the pipeline company is
able to satisfy the standards set forth in 199 IAC 1.3(17A,474) and if the
alternative methods would restore the land to a condition as good as or better
than provided for in this chapter.
9.2(3) Environmental impact statement, environmental
assessments, and agreements. Preparation of a separate land restoration plan
for an interstate natural gas company project subject to Federal Energy
Regulatory Commission authority may be waived by the board if the requirements
of Iowa Code Supplement section 479A.14 are substantively satisfied in an
environmental impact statement or environmental assessment, as defined in 18 CFR
Section 380.2, and as accepted and modified by the Federal Energy Regulatory
Commission certificate issued for the project. Preparation of a separate land
restoration plan may be waived by the board if an agricultural impact mitigation
or similar agreement is reached by the pipeline company and the appropriate
agencies of the state of Iowa and the requirements of this chapter are
substantively satisfied therein. If an environmental impact statement,
environmental assessment or agreement is used to fully or partially meet the
requirements of a land restoration plan, the statement or agreement shall be
filed with the board and shall be considered to be, or to be part of, the land
restoration plan for purposes of this chapter.
199—9.3(479,479A,479B) Procedure for review of
plan.
9.3(1) A pipeline company that is subject to Iowa Code
section 479.5 or 479B.4 shall file its proposed plan with the board at the time
it files its petition for permit pursuant to 199 IAC 10.2(479) or 13.2(479B), or
a petition for amendment to permit which proposes pipeline construction or
relocation pursuant to 199 IAC 10.9(2) or 13.9(479B). Review of the land
restoration plan will be coincident with the board’s review of the
application for permit, and objections to the proposed plan may be filed as part
of the permit proceeding.
9.3(2) A pipeline company that is subject to Iowa Code
chapter 479A shall file a proposed land restoration plan, or a petition
requesting waiver of the plan filing requirement, with the board and the office
of consumer advocate no later than 120 days prior to the date construction is
scheduled to commence. If the pipeline company seeks waiver of the requirement
that a plan be filed, and instead proposes board acceptance of a Federal Energy
Regulatory Commission environmental impact statement or environmental
assessment, or of an agricultural impact mitigation or similar agreement, the
filing shall include a copy of that document. If the document is not final at
the time filing is required, the most recent draft or a statement of the
anticipated relevant contents shall be filed. If a Federal Energy Regulatory
Commission environmental impact statement or environmental assessment
information, final or draft, is filed, the filing shall identify the specific
provisions which contain the subject matter required by Iowa Code Supplement
section 479A.14(1).
a. Any interested person may file an objection on or before
the twentieth day after the date the plan is filed.
b. Within 45 days of the filing of the plan or waiver request,
the board will issue a decision on whether the filing demonstrates that the land
restoration requirements of Iowa Code Supplement section 479A.14 and of these
rules will be met. The board may impose terms and conditions if the filing is
found to be incomplete or unsatisfactory. The board’s action may also be
conditional pending confirmation that the Federal Energy Regulatory Commission
will not impose terms and conditions that are not consistent with the action
taken by the board.
c. Interstate natural gas pipeline companies proposing
pipeline construction requiring a Federal Energy Regulatory Commission
certificate shall include a copy of 199—Chapter 9 in the notice mailed to
affected landowners required by Federal Energy Regulatory Commission Rule 18 CFR
Part 157.6(d). Interstate natural gas pipeline companies proposing pipeline
construction requiring a Federal Energy Regulatory Commission certificate shall
also file the following with the board:
(1) A copy of the landowner notification required by Federal
Energy Regulatory Commission Rule 18 CFR Part 157.6(d), filed coincident with
the mailing to landowners.
(2) Notice of any open public meeting with Iowa landowners
scheduled by the company or by the Federal Energy Regulatory
Commission.
(3) Copies of letters from Iowa landowners concerning the
project filed with the Federal Energy Regulatory Commission, within 20 days of
such filing.
(4) A copy of any agricultural impact mitigation or similar
agreement reached with another state.
9.3(3) After the board has accepted the plan, but
prior to construction, the pipeline company shall provide copies of the plan to
all landowners of property that will be disturbed by the construction, and to
the county board of supervisors and the county engineer of each affected county.
However, if a waiver is granted pursuant to subrule 9.3(2), an interstate
natural gas pipeline company need not provide landowners with second copies of
environmental impact statements or environmental assessments if copies are
provided to landowners by the Federal Energy Regulatory Commission.
199—9.4(479,479A,479B) Restoration of agricultural
lands.
9.4(1) Topsoil separation and replacement.
a. Removal. Topsoil removal and replacement in accordance
with this rule is required for any open excavation associated with the
construction of a pipeline unless otherwise provided in these rules. The actual
depth of the topsoil, not to exceed 36 inches, will first be stripped from the
area to be excavated above the pipeline and, to a maximum of 12 inches, from the
adjacent subsoil storage area. Topsoil shall also be removed and replaced in
accordance with these rules at any location where land slope or contour is
significantly altered to facilitate construction.
b. Soil storage. The topsoil and subsoil shall be
segregated, stockpiled, and preserved separately during subsequent construction
operations. The spoil piles shall have sufficient separation to prevent mixing
during the storage period. Topsoil shall not be used to construct field
entrances or drives, or be otherwise removed from the property, without the
written consent of the landowner. Topsoil shall not be stored or stockpiled at
locations that will be used as a traveled way by construction equipment without
the written consent of the landowner.
c. Topsoil removal not required. Topsoil removal is not
required where the pipeline is installed by plowing, jacking, boring, or other
methods which do not require the opening of a trench. If provided for in a
written agreement with the landowner, topsoil removal is not required if the
pipeline can be installed in a trench with a top width of 18 inches or less.
d. Backfill. The topsoil shall be replaced so the upper
portion of the pipeline excavation and the crowned surface, and the cover layer
of the area used for subsoil storage, contain only the topsoil originally
removed. The depth of the replaced topsoil shall conform as nearly as possible
to the depth removed. Where excavations are made for road, stream, drainage
ditch, or other crossings, the original depth of topsoil shall be replaced as
nearly as possible.
9.4(2) Temporary and permanent repair of drain
tile.
a. Pipeline clearance from drain tile. Where underground
drain tile is encountered, the pipeline shall be installed in such a manner that
the permanent tile repair can be installed with at least 12 inches of clearance
from the pipeline.
b. Temporary repair. The following standards shall be used to
determine if temporary repair of agricultural drainage tile lines encountered
during pipeline construction is required.
(1) Any underground drain tile damaged, cut, or removed and
found to be flowing or which subsequently begins to flow shall be temporarily
repaired as soon as practicable and the repair shall be maintained as necessary
to allow for its proper function during construction of the pipeline. The
temporary repairs shall be maintained in good condition until permanent repairs
are made.
