Pages 149 to 250 include ARC 0836B to ARC 0878B

Notice, Licenses and permits—surety bond,
4.23(4), 5.9 ARC 0855B 149

Notice, Dramshop liability insurance,
5.8, 12.2(12) ARC 0854B 149

Schedule for rule making 140

Publication procedures 141

Administrative rules on CD–ROM 141

Agency identification numbers 147

CITATION OF ADMINISTRATIVE RULES 146

Filed, Jail facilities, amendments to ch 50
ARC 0852B 241

Filed, Temporary holding facilities,
amendments to ch 51 ARC 0853B 241

Notice, Extension—time for initiation of an
appeal or review on board’s motion,
11.28 ARC 0875B 152

Notice, Application denial and appeal;
denial of renewal application, 11.35, 11.36
ARC 0874B 152

Filed Emergency, Licensure—fees,
renewal, conversion, 14.101, 14.106,
14.110 to 14.114, 14.116, 14.119 to 14.121,
14.129, 14.140 to 14.142, 15.1(1), 16.1, 17.1,
17.5, 17.6, 17.8, 18.1 to 18.3 ARC 876B 222

Notice, Rescind chs 1 to 7; adopt
chs 1 to 13 ARC 0864B 154

Notice, Increase—state supplementary
assistance (SSA) residential care
facility (RCF) and in–home health related
care (IHHRC) reimbursement rates
and SSI cost–of–living adjustment, 52.1,
177.4 ARC 0840B 176

Notice, HAWK–I program, 86.2 to 86.4,
86.6(3), 86.13(2), 86.15(9), 86.17
ARC 0873B 177

Notice, Cost–of–living increase—statewide
average cost of shelter care, 150.3(5)
ARC 0843B 179

Filed Emergency, Increase—state supplementary
assistance (SSA) residential care
facility (RCF) and in–home health related
care (IHHRC) reimbursement rates
and SSI cost–of–living adjustment,
52.1, 177.4 ARC 0839B 237

Filed, Modified price–based case–mix system—
non–state–owned nursing facilities for
Medicaid recipients, amendments to
chs 78 to 81 ARC 0841B 241

Filed, College graduates in social work—
specified services provided without experience
requirement, 108.4(3), 185.10(1) ARC 0842B 247

Filed Emergency, Cost–of–living increase—
statewide average cost of shelter care,
150.3(5) ARC 0844B 238

Filed, Rehabilitative treatment and supportive
service (RTSS) providers—independent audit,
185.102(4) ARC 0845B 247

Notice, Food establishment and food processing
plant—exemption of residence where honey
is stored, prepared, packaged, labeled or distributed,
30.2, 31.1(17) ARC 0871B 180

Notice, Extension—validity of temporary food
service establishment license for temporary food
service at a farmers market, 30.4(7)
ARC 0836B 180

Notice, Hospitals—procedures for authentication
of medication and standing orders by a
practitioner, 51.14 ARC 0869B 180

(Cont’d)

Notice, Location for description of staff eligible
to administer anesthesia, 51.28(1) ARC 0868B 181

Notice, Technical corrections—cross references and
agency identification numbers, 51.50, 51.51
ARC 0870B 181

Filed Emergency, Extension—validity of
temporary food service establishment
license for temporary food service at a
farmers market, 30.4(7) ARC 0837B 239

Notice, Disclosure of nonpublic
personal health information,
90.1, 90.2, 90.17 to 90.26 ARC 0865B 182

Filed, OSHA regulations—cotton dust and
blood–borne pathogens, 10.20 ARC 0861B 248

Notice, Time period—law enforcement officer
certification, 3.1 ARC 0846B 184

Filed, Waiver and variance rules, ch 5
ARC 0838B 248

Notice, Continuing education, 5.1 to 5.3
ARC 0877B 184

Filed Emergency, Continuing education—
elimination of carryover exception, 5.2(2)“c”
ARC 0878B 239

Notice Terminated, Physician assistants,
325.1 to 325.7, 325.11(1) ARC 0866B 187

Notice, Birth defects institute, ch 4 ARC 0849B 187

Notice, State plumbing code, ch 25 ARC 0850B 191

Notice, Renovation, remodeling, and repainting—
lead hazard notification process, amendments to
ch 69 ARC 0848B 194

Notice, Lead professional certification, amendments
to ch 70 ARC 0851B 197

Notice, Childhood lead poisoning prevention,
amendments to ch 72 ARC 0847B 208

Summarized list 142

Notice, Sanctions for falsification; registration
certificates, 6.5(1), 9.4(5) ARC 0863B 210

Notice, Eligible housing business tax credit, 52.15,
58.8 ARC 0862B 211

Notice, Polling place accessibility standards,
21.50 ARC 0872B 212

Filed Emergency After Notice, Inclusion
of annexed territory in city reprecincting and
redistricting plans, 21.30 ARC 0867B 239

Filed Emergency After Notice, RISE
program—brownfield sites, 163.1, 163.8(2),
163.9, 163.11(2) ARC 0856B 240

Filed, Vehicle registration and certificate of title,
amendments to ch 400, 405.3(2)“c,” 405.6(3)
ARC 0858B 248

Filed, General aviation hangar revolving loan fund,
ch 718 ARC 0857B 249

Notice, Waiver and variance rules, ch 19
ARC 0859B 219

Filed, Land restoration rule correction,
9.3(1) ARC 0860B 249

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

__________________________________

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

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

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

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

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

The Iowa Administrative Bulletin is sold as a separate publication and may be purchased by subscription or single copy. All subscriptions will expire on June 30 of each year. Subscriptions must be paid in advance and are prorated quarterly.

July 1, 2001, to June 30, 2002 $273.00 plus $16.38 sales tax
October 1, 2001, to June 30, 2002 $215.00 plus $12.90 sales tax
January 1, 2002, to June 30, 2002 $144.50 plus $8.67 sales tax
April 1, 2002, to June 30, 2002 $72.00 plus $4.32 sales tax

Single copies may be purchased for $20.50 plus $1.23 sales tax.

The Iowa Administrative Code and Supplements are sold in complete sets and subscription basis only. All subscriptions for the Supplement (replacement pages) must be for the complete year and will expire on June 30 of each year.

Prices for the Iowa Administrative Code and its Supplements are as follows:

Iowa Administrative Code - $1,252.75 plus $75.17 sales tax

(Price includes 22 volumes of rules and index, plus a one–year subscription to the Code Supplement and the Iowa Administrative Bulletin. Additional binders may be purchased for $11.75 plus $.71 sales tax.)

Iowa Administrative Code Supplement - $440.50 plus $26.43 sales tax

(Subscription expires June 30, 2002)

All checks should be made payable to the Iowa State Printing Division. Send all inquiries and subscription orders to:

Department of General Services

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

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

TO: Administrative Rules Coordinators and Text Processors of State Agencies

FROM: Kathleen K. Bates, Iowa Administrative Code Editor

SUBJECT: Publication of Rules in Iowa Administrative Bulletin

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

1. To facilitate the publication of rule–making documents, we request that you send your document(s) as an attachment(s) to an E–mail message, addressed to both of the following:

bruce.carr@legis.state.ia.us and

kathleen.bates@legis.state.ia.us

2. Alternatively, you may send a 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, First Floor South, Grimes State Office Building, or included with the documents submitted to the Governor’s Administrative Rules Coordinator.

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.

Containing: Iowa Administrative Code (updated through December 2000)
Iowa Administrative Bulletins (July 2000 through December 2000)
Iowa Court Rules (updated through December 2000)

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

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.

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

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

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

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

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

The following list will be updated as changes occur:

AGRICULTURE AND LAND STEWARDSHIP DEPARTMENT[21]

Agricultural Development Authority[25]

Soil Conservation Division[27]

ATTORNEY GENERAL[61]

AUDITOR OF STATE[81]

CITIZENS’ AIDE[141]

CIVIL RIGHTS COMMISSION[161]

COMMERCE DEPARTMENT[181]

Alcoholic Beverages Division[185]

Banking Division[187]

Credit Union Division[189]

Insurance Division[191]

Professional Licensing and Regulation Division[193]

Accountancy Examining Board[193A]

Architectural Examining Board[193B]

Engineering and Land Surveying Examining Board[193C]

Landscape Architectural Examining Board[193D]

Real Estate Commission[193E]

Real Estate Appraiser Examining Board[193F]

Savings and Loan Division[197]

Utilities Division[199]

CORRECTIONS DEPARTMENT[201]

Parole Board[205]

CULTURAL AFFAIRS DEPARTMENT[221]

Arts Division[222]

Historical Division[223]

ECONOMIC DEVELOPMENT, IOWA DEPARTMENT OF[261]

City Development Board[263]

Iowa Finance Authority[265]

EDUCATION DEPARTMENT[281]

Educational Examiners Board[282]

College Student Aid Commission[283]

Higher Education Loan Authority[284]

Iowa Advance Funding Authority[285]

Libraries and Information Services Division[286]

Public Broadcasting Division[288]

School Budget Review Committee[289]

ELDER AFFAIRS DEPARTMENT[321]

EXECUTIVE COUNCIL[361]

GENERAL SERVICES DEPARTMENT[401]

HUMAN RIGHTS DEPARTMENT[421]

Community Action Agencies Division[427]

Criminal and Juvenile Justice Planning Division[428]

Deaf Services Division[429]

Persons With Disabilities Division[431]

Latino Affairs Division[433]

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

Status of Women Division[435]

HUMAN SERVICES DEPARTMENT[441]

INFORMATION TECHNOLOGY DEPARTMENT[471]

INSPECTIONS AND APPEALS DEPARTMENT[481]

Employment Appeal Board[486]

Foster Care Review Board[489]

Racing and Gaming Commission[491]

State Public Defender[493]

LAW ENFORCEMENT ACADEMY[501]

MANAGEMENT DEPARTMENT[541]

Appeal Board, State[543]

City Finance Committee[545]

County Finance Committee[547]

NATURAL RESOURCES DEPARTMENT[561]

Energy and Geological Resources Division[565]

Environmental Protection Commission[567]

Natural Resource Commission[571]

Preserves, State Advisory Board[575]

PERSONNEL DEPARTMENT[581]

PUBLIC DEFENSE DEPARTMENT[601]

Emergency Management Division[605]

Military Division[611]

PUBLIC EMPLOYMENT RELATIONS BOARD[621]

PUBLIC HEALTH DEPARTMENT[641]

Substance Abuse Commission[643]

Professional Licensure Division[645]

Dental Examiners Board[650]

Medical Examiners Board[653]

Nursing Board[655]

Pharmacy Examiners Board[657]

PUBLIC SAFETY DEPARTMENT[661]

REGENTS BOARD[681]

Archaeologist[685]

REVENUE AND FINANCE DEPARTMENT[701]

Lottery Division[705]

SECRETARY OF STATE[721]

TRANSPORTATION DEPARTMENT[761]

Railway Finance Authority[765]

TREASURER OF STATE[781]

WORKFORCE DEVELOPMENT DEPARTMENT[871]

Labor Services Division[875]

Workers’ Compensation Division[876]

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

Pursuant to the authority of Iowa Code section 123.21, the Alcoholic Beverages Division of the Department of Commerce hereby gives Notice of Intended Action to amend Chapter 4, “Liquor Licenses—Beer Permits—Wine Permits,” and Chapter 5, “License and Permit Division,” Iowa Administrative Code.

Subrule 4.23(4) is amended to correct a technical error.

Rule 5.9(123) is amended to bring it into compliance with Iowa Code chapter 123 and to correct a technical error.

The Division will receive written comments on the proposed amendments until the close of business on August 28, 2001. Comments may be addressed to Judy K. Seib, Alcoholic Beverages Division, 1918 SE Hulsizer Road, Ankeny, Iowa 50021. Comments may be faxed to Judy K. Seib at (515)281–7375, and comments may be E–mailed to Seib@ IowaABD.com.

These amendments are intended to implement Iowa Code sections 123.95, 123.30(1)“c,” 123.43, 123.127(3) and 123.175(3).

The following amendments are proposed.

ITEM 1. Amend subrule 4.23(4), paragraph “f,” as follows:

f. One where no admission fees or other kinds of entrance fees, fare, ticket, donation or charges are made or are required of the invited guests to enter the location.

ITEM 2. Amend rule 185—5.9(123) as follows:

185—5.9(123) Surety bond requirements. A $5000 penal bond must be filed with the division with each application for a Class “A” wine permit, Class “A” beer permit, special Class “A” beer permit and manufacturer’s liquor control license. A $500 $5,000, $10,000 or $15,000 penal bond must be filed with the division for a retail beer permit with each application for a Class “E” liquor control license. A Class “E” liquor control licensee may determine the amount of the bond to be posted with the division, and may increase or decrease the face amount of the bond in increments of $5,000 on one occasion during the licensee’s first year of business. Thereafter, a licensee may increase or decrease the face amount of the bond in increments of $5,000 only when the liquor control license is renewed. Each penal bond must meet the following requirements.

5.9(1) Certificate of authority. It must be issued by a company holding a current certificate of authority from the commissioner of insurance authorizing the company to issue bonds in Iowa.

5.9(2) Forfeiture of beer or liquor bond. It must contain a provision for the principal and surety to consent to the forfeiture of principal sum of the bond in the event of revocation of the license or permit by the violation of any Iowa Code provision which requires forfeiture of the bond.

5.9(3) Cancellation. An insurance A surety company or an insured a principal may cancel a liability policy bond by giving a minimum of 30 days’ prior written notice to this division of the party’s intent to cancel the liability policy bond. The 30–day period shall begin commence on the date that this division receives the notice of cancellation. The party seeking to cancel a liability policy bond shall mail written notice of such cancellation to the division in Ankeny, Iowa, by certified mail, and further shall mail a copy of the notice of cancellation to the other party, at that party’s post office address. The notice of cancellation shall contain: the name of the party to whom the copy of the notice of cancellation was mailed, the address to which the copy of the notice of cancellation was sent, the date on which the notice of cancellation was mailed, the date the liability policy bond is being canceled, and the liquor control license or permit number of the licensee or permittee to be affected by such cancellation.

5.9(4) Proof of bond. A licensee or permittee shall be deemed to have furnished a surety bond when it the licensee or permittee has filed with the division at its offices in Ankeny, Iowa, a form described by 185—subrule 12.2(7).

5.9(5) Alternate for surety bond. Rescinded IAB 5/15/91, effective 6/19/91.

5.9(6) Two bonds. Rescinded IAB 5/15/91, effective 6/19/91.

Pursuant to the authority of Iowa Code section 123.21, the Alcoholic Beverages Division of the Department of Commerce hereby gives Notice of Intended Action to amend Chapter 5, “License and Permit Division,” and Chapter 12, “Forms,” Iowa Administrative Code.

The Alcoholic Beverages Division proposes to amend rule 185—5.8(123) and adopt new subrule 12.2(12) to better interpret statutory language contained in Iowa Code section 123.92. Under this statute, a person who is injured in person or property or means of support by an intoxicated person or resulting from the intoxication of a person, has a right of action for all damages actually sustained, severally or jointly, against any licensee or permittee who sold intoxicating liquors to the intoxicated person, when the licensee or permittee should have known the person was intoxicated.

In August of 2000, five–year–old Cassidy Mahedy was killed in Des Moines when she was struck by an intoxicated driver. In light of this tragic event and many similar incidents across the state, the Division decided to review the current dramshop liability insurance requirements set forth by administrative rule. Upon review of the current requirements, the Division found that the minimum requirements for insurance in Iowa have not been altered since its inception and that the current requirements are drastically low when compared to many other jurisdictions. Other jurisdictions that have reviewed this matter have established limits that are substantially higher than the proposed rates under the proposed amendments. Accordingly, the Alcoholic Beverages Division, in consultation with the Insurance Division of the Department of Commerce, is undertaking this rule making to amend Chapter 5 to change the minimum dramshop insurance requirement to conform with the statutory guidelines of the Iowa Code.

The proposed amendments to Chapter 5 make technical and editorial changes, as well as make the current rule more consistent with the statutory language of Iowa Code section 123.92. The Division will examine a number of factors when considering the impact the proposed amendments will have on insurance premiums for licensed liquor establishments. The Division intends to seek input from industry members in addition to public comments as required by Iowa Code section 17A.4.

The Division will hold a public hearing on the proposed amendments at 2 p.m., Tuesday, August 28, 2001, in the Commerce Board Room, Alcoholic Beverages Division, 1918 SE Hulsizer Road, Ankeny, Iowa 50021. Interested parties may present their opinions at the public hearing orally or in writing. Those who wish to make oral presentations at the public hearing should contact the Alcoholic Beverages Division by telephone at (515)281–7407, or by fax at (515) 281–7385, no later than 4:30 p.m. on Monday, August 27, 2001.

Written comments may be addressed to Lynn M. Walding, Administrator, Iowa Alcoholic Beverages Division, 1918SE Hulsizer Road, Ankeny, Iowa 50021, or via E–mail to Walding@IowaABD.com.

These amendments are intended to implement Iowa Code sections 123.92, 123.93 and 123.94.

The following amendments are proposed.

ITEM 1. Amend rule 185—5.8(123) as follows:

185—5.8(123) Dramshop liability insurance requirements. For the purpose of providing proof of financial responsibility, as required under the provisions of Iowa Code section 123.92, a liability insurance policy shall meet the following requirements.

5.8(1) Current certificate required. It The dramshop liability certificate of insurance shall be issued by a company holding a current certificate of authority from the Iowa insurance commissioner authorizing the company to issue dramshop liability insurance in Iowa or issued under the authority and requirements of Iowa Code sections 515.147 to 515.149. The dramshop policy shall take effect the day the license or permit takes effect and shall continue until the expiration date of the license or permit. A new dramshop liability certificate of insurance and a new bond shall be provided each time the division issues a new license with a new license number or a new permit with a new permit number.

5.8(3 2) Limits of liability. Minimum coverage required. It must The dramshop liability insurance policy shall provide the following limits of liability minimum liability coverage, exclusive in interests and cost of action, per accident incident or occurrence: (For the purpose of this subrule, the word “accident” shall mean any one occurrence, or any one accident, or series of accidents or occurrences arising out of any one event, or any one case of intoxication.)

a. Ten Fifty thousand dollars in respect to any one person who shall be injured in person or killed for bodily injury to or death of one person in each claim or occurrence.

b. Subject to limitation stated above as respects any one person, $20,000 in respect to all persons who shall be injured in person or killed One hundred thousand dollars for bodily injury to or death of two or more persons in each incident or occurrence.

c. Five Twenty thousand dollars in respect to any and all persons who shall be injured in means of support for property damage in each incident or occurrence.

5.8(4) Cancellation. A surety An insurance company or a principal an insured may cancel a bond liability policy by giving a minimum of 30 days’ prior written notice to this division of the party’s intent to cancel the bond liability policy. The 30–day period shall begin on the date that this division receives the notice of cancellation. The party seeking to cancel a bond liability policy shall mail written notice of such cancellation to the division in Ankeny, Iowa, by certified mail, and further shall mail a copy of the notice of cancellation to the other party, at that party’s post office address. The notice of cancellation shall contain: the name of the party to whom the copy of the notice of cancellation was mailed, the address to which the copy of the notice of cancellation was sent, the date on which the notice of cancellation was mailed, the date the bond liability policy is being canceled, and the liquor control license or permit number of the licensee or permittee to be affected by such cancellation. The cancellation or notice thereof shall have no force or effect in the event that the principal’s liquor control license or permit has been revoked during the period of the policy, or where an administrative hearing complaint has been filed, and charges are currently pending against the licensee or permittee which could result in revocation of the license or permit after an administrative hearing on the complaint.

5.8(5 6) Civil tort liability. Subject to these conditions and exclusions usually found in a policy of The dramshop liability insurance, the policy must shall contain coverage to insure against all civil tort liability of the insured, created under Iowa Code sections 123.92, 123.93 and 123.94, as they those sections now exist or may hereafter be amended.

5.8(6 7) Proof of financial responsibility. A licensee or permittee shall be deemed to have furnished proof of financial responsibility as contemplated under the provisions of Iowa Code sections 123.92, 123.93, and 123.94 when it the licensee or permittee has filed with the division at its offices in Ankeny, Iowa, a properly executed form as described by 185—subrule 12.2(8) 12.2(12).

5.8(7 8) Signature required. Copies of the form described above shall not be deemed properly executed unless the authorized company representative executing the same shall

first have filed with the division a sample of the representative’s signature. Facsimile signatures will be acceptable.

This rule is intended to implement Iowa Code sections 123.4, 123.21(11), 123.92, 123.93 and 123.94.

ITEM 2. Rescind subrule 12.2(12) and adopt in lieu thereof the following new subrule:

12.2(12) Certification of dramshop liability.

License/Permit # __________________

STATE OF IOWA

IOWA DEPARTMENT OF COMMERCE

ALCOHOLIC BEVERAGES DIVISION

DRAMSHOP LIABILITY CERTIFICATE OF INSURANCE

LIQUOR CONTROL LICENSE AND CLASS “B” BEER PERMIT

Filed with

IOWA DEPARTMENT OF COMMERCE

ALCOHOLIC BEVERAGES DIVISION

1918 S.E. Hulsizer Avenue

Ankeny, Iowa 50021

(Execute in Duplicate)

THIS IS TO CERTIFY THAT ________________________________________________________________________,

(Name of Company)

(hereinafter called Company) of ______________________________________________________________________

(Home address of company)

has issued the following policy:

Policy number: ____________________________________________________________________________

Assured: _________________________________________________________________________________

Location: _________________________________________________________________________________

Effective Dates: __________________________________ through __________________________________

The above–mentioned policy of insurance (hereinafter policy) contains coverage to comply with the provisions of Iowa Code section 123.92 and all rules of the Iowa Department of Commerce, Alcoholic Beverages Division.

The policy may be canceled by the Company of the Assured giving 30 days’ notice in writing to the Alcoholic Beverages Division at its office, Ankeny, Iowa. The 30 days’ notice will commence from the date notice is actually received by the division.

Whenever requested by the division, the company agrees to furnish to the division a duplicate original of the policy and all pertinent endorsements.

Dated this day of ______________________, __________.

_______________________________________________ ____________________________________________

Company Contact Person Authorized Company Representative

_______________________________________________

Address

_______________________________________________

_______________________________________________

Contact Telephone #

_______________________________________________

Fax #

This document is an open record. Information contained in this document may be disclosed without prior notice to or permission from the subject. See Iowa Code chapters 22 and 123; see also 185 IAC 18.

Pursuant to the authority of Iowa Code section 272.2, the Board of Educational Examiners hereby gives Notice of Intended Action to amend Chapter 11, “Complaints, Investigations, Contested Case Hearings,” Iowa Administrative Code.

These amendments extend the period of time for initiation of an appeal or review on motion of the Board from 30 days to 60 days. This extension will help ensure that the Board has an opportunity to consider each proposed decision at a regular meeting prior to the expiration of the time for initiation of review on motion of the Board.

A waiver provision is not included. The Board has adopted a uniform waiver rule.

Any interested party or persons may present their views orally or in writing at the public hearing on Wednesday, August 29, 2001, at 10 a.m. in Room 3 North of the Grimes State Office Building, 400 East Grand, Des Moines, Iowa 50319.

At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the proposed amendments. Persons who wish to make oral presentations at the public hearing may contact the Executive Director, Board of Educational Examiners, Grimes State Office Building, East 14th and Grand Avenue, Des Moines, Iowa 50319–0147, or at (515)281–5849, prior to the date of the public hearing.

Any person who intends to attend a public hearing and requires special accommodations for specific needs, such as a sign language interpreter, should contact the office of the Executive Director at (515)281–5849.

Any interested person may make written comments or suggestions on the proposed amendments before 4:30 p.m. on Wednesday, August 29, 2001. Written comments and suggestions should be addressed to Dr. Anne E. Kruse, Executive Director, Board of Educational Examiners, at the above address, or sent by E–mail to anne.kruse@ed.state. ia.us.

These amendments are intended to implement Iowa Code chapter 272.

The following amendments are proposed.

ITEM 1. Amend subrule 11.28(1) as follows:

11.28(1) Appeal by party. Any adversely affected party may appeal a proposed decision to the board within 30 60 days after issuance of the proposed decision.

ITEM 2. Amend subrule 11.28(2) as follows:

11.28(2) Review. The board may initiate review of a proposed decision on its own motion at any time within 30 60 days following the issuance of such a decision.

