Pages 1495 to 1556 include ARC 1466B to ARC 1489B

Administrative rules review committee 1486

Notice, Definition—breeder of a foal, 62.1
ARC 1473B 1495

Schedule for rule making 1484

Publication procedures 1485

Administrative rules on CD–ROM 1485

Agency identification numbers 1493

Notice, Grants programs, rescind chs 3, 4;
amend chs 6, 18; adopt chs 5, 7 to 13
ARC 1485B 1495

CITATION OF ADMINISTRATIVE RULES 1483

Notice, Iowa community cultural grants (ICCG)
program; cultural enrichment grant (CEG)
program, 6.1 to 6.5, 8.4, 8.7 to 8.9
ARC 1486B 1501

Notice, Adding endorsements to licenses,
14.106 ARC 1483B 1504

Notice, License, certificate or authorization
renewal—completion of training for reporting
child abuse and dependent adult abuse,
16.3, 17.5 to 17.9, 19.5, 20.6, 21.5, 22.13
ARC 1484B 1504

Filed, Building energy management
programs, 6.1 to 6.8 ARC 1478B 1545

Notice, Title V—insignificant activities,
22.100, 22.103 ARC 1475B 1507

Notice, Definition of adjacent—determining
when two or more open feedlots must
obtain an operating permit, 65.1
ARC 1476B 1510

Notice, Recycling operations; citizens
convenience centers and transfer stations,
renumber 106.1 to 106.4 as 104.21 to
104.24; adopt 106.1 to 106.19 ARC 1477B 1510

Filed, Open burning variance; construction
permits; Title V permits; emission standards—
hazardous air pollutants, 20.3(2), 22.1(1),
22.3(3), 22.100, 22.101(1), 22.201(2),
22.300, 23.1, 25.1 ARC 1479B 1545

Filed, Transportation of radioactive
materials in Iowa, rescind ch 132
ARC 1474B 1546

Filed, Acquisition of information technology
devices and services, ch 13 ARC 1481B 1546

Notice, Issuance of investigatory subpoenas,
1.1(6) to 1.1(9) ARC 1482B 1517

Notice of workers’ compensation rate filing 1518

Notice, Financial instruments used in
hedging transactions, ch 49 ARC 1488B 1518

Filed Emergency, Financial instruments
used in hedging transactions, ch 49
ARC 1487B 1543

Filed, Long–term care asset preservation
program, 72.3, 72.5 ARC 1489B 1554

Notice, Increase in license fees, 3.1
ARC 1470B 1518

NURSING BOARD[655] (Cont’d)

Notice, Enrollees in approved nursing education
programs—active licensure in U.S. jurisdiction
where care is provided, 3.2(2)“d”
ARC 1469B 1519

Notice, Continuing education—sanction imposed
as disciplinary action, 4.7 ARC 1471B 1519

Notice, Rescind chs 1 to 15; adopt chs 1 to 16
ARC 1472B 1519

Summarized list 1490

Notice, Complaint and investigatory information
and procedures; board–approved distance
education courses, 5.1(1), 6.1(1),
8.2 to 8.17, 11.6 to 11.13 ARC 1480B 1537

Notice, For–hire intrastate motor carrier
authority, 524.1(2), 524.3(3), 524.10,
524.11(1), 524.12, 524.16 to 524.18
ARC 1466B 1541

Filed, Project cost reporting requirements
for cities and counties, ch 178 ARC 1468B 1555

Filed, Application for license; license
issuance; sanctions, 601.1, 605.12,
605.26, 615.37, 615.38 ARC 1467B 1556

Notice—Public funds interest rates 1542

CITATION of Administrative Rules

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

441 IAC 79 (Chapter)

441 IAC 79.1(249A) (Rule)

441 IAC 79.1(1) (Subrule)

441 IAC 79.1(1)“a” (Paragraph)

441 IAC 79.1(1)“a”(1) (Subparagraph)

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

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

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

__________________________________

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

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

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

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

Subscriptions and Distribution Telephone: (515)242–5120
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Fax: (515)281–4424

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

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

TO: Administrative Rules Coordinators and Text Processors of State Agencies

FROM: Kathleen K. Bates, Iowa Administrative Code Editor

SUBJECT: Publication of Rules in Iowa Administrative Bulletin

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

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:

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Attn: Ms. Stephanie Runde
State Capitol
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The Administrative Rules Review Committee will hold a special meeting on Monday, April 8, 2002, at 8 a.m. in Room 116, State Capitol, Des Moines, Iowa. The following rules will be reviewed:

HUMAN SERVICES DEPARTMENT[441] (Cont’d)

UTILITIES DIVISION[199] (Cont’d)

To All Agencies:

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

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

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

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

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

The following list will be updated as changes occur:

AGRICULTURE AND LAND STEWARDSHIP DEPARTMENT[21]

Agricultural Development Authority[25]

Soil Conservation Division[27]

ATTORNEY GENERAL[61]

AUDITOR OF STATE[81]

CITIZENS’ AIDE[141]

CIVIL RIGHTS COMMISSION[161]

COMMERCE DEPARTMENT[181]

Alcoholic Beverages Division[185]

Banking Division[187]

Credit Union Division[189]

Insurance Division[191]

Professional Licensing and Regulation Division[193]

Accountancy Examining Board[193A]

Architectural Examining Board[193B]

Engineering and Land Surveying Examining Board[193C]

Landscape Architectural Examining Board[193D]

Real Estate Commission[193E]

Real Estate Appraiser Examining Board[193F]

Savings and Loan Division[197]

Utilities Division[199]

CORRECTIONS DEPARTMENT[201]

Parole Board[205]

CULTURAL AFFAIRS DEPARTMENT[221]

Arts Division[222]

Historical Division[223]

ECONOMIC DEVELOPMENT, IOWA DEPARTMENT OF[261]

City Development Board[263]

Iowa Finance Authority[265]

EDUCATION DEPARTMENT[281]

Educational Examiners Board[282]

College Student Aid Commission[283]

Higher Education Loan Authority[284]

Iowa Advance Funding Authority[285]

Libraries and Information Services Division[286]

Public Broadcasting Division[288]

School Budget Review Committee[289]

ELDER AFFAIRS DEPARTMENT[321]

EXECUTIVE COUNCIL[361]

GENERAL SERVICES DEPARTMENT[401]

HUMAN RIGHTS DEPARTMENT[421]

Community Action Agencies Division[427]

Criminal and Juvenile Justice Planning Division[428]

Deaf Services Division[429]

Persons With Disabilities Division[431]

Latino Affairs Division[433]

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

Status of Women Division[435]

HUMAN SERVICES DEPARTMENT[441]

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 for[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 sections 17A.3 and 99D.22, the Department of Agriculture and Land Stewardship gives Notice of Intended Action to amend Chapter 62, “Registration of Iowa–Foaled Horses and Iowa–Whelped Dogs,” Iowa Administrative Code.

This proposed amendment is intended to implement 2001 Iowa Acts, chapter 129, section 2 [Iowa Code Supplement section 99D.22], which made changes in the definitions regarding the breeder of an Iowa–foaled horse.

Any interested person may make written suggestions or comments on the proposed amendment prior to 4:30 p.m. on April 9, 2002. Such written material should be directed to Morris Boswell, Bureau Chief, Horse and Dog Bureau, Department of Agriculture and Land Stewardship, Wallace State Office Building, Des Moines, Iowa 50319. Comments may also be submitted by fax to (515)281–8888 or by E–mail to Morris.Boswell@idals.state.ia.us.

This amendment is intended to implement Iowa Code Supplement section 99D.22.

The following amendment is proposed.

Amend rule 21—62.1(99D) by rescinding the definitions “breeder of a standardbred and quarterhorse” and “breeder of a thoroughbred” and adopting the following new definition:

“Breeder of a foal” means the owner of the brood mare at the time the foal is dropped.

Pursuant to the authority of Iowa Code sections 303.1A(1) and 303.88(1), the Arts Division hereby gives Notice of Intended Action to rescind Chapter 3, “Technical Assistance Program,” and Chapter 4, “Access to the Arts Funding Program”; adopt new Chapter 5, “Traditional Arts Apprenticeship Program”; amend Chapter 6, “Operational Support Grants to Major and Midsize Arts Organizations”; adopt new Chapter 7, “Arts in Education Artists Roster,” new Chapter 8, “Minigrant Program,” new Chapter 9, “William H. Jackson Scholarship for the Arts,” new Chapter 10, “Project Support Grants for Organizations,” new Chapter 11, “Project Support Grants for Artists,” new Chapter 12, “Arts in Education Project Support Grants,” and new Chapter 13, “Artists in Schools/Communities Residency Program”; and amend Chapter 18, “Artist Directory,” Iowa Administrative Code.

This proposed rule making is a direct result of the new strategic plan, Imagine Iowa 2010: A Cultural Vision, adopted by the Department of Cultural Affairs. The Arts Council reviewed these amendments pursuant to Executive Order Number 8 and gathered input from representatives of constituent groups, grant review advisory panels and the general public.