(2) If tile lines are dry and water is not flowing, temporary
repairs are not required if the permanent repair is made within ten days of the
time the damage occurred.
(3) Temporary repair is not required if the angle between the
trench and the tile lines places the tile end points too far apart for temporary
repair to be practical.
(4) If temporary repair of the line is not made, the upstream
exposed tile line shall not be obstructed but shall nonetheless be screened or
otherwise protected to prevent the entry of foreign materials and small animals
into the tile line system, and the downstream tile line entrance shall be capped
or filtered to prevent entry of mud or foreign material into the line if the
water level rises in the trench.
c. Marking. Any underground drain tile damaged, cut, or
removed shall be marked by placing a highly visible flag in the trench spoil
bank directly over or opposite such tile. This marker shall not be removed
until the tile has been permanently repaired and the repairs have been approved
and accepted by the county inspector.
d. Permanent repairs. Tile disturbed or damaged by pipeline
construction shall be repaired to its original or better condition. Permanent
repairs shall be completed as soon as is practical after the pipeline is
installed in the trench and prior to backfilling of the trench over the tile
line. Permanent repair and replacement of damaged drain tile shall be performed
in accordance with the following requirements:
(1) All damaged, broken, or cracked tile shall be
removed.
(2) Only unobstructed tile shall be used for
replacement.
(3) The tile furnished for replacement purposes shall be of a
quality, size and flow capacity at least equal to that of the tile being
replaced.
(4) Tile shall be replaced so that its original gradient and
alignment are restored, except where relocation or rerouting is required for
angled crossings. Tile lines at a sharp angle to the trench shall be repaired
in the manner shown on Drawing No. IUB PL–1 at the end of this
chapter.
(5) The replaced tile shall be firmly supported to prevent
loss of gradient or alignment due to soil settlement. The method used shall be
comparable to that shown on Drawing No. IUB PL–1 at the end of this
chapter.
(6) Before completing permanent tile repairs, all tile lines
shall be examined visually, by probing, or by other appropriate means on both
sides of the trench within any work area to check for tile that might have been
damaged by construction equipment. If tile lines are found to be damaged, they
must be repaired to operate as well after construction as before construction
began.
e. Inspection. Prior to backfilling of the applicable trench
area, each permanent tile repair shall be inspected for compliance by the county
inspector.
f. Backfilling. The backfill surrounding the permanently
repaired drain tile shall be completed at the time of the repair and in a manner
that ensures that any further backfilling will not damage or misalign the
repaired section of the tile line. The backfill shall be inspected for
compliance by the county inspector.
g. Subsurface drainage. Subsequent to pipeline construction
and permanent repair, if it becomes apparent the tile line in the area disturbed
by construction is not functioning correctly or that the land adjacent to the
pipeline is not draining properly, which can reasonably be attributed to the
pipeline construction, the pipeline company shall make further repairs or
install additional tile as necessary to restore subsurface drainage.
9.4(3) Removal of rocks and debris from the
right–of–way.
a. Removal. The topsoil, when backfilled, and the easement
area shall be free of all rock larger than three inches in average diameter not
native to the topsoil prior to excavation, unless otherwise provided for in a
written agreement. Where rocks over three inches in size are present, their
size and frequency shall be similar to adjacent soil not disturbed by
construction. The top 24 inches of the trench backfill shall not contain rocks
in any greater concentration or size than exist in the adjacent natural soils.
Consolidated rock removed by blasting or mechanical means shall not be placed in
the backfill above the natural bedrock profile. In addition, the pipeline
company shall examine areas adjacent to the easement and along access roads, and
shall remove any large rocks or debris which may have rolled or blown from the
right–of–way or fallen from vehicles.
b. Disposal. Rock which cannot remain in or be used as
backfill shall be disposed of at locations and in a manner mutually satisfactory
to the company and the landowner. Soil from which excess rock has been removed
may be used for backfill. All debris attributable to the pipeline construction
and related activities shall be removed and disposed of properly. For the
purposes of this rule, debris shall include spilled oil, grease, fuel, or other
petroleum or chemical products. Such products and any contaminated soil shall
be removed for proper disposal or treated by appropriate in situ
remediation.
9.4(4) Restoration of area of soil
compaction.
a. Agricultural restoration. Agricultural land, including off
right–of–way access roads traversed by heavy construction equipment
that will be removed, shall be deep tilled to alleviate soil compaction upon
completion of construction on the property. If the topsoil was removed from the
area to be tilled, the tillage shall precede replacement of the topsoil. At
least three passes with the deep tillage equipment shall be made. Tillage shall
be at least 18 inches deep in land used for crop production and 12 inches deep
on other lands, and shall be performed under soil moisture conditions which
permit effective working of the soil. Upon agreement, this tillage may be
performed by the landowners or tenants using their own equipment.
b. Rutted land restoration. Rutted land shall be graded and
tilled until restored to as near as practical to its preconstruction condition.
On land from which topsoil was removed, the rutting shall be remedied before the
topsoil is replaced.
9.4(5) Restoration of terraces, waterways, and other
erosion control structures. Existing soil conservation practices and structures
damaged by the construction of a pipeline shall be restored to the elevation and
grade existing at the time of pipeline construction unless otherwise agreed to
by the landowner in a written agreement. Any drain lines or flow diversion
devices impacted by pipeline construction shall be repaired or modified as
needed. Soil used to repair embankments intended to retain water shall be well
compacted. Disturbed vegetation shall be reestablished, including a cover crop
when appropriate. Restoration of terraces shall be in accordance with Drawing
No. IUB PL–2 at the end of this chapter. Such restoration shall be
inspected for compliance by the county inspector.
9.4(6) Revegetation of untilled land.
a. Crop production. Agricultural land not in row crop or
small grain production at the time of construction, including hay ground and
land in conservation or set–aside programs, shall be reseeded, including
use of a cover crop when appropriate, following completion of deep tillage and
replacement of the topsoil. The seed mix used shall restore the original or a
comparable ground cover unless otherwise requested by the landowner. If the
land is to be placed in crop production the following year, paragraph
“b” below shall apply.
b. Delayed crop production. Agricultural land used for row
crop or small grain production which will not be planted in that calendar year
due to the pipeline construction shall be seeded with an appropriate cover crop
following replacement of the topsoil and completion of deep tillage. However,
cover crop seeding may be delayed if construction is completed too late in the
year for a cover crop to become established and in such instances is not
required if the landowner or tenant proposes to till the land the following
year.
9.4(7) Future installation of drain tile or soil
conservation structures.
a. Future drain tile. At locations where the proposed
installation of underground drain tile is made known in writing to the company
prior to the securing of an easement on the property and has been defined by a
qualified technician, the pipeline shall be installed at a depth which will
permit proper clearance between the pipeline and the proposed tile
installation.
b. Future practices and structures. At locations where the
proposed installation of soil conservation practices and structures is made
known in writing to the company prior to the securing of an easement on the
property and has been defined by a qualified technician, the pipeline shall be
installed at a depth which will allow for future installation of such soil
conservation practices and structures and retain the integrity of the pipeline.