Pursuant to the authority of Iowa Code section 272.2, the Board of Educational Examiners hereby gives Notice of Intended Action to amend Chapter 11, “Complaints, Investigations, Contested Case Hearings,” Iowa Administrative Code.

These new rules set forth procedures for initial or renewal application denials and appeals. The Board’s enabling statute, Iowa Code chapter 272, allows the Executive Director to make decisions concerning initial licenses and renewal applications. The Board’s contested case rules are applied to licensure appeals. However, no rules are in place to provide guidance to practitioners regarding the application review and appeal process.

A waiver provision is not included. The Board has adopt– ed a uniform waiver rule.

Any interested party or persons may present their views orally or in writing at the public hearing on Wednesday, August 29, 2001, at 10:30 a.m. in Room 3 North of the Grimes State Office Building, 400 East Grand, Des Moines, Iowa 50319.

At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the proposed rules. Persons who wish to make oral presentations at the public hearing may contact the Executive Director, Board of Educational Examiners, Grimes State Office Building, East 14th and Grand Avenue, Des Moines, Iowa 50319–0147, or at (515)281–5849, prior to the date of the public hearing.

Any person who intends to attend a public hearing and requires special accommodations for specific needs, such as a sign language interpreter, should contact the office of the Executive Director at (515)281–5849.

Any interested person may make written comments or suggestions on the proposed rules before 4:30 p.m. on Wednesday, August 29, 2001. Written comments and suggestions should be addressed to Dr. Anne E. Kruse, Executive Director, Board of Educational Examiners, at the above address, or sent by E–mail to anne.kruse@ed.state. ia.us.

These amendments are intended to implement Iowa Code chapter 272.

The following new rules are proposed.

282—11.35(272) Application denial and appeal. The executive director is authorized by Iowa Code section 272.7 to grant or deny applications for licensure. If the executive director denies an application for an initial or exchange license, certificate, or authorization, the executive director shall send to the applicant by regular first–class mail written notice identifying the factual and legal basis for denying the application. If the executive director denies an application to renew an existing license, certificate, or authorization, the provisions of rule 11.36(272) shall apply.

11.35(1) Grounds for license denial. The executive director may deny an application based on the grounds set forth in Iowa Code sections 272.2(14) and 272.6.

11.35(2) Conviction of a crime and founded child abuse. When determining whether a person should be denied licensure based on the conviction of a crime, including a felony, or a founded report of child abuse, the executive director and the board shall consider the following:

a. The nature and seriousness of the crime or founded abuse in relation to the position sought;

b. The time elapsed since the crime or founded abuse was committed;

c. The degree of rehabilitation which has taken place since the crime or founded abuse was committed;

d. The likelihood that the person will commit the same crime or abuse again;

e. The number of criminal convictions or founded abuses committed; and

f. Such additional factors as may in a particular case demonstrate mitigating circumstances or heightened risk to public safety.

11.35(3) Fraudulent applications. An application shall be considered fraudulent pursuant to Iowa Code section 272.6(4) if it contains any false representation of a material fact or any omission of a material fact which should have been disclosed when applying for licensure or is submitted with a false or forged diploma, certificate, affidavit, identification, or other document material to the applicant’s qualification for licensure or material to any of the grounds for denial set forth in Iowa Code sections 272.2(14) and 272.6.

11.35(4) Appeal procedure.

a. An applicant who is aggrieved by the denial of an application for licensure and who desires to challenge the decision of the executive director must appeal the decision and request a hearing before the board within 30 calendar days of the date the notice of license denial is mailed. An appeal and request for hearing must be in writing and is deemed made on the date of the United States Postal Service nonmetered postmark or the date of personal service to the board office. The request for hearing shall specify the factual or legal errors the applicant contends were made by the executive director, must identify any factual disputes upon which the applicant desires an evidentiary hearing, and may provide additional written information or documents in support of licensure. If a request for hearing is timely made, the executive director shall promptly issue a notice of contested case hearing on the grounds asserted by the applicant.

b. The board, in its discretion, may act as presiding officer at the contested case hearing, may hold the hearing before a panel of three board members, or may request that an administrative law judge act as presiding officer. The applicant may request that an administrative law judge act as presiding officer and render a proposed decision pursuant to rule 11.8(17A,272). A proposed decision by a panel of board members or an administrative law judge is subject to appeal or review by the board pursuant to rule 11.28(17A,272).

c. Hearings concerning licensure denial shall be conducted according to the contested case procedural rules in this chapter. Evidence supporting the denial of the license may be presented by an assistant attorney general. While each party shall have the burden of establishing the affirmative of matters asserted, the applicant shall have the ultimate burden of persuasion as to the applicant’s qualification for licensure.

d. On appeal, the board may grant or deny the application for licensure. If the application for licensure is denied, the board shall state the reason or reasons for the denial and may state conditions under which the application could be granted, if applicable.

11.35(5) Judicial review. Judicial review of a final order of the board denying licensure may be sought in accordance with the provisions of Iowa Code section 17A.19 which are applicable to judicial review of an agency’s final decision in a contested case. In order to exhaust administrative remedies, an applicant aggrieved by the executive director’s denial of an application for licensure must timely appeal the adverse decision to the board.

282—11.36(272) Denial of renewal application. If the executive director denies an application to renew a license, certificate or authorization, a notice of hearing shall be issued to commence a contested case proceeding. The executive director may deny a renewal application on the same grounds as those that apply to an application for initial or exchange licensure described in subrules 11.35(1) to 11.35(3).

11.36(1) Hearing procedure. Hearings on denial of an application to renew a license shall be conducted according to the contested case procedural rules in this chapter. Evidence supporting the denial of the license may be presented by an assistant attorney general. The provisions of subrules 11.35(4) and 11.35(5) shall apply.

11.36(2) Judicial review. Judicial review of a final order of the board denying renewal of licensure may be sought in accordance with the provisions of Iowa Code section 17A.19 which are applicable to judicial review of an agency’s final decision in a contested case.

11.36(3) Impact of denial of renewal application. Pursuant to Iowa Code section 17A.18(2), if the licensee has made timely and sufficient application for renewal, an existing license shall not expire until the last day for seeking judicial review of the board’s final order denying the application or a later date fixed by order of the board or reviewing court.

11.36(4) Timeliness of renewal application. Within the meaning of Iowa Code section 17A.18(2), a timely and sufficient renewal application shall be:

a. Received by the board on or before the date the license is set to expire or lapse;

b. Signed by the licensee if submitted in paper form or certified as accurate if submitted electronically;

c. Fully completed; and

d. Accompanied by the proper fee. The fee shall be deemed improper if the amount is incorrect, the fee was not included with the application, or the licensee’s check is unsigned or returned for insufficient funds.

Pursuant to the authority of Iowa Code section 542B.6,the Engineering and Land Surveying Examining Boardgives Notice of Intended Action to rescind Chapters 1 to 7 and adopt new Chapter 1, “Administration”; Chapter 2, “Fees and Charges”; Chapter 3, “Application and Renewal Process”; Chapter 4, “Engineering Licensure”; Chapter 5, “Land Surveying Licensure”; Chapter 6, “Seal and Certificate of Responsibility”; Chapter 7, “Professional Development”; Chapter 8, “Professional Conduct of Licensees”; Chapter 9, “Complaints, Investigations and Disciplinary Action”; Chapter 10, “Peer Review”; Chapter 11, “Minimum Standards for Property Surveys”; Chapter 12, “Minimum Standards for U.S. Public Land Survey Corner Certificates”; and Chapter 13, “Civil Penalties for Unlicensed Practice,” Iowa Administrative Code.

This amendment is intended to reformat, clarify, and simplify the rules governing the licensing and regulation of the professions of engineering and land surveying in accordance with Executive Order Number 8.

Any interested person may make written or oral suggestions or comments on these proposed amendments on or before August 28, 2001. Comments should be directed to Gleean Coates, Executive Officer, Iowa Engineering and Land Surveying Examining Board at 1918 SE Hulsizer Road, Ankeny, Iowa 50021, or by telephoning (515) 281–7360.

This amendment is intended to implement Iowa Code chapters 542B, 354, 355, and 272C.

The following amendment is proposed.

Rescind 193C—Chapters 1 to 7 and adopt the following new chapters:

CHAPTER 1
ADMINISTRATION

193C—1.1(542B) General statement. The practices of engineering and land surveying affect the life, health, and property of the people in Iowa. The engineering and land surveying examining board’s principal mandate is the protection of the public interest.

1.1(1) Administration. Administration of the board has not been separated into panels, divisions, or departments. While the expertise of a board member may be called upon to frame special examinations and evaluate applications for licensing in a specialized engineering branch, the board functions in a unified capacity on all matters that may come before it. The board maintains an office at 1918 SE Hulsizer Road, Ankeny, Iowa 50021, and requests or submissions may be directed to the secretary of the board at that location.

1.1(2) Meetings. Regular meetings of the board are held in Ankeny, Iowa. Information concerning the location and dates for meetings may be obtained from the board’s office at 1918 SE Hulsizer Road, Ankeny, Iowa 50021, or by telephoning (515)281–5602.

1.1(3) Examinations. The board currently administers licensing examinations twice each year. Information concerning the location and dates for examinations may be obtained from the board’s office at the address provided in 1.1(2).

193C—1.2(542B) Definitions. For the purposes of these rules, the following definitions shall apply:

“Accredited” means a program accredited by the Accreditation Board for Engineering Technology, Inc. (ABET) or the Canadian Engineering Accreditation Board (CEAB) or another accrediting body accepted by the National Council of Examiners for Engineering and Surveying (NCEES).

“Board” means the engineering and land surveying examining board provided by chapter 542B of the Iowa Code.

“Design coordination,” as used in the definition of the practice of engineering, includes the review and coordination of technical submissions prepared by others including, as appropriate and without limitation, consulting engineers, architects, landscape architects, land surveyors, and other professionals working under the direction of the engineer.

“Engineering documents” includes all plans, specifications, drawings, and reports (including supporting calculations), if the preparation of such documents constitutes or requires the practice of engineering.

“Engineering survey,” as used in the definition of the practice of engineering, includes all survey activities required to support the sound conception, planning, design, construction, maintenance, and operation of engineeredprojects, but excludes the survey of real property for the establishment of land boundaries, rights–of–way, easements, and the dependent or independent surveys or resurveys of the public land system.

“Engineer intern” means a person who passes an examination in the fundamental engineering subjects, but does not entitle the person to claim to be a professional engineer.

“In responsible charge” means having direct control of and personal supervision over any land surveying work or work involving the practice of engineering. One or more persons, jointly or severally, may be in responsible charge.

“Land surveying documents” includes all plats, maps, surveys, and reports, if the preparation thereof constitutes or requires the practice of land surveying.

“Land surveyor” means a person who engages in the practice of land surveying as defined in this rule.

“Practice of engineering” means any service or creative work, the adequate performance of which requires engineering education, training, and experience in the application of special knowledge of the mathematical, physical, and engineering sciences.

1. Engineering services include:

• Consultation, investigation, evaluation, planning, and design;

• Design coordination of engineering works and systems;

• Planning the use of natural resources such as land, water and air;

• Performing engineering surveys, calculations, and studies; and

• Review of construction for the purpose of monitoring compliance with drawings and specifications.

2. The practice of engineering includes:

• Such services or creative work as listed above, either public or private, in connection with any utilities, structures, buildings, machines, equipment, processes, work systems, projects, and industrial or consumer products of a mechanical, electrical, hydraulic, pneumatic, or thermal nature insofar as they involve safeguarding life, health, or property;

• Such other professional services as may be necessary to the planning, progress, and completion of the services identified in this definition;

• Environmental engineering activities which may be involved in developing plans, reports, or actions to remediate an environmentally hazardous site;

• Design of fixturing devices for manufacturing machinery that must be performed by a licensed professional engineer or under the responsible charge and direct supervision of a professional engineer unless performed within the industrial exemption by a full–time employee of a corporation which constructs the fixtures.

3. Activities that the board will construe as the practice of engineering for which the board may by order impose a civil penalty upon a person who is not licensed as a professional engineer are set out in Iowa Code section 542B.27.

“Practice of land surveying” includes providing professional services such as consultation, investigation, testimony, evaluation, planning, mapping, assembling, and interpreting reliable scientific measurements and information relative to the location of property lines or boundaries and the utilization, development, and interpretation of these facts into an orderly survey, plat, or map.

1. The practice of land surveying includes, but is not limited to, the following:

• Locating, relocating, establishing, reestablishing, setting, or resetting of permanent monumentation for any property line or boundary of any tract or parcel of land. Setting permanent monuments constitutes an improvement to real property.

• Making any survey for the division or subdivision of any tract or parcel of land.

• Determination, by the use of the principles of land surveying, of the position for any permanent survey monument or reference point, or setting, resetting, or replacing any survey monument or reference point excluding the responsibility of engineers pursuant to Iowa Code section 314.8.

• Creating and writing metes and bounds descriptions as defined in Iowa Code section 354.2.

• Geodetic surveying for determination of the size and shape of the earth both horizontally and vertically for the precise positioning of permanent land survey monuments on the earth utilizing angular and linear measurements through spatially oriented spherical geometry.

• Creation, preparation, or modification of electronic or computerized data, including land information systems and geographical information systems, relative to the performance of the activities listed above.

2. Activities that the board will construe as the practice of land surveying and for which the board may by order impose a civil penalty upon a person who is not licensed as a land surveyor are set out in Iowa Code section 542B.27.

“Professional engineer” means a person, who, by reason of the person’s knowledge of mathematics, the physical sciences, and the principles of engineering, acquired by professional education or practical experience, is qualified to engage in the practice of engineering.

193C—1.3(542B) Declaratory orders. The board’s rules regarding declaratory orders can be found in the uniform rules for the division of professional licensing and regulation at 193 IAC 10.

193C—1.4(542B) Waivers and variances. The board’s rules regarding waivers and variances can be found in the uniform rules for the division of professional licensing and regulation at 193 IAC 5.

These rules are intended to implement Iowa Code sections 542B.2 and 542B.3.

CHAPTER 2
FEES AND CHARGES

193C—2.1(542B) General statement. Fees are fixed in such an amount as will defray the expense of administering board responsibilities. Fees are charged in accordance with the following table:

193C—2.2(542B) Nonrefundable fees. Application fees submitted with applications for the Fundamentals of Engineering examination, the Fundamentals of Land Surveying examination, the Principles and Practice of Engineering examination, the Principles and Practice of Land Surveying examination, comity licensure, or for renewal of licensure are not refundable for any reason.

These rules are intended to implement Iowa Code sections 542B.13, 542B.15, 542B.20 and 542B.30.

CHAPTER 3
APPLICATION AND RENEWAL PROCESS

193C—3.1(542B) General statement. A person requesting to be licensed as a professional engineer or land surveyor shall submit a completed, standardized, notarized application form, which may be obtained from the board’s office or electronically from the board’s Internet Web page.

3.1(1) Application expiration. On the examination application due date, the examination application is considered current if it has been one year or less since it was signed and notarized. A comity application expires one year from the date that it was signed and notarized.

3.1(2) Branch licensure. A list of engineering branches in which licensure is granted can be obtained from the board’s office. Branches conform to those branches generally included in a collegiate curricula. An applicant for licensure in Iowa shall be licensed first in the branch or branches indicated by the applicant’s education and experience. A minimum of 50 percent of the required practical experience in which the individual is to be examined shall have been in that same branch of engineering.

3.1(3) Academic transcripts. Completion of post–high school education shall be evidenced by receipt of an applicant’s transcripts directly from the office of the registrar of each institution attended. Transcripts from institutions located outside the boundaries of the United States of America shall be evaluated for authenticity and substantial equivalency with Accreditation Board for Engineering and Technology, Inc. (ABET)/Engineering Accreditation Commission (EAC) accredited engineering programs. Such authentication shall be from a recognized foreign credential evaluator satisfactory to the board and at the expense of the applicant.

3.2(1) Fundamentals of Engineering application components and due dates. Applications for the Fundamentals of Engineering examination from college seniors studying an ABET/EAC or Canadian Engineering Accreditation Board (CEAB) approved curriculum are submitted directly to the examination service selected by the board to administer the examinations and must be received on or before September 1 of each year for the examination given in the fall and on or before March 1 of each year for the examination given in the spring. All other applications for the Fundamentals of Engineering examination require a more detailed review and must, therefore, be submitted to the board office, postmarked on or before August 1 of each year for the examination given in the fall and on or before February 1 of each year for the examination given in the spring. The components of this application include: the completed, notarized application form; references; and transcripts.

3.2(2) Fundamentals of Land Surveying application components and due dates. The components of this application include: the completed, notarized application form; references; and transcripts. Fundamentals of Land Surveying examination applications require a detailed review and must, therefore, be submitted to the board office, postmarked on or before August 1 of each year for the examination given in the fall and on or before February 1 of each year for the examination given in the spring.

3.2(3) Principles and Practice examination application components and due dates. The components of the application for the Principles and Practice of Engineering and the Principles and Practice of Land Surveying examinations include: the completed, notarized application form; the ethics questionnaire; references; transcripts; verification of examination records; and the project statement. Principles and Practice of Engineering and Principles and Practice of Land Surveying examination applications require a detailed review and must, therefore, be submitted to the board office, postmarked on or before August 1 of each year for the examination given in the fall and on or before February 1 of each year for the examination given in the spring.

3.3(1) The components of a comity application include: the completed, notarized application form; the ethics questionnaire; references; transcripts; and verifications, as appropriate. Comity applicants may submit the NCEES record in lieu of providing references, verifications, transcripts, and employment history.

3.3(2) Comity applications will be reviewed and processed as they are completed. Applications that are complete and meet the standard requirements of these rules are processed immediately upon completion and review.

3.3(3) Comity applicants are notified regarding the results of the review of their applications.

3.3(4) Temporary permits. The board does not issue temporary permits. Temporary permits were previously issued to applicants whose applications were reviewed by a board member, who met all requirements, and who were expected to qualify for approval by the full board at the next regularly scheduled board meeting. Since applications that meet these criteria are now routinely processed as they are completed and reviewed, temporary permits are no longer necessary.

3.4(1) Expiration dates. Certificates of licensure expire biennially on December 31. Certificates that were initially issued in even–numbered years expire in odd–numbered years and certificates that were initially issued in odd–numbered years expire in even–numbered years. In order to maintain authorization to practice engineering or land surveying in Iowa, licensees are required to renew their certificates of licensure on or prior to the expiration date. A licen–

see who fails to renew prior to the date the certificate expires shall not be authorized to practice in Iowa unless the certificate is reinstated as provided in these rules. However, the board will accept an otherwise sufficient renewal application which is untimely if the board receives the application and late fee within 30 days of the date of expiration.

3.4(2) Renewal notification. The board typically mails a renewal application to a licensee’s last–known address at least one month prior to the license expiration date. Neither the board’s failure to mail a renewal application nor the licensee’s failure to receive a renewal application shall affect in any way the licensee’s duty to timely renew if the licensee intends to continue practicing in Iowa. Licensees need to contact the board office if they do not receive a renewal application prior to the expiration date.

3.4(3) Renewal process. Upon receipt of a timely and sufficient renewal application, with the proper fee, the board’s executive secretary shall issue a new license reflecting the next expiration date, unless grounds exist for denial of the application.

3.4(4) Notification of expiration. The board shall notify by certified mail, return receipt requested, licensees whose certificates of licensure have expired. The failure of the board to provide this courtesy notification, or the failure of the licensee to receive or sign for the courtesy notification, shall not extend the date of expiration.

3.4(5) Sanction for practicing after expiration. A licensee who continues to practice in Iowa after the license has expired shall be subject to disciplinary action. Such unauthorized activity may also provide grounds to deny a licensee’s application to reinstate.

3.4(6) Timely and sufficient renewal application. Within the meaning of Iowa Code section 17A.18(2), a timely and sufficient renewal application shall be:

a. Received by the board in paper or electronic form, or postmarked with a nonmetered United States Postal Service postmark on or before the expiration date of the certificate;

b. Fully completed; and

c. Accompanied by the proper fee. The fee shall be deemed improper if, for instance, the amount is incorrect, the fee was not included with the application, the credit card number provided by the applicant is incorrect, the date of expiration of a credit card is left off the application or is incorrect, the attempted credit card transaction is rejected, or the applicant’s check is returned for insufficient funds.

3.4(7) Responsibility for accuracy of renewal application. The licensee is responsible for verifying the accuracy of the information submitted on the renewal application regardless of how the application is submitted or by whom it is submitted. For instance, if the office manager of a licensee’s firm submits an application for renewal on behalf of the licensee and that information is incorrect, the licensee will be held responsible for the information and may be subject to disciplinary action.

3.4(8) Denial of renewal application. If the board, upon receipt of a timely, complete and sufficient application to renew a certificate of licensure, accompanied by the proper fee, denies the application, the executive secretary shall send written notice to the applicant by restricted, certified mail,return receipt requested, identifying the basis for denial. Grounds may exist to deny an application to renew a license if, for instance, the licensee has failed to satisfy the continuing education required as a condition for licensure. If the basis for the denial is a pending disciplinary action or a disciplinary investigation which is reasonably expected to culminate in a formal disciplinary action, the board shall utilize the procedures applicable to disciplinary actions, including the initiation of a contested case. If the basis for denial is not related to a pending or imminent disciplinary action, the applicant may contest the board’s decision as provided in 193— 7.40(546,272C).

3.4(9) Continuing education requirement. A licensee who does not satisfy the continuing education requirements for licensure renewal will be denied renewal of licensure in accordance with subrule 3.4(8).

3.4(10) Consent order option. When a licensee appears to be in violation of mandatory continuing education requirements of 193C IAC 7, the board may, in lieu of proceeding to a contested case hearing on the denial of renewal as provided in uniform division rule 193 IAC 7.40(546, 272C), offer the licensee the opportunity to sign a consent order. While the terms of a consent order will be tailored to the specific circumstances at issue, the consent order will typically impose a penalty between $50 and $250, depending on the severity of the violation, and establish deadlines for compliance, and the consent order may impose additional educational requirements upon the licensee. A licensee is free to accept or reject the offer. If accepted, the licensee will be issued a renewed certificate of licensure and, if the terms of the consent order are not complied with, will be subject to disciplinary action. If the offer of settlement is rejected, the matter will be set for hearing, if timely requested by the applicant pursuant to uniform division rule 193 IAC 7.40(546,272C).

3.4(11) Inactive status. Licensees who are not engaged in engineering or land surveying practices that require licensure in Iowa may be granted inactive status. No inactive licensee may practice in Iowa unless otherwise exempted in Iowa Code chapter 542B.

3.5(1) To reinstate a license that has lapsed for one year or more, the applicant for reinstatement must pay the fee required by 193C IAC 2.1(542B) and must satisfy one of the following requirements:

a. Provide documentation of 45 professional development hours achieved within the current and previous biennium (dual licensees must provide documentation of 30 professional development hours for each profession); or

b. Successfully complete the principles and practice examination within one year immediately prior to application for reinstatement.

3.5(2) To reinstate a license that has lapsed for less than one year, the applicant for reinstatement must pay the fee required by 193C IAC 2.1(542B) and must satisfy one of the following requirements:

a. Provide documentation of 30 professional development hours achieved within the current and previous biennium (dual licensees must provide documentation of 20 professional development hours for each profession); or

b. Successfully complete the principles and practice examination within one year immediately prior to application for reinstatement.

3.5(3) Lapsed licensees may not reinstate to inactive status.

3.5(4) To reinstate from inactive status to active status, the applicant for reinstatement must pay the fee required by 193C IAC 2.1(542B) and must provide documentation of 45 professional development hours achieved within the current and previous biennium (dual licensees must provide documentation of 30 professional development hours for each profession).

These rules are intended to implement Iowa Codesections 542B.2, 542B.6, 542B.13, 542B.14, 542B.15, 542B.20, 542B.30, 272C.2 and 272C.3.

CHAPTER 4
ENGINEERING LICENSURE

193C—4.1(542B) Requirements for licensure by examination. The specific requirements for initial licensing in Iowa are established in Iowa Code section 542B.14, and it is the board’s intention to issue initial licensure only when those requirements are satisfied chronologically as set forth in the statute.

4.1(1) First, the applicant for initial licensure in Iowa must satisfy the education requirements as follows:

a. Graduation from an engineering program of four years or more.

(1) If an applicant did not graduate from an Accreditation Board of Engineering and Technology/ Engineering Accreditation Commission (ABET/EAC) or Canadian Engineering Accreditation Board (CEAB) approved curriculum, the applicant must also complete, in addition to the engineering degree, a year of practical experience satisfactory to the board after receiving the engineering degree and prior to taking the Fundamentals of Engineering examination.