Any interested person may make written comments or suggestions on the proposed amendments on or before April 12, 2002. Such written comments should be directed to Julie Bailey, Iowa Arts Council, 600 E. Locust Street, Des Moines, Iowa 50319; E–mail may be sent to Julie.Bailey@ dca.state.ia.us.

There will be a public hearing on April 15, 2002, from1 to 3 p.m. in Classroom A, State Historical Museum, 600 East Locust Street, Des Moines, Iowa. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendments. Any person who plans to attend the public hearing and who may have special requirements, such as those related to hearing or mobility impairments, should contact the Arts Council and advise of specific needs.

These amendments are intended to implement Iowa Code chapter 303.

The following amendments are proposed.

ITEM 1. Rescind and reserve 222—Chapters 3 and 4.

ITEM 2. Adopt the following new chapter:

CHAPTER 5
TRADITIONAL ARTS APPRENTICESHIP PROGRAM

222—5.1(303) Traditional arts apprenticeship program. The traditional arts apprenticeship program identifies, documents, honors, and perpetuates the diverse ethnic, religious, geographical, occupational, local and familial cultural traditions of Iowa. The program offers apprenticeships to artists for individual, face–to–face instruction from a recognized master traditional artist.

222—5.2(303) Definitions. The definitions of terms listed in Iowa Code section 17A.2 and rule 222—1.1(303) shall apply for terms as they are used throughout this chapter. Additionally, the following definitions shall apply:

“Apprentice” means an artist who learns under the guidance of a master artist. An apprentice must be a member of the same folk group as the master artist. An apprentice must have some prior experience in the traditional art form at issue and must have a demonstrated long–term commitment to its continuity.

“Apprenticeship” means a time–honored system by which skills, techniques, value, and artistry are learned under the guidance of a recognized master artist.

“Master artist” means an artist who is recognized by the artist’s community and peers as an exemplary practitioner of a traditional art form.

“Traditional arts” means those folk and traditional arts learned as part of the cultural life of a community whose members share a common ethnic heritage, language, reli–gion, occupation, or geographic region. These traditions are shaped by the aesthetics and values of a shared culture and are passed from generation to generation, most often within family and community, through observation, conversation, and practice.

222—5.3(303) Eligibility requirements. The criteria used by the arts division to determine eligibility as outlined in 222—subrules 2.3(4) to 2.3(8) are adopted for this program. Additionally, participants must meet the following criteria:

5.3(1) The master artist and apprentice must be residents of Iowa or in a city/town within 30 miles of the state border.

5.3(2) An apprentice under the age of 18 must have the application signed by the apprentice’s parent or legal guardian.

5.3(3) Public programs by master artists and apprentices must take place in Iowa.

222—5.4(303) Restrictions. The restrictions used by the arts division as outlined in 222—subrules 2.3(10) to 2.3(15), 2.3(19), 2.3(20), 2.3(22), and 2.3(24) to 2.3(31) are adopted for this program with the following additions:

5.4(1) The traditional arts apprenticeship program shall not fund professional classes, contemporary studio artists, re–creations of antiques or past traditions such as reenactment crafts, and contemporary interpretations of traditional art forms (i.e., the creation of a theatre piece based on traditional dance or a musical piece based on traditional tunes).

5.4(2) The traditional arts apprenticeship program shall not fund academic research or formal study toward an academic or professional degree or apprenticeship grant applications by arts division staff, board members, and grant review panelists and their relatives.

222—5.5(303) Review criteria. The advisory panel shall review applications to the traditional arts apprenticeship program based upon the following criteria:

5.5(1) Traditional and artistic merit of the master artist.

5.5(2) Proven interest and ability of apprentice.

5.5(3) Significance of the art form to the community or group.

5.5(4) Shared membership of master artist and apprentice in same ethnic, regional or occupational community and community support for this apprenticeship.

5.5(5) Likely success of proposed schedule, work plan, and plans for the apprentice to continue practicing this traditional art form.

222—5.6(303) Application procedures. An applicant shall submit a completed official application form as noted in 222—subrule 2.3(10). The applicant shall also submit supporting materials and documentation as outlined in published guidelines and at least one letter of support each for the master artist and the apprentice.

222—5.7(303) Deadline. The application deadline will be published annually by the arts division.

222—5.8(303) Review process. Applications to the traditional arts apprenticeship program shall be reviewed on an annual basis with the specific date to be published in the annual traditional arts apprenticeship guidelines available upon request from the arts division. Applications shall be reviewed by the appropriate advisory panel in accordance with 222—subrules 2.2(3), 2.2(4) and 2.3(15) to 2.3(20).

222—5.9(303) Awards. Awards shall be made in accordance with procedures outlined in 222—subrules 2.3(25) to 2.3(31).

222—5.10(303) Notification. Notification shall be made in accordance with procedures outlined in 222—subrule 2.3(3).

222—5.11(303) Contract. A contract shall be issued in accordance with procedures outlined in 222—subrule 2.3(14).

222—5.12(303) Reporting. Each grantee shall submit a final report in accordance with procedures outlined in 222—subrules 2.3(27) to 2.3(31).

222—5.13(303) Audit procedures and requirements. The audit procedures and requirements for grantees as outlined in 222—subrule 2.3(29) shall be in effect for this program.

222—5.14(303) Appeals. An applicant denied funding may appeal the decision in accordance with procedures outlined in 222—subrules 2.3(32) and 2.3(33).

These rules are intended to implement Iowa Code section 303.88.

ITEM 3. Amend rule 222—6.2(303) by adopting the following new definition in alphabetical order:

“Imagine Iowa 2010: A Cultural Vision” means the planning document for the department of cultural affairs.

ITEM 4. Amend rules 222—6.3(303), 222—6.5(303) to 222—6.9(303), 222—6.11(303) and 222—6.15(303) as follows:

222—6.3(303) Eligibility. Operational support grants to major and midsize arts organizations are intended for artsorganizations incorporated in Iowa and holding federal tax–exempt status. The program shall be limited to major arts organizations with established annual cash operating budgets of at least $250,000 $350,000 and midsize arts organizations with established annual cash operating budgets of at least $50,000 $75,000 and no more than $250,000 $350,000. Applicants shall be arts organizations whereby exhibitions are organized, concerts are performed, productions are mounted or programs are sponsored by the applicant. Applicants shall operate year–round, have organized plans for artistic and economic stability, and shall not be an educational institution, or be connected to any educational institution. Student or youth organizations shall be considered a lower priority for funding.

222—6.5(303) Funding cycle. The operational support grant program for major and midsize arts organizations shall operate on a two–year funding cycle. All applicants shall undergo a formal review process in year one of the funding cycle and shall be required to submit an interim program report application in year two of the funding cycle.

222—6.6(303) Restrictions. Applicants shall be limited to the submission of one application to the access to the arts granting program of the arts division in the same fiscal year that they are applying for operational support. Applications from major arts organizations to the access to the arts granting program must support arts education programming activities.

222—6.7(303) Formal application process. Formal applications submitted in year one of the funding cycle shall be made on an official arts division operational support grant application form available at the arts division office. A letter of intent for year one of the funding cycle shall be due in accordance with an annual a deadline that shall be published in the program guidelines. Applications shall be due in accordance with a deadline that shall be published in the program guidelines.

222—6.8(303) Year two interim program report application. An interim program report application shall be submitted to the arts division prior to year two of the funding cycle. The deadline for the submission of the interim program report application shall be published in program guidelines. The interim program report application shall be available upon request from made available to year one grant recipients by the arts division office.

222—6.9(303) Review criteria. The following criteria shall be used by the advisory panel in year one of the funding cycle to review applications to the operational support grants to major and midsize arts organizations program:

6.9(1) Artistic—up to 35 points.

a. Development and support of Iowa artists.

b. Artistic growth.

c. Excellence of product or programs.

6.9(2) Management—up to 30 points.

a. Planning.

b. Evaluation methodology.

c. Fund–raising and stabilization efforts.

d. Board development efforts.

e. Sound fiscal management.

6.9(3) Education/outreach—up to 15 points.

a. Audience and artistic educational opportunities.

b. Volunteer network development.

c. Involvement of community and schools.

6.9(4) Accessibility—up to 20 points.

a. Service to special populations.

222—6.11(303) Year two review process. Interim program reports operational support grant applications submitted during year two of the funding cycle are subject to approval by the administrator of the arts division in consultation with arts division staff.

222—6.15(303) Reporting. All recipients shall submit a final report in year two of the funding cycle annually in accordance with procedures outlined in 222—subrules 2.3(28) and 2.3(29).

ITEM 5. Adopt the following new chapters:

CHAPTER 7
ARTS IN EDUCATION ARTISTS ROSTER

222—7.1(303) Arts in education artists roster. The arts in education artists roster is a resource directory of artists preapproved to work in arts division–sponsored arts in education programs. Artists in the arts in education artists roster are selected for their individual artistic excellence and ability to work in an educational setting.