9.4(8) Restoration of land slope and contour. Upon
completion of construction, the slope, contour, grade, and drainage pattern of
the disturbed area shall be restored as nearly as possible to its
preconstruction condition. However, the trench may be crowned to allow for
anticipated settlement of the backfill. Excessive or insufficient settlement of
the trench area, which visibly affects land contour or undesirably alters
surface drainage, shall be remediated by means such as regrading and, if
necessary, import of appropriate fill material. Disturbed areas in which
erosion causes formation of rills or channels, or areas of heavy sediment
deposition, shall be regraded as needed. On steep slopes, methods such as
sediment barriers, slope breakers, or mulching shall be used as necessary to
control erosion until vegetation can be reestablished.
9.4(9) Restoration of areas used for field entrances
and temporary roads. Upon completion of construction and land restoration,
field entrances or temporary roads built as part of the construction project
shall be removed and the land made suitable for return to its previous use.
Areas affected shall be regraded as required by subrule 9.4(8) and deep tilled
as required by subrule 9.4(4). If by agreement or at landowner request a field
entrance or road is to be left in place, it shall be left in a graded and
serviceable condition.
9.4(10) Construction in wet conditions. Construction
in wet soil conditions shall not commence or continue at times when or locations
where the passage of heavy construction equipment may cause rutting to the
extent that the topsoil and subsoil are mixed, or underground drainage
structures may be damaged. To facilitate construction in soft soils, the
pipeline company may elect to remove and stockpile the topsoil from the traveled
way, install mats or padding, or use other methods acceptable to the county
inspector. Topsoil removal, storage, and replacement shall comply with subrule
9.4(1).
199—9.5(479,479A,479B) Designation of a pipeline
company point of contact for landowner inquiries or claims. For each
pipeline construction project subject to this chapter, the pipeline company
shall designate a point of contact for landowner inquiries or claims. The
designation shall include the name of an individual to contact and a
toll–free telephone number and address through which that person can be
reached. This information shall be provided to all landowners of property that
will be disturbed by the pipeline project prior to commencement of construction.
Any change in the point of contact shall be promptly communicated in writing to
landowners. A designated point of contact shall remain available for all
landowners for at least one year following completion of construction and for
landowners with unresolved damage claims until such time as those claims are
settled.
199—9.6(479,479A,479B) Separate agreements.
This chapter does not preclude the application of provisions for protecting or
restoring property that are different from those contained in this chapter, or
in a land restoration plan, which are contained in easements or other agreements
independently executed by the pipeline company and the landowner. The
alternative provision shall not be inconsistent with state law or these rules.
The agreement shall be in writing and a copy provided to the county
inspector.
199—9.7(479,479A,479B) Enforcement. A pipeline
company shall fully cooperate with county inspectors in the performance of their
duties under Iowa Code Supplement sections 479.29, 479A.14, and 479B.20,
including giving proper notice of trenching, permanent tile repair, or
backfilling. If the pipeline company or its contractor does not comply with the
requirements of Iowa Code Supplement sections 479.29, 479A.14, or 479B.20, with
the land restoration plan, or with an independent agreement on land restoration
or line location, the county board of supervisors may petition the utilities
board for an order requiring corrective action to be taken or seeking imposition
of civil penalties, or both. Upon receipt of a petition from the county board
of supervisors, the board will schedule a hearing and such other procedures as
appropriate. The county will be responsible for investigation and for
pros–ecution of the case before the board.
Drawing No. IUB PL–1
awing No. IUB PL–2
ctions 479.29, 479A.14, and 479B.20.
FILED EMERGENCY
ARC 9864A
ELDER AFFAIRS
DEPARTMENT[321]
Adopted and Filed Emergency
Pursuant to the authority of 2000 Iowa Acts, Senate File 2193,
section 7, subsection 2, and section 21, the Department of Elder Affairs hereby
adopts Chapter 28, “Iowa Senior Living Program—Home– and
Community–Based Services for Seniors,” Iowa Administrative
Code.
These rules implement provisions of 2000 Iowa Acts, Senate
File 2193, the Iowa Senior Living Program Act. The goal of the Iowa Senior
Living Program Act is to create a comprehensive long–term care system that
is consumer–directed, provides a balance between the alternatives of
institutionally and noninstitutionally provided services, and contributes to the
quality of the lives of Iowans.
Funds are available from the Iowa Senior Living Trust Fund to
the Area Agencies on Aging and subcontracting long–term care providers for
designing and expanding home– and community–based services to
low– and moderate–income seniors to promote independence and delay
the use of institutional care. These rules set procedure for disbursement of
the funds to the Area Agencies on Aging and their subcontractors for state
fiscal year (SFY) 2001 and call for incorporation of the disbursement of funds
for subsequent state fiscal years into the existing procedure for disbursement
of other senior service funds. Allowable and priority uses for the funds and
reporting requirements for the Area Agencies on Aging and their subcontractors
and the department are established.
These rules do not provide for any waivers in specific
situations because disbursement of the trust fund will confer a benefit on
providers and consumers. Participation by long–term care providers is
voluntary.
In compliance with Iowa Code section 17A.4(2), the Department
of Elder Affairs has consulted with an advisory group consisting of providers,
consumers and other members of the public regarding these rules and finds that
further notice and public participation are unnecessary prior to implementation
because these rules implement 2000 Iowa Acts, Senate File 2193, section 21,
which authorizes the Department to adopt emergency rules without notice and
public participation.
The Department also finds, pursuant to Iowa Code section
17A.5(2)“b”(1), that the normal effective date of these rules should
be waived and these rules be made effective May 19, 2000, as authorized by 2000
Iowa Acts, Senate File 2193, section 21.
These rules are also published herein under Notice of Intended
Action as ARC 9884A to allow for public comment.
The Commission of Elder Affairs adopted these rules May 15,
2000.
These rules are intended to implement 2000 Iowa Acts, Senate
File 2193, sections 7, 9, and 10.
These rules became effective May 19, 2000.
The following new chapter is adopted.
CHAPTER 28
IOWA SENIOR LIVING PROGRAM—HOME–
AND COMMUNITY–BASED SERVICES FOR SENIORS
PREAMBLE
These rules implement provisions of 2000 Iowa Acts, Senate
File 2193, which establish an overall goal of moving toward a balanced,
comprehensive, affordable, high quality long–term care system.
Funds are available to area agencies on aging and
sub–contracting long–term care providers for designing and expanding
home– and community–based services to low– and
moderate–income seniors to promote independence and delay the use of
institutional care.
321—28.1(78GA,SF2193) Purpose.