(2) An engineering technology curriculum does not constitute an engineering program of four years or more.

b. If an applicant obtained an associate of science degree or a more advanced degree between July 1, 1983, and June 30, 1988, the board shall only require satisfactory completion of a minimum of two years of postsecondary study in mathematics, physical sciences, engineering technology, or engineering at an institution approved by the board and six years of practical experience which, in the opinion of the board, is of satisfactory character to properly prepare the applicant for the Fundamentals of Engineering examination. (Applicants qualifying under this subrule must successfully complete the Fundamentals of Engineering examination by June 30, 2001.)

4.1(2) Second, the applicant must successfully complete the Fundamentals of Engineering examination.

a. An applicant may take the Fundamentals of Engineering examination anytime after the educational requirements as specified above are completed, but the applicant must successfully complete the Fundamentals of Engineering examination prior to taking the Principles and Practice of Engineering examination.

b. College seniors studying an ABET/EAC or CEAB approved curriculum may take the Fundamentals of Engineering examination during the final academic year. Applicants will be permitted to take the examination during the testing period which most closely precedes anticipated grad– uation. However, an official transcript from the applicant’s college or university verifying that the applicant graduated must be sent by the registrar to the board office before an applicant’s examination results will be released.

c. An applicant who graduated from a satisfactory engineering program and has 25 years or more of work experience satisfactory to the board shall not be required to take the Fundamentals of Engineering examination.

d. An applicant who has earned a Doctor of Philosophy degree from an institution in the United States of America with an accredited Bachelor of Science engineering degree program in the same discipline, or a similar doctoral degree in a discipline approved by the board, shall not be required to take the Fundamentals of Engineering examination.

4.1(3) Third, the applicant must successfully complete the Principles and Practice of Engineering examination.

a. To qualify to take this examination, the applicant must present a record of four years or more of practical experience in engineering work which is of a character satisfactory to the board. This experience must have been obtained after the receipt of the qualifying education and prior to the application due date for the examination.

b. An applicant for the Principles and Practice of Engineering examination shall have a minimum of one year of practical experience in the United States of America or a territory under its jurisdiction.

4.1(4) Work project description. An applicant for initial licensure as a professional engineer must include with the application a statement of approximately 200 words describing a significant project on which the applicant worked closely during the previous 12 months. The statement shall describe the applicant’s degree of responsibility for the project and shall identify the project’s owner and its location. The statement shall be signed and dated. Criteria the board shall use in evaluating the acceptability of the project as qualifying experience for the applicant shall include, but not be limited to, the following:

a. The degree to which the project and the experience described have progressed from assignments typical of initial assignments to those more nearly expected of a licensed professional;

b. The scope and quality of the professional tutelage experienced by the applicant;

c. The technical decisions required of the applicant in the project; and

d. The professional decisions required of the applicant.

The board reserves the right to contact the employer and the person providing tutelage on the project for information about the project experience presented to the applicant.

4.1(5) References. References are required for any applicant that must meet an experience requirement prior to taking an examination.

a. An applicant for the Principles and Practice of Engineering examination shall submit five references on forms provided by the board.

(1) At least three of the five references shall be from licensed professional engineers.

(2) If the applicant has had more than one supervisor, at least two of the references shall be from a supervisor of the applicant.

(3) If an applicant has had professional experience under more than one employer, the applicant shall provide references from individuals with knowledge of the work performed under a minimum of two employers.

(4) The board reserves the right to contact employers for information about the applicant’s professional experience and competence or to request additional references.

b. An applicant for the Fundamentals of Engineering examination whose engineering degree is not from an ABET/EAC or CEAB accredited engineering program, must provide a reference from a supervisor on a form provided by the board.

4.1(6) Education and experience requirements. The board will require the minimum number of years set forth on the following chart before an applicant will be permitted to take either the Fundamentals of Engineering or the Principles and Practice of Engineering examination. Column 1 indicates the years of practical experience required prior to the Fundamentals of Engineering examination in addition to the completion of the required educational level. To determine the total years of practical experience required prior to taking the Principles and Practice of Engineering examination, column 2 is added to column 1.

*For purposes of this subrule, an applicant’s master’s degree in engineering must be from an institution in the United States of America with an accredited bachelor’s degree in the same curriculum, and the master’s degree candidate must be required to fulfill the requirements for the bachelor’s degree in the same area of specialization.

4.1(7) Practical experience requirements. Practical engineering experience is required prior to licensing. The purpose of this requirement is to ensure that the applicant has acquired the professional judgment, capacity and competence to design engineering works, structures, and systems. The following criteria will be considered by the board in determining whether an applicant’s experience satisfies the statutory requirements.

a. Quality. Experience shall be of such quality as to demonstrate that the applicant has developed technical skill and initiative in the correct application of engineering principles. Such experience should demonstrate the capacity to review the applications of these principles by others and to assume responsibility for engineering work of professional character. To be readily acceptable, an applicant’s experience shall be under the tutelage of a professional engineer. However, an applicant who is an engineer intern and whose tutelage or portion of tutelage has not been under a licensed professional engineer must submit a cover letter to the board requesting consideration of such experience along with the application. The applicant shall also submit a letter of reference from the applicant’s supervisor(s). The letter of reference shall assess the applicant’s performance, development, integrity, and ability to assume responsible charge and shall contain a description of the supervisor’s background in education and experience and the nature of the tutelage provided to the applicant. The board may require the applicant to submit additional letters of reference or other evidence of suitable tutelage. The board may require an oral interview with the applicant or other evidence to verify the applicant’s knowledge and experience in the principles and practice of engineering. The board may conduct interviews with persons providing tutelage to the applicant.

b. Scope. Experience shall be of sufficient breadth and scope to ensure that the applicant has attained reasonably well–rounded professional competence in a basic engineering field, rather than highly specialized skill in a very narrow and limited field.

c. Progression. The record of experience shall indicate successive and continued progress from initial work of simpler character to recent work of greater complexity and a higher degree of responsibility, as well as continued interest and effort on the part of the applicant toward further professional development and advancement.

d. Special work experience. Work experience prior to graduation from college may be accepted toward satisfaction of professional experience requirements only as follows: Cooperative work programs administered by engineering colleges and verified on the transcript and internships with a verifying reference from the internship supervisor will be considered as half–time credit, with a maximum allowance of 6 months (12 months of cooperative work experience or internship) applicable toward the satisfaction of professional experience requirements. An applicant’s advanced education, military experience, or both, will be reviewed in order to determine if they are applicable toward the statutory requirements for experience.

e. Advanced education. An applicant who has earned a Master of Science degree that includes research experience, in addition to writing an associated thesis, from an institution in the United States of America with an accredited Bachelor of Science engineering degree program in the same discipline and has fulfilled the requirements for a Bachelor of Science degree may be granted a maximum of one–half year’s experience credit. An applicant who has earned a Doctor of Philosophy degree from an institution in the United States of America with an accredited Bachelor of Science engineering degree program in the same discipline may be granted a maximum of one year’s experience credit in addition to the one–half year for the master’s degree.

f. Teaching experience. Teaching of engineering subjects at the level of assistant professor or higher in an accredited engineering program may be considered as experience, provided the applicant’s immediate supervisor is a licensed professional engineer in the jurisdiction in which the college or university is located. If the applicant’s immediate supervisor is not a licensed professional engineer, a program of mentoring or peer review by a licensed professional engineer acceptable to the board must be demonstrated. Applicants using teaching or research as experience must have a minimum of four years of acceptable experience in research, industry, or consulting. The board shall consider the complexity of the project(s) presented, the degree of responsibility of the applicant within the project, and other factors the board deems relevant. Academic experience must demonstrate increasing levels of responsibility for the conduct and management of projects involving engineering research, development or application. The board reserves the right to contact employers for information about the applicant’s professional experience and competence.

g. Joint applications. Applicants requesting licensure both as a professional engineer and a land surveyor must submit a history of professional experience in both fields. Such histories will be considered separately on a case–by–case basis. The board does not grant full credit for concurrent experience in both professions.

4.1(8) Required examinations. All examinations are uniform examinations prepared and graded by the National Council of Examiners for Engineering and Surveying (NCEES). The board may negotiate an agreement with an examination service to administer the examinations to applicants approved by the board, in which case applicants shall pay examination fees directly to the service.

a. Fundamentals of Engineering examination (fundamentals examination). The Fundamentals of Engineering examination is a written, eight–hour examination covering general engineering principles and other subjects commonly taught in accredited engineering programs.

b. Principles and Practice of Engineering examination (professional examination). The Principles and Practice of Engineering examination is a written, eight–hour examination designed to determine proficiency and qualification to engage in the practice of professional engineering only in a specific branch. A separate examination shall be required for each branch in which licensure is granted.

c. Passing scores. The board reviews test results for each examination and determines what level shall constitute a minimum passing score for that examination. In making its determination, the board generally is guided by the passing score recommended by the NCEES. The board fixes the passing score for each examination at a level which it concludes is a reasonable indication of minimally acceptable professional competence.

d. Reexamination. An applicant who fails an examination may request reexamination at the next examination period without reapplication to the board. If the applicant intends to retake the examination, the applicant must notify the examination service selected by the board to administer the examinations prior to the application due date for the examination.

e. Failure to appear. An applicant who fails to appear for an examination may sit for the examination the next time it is offered without reapplication provided the application will not be more than one year old at the time of the application due date for the examination and the applicant notifies the examination service selected by the board to administer the examinations prior to the application due date for the examination.

f. Materials permitted in examination room. For security reasons, applicants shall comply with requirements regarding materials permitted in the examination room as issued by the National Council of Examiners for Engineering and Surveying and provided to exam candidates prior to the examination.

193C—4.2(542B) Requirements for licensure by comity. A person holding a certificate of licensure to engage in the practice of engineering issued by a proper authority of a jurisdiction or possession of the United States, the District of Columbia, or any foreign country, based on requirements that do not conflict with the provisions of Iowa Code section 542B.14 and of a standard not lower than that specified in the applicable licensure Act in effect in this jurisdiction at the time such certificate was issued may, upon application, be licensed without further examination. When determining whether the licensing standards satisfied by a comity applicant at the time of foreign licensure are equal or superior to those required in Iowa, the board considers each of the four licensing prerequisites in Iowa Code section 542B.14(1) individually. The licensing standards satisfied by the comity applicant must accordingly have been equal or superior to those required in Iowa for education, fundamentals examination, experience, and professional examination. Unless expressly stated in this chapter, the board will not consider an applicant’s superior satisfaction of one licensing prerequisite, such as a higher level of education than is required in Iowa, as resolving an applicant’s lack of compliance with another prerequisite, such as professional examination. Comity applicants are governed by the same standards as are required of Iowa applicants.

4.2(1) References. An applicant for licensure by comity shall submit three references on forms provided by the board, at least two of which shall be from licensed professional engineers. The board reserves the right to contact employers for information about the applicant’s professional experience and competence.

4.2(2) Basis for evaluation of applications. Applications for licensure by comity will be evaluated on the following basis:

a. The applicant’s record of education, references, practical experience, and successful completion of approved examinations will be reviewed to determine if it currently satisfies the substantive requirements of Iowa Code section 542B.14. In reviewing the education, references, and practical experience of comity applicants, the board will use the same criteria used by the board to determine the eligibility of a candidate for the Principles and Practice of Engineering examination; or

b. The applicant’s licensure in a jurisdiction other than Iowa will be reviewed to determine if it was granted only after satisfaction of requirements equal to or more stringent than those that were required by Iowa Code section 542B.14 at the time the applicant was licensed in the other jurisdiction.

4.2(3) Evaluation of comity application process.

a. First, the applicant for licensure by comity from a jurisdiction other than Iowa must have satisfied the education requirements set forth in Iowa Code section 542B.14 that were in effect at the time that the applicant was licensed initially. In addition, if the applicant did not graduate from an Accreditation Board of Engineering and Technology (ABET)/ Engineering Accreditation Commission (EAC) or Canadian Engineering Accreditation Board (CEAB) approved curriculum, the applicant must have completed a year of practical experience satisfactory to the board prior to taking the Fundamentals of Engineering examination.

b. Second, the applicant must have successfully completed the Fundamentals of Engineering examination.

(1) The applicant may take the Fundamentals of Engineering examination anytime after the practical experience or educational requirements are completed, but the applicant must successfully complete the Fundamentals of Engineering examination prior to taking the Principles and Practice of Engineering examination.

(2) An applicant who graduated from a satisfactory engineering program and who has 25 years or more of work experience satisfactory to the board shall not be required to take the Fundamentals of Engineering examination.

(3) An applicant who has earned a Doctor of Philosophy degree from an institution in the United States of America with an accredited Bachelor of Science engineering degree program in the same discipline, or a similar doctoral degree in a discipline approved by the board, shall not be required to take the Fundamentals of Engineering examination.

c. Third, the applicant must have successfully completed the Principles and Practice of Engineering examination. Prior to taking this examination, the applicant should have had a record of four years or more of practical experience in engineering work which is of a character satisfactory to the board. This experience must have been obtained after the receipt of the appropriate education and prior to taking the Principles and Practice of Engineering examination.

d. While the board will consider evidence presented by a comity applicant on non–NCEES examinations successfully completed in a foreign country, the non–NCEES examination will be compared with the appropriate NCEES examination. A non–NCEES professional examination, for instance, must be designed to determine whether a candidate is minimally competent to practice professional engineering in a specific branch of engineering, such as civil, structural, electrical, or mechanical engineering. The examination must be written, objectively graded, verifiable, and developed and validated in accordance with the testing standards of the American Psychological Association or equivalent testing standards. Free–form essays and oral interviews, while valuable for certain purposes, are not equal or superior to NCEES examinations for reasons including the subjective nature of such procedures, lack of verifiable grading standards, and heightened risk of inconsistent treatment.

4.2(4) Comity licensure for applicants who completed the professional examination before completing the experience requirement.

a. Purpose. Licensure requirements for professional engineers are generally consistent across jurisdictions, but occasionally the board receives an application for comity licensure from an applicant who was allowed to complete the professional engineering examination before completing the practical engineering experience required of Iowa applicants. This subrule is intended to provide a mechanism for comity applicants faced with this situation to become licensed in Iowa without retaking the professional examination.

b. Licensure conditions. If an applicant for comity licensure as a professional engineer satisfies all four of the licensing requirements set forth in Iowa Code section 542B.14(1) (i.e., education, fundamentals examination, four or more years of practical engineering experience of a character satisfactory to the board, and professional examination) at the time of application, but the applicant was permitted by the jurisdiction of initial licensure to complete the professional examination with a shortfall of the practical experience required of professional examination candidates in Iowa, the board may approve the applicant for comity licensure without further written examination pursuant to Iowa Code section 542B.20, if the applicant has had, since initial licensure, additional practical engineering experience of a character satisfactory to the board of at least twice the shortfall. Under no circumstances will the amount of additional experience required be less than six months.

4.2(5) Education and experience requirements. The board will employ the following charts to determine if the applicant’s licensure in a jurisdiction other than Iowa was granted after satisfaction of requirements equal to or more stringent than those which were required by Iowa Code section 542B.14 at the time of the applicant’s original licensure. Column 1 indicates the years of practical experience that were required prior to the Fundamentals of Engineering examination in addition to the completion of the required educational level. To determine the total years of practical experience that were required prior to taking the Principles and Practice of Engineering examination, column 2 is added to column 1.

*For purposes of this subrule, an applicant’s master’s degree in engineering must be from an institution in the United States of America with an accredited bachelor’s degree in the same curriculum, and the master’s degree candidate must be required to fulfill the requirements for the bachelor’s degree in the same area of specialization.

These rules are intended to implement Iowa Code sections 542B.2, 542B.13, 542B.14, 542B.15 and 542B.20.

CHAPTER 5
LAND SURVEYING LICENSURE

193C—5.1(542B) Requirements for licensure by examination. The specific requirements for initial licensing in Iowa are established in Iowa Code section 542B.14, and it is the board’s intention to issue initial licensure only when those requirements are satisfied chronologically as set forth in the statute.

5.1(1) First, the applicant for initial licensure in Iowa must satisfy the education plus experience requirements as follows: Graduation from a course of two years or more in mathematics, physical sciences, mapping and surveying, or engineering in a school or college and six years of practical experience, all of which, in the opinion of the board, will properly prepare the applicant for the examination in fundamental land surveying subjects.

5.1(2) Second, the applicant must successfully complete the Fundamentals of Land Surveying examination.

a. The applicant may take the Fundamentals of Land Surveying examination anytime after the education and experience requirements described above are completed, but the applicant must successfully complete the Fundamentals of Land Surveying examination prior to taking the Principles and Practice of Land Surveying examination.

b. College seniors studying an Accreditation Board of Engineering and Technology (ABET) or Canadian Engineering Accreditation Board (CEAB) approved curriculum may take the Fundamentals of Land Surveying examination during the final academic year; applicants will be permitted to take the examination during the testing period which most closely precedes anticipated graduation. However, an official transcript from the applicant’s college or university verifying that the applicant graduated must be sent by the registrar to the board office before an applicant’s examination results will be released.

5.1(3) Third, the applicant must successfully complete the Principles and Practice of Land Surveying examination.

a. To qualify to take this examination, the applicant must present a record of four years or more of practical experience in land surveying work which is of a character satisfactory to the board. This experience must have been obtained after the receipt of the qualifying education and prior to the application due date for the examination. This practical experience is in addition to the initial experience required prior to taking the Fundamentals of Land Surveying examination.

b. An applicant for the Principles and Practices of Land Surveying examination shall have a minimum of one year of practical experience in the United States of America or a territory under its jurisdiction.

5.1(4) Work project description. An applicant for initial licensure as a professional land surveyor must include with the application a statement of approximately 200 words describing a significant project on which the applicant worked closely during the last 12 months. The statement shall describe the applicant’s degree of responsibility for the project and shall identify the project’s owner and its location. The statement shall be signed and dated. Criteria the board shall use in evaluating the acceptability of the project as qualifying experience for the applicant shall include, but not be limited to, the following:

a. The degree to which the project and the experience described has progressed from assignments typical of initial assignments to those more nearly expected of a licensed professional;

b. The scope and quality of the professional tutelage experienced by the applicant;

c. The technical decisions required of the applicant in the project; and

d. The professional decisions required of the applicant.

The board reserves the right to contact the employer and the person providing tutelage on the project for information about the project experience presented to the applicant.

5.1(5) References. References are required for any applicant that must meet an experience requirement prior to taking an examination.

a. An applicant for the Principles and Practice of Land Surveying examination shall submit five references on forms provided by the board.

(1) At least three of the five references shall be from licensed professional land surveyors.

(2) If the applicant has had more than one supervisor, at least two of the references shall be from a supervisor of the applicant.

(3) If an applicant has had professional experience under more than one employer, the applicant shall provide references from individuals with knowledge of the work performed under a minimum of two employers.

(4) The board reserves the right to contact employers for information about the applicant’s professional experience and competence or to request additional references.

b. An applicant for the Fundamentals of Land Surveying examination must provide three references on forms provided by the board except that: (1) individuals applying with an ABET/EAC or CEAB accredited engineering or surveying and mapping degree with at least six semester hours of surveying or mapping do not have an experience requirement and, therefore, do not need to provide references; and (2) individuals applying with a non–ABET/EAC four–year surveying and mapping degree must submit only one reference.

5.1(6) Education and experience requirements. The board will require the minimum number of years set forth on the following chart before an applicant will be permitted to take either the Fundamentals of Land Surveying or the Principles and Practice of Land Surveying examination. Column 1 indicates the years of practical experience required prior to the Fundamentals of Land Surveying examination in addition to the completion of the required educational level. To determine the total years of practical experience required prior to taking the Principles and Practice of Land Surveying examination, column 2 is added to column 1.

5.1(7) Practical experience requirements. Practical land surveying experience is required prior to licensing. The purpose of this requirement is to ensure that the applicant has acquired the professional judgment, capacity and competence to determine land boundaries. The following criteria will be considered by the board in determining whether an applicant’s experience satisfies the statutory requirements.

a. Quality. Experience shall be of such quality as to demonstrate that the applicant has developed technical skill and initiative in the correct application of surveying principles. Such experience should demonstrate the capacity to review the applications of these principles by others and to assume responsibility for surveying work of a professional character. Up to three years of practical experience obtained after high school graduation and prior to satisfying the education requirement, if under the tutelage of a professional land surveyor, may be accepted toward the additional experience requirement for qualification to take the Fundamentals of Land Surveying examination. A minimum of four years of an applicant’s experience after satisfying the education requirement shall be under the tutelage of a professional land surveyor.

b. Scope. Experience shall be of sufficient breadth and scope to ensure that the applicant has attained reasonably well–rounded professional competence in land surveying.

c. Progression. The record of experience shall indicate successive and continued progress from initial work of simpler character to recent work of greater complexity and higher degree of responsibility, as well as continued interest and effort on the part of the applicant toward further professional development and advancement.

d. Advanced education and military experience. An applicant’s advanced education, military experience, or both will be reviewed in order to determine if they are applicable toward the statutory requirements for experience.

e. Joint applications. Applicants requesting licensure both as professional engineers and land surveyors must submit a history of professional experience in both fields. Such histories will be considered separately on a case–by–case basis. The board does not grant full credit for concurrent experience in both professions.

5.1(8) Required examinations. The board prepares and grades the Iowa State Specific Land Surveying examination administered to professional land surveyor candidates. All other examinations are uniform examinations prepared and graded by the National Council of Examiners for Engineering and Surveying (NCEES). The board may negotiate an agreement with an examination service to administer the examinations to applicants approved by the board, in which case applicants shall pay examination fees directly to the service.

a. Fundamentals examination. The Fundamentals of Land Surveying examination is a written, eight–hour examination covering general surveying principles.

b. Interview. One or more of the land surveyor members of the board must conduct an interview with each applicant for the professional land surveying examination prior to the examination. This interview is to verify the applicant’s knowledge and experience in the principles and practice of land surveying in Iowa. The applicant is required to bring to the oral interview samples of the applicant’s work which include surveying plats, subdivision plats, acquisition plats, corner certificates, and related field notes. The applicant is expected to have knowledge in the following: conduct of original surveys, restoration of obliterated corners, reestablishing of lost corners, retracement work and how to use evidence in restoration of obliterated land lines as well as corners, laws governing riparian rights, accretions, adverse possession, acquiescence, and Iowa laws regarding minimum standards for surveying, platting and corner certification. An applicant will not be permitted to write the examination without successfully verifying experience through the interview process.

c. Professional land surveying examinations. The Principles and Practice of Land Surveying examination consists of two examinations. The first is a six–hour examination designed to determine general proficiency and qualification to engage in the practice of land surveying. The second part is a two–hour Iowa State Specific closed–book examination that is designed to determine an applicant’s proficiency and qualification to practice land surveying specifically in Iowa. Each of the two examinations shall be scored separately.

d. Passing scores. The board reviews test results for each examination and determines what level shall constitute a minimum passing score for that examination. In making its determination, the board generally is guided by the passing score recommended by the NCEES. The board fixes the passing score for each examination at a level which it concludes is a reasonable indication of minimally acceptable professional competence.

e. Reexamination. An applicant who fails an examination may request reexamination at the next examination period without reapplication.

(1) If the applicant intends to retake the examination, the applicant must notify the examination service selected by the board to administer the examinations prior to the application due date for the examination.

(2) Applicants failing one or both parts of the professional land surveying examination will be required to retake only the failed portions. An applicant successful in passing one portion of the land surveying examination need not be reexamined for that portion regardless of how much time elapses between the successfully passed portion and any future appearance to retake the failed portion of the examination. A satisfactory score must be obtained on each portion of the examination before the board will grant licensure as a land surveyor.

(3) An applicant for licensure as a land surveyor in Iowa (by comity or examination) that needs to be examined only for the state–specific portion of the professional land surveying examination may take the examination at the board office by appointment in accordance with all other requirements.

f. Failure to appear. An applicant who fails to appear for an examination may sit for the examination the next time it is offered without reapplication provided the application will not be more than one year old at the time of the application due date for the examination and the applicant notifies the board office prior to the application due date for the examination.

g. Materials permitted in examination room. For security reasons, applicants shall comply with certain requirements regarding materials permitted in the examination room as issued by the National Council of Examiners for Engineering and Surveying and provided to exam candidates prior to the examination.