222—7.2(303) Definitions. The definitions of terms listed in Iowa Code section 17A.2 and rule 222—1.1(303) shall apply for terms as they are used throughout this chapter. In addition, the following definitions shall apply:

“Artist group or company” means an organized group of artists who regularly work together.

“Individual artist” means an artist who primarily works independently and not regularly with an artist group or company.

“Residency” means an arts division–supported program in which the artist works in a school or community educational setting and instructs participants in a chosen artistic discipline for a period of five days or longer.

222—7.3(303) Eligibility. Individual artists, artist groups or companies may apply. An applicant artist shall be, at the time of application, 18 years of age or older and must demonstrate excellence in one or more of the following artistic disciplines: dance, music, opera/music theatre, visual arts, design arts, crafts, photography/holography, media art, literature, interdisciplinary/performance arts, or folk/traditional arts.

222—7.4(303) Formal application process. Every applicant shall undergo a formal application review process including submission of a completed application form and personal interview with an advisory panel. The applicant is required to attend the personal interview at the applicant’s own expense. An applicant unable to attend the personal interview will not be considered for inclusion on the roster. Formal applications shall be made on an official application form available at the arts division office. Applications shall be due in accordance with a deadline that shall be published annually by the arts division.

222—7.5(303) Review criteria. The following criteria shall be used by the advisory panel to select and approve artists for the arts in education artists roster:

7.5(1) Artistic excellence.

a. Excellence of artist’s past work.

b. Record of artist’s professional activity and achievement.

c. Training/experience/mastery in art form.

7.5(2) Instructional expertise.

a. Ability and experience working with art form in an instructional setting.

b. Ability of artist to organize, plan, schedule, implement and evaluate residencies in a professional and efficient manner.

c. Overall excellence and innovation of the artist’s proposed residency.

d. Ability of artist to articulate the role of the professional artist in arts education.

e. Enthusiasm, desire and ability to stimulate creativity and awareness of the arts in others.

f. Evidence of ability to organize, plan and implement residencies that reach minorities, special education classes, and individuals who have physical or mental disabilities or both.

7.5(3) Professionalism.

a. Evidence of ability and experience in working effectively and responsibly with residency sponsors, participants and the arts division.

b. Evidence of ability and willingness to serve as a positive representative for the arts, arts education and the arts division.

c. Caliber of application materials and support documents.

222—7.6(303) Notification process. All applicants will be notified of their status, in writing, within 120 days of the application deadline date.

222—7.7(303) Approved artist requirements. An artist approved for the arts in education artists roster shall be required to notify the arts division of any changes in personal information contained in the roster and to verify or update information when requested. An artist not responding within 90 days following an update notice may face removal from the roster, as determined by arts council arts in education program staff. An approved artist must complete an orientation session with arts in education program staff prior to the artist’s involvement in an arts council–sponsored arts in education program. The date of this orientation shall be mutually determined between the artist and arts council arts in education program staff. An approved artist must complete and sign an official arts in education roster artist acceptance agreement form detailing the arts division’s expectations and requirements of the artist while working in any arts division–supported event or program. Approved artists shall be evaluated on an ongoing basis, and those artists failing to abide by the terms of the agreement may face possible removal from the arts in education artists roster.

222—7.8(303) Appeals. An applicant denied inclusion in the arts in education artists roster may appeal the decision in accordance with procedures as outlined in 222—subrules 2.3(32) and 2.3(33).

These rules are intended to implement Iowa Code section 303.88.

CHAPTER 8
MINIGRANT PROGRAM

222—8.1(303) Minigrant program. The minigrant program provides financial incentives on a monthly basis to Iowa artists and individual arts educators; nonprofit and tax–exempt organizations; schools; area education agencies; local, county, state and federal governmental agencies; and tribal councils to support a wide variety of arts–related activities.

222—8.2(303) Definitions. The definitions of terms listedin Iowa Code section 17A.2 and rule 222—1.1(303) shall apply for terms as they are used throughout this chapter.

222—8.3(303) Eligibility requirements. The criteria used by the arts division to determine eligibility as outlined in 222—subrules 2.3(4) to 2.3(8) are adopted for this program.

222—8.4(303) Restrictions. The restrictions used by the arts division as outlined in 222—subrules 2.3(10) to 2.3(15) and 2.3(19) to 2.3(31) are adopted for this program with the following additional restrictions:

8.4(1) A minigrant project application from a majoroperational support grant recipient must support an arts education–related activity.

8.4(2) An application from an individual must support a project designed solely to benefit the individual and must not be a project of an organization with which the individual applicant has a formal affiliation such as employment or continued volunteer service.

8.4(3) An application shall not be submitted for an artist in schools and communities residency of five days or longer.

8.4(4) The minigrant program shall fund only those traditional arts projects that pertain to traditional artists and not to artists whose work reflects cultural traditions other than their own.

222—8.5(303) Funding priorities. Minigrant funding priorities are listed in the arts division’s published guidelines.

222—8.6(303) Categories. The minigrant funding categories are listed in the arts division’s published guidelines.

222—8.7(303) Review criteria. Applications shall be reviewed based upon criteria listed in the arts division’s published guidelines.

222—8.8(303) Application procedures. An applicant shall submit a completed application on the official application form as noted in 222—subrule 2.3(10).

222—8.9(303) Deadline. Applications shall be due in the arts division office no later than 4:30 p.m. of the first working day of the month before the month in which the activity begins. This is not a postmark deadline. Applications not meeting the deadline shall be determined ineligible.

222—8.10(303) Review. Applications to the minigrant program shall be reviewed monthly by arts division staff.

222—8.11(303) Awards and amounts. Awards shall be made in accordance with procedures outlined in 222—subrules 2.3(25) to 2.3(31). The maximum grant award of the minigrant program is listed in the arts division’s published guidelines.

222—8.12(303) Notification. Notification shall be made in accordance with procedures outlined in 222—subrule 2.3(3). The applicant shall be notified of the results of the review process within 30 working days of the published deadline, not including weekends and state holidays.

222—8.13(303) Contract. A contract shall be issued in accordance with procedures outlined in 222—subrule 2.3(14).

222—8.14(303) Reporting. Each grantee shall submit a final report in accordance with procedures outlined in 222— subrules 2.3(27) to 2.3(31).

222—8.15(303) Audit procedures and requirements. The audit procedures and requirements for grantees as outlined in 222—subrule 2.3(29) shall be in effect for this program.

222—8.16(303) Appeals. An applicant denied funding may appeal the decision in accordance with procedures outlined in 222—subrules 2.3(32) and 2.3(33).

These rules are intended to implement Iowa Code section 303.88.

CHAPTER 9
WILLIAM H. JACKSON SCHOLARSHIP
FOR THE ARTS

222—9.1(303) William H. Jackson scholarship for the arts. The William H. Jackson scholarship for the arts supports the development of outstanding high school seniors who excel in the arts and are enrolled in educational programs leading to careers in the arts. A limited number of scholarships are awarded annually to selected students for undergraduate tuition and related expenses to attend an Iowa college or university.

222—9.2(303) Definitions. The definitions of terms listed in Iowa Code section 17A.2 and rule 222—1.1(303) shall apply for terms as they are used throughout this chapter.

222—9.3(303) Eligibility. A student applicant, at the time of application, must be enrolled at the senior class level in an Iowa high school and display proven artistic ability in the area of music, dance, visual arts, theatre, or literature. A scholarship recipient must be accepted as a full–time undergraduate student at a fully accredited Iowa college or university.

222—9.4(303) Formal application process. Every applicant shall undergo a formal application review process including submission of a completed application form and personal interview with an advisory panel. Only those applicants selected by the advisory panel as finalists from the pool of student applicants shall be considered for a personal interview. The applicant is required to attend the personal interview at the applicant’s own expense. An applicant unable to attend the personal interview shall not be considered eligible to receive a scholarship. Formal applications shall be made on an official application form available at the arts division office.

222—9.5(303) Deadline. Applications shall be due in accordance with a deadline that shall be published in the program guidelines.

222—9.6(303) Review process. A scholarship advisory panel shall evaluate and score each scholarship application based on the applicant’s artistic and academic abilities in the chosen artistic area and the applicant’s future goals and objectives related to the intended field of study.

222—9.7(303) Review criteria. The following criteria shall be used by the advisory panel to select and approve scholarship recipients:

9.7(1) Personal accomplishments.

a. Artistic achievements in the student’s chosen artistic discipline.

b. Paid employment experience outside the school setting.

c. Volunteer service in the student’s school and community.

9.7(2) The student’s personal essay describing the student’s perception of the student’s future in the arts.

9.7(3) Two letters of recommendation required from individuals who know the student’s artistic and academic abilities.

222—9.8(303) Obligation of recipients. Scholarship award winners shall inform the arts council of any change in address or school enrollment.