28.1(1) The purpose of the Iowa senior living program,
home– and community–based services for seniors, is to create a
comprehensive long–term care system that is consumer–directed,
provides a balance between institutional and noninstitutional services, and
contributes to the quality of the lives of Iowans.
28.1(2) Funds appropriated from the senior living
trust fund for home– and community–based services for seniors shall
be used for activities related to the design, maintenance, or expansion of
home– and community–based services for seniors including, but not
limited to, adult day care, personal care, respite, homemaker, chore, and
transportation services, which promote the independence of seniors and delay the
use of institutional care by seniors with low and moderate incomes.
321—28.2(78GA,SF2193) Definitions. For the
purposes of these rules, the following definitions apply unless the context
otherwise requires:
“AAA” or “area agency on aging” means
the grantee agency in a planning and service area designated by the commission
for the Iowa department of elder affairs to develop and administer the multiyear
area plan for a comprehensive and coordinated system of services for elders and
to carry out the duties specified in Iowa Code chapter 231.
“Administration cost” means the direct and
indirect costs incurred by the grantee in managing the grant.
“Client participation” means a payment system with
an established fee or cost that allows:
1. A senior with low income to receive services for a
voluntary contribution toward the cost of the service;
2. A senior with moderate income to receive services at less
than the full service delivery cost; and
3. A senior with above moderate income to purchase services at
full cost.
“Community–based adult services committee”
or “CBAS” means the group consisting of representatives appointed by
the departments of elder affairs, human services, inspections and appeals, and
public health; Iowa Foundation for Medical Care; Iowa association of area
agencies on aging; and Iowa state association of counties.
“Contract” means the purchase of units of services
on behalf of an aggregate clientele.
“Department” means the department of elder
affairs, the state agency responsible for administration of the Older Americans
Act, and Iowa Code chapter 231.
“Direct service” means a service to a client that
is administered by the area agency on aging and provided by employees of the
area agency on aging.
“Grant” means the use of funds to underwrite an
operation in support of the existence of a specific service provider.
“Income” means wages, salaries, business income,
social security benefits, veterans administration benefits, disability payments
(government or private), retirement or pension plan income, annuity income,
interest income, supplemental security income, welfare payments, and other cash
income.
“Long–term care services” means those
services specified under the medical assistance home– and
community–based services waiver for the elderly or the National Aging
Program Information System (NAPIS) and designed to directly promote the
independence of seniors and to delay the use of institutional care by seniors
with low and moderate income.
“Low income”:
1. For purposes of determining client eligibility for
financial assistance under 2000 Iowa Acts, Senate File 2193, section 7, means
income of less than 300 percent of SSI;
2. For purposes of funding distribution means income at or
below the official poverty guideline as defined each year by the Office of
Management and Budget and adjusted by the Secretary of the U.S. Department of
Health and Human Services.
“Medical assistance program” means the financial
assistance programs established in cooperation between the state of Iowa and the
Health Care Financing Administration (HCFA) under the Medicaid state plan for
lower income Iowans with health and social needs.
“Moderate income” means income that is equal to or
greater than 300 percent of SSI and less than 300 percent of the federal poverty
guideline as defined each year by the Office of Management and Budget and
adjusted by the Secretary of the U.S. Department of Health and Human
Services.
“National Aging Program Information System”
or“NAPIS” means the reporting system in which the Older Americans
Act requires participation by providers receiving funding from the provisions of
the Act.
“Older Americans Act” means the Older Americans
Act of 1965, as amended through December 31, 1992 (Public Law
89–73).
“Provider” means individuals, agencies, public and
private for–profit and not–for–profit organizations and other
entities delivering long–term care services funded under these
rules.
“Rural” means incorporated areas with a population
of less than 20,000 and unincorporated areas.
“Senior” means an individual who is 60 years of
age or older as provided in Iowa Code section 231.4 and 42 U.S.C.§
1396(u)(4).
“Senior living coordinating unit” or
“SLCU” means the senior living coordinating unit created within the
department of elder affairs, pursuant to Iowa Code section 231.58, or its
designee.
“Senior living program” means the senior living
program created in 2000 Iowa Acts, Senate File 2193, to provide for
long–term care services, long–term care service development, and
nursing facility conversion.
“Senior living trust” means the funding mechanism
established in 2000 Iowa Acts, Senate File 2193.
“Subcontractor of the area agencies on aging”
means a provider receiving funds by contract or similar arrangement with an area
agency on aging.
“Supplemental security income (SSI)” means the
income level defined each year by the Social Security Administration (SSA) for
the nationwide federal assistance program administered by SSA, which guarantees
the defined minimum level of income for needy aged, blind, or disabled
individuals by providing a basic cash support.
“Underserved” means:
1. An area underserved for long–term care service;
and
2. For service funding purposes, also means individuals aged
60 and over who are unable to access needed services or areas where the service
identified as needed is not available either because there is no provider for
that service or because existing providers of that service are regularly unable
to deliver the amount of service identified as needed by individuals aged 60 and
over.
“Voucher” means the mechanism used to purchase a
specific service from a vendor on behalf of an individual client or
clients.
321—28.3(78GA,SF2193) Disbursement of
funds.
28.3(1) Administration. The department may use up to 7
percent of the service dollars appropriated to the department from the senior
living trust fund for purposes of implementing and administering the functions
delegated to the department by the Iowa senior living program Act.
28.3(2) Identification of service needs.
a. The department in collaboration with the area agencies on
aging shall conduct on a four–year cycle a statewide needs assessment
designed to identify individuals aged 60 and over and areas underserved for
long–term care services.
b. The department may withhold up to $100,000 for each
four–year cycle from the service dollars appropriated to the department
from the senior living trust fund to carry out this function.
c. The department shall seek partners and other funding
sources to share the cost of implementing the survey.
28.3(3) Funding formula. The department shall
allocate senior living trust funds to the area agencies on aging as established
in 2000 Iowa Acts, Senate File 2193, section 7, utilizing, at a minimum, a
formula that:
a. Shall triple weight all of the following:
(1) Individuals 75 years of age and older.
(2) Individuals aged 60 and older who are members of a racial
minority.
(3) Individuals 60 years of age and older who reside in rural
areas.
(4) Individuals who are 60 years of age and older who have
incomes at or below the official poverty guideline as defined each year by the
Office of Management and Budget and adjusted by the Secretary of the U.S.
Department of Health and Human Services.
b. Shall single weight for individuals 60 years of age and
older.
The department shall use the best available population data,
including but not limited to U.S. census reports, to calculate allotments under
this subrule.