193C—5.2(542B) Requirements for licensure by comity. A person holding a certificate of licensure to engage in the practice of land surveying issued by a proper authority of a jurisdiction or possession of the United States, the District of Columbia, or any foreign country, based on requirements that do not conflict with the provisions of Iowa Code section 542B.14 and of a standard not lower than that specified in the applicable licensure Act in effect in this jurisdiction at the time such certificate was issued may, upon application and successful completion of the Iowa State Specific Land Surveying examination, be licensed without further examination. When determining whether the licensing standards satisfied by a comity applicant at time of foreign licensure are equal or superior to those required in Iowa, the board considers each of the four licensing prerequisites in Iowa Code section 542B.14(1) individually. The licensing standards satisfied by the comity applicant must accordingly have been equal or superior to those required in Iowa for education, fundamentals examination, experience, and professional examination. Unless expressly stated in this chapter, the board will not consider an applicant’s superior satisfaction of one licensing prerequisite, such as a higher level of education than is required in Iowa, as resolving an applicant’s lack of compliance with another prerequisite, such as professional examination. Comity applicants are governed by the same standards as are required of Iowa applicants.

5.2(1) References. An applicant for licensure by comity shall submit three references on forms provided by the board, at least two of which shall be from licensed professional land surveyors. The board reserves the right to contact employers for information about the applicant’s professional experience and competence.

5.2(2) Basis for evaluation of applications. Applications for licensure by comity will be evaluated on the following basis:

a. The applicant’s record of education, references, practical experience, and successful completion of approved examinations will be reviewed to determine if it currently satisfies the substantive requirements of Iowa Code section 542B.14. In reviewing the education, references, and practical experience of comity applicants, the board will use the same criteria used by the board to determine the eligibility of a candidate for the Principles and Practice of Land Surveying examination; or

b. The applicant’s licensure in a jurisdiction other than Iowa will be reviewed to determine if it was granted only after satisfaction of requirements equal to or more stringent than those that were required by Iowa Code section 542B.14 at the time the applicant was licensed in the other jurisdiction.

5.2(3) Evaluation of comity application process.

a. First, the applicant for licensure by comity from a jurisdiction other than Iowa must have satisfied the education and experience requirements as set forth in Iowa Code section 542B.14 that were in effect at the time that the applicant was licensed initially.

b. Second, the applicant must have successfully completed the Fundamentals of Land Surveying examination. The applicant may take the Fundamentals of Land Surveying examination anytime after the practical experience and educational requirements are completed, but the applicant must successfully complete the Fundamentals of Land Surveying examination prior to taking the Principles and Practice of Land Surveying examination.

c. Third, the applicant must have successfully completed the Principles and Practice of Land Surveying examination. Prior to taking this examination, the applicant shall have had a record of four years or more of practical experience in land surveying which is of a character satisfactory to the board.

d. While the board will consider evidence presented by a comity applicant on non–NCEES examinations successfully completed in a foreign country, the non–NCEES examination will be compared with the appropriate NCEES examination. A non–NCEES professional examination, for instance, must be designed to determine whether a candidate is minimally competent to practice professional land surveying. The examination must be written, objectively graded, verifiable, and developed and validated in accordance with the testing standards of the American Psychological Association or equivalent testing standards. Free–form essays and oral interviews, while valuable for certain purposes, are not equal or superior to NCEES examinations for reasons including the subjective nature of such procedures, lack of verifiable grading standards, and heightened risk of inconsistent treatment.

5.2(4) Education and experience requirements. The board will employ the following chart to determine if the applicant’s licensure in a jurisdiction other than Iowa was granted after satisfaction of requirements equal to or more stringent than those that were required by Iowa Code section 542B.14 at the time the applicant was licensed in the other jurisdiction. Column 1 indicates the years of practical experience that were required prior to the Fundamentals of Land Surveying examination in addition to the completion of the required educational level. To determine the total years of practical experience that were required prior to taking the Principles and Practice of Land Surveying examination, column 2 is added to column 1.

These rules are intended to implement Iowa Code sections 542B.2, 542B.13, 542B.14, 542B.15 and 542B.20.

CHAPTER 6
SEAL AND CERTIFICATE OF RESPONSIBILITY

6.1(1) Each licensee shall procure a seal with which to identify all engineering and land surveying documents issued by the licensee for use in Iowa as provided in Iowa Code section 542B.16.

6.1(2) Description of seal. The seal shall include the name of the licensee and the words “Professional Engineer” or “Land Surveyor” or “Professional Engineer and Land Surveyor.” The Iowa license number and the word “Iowa” shall be included. The seal shall substantially conform to the samples shown below:

6.1(3) A legible rubber stamp or other facsimile of the seal may be used.

6.1(4) Each engineering or land surveying document submitted to a client or any public agency, hereinafter referred to as the official copy (or official copies), shall contain an information block on the first page or attached cover sheet for application of a seal by the licensee in responsible charge and an information block for application of a seal by each professional consultant contributing to the submission. In lieu of each contributing professional consultant providing an information block on the front page or attached cover sheet for application of a seal, a table shall be provided that identifies the contributing professionals and where their respective information blocks can be found within the document. The seal and original signature shall be applied only to a final submission. Each official copy of a submission shall be stapled, bound or otherwise attached together so as to clearly establish the complete extent of the submission. Each certification block shall display the seal of the licensee and shall designate the portion of the submission for which that licen–see is responsible, so that responsibility for the entire submission is clearly established by the combination of the stated seal responsibilities. Any nonfinal submission of an engineering or land surveying document to a client or public agency shall be clearly labeled “preliminary” or “draft.”

The engineering certification shall conform to the wording in the sample shown below:

The land surveying certification block shall conform to the sample shown below. For maps or acquisition plats prepared from public records or previous measurements by others, the following land surveying certification block may be modified by removing the phrase “and the related survey work was performed.”

6.1(5) The information requested in each certification block must be typed or legibly printed in permanent ink except for the signature and date of signature, which shall be an original signature and handwritten date in contrasting ink color on each official copy. The seal implies responsibility for the entire submission unless the area of responsibility is clearly identified in the information accompanying the seal.

6.1(6) It shall be the responsibility of the licensee to forward copies of all revisions to the submission, which shall become a part of the official copy of the submission. Such revisions shall be identified as applicable on a certification block or blocks with professional seals applied so as to clearly establish professional responsibility for the revisions.

6.1(7) The licensee is responsible for the custody and proper use of the seal. Improper use of the seal shall be grounds for disciplinary action.

6.1(8) Computer–generated seals may be used on final original documents.

This rule is intended to implement Iowa Code sections 542B.13, 542B.15, 542B.20 and 542B.30.

CHAPTER 7
PROFESSIONAL DEVELOPMENT

193C—7.1(542B,272C) General statement. Each licensee is required to meet the continuing education requirements of this chapter for professional development as a condition of licensure renewal.

193C—7.2(542B,272C) Definitions. As used in these rules, the following definitions apply:

“College or unit semester or quarter hour” means the unit of credit given for advanced technical and graduate courses from universities with programs accredited by the Engineering Accreditation Commission of the Accreditation Board for Engineering and Technology, Inc. or other related college course qualified in accordance with this chapter.

“Continuing education” means education obtained by a licensee in order to maintain, improve, or expand skills and knowledge obtained prior to initial licensure or to develop new and relevant skills and knowledge.

“Continuing education unit (CEU)” means the unit of credit customarily granted for continuing education courses. One continuing education unit is given for ten hours of class in an approved continuing education course.

“Course or activity” means any qualifying course or activity with a clear purpose and objective which will maintain, improve, or expand the skills and knowledge relevant to the licensee’s field of practice.

“Professional development hour (PDH)” means a contact hour of instruction or presentation and is the common denominator for other units of credit.

7.3(1) PDH conversion. The following chart illustrates the conversion from other units to PDH:

7.3(2) Determination of credit. The board has final authority with respect to approval of courses, credit, PDH value for courses, and other methods of earning credit.

193C—7.4(542B,272C) Professional development guidelines. Continuing education activities that satisfy the professional development criteria are those that relate to engineering or land surveying practice or management. It is recognized that an engineer’s specialized skills must have as their foundation a fundamental knowledge of chemistry, physics, mathematics, graphics, computations, communication, and humanities and social sciences. However, continuing education in the fundamentals alone will not be sufficient to maintain, improve, or expand engineering skills and knowledge. For that reason, licensees will be limited in their use of fundamental courses in proportion to ABET criteria for accreditation of engineering curricula. Continuing education activities are classified as:

7.4(1) Group 1 activities. Group 1 activities are intended to maintain, improve, or expand skills and knowledge obtained prior to initial licensure. The following chart illustrates the maximum PDH allowable per renewal period for Group 1 activities:

7.4(2) Group 2 activities. Group 2 activities are intended to develop new and relevant skills and knowledge. Credit for participation in activities in the group is unlimited, subject to maximum carryover. Typical areas include postgraduate level engineering science or design, new technology, environmental regulation and courses in management of engineering or land surveying activity (regular work duties do not qualify).

7.4(3) Independent study. Independent study with no real time interaction between the provider and the licensee may be accepted by the board when:

a. A written evaluation process is completed by the independent study provider; and

b. A certificate of satisfactory completion is issued by the provider; and

c. Evaluation assessment is issued to the licensee by the provider; and

d. Documentation supporting such independent studies is maintained by the licensee and provided to the board as required by subrule 7.8(2).

A maximum of six professional development hours of independent study activity will be allowed per biennium per licensee.

7.4(4) Exclusions. Types of continuing education activities which will be excluded from allowable continuing education are those in which it is not evident that the activity relates directly to the licensee’s practice of professional engineering or land surveying or the management of the business concerns of the licensee’s practice, or which do not comply with the board’s administrative rules. Activities that do not qualify as continuing education are as follows:

• Regular employment;

• Toastmasters club meetings;

• Service club meetings or activities;

• Personal estate planning;

• Banquet speeches unrelated to engineering;

• Professional society business meeting portions of technical seminars;

• Financial planning/investment seminars;

• Foreign travel not related to engineering study abroad;

• Personal self–improvement courses;

• Real estate licensing courses;

• Stress management;

• Trade shows;

• Peer review;

• Accreditation review.

193C—7.5(542B,272C) Biennial requirement. The biennial requirement must be satisfied during the biennium prior to licensure renewal except for the carryover permitted.

7.5(1) The continuing education requirement for biennial licensure renewal is 30 professional development hours for an active licensee in engineering or land surveying. The number of professional development hours that may be carried forward into the next biennium shall not exceed 15.

7.5(2) Inactive licensees are exempt from the continuing education requirements.

7.5(3) Continuing education requirements for licensure in more than one engineering branch are the same as for licensure in a single branch of engineering.

7.5(4) The continuing education requirement for biennial licensure renewal for an individual who is active in both engineering and land surveying is 20 professional development hours in engineering and 20 professional development hours in land surveying. The number of professional development hours that may be carried forward into the next biennium shall not exceed 10 hours for each profession.

7.5(5) A licensee who is active in one profession and inactive in another shall meet the continuing education requirements for licensure in the profession in which active licensure is maintained.

7.5(6) A new licensee shall satisfy one–half the biennial continuing education requirement at the first renewal following initial licensure.

193C—7.6(542B,272C) Exemptions. The continuing edu– cation requirements may be reduced in proportion to the following:

1. Periods of time exceeding 120 consecutive days that the licensee serves honorably on active duty in the military services.

2. Periods of time that the licensee is licensed in another state or district having continuing education requirements for professional engineering or land surveying equal to or more stringent than the requirements of these rules and meets all requirements of that state or district for practice therein.

3. Periods of time exceeding 120 consecutive days that the licensee is an employee working as a professional engineer or land surveyor and assigned to duty outside the United States of America.

193C—7.7(542B,272C) Hardships or extenuating circumstances. The board may, in individual cases involving hardship or extenuating circumstances, grant waivers of the continuing education requirements for a period of time not to exceed one year. No waiver or extension of time shall be granted unless the licensee makes a written request to the board for such action.

193C—7.8(542B,272C) Reports, records, and audits. At the time of application for license renewal, each licensee shall report, on a form provided by the board, the number of professional development hours achieved during the preceding biennium.

7.8(1) Record keeping. Maintaining records to be used to support professional development hours claimed is the responsibility of the licensee. It is recommended that each licensee keep a log showing the type of activity claimed, sponsoring organization, location, duration, instructor’s or speaker’s name, and PDH credits earned.

7.8(2) Compliance review. The board may select licensees for review of compliance with continuing education requirements on a random basis or upon receiving information regarding noncompliance and shall review compliance with continuing education requirements for reinstatement of lapsed or inactive licenses. For each professional development hour claimed, licensees chosen for compliance review shall furnish:

a. Proof of attendance. Attendance verification records in the form of completion certificates, or other documents supporting evidence of attendance;

b. Verification of the hours claimed; and

c. Information about the course content.

7.8(3) Compliance review sanctions. Any discrepancy between the number of PDHs reported and the number of PDHs actually supported by documentation may result in a disciplinary review.

7.8(4) Out–of–state residents. A person licensed to practice engineering or land surveying in Iowa shall be deemed to have complied with the continuing education requirement of this state during the periods that the person is a resident of another state or district which has a continuing education requirement for engineers or land surveyors and the individual meets all requirements of that state or district for practice therein. However, if selected for compliance review, such individuals must provide documentation as specified in 7.8(2).

These rules are intended to implement Iowa Code sections 272C.2, 272C.3, 542B.6, and 542B.18.

CHAPTER 8
PROFESSIONAL CONDUCT OF LICENSEES

193C—8.1(542B) General statement. In order to establish and maintain a high standard of integrity, skills and practice in the professions of engineering and land surveying, and to safeguard the life, health, property and welfare of the public, the following code of professional conduct shall be binding upon every person holding a certificate of licensure as a professional engineer or land surveyor in this state. The code of professional conduct is an exercise of the police power vested in the board by the Acts of the legislature.

193C—8.2(542B) Code of professional conduct. All persons licensed under Iowa Code chapter 542B are charged with having knowledge of the existence of this code of professional conduct and shall be expected to be familiar with its provisions, to understand them, and abide by them. Such knowledge includes the understanding that the practices of engineering and land surveying are a privilege, as opposed to a right, and the licensee shall be forthright and candid in statements or written response to the board or its representatives on matters pertaining to professional conduct.

8.2(1) Responsibility to the public. Licensees shall conduct their professional practices in a manner that will protect life, health and property and enhance the public welfare. If their professional judgment is overruled under circumstances where safety, health and welfare of the public are endangered, they shall inform their employer or client of the possible consequences, notify such other proper authority as may be appropriate, and withdraw from further services on the project.

Licensees shall neither approve nor certify engineering or land surveying documents that may be harmful to the public health and welfare and that are not in conformity with accepted engineering or land surveying standards.

8.2(2) Competency for assignments. Licensees shall undertake to perform engineering or land surveying assignments only when qualified by education or experience in the specific technical field of professional engineering or land surveying involved. Licensees shall engage experts or advise that experts and specialists be engaged whenever the client or employer’s interests are best served by such service.

Licensees may accept an assignment on a project requiring education or experience outside their field of competence, but only to the extent that their services are restricted to those phases of the project in which they are qualified. All other phases of such projects shall be performed by qualified associates, consultants or employees.

8.2(3) Truth in reports and testimony. Licensees, when serving as expert or technical witnesses before any court, commission, or other tribunal, shall express an opinion only when it is founded upon adequate knowledge of the facts in issue, upon a background of technical competence in the subject matter, and upon honest conviction of the accuracy and propriety of their testimony. Under these circumstances, the licensee must disclose inadequate knowledge.

Licensees shall be objective and truthful in all professional reports, statements or testimony. All relevant and pertinent information shall be included in such reports, statements or testimony. Licensees shall avoid the use of statements containing a material misrepresentation of fact or omitting a material fact.

8.2(4) Conflict of interest. The following guidelines regarding conflict of interest shall apply:

a. Licensees shall not issue statements, criticisms or arguments on engineering or land surveying matters connected with public policy which are influenced or paid for by an interested party, or parties, unless they have prefaced their comments by explicitly identifying themselves, by disclosing the identities of the party or parties on whose behalf they are speaking, and by revealing the existence of any pecuniary interest.

b. Licensees shall avoid all known conflicts of interest with their employers or clients and, when unforeseen conflicts arise, shall promptly inform their employers or clients of any business association, interest, or circumstances that could influence judgment or the quality of services.

c. Licensees shall not accept compensation, financial or otherwise, from more than one party for services on the same project, unless the circumstances are fully disclosed and agreed to by all interested parties.

d. Licensees shall act in professional matters for each employer or client as faithful agents or trustees and maintain full confidentiality on all matters in which the welfare of the public is not endangered.

8.2(5) Ethics. Licensees shall conduct their business and professional practices of engineering and land surveying in an ethical manner. In addition to the provisions of this chapter, the board will consider, although not necessarily be bound by, the ethical standards that address public protection issues adopted by a recognized state or national engineering or land surveying organization such as the National Society of Professional Engineers and the National Society of Professional Surveyors.

8.2(6) Unethical or illegal conduct.

a. Business practices. The following guidelines regarding unethical or illegal business practices shall apply:

(1) Licensees shall not pay or offer to pay, either directly or indirectly, any commission, percentage, brokerage fee, political contribution, gift, or other consideration to secure work, except to a bona fide employee or bona fide, established commercial or marketing agency retained by them or to secure positions through employment agencies.

(2) Licensees, as employers, shall not engage in any discriminatory practice prohibited by law and shall, in the conduct of their business, employ personnel upon the basis of merit.

(3) Licensees shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties dealing with their clients or employers in connection with work for which they are responsible.

(4) Licensees shall not solicit or accept an engineering or land surveying contract from a governmental body when a principal or officer of their organization serves as a member.

(5) Licensees shall not associate with, or permit the use of their names or firms in a business venture by, any person or firm that they know, or have reason to believe, is engaging in business or professional practice of a fraudulent or dishonest nature.

(6) Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employers, employees, associates, firms, joint ventures, or past accomplishments.

b. Individual professional conduct. The following guidelines regarding illegal or unethical individual professional conduct shall apply:

(1) Licensees shall not use association with nonengineers, corporations or partnerships as “cloaks” for unethical acts.

(2) Licensees shall not violate any local, state or federal criminal law in the conduct of professional practice.

(3) Licensees shall not violate licensure laws of any state or territory.

(4) Licensees shall not affix their signatures or seals to any plans, plats or documents dealing with subject matter in which those licensees lack competence, nor to any plan, plat or document not prepared under their direct personal direction and control.

(5) Licensees shall not falsify their qualifications or permit misrepresentation of their or their associates’ qualifications. They shall not misrepresent or exaggerate their responsibility in or for the subject matter of prior assignments.

c. Real property inspection reports.

(1) Licensees shall not represent themselves as licensed land surveyors or professional engineers on real property inspection reports (i.e., mortgage surveys).

(2) Licensees shall not place their firm names, logos, or title blocks on real property inspection reports (i.e., mortgage surveys).

193C—8.3(542B) Reporting of acts or omissions. Licensees shall report acts or omissions by a licensee that constitute negligence or carelessness. For the purposes of these rules, negligence or carelessness means demonstrating unreasonable lack of skill in the performance of engineering or land surveying services by failure of a licensee to maintain a reasonable standard of care in the licensee’s practice of engineering or land surveying. In the evaluation of reported acts or omissions, the board shall determine if the engineer or land surveyor has applied learning, skill and ability in a manner consistent with the standards of the professions ordinarily possessed and practiced in the same profession at the same time. Standards referred to in the immediately preceding sentence shall include any minimum standards adopted by this board and any standards adopted by recognized national or state engineering or land surveying organizations.

1. Licensees shall answer all questions of a duly constituted investigative body of the state of Iowa concerning alleged violations by another person or firm.

2. When proven wrong, licensees shall admit and accept their own errors and shall not distort or alter the facts to justify their own decisions.

3. If licensees know or have reason to believe that another person or firm may be in violation of any Iowa law or rule regarding ethics or conduct of professional engineering or land surveying practice, those licensees shall present such information to the engineering and land surveying examining board in writing and shall cooperate with the board in furnishing further information or assistance required by the board.

4. Licensees shall not assist in the application of an individual they know is unqualified for licensure by reason of education, experience or character.

8.5(1) For purposes of these rules, “to offer” means to advertise in any medium, or to imply in writing or orally that owners or permanent employees of that firm are performing these services. Nothing in this rule is intended to prevent a firm from truthfully offering services as a project manager, administrator, or coordinator of a multidisciplinary project.

8.5(2) For purposes of these rules, the term “firm” includes corporations, professional corporations, registered limited liability partnerships, partnerships, limited liability companies, private practitioners employing others, persons or entities using fictitious or assumed names, or other business entities.

8.5(3) A firm shall not directly or by implication offer professional engineering services to the public unless it is owned or managed by, or regularly employs, one or more licensed professional engineers who directly control and personally supervise all professional engineering work performed by the firm.

8.5(4) A firm shall not directly or by implication offer land surveying services to the public unless it is owned or managed by, or regularly employs, one or more licensed land surveyors who directly control and personally supervise all land surveying work performed by the firm.

8.5(5) A firm shall not satisfy these requirements by hiring a licensed professional engineer or land surveyor on an as–needed, occasional, or consulting basis, whether an employee or independent contractor.

These rules are intended to implement Iowa Code sections 542B.6, 542B.21 and 542B.26 and chapter 272C.

CHAPTER 9
COMPLAINTS, INVESTIGATIONS AND DISCIPLINARY ACTION

9.1(1) Complaints. The board shall, upon receipt of a complaint in writing, or may, upon its own motion pursuant to other evidence received by the board, review and investigate alleged acts or omissions which reasonably constitute cause under applicable law or administrative rule for licensee discipline.

9.1(2) Form and content. A written complaint shall include the following facts:

a. The full name, address, and telephone number of complainant.

b. The full name, address, and telephone number of respondent.

c. A statement of the facts concerning the alleged acts or omissions.

d. Identification of the statutes and administrative rules allegedly violated.

e. Evidentiary supporting documentation.

The written complaint may be delivered personally or by mail to the secretary of the board. The office address is 1918 S.E. Hulsizer, Ankeny, Iowa 50021.

9.1(3) Investigation of allegations. In order to determine if probable cause exists for a hearing on the complaint, the board may cause an investigation to be made into the allegations of the complaint. It may refer the complaint to a peer review committee or investigator for investigation, review and report to the board.

9.1(4) Informal discussion. If the board considers it advisable, or if requested by the affected licensee, the board may grant the licensee an opportunity to appear before the board or a committee of the board for a voluntary informal discussion of the facts and circumstances of an alleged violation. The licensee may be represented by legal counsel at the informal discussion. The licensee is not required to attend the informal discussion. By electing to attend, the licensee waives the right to seek disqualification, based upon personal investigation of a board member or staff, from participating in making a contested case decision or acting as a presiding officer in a later contested case proceeding. Because an informal discussion constitutes a part of the board’s investigation of a pending disciplinary case, the facts discussed at the informal discussion may be considered by the board in the event the matter proceeds to a contested case hearing and those facts are independently introduced into evidence. The board may seek a consent order at the time of the informal discussion. If the parties agree to a consent order, a statement of charges shall be filed simultaneously with the consent order.

9.2(1) Dismissal. If a determination is made by the board that a complaint is without grounds or merit, the complaint shall be dismissed. A letter of explanation concerning the decision of the board shall be sent to the respondent and the complainant.

9.2(2) Requirement of further inquiry. If determination is made by the board to order further inquiry, the complaint and initial recommendations shall be provided to the investigator(s) along with a statement specifying the information deemed necessary.

9.2(3) Acceptance of the case. If a determination is made by the board to initiate disciplinary action, the board may enter into an informal settlement or recommend formal disciplinary proceedings. The board’s rules regarding informal settlement are found at 193 IAC 7.4(17A,272C).

This rule is intended to implement Iowa Code sections 542B.21, 542B.22 and 272C.6.

193C—9.3(542B) Reprimands, probation, license suspension or license revocation. Acts or omissions on the part of a licensee that are grounds for a reprimand, period of probation, license suspension or license revocation are as follows:

9.3(1) Acts or offenses defined in Iowa Code section 542B.21.

9.3(2) Acts or omissions which constitute negligence or carelessness that the licensee must report to the board as defined in 193C—8.3(542B).

9.3(3) Unethical conduct including, but not limited to, violation of the code of professional conduct in 193C— Chapter 8.