222—9.9(303) Notification process. All student applicants shall be notified of advisory panel scholarship selections within 30 days of the student interview date.

222—9.10(303) Appeals. An applicant denied scholarship funding may appeal the decision in accordance with procedures as outlined in 222—subrules 2.3(32) and 2.3(33).

These rules are intended to implement Iowa Code section 303.88.

CHAPTER 10
PROJECT SUPPORT GRANTS FOR ORGANIZATIONS

222—10.1(303) Project support for organizations program. The project support for organizations program provides financial incentives for nonprofit organizations for the development of exemplary arts activities.

222—10.2(303) Definitions. The definitions of terms listed in Iowa Code section 17A.2 and rule 222—1.1(303) shall apply for terms as they are used throughout this chapter. In addition, the following definition shall apply:

“Imagine Iowa 2010: A Cultural Vision” means the planning document for the department of cultural affairs.

222—10.3(303) Eligibility requirements. The criteria used by the arts division to determine eligibility as outlined in 222—subrules 2.3(4) to 2.3(8) are adopted for this program.

222—10.4(303) Restrictions. The restrictions used by the arts division as outlined in 222—subrules 2.3(10) to 2.3(15) and 2.3(19) to 2.3(31) are adopted for this program with the following additions:

10.4(1) The project support for organizations program shall not fund conservation of art works or projects that take place outside the state of Iowa.

10.4(2) The project support for organizations program shall not permit grantees to become dependent upon it for continued funding of recurring projects. Recurring projects shall be considered a lower priority after successive years of project support unless circumstances encourage continued financial assistance.

222—10.5(303) Review criteria. The advisory panel shall review applications to the project support for organizations program based upon the following criteria:

10.5(1) Scope of project, including its exemplary qualities, qualifications, significance, and feasibility of completion.

10.5(2) Partnerships of benefit evidenced by the applicant that impact the project, participants, or public.

10.5(3) Preparation, evaluation, and follow–up activities or plans relating to the proposed project.

10.5(4) Unserved or underserved populations benefiting from the proposed project.

10.5(5) Community and family involvement in the proposed project.

10.5(6) Efforts toward meeting the goals of Imagine Iowa 2010: A Cultural Vision.

222—10.6(303) Application procedures. An applicant shall submit a completed official application form as noted in 222—subrule 2.3(10).

222—10.7(303) Deadline. Applications shall be due according to deadlines published annually by the arts division.

222—10.8(303) Review process. Applications to the project support for organizations program shall be reviewed on dates to be published annually by the arts division. Applications shall be reviewed by the appropriate advisory panel in accordance with 222—subrules 2.2(3), 2.2(4) and 2.3(15) to 2.3(23).

222—10.9(303) Awards. Awards shall be made in accordance with procedures outlined in 222—subrules 2.3(25) to 2.3(31).

222—10.10(303) Notification. Notification shall be made in accordance with procedures outlined in 222—subrule 2.3(3).

222—10.11(303) Contract. A contract shall be issued in accordance with procedures outlined in 222—subrule 2.3(14).

222—10.12(303) Reporting. Each grantee shall submit afinal report in accordance with procedures outlined in 222— subrules 2.3(27) to 2.3(31).

222—10.13(303) Audit procedures and requirements. The audit procedures and requirements for grantees as outlined in 222—subrule 2.3(29) shall be in effect for this program.

222—10.14(303) Appeals. An applicant denied funding may appeal the decision in accordance with procedures outlined in 222—subrules 2.3(32) and 2.3(33).

These rules are intended to implement Iowa Code section 303.88.

CHAPTER 11
PROJECT SUPPORT GRANTS FOR ARTISTS

222—11.1(303) Project support for artists program. The project support for artists program provides financial incentives for professional artists for the development of exemplary arts activities.

222—11.2(303) Definitions. The definitions of terms listed in Iowa Code section 17A.2 and rule 222—1.1(303) shallapply for terms as they are used throughout this chapter. In addition, the following definition shall apply:

“Imagine Iowa 2010: A Cultural Vision” means the planning document for the department of cultural affairs.

222—11.3(303) Eligibility requirements. The criteria used by the arts division to determine eligibility as outlined in 222—subrules 2.3(7) to 2.3(9) are adopted for this program.

222—11.4(303) Restrictions. The restrictions used by the arts division as outlined in 222—subrules 2.3(10) to 2.3(15) and 2.3(19) to 2.3(31) are adopted for this program.

222—11.5(303) Review criteria. The advisory panel shall review applications to the project support for artists program based upon the following criteria:

11.5(1) Scope of project, including its exemplary qualities, qualifications, significance, and feasibility of completion.

11.5(2) Partnerships of benefit evidenced by the applicant that impact the project, participants, or public.

11.5(3) Preparation, evaluation, and follow–up activities or plans relating to the proposed project.

11.5(4) Unserved or underserved populations benefiting from the proposed project.

11.5(5) Community and family involvement in the proposed project.

11.5(6) Efforts toward meeting the goals of Imagine Iowa 2010: A Cultural Vision.

222—11.6(303) Application procedures. An applicant shall submit a completed official application form as noted in 222—subrule 2.3(10).

222—11.7(303) Deadline. Applications shall be due ac–cording to deadlines published annually by the arts division.

222—11.8(303) Review process. Applications to the project support for artists program shall be reviewed on dates to be published annually by the arts division. Applications shall be reviewed by the appropriate advisory panel in accordance with 222—subrules 2.2(3), 2.2(4) and 2.3(15) to 2.3(23).

222—11.9(303) Awards. Awards shall be made in accordance with procedures outlined in 222—subrules 2.3(25) to 2.3(31).

222—11.10(303) Notification. Notification shall be made in accordance with procedures outlined in 222—subrule 2.3(3).

222—11.11(303) Contract. A contract shall be issued in accordance with procedures outlined in 222—subrule 2.3(14).

222—11.12(303) Reporting. Each grantee shall submit a final report in accordance with procedures outlined in 222— subrules 2.3(27) to 2.3(31).

222—11.13(303) Audit procedures and requirements. The audit procedures and requirements for grantees as outlined in 222—subrule 2.3(29) shall be in effect for this program.

222—11.14(303) Appeals. An applicant denied funding may appeal the decision in accordance with procedures outlined in 222—subrules 2.3(32) and 2.3(33).

These rules are intended to implement Iowa Code section 303.88.

CHAPTER 12
ARTS IN EDUCATION PROJECT SUPPORT GRANTS

222—12.1(303) Arts in education project support grants program. The arts in education project support grants program provides financial incentives for nonprofit organizations, area education agencies and schools for the development of exemplary arts education activities.

222—12.2(303) Definitions. The definitions of terms listed in Iowa Code section 17A.2 and rule 222—1.1(303) shall apply for terms as they are used throughout this chapter. In addition, the following definition shall apply:

“Imagine Iowa 2010: A Cultural Vision” means the planning document for the department of cultural affairs.

222—12.3(303) Eligibility requirements. The criteria used by the arts division to determine eligibility as outlined in 222—subrules 2.3(7) to 2.3(9) are adopted for this program.

222—12.4(303) Restrictions. The restrictions used by the arts division as outlined in 222—subrules 2.3(10) to 2.3(15) and 2.3(19) to 2.3(31) are adopted for this program.

222—12.5(303) Review criteria. The advisory panel shall review applications to the arts in education project support grants program based upon the following criteria:

12.5(1) Scope of project, including its exemplary qualities, qualifications, significance, and feasibility of completion.

12.5(2) Partnerships of benefit evidenced by the applicant that impact the project, participants, or public.

12.5(3) Preparation, evaluation, and follow–up activities or plans relating to the proposed project.

12.5(4) Unserved or underserved populations benefiting from the proposed project.

12.5(5) Community and family involvement in the proposed project.

12.5(6) Efforts toward meeting the goals of Imagine Iowa 2010: A Cultural Vision.

222—12.6(303) Application procedures. An applicant shall submit a completed official application form as noted in 222—subrule 2.3(10). Each applicant shall be limited to the submission of two funded projects per fiscal year.

222—12.7(303) Deadline. Applications shall be due according to deadlines published annually by the arts division.

222—12.8(303) Review process. Applications to the arts in education project support grants program shall be reviewed on dates to be published annually by the arts division. Applications shall be reviewed by the appropriate advisory panel in accordance with 222—subrules 2.2(3), 2.3(10) and 2.3(15) to 2.3(23).

222—12.9(303) Awards. Awards shall be made in accordance with procedures outlined in 222—subrules 2.3(25) to 2.3(31).

222—12.10(303) Notification. Notification shall be made in accordance with procedures outlined in 222—subrule 2.3(3).

222—12.11(303) Contract. A contract shall be issued in accordance with procedures outlined in 222—subrule 2.3(14).

222—12.12(303) Reporting. Each grantee shall submit a final report in accordance with procedures outlined in 222— subrules 2.3(27) to 2.3(31).