28.3(4) Process for disbursement of funds to the AAAs
for state fiscal year 2001.
a. Area agencies on aging shall submit area plan addenda by
August 1, 2000.
b. Plans for disbursement of senior living trust funds shall
be submitted to the CBAS and SLCU for review and advice prior to final approval
by the commission for the department of elder affairs.
c. First and second quarter funds shall be transferred to the
AAAs following commission approval and receipt of funds, but no later than
October 1, 2000. Funds shall be transferred on the first day of the quarter
thereafter.
28.3(5) Process for disbursement of funds to the AAAs
for subsequent state fiscal years.
a. The process shall be incorporated into the area plan
process outlined in the Older Americans Act of 1965, 42 U.S.C. Sec. 306 and
321—Chapter 4.
b. Plans for disbursement of senior living trust funds shall
be submitted to the CBAS and SLCU for review and advice prior to final approval
by the commission for the department of elder affairs.
321—28.4(78GA,SF2193) Use of funds by
AAAs.
28.4(1) Eligible use of funds.
a. The area agency on aging may use up to 7 percent of the
service dollars for purposes of developing, implementing and administering local
long–term care services, and for collecting and reporting required
data.
b. For state fiscal year 2001 only, the AAA may use up to 10
percent of the service dollars for area costs associated with creating and
implementing, in cooperation with the department, the required reporting
mechanism for tracking met and unmet needs as well as the statewide computerized
data base of information on services available to older Iowans.
c. The remaining funds contracted to the AAAs by the
department from the senior living trust fund will be used to:
(1) Provide long–term care services to enhance the
ability of the client to appropriately avoid or delay
institutionalization;
(2) Provide services through:
1. Enhancement and expansion of existing providers to serve
new clients, provide new units of service to existing clients, and serve new
areas;
2. Identification and development of new providers; and
3. Addition of a new funding source to maintain current
service levels when service levels would otherwise decline due to a loss of
purchasing power; and
(3) Provide services to low– and
moderate–incomeIowans aged 60 and over.
d. The area agencies on aging may use client participation for
services funded under 2000 Iowa Acts, Senate File 2193, section 7. When client
participation is used:
(1) The area agency on aging shall not use Older Americans Act
funding for the same service category when providing direct service.
(2) The area agency on aging shall not contract Older
Americans Act funds and senior living trust funds to a provider for the same
service category.
(3) Eligibility shall be based on self–declaration by
the client or on declaration on the client’s behalf by the client’s
authorized representative. If the provider or AAA has reason to believe that
the declaration is inaccurate or misrepresents the client’s financial
status, the provider or AAA may require documentation of income and resources,
and subsequently may discontinue further financial assistance from the senior
living trust fund if the individual is found ineligible.
(4) Funds generated through client participation must be used
to purchase the respective service for which the funds were received.
e. Senior living trust fund dollars shall not be used to
purchase a service when the client is eligible for third–party purchase of
that service by sources such as Medicare, Medicaid, Medicaid home– and
community–based services (HCBS) waiver and private long–term care
insurance.
f. The AAA shall not use senior living trust funds to replace
existing funding for a long–term care service. The department may grant
an exception in order to enhance access to a service if the displaced funding is
subsequently dedicated by the AAA to another long–term care service for
the elderly and results in an increase in total AAA funding for long–term
care services to seniors equal to the senior living trust fund dollars used for
replacement.
28.4(2) Reallotment of unobligated funds.
a. If the department determines prior to the end of the fiscal
year that an AAA will have unused funds, the department may reallot the unused
funds to one or more AAAs in accordance with demonstrated utilization. The AAAs
receiving these reallotted funds shall obligate them by the end of the fiscal
year in which they are reallotted.
b. Any unobligated funds remaining at the end of the state
fiscal year shall be returned to the department and deposited in the Iowa senior
living trust fund.
321—28.5(78GA,SF2193) Disbursement of funds to AAA
subcontractors.
28.5(1) Criteria to receive senior living trust funds
as a subcontractor of an AAA.
a. The applicant for senior living trust funds must
demonstrate that the proposed long–term care alternative service or
services:
(1) Are responsive to the service priorities identified by the
AAA; or
(2) Will address other significant unmet service needs of
eligible seniors as documented by the applicant.
b. The applicant must document the ability to provide the
proposed services and the related administration, financial tracking and
reporting required by a subcontractor under these rules.
c. The subcontractor must agree to meet the criteria set out
in this subrule in addition to criteria established by the AAA in its request
for proposal and contract.
d. The subcontractor shall ensure that all employees providing
in–home care to clients have had a criminal background check and have been
cleared for said functions in accordance with Iowa Code section
135C.33.
e. No senior living trust funds shall be contracted to a
provider that has been prohibited from participating in the Medicare or medical
assistance programs.
f. The subcontractor shall commit to seeking third–party
reimbursement when available.
28.5(2) Disbursement of funds to the AAA
subcontractors.
a. Method. Area agencies on aging may use the method or
methods of disbursing funds determined to best ensure effective provision of
services that address identified and documented unmet needs including contracts,
grants, vouchers and direct services.
b. Process for disbursement for state fiscal year
2001.
(1) Each AAA shall issue a request for proposals and
application packets no later than June 10, 2000.
(2) The application packet shall contain at a minimum the
standard application format and accompanying forms; an explanation of required
documentation including, but not limited to, community support, provider
capacity to deliver the proposed service, and provider commitment to deliver
cost–effective long–term care services to low– and
moderate–income elders; a list of priority services for the area; and a
time line for and explanation of the AAA’s process.
(3) Provider applications shall be due at the respective AAA
office by July 1, 2000, for review by AAA staff and advisory boards.
(4) Funds shall be disbursed by the AAAs following the receipt
of funds.
c. For subsequent state fiscal years, senior living trust fund
service dollars appropriated under 2000 Iowa Acts, Senate File 2193, section 7,
shall be disbursed to subcontractors through the area plan process as described
in 321— 4.20(231) and 321—4.21(231).
28.5(3) Prioritization of service contracts. The AAA
may prioritize service contracts and funding levels for reasons that include,
but are not limited to, the following:
a. Local prioritization to fulfill unmet needs.
b. Provider commitment matching funds.
c. Provider commitment to use client participation.
d. Cost.
e. History of providing quality service.
28.5(4) Eligible uses of senior living trust funds by
subcontractors.
a. Funds contracted by an AAA from the senior living trust
fund shall be used to provide long–term care services to enhance the
ability of Iowans aged 60 and over with low or moderate income to appropriately
avoid or delay institutionalization.
b. An AAA subcontractor may use client participation for
services funded under 2000 Iowa Acts, Senate File 2193, section 7, for persons
with moderate income or above if the subcontractor does not receive Older
Americans Act funding for the same service category.
c. The AAA subcontractor shall not use senior living trust
funds to replace existing funding for a long–term care service. The AAA
may grant an exception in order to enhance access to a service if the displaced
funding is subsequently dedicated by the subcontractor to another
long–term care service for the elderly and results in an increase in total
funding for long–term care services by the subcontractor to seniors equal
to the senior living trust fund dollars used for replacement.