9.3(4) Failure to respond within 30 days to written communications from the board and to make available any relevant records with respect to an inquiry or complaint about the licensee’s unprofessional conduct. The period of 30 days shall commence on the date when such communication was sent from the board by registered or certified mail with return receipt requested to the address appearing in the last licensure.

9.3(5) Failure to comply with a warning from the board with respect to licensee behavior.

9.3(6) Any violation as provided in Iowa Code section 272C.10.

193C—9.4(542B) Disciplinary findings and sanctions. The board’s decision may include one or more of the following findings or sanctions:

1. Exoneration of respondent.

2. Revocation of license.

3. Suspension of license until further order of the board or for a specified period.

4. Nonrenewal of license.

5. Prohibition, until further order of the board or for a specific period, of engaging in specified procedures, methods or acts.

6. Probation.

7. Requirement of additional education or training.

8. Requirement of reexamination.

9. Issuance of a reprimand.

10. Imposition of civil penalties.

11. Issuance of citation and warning.

12. Desk review.

13. Other sanctions allowed by law as may be appropriate.

193C—9.5(272C) Civil penalties. In addition to other disciplinary options, the board may assess civil penalties of up to $1000 per violation against licensees who violate any provision of rule 9.3(542B). Factors the board may consider when determining whether and in what amount to assess civil penalties include:

1. Whether other forms of discipline are being imposed for the same violation.

2. Whether the amount imposed will be a substantial economic deterrent to the violation.

3. The circumstances leading to the violation.

4. The severity of the violation and the risk of harm to the public.

5. The economic benefits gained by the licensee as a result of the violation.

6. The interest of the public.

7. Evidence of reform or remedial action.

8. Time elapsed since the violation occurred.

9. Whether the violation is a repeat offense following a prior cautionary letter, disciplinary order, or other notice of the nature of the infraction.

10. The clarity of the issue involved.

11. Whether the violation was willful and intentional.

12. Whether the licensee acted in bad faith.

13. The extent to which the licensee cooperated with the board.

14. Whether the licensee practiced professional engineering or land surveying with a lapsed, inactive, suspended or revoked license.

This rule is intended to implement Iowa Code section 542B.22.

193C—9.6(542B) Publication of decisions. In addition to publication requirements found at 193 IAC 7.30(3), the following notifications shall be issued:

1. Following suspension of a land surveyor’s license, notification must be mailed to the county recorders and county auditors of the county of residence and immediately adjacent counties in Iowa.

2. Following revocation of a land surveyor’s license, notification must be mailed to all county auditors in Iowa and the county recorders in the county of residence and immediately adjacent counties in Iowa.

3. Following the suspension or revocation of the license of a professional engineer or land surveyor, notification must be issued to other boards of examiners for engineers and land surveyors under the jurisdiction of the government of the United States. This notification may be made through the National Council of Examiners for Engineering and Surveying or other national organizations recognized by the board. In addition, if the licensee is known to be registered in another nation in North America, the appropriate board(s) shall be notified of the action.

193C—9.7(542B) Disputes between licensees and clients. Reports from the insurance commissioner or other agencies on the results of judgments or settlements of disputes arising from malpractice claims or other actions between professional engineers or land surveyors and their clients may be referred to counsel or peer review committee. The counsel or peer review committee shall investigate the report for violation of the statutes or rules governing the practice or conduct of the licensee. The counsel or peer review committee shall advise the board of any probable violations, any further action required, or recommend dismissal from further consideration.

These rules are intended to implement Iowa Code chapter 17A and sections 542B.2, 542B.22, and 272C.6.

CHAPTER 10
PEER REVIEW

193C—10.1(542B,272C) Peer review committee (PRC). The board may appoint a peer review committee for the investigation of a complaint about the acts or omissions of one or more licensees.

10.1(1) PRC membership. A PRC shall generally consist of three or more licensed engineers or licensed land surveyors or both, as determined by the board, who are selected for their knowledge and experience in the type of engineering or land surveying involved in the complaint. The board may appoint a two–member PRC or a single peer review consultant to perform the function of a PRC when, in the board’s opinion, appointing a committee with three or more members would be impractical, unnecessary or undesirable given the nature of the expertise required, the need for prompt action or the circumstances of the complaint.

An individual shall be ineligible for membership on a PRC in accordance with the standard for disqualification found at 193 IAC 7.14(1). If a PRC member is unable to serve after an investigation has begun, the PRC member must notify the board office.

10.1(2) Authority. The PRC’s investigation may include activities such as interviewing the complainant, the respondent, individuals with knowledge of the alleged violation, and individuals with knowledge of the respondent’s practice in the community; gathering documents; conducting site visits; and performing independent analyses as deemed necessary. Although the board does not become involved in a complaint investigation, the board may give specific instructions to the PRC regarding the scope of the investigation. In the course of the investigation, PRC members shall refrain from advising the complainant or respondent on actions that the board might take.

10.1(3) Term of service. The PRC serves at the pleasure of the board. The board may dismiss any or all members of a PRC or add new members at any time.

10.1(4) Compensation. PRC members may receive per diem compensation equal to that received by board members for performing board duties. Within established budget limitations, PRC members may be reimbursed for reasonable and necessary expenses that are incurred for travel, meals and lodging while performing committee duties. The PRC shall not hire legal counsel, investigators, secretarial help or any other assistance without written authorization from the board.

193C—10.2(542B,272C) Reports. Each PRC shall submit a written report to the board within a reasonable period of time.

10.2(1) Components of the report. The report shall include:

a. A statement of the charge to the PRC;

b. A description of the actions taken by the PRC in its investigation, including but not limited to document review, interviews and site visits;

c. A summary of the PRC’s findings, including (1) the PRC’s opinion as to whether a violation has occurred, (2) citation of the Iowa Code section(s) and Iowa Administrative Code rule(s) violated, and (3) the PRC’s opinion of the seriousness of the violation; and

d. A recommendation.

In the case of a land surveyor PRC report, the report must be plat–specific as to the violations.

10.2(2) Recommended action. The PRC report shall recommend one of the following:

a. Dismissal of the complaint,

b. Further investigation, or

c. Disciplinary proceedings.

If the PRC recommends further investigation or disciplinary proceedings, supporting information must be submitted to the board including citation of the specific Iowa Code section(s) and Iowa Administrative Code rule(s) violated.

10.2(3) Disciplinary recommendations. When recommending disciplinary proceedings, a PRC shall refrain from suggesting a particular form of discipline, but may provide guidance on the severity of the violations that prompted the recommendation and may identify professional areas in which the licensee needs additional education, experience or monitoring in order to safely practice.

193C—10.3(542B,272C) Confidentiality. The PRC shall not discuss its findings and conclusions with any party to the complaint. PRC findings including the name of the complainant shall be kept confidential at all times. The PRC shall not reveal its findings to anyone other than the board (through its report to the board) or board staff. PRC findings shall be used only for the purposes of the board’s possible disciplinary action and not for any other court case, lawsuit, or investigation. PRC reports are not subject to discovery.

193C—10.4(542B,272C) Testimony. PRC members may be required to testify in the event of formal disciplinary proceedings.

These rules are intended to implement Iowa Code section 272C.3.

CHAPTER 11
MINIMUM STANDARDS FOR PROPERTY SURVEYS

193C—11.1(542B) Scope. Each land surveyor shall comply with the minimum standards for property surveys described by statute or administrative rule. The minimum standards in this chapter shall apply to all property surveys performed in this state except those done for acquisition plats as described in Iowa Code chapter 354.

193C—11.2(542B) Definitions. For the purposes of these rules, the following definitions shall apply:

“Plat” means both a plat of survey and a subdivision plat as those terms are defined in Iowa Code section 355.1.

“Property survey” means any land survey performed for the purpose of describing, monumenting, retracing and establishing boundary lines dividing, subdividing, or platting one or more parcels of land.

“Retrace” means following along a previously established line to logical termini monumented by corners that are found or placed by the surveyor.

193C—11.3(542B) Boundary location. Every property survey shall be made in accordance with the legal description (record title) boundaries as nearly as is practicable. The surveyor shall acquire data necessary to retrace record title boundaries, center lines, and other boundary line locations. The surveyor shall analyze the data and make a careful determination of the position of the boundaries of the parcel being surveyed. The surveyor shall make a field survey, locating and connecting monuments necessary for location of the parcel, and coordinate the facts of such survey with the analysis. The surveyor shall set monuments marking the corners of such parcel unless monuments already exist at such corners.

193C—11.4(542B) Descriptions. Descriptions defining land boundaries written for conveyance or other purposes shall be complete, providing definite and unequivocal identification of lines or boundaries. The description must contain dimensions sufficient to enable the description to be platted and retraced and shall describe the land surveyed either by government lot or by quarter–quarter section or by quarter section and shall identify the section, township, range and county; and by metes and bounds commencing with some corner marked and established in the U.S. Public Land Survey System; or if such land is located in a recorded subdivision or recorded addition thereto, then by the number or other description of the lot, block or subdivision thereof which has been previously tied to a corner marked and established by the U.S. Public Land Survey System. If the parcel is described by metes and bounds, it may be referenced to known lot or block corners in recorded subdivision or additions.

193C—11.5(542B) Plats. A plat shall be drawn for every property survey performed showing information developed by the survey and including the following elements:

11.5(1) The plat shall be drawn to a convenient scale which shall be clearly stated and graphically illustrated by a bar scale on every plat sheet.

11.5(2) The plat shall show the length and bearing of the boundaries of the parcels surveyed. Where the boundary lines show bearing, lengths or locations which vary from those recorded in deeds, abutting plats or other instruments, the following note shall be placed along such lines: “recorded as (show recorded bearing, length or location)”.

11.5(3) The plat shall show and identify all monuments necessary for the location of the parcel and shall indicate whether such monuments were found or placed and shall include an accurate description of each monument consisting of size, shape, material type, capped with license number, and color as applicable.

11.5(4) The plat shall be captioned to identify the person for whom the survey was made and the date of the survey and shall describe the parcel as provided in rule 11.4(542B) above.

11.5(5) The plat shall show that record title boundaries, centerlines, and other boundary lines were retraced to monuments found or placed by the surveyor.  The surveyor shall retrace those exterior lines of a section that divide a metes and bounds–described parcel of land to determine acreage for assessment and taxation purposes.

11.5(6) The plat shall show that the survey is tied to a physically monumented land line which is identified by two U.S. Public Land Survey System corners or by two physically monumented corners of a recorded subdivision. The plat shall show a distance relationship measured by the surveyor between the two corners on the physically monumented land line. The physically monumented land line shall be germane to the survey of the lot, parcel, or tract.

11.5(7) The plat shall bear the signature of the land surveyor, a statement certifying that the work was performed by the surveyor or under the surveyor’s direct personal supervision, the date of signature, and the surveyor’s Iowa license number and legible seal as provided in rule 193C— 6.1(542B).

11.5(8) The surveyor shall record every plat and description with the county recorder no later than 30 days after signature on the plat by the surveyor. The 30–day requirement shall not apply to subdivision plats.

11.6(1) Measurements shall be made with instruments and methods capable of attaining the required accuracy for the particular problem involved.

11.6(2) Measurements as placed on the plat shall be in conformance with the capabilities of the instruments used.

11.6(3) The unadjusted closure for all closed traverse surveys shall be not greater than 1 in 5,000 and, for subdivision boundaries, 1 in 10,000.

11.6(4) In a closed traverse, the sum of the measured angles shall agree with the theoretical sum by a difference not greater than 30 seconds times the square root of the number of angles.

11.6(5) The unadjusted error of field measurements shall not be greater than 1 in 5,000.

11.6(6) The relative positional tolerance at the 95 percent confidence level shall be as follows:

a. For subdivision boundaries: ±(0.13 feet + 1:10,000)

b. For all other land surveying: ±(0.26 feet + 1:5,000)

11.6(7) Bearings or angles on any property survey plat shall be shown to the nearest one minute; distance shall be shown to the nearest one–tenth foot.

193C—11.7(542B) Monuments. Permanent monuments shall be constructed of reasonably permanent material solidly embedded in the ground and capable of being detected by commonly used magnetic or electronic equipment. The licensed land surveyor shall affix to the top of each monument set by the surveyor a cap of reasonably inert material bearing an embossed or stencil–cut marking of the Iowa license number of the licensed land surveyor. Monuments or marks placed in pavements need not be capped. See rule 11.3(542B).

These rules are intended to implement Iowa Code sections 355.3 and 542B.2.

CHAPTER 12
MINIMUM STANDARDS FOR U.S. PUBLIC LAND SURVEY CORNER CERTIFICATES

193C—12.1(542B) General statement. Each land surveyor shall comply with the minimum standards for preparing a U.S. Public Land Survey Corner Certificate as described by statute or administrative rule. The minimum standards in this chapter shall apply to every corner certificate prepared in this state.

12.2(1) A corner is considered a part of the U.S. Public Land Survey System if it has the status of a corner of a:

a. Quarter–quarter section or larger aliquot part of a section.

b. Fractional quarter–quarter section or larger fractional part of a section.

c. Government lot.

12.2(2) A U.S. Public Land Survey Corner Certificate shall be prepared by the surveyor as part of any land surveying which includes the use of a U.S. Public Land Survey System corner if one or more of the following conditions exist:

a. There is no certificate for the corner on file with the recorder of the county in which the corner is located.

b. The surveyor in responsible charge of the land surveying accepts a corner position which differs from that shown in the public records of the county in which the corner is located.

c. The corner monument is replaced or modified in any way.

d. The reference ties in an existing public record are incorrect or missing.

12.2(3) A U.S. Public Land Survey Corner Certificate shall comply with the following requirements:

a. The identity of the corner, with reference to the U.S. Public Land Survey System, shall be clearly indicated.

b. The certificate shall contain a narrative explaining:

(1) The reason for preparing the certificate.

(2) The evidence and detailed procedure used in establishing or confirming the corner position whether found or placed.

(3) The monumentation found or placed perpetuating the corner position with an accurate description of each monument including but not limited to size, shape, material type, capped with license number, and color.

(4) The extent of the search for an existing monument when the corner is reset as obliterated or lost.

c. The certificate shall contain a plan–view drawing depicting:

(1) Relevant monuments including the reference monumentation and an accurate description thereof.

(2) Physical surroundings including highway and street centerlines, fences, structures and other artificial or natural objects as applicable that would facilitate recovery of the corner.

(3) Reference ties in sufficient detail to enable recovery of the corner. There shall be at least three reference ties from the corner to durable physical objects near the corner which are located so that the intersection of any two of the ties will yield a strong corner position recovery. All ties shall be measured to one–hundredth of a foot.

d. The certificate shall contain a certification statement, the seal and signature of the surveyor and the date of the survey in accordance with 193C—Chapter 6.

12.2(4) The surveyor shall record the required U.S. Public Land Survey Corner Certificate and forward a copy to the county engineer of the county in which the corner is located within 30 days after completion of the surveying.

These rules are intended to implement Iowa Code sections 355.3, 355.11 and 542B.2

CHAPTER 13
CIVIL PENALTIES FOR UNLICENSED PRACTICE

193C—13.1(542B) General statement. The board may impose civil penalties by order against a person who is not licensed as an engineer or land surveyor pursuant to Iowa Code chapter 542B based on the unlawful practices specified in Iowa Code section 542B.27. In addition to the proceduresset forth in Iowa Code section 542B.27, this rule shall apply.

13.1(1) The notice of the board’s intent to impose a civil penalty required by Iowa Code section 542B.27 shall be served upon the nonlicensee by restricted certified mail, return receipt requested, or personal service in accordance with Rule of Civil Procedure 56.1. Alternatively, the nonlicensee may accept service personally or through authorized counsel. The notice shall include the following:

a. A statement of the legal authority and jurisdiction under which the proposed civil penalty would be imposed.

b. A reference to the particular sections of the statutes and rules involved.

c. A short and plain statement of the alleged unlawful practices.

d. The dollar amount of the proposed civil penalty.

e. Notice of the nonlicensee’s right to a hearing and the time frame in which hearing must be requested.

f. The address to which written request for hearing must be made.

13.1(2) Nonlicensees must request a hearing within 30 days of the date the notice is mailed if served through restricted certified mail to the last–known address or within 30 days of the date of service if service is accepted or made in accordance with Rule of Civil Procedure 56.1. A request for hearing must be in writing and is deemed made on the date of the United States Postal Service postmark or the date of personal service.

13.1(3) If a request for hearing is not timely made, the board chair or the chair’s designee may issue an order imposing the civil penalty described in the notice. The order may be mailed by regular first–class mail or served in the same manner as the notice of intent to impose civil penalty.

13.1(4) If a request for hearing is timely made, the board shall issue a notice of hearing and conduct a hearing in the same manner as applicable to a disciplinary case against a licensed engineer or land surveyor.

13.1(5) In addition to the factors set forth in Iowa Code section 542B.27, the board may consider the following when determining the amount of civil penalty to impose, if any:

a. The time elapsed since the unlawful practice occurred.

b. Evidence of reform or remedial actions.

c. Whether the violation is a repeat offense following a prior warning letter or other notice of the nature of the infraction.

d. Whether the violation involved an element of deception.

e. Whether the unlawful practice violated a prior order of the board, court order, cease and desist agreement, consent order, or similar document.

f. The clarity of the issue involved.

g. Whether the violation was willful and intentional.

h. Whether the nonlicensee acted in bad faith.

i. The extent to which the nonlicensee cooperated with the board.

13.1(6) A nonlicensee may waive the right to a hearing and all attendant rights and enter into a consent order imposing a civil penalty at any stage of the proceeding upon mutual consent of the board.

13.1(7) The notice of intent to impose civil penalty and order imposing civil penalty are public records available for inspection and copying in accordance with Iowa Code chapter 22. Copies may be provided to the media, the National Council of Examiners for Engineering and Surveying, and other entities. Hearings shall be open to the public.

This rule is intended to implement Iowa Code section 542B.27.

Pursuant to the authority of Iowa Code section 217.6 and 2000 Iowa Acts, chapter 1228, section 13, subsection 2, paragraph “a,” and section 44, and 2001 Iowa Acts, House File 732, section 11, subsection 2, and section 49, the Department of Human Services proposes to amend Chapter 52, “Payment,” and Chapter 177, “In–Home Health Related Care,” appearing in the Iowa Administrative Code.

These amendments increase the maximum and flat State Supplementary Assistance (SSA) residential care facility (RCF) and in–home health related care (IHHRC) reimbursement rates and pass along an August 1, 2001, Supplemental Security Income (SSI) cost–of–living adjustment increase in several State Supplementary Assistance (SSA) categories.

The maximum and flat SSA RCF reimbursement rates will be increased retroactively effective June 1, 2001. The maximum RCF reimbursement rate will be increased from $25.14 per day to $33.06 per day for one month effective June 1, 2001, and to $25.92 per day effective August 1, 2001, and ongoing. The flat RCF reimbursement rate will be increased from $17.96 per day to $23.62 per day for one month effective June 1, 2001, and to $18.52 per day effective August 1, 2001, and ongoing. The monthly IHHRC reimbursement rate will be increased from $483.31 per month to $498.29 effective August 1, 2001, and ongoing.

The Seventy–eighth and Seventy–ninth General Assemblies directed that the Department may take actions to meet the federal pass–along requirement mandated by Title XVI of the Social Security Act, Section 1618, if necessary. These rate increases are necessary to meet the federal pass–along requirements for calendar year 2001.

In order to comply with the federal pass–along requirement of $19,575,651 in calendar year 2001 and to make up a shortfall in meeting the federal pass–along requirement of $221,200 in calendar year 2000, Iowa’s total SSA expenditures must be at least $19,796,851. Based on current projections, the Department projects that calendar year 2001 may be short of this required spending level by $851,048. This spending shortfall is attributable to a decline in in–home health–related care and residential care facility usage. Current projections indicate that a 31.50 percent increase in the RCF rates for June 2001, and an ongoing increase of 3.1 percent in the RCF and IHHRC reimbursement rates is necessary to ensure compliance with the pass–along requirement in calendar year 2001. The large retroactive payment in June for RCFs is being adopted to use a state surplus for state fiscal year 2001.

Effective August 1, 2001, the SSI benefit increased to adjust for an error in the January 2000 cost–of–living percentage increase. This change will pass along a $1 increase per month in benefits to clients with a dependent relative and to clients in family life homes.

These amendments do not provide for waiver in specified situations because they confer a benefit on clients in RCFs and IHHRC and clients with a dependent relative and in family life homes and are required to meet the federal pass–along requirement, as mandated by the legislature. Individuals may request a waiver of the monthly IHHRC reimbursement under the Department’s general rule on exceptions at rule 441—1.8(17A,217).

The substance of these amendments is also Adopted and Filed Emergency and is published herein as ARC 0839B. 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, 1305 East Walnut, Des Moines, Iowa 50319–0114, on or before August 29, 2001.

These amendments are intended to implement Iowa Code sections 249.3(2) and 249.4 and 2000 Iowa Acts, chapter 1228, section 13, subsection 2, paragraph “a,” and 2001 Iowa Acts, House File 732, section 11, subsection 2.

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.

These amendments revise policy governing the HAWK–I program to:

• Remove the description that the HAWK–I program is designed to provide transitional health care coverage to children. The coverage is not transitional. This change is in response to comments received in response to Executive Order Number 8.

• Remove the reference that HAWK–I is available to children who are ineligible for other health insurance. The eligibility for other health insurance is not a factor of eligibility. Rather, the criterion is whether or not the child actually has the coverage.

• Simplify the process for calculating self–employment income. Instead of following the more complicated rules of the Medicaid program, the HAWK–I program will use information from the income tax return.

• Clarify what constitutes family size in situations where absent parents apply for children that do not live with them and in situations where there is shared custody.

• Incorporate additional legal references in the policy related to alien status. This change is being made in response to public comments received as part of Executive Order Number 8.

• Clarify when a referral is made to the HAWK–I program from the Medicaid program that the third–party administrator does not have to obtain an additional signature when the Department has a signature on file in the county office.

• Incorporate the decisions of the HAWK–I Board regarding the imposition of waiting lists. This amendment is necessary in the event the funding for the program is exhausted prior to the end of the fiscal year.

• Allow the third–party administrator to automatically select a health plan and enroll the child when the family has not affirmatively made a selection, rather than to deny the application.

• Clarify that, in a case of eligibility granted based on false information, only the amount of the premium is subject to recovery.

• Clarify what information the health plans provide to the department and what information they provide to the third–party administrator. This amendment is being made pursuant to public comments received in response to Executive Order Number 8.

• Add a new rule that establishes a procedure for the use of funds that are donated to the program.

These amendments do not provide for waivers in specified situations because the amendments are primarily technical in nature and provide policy clarification. Persons may request a waiver of policy under the Department’s general rule on exceptions at rule 441—1.8(17A,217).

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, 1305 East Walnut, Des Moines, Iowa 50319–0114, on or before August 29, 2001.

These amendments are intended to implement Iowa Code chapter 514I.

The following amendments are proposed.

ITEM 1. Amend 441—Chapter 86, preamble, as follows:

These rules define and structure the department of human services healthy and well kids in Iowa (HAWK–I) program. The purpose of this program is to provide transitional health care coverage to uninsured children who are ineligible for Title XIX (Medicaid) assistance or other health insurance. The program is implemented and administered in compliance with Title XXI of the federal Social Security Act. The rules establish requirements for the third–party administrator responsible for the program administration and for the participating health plans that will be delivering services to the enrollees.

ITEM 2. Amend rule 441—86.2(514I) as follows:

Amend subrule 86.2(2), paragraph “a,” subparagraph (1), numbered paragraph “2,” as follows:

2. Earned income from self–employment. Earned income from self–employment means the net profit determined by comparing gross income with the allowable costs ofproducing the income. The net profit from allowable costsof producing self–employment income shall be deter–mined according to the provisions of 441—subparagraphs 75.57(2)“f”(1) through (7) by the costs allowed for income tax purposes. Additionally, the costs of depreciation of capital assets identified for income tax purposes shall be allowed as a cost of doing business for self–employed persons. A person is considered self–employed when any of the following conditions exist. The person:

• Is not required to report to the office regularly except for specific purposes such as sales training meetings, administrative meetings, or evaluation sessions; or

• Establishes the person’s own working hours, territory, and methods of work; or

• Files quarterly reports of earnings, withholding payments, and FICA payments to the Internal Revenue Service.

Amend subrule 86.2(3), paragraph “b,” as follows:

b. Parents. Any parent living with the child under the age of 19 shall be included in the family size. This includes the biological parent, stepparent, or adoptive parent of the child and is not dependent upon whether the parents are married to each other. In situations where the parents do not live together but share joint legal or physical custody of the children, the family size shall be based on the household in which the child spends the majority of time. If both parents share legal or physical custody equally, either parent may apply for the child and the family size shall be based on the household of the applying parent.