222—12.13(303) Audit procedures and requirements. The audit procedures and requirements for grantees as outlined in 222—subrule 2.3(29) shall be in effect for this program.

222—12.14(303) Appeals. An applicant denied funding may appeal the decision in accordance with procedures outlined in 222—subrules 2.3(32) and 2.3(33).

These rules are intended to implement Iowa Code section 303.88.

CHAPTER 13
ARTISTS IN SCHOOLS/COMMUNITIES
RESIDENCY PROGRAM

222—13.1(303) Artists in schools/communities residency program. The artists in schools/communities residency program provides financial incentives for nonprofit organizations, area education agencies and schools for the development of exemplary arts education residency activities.

222—13.2(303) Definitions. The definitions of terms listed in Iowa Code section 17A.2 and rule 222—1.1(303) shall apply for terms as they are used throughout this chapter. In addition, the following definitions shall apply:

“Imagine Iowa 2010: A Cultural Vision” means the planning document for the department of cultural affairs.

“Residency” means an arts education activity of five days or longer that involves a professional artist or artist company from the arts in education artists roster.

222—13.3(303) Eligibility requirements. The criteria used by the arts division to determine eligibility as outlined in 222—subrules 2.3(7) to 2.3(9) are adopted for this program.

222—13.4(303) Restrictions. The restrictions used by the arts division as outlined in 222—subrules 2.3(10) to 2.3(15) and 2.3(19) to 2.3(31) are adopted for this program.

222—13.5(303) Fees. An applicant may apply to the arts division for funds only to support artist fees and travel, subsistence and supply costs. Funds shall provide up to $75 per day per artist and up to 50 percent of travel, subsistence and supply costs.

222—13.6(303) Review criteria. The advisory panel shall review applications to the artists in schools/communities residency program based upon the following criteria:

13.6(1) Scope of project, including its exemplary qualities, qualifications, significance, and feasibility of completion.

13.6(2) Partnerships of benefit evidenced by the applicant that impact the project, participants, or public.

13.6(3) Preparation, evaluation, and follow–up activities or plans relating to the proposed project.

13.6(4) Unserved or underserved populations benefiting from the proposed project.

13.6(5) Partnerships and community involvement in the proposed project.

13.6(6) Efforts toward meeting the goals of Imagine Iowa 2010: A Cultural Vision.

222—13.7(303) Application procedures. An applicant shall submit a completed official application form as noted in 222—subrule 2.3(10). Each applicant shall be limited to the submission of two funded projects per fiscal year.

222—13.8(303) Deadline. Applications shall be due according to deadlines published annually by the arts division.

222—13.9(303) Review process. Applications to the artists in schools/communities residency program shall be reviewed on dates to be published annually by the arts division. Applications shall be reviewed by the appropriate advisory panel in accordance with 222—subrules 2.2(3), 2.3(10) and 2.3(15) to 2.3(23).

222—13.10(303) Awards. Awards shall be made in accordance with procedures outlined in 222—subrules 2.3(25) to 2.3(31).

222—13.11(303) Notification. Notification shall be madein accordance with procedures outlined in 222—subrule 2.3(3).

222—13.12(303) Contract. A contract shall be issued inaccordance with procedures outlined in 222—subrule 2.3(14).

222—13.13(303) Reporting. Each grantee shall submit afinal report in accordance with procedures outlined in 222— subrules 2.3(27) to 2.3(31).

222—13.14(303) Audit procedures and requirements. The audit procedures and requirements for grantees as outlined in 222—subrule 2.3(29) shall be in effect for this program.

222—13.15(303) Appeals. An applicant denied funding may appeal the decision in accordance with procedures outlined in 222—subrules 2.3(32) and 2.3(33).

These rules are intended to implement Iowa Code section 303.88.

ITEM 6. Amend rule 222—18.2(303) by adopting the following new definition in alphabetical order:

“Artist business” means an Iowa for–profit business that is owned and operated by an artist or group of artists who regularly work together. “Artist business” shall not mean an artist cooperative that consists of artists who are not owners of the business.

Pursuant to the authority of Iowa Code section 303.1A, the Department of Cultural Affairs hereby gives Notice of Intended Action to amend Chapter 6, “Iowa Community Cultural Grants (ICCG) Program,” and Chapter 8, “Cultural Enrichment Grant (CEG) Program,” Iowa Administrative Code.

These rule changes are a direct result of the new strategic plan, Imagine Iowa 2010: A Cultural Vision, adopted by the Department of Cultural Affairs. The Iowa Arts Council reviewed these rules pursuant to Executive Order Number 8 and gathered input from representatives of constituent groups, grant review advisory panels and the general public.

Any interested person may make written comments or suggestions about the proposed changes on or before April 12, 2002. Such written comments should be directed to Julie Bailey, Department of Cultural Affairs, 600 E. Locust Street, Des Moines, Iowa 50319; E–mail may be sent to Julie. Bailey@dca.state.ia.us.

There will be a public hearing on April 15, 2002, from1 to 3 p.m. in Classroom A, State Historical Museum, 600 East Locust Street, Des Moines, Iowa. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendments. Any person who plans to attend the public hearing and who may have special requirements, such as hearing or mobility impairments, should contact the Department of Cultural Affairs and advise of specific needs.

These amendments are intended to implement Iowa Code chapter 303.

The following amendments are proposed.

ITEM 1. Amend rules 221—6.1(303) and 221—6.2(303) as follows:

221—6.1(303) Program purpose. The purpose of the Iowa community cultural grants (ICCG) is to provide a program of grants to cities, county governments, tribal councils and nonprofit, tax–exempt community groups to support the development of community programs which provide jobs for local Iowans while promoting Iowa’s cultural, ethnic, and historical heritages, through the development of festivals, music, drama, cultural programs, historic restorations, and tourism projects.

221—6.2(303) Program description. The ICCG program shall operate as a competitive grants program administered by the department under the direction of the director or designee. Iowa cities, county governments, tribal councils and nonprofit, tax–exempt community groups may make application to the department which will approve or disapprove all submissions based upon published criteria. The ICCG program shall provide funding to successful applications on a cost reimbursement basis, subject to local matching funds provisions and contractual terms as set forth in an agreement between the department and any successful grant recipient.

ITEM 2. Amend rule 221—6.3(303), definitions of “advisory committee,” “community group,” “eligible applicant,” and “local matching funds,” as follows:

“Advisory committee” means the committee comprised by of a representative of the arts division of the department, a representative of the historical division of the department, and a representative of the tourism division of the Iowadepartment of economic development. The advisory committee shall review each application and make recommendations to the director for funding of eligible projects.

“Community group” means an Iowa nonprofit, tax–exempt organization which is open to the general public and established for the promotion and development of one or more of the following disciplines or activities: the arts, history, culture, ethnicity, historic preservation, tourism, economic development, festivals, or municipal libraries. “Community group” shall not include a school, college, university, political party, labor union, county, state, or federal government agency, church, convention or association of churches, or organizations operated primarily for religious purposes, or which are operated, supervised, controlled or are principally supported by a church, convention, or association of churches.

“Eligible applicant” means an incorporated city in Iowa, county government, tribal council, or an Iowa community group which is federally tax–exempt and incorporated under the Iowa nonprofit corporation act. Iowa nonprofit community groups which have applied for and are awaiting determination of federal tax–exempt status may apply for ICCG funds through a fiscal agent which is federally tax–exempt and otherwise eligible to apply.

“Local matching funds” means those funds which are locally contributed for the specifically funded project and which, when combined with local in–kind contributions, shall equal at least 50 percent or more of the total project cost. Local matching funds shall be provided by the eligible applicant which is submitting the application for funding and shall not include any portion of another state or federal grant.

ITEM 3. Amend rule 221—6.4(303) as follows:

221—6.4(303) Application procedures. All ICCG inquiries and correspondence, including requests for official ICCG application forms, and the submission of completed application forms for consideration of funding shall be addressed to the Department of Cultural Affairs, Historical Building, 600 E. Locust Street, Des Moines, Iowa 50319, telephone (515)281–6078 8741. All applications shall be submitted on the original application form prescribed bythe department or a legible photocopy of the original form. Computer–generated, hand–written Hand–written, out–of–date, or telefacsimile applications shall not be accepted. All applications submitted shall be reviewed by the advisory committee with their recommendations for grantees and grant awards being submitted to the director or designee who shall determine final grantees’ awards to the extent funds are available.

ITEM 4. Amend rule 221—6.5(303) by adopting new numbered paragraph “9” as follows:

9. Support letters from collaborating partners.

ITEM 5. Amend rule 221—8.4(303) as follows:

8.4(1) Procedure. All applications shall be submitted on official cultural enrichment grant application forms obtained available from the department of cultural affairs. Interested applicants shall obtain application forms and procedures from the CEG Administrator, Department of Cultural Affairs, Historical Building, Capitol Complex, Des Moines, IA 50319, telephone (515)281–6078.