321—28.6(78GA,SF2193) Reporting
requirements.
28.6(1) Area agency on aging subcontractors.
a. Area agency on aging subcontractors shall submit monthly
reports to the area agency on aging.
b. Subcontractor monthly reports shall provide data by month
and year to date for:
(1) Total number of clients served;
(2) Number of clients receiving financial assistance from
medical assistance programs; and
(3) By service category, for each client receiving financial
assistance from senior living trust funds, the number of units of service
provided, the number of units of service not provided and the reasons services
were not provided, and expenditures.
c. Subcontractors shall provide other information as requested
by the contracting AAA.
d. Subcontractors shall participate in the NAPIS client
registration process.
e. Reporting forms are available from the contracting
AAA.
28.6(2) Area agencies on aging.
a. Area agencies on aging shall at a minimum submit monthly
reports to the department.
b. Each AAA shall use the NAPIS client registration process
for clients receiving assistance from the senior living trust fund.
c. Each AAA shall report by month and year to date:
(1) Total number of clients served;
(2) By service category, the number of clients receiving
financial assistance from senior living trust funds, the number of units of
service provided, number of units of service not provided and the reasons
services were not provided, and expenditures;
(3) Utilization of funds; and
(4) Performance outcomes from funded services.
d. Original report forms for duplication are available from
the department.
28.6(3) Department.
a. The department shall submit bimonthly reports to the senior
living coordinating unit that include the following information by month and
year to date:
(1) Total number of clients served;
(2) Number of clients receiving financial assistance from
medical assistance programs;
(3) By service category, an aggregate for clients receiving
financial assistance from senior living trust funds, the number of units of
service provided, number of units of service not provided and the reasons
services were not provided, and expenditures; and
(4) Comparative data for services not provided.
b. The department, in cooperation with the department of human
services, shall submit an annual report to the governor and the general assembly
concerning the impact of moneys disbursed under 2000 Iowa Acts, Senate File
2193, on the availability of long–term care services in Iowa. The report
shall include, but not be limited to, year–end totals for and analysis of
the information reported bimonthly by the departments to the SLCU.
These rules are intended to implement 2000 Iowa Acts, Senate
File 2193, sections 7, 9 and 10.
[Filed Emergency 5/19/00, effective 5/19/00]
[Published 6/14/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 6/14/00.
ARC 9869A
HUMAN SERVICES
DEPARTMENT[441]
Adopted and Filed Emergency
Pursuant to the authority of Iowa Code section 514I.5(8), the
Department of Human Services hereby amends Chapter 86, “Healthy and Well
Kids in Iowa (HAWK–I) Program,” appearing in the Iowa Administrative
Code.
This amendment increases the income limits for the
HAWK–I Program from 185 percent of the federal poverty level to 200
percent of the federal poverty level, the maximum amount allowable under federal
law.
Under current policy, income limits for children under the
HAWK–I Program are from 133 percent to 185 percent of the federal poverty
level. The Seventy–eighth General Assembly directed the Department to
increase the income limits to 200 percent of the federal poverty level,
providing coverage to as many uninsured children as possible. This amendment
increases the income limits of the HAWK–I Program to the full extent
allowed under federal law.
The Department projects that an additional 6,075 children will
be eligible for the HAWK–I Program for state fiscal year 2001. An
additional $669,793 in state dollars was requested to fund HAWK–I
expansion to 200 percent of the federal poverty level. The General Assembly did
not specifically appropriate any additional state dollars to fund the expansion.
Rather, moneys in the HAWK–I trust fund shall be used to offset any
program costs for state fiscal year 2001.
The Department of Human Services finds that notice and public
participation are impracticable because there is not time to allow for notice
and public participation prior to the effective date of July 1, 2000.
Therefore, this amendment is filed pursuant to Iowa Code section
17A.4(2).
The Department finds that this amendment confers a benefit by
raising the income eligibility limits and providing medical coverage to as many
uninsured children as possible under federal law. Therefore, this amendment is
filed pursuant to Iowa Code section 17A.5(2)“b”(2).
This amendment does not provide for waiver in specified
situations because it confers a benefit by allowing the Department of Human
Services to provide for coverage of medical services for more children under the
HAWK–I Program.
This amendment is also published herein under Notice of
Intended Action as ARC 9868A to allow for public comment.
The HAWK–I Board adopted this amendment May 16,
2000.
This amendment is intended to implement Iowa Code section
514I.8(2)“c” as amended by 2000 Iowa Acts, House File 2555, section
9.
This amendment shall become effective July 1, 2000.
The following amendment is adopted.
Amend subrule 86.2(2), introductory paragraph, as
follows:
86.2(2) Income. Countable income shall not exceed
185 200 percent of the federal poverty level for a
family of the same size when determining initial and ongoing eligibility for the
program.
[Filed Emergency 5/23/00, effective 7/1/00]
[Published 6/14/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 6/14/00.
ARC 9863A
INSURANCE DIVISION[191]
Adopted and Filed Emergency
Pursuant to the authority of Iowa Code section 505.8(2), the
Insurance Division hereby amends Chapter 16, “Replacement of Life
Insurance and Annuities,” Iowa Administrative Code.
In December 1999, the Insurance Division adopted Chapter 16,
Division II based on a version of the National Association of Insurance
Commissioners (NAIC) model regulation governing the replacement of life
insurance and annuities. Division II has an effective date of July 1, 2000.
Rule 16.25(507B) has an effective date of January 1, 2001. The NAIC recently
adopted a revised version of its model regulation, and these amendments conform
the Insurance Division’s rules to the NAIC model. These amendments do not
change the effective dates of current Division II of Chapter 16.
Pursuant to Iowa Code section 17A.4(2), the Commissioner finds
that notice and public participation are unnecessary as the rules being amended
have not yet taken effect and merely conform the rules to the NAIC model. The
Commissioner further finds that, since these amendments increase protections to
consumers, it would be contrary to the public interest to delay implementation
of Division II of Chapter 16.
Pursuant to Iowa Code section 17A.5(2)“b”(2), the
Commissioner finds that these amendments will confer a benefit on the public by
increasing consumer protections in the replacement of life insurance and annuity
products. Therefore, the normal effective date of these amendments should be
waived and these amendments should be made effective upon filing with the
Administrative Rules Coordinator on May 17, 2000.
These amendments became effective May 17, 2000.
These amendments are intended to implement Iowa Code chapter
507B.
The following amendments are adopted.