Amend subrule 86.2(7) as follows:

86.2(7) Citizenship and alien status. The child shall be a citizen or lawfully admitted alien. The criteria established under Section 402(a)(2) of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 8 U.S.C. 1612(a)(2)(A) and the Balanced Budget Act of 1997, subsection 5302, shall be followed when determining whether a lawfully admitted alien child is eligible to participate in the HAWK–I program. The citizenship or alien status of the parents or other responsible person shall not be considered when determining the eligibility of the child to participate in the program.

ITEM 3. Amend subrules 86.3(6), 86.3(7), 86.3(10), and 86.3(11) as follows:

86.3(6) Application not required. An application shall not be required when a child becomes ineligible for Medicaid and the county office of the department makes a referral to the HAWK–I program, in which case, Form 470–3563, HAWK–I Referral, shall be accepted in lieu of an application. The original Medicaid application or the last review form that is on file in the county office of the department, whichever is more current, shall suffice to meet the signature requirements.

86.3(7) Information and verification procedure. The decision with respect to eligibility shall be based primarily on information furnished by the applicant or enrollee. The third–party administrator shall notify the applicant or enrollee in writing of additional information or verification that is required to establish eligibility. This The third–party administrator shall provide this notice shall be provided to the applicant or enrollee personally or by mail or facsimile. Failure of the applicant or enrollee to supply the information or verification or refusal by the applicant or enrollee to authorize the third–party administrator to secure the information shall serve as a basis for rejection of the application or cancellation of coverage. Five The applicant or enrollee shall have ten working days shall be allowed for the applicant or enrollee to supply the information or verification requested by the third–party administrator. The third–party administrator may extend the deadline for a reasonable period of time when the applicant or enrollee is making every effort but is unable to secure the required information or verification from a third party.

86.3(10) Waiting lists. When the department has established that all of the funds appropriated for this purpose program are obligated, pending the third–party administrator shall deny all subsequent applications for HAWK–I coverage shall be denied by the third–party administrator unless Medicaid eligibility exists.

a. A The third–party administrator shall mail a notice of decision shall be mailed by the third–party administrator. The notice shall state that the:

(1) The applicant meets the eligibility requirements but that no funds are available and that the applicant will be placed on a waiting list, or that the

(2) The person does not meet eligibility requirements. In which case, the applicant shall not be put on a waiting list.

a c. Applicants shall be entered The third–party administrator shall enter applicants on the waiting list on the basis of the date a completed Form 470–3564 is date–stamped by the third–party administrator. In the event that more than one application is received on the same day, the third–party administrator shall enter applicants shall be entered on the waiting list on the basis of the day of the month of the oldest child’s birthday, the lowest number being first on the list. Any The third–party administrator shall decide any subsequent ties shall be decided by the month of birth of the oldest child,January being month one and the lowest number.

b d. If funds become available, the third–party administrator shall select applicants shall be selected from the waiting list based on the order of the waiting in which their name appears on the list and notified by the third–party administrator shall notify them of their selection.

d e. After eligibility is reestablished being notified of the availability of funding, the applicant shall have 15 working days to enroll in the program confirm the applicant’s continued interest in applying for the program and to provide any information necessary to establish eligibility. If the applicant does not enroll in confirm continued interest in applying for the program and does not provide any additional information necessary to establish eligibility within 15 working days, the third–party administrator shall delete the applicant’s name shall be deleted from the waiting list and the third–party administrator shall contact the next applicant on the waiting list.

86.3(11) Falsification of information. A person is guilty of falsification of information if that person, with the intent to gain HAWK–I coverage for which that person is not eligible, knowingly makes or causes to be made a false statement or representation or knowingly fails to report to the third–party administrator or the department any change in circumstances affecting that person’s eligibility for HAWK–I coverage in accordance with rule 441—86.2(514I) and rule 441— 86.10(514I).

In cases of founded falsification of information, the department may proceed with disenrollment in accordance with rule 441—86.7(514I) and require repayment for the amount that was paid to a health plan by the department and any amount paid out by the plan while the person was ineligible.

ITEM 4. Amend rule 441—86.4(514I) as follows:

Amend subrule 86.4(2) as follows:

86.4(2) HAWK–I enrollee appears eligible for Medicaid. At the time of the annual review, if it appears the child may be eligible for Medicaid in accordance with the provisions of rule 441—75.1(249A), with the exception of meeting a spenddown under the medically needy program at 441—subrule 75.1(35), the third–party administrator shall make a referral shall be made to the county department office for a determination of Medicaid eligibility as stated in subrule 86.4(1) above. However, the child shall remain eligible for the HAWK–I program pending the Medicaid eligibility determination unless the 12–month certification period expires first.

Amend subrule 86.4(4), paragraph “b,” as follows:

b. The third–party administrator shall date–stamp the referral, notify the family of the referral, and proceed with an eligibility determination under the HAWK–I program. The third–party administrator shall use Form 470–3563, Referral to HAWK–I, shall be used as an application for the HAWK–I program. If needed, the third–party administrator shall obtain copies of supporting documentation and signatures shall be obtained from the case record at the county office of the department.

ITEM 5. Amend subrule 86.6(3) as follows:

86.6(3) Failure to select a plan. When more than one plan is available, if the applicant fails to select a plan within ten working days of the written request to make a selection, the application shall be denied unless good cause exists third–party administrator shall select the plan and notify the family of the enrollment. The third–party administrator shall select the plan on a rotating basis to ensure an equitable distribution between participating plans.

ITEM 6. Amend subrule 86.13(2) as follows:

Rescind and reserve paragraph “a.”

Amend paragraph “b” as follows:

b. Outreach materials, application forms, or other materials developed and produced by the department to any organization or individual making a request for the materials. If the request is for quantities exceeding ten, the third–party administrator shall forward the request to Iowa prison industries for dissemination.

ITEM 7. Amend subrule 86.15(9) as follows:

Amend paragraph “a,” introductory paragraph, as follows:

a. The plan shall comply with the provisions of rule 441—79.3(249A) regarding maintenance and retention of clinical and fiscal records and shall file a letter with the commissioner of insurance as described in Iowa Code section 228.7. In addition, the plan or subcontractor of the plan, as appropriate, must maintain a medical records system that:

Amend paragraph “b” by rescinding and reserving subparagraphs (2), (3), (4), and (6).

Adopt the following new paragraph “c”:

c. Each plan shall at a minimum provide reports and plan information to the department as follows:

(1) Information regarding the plan’s appeal process.

(2) A plan for a health improvement program.

(3) Periodic financial, utilization and statistical reports as required by the department.

(4) Time–specific reports which define activity for child health care, appeals and other designated activities which may, at the department’s discretion, vary among plans, depending on the services covered or other differences.

(5) Other information as directed by the department.

ITEM 8. Amend 441—Chapter 86 by adopting the following new rule:

441—86.17(514I) Use of donations to the HAWK–I program. If an individual or other entity makes a monetary donation to the HAWK–I program, the department shall deposit the donation into the HAWK–I trust fund. The department shall track all donations separately and shall notcommingle the donations with other moneys in the trust fund. The department shall report the receipt of all donations to the HAWK–I board.

86.17(1) If the donor specifically identifies the purpose of the donation, regardless of the amount, the donation shall be used as specified by the donor as long as the identified purpose is permissible under state and federal law.

86.17(2) If the donation is less than $5,000 and the donor does not specifically identify how it is to be used, the department shall use the moneys in the following order:

a. For the direct benefit of enrollees (e.g., premium payments).

b. For outreach activities.

c. For other purposes as determined by the HAWK–I board.

86.17(3) If the donation is more than $5,000 and the donor does not specify how the funds are to be used, the HAWK–I board shall determine how the funds are to be used.

Pursuant to the authority of Iowa Code section 234.6, the Department of Human Services proposes to amend Chapter 150, “Purchase of Service,” appearing in the Iowa Administrative Code.

These amendments continue a cost–of–living increase to the statewide average cost of shelter care which was inadvertently omitted when promulgating the rule to implement the provisions of 2001 Iowa Acts, House File 732, section 31, subsection 6. The General Assembly required the continuation of current rates for shelter care in 2001 Iowa Acts, Senate File 537, section 1, subsection 1, paragraph “d,” in accordance with the provisions of 2000 Iowa Acts, chapter 1221, section 1, subsection 1, paragraph “d.”

Providers will continue to receive the total increase provided for in fiscal year 2001 when combining the per diem paid by the state and the claim to the counties for the difference between the state payment and the statewide actual and allowable cost.

These amendments do not provide for a waiver because the change was mandated by the General Assembly. All shelter care providers should be reimbursed on the same basis.

The substance of these amendments is also Adopted and Filed Emergency and is published herein as ARC 0844B. 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, 1305 East Walnut, Des Moines, Iowa 50319–0114, on or before August 29, 2001.

These amendments are intended to implement Iowa Code section 234.6 and 2001 Iowa Acts, House File 732, section 31, subsection 6, and Senate File 537, section 1, subsection 1, paragraph “d.”

Pursuant to the authority of Iowa Code section 10A.104(5), the Department of Inspections and Appeals gives Notice of Intended Action to amend Chapter 30, “Food and Consumer Safety,” and Chapter 31, “Food Establishment and Food Processing Plant Inspections,” Iowa Administrative Code.

The proposed amendments are intended to implement 2001 Iowa Acts, Senate File 62, which creates an exemption to the definitions of “food establishment” and “food processing plant.” These amendments state that a residence in which honey is stored, prepared, packaged, labeled, or from which honey is distributed is not a food establishment or food processing plant for which licensure is required under Iowa Code chapter 137F.

Any interested person may make written comments or suggestions on the proposed amendments on or beforeAugust 28, 2001. Written comments should be addressedto the Director, Department of Inspections and Appeals, Lucas State Office Building, East 12th and Grand Avenue,Des Moines, Iowa 50319–0083. Faxes may be sent to (515) 242–6862; E–mail may be sent to Jennifer.Fiihr@dia.state. ia.us.

These amendments are intended to implement Iowa Code chapter 137F as amended by 2001 Iowa Acts, Senate File 62.

The following amendments are proposed.

ITEM 1. Amend rule 481—30.2(10A), definition of “food establishment,” by adopting the following new numbered paragraph:

15. The premises of a residence in which honey is stored; prepared; packaged, including by placement in a container; labeled; or from which honey is distributed.

ITEM 2. Amend rule 481—30.2(10A), definition of “food processing plant,” as follows:

“Food processing plant” means a commercial operation that manufactures, packages, labels, or stores food for human consumption and does not provide food directly to a consumer. “Food processing plant” does not include any of the following:

1. A premises covered by a Class “A” beer permit as provided in Iowa Code chapter 123.

ITEM 3. Amend 481—31.1(137F) by adopting the following new subrule:

31.1(17) Section 3–201.11 is amended to allow honey which is stored; prepared, including by placement in a container; or labeled on or distributed from the premises of a residence to be sold in a food establishment.

Pursuant to the authority of Iowa Code section 10A.104(5), the Department of Inspections and Appeals hereby gives Notice of Intended Action to amend Chapter 30, “Food and Consumer Safety,” Iowa Administrative Code.

This amendment extends the validity of a temporary food service establishment license for a temporary food service located at a farmers market provided the vendor does not operate more than 14 consecutive days at this location. This change is the result of discussions with farmers market vendors, farmers market managers, the Iowa Department of Agriculture and Land Stewardship, local county officials and the state ombudsman. This amendment temporarily clarifies ambiguity in the Iowa Code and administrative rules. This amendment expires January 1, 2002.

The substance of this amendment is also Adopted and Filed Emergency and is published herein as ARC 0837B. The purpose of this Notice is to solicit comment on that submission, the subject matter of which is incorporated by reference.

Public comments concerning the proposed amendment will be accepted on or before August 28, 2001. Interested persons may submit written comments by contacting Jen– nifer Fiihr, Department of Inspections and Appeals, Third Floor, Lucas State Office Building, 321 East 12th Street, Des Moines, Iowa 50319, or fax to (515)242–6863. E–mail may be sent to Jennifer.Fiihr@dia.state.ia.us.

This amendment is intended to implement Iowa Code section 10A.104(5).

Pursuant to the authority of Iowa Code section 135B.7 and 2001 Iowa Acts, Senate File 242, the Department of Inspections and Appeals gives Notice of Intended Action to amend Chapter 51, “Hospitals,” Iowa Administrative Code.

These amendments are intended to implement 2001 Iowa Acts, Senate File 242, which requires the Department to adopt rules that require hospitals to establish procedures for authentication of medication and standing orders by a practitioner within a period not to exceed 30 days following apatient’s discharge. Prior to the passage of 2001 Iowa Acts, Senate File 242, authentication was required within 72 hours.

Interested persons may make written comments or suggestions on the proposed amendments on or beforeAugust 28, 2001. Written materials should be addressedto the Director, Department of Inspections and Appeals, Lucas State Office Building, East 12th and Grand Avenue, Des Moines, Iowa 50319–0083. Faxes may be sent to (515)242–6863; E–mail may be sent to Jennifer.Fiihr@ dia.state. ia.us.

These amendments are not subject to waiver because hospital rules are considered minimum standards.

The Hospital Licensing Board and the Board of Health reviewed these amendments.

These amendments are intended to implement Iowa Code chapter 135B and 2001 Iowa Acts, Senate File 242.

The following amendments are proposed.

ITEM 1. Amend subrule 51.14(3) as follows:

51.14(3) Medication orders. All orders for drugs and biologicals must be in writing and signed by the prescribing practitioner within 72 hours of prescribing the drug or biological a period not to exceed 30 days following a patient’s discharge. When telephone, oral or electronic mechanisms are used to transmit medication orders, they must be accepted only by personnel that are authorized to do so by hospital policies and procedures in a manner consistent with federal and state law.

ITEM 2. Amend subrule 51.14(4) as follows:

51.14(4) Standing orders. Standing orders for drugs may be used for specified patients when authorized by the prescribing practitioner. These standing orders shall be in accordance with polices and procedures established by the appropriate committee within each hospital. At a minimum, the standing orders shall:

a. Specify the circumstances under which the drug is to be administered;

b. Specify the types of medical conditions of the patients for whom the standing orders are intended;

c. Be reviewed and revised by the prescribing practitioner on a regular basis as specified by hospital policies and procedures;

d. Be specific as to the drug, dosage, route, and frequency of administration; and

e. Be dated, signed by the prescribing practitioner within 72 hours within a period not to exceed 30 days following a patient’s discharge, and included in the patient’s medical record.

Pursuant to the authority of Iowa Code section 135B.7, the Department of Inspections and Appeals gives Notice of Intended Action to amend Chapter 51, “Hospitals,” Iowa Administrative Code.

This proposed amendment updates language pertaining to anesthesia services. The amendment adds medical staff rules and regulations as a possible location for a hospital to maintain its description of staff eligible to administer anesthesia. During the course of surveys conducted by the Department’s health facility surveyors, it was determined that descriptions of staff eligible to administer anesthesia were frequently maintained in a hospital’s medical staff rules and regulations.

Interested persons may make written comments or sug–gestions on the proposed amendment on or before August 28, 2001. Written materials should be addressed to the Director, Department of Inspections and Appeals, Lucas State Office Building, East 12th and Grand Avenue, Des Moines, Iowa 50319–0083. Faxes may be sent to (515)242–6863;E–mail may be sent to Jennifer.Fiihr@dia.state.ia.us.

This amendment is not subject to waiver because hospital rules are considered minimum standards.

This amendment was reviewed by the Hospital Licensing Board and the Board of Health.

This amendment is intended to implement Iowa Code chapter 135B.

The following amendment is proposed.

Amend subparagraph 51.28(1)“b”(2) as follows:

(2) Delineation of the qualifications of individuals authorized to administer anesthesia as set out in the hospital’s medical staff bylaws or medical staff rules and regulations.

Pursuant to the authority of Iowa Code section 135B.7, the Department of Inspections and Appeals gives Notice of Intended Action to amend Chapter 51, “Hospitals,” Iowa Administrative Code.

These proposed amendments update cross references to the administrative rules of the Department of Natural Resources and of the Labor Services Division of the Department of Workforce Development. Item 1 adds an additional subrule to the list of Environmental Protection Commission cross references. Item 2 updates cross references to the Labor Services Division. The Division’s agency number was erroneously referenced.

Interested persons may make written comments or suggestions on the proposed amendments on or before August 28, 2001. Written materials should be addressed to the Director, Department of Inspections and Appeals, Lucas State Office Building, East 12th and Grand Avenue, Des Moines, Iowa 50319–0083. Faxes may be sent to (515) 242–6863; E–mail may be sent to Jennifer.Fiihr@dia.state. ia.us.

The variance provisions outlined in subrules 51.50(1) and 51.51(1) are applicable to the rules being amended in this Notice.

These amendments were reviewed by the Hospital Licensing Board and the Board of Health.

These amendments are intended to implement Iowa Code chapter 135B.

The following amendments are proposed.

ITEM 1. Amend paragraph 51.50(4)“b” as follows:

b. Elevators shall comply with division of labor services rules as promulgated under Iowa Code chapter 89A and 347 875 IAC Chapters 71 to 78.

ITEM 2. Amend subrule 51.50(6) as follows:

51.50(6) Mechanical requirements. Steam and hot water heating and domestic water heating systems shall comply with division of labor services rules promulgated under Iowa Code chapter 89 and 347 875 IAC Chapters 41 to 49.

ITEM 3. Amend subrule 51.50(9) as follows:

51.50(9) Waste processing services—storage and disposal. In lieu of the waste processing service requirements in the “Guidelines for Construction and Equipment of Hospital and Medical Facilities” in paragraph 51.50(2)“a,” space and facilities shall be provided for the sanitary storage and disposal of waste by incineration, mechanical destruction, compaction, containerization, removal or a combination of these techniques. These techniques must comply with the following environmental protection commission rules: 567 IAC rules 64.2(455B) and 64.3(455B); solid waste requirements of 567 IAC rules 101.1(455B,455D), 102.1(455B), 104.1(455B), and Chapters 106, 118 and 119; and air quality requirements of 567 IAC subrules 22.1(1) and 23.4(12). and paragraphs 23.1(2)“tt” and 23.1(5)“b.”

ITEM 4. Amend paragraph 51.51(4)“b” as follows:

b. Elevators shall comply with division of labor services rules as promulgated under Iowa Code chapter 89A and 347 875—Chapters 71 to 77.

ITEM 5. Amend subrule 51.51(9) as follows:

51.51(9) Waste processing services—storage and disposal. In lieu of the waste processing service requirements in the “Guidelines for Construction and Equipment of Hospital and Healthcare Facilities” in paragraph 51.51(2)“a,” space and facilities shall be provided for the sanitary storage and disposal of waste by incineration, mechanical destruction, compaction, containerization, removal or a combination of these techniques. These techniques must comply with the following environmental protection commission rules: rules 567— 64.2(455B) and 64.3(455B); solid waste requirements of rules 567—101.1(455B,455D), 102.1(455B), 104.1(455B), and 567—Chapters 106, 118 and 119; and air quality requirements of 567—subrules 22.1(1) and 23.4(12). and paragraphs 23.1(2)“tt” and 23.1(5)“b.”

Pursuant to the authority of Iowa Code section 505.8, subsection 6, the Insurance Division hereby proposes to amend Chapter 90, “Financial Information Regulation,” Iowa Administrative Code.

These proposed amendments provide guidelines for the use of nonpublic personal health information by an insurer or a producer and include requirements concerning prior approval by the consumer or customer. The proposed amendments include new definitions, an “opt–in” provision for the sharing of nonpublic personal health information, and guidelines for the authorization to disclose nonpublic personal health information. These amendments are consistent with the principles recently adopted by the Governor’s Task Force on Health Privacy.

Any person may make written comments on the proposed amendments on or before August 28, 2001. Comments should be directed to Susan E. Voss, Deputy Commissioner, Insurance Division, 330 Maple, Des Moines, Iowa 50319. Comments may also be transmitted by E–mail tosusan.voss@comm6.state.ia.us or may be transmitted via facsimile to (515)281–5692.

A public hearing will be held at 10 a.m. on August 30, 2001, in the office of the Insurance Division, 330 MapleStreet, Des Moines, Iowa 50319. Persons wishing to provide oral comments should contact Susan Voss no later than August 29, 2001, to be placed on the agenda.

These amendments are intended to implement Iowa Code section 505.8, subsection 6.

The following amendments are proposed.

ITEM 1. Amend 191—Chapter 90, title, as follows:

CHAPTER 90
FINANCIAL AND HEALTH INFORMATION REGULATION

ITEM 2. Amend subrules 90.1(1) and 90.1(2) as follows:

90.1(1) This chapter governs the treatment of nonpublic personal financial information and nonpublic personal health information about individuals by all licensees of the insurance division.

90.1(2) This chapter also applies to nonpublic personal financial information and nonpublic personal health information about individuals who obtain or are claimants or beneficiaries of products or services primarily for personal, family or household purposes from licensees. This chapter does not apply to information about individuals or companies that obtain products or services for business, commercial or agricultural purposes.

ITEM 3. Amend rule 191—90.2(505) by adding the following new definitions in alphabetical order:

“Health care” means preventive, diagnostic, therapeutic, rehabilitative, maintenance or palliative care, services, procedures, tests or counseling that relates to the physical, mental or behavioral condition of an individual or affects the structure or function of the human body or any part of the human body including the banking of blood, sperm, organs or any other tissues. “Health care” also means prescribing, dispensing or furnishing to an individual drugs or biologicals or medical devices or health care equipment and supplies.

“Health care provider” means a health care practitioner licensed, accredited or certified to perform specified health services consistent with state law, or a health care facility.

“Health information” means any information or data except age or gender, whether oral or recorded in any form or medium, created by or derived from a health care provider or the consumer that relates to the following:

1. The past, present or future physical, mental or behavioral health or condition of an individual;

2. The provision of health care to an individual; or

3. Payment for the provision of health care to an individual.

“Nonpublic personal health information” means health information that identifies an individual who is the subject of the information or with respect to which there is a reasonable basis to believe that the information could be used to identify an individual.

ITEM 4. Amend 191—Chapter 90 by adopting the following new division title before rule 191—90.3(505):

ITEM 5. Amend 191—Chapter 90 by adopting the following new Division II and renumbering existing rules 191—90.17(505) to 191—90.21(505) as 191—90.22(505) to 191—90.26(505):

90.17(1) A licensee shall not disclose nonpublic personal health information about a consumer or customer unless an authorization is obtained from the consumer or customer whose nonpublic personal health information is sought to be disclosed.

90.17(2) Nothing in this rule shall prohibit, restrict or require an authorization for the disclosure of nonpublic personal health information by a licensee for the performance of the following insurance functions by or on behalf of the licensee: claims administration; claims adjustment and management; detection, investigation or reporting of actual or potential fraud, misrepresentation or criminal activity; underwriting; policy placement or issuance; loss control; rate–making and guaranty fund functions; reinsurance and excess loss insurance; risk management; case management; disease management; quality assurance; quality improvement; performance evaluation; provider credentialing verification; utilization review; peer review activities; actuarial, scientific, medical or public policy research; grievance procedures; internal administration of compliance, managerial, and information systems; policyholder service functions; auditing; reporting; database security; administration of consumer disputes and inquiries; external accreditation standards; the replacement of a group benefit plan or workers’ compensation policy or program; activities in connection with a sale, merger, transfer or exchange of all or part of a business or operating unit; any activity that permits disclosure without authorization pursuant to the federal Health Insurance Portability and Accountability Act privacy rules promulgated by the U.S. Department of Health and Human Services; disclosure that is required, or is one of the lawful or appropriate methods, to enforce the licensee’s rights or the rights of other persons engaged in carrying out a transaction or providing a product or service that a consumer requests or authorizes; and any activity otherwise permitted by law, required pursuant to governmental reporting authority, or to comply with legal process. Additional insurance functions may be added with the approval of the commissioner to the extent they are necessary for appropriate performance of insurance functions and are fair and reasonable to the interest of consumers.