8.4(3 2) Application period. The department shall establish one or more application deadlines for the CEG moneys each year funds are available. The department shall allow at least 60 days for applicant response to requests for proposals. The cultural enrichment grant program shall operate on a two–year funding cycle. All applicants shall undergo a formal review process in year one of the funding cycle and shall be required to submit an interim application form in year two of the funding cycle.

ITEM 6. Amend rules 221—8.7(303) to 221—8.9(303) as follows:

221—8.7(303) Review committee. The director shall appoint a committee of up to seven Iowans who shall review all eligible applications and recommend approval for funding under the guidelines of this program. The members of the review committee shall serve at the pleasure of the director for a term of one year. The review committee shall consist of the following members:

7. One member of the general public. representatives with knowledge and expertise pertinent to the types of organizations eligible for the cultural enrichment grant program. The review committee shall be comprised of members who are not employed by an applicant and who do not serve on a board, council, or commission of an applicant, with or without compensation.

8.8(1) Procedure.

a. Each application shall be reviewed by the CEG administrator for eligibility, completeness, and accuracy. Incomplete, inaccurate, or ineligible applications, applications hand–delivered or postmarked after the deadline date or applications not bearing an official U.S. Postal Service cancellation shall not be considered for funding. Telefacsimile applications for CEG funds shall not be accepted.

b. The review committee shall review all applications eligible for consideration and make recommendations for funding to the director. The review committee shall be comprised of members who are not employed by an applicant and who do not serve on a board, council, or commission of an applicant with or without compensation.

c. Final decisions and certification of grant awards shall be made by the director. All applicants shall be notified of the status of their application within 15 working days of the director’s decision.

8.8(2) Selection Review criteria. Applications shall be evaluated on the basis of the following criteria:

a. Programmatic excellence and, leadership
and cultural impact. 30%

b. Sound fiscal and managerial practices and
administrative stability. 30%

c. Community outreach and involvement. 5%

d. Audience development. plan 5%

e. Quality of long–range planning. 5%

g. Cooperative planning with other cultural
organizations 5%

h f. Educational emphasis. 5%

i g. Strength of fundraising effort. 5%

j h. Scope of volunteer participation. 5%

8.9(1) Contracts.

a. Upon certification of a grant award by the director, the department shall enter into a contract with the grantee. The contract shall state the terms and conditions of the grant award as well as the amount of the award.

b. All contracts shall be approved by the director and the legally responsible officer of the grantee. An agent of the grantee shall be clearly identified as the sole contact with the department on matters concerning the grant.

c. The grantee shall give preference to Iowans and Iowa products and services in the expenditure of CEG funds.

d. The grantee shall agree to refrain from using CEG funds to influence legislation or for any other lobbying function.

e. The grantee shall agree to include in all printed lists of contributors the following credit line: “Operating support for this organization provided by the Iowa Department of Cultural Affairs, Cultural Enrichment Grant Program.”

8.9(2) Payments. Payments of the grant award shall be made upon the receipt by the department of a request for payment signed cultural enrichment grant contract from the grantee.

8.9(3) Record–keeping and retention requirements.

a. Financial records, supporting documents, and all other records pertinent to the program shall be retained by the grantee for three years beyond the grant period.

b. Representatives of the department and the state auditor’s office shall have access to all books, documents, account information, or other property belonging to or in use by the grantee pertaining to the receipt of funds under this program.

8.9(4) Audits. The recipient of any grant of $25,000 or more in any single grant cycle shall have conducted an on–site financial compliance audit. This audit shall not be an eligible grant expense.

8.9(5) Reporting requirements. The grantee shall provide a final report of the use of CEG funds which shall be submitted according to a schedule as outlined in the contract.

8.9(6) Finding of noncompliance. The department may, for cause, find that a grantee is not in compliance with the requirements of this program or the terms of the contract. At the department’s discretion, remedies for noncompliance may include suspension or return of grant funds. Reasons for a finding of noncompliance may include, but are not limited to:

a. The grantee’s use of funds for activities not permitted under the guidelines of this program;

b. The failure of the grantee to request payment of grant funds prior to the end of the contract;

c. The grantee’s failure to comply with any applicable state or federal rules, regulations, or laws; or

d. A violation of the terms of the contract.

Pursuant to the authority of Iowa Code section 272.2, the Board of Educational Examiners hereby gives Notice of Intended Action to amend Chapter 14, “Issuance of Practitioner’s Licenses and Endorsements,” Iowa Administrative Code.

The proposed amendment clarifies the evaluation process for the addition of a new endorsement at the secondary level for practitioners holding the K–6 endorsement in the content area of the 7–12 endorsement being added and clarifies the need for the practitioner to obtain a conditional license for the secondary level.

There will be a public hearing on the proposed amendment on April 10, 2002, at 1 p.m. in the State Board Conference Room, 2nd Floor, Grimes State Office Building, East 14th and Grand Avenue, 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 amendment. 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. Fax communication may be sent to (515)281–7669.

Any interested person may make written comments or suggestions on the proposed amendment through 4:30 p.m., April 10, 2002. Written comments and suggestions should be addressed to Dr. Anne E. Kruse, Executive Director, Board of Educational Examiners, at the above address, orE–mailed to anne.kruse@ed.state.ia.us.

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

This amendment is intended to implement Iowa Code chapter 272.

The following amendment is proposed.

Amend rule 282—14.106(272) as follows:

282—14.106(272) Adding endorsements to licenses. After the issuance of a teaching, administrative, or school service personnel license, an individual may add other endorsements to that license upon proper application, provided current requirements for that endorsement, as listed in 282— 14.140(272) and 282—14.141(272), have been met. An updated license with expiration date unchanged from the original or renewed license will be prepared.

In addition to the requirements listed in 282— 14.140(272) and 282—14.141(272), applicants for endorsements shall have completed a methods class appropriate for teaching the general subject area of the endorsement added.

Practitioners who are adding a secondary teaching endorsement and have not student taught on the secondary level shall complete a teaching practicum appropriate for teaching at the level of the new endorsement.

Practitioners holding the K–6 endorsement in the content area of the 7–12 endorsement being added may satisfy the requirement for a teaching practicum by completing all required coursework and presenting verification of competence. This verification of competence shall be signed by a licensed evaluator who has observed and formally evaluated the performance of the applicant at the secondary level. This verification of competence may be submitted at any time during the term of the conditional license. The practitioner must obtain a two–year conditional license while practicing with the 7–12 endorsement.

14.106(1) To add an endorsement, the applicant must follow one of these options:

Option 1. Identify with a recognized Iowa teacher preparing institution, meet that institution’s current requirements for the endorsement desired, and receive that institution’s recommendation.

Option 2. Identify with a recognized Iowa teacher education institution and receive a statement that the applicant has completed the equivalent of the institution’s approved program for the endorsement sought.

Option 3. Identify with a recognized teacher education institution and receive a statement that based on the institution’s evaluation of the individual’s preparation the applicant has completed all of the Iowa requirements for the endorsement sought.

14.106(2) Appeal. If an applicant cannot obtain a recommendation for an endorsement from an institution, and if the applicant can document that all of the Iowa requirements have been met, the applicant may apply for the endorsement by filing transcripts and supporting documentation for review. The application must be accompanied by a letter of rejection from an institution that offers the endorsement. Upon receipt of all materials, the staff of the board of educational examiners will review documents to determine if all Iowa requirements have been met.

Pursuant to the authority of Iowa Code section 272.2, the Board of Educational Examiners hereby gives Notice of Intended Action to amend Chapter 16, “Occupational and Postsecondary Endorsements and Licenses,” Chapter 17, “Renewal of Licenses,” Chapter 19, “Coaching Authori–zation,” Chapter 20, “Evaluator License,” Chapter 21,“Behind–the–Wheel Driving Instructor Authorization,” and Chapter 22, “Paraeducator Certificates,” Iowa Administrative Code.

The proposed amendments comply with 2001 Iowa Acts, chapter 122, which requires licensed practitioners whose practice includes children and adults to report at the time of their license, certificate or authorization renewal that they have completed the mandatory training class for reporting child abuse and dependent adult abuse.

There will be a public hearing on the proposed amendments on April 10, 2002, at 2 p.m. in the State Board Conference Room, Second Floor, Grimes State Office Building, East 14th and Grand Avenue, 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 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. Fax communication may be sent to (515)281–7669.

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

Any interested person may make written comments or suggestions on the proposed amendments through 4:30 p.m. on April 10, 2002. Written comments and suggestions should be addressed to Dr. Anne E. Kruse, Executive Director, Board of Educational Examiners, at the above address, or E–mailed to anne.kruse@ed.state.ia.us.

These amendments are intended to implement Iowa Code chapter 272 and 2001 Iowa Acts, chapter 122.

The following amendments are proposed.

ITEM 1. Amend rule 282—16.3(272) as follows:

16.3(1) Six units are needed for renewal. These units may be earned in any combination listed below.

a. One renewal unit may be earned for each semester hour of credit which advances one toward the completion of a degree program.