ITEM 1. Amend rule
191—16.22(507B), definitions of “financed purchase” and
“sales material,” as follows:
“Financed purchase” means the purchase of a new
policy involving the actual or intended use of funds obtained by the
withdrawal or surrender of, or by borrowing from, values of an existing policy
to pay all or part of any premium due on a new policy issued by the same
insurer. For purposes of a regulatory review of an individual
transaction only, If if a request
for withdrawal, surrender, or borrowing involving the policy values of
an existing policy is accompanied by direction is used
to pay premiums on a new policy owned by the same policyholder and issued by
the same company, within 13 4 months before or 13
months after the effective date of the new policy and is known by
the insurer, it will be deemed prima facie evidence of a
financed purchase. the policyholder’s intent to purchase the
new policy with existing policy values. This prima facie standard is not
intended to increase or decrease the monitoring obligations contained in
paragraph 16.25(1)“e.”
“Sales material” means a sales illustration and
any other written, printed or electronically presented information created,
completed or provided by the company or producer that is used in the
presentation to the policy or contract owner and which describes the
benefits, features and costs of the specific related to the
policy or contract which is purchased.
ITEM 2. Amend paragraph
16.23(1)“b” as follows:
b. Group life insurance or group annuities where there is no
direct solicitation of individuals by an insurance producer. Direct
solicitation shall not include any group meeting held by an insurance producer
solely for the purpose of educating or enrolling individuals or, when initiated
by an individual member of the group, assisting with the selection of investment
options offered by a single provider insurer in
connection with enrolling that individual. Group life insurance or group
annuity certificates marketed through direct–response solicitation shall
be subject to the provisions of rule 16.28(507B).
ITEM 3. Amend paragraph
16.23(1)“f” as follows:
f. Except as noted below, policies or contracts used to
fund:
(1) to (4) No change.
These rules shall apply to policies or contracts used to fund
any plan or arrangement that is funded solely by contributions an employee
elects to make, whether on a pretax or after–tax basis, and where the
insurance company has been notified that plan participants may choose from among
two or more annuity providers or policy providers and there is a direct
solicitation of an individual employee by an insurance producer for the purchase
of a contract or policy. As used in this subrule, direct solicitation shall not
include any group meeting held by an insurance producer solely for the purpose
of educating individuals about the plan or arrangement or enrolling individuals
in the plan or arrangement or, when initiated by an individual employee,
assisting with the selection of investment options offered by a single
provider insurer in connection with enrolling that
individual employee.
ITEM 4. Amend subrule 16.24(2),
introductory paragraph, as follows:
16.24(2) If the applicant does have an existing policy
or contract, the producer shall present and read to the applicant, not later
than at the time of taking the application, a notice regarding replacements in
the form as described in Appendix A or A1 or other
substantially similar form approved by the commissioner. No approval shall
be required when amendments to the notice are limited to the omission of
references not applicable to the product being sold or replaced.
ITEM 5. Amend subrule 16.25(4) as
follows:
16.25(4) Each insurer that uses producers shall
require with each application for life insurance or for an annuity that
indicates an existing policy or contract a completed notice regarding
replacements as contained in Appendix A or A1.
ITEM 6. Amend paragraph
16.26(1)“d” as follows:
d. Provide to the policy or contract owner notice of the right
to return the policy or contract within 30 days of the delivery of the contract
and receive an unconditional full refund of all premiums or considerations paid
on it including any policy fees or charges or, in the case of a variable or
market value adjustment policy or contract, a payment of the cash surrender
value provided under the policy or contract plus the fees and other charges
deducted from the gross premiums or considerations or imposed under such policy
or contract. The notice may be included in Appendix A, A1 or
C.
ITEM 7. Amend paragraph
16.28(2)“a” as follows:
a. Provide to applicants or prospective applicants with the
policy or contract a notice, as described in Appendix C, or other substantially
similar form approved by the commissioner. In these instances the insurer may
delete the references to the producer, including the producer’s signature,
and references not applicable to the product being sold or replaced,
without having to obtain approval of the form from the commissioner. The
insurer’s obligation to obtain the applicant’s signature shall be
satisfied if it can demonstrate that it has made a diligent effort to secure a
signed copy of the notice referred to in this paragraph. The requirement to
make a diligent effort shall be deemed satisfied if the insurer includes in the
mailing a self–addressed, postage prepaid envelope with instructions for
the return of the signed notice referred to in this subrule; and
ITEM 8. Amend subrule 16.29(3) as
follows:
16.29(3) Where it is determined that the requirements
of these rules have not been met, the replacing insurer shall provide to the
policy owner an in–force illustration if available or policy summary for
the replacement policy or available disclosure document for the replacement
contract and the appropriate notice regarding replacements in Appendix
A, A1 or C.
ITEM 9. Amend 191—Chapter
16, Division II, by rescinding Appendix A1.
[Filed Emergency 5/17/00, effective 5/17/00]
[Published 6/14/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 6/14/00.
FILED
ARC 9887A
ENVIRONMENTAL PROTECTION
COMMISSION[567]
Adopted and Filed
Pursuant to the authority of Iowa Code sections 455B.105 and
455B.173, the Environmental Protection Commission hereby amends Chapter 61,
“Water Quality Standards,” Iowa Administrative Code.
The amendments provide water quality certification pursuant to
Section 401 of the federal Clean Water Act (33 U.S.C. Section 1341) for five new
Corps Nationwide Permits (NWPs) and six modified NWPs.
Notice of Intended Action was published in the November 17,
1999, Iowa Administrative Bulletin as ARC 9478A. One public hearing was
held and comments were accepted through December 20, 1999. A responsiveness
summary was prepared addressing all the comments received. This document is
available from the Department of Natural Resources and the Administrative Rules
Coordinator. No specific changes were made in response to the comments
received, as it is believed that changes to the Corps’ NWPs as discussed
below address most of the comments received.
The adopted amendments do differ slightly from the amendments
as published in the Notice of Intended Action. The Corps did not adopt a
Regional General Permit as originally proposed, and the adopted amendments do
not reference such a Regional General Permit. However, the Corps has made
significant changes to the NWPs as discussed below.
At the time the Notice of Intended Action was published, the
Corps had not finalized the NWPs. On March 9, 2000, the Corps published the
final NWPs in the Federal Register (Volume 65, Number 47). Changes to the NWPs
are briefly described below:
• For most of the new and
modified NWPs, the Corps has established a 0.5 acre limit (i.e., activities
disturbing or affecting more than ½ acre
cannot be authorized under an NWP) with notification to the district engineer
being required for most activities that result in the loss of greater than 0.1
acre of waters of the United States.
• For NWPs 39, 40, 42, and
43, the Corps has imposed a 300 linear foot limit for filling and excavating
stream beds.
• The Corps increased the
notification review period to 45 days.
• The Corps revised nine
general permit conditions and added two new general conditions. The new NWP
general conditions limit activities in designated critical resource waters and
fill in waters of the United States within 100–year floodplains. All
above–grade fill under NWPs 29, 39, 40, 42, 43, and 44 is prohibited
within the FEMA–mapped 100–year floodplain below the headwaters of
any stream. Within the headwaters, above–grade fill is prohibited within
the FEMA–mapped regulatory floodway, and any above–grade fill in the
flood fringe must meet FEMA standards.