90.18(1) A valid authorization to disclose nonpublic personal health information pursuant to the health information rules shall be in written or electronic form and shall contain all of the following:

a. The identity of the consumer or customer who is the subject of the nonpublic personal health information;

b. A general description of the types of nonpublic personal health information to be disclosed;

c. General descriptions of the parties to whom the licensee discloses nonpublic personal health information, the purpose of the disclosure and how the information will be used;

d. The signature of the consumer or customer who is the subject of the nonpublic personal health information or the individual who is legally empowered to grant authority and the date signed; and

e. Notice of the length of time for which the authorization is valid and that the consumer or customer may revoke the authorization at any time and the procedure for making a revocation.

90.18(2) An authorization for the purposes of the health information rules shall specify a length of time for which the authorization shall remain valid, which in no event shall be for more than 24 months.

90.18(3) A consumer or customer who is the subject of nonpublic personal health information may revoke an authorization provided pursuant to the health information rules at any time, subject to the rights of an individual who acted in reliance on the authorization prior to notice of the revocation.

90.18(4) A licensee shall retain the authorization or a copy in the record of the individual who is the subject of nonpublic personal health information.

191—90.19(505) Delivery of authorization request. A request for authorization and an authorization form may be delivered to a consumer or a customer as part of an opt–out notice pursuant to rule 90.8(505), provided that the request and the authorization form are clear and conspicuous. An authorization form is not required to be delivered to the consumer or customer or included in any other notices unless the licensee intends to disclose protected health information pursuant to subrule 90.17(1).

191—90.20(505) Relationship to federal rules. Irrespective of whether a licensee is subject to the federal Health Insurance Portability and Accountability Act privacy rules promulgated by the U.S. Department of Health and Human Services, if a licensee complies with all requirements of the federal rule except for its effective date provision, the licensee shall not be subject to the provisions of these health information rules.

191—90.21(505) Relationship to state laws. Nothing in these health information rules shall preempt or supersede existing state law related to medical records, health or insurance information privacy.

ITEM 6. Adopt the following new subrule:

90.26(4) The rules regarding health information are effective November 7, 2001. However, no administrative action against noncompliance shall be taken until January 1, 2002.

Pursuant to the authority of Iowa Code section 80B.11, the Iowa Law Enforcement Academy gives Notice of Intended Action to amend Chapter 3, “Certification of Law Enforcement Officers,” Iowa Administrative Code.

This proposed amendment clarifies and further defines the time limit within which an officer must achieve certification and provides that if certification is not in fact obtained the officer is not eligible for a law enforcement position for a period of at least one year.

Any interested person may make written comments or suggestions on this proposed amendment on or before August 28, 2001. Such written materials should be sent to Gene W. Shepard, Director, Iowa Law Enforcement Academy, P.O. Box 130, Johnston, Iowa 50131–0130, or faxed to (515) 242–5471.

There will be a public hearing on the proposed amendment on August 28, 2001, at 9 a.m. in the conference room at the Iowa Law Enforcement Academy, Camp Dodge, Johnston, Iowa, at which time persons may present their views orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendment.

This amendment was approved by the Iowa Law Enforcement Academy Council on June 7, 2001.

This amendment is intended to implement Iowa Code section 80B.11(2).

The following amendment is proposed.

Amend rule 501—3.1(80B) by adopting the following new subrules:

3.1(5) The time period within which a person must achieve certification as a law enforcement officer in the state of Iowa as specified in rule 501—3.1(80B) shall commence on the day a person is first employed as a regular law enforcement officer in the state of Iowa. Any subsequent changes in a law enforcement officer’s employment status, including transfers to a different employing agency, shall not toll nor otherwise extend the certification period.

3.1(6) Should a person employed as a law enforcement officer fail to achieve certification within the time period or any extensions allowed by rule 501—3.1(80B), that person shall not be eligible for employment as and shall not serve as a regular or a reserve law enforcement officer in the state of Iowa for a period of not less than one year from the date the time period in which to achieve certification specified in rule 501—3.1(80B) expired, or from the date that the person was last employed as a regular law enforcement officer in the state of Iowa.

Pursuant to the authority of Iowa Code sections 17A.3 and 147.76, the Board of Nursing hereby gives Notice of Intended Action to amend Chapter 5, “Continuing Education,” Iowa Administrative Code.

These amendments:

1. Reduce the continuing education requirement from 45 to 36 contact hours/3.6 CEUs for a three–year license.

2. Eliminate the credit carry–over exception.

3. Eliminate special approval requirements for self–study if the course is recognized by mandatory states or the four nursing accrediting organizations: American Nurses’ Association, National League for Nursing, National Federation of Licensed Practical Nurses, and National Association of Practical Nurse Education and Service.

4. Clarify the special approval requirement for a self–study course, Internet course, or live presentation attended outside Iowa.

5. Add a provision for accepting make–up credit for audit failures.

6. Eliminate the requirement for waiting one year to reapply for provider approval when an approved provider has voluntarily relinquished approved provider status.

The remaining amendments eliminate duplication, clarify the intent, and provide for consistency of terms.

Any interested person may make written comments or suggestions on or before September 19, 2001. Such written materials should be directed to the Executive Director, Iowa Board of Nursing, RiverPoint Business Park, 400 S.W. 8th Street, Suite B, Des Moines, Iowa 50309–4685. Persons who want to convey their views orally should contact the Executive Director at (515)281–3256, or in the Board office at 400 S.W. 8th Street, by appointment.

There will be a public hearing on September 19, 2001, at5 p.m. in the Ballroom, Kirkwood Civic Center Hotel, Fourth and Walnut, Des Moines, Iowa. Persons may present their views at the public hearing either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the proposed rules.

Item 4, the amendment to subrule 5.2(2), paragraph “c,” was also Adopted and Filed Emergency and is published herein as ARC 0878B.

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

The following amendments are proposed.

ITEM 1. Amend rule 655—5.1(152), definition of “approved provider,” to read as follows:

“Approved provider” means those persons, organizations, or institutions that meet the criteria specified in subrule 5.3(2) and are authorized by the board to offer approved continuing education programs. Provider approval applies to all programs regardless of geographic location.

ITEM 2. Amend rule 655—5.1(152), by adding, in alphabetical order, the following new definition:

“In–service” means activities intended to assist nurses to acquire, maintain, or expand nurses’ knowledge and skills in fulfilling the assigned responsibilities specific to the expectations of the employer.

ITEM 3. Amend subrule 5.2(2), paragraph “a,” introductory paragraph, to read as follows:

a. Forty–five Thirty–six contact hours or 4.5 3.6 continuing education units (CEUs) shall be required for renewal of a three–year license. Thirty Twenty–four contact hours or 3.0 2.4 CEUs shall be required for renewal of license which was issued for less than three years as a result of one of the following:

ITEM 4. Amend subrule 5.2(2), paragraph “c,” to read as follows:

c. Continuing education credits from a previous license period shall not be used, nor shall credits be accumulated for use in a future licensing period. An exception may be granted to an individual licensee by the board office for continuing education credits earned from the time the licensee has satisfactorily completed the requirements for renewal and before expiration of the license. The continuing education earned during this time may be applied to the next licensure period and shall meet criteria established in this chapter. The licensee who wishes this exception shall submit a written request at the time of license renewal. This exception requires submission of the written request with the requirements for license renewal as specified in 655—subrule 3.7(3). The licensee shall retain the letter granting the exception from the board office, in addition to the certificate of attendance.

ITEM 5. Amend subrule 5.2(2), paragraph “e,” to read as follows:

e. To be approved for continuing education credit, formal offerings shall meet the qualifications of appropriate subject matter as specified in subrule 5.3(2), paragraph “a,” or be required as a part of a formal toward meeting the requirements of a nursing education program which extends beyond the education completed for the original nursing license. Questions about whether particular formal offerings will be approved may be directed to the board office. A denial of approval may be appealed to the board within one month of the denial. The licensee shall retain a transcript exhibiting a passing grade for each formal offering or verification of attendance for offerings which are audited.

ITEM 6. Amend subrule 5.2(2), paragraph “f,” subparagraph (2), to read as follows:

(2) Informal offerings offered attended outside of Iowa or offered as self–study, including Internet self–study, shall be accepted when approved recognized by other state boards of nursing with mandatory continuing education requirements

or offered by the American Nursesederation of Licensed Practical Nurses, National Association for Practical Nurse Education and Service, Inc. These informal offerings shall be in accordance with the continuing education standards as follows:

1. American Nurses’ Credentialing Center Manual for Accreditation as a Provider of Continuing Education in Nursing in effect in 1986 2001 and the Manual for Accreditation as an Approver of Continuing Education in effect in 1986 2001.

2. National League for Nursing criteria and guidelines of the International Association for Continuing Education and Training, fourth edition, in effect in 1991 2000.

3. National Federation of Licensed Practical Nurses Continuing Education Department policies and procedures in effect in 1986 1997.

4. National Association for Practical Nurse Education and Service, Inc. (NAPNES) Criteria for Approval of Continuing Education in effect in 1986 2000.

ITEM 7. Amend subrule 5.2(2), paragraph “f,” subparagraph (3), to read as follows:

(3) Informal offerings offered from nonapproved providers outside of Iowa by a nonapproved provider or an organization not specified in subrule 5.2(2), paragraph “f,” subparagraph (2), whether it be a self–study course, an Internet self–study course, or a live presentation attended outside of Iowa, shall be accepted when specially approved by the board for an individual licensee. A licensee shall obtain special approval from the board office in order to receive credit acceptable to fulfill the requirements. The special approval application form is available from the board office upon request. Special approval requires submission of a completed application and a brochure, advertisement, or course description prior to the completion of the licensure period. Course content shall meet the qualifications of appropriate subject matter as specified in subrule 5.3(2), paragraph “a.” The licensee shall retain the approval letter from the board office, in addition to the certificate of attendance received from the nonapproved provider. A denial of approval may be appealed to the board within one month of the denial.

ITEM 8. Amend subrule 5.2(3), paragraph “a,” subparagraph (2), to read as follows:

(2) A licensee, who served on active duty for a portion of a license period but is not on active duty at the time of renewal, shall comply with continuing education requirements of Iowa for the remainder of the license period. The required hours are prorated at 15 12 contact hours per year for each period of 12 consecutive months when not on active duty.

ITEM 9. Amend subrule 5.2(3), paragraph “b,” subparagraph (2), to read as follows:

(2) A licensee, who resided out of state for a portion of a license period but is residing in Iowa at the time of renewal, shall comply with continuing education requirements of Iowa for the remainder of the license period. The required hours are prorated at 15 12 contact hours per year for each period of 12 consecutive months of residence in Iowa.

ITEM 10. Amend subrule 5.2(3), paragraph “c,” introductory paragraph, to read as follows:

c. A licensee shall be deemed to have complied with the continuing education requirements during periods that person is a government employee working as a registered nurse or licensed practical nurse and assigned to duty outside of the United States as specified in Iowa Code section 272C.2(3 4). The continuing education credit requirement shall be waived; however, a licensee who claims this exception shall retain evidence of government employment outside the United States to be presented upon request from the board.

ITEM 11. Amend subrule 5.2(3), paragraph “c,” subparagraph (2), to read as follows:

(2) A licensee who is a government employee serving outside the United States for a portion of a license period, but is not in that status at the time of renewal, shall comply with continuing education requirements of Iowa for the remainder of the license period. The required hours are prorated at 15 12 contact hours per year for each period of 12 consecutive months when not in that status.

ITEM 12. Amend subrule 5.2(3), paragraph “d,” subparagraph (2), to read as follows:

(2) A licensee who is serving in such a position for a portion of the license period, but is not in that status at the time of renewal, shall comply with continuing education requirements of Iowa for the remainder of the license period. The required hours are prorated at 15 12 contact hours per year for each period of 12 consecutive months when not in that status.

ITEM 13. Amend subrule 5.2(4), paragraph “c,” subparagraph (1), to read as follows:

(1) To reinstate a license, the licensee shall complete 15 12 contact hours of continuing education as well as other requirements specified in nursing board 655—subrule 3.7(5). The continuing education shall have been earned within 12 months prior to reinstatement.

ITEM 14. Amend subrule 5.2(5) by adding the following new paragraph “c,” and relettering paragraphs “c” to “f” as “d” to “g.”

c. If submitted materials are incomplete or unsatisfactory, the licensee shall be notified. The licensee shall be given the opportunity to submit make–up credit to cover the deficit found through the audit. The deadline for receipt of the documentation for this make–up credit is within 90 days of receipt of the board office notification.

ITEM 15. Amend subrule 5.3(2), paragraph “a,” subparagraph (2), to read as follows:

(2) Professional growth and development related to nursing practice roles and designed to enhance the delivery of patient care and health service.

ITEM 16. Amend subrule 5.3(2), paragraph “b,” subparagraph (9), to read as follows:

(9) Provide notification to licensees of the availability of informal offerings. A brochure or written advertisement shall be developed for all informal offerings other than learner designed self–study and a copy shall be sent to the board prior to each offering. The brochure or advertising shall accurately describe the activities by including the date, time, location, statement of purpose, educational objectives, intended audience, credentials of instructors, costs and items covered by the fee, refund policy, and amount of continuing education credit to be awarded, and, if applicable, costs and items covered by the fee and refund policy. The board–approved provider number shall appear on the brochure or written advertisement.

ITEM 17. Amend subrule 5.3(2), paragraph “b,” subparagraph (11), to read as follows:

(11) Develop policies and procedures for verification of satisfactory completion of the activity by each participant including a system for verification of satisfactory completion, the control methods to ensure completion and a method to inform participants that completion of the offering is required prior to the award of credit. The provider shall not require exchanging an evaluation form for a certificate of completion. The provider may award credit to other members of the providership who attend but do not serve as organizers during the actual offering. The provider may make an exception and award partial credit in extreme emergency conditions. The provider may make an exception and award credit for the portion of time the speaker attended the offering excluding the presentation time; however, full credit may be awarded to a speaker who presents the offering for the first time. The provider may base the verification of satisfactory completion of an extended course on the participant participant’s meeting the course objectives rather than on the number of sessions attended.

ITEM 18. Amend subrule 5.3(2), paragraph “b,” subparagraph (13), to read as follows:

(13) Assign credit according to a uniform measure of credit as defined in subrule 5.2(2), paragraph “d.” Credit shall be granted in increments of half hours or whole hours; however, no No credit shall be awarded for less than one contact hour or .1 CEU.

ITEM 19. Rescind subrule 5.3(2), paragraph “c,” subparagraph (1), and insert in lieu thereof, the following new subparagraph:

(1) Maintain participant records for a minimum of four years from the date of program completion. The participant records shall include the name of licensee, license number, contact hours or CEUs awarded, offering titles, and dates of offerings. The record system shall provide for secure storage and retrieval of the participant records of continuing education. Secure storage shall include limiting employee access and describing security measures. Individual attendance and information regarding each offering shall be available within two weeks upon request from individual nurses or the board. If individual nurses are assessed a fee for this retrieval service, the fee shall be specified.

ITEM 20. Amend subrule 5.3(2), paragraph “c,” subparagraph (3), to read as follows:

(3) A Furnish a certificate shall be furnished to each participant documenting completion of the offering the date the credit was earned. The front of the certificate shall display: participant’s name, provider number, contact hours or continuing education units awarded, starting and ending dates of the offering, subject matter taken, and a reminder to the participant to retain the certificate for four years. A certificate issued by electronic means must be a print–only file.

ITEM 21. Amend subrule 5.3(3), paragraph “a,” subparagraphs (7), (9), (10) and (12), to read as follows:

(7) A policy for record system and maintenance.

A policy regarding the certificate and a sample of the certificate to be used.

A sample of a written agreement for learner designed self–study, if applicable.

(9) Registration A policy for registration procedures and tuition refund.

(10) Tuition refund A policy for the written advertisement.

(12) A policy regarding program participant and provider evaluation.

ITEM 22. Amend subrule 5.3(4), paragraph “a,” introductory paragraph, to read as follows:

a. The board shall send an application for reapproval to an approved provider four six months before the expiration of the current approval. The completed application shall be submitted to the board office no later than two three months prior to the expiration of the current approval. The application requires submission of the following materials:

ITEM 23. Amend subrule 5.3(4), paragraph “b,” subparagraph (3), to read as follows:

(3) If the submitted materials are incomplete or unsatisfactory, the designee shall notify the provider of the decision within two weeks of the committee review. The provider shall be given the opportunity to meet the criteria within two weeks 30 days of the receipt of the board office notification. If the provider is unable to meet the requirements, the designee shall recommend nonapproval at the next regularly scheduled board meeting.

ITEM 24. Amend subrule 5.3(6) by relettering paragraph “b” as “c” and paragraph “c” as “b.”

ITEM 25. Amend subrule 5.3(6), relettered paragraph “c,” to read as follows:

c. The provider whose approved provider status has been voluntarily relinquished may apply no sooner than one year after the relinquishment to become an approved provider by starting the initial approval process specified in subrule 5.3(3).

Pursuant to the authority of Iowa Code section 147.76, the Board of Physician Assistant Examiners hereby terminates the rule making initiated by its Notice of Intended Action published in the Iowa Administrative Bulletin on February 7, 2001, as ARC 0450B, amending Chapter 325, “Physician Assistants,” Iowa Administrative Code.

The Board approved the termination in a regularly scheduled meeting on July 18, 2001.

The Notice proposed to adopt a new Chapter 325, “Physician Assistants,” which would revise application and licensing rules, remove unnecessary approval processes in the licensure and registration of physician assistants, amend language referring to remote medical clinics, and update free clinic language.

The Board is terminating the rule making commenced in ARC 0450B and may renotice the proposed rule, if determined appropriate following further review.

Pursuant to the authority of Iowa Code section 135.11, the Department of Public Health hereby gives Notice of Intended Action to rescind Chapter 4, “Birth Defects Institute,” Iowa Administrative Code, and adopt new Chapter 4 with the same title.

The proposed new chapter provides program explanation for the five programs of the Birth Defects Institute within the Department. The chapter details the activities and responsibilities of the programs as well as the responsibilities of health care providers, county registrars, birthing facilities and drawing laboratories in complying with the programs’ functions and activities.

The chapter is intended to comply with Executive Order Number 8 executed and signed by the Governor on September 14, 1999. The Executive Order directs state agencies to update their administrative rules to ensure that the rules are necessary, reasonable, effective, clear and fair, reflect stakeholder involvement, and are consistent with legislative intent and statutory authority.

Any interested person may make written comments or suggestions on the proposed rules on or before August 28, 2001. Such written comments should be directed to Tonya Diehn, Community Health Consultant, Birth Defects Institute, Department of Public Health, Lucas State Office Building, 321 E. 12th Street, Des Moines, Iowa 50319. E–mail may be sent to tdiehn@idph.state.ia.us.

A public hearing will be held over the Iowa Communications Network (ICN) on August 28, 2001, from 11 a.m. to 12 noon in the ICN Conference Room, Lucas State Office Building, 321 E. 12th Street, Sixth Floor, Des Moines, Iowa 50319. Additional ICN sites for the hearing are scheduled for the following locations:

Trospar–Hoyt County Services Building

Department of Human Services

822 Douglas St.

Sioux City, Iowa 51101

North Hall Room 107

University of Iowa

(at the end of N. Madison St.)

Iowa City, Iowa 52242

Kimberly Center

1002 W. Kimberly

Davenport, Iowa 52806

North Iowa Area Community College

500 College Drive

Mason City, Iowa 50401

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. Any person who plans to attend the public hearing and who may require special accommodations, such as those for hearing or mobility impairments, should contact the Department and advise of specific needs.

These rules are intended to implement Iowa Code chapter 136A.

The following amendment is proposed.

Rescind 641—Chapter 4 and adopt the following new chapter in lieu thereof:

CHAPTER 4
BIRTH DEFECTS INSTITUTE

641—4.1(136A) Program explanation. The birth defects institute within the department of public health consists of the Iowa neonatal metabolic screening program, the expanded maternal serum alpha–fetoprotein screening program, the regional genetic consultation service, the neuromuscular and related genetic disease program and the Iowa birth defects registry. The birth defects advisory committee represents the interests of the people of Iowa and assists in the development of programs that ensure the availability of and access to quality genetic health care services by all residents. The committee advises the director of the department of public health regarding issues related to genetics and hereditary and congenital disorders and makes recommendations about the design and implementation of the institute’s programs. Committee membership is made up of representatives of professional groups, agencies, legislators, consumers and individuals with an interest in promoting genetic services for the residents of Iowa.

641—4.2(136A) Definitions. For the purposes of this chapter, the following definitions shall apply:

“Central laboratory” means the University Hygienic Laboratory.

“Central registry” means the Iowa birth defects registry.

“Committee” means the birth defects advisory committee.

“Department” means the Iowa department of public health.

“Director” means the director of the Iowa department of public health.

“Institute” means the birth defects institute within the Iowa department of public health.

641—4.3(136A) Iowa neonatal metabolic screening program. This program provides comprehensive newborn screening services for hereditary and congenital disorders for the state.

4.3(1) Newborn screening policy. It shall be the policy of the state of Iowa that all newborns shall be screened for hypothyroidism, phenylketonuria (PKU), galactosemia, hemoglobinopathies, congenital adrenal hyperplasia (CAH), and medium–chain acyl–CoA dehydrogenase (MCAD) deficiency.

As new disorders are recognized and new technologies and tests become available, the institute shall follow protocols developed by the department in regard to the addition or deletion of disorders to the screening panel. The state board of health shall provide final approval for the addition of new disorders to the screening panel.

4.3(2) Health care provider responsibility. The licensed attending health care provider shall have the responsibility for ensuring that infants under the provider’s care are screened. A parent or guardian shall be informed of the type of specimen, how it is obtained, the nature of the disorders being screened, and the consequences of treatment and non–treatment. Should a parent or guardian refuse the screening, said refusal shall be documented in writing on the Iowa neonatal metabolic screening program waiver. The parent or guardian and licensed attending health care provider shall sign the waiver. The parent or guardian and the Iowa neonatal metabolic screening program shall be provided with a copy of the waiver. The original copy of the waiver shall become a part of the infant’s medical record.

4.3(3) County registrar responsibility. When a parent or guardian visits a county registrar’s office to register a birth that was not attended by a licensed health care provider, the county registrar shall inform the parent or guardian of the need for a blood test to screen for hereditary and congenital disorders.

4.3(4) Neonatal metabolic screening procedure.

a. Collection of specimens. A filter paper blood specimen shall be collected from the infant at least 24 hours after the infant’s birth, but not later than five days after the infant’s birth.

EXCEPTIONS:

(1) A blood specimen must be collected before any transfusion, even if the infant is less than 24 hours old.

(2) All infants shall be screened prior to discharge even if the infant is less than 24 hours old.

(3) An infant transferred to another medical facility must be screened by the receiving facility unless the infant has already been screened. The transferring facility is responsible for notifying the receiving facility of the status of metabolic screening.

(4) An exception to this time sequence shall be accepted for infants of parents or guardians informed by a county registrar of the need for metabolic screening.

b. Submission of specimens. All specimens shall be forwarded by first–class mail or other appropriate means within 24 hours after collection to the University Hygienic Laboratory, the institute’s designated central laboratory.

c. Processing of specimens. The central laboratory shall process specimens within 24 hours of receipt. The central laboratory shall notify the submitting health care provider, birthing facility or drawing laboratory of an unacceptable specimen and the need for another specimen.

d. Reporting of presumptive positive test results. A presumptive positive test result shall be reported within 24 hours to the consulting physician, or the physician’s designee, who shall then notify the attending health care provider. This initial report shall be followed by a written report to the attending health care provider and the birthing facility.

4.3(5) Consulting physician responsibility. Consulting physicians shall be designated by the institute in collaboration with the central laboratory to provide interpretation of test results and consultation to licensed health care providers. Under the direction of consulting physicians, follow–up programs shall be available for all individuals identified by newborn metabolic screening. The activities shall include consultation, treatment when indicated, case management, education and quality assurance. The follow–up programs shall submit an annual report to the institute summarizing these activities.

4.3(6) Central laboratory responsibility. The central laboratory shall:

a. Process specimens within 24 hours of receipt.

b. Notify the submitting heath care provider, birthing facility or drawing laboratory of an unacceptable specimen and the need for another specimen.

c. Report a presumptive positive test result within 24 hours to the consulting physician or the physician’s designee.

d. Distribute specimen collection forms, screening waivers, and other materials to birthing facilities.

e. Provide educational materials concerning specimen collection procedures.

f. Have available for review and provide to the department a written quality assurance policy covering all aspects of its newborn screening activity.

g. Submit semiannual and annual reports to the institute. These reports shall include (1) number of infants screened by birthing facility, (2) number of repeat screens by birthing facility, (3) number of presumptive positive results by disorder, (4) number of confirmed positive results by disorder, (5) number of rejected specimens by facility, (6) number of waivers received by facility, (7) results of quality assurance testing, and (8) screening activity, fiscal accounting and educational activity details.

h. Act as fiscal agent for program charges encompassing the analytical, technical, administrative, educational, andfollow–up costs for the screening program.