16.3(2) b. One renewal unit may be earned for each semester hour of credit completed which may not lead to a degree but which adds greater technical depth/competence to the endorsement(s) held.

16.3(3) c. Renewal units may be earned upon the completion of staff development programs approved through guidelines established by the board of educational examiners or approved technical update program approved by the board of educational examiners.

16.3(4) d. Completion of an approved human relations component, if not already met.

ITEM 2. Amend rules 282—17.5(272) to 282— 17.9(272) as follows:

17.5(1) Six units are needed for renewal. These unitsmay be earned in any combination listed below.

1 a. One unit may be earned for each semester hour of credit completed which leads toward the completion of a planned master’s, specialist’s, or doctor’s degree program.

2 b. One unit may be earned for each semester hour of credit completed which may not lead to a degree but which adds greater depth/breadth to present endorsements held.

3 c. One unit may be earned for each semester hour of credit completed which may not lead to a degree but which leads to completion of requirements for an endorsement not currently held.

4 d. One unit may be earned upon completion of each licensure renewal course or activity approved through guidelines established by the board of educational examiners.

5 e. Four units may be earned for successful completion of the National Board for Professional Teaching Standards certification. This may be used one time for either the standard or the master educator license.

17.6(1) Four units are needed for renewal. These units may be earned in any combination listed below.

1 a. One unit may be earned for each semester hour of credit completed which leads toward the completion of a planned master’s, specialist’s, or doctor’s degree program.

2 b. One unit may be earned for each semester hour of credit completed which may not lead to a degree but which adds greater depth/breadth to present endorsements held.

3 c. One unit may be earned for each semester hour of credit completed which may not lead to a degree but which leads to completion of requirements for an endorsement not currently held.

4 d. One unit may be earned upon completion of each licensure renewal course or activity approved through guidelines established by the board of educational examiners.

5 e. Four units may be earned upon successful completion of the National Board for Professional Teaching Standards certification. If previously used to renew the standard license, this may not be used.

17.7(1) Four units are needed for renewal. These units may be earned in any combination listed below.

1 a. One unit may be earned for each semester hour of credit completed which leads toward the completion of a planned specialist’s or doctor’s degree program.

2 b. One unit may be earned for each semester hour of credit completed which may not lead to a degree but which adds greater depth/breadth to present administrative endorsements held.

3 c. One unit may be earned for each semester hour of credit completed which may not lead to a degree but which leads to completion of requirements for an administrative endorsement not currently held.

4 d. One unit may be earned upon completion of each licensure renewal course or activity approved through guidelines established by the board of educational examiners.

17.8(1) If a person meets all requirements for the standard license except for the options required in 282—paragraph 14.112“2,” the initial license may be renewed upon written request. A second renewal may be granted if the holder ofthe initial license has not met the options required in 282— paragraph 14.112“2” and if the license holder can provide evidence of teaching employment which will be acceptable for the experience requirement.

17.9(1) Meet one of the requirements listed below:

1 a. Verification of at least 30 days of substitute teaching during the term of the license.

2 b. Completion of a local education agency or area education agency course approved through licensure renewal guidelines established by the board of educational examiners.

3 c. Completion of a community college, college, or university course.

ITEM 3. Amend rule 282—19.5(272) as follows:

282—19.5(272) Renewal. All fees are nonrefundable. The authorization may be renewed upon application, $50 renewal fee, and verification of successful completion of:

19.5(2) five Five planned renewal activities/courses related to athletic coaching approved in accordance with guidelines approved by the board of educational examiners. Beginning on or after July 1, 2000, each applicant for the renewal of a coaching authorization shall have completed one renewal activity/course relating to the knowledge and understanding of professional ethics and legal responsibilities of coaches. A one–year extension of the holder’s coaching authorization will be issued if all requirements for the renewal of the coaching authorization have not been met. This extension is not renewable. The cost of the one–year extension shall be $10.

ITEM 4. Amend rule 282—20.6(272) as follows:

20.6(1) Coursework for renewal of the evaluator approval license or the license with the evaluator approval endorsement must complement the initial requirements set out in 20.5(3). This coursework must be at least one semester hour of college or university credit or one renewal unit from an approved Iowa staff development program.

ITEM 5. Amend rule 282—21.5(272) as follows:

282—21.5(272,321) Renewal. All fees are nonrefundable. The behind–the–wheel driving instructor authorization may be renewed upon application, $10 renewal fee and verification of successful completion of:

21.5(1) Providing behind–the–wheel instruction for a minimum of 12 clock hours during the previous school year; and

21.5(2) Successful participation in at least one de–partment of transportation–sponsored or department oftransportation–approved behind–the–wheel instructor refresher course.; and

21.5(3) Effective September 1, 2002, the child and dependent adult abuse training approved by the state abuse education review panel. A waiver of this requirement may apply under the following conditions with appropriate documentation of any of the following:

ITEM 6. Amend rule 282—22.13(272) as follows:

22.13(1) The paraeducator certificate may be renewed upon application, a $25 renewal fee, and verification of successful completion of coursework totaling three units in any combination listed below.

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

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

Pursuant to the authority of Iowa Code section 455B.133, the Environmental Protection Commission hereby gives Notice of Intended Action to amend Chapter 22, “Controlling Pollution,” Iowa Administrative Code.

The purpose of this rule making is to clarify the Title V insignificant activities by condensing some of the sections and adding a general introduction to the rule. Secondly, this rule making adds more categories of insignificant activities to subrule 22.103(1). Finally, this rule making revises the insignificant emission levels found in subrule 22.103(2).

This rule making is the result of a cooperative negotiated rule–making process between the Department and representatives of the Iowa Association of Business and Industry (ABI). Both the Department and ABI are interested in reducing the regulatory burden on industry where the emissions of air contaminant sources are likely to have little impact.

40 CFR Part 70.5(c) gives permitting authorities considerable discretion in determining the amount and quality of information required in Title V permit applications for insignificant activities. This flexibility encompasses the idea that certain activities are clearly trivial and can be omitted from the application (i.e., emission units and activities without specific applicable requirements and with extremely small emissions). In all cases the permitting authority must, at a minimum, require information in permit applications sufficient to determine the applicability of, and to impose, all applicable requirements of the Clean Air Act and to confirm that no other requirements of the Act apply to the source.

The Department believes these rule revisions do not reduce or diminish the Department’s ability to impose or determine the applicability of any requirements.

Any person may make written suggestions or comments on the proposed amendments on or before May 3, 2002. Written comments should be directed to Corey McCoid, Iowa Department of Natural Resources, Air Quality Bureau, 7900 Hickman Road, Suite 1, Urbandale, Iowa 50322, fax (515)242–5094, or by E–mail to corey.mccoid@dnr.state.ia. us.

A public hearing will be held on April 24, 2002, at 10:30 a.m. in Conference Rooms 3 and 4 at the Department’s Air Quality Bureau office located at 7900 Hickman Road, Urbandale, Iowa, at which time comments may be submitted orally or in writing. All comments must be received no later than May 3, 2002.

Any person who intends to attend the public hearing and has special requirements, such as those related to hearing or mobility, should contact Corey McCoid at (515)281–6061 to advise of any specific needs.

These amendments are intended to implement Iowa Code section 455B.133.

The following amendments are proposed.

ITEM 1. Amend rule 567—22.100(455B) by adopting the following new definition in alphabetical order:

“Manually operated equipment” means a machine or tool that is handheld, such as a handheld circular saw or compressed air chisel; a machine or tool for which the work piece is held or manipulated by hand, such as a bench grinder; a machine or tool for which the tool or bit is manipulated by hand, such as a lathe or drill press; and any dust collection system which is part of such machine or tool; but not including any machine or tool for which the extent of manual operation is to control power to the machine or tool and not including any central dust collection system serving more than one machine or tool.

ITEM 2. Amend rule 567—22.103(455B) by adopting the following new introductory paragraph:

ITEM 3. Amend subrule 22.103(1) as follows:

22.103(1) Insignificant activities excluded from Title V operating permit application. The following are insignificant activities for purposes of Title V permitting if not needed to determine the applicability of or to impose any applicable requirement. In accordance with 40 CFR 70.5 (as amended through July 21, 1992), these activities need not be included in the Title V permit application or in the calculation of fees pursuant to 22.106(455B). However, if the inclusion of emissions from these activities makes the source subject to the Title V permit requirement or if these activities are needed to impose any applicable requirement, these activities must be included in the permit application.

a. Mobile internal combustion and jet engines, marine vessels, and locomotives.

b. Equipment, other than anaerobic lagoons, used for cultivating land, harvesting crops, or raising livestock. This exemption is not applicable if the equipment is used to remove substances from grain which were applied to the grain by another person. This exemption also is not applicable to equipment used by a person to manufacture commercial feed, as defined in Iowa Code section 198.3, when that feed is normally not fed to livestock:

(1) Owned by that person or another person, and

(2) Located in a feedlot, as defined in Iowa Code section 172D.1(6), or in a confinement building owned or operated by that person, and

(3) Located in this state.

c. Equipment or control equipment which eliminates all emissions to the atmosphere.

d. Equipment (other than anaerobic lagoons) or control equipment which emits odors unless such equipment or control equipment also emits particulate matter or any other air pollutant or contaminant.

f. Residential wood heaters, cook stoves, or fireplaces.

g. Laboratory equipment used exclusively for chemical and physical analyses. The equipment in laboratories used exclusively for nonproduction chemical and physical analyses. Nonproduction analyses means analyses incidental to the production of a good or service and includes analyses conducted for quality assurance or quality control activities, or for the assessment of environmental impact.

h. Recreational fireplaces.

i. Barbecue pits and cookers except at a meat packing plant or a prepared meat manufacturing facility.

j. Stacks or vents to prevent escape of sewer gases through plumbing traps for systems handling domestic sewage only. Systems which include any industrial waste are not exempt.

k. Retail gasoline and diesel fuel handling facilities.