In addition to the above changes, the Corps has agreed to
impose additional regional conditions (i.e., conditions that are applicable in
Iowa) as listed below:
1. Sideslopes of a newly constructed channel will be no
steeper than 2:1 and planted to permanent, perennial, native vegetation if it is
not armored.
2. NWPs with mitigation may require recording of the permit
with the Registrar of Deeds or other appropriate official charged with the
responsibility for maintaining records of title to or interest in real property
and provide proof of recording to the Corps.
3. Mitigation shall be scheduled for construction prior to or
concurrent with the construction of the main project.
These amendments are intended to implement Iowa Code chapter
455B, division III, part 1.
These amendments will become effective July 19,
2000.
The following amendments are adopted.
Amend subrule 61.2(2), paragraph
“h,” as follows:
h. This policy shall be applied in conjunction with water
quality certification review pursuant to Section 401 of the Act. In the event
that activities are specifically exempted from flood plain development permits
or any other permits issued by this department in 567—Chapters 70, 71, and
72, the activity will be considered consistent with this policy. Other
activities not otherwise exempted will be subject to 567—Chapters 70, 71,
and 72 and this policy. The repair and maintenance of a drainage district ditch
as defined in 567— 70.2(455B,481A) will not be considered a violation of
the antidegradation policy for the purpose of implementing Title IV of these
rules. United States Army Corps of Engineers (Corps) nationwide permits 3, 4,
5, 6, 7, 12, 13, 14, 15, 16, 17, 18, 19, 20, 21, 22, 23, 25,
26, 27, 29, 30, 31, 32, 33, 34, 36, 37, 38, 39,
and 40, 41, 42, 43, and 44 as promulgated
December 13, 1996 March 9, 2000, are certified pursuant
to Section 401 of the Clean Water Act. Regional permit numbers 2, 7, 12, and 20
of the Rock Island District of the Corps are also certified. No specific Corps
permit or 401 certification is required for activities covered by these permits
unless required by the nationwide permit or the Corps, and the activities are
allowed subject to the terms of the nationwide and regional permits.
[Filed 5/26/00, effective 7/19/00]
[Published 6/14/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 6/14/00.
ARC 9889A
SECRETARY OF STATE[721]
Adopted and Filed
Pursuant to the authority of Iowa Code section 47.1, the
Secretary of State hereby amends Chapter 21, “Election Forms and
Instructions,” Iowa Administrative Code.
Iowa Code section 44.17 permits candidates of nonparty
political organizations to file nominations by petition, limiting each
organization to one candidate for each partisan of–fice. However, there
is no guidance provided regarding what to do if nomination petitions are
received from more than one candidate from the same nonparty political
organization for the same office, or if a nomination petition is received from a
nonparty political organization candidate for an office for which the same
organization has also nominated a candidate by convention.
New rule 21.201(44) provides a method for determining which
nomination to accept if a convention nomination and one or more nomination
petitions are received, or if more than one nomination petition is received, or
if more than one convention nomination is received from candidates seeking the
same office and claiming affiliation with the same nonparty political
organization. The new rule provides that the election commissioner accept the
convention nominee if only one is received; if not, the names of all candidates
from the same nonparty political organization seeking the same office will be
placed into a receptacle. The state or county commissioner, as appropriate, or
a designee will then draw from the receptacle the name of the person who will be
designated as the organization’s candidate. All other candidates will be
placed on the ballot as candidates nominated by petition.
Notice of Intended Action was published in the Iowa
Administrative Bulletin on April 19, 2000, as ARC 9785A. A public
hearing was scheduled for May 9, 2000; however, no one appeared at the hearing
to speak. Comments and suggestions received from members of the Administrative
Rules Review Committee have been incorporated into the adopted rule.
Changes made from the comments received by the agency require
the commissioner to provide notice to the candidates involved.
This rule was adopted by the Secretary of State on May 25,
2000.
This rule will become effective July 19, 2000.
This rule is intended to implement Iowa Code section
44.17.
The following new rule is adopted.
721—21.201(44) Competing nominations by nonparty
political organizations.
21.201(1) Nominations by convention and by petitions.
If one or more nomination petitions are received from nonparty political
organization candidates for an office for which the same organization has also
nominated one candidate by convention, the candidate nominated by convention
shall be considered the nominee of the organization. The names of the other
candidates shall appear on the ballot as candidates “nominated by
petition,” and those candidates shall be notified in writing not later
than seven days after the close of the filing period.
21.201(2) Multiple nomination petitions. If
nomination petitions are received from more than one candidate from the same
nonparty political organization for the same office and the organization has not
nominated a candidate for the office by convention, the name of each of these
candidates shall be written on a separate piece of paper, all of which shall be
as nearly uniform in size and material as possible and placed in a receptacle so
that the names cannot be seen. On the next working day following the close of
the nomination period, all affected candidates shall be notified of the time and
place of the drawing. The candidates shall be invited to attend or to send a
representative. In the presence of witnesses, the state commissioner of
elections or the county commissioner, as appropriate, or a designee of the state
or county commissioner, shall publicly draw one of the names; and that person
shall be declared to be the nominee of the nonparty political organization. The
names of the other candidates shall appear on the ballot as candidates
“nominated by petition.” A copy of the written record of the result
of the drawing shall be kept with the nomination petition of each affected
candidate, and each candidate shall be sent a copy for the candidate’s
rec–ords not later than seven days after the close of the filing
period.
21.201(3) Multiple nomination certificates. If more
than one nomination certificate is received for the same office from groups with
the same nonparty political organization name, the name of each of these
candidates shall be written on a separate piece of paper, all of which shall be
as nearly uniform in size and material as possible and placed in a receptacle so
that the names cannot be seen. On the next working day following the close of
the nomination period, all affected candidates shall be notified of the time and
place of the drawing. The candidates shall be invited to attend or to send a
representative. In the presence of witnesses, the state commissioner of
elections or the county commissioner, as appropriate, or a designee of the state
or county commissioner, shall publicly draw one of the names; and that person
shall be declared to be the nominee of the nonparty political organization. The
names of the other candidates, including any candidate who filed nomination
petitions, shall appear on the ballot as candidates “nominated by
petition.” A copy of the written record of the result of the drawing shall
be kept with the nomination certificate of each affected candidate, and each
candidate shall be sent a copy for the candidate’s rec–ords not
later than seven days after the close of the filing period.
This rule is intended to implement Iowa Code section
44.17.
[Filed 5/26/00, effective 7/19/00]
[Published 6/14/00]
EDITOR’S NOTE:
For replacement pages for IAC, see IAC Supplement 6/14/00.
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