4.3(7) Retention, use and disposition of neonatal metabolic screening specimens.

a. A neonatal metabolic screening specimen collection form consists of dried blood spots on filter paper and attached infant and birthing center information.

b. Specimen collection forms shall be held for one month in a locked area at the central laboratory. After one month, the forms shall be incinerated unless kept for program evaluation or research use.

c. Research use. Only anonymized specimens shall be made available for research purposes.

(1) An anonymized specimen is defined as one which cannot be traced back to or linked with the particular infant from whom the specimen was obtained. Specimens shall be anonymized by removing the dried blood spot portion from the infant information portion of the specimen collection form.

(2) Investigators shall submit proposals to use anonymized specimens to the committee. Any intent to utilize nonidentifiable information associated with the dried blood spot sample for the research study must be clearly delineated in the proposal.

(3) Before research can commence, proposals shall be approved by the appropriate human subjects review committees, the birth defects advisory committee, and the department.

4.3(8) Neonatal metabolic screening fee determination. Sixty days prior to the end of the fiscal year, the central laboratory and the consulting physicians shall submit a combined program proposal and budget to the institute for the coming year. The department shall annually review and determine the fee to be charged for all activities associated with this program. The review and fee determination shall be completed at least one month prior to the beginning of the fiscal year.

641—4.4(136A) Expanded maternal serum alpha–fetoprotein screening program. This program provides comprehensive maternal alpha–fetoprotein screening services for the state.

4.4(1) Maternal screening policy. It shall be the policy of the state of Iowa that all pregnant women are offered expanded maternal serum alpha–fetoprotein screening. If a patient desires this screening test, the specimen shall be drawn and submitted by her health care provider to the University Hygienic Laboratory, the institute’s designated central laboratory.

4.4(2) Expanded maternal serum alpha–fetoprotein screening procedure.

a. Collection of specimens. A serum or clotted blood specimen shall be collected from the patient during 15 to 20 weeks of gestation.

b. Processing of specimens. The central laboratory shall test specimens within three working days of receipt.

c. Reporting of abnormal results. Abnormal test results shall be reported within 24 hours to the consulting physician or the physician’s designee who shall then notify the submitting health care provider. On the next working day, this initial report shall be followed by a written report to the submitting health care provider.

4.4(3) Consulting physician responsibility. A consulting physician shall be designated by the institute in collaboration with the central laboratory to provide interpretation of test results and consultation to the submitting health care provider. This physician shall provide consultation for abnormal test results, assist with questions about management of identified cases, provide education and assist with quality assurance measures. The screening program with assistance from the consulting physician shall submit semiannual and annual reports to the institute detailing program activities.

4.4(4) Central laboratory responsibility. The central laboratory shall:

a. Test specimens within three working days of receipt.

b. Distribute specimen collection kits and other materials to health care providers’ offices and drawing facilities as required.

c. Inform the submitting health care provider or drawing facility of an unacceptable specimen and request another specimen.

d. Provide educational materials concerning specimen collection procedures.

e. Have available for review a written quality assurance program covering all aspects of its screening activity.

f. Submit a monthly report detailing screening activity to the consulting physician. This report shall include (1) number of initial tests, (2) number of repeat tests, and (3) results of quality assurance testing.

g. Act as a fiscal agent for program charges encompassing the analytical, technical, administrative, educational and follow–up costs for the screening program.

4.4(5) Expanded maternal serum alpha–fetoprotein screening fee determination. Sixty days prior to the end of the fiscal year, the central laboratory and the consulting physician shall submit a combined program proposal and budget to the institute for the coming year. The department shall annually review and determine the fee to be charged for activities associated with this program. The review and fee determination shall be completed at least one month prior to the beginning of the fiscal year.

641—4.5(136A) Regional genetic consultation service (RGCS). This program provides comprehensive genetic services statewide through outreach clinics.

4.5(1) Provision of comprehensive genetic services. The department shall contract with the Division of Medical Genetics within the Department of Pediatrics at the University of Iowa to provide genetic health care and education outreach services for individuals and families within Iowa. The contractor shall provide semiannual and annual reports to the department as specified in the contract.

4.5(2) Clinic services. The services provided may include, but are not limited to: diagnostic evaluations, confirmatory testing, consultation by board–certified geneticists, genetic counseling, medical and case management, and referral to appropriate agencies.

4.5(3) Patient fees. A sliding fee scale for clinical services shall be established for patients attending the outreach clinics. The parameters for the sliding fee scale shall be based on federally established percent of poverty guidelines and updated annually.

Families/clients seen in the regional genetic consultation service clinics shall have bills submitted to third–party payers where applicable. Families/clients shall be billed on a sliding fee scale after third–party payment is received. Payments received from receipts of service based on the sliding fee scale or from the third–party payers shall be used only to support the RGCS.

641—4.6(136A) Neuromuscular and other related genetic disease program (NMP). This program provides comprehensive services statewide for individuals and families with neuromuscular disorders through outreach clinics.

4.6(1) Provision of comprehensive services. The department shall contract with the Department of Pediatrics at the University of Iowa to provide neuromuscular health care, case management and education outreach services for individuals and families within Iowa. The contractor shall provide semiannual and annual reports to the department asspecified in the contract.

4.6(2) Clinical services. The services provided mayinclude, but are not limited to: diagnostic evaluations, confirmatory testing, physical therapy, consultation by board–certified neurologists, genetic counseling, medical and case management, supportive services and referral to appropriate agencies.

4.6(3) Patient fees. A sliding fee scale for clinical services shall be established for patients attending the outreach clinics. The parameters for the sliding fee scale shall be based on federally established percent of poverty guidelines and updated annually.

Families/clients seen in neuromuscular outreach clinics shall have bills submitted to third–party payers where applicable. Families/clients shall be billed on a sliding fee scale after third–party payment is received. Payments received from receipts of service based on the sliding fee scale or from the third–party payers shall be used only to support the neuromuscular outreach clinics.

641—4.7(136A) Iowa birth defects registry. The Iowa birth defects registry provides active birth defect surveillance statewide.

4.7(1) Definition. Birth defects shall be defined as any structural or genetic abnormality that may adversely affect a child’s health and development.

4.7(2) Birth defect surveillance policy. It shall be the policy of the state of Iowa that birth defects occurring in Iowa are reportable conditions and that records of these birth defects shall be abstracted pursuant to 641—1.3(139A) and maintained in a central registry.

Birth defects surveillance shall be performed in order to determine the occurrence and trends of birth defects, to conduct thorough and complete epidemiological surveys, to assist in the planning for and provision of services to children with birth defects and their families, and to identify environmental and genetic risk factors for birth defects.

4.7(3) Central registry activities.

a. The institute shall establish an agreement with the University of Iowa to implement the activities of the central registry.

b. The central registry shall use the birth defects coding scheme defined by the Centers for Disease Control and Prevention (CDC) of the United States Public Health Service.

c. The central registry staff shall review hospital records, clinical charts, physician’s records, vital records and prenatal records pursuant to 614—1.3(139A) and any other information that the central registry deems necessary and appropriate for birth defects surveillance.

d. A reportable defect occurring in a fetal death or pregnancy termination may be included in the central registry.

4.7(4) Department responsibility.

a. When a live infant’s medical records are ascertained by the central registry, the department or its designee shall inform the parent or legal guardian by letter that this information has been collected and provide the parent or guardian with information about services for which the child and family may be eligible.

b. The institute and the central registry shall annually release aggregate medical and epidemiological information to medical personnel and appropriate state and local agencies for the planning and monitoring of services for children with birth defects.

4.7(5) Confidentiality and disclosure of information. Reports, records, and other information collected by or provided to the Iowa birth defects registry relating to a person known to have or suspected of having a birth defect are confidential records pursuant to Iowa Code section 22.7.

Personnel of the central registry and the department shall maintain the confidentiality of all information and records used in the review and analysis of birth defects, including information which is confidential under Iowa Code chapter 22 or any other provisions of state law.

Central registry personnel are authorized pursuant to 641—1.3(139A) to gather all information relevant to the review and analysis of birth defects. This information may include, but is not limited to, hospital records, physician’s rec–ords, clinical charts, birth records, death records, fetal death records, prenatal records, vital records, and other reports relevant and necessary for birth defects surveillance.

No individual or organization providing information to the Iowa birth defects registry in accordance with this rule shall be deemed or held liable for divulging confidential information.

4.7(6) Access to information in the central registry. The central registry and the department shall not release confidential information except to the following, under the following conditions:

a. The parent or guardian of an infant or child for whom the report is made.

b. A local birth–to–three coordinator or an agency under contract with the department to administer the children with special health care needs program, upon receipt of written consent from the parent or guardian of the infant or child.

c. A local health care provider, upon receipt of written consent from the parent or guardian of the infant or child.

d. A representative of a federal or state agency, to the extent that the information is necessary to perform a legally authorized function of that agency. The information provided may not include the personal identifiers of an infant or child with a reportable birth defect.

e. Research purposes.

(1) All proposals for research to be conducted using central registry data by persons other than program staff shall first be submitted to and accepted by the researcher’s institutional review board. The department, the central registry director and the central registry’s executive committee may then review and approve the accepted research proposal before the research commences.

(2) The central registry shall submit to the Iowa birth defects registry executive committee, the state coordinator for genetic services, and the birth defects advisory committee for approval a protocol describing any research conducted by the registry in which the registry deems it necessary to contact case subjects and controls.

These rules are intended to implement Iowa Code chapter 136A.

Pursuant to the authority of Iowa Code section 135.11, the Iowa Department of Public Health hereby gives Notice of Intended Action to rescind Chapter 25, “State Plumbing Code,” Iowa Administrative Code, and adopt a new Chapter 25 with the same title.

The rules describe the minimum standards for plumbing materials and plumbing methods in Iowa cities.

An ad hoc plumbing code advisory committee was formed to provide guidance to the Department on revising the rules. The advisory committee was composed of plumbing inspectors, building officials, union representatives, builders, engineers, and architects.

Following is a summary of the major changes from the existing rules.

Rule 25.1(135) now references sections of the Uniform Plumbing Code, 2000 Edition. The previous rule referenced the Uniform Plumbing Code, 1994 Edition. The chapter and section references have changed.

Any interested person may make written suggestions or comments on these rules prior to August 28, 2001. Written materials should be directed to Michael Magnant, IowaDepartment of Public Health, 321 E. 12th Street, Des Moines, Iowa 50319–0075; fax (515)281–4529; E–mail mmagnant@idph.state.ia.us.

There will be a public hearing on August 28, 2001, at 1 p.m. in Room 518, Lucas State Office Building, 321 E. 12th Street, Des Moines, at which time persons may present their views either orally or in writing. Any persons who intend to attend a public hearing and have special requirements such as hearing or mobility impairments should contact the Department of Public Health and advise staff of specific needs.

These rules are intended to implement Iowa Code chapter 135.

The following amendment is proposed.

Rescind 641—Chapter 25 and adopt in lieu thereof the following new chapter:

CHAPTER 25
STATE PLUMBING CODE

641—25.1(135) Adoption. Sections of Chapter 1 listed below, Chapters 2 to 10, and Chapters 13 to 15 of the Uniform Plumbing Code, 2000 Edition, as published by the International Association of Plumbing and Mechanical Officials, 20001 South Walnut Drive, Walnut, California 91789–2825, are hereby adopted by reference with amendments as the state plumbing code authorized by Iowa Code section 135.11(5).

101.3 101.5 103.8

101.4 103.5.3

Local ordinances or rules and regulations may provide for higher but not lower standards than those found in the state plumbing code. Local ordinances or rules and regulations shall be consistent with Iowa Code section 364.3(3).

641—25.2(135) Applicability. The provisions of this code are applicable to the plumbing in buildings or on premises within cities and to plumbing in a building or on premises located outside the corporate limits of any city if the building or premises is served by an individual connection to a municipally owned water distribution system or wastewater collection system.

641—25.3(135) Fuel gas piping. Fuel gas piping shall comply with the requirements of ANSI/NFPA 54, National Fuel Gas Code, 1999 Edition. Liquefied petroleum gas facilities and appliances shall comply with the requirements of ANSI/NFPA 58, Standard for the Storage and Handling of Liquefied Petroleum Gases, 2001 Edition.

25.4(1) Section 413.1. Table 4–1. Add the following after the table and before the footnotes:

A restaurant with an occupancy of 50 or less complies with these requirements if it has one restroom with one water closet and one lavatory.

NOTE: The rules of the Iowa department of inspections and appeals require that separate restrooms for males and females be provided in facilities that serve beer or liquor (481—31.9(137F)).

Urinal requirements apply only to male–only restrooms.

The division of occupancy is to be based upon one half being male and one half being female. The number of occupants shall be determined by use and the occupancy class of the state building code or the local building code that is in effect.

The number of fixtures may be graduated within the group. Example: 8:101–200

4 fixtures are required for 100 persons.

5 fixtures are required for 101–125 persons.

6 fixtures are required for 126–150 persons.

7 fixtures are required for 151–175 persons.

8 fixtures are required for 176–200 persons.

Accessibility for the physically disabled shall be provided as required by Iowa Code chapter 103A.

25.4(2) Section 501.0. Delete the second sentence of the section and delete Table 5–1.

25.4(3) Section 510.8. Delete the section.

25.4(4) Section 603.2. Delete subsection 603.2.3.

25.4(5) Section 603.4. Delete the text of subsection 603.4.13 and insert in lieu thereof the following:

The potable water supply to carbonator shall be protected by a stainless steel dual check valve with an atmospheric vent as approved by the administrative authority for the specific use.

25.4(6) Section 604.1.

Add a note to the end of the section:

NOTE: The use of plastic water supply pipe above grade inside certain licensed care facilities is prohibited by the rules of the Iowa department of inspections and appeals [481—subrules 60.11(4) and 61.11(4), Iowa Administrative Code].

25.4(7) Section 604.2. Delete the section and insert in lieu thereof the following:

604.2 Copper tube for water piping shall have a weight of not less than Type M copper tubing.

EXCEPTION: Copper tube for underground water piping shall have a weight of not less than Type K copper tubing.

25.4(8) Section 701.1. Delete subsections 701.1.4 and 701.1.5 and insert in lieu thereof:

701.1.4 Copper tube for underground drainage and vent piping shall have a weight of not less than that of copper drainage tube Type L.

701.1.5 Copper tube for aboveground drainage and vent piping shall have a weight of not less than that of copper drainage tubing Type M.

EXCEPTION: Type DWV may be used in one– and two–family dwellings.

25.4(9) Section 703.1. Add this sentence to the end of the section:

No underground drainage piping shall be less than two inches in diameter.

25.4(10) Section 710.1. Add the following sentences to the end of the section:

The requirement for the installation of a backwater valve shall apply only when it is determined necessary by the administrative authority based on local conditions. When a valve is required by the administrative authority, it shall be a manually operated gate valve or fullway ball valve. An automatic backwater valve may also be installed, but is not required.

25.4(11) Section 710.14. Delete the section.

25.4(12) Section 717.0. Add this sentence to the end of the section:

The minimum diameter for a building sewer shall be four inches.

25.4(13) Section 807.4. Delete the section and insert in lieu thereof the following:

807.4 No domestic dishwashing machine shall be directly connected to a drainage system or food waste disposer without the use of an approved dishwasher air gap fitting on the discharge side of the dishwashing machine, or by looping the discharge line of the dishwasher as high as possible near the flood level of the kitchen sink where the waste disposer is connected. Listed air gap fittings shall be installed with the flood level (FL) marking at or above the flood level of the sink or drainboard, whichever is higher.

25.4(14) Section 903.2. Delete subsections 903.2.1 and 903.2.2 and insert in lieu thereof the following:

903.2.1 Copper tube for underground drainage and vent piping shall have a weight of not less than that of copper drainage tube Type L.

903.2.2 Copper tube for aboveground drainage and vent piping shall have a weight of not less than that of copper drainage tubing Type M.

EXCEPTION: Type DWV may be used in one– and two–family dwellings.

25.4(15) Section 904.1. Delete the third sentence of the section and the exception and insert in lieu thereof the following:

No underground vent piping shall be less than two inches in diameter. Each building shall have a vent stack or main vent equal in size or larger than the required building sewer. The vent stack or main vent shall extend through the roof undiminished in size.

EXCEPTION: In residential buildings of four stories or less, a three–inch vent stack or main vent is permitted. For the purposes of this exception, “residential” includes hotels and motels.

25.4(16) Section 906.7. Change “two (2) inches (50.8 mm)” to “three (3) inches (76.2 mm)”.

25.4(17) Section 908.0. Delete “Vertical” from the section title.

25.4(18) Section 908.1. Delete “vertical” in the first sentence of the section.

25.4(19) Section 1002.2. Delete Table 10–1 and insert in lieu thereof the following:

Slope one–fourth (1/4) inch per foot (20.9 mm/m)

*The developed length between the trap of a water closet or similar fixture (measured from the top of the closet ring (closet flange) to the inner edge of the vent) and its vent shall not exceed six (6) feet (1.8 m).

25.4(20) Appendices. Chapter 11 and the appendices in the Uniform Plumbing Code are not approved as part of the Iowa state plumbing code; however, except for Appendix K (private sewage disposal), Chapter 11 and the appendices may be used as a point of reference when circumstances warrant. 567—Chapter 69, Iowa Administrative Code, is the standard for private sewage disposal. Chapter 12 of the Uniform Plumbing Code, 2000 Edition, may be used to govern fuel gas piping except as it conflicts with ANSI/NFPA 54, National Fuel Gas Code, 1999 Edition, or ANSI/NFPA 58, Standard for the Storage and Handling of Liquefied Petroleum Gases, 2001 Edition.

641—25.5(135) Backflow prevention with containment. Cities with populations of 15,000 or greater as determined by the 1990 census or any subsequent special census shall enact a backflow prevention program with containment by January 1, 1996. The minimum requirements for a program are given in subrules 25.5(1) through 25.5(5). These requirements are in addition to the applicable requirements of Section 603 of the Uniform Plumbing Code, 2000 Edition.

25.5(1) Definitions. The following definitions are added to those in Chapter 2 and Section 603 of the Uniform Plumbing Code, 2000 Edition, or are modified from those definitions for the purposes of rule 641—25.5(135) only.

a. Administrative authority. The administrative authority for this rule is the city council and its designees.

b. Approved backflow prevention assembly for containment. Approved backflow prevention assembly for containment means a backflow prevention assembly which isapproved by the University of Southern California—Foundation for Cross Connection Control and Hydraulic Research. The approval listing shall include the limitations of use based on the degree of hazard. The backflow prevention assembly shall also be listed by the International Association of Plumbing and Mechanical Officials (IAPMO) or by the American Society of Sanitary Engineering (ASSE) as having met the requirements of one of the standards listed below.

^¤American National Standards Institute, 1819 L Street NW, Washington, DC 20036

*American Society of Sanitary Engineering, 28901 Clemens Road, Suite 100, Westlake, OH 44145

^†American Water Works Association, 6666 West Quincy Avenue, Denver, CO 80235

c. Approved backflow prevention assembly for containment in a fire protection system. Approved backflow prevention assembly for containment in a fire protection system means a backflow prevention assembly to be used in a fire protection system which meets the requirements of Factory Mutual Research Corporation (FM) and Underwriters Laboratory (UL) in addition to the requirements of 25.5(1)“b.”

d. Containment. Containment is a method of backflow prevention which requires a backflow prevention assembly on certain water services. Containment requires that the backflow prevention assembly be installed on the water service as close to the public water supply main as is practical.

e. Customer. Customer means the owner, operator or occupant of a building or property which has a water service from a public water system, or the owner or operator of a private water system which has a water service from a public water system.

f. Degree of hazard. Degree of hazard means the rating of a cross connection or a water service which indicates if it has the potential to cause contamination (high hazard) or pollution (low hazard).

g. Water service. Depending on the context, water service is the physical connection between a public water system and a customer’s building, property or private water system, or the act of providing potable water from a public water system to a customer.

25.5(2) Proposed water service.

a. No person shall install, or cause to have installed, a water service to a building, property or private water system before the administrative authority has evaluated the proposed water service for degree of hazard.

b. The administrative authority shall require the submission of plans, specifications and other information deemed necessary for a building, property or private water system to which a water service is proposed. The administrative authority shall review the information submitted to determine if cross connections will exist and the degree of hazard.

c. The owner of a building, property or private water system shall install, or cause to have installed, an approved backflow prevention assembly for containment as directed by the administrative authority before water service is initiated.

d. Reconstruction of an existing water service shall be treated as a proposed water service for the purposes of rule 641—25.5(135).

25.5(3) Existing water services.

a. The administrative authority shall publish the standards which it uses to determine the degree of hazard for a water service. These shall be consistent with standards published by the Iowa department of public health.

b. Each customer shall survey the activities and processes which receive water from the water service and shall report to the administrative authority if cross connections exist and the degree of hazard.

c. The administrative authority may inspect the plumbing of any building, property and private water system which has a water service to determine if cross connections exist and the degree of hazard.

d. If, based on information provided through 25.5(3)“b” and “c,” the administrative authority determines that a water service may contaminate the public water supply, the administrative authority shall require that the customer install the appropriate backflow prevention assembly for containment.

e. If a customer refuses to install a backflow prevention assembly for containment when it is required by the administrative authority, the administrative authority may order that water service to the customer be discontinued until an appropriate backflow prevention assembly is installed.

25.5(4) Backflow prevention assemblies for containment.

a. Backflow prevention assemblies for containment shall be installed immediately following the water meter or as close to that location as deemed practical by the administrative authority.

b. A water service determined to present a high hazard shall be protected by an air gap or an approved reduced–pressure principle backflow prevention assembly.

c. A water service determined to present a low hazard shall be protected by an approved double check valve assembly or as in 25.5(4)“b.”

d. A water service to a fire protection system shall be protected from backflow in accordance with the recommendations of American Water Works Association Manual M14. Where backflow prevention is required for a fire protection system, an approved backflow prevention assembly for containment in a fire protection system shall be used.

25.5(5) Backflow incidents.

a. The customer shall immediately notify the agency providing water service when the customer becomes aware that backflow has occurred in the building, property or private water system receiving water service.

b. The administrative authority may order that a water service be temporarily shut off when a backflow occurs in a customer’s building, property or private water system.

These rules are intended to implement Iowa Code chapter 135.

Pursuant to the authority of Iowa Code section 135.105C, the Department of Public Health hereby gives Notice of Intended Action to amend Chapter 69, “Renovation, Remodeling, and Repainting—Lead Hazard Notification Process,” Iowa Administrative Code.

This chapter implements a program to require individuals who perform renovation, remodeling, and repainting of target housing for compensation to provide an approved lead hazard information pamphlet to the owner and occupant of the housing prior to commencing the work. Iowa’s law stipulates that the rules could take effect only after the Department of Public Health obtained authorization from the U.S. Environmental Protection Agency (EPA) for its program to require lead hazard notification prior to renovation, remodeling, and repainting. Iowa’s program was authorized by the U.S. EPA on July 13, 1999.

The proposed amendments incorporate new terminology in EPA regulations that were adopted as final on January 5, 2001, and incorporate an EPA requirement that Iowa allow the use of the federal pamphlet in addition to the Iowa pamphlet for compliance with this regulation. In addition, the proposed amendments provide an exemption for minor repair and maintenance activities that disrupt less than 0.1 square feet or less of painted surface since these minor activities are unlikely to cause excessive lead exposure for occupants.

To incorporate the new EPA terminology, the Department has added definitions for “arithmetic mean,” “chewable surface,” “dripline,” “dust lead hazard,” “friction surface,” “hazardous lead–based paint,” “impact surface,” “mid–yard,” “paint–lead hazard,” “play area,” and “soil lead hazard.” The definition of “lead–based paint hazard” has been modified.

The Department has determined that these rules are not subject to waiver or variance because Iowa’s program must be as protective as the U.S. EPA regulations which do not allow variances or waivers.

Consideration will be given to all written suggestions or comments on the proposed amendments received on orbefore August 28, 2001. Such written materials shouldbe sent to the Lead Poisoning Prevention Program, Department of Public Health, Lucas State Office Building, Des Moines, Iowa 50319; E–mail to rgergely@idph.state.ia.us; fax (515)281–4529.