ITEM 4. Amend subrule 22.103(2) as follows:

22.103(2) Insignificant activities which must be included in Title V operating permit applications.

a. The following are insignificant if not needed to determine the applicability of or to impose any applicable requirement and if the total plantwide potential emissions from these insignificant activities do not exceed the level specified in paragraph 22.103(2)“b.” activities based on potential emissions:

(1) An emission unit which has the potential to emit less than:

(1) Fuel–burning equipment for indirect heating and reheating furnaces using natural or liquefied petroleum gas with a capacity of less than 10 million Btu per hour input per combustion unit.

(2) Fuel–burning equipment for indirect heating with a capacity of less than 1 million Btu per hour input per combustion unit when burning coal, untreated wood, or fuel oil.

(3) Incinerators with a rated refuse burning capacity of less than 25 pounds per hour.

(4) Gasoline, diesel fuel, or oil storage tanks with a capacity of 1,000 gallons or less and an annual throughput of less than 40,000 gallons.

Pursuant to the authority of Iowa Code section 455B.200, the Environmental Protection Commission hereby gives Notice of Intended Action to amend Chapter 65, “Animal Feeding Operations,” Iowa Administrative Code.

This amendment would define “adjacent” for the purposes of determining when two or more open feedlots must obtain an operation permit.

Any interested person may make written suggestions or comments on the proposed amendment on or before April 17, 2002. Written comments should be directed to Sara Smith, Department of Natural Resources, Wallace State Office Building, 502 E. 9th Street, Des Moines, Iowa 50319–0034; fax (515)281–8895.

Also, there will be a public hearing on April 17, 2002, at1 p.m. in the Fifth Floor Conference Room of the Wallace State Office Building at which time persons may present their views either orally or in writing. At the hearing, people will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendment.

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

This amendment is intended to implement Iowa Code sections 455B.171(4) and 455B.200.

The following amendment is proposed.

Amend rule 567—65.1(455B) by adopting the following new definition in alphabetical order:

“Adjacent” means, for the purpose of determining whether an operation permit is required pursuant to 567— 65.4(455B), that two or more open feedlots are adjacent if they are separated at their closest points, including any solids settling facility, by less than 1,250 feet.

Pursuant to the authority of Iowa Code section 455B.304 the Environmental Protection Commission hereby gives Notice of Intended Action to amend Chapter 104, “Sanitary Disposal Projects with Processing Facilities,” and Chapter 106, “Recycling Operations,” Iowa Administrative Code.

These amendments are warranted due to the extensive reorganization and clarification necessary to make the new rules useful to transfer station and citizen convenience center operators and to regulatory officials.

Any interested person may make written suggestions or comments on these proposed amendments prior to April 10, 2002. Such written materials should be directed to Jeff Myrom, Land Quality and Waste Management Assistance Division, Department of Natural Resources, 502 East 9th Street, Des Moines, Iowa 50319; fax (515)281–8895. Persons wishing to convey their views orally should contact Jeff Myrom at (515)281–3302.

Also, there will be a public hearing on April 9, 2002, at3 p.m. in Conference Room 5 West of the Wallace State Office Building, at which time persons may present their views either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendments.

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

These amendments are intended to implement Iowa Code section 455B.304.

The following amendments are proposed.

ITEM 1. Renumber rules 567—106.1(455B) to 567— 106.4(455B) as 567—104.21(455B) to 567— 104.24(455B).

ITEM 2. Amend 567—Chapter 106, title, as follows:

RECYCLING OPERATIONS
CITIZEN CONVENIENCE CENTERS
AND TRANSFER STATIONS

ITEM 3. Adopt the following new rules:

567—106.1(455B) Compliance. All existing citizen convenience centers and transfer stations shall be inspected and reviewed by the department to ensure compliance with these rules. These rules do not apply to medical waste transfer stations.

106.1(1) If a citizen convenience center or transfer station existing before the effective date of these rules is not in compliance, the department shall notify that facility in writing of the specific deficiencies. The facility shall then submit to the department in writing a compliance schedule for that facility within 30 days of notification by the department. The compliance schedule shall not exceed two years from the date of written notification by the department.

106.1(2) If an existing facility does not achieve compliance within two years from the date of written notification by the department, the facility shall close pursuant to 567— 106.7(455B) if it is a citizen convenience center or 567— 106.17(455B) if it is a transfer station.

567—106.2(455B,455D) Definitions. In addition to the definitions set out in Iowa Code section 455B.301, which shall be considered incorporated by reference in these rules, the following definitions shall apply:

“Citizen convenience center” means a permanent, fixed–location facility that has the primary purpose of receiving solid waste from citizens and small businesses that do not utilize solid waste collection vehicles or satellite solid waste collection vehicles. A citizen convenience center is a sanitary disposal project and may hold solid waste for a short period of time before collection. A citizen convenience center is not a transfer station or final disposal facility.

“Hot load” means solid waste that is smoking, smoldering, emitting flames or hot gases or otherwise indicating that the solid waste is in the process of combustion or close to igniting.

“Incidental solid waste transfer” means the truck–to–truck transfer of solid waste from a satellite solid waste collection vehicle to a solid waste collection vehicle, if that solid waste could be collected only by a satellite solid waste collection vehicle due to vehicle access restrictions.

“Satellite solid waste collection vehicle” means a small, specialized solid waste collection vehicle that has been specifically designed to service locations that have vehicle access restrictions that would otherwise render solid waste collection technically prohibitive.

“Solid waste collection vehicle” means a vehicle that has the primary purpose of collecting solid waste from a variety of locations, including at curbside and from dumpsters, compactors, and roll–off boxes.

“Solid waste transport vehicle” means a vehicle that serves the purpose of transporting solid waste received by a transfer station.

“Surge pit” means a pit inside a transfer station building that receives solid waste from the tipping floor or directly from solid waste collection vehicles. Surge pits provide more space for temporary storage during peak operating hours and allow for additional compaction of the solid waste before it is loaded into solid waste transport vehicles.

“Transfer station” means a permanent, fixed–location, enclosed transportation terminal that has the primary purpose of receiving solid waste from solid waste collection vehicles and loading that solid waste into solid waste transport vehicles. Truck–to–truck transfer of solid waste that is not incidental solid waste transfer is not allowed outside a transfer station building. A transfer station is a sanitary disposal project and may hold or store solid waste before transport for a short period of time. A transfer station is not a final disposal facility.

“Truck–to–truck transfer” means the direct transfer of solid waste from one vehicle to a second vehicle with no intermediary handling. Truck–to–truck transfer of solid waste that is not incidental solid waste transfer is not allowed outside a transfer station building.

“Vector” means a carrier organism that is capable of transmitting a pathogen from one organism to another. Vectors include, but are not limited to, birds, rats and other rodents, and insects.

“Washwater” means a water–based liquid that has either originated from solid waste unloaded inside the enclosed portion of a transfer station or that has come into contact with enclosed transfer station areas that have come into contact with solid waste.

106.3(1) Permit required. A citizen convenience center or a transfer station is a sanitary disposal project and shall not be constructed or operated without a permit from the department. In order to be issued a permit, a citizen convenience center or transfer station must satisfy the comprehensive planning requirements set forth in 567—Chapter 101. The issuance of a permit by the department in no way relieves the applicant of the responsibility of complying with all other local, state, or federal statutes, ordinances, and rules or other requirements applicable to the construction and operation of a citizen convenience center or transfer station.

106.3(2) Citizen convenience center permit exemption. If a citizen convenience center is located at a permitted recy–cling or composting facility or sanitary disposal project, it shall not require its own permit; instead, the citizen convenience center shall be amended into the host facility’s permit.

106.3(3) Construction and operation. A citizen convenience center or transfer station shall be constructed and operated according to the plans and specifications approved by the department and the conditions of the permit. The approved plans and specifications shall constitute a condition of the permit.

106.3(4) Transfer of title and permit. If title to a citizen convenience center or transfer station is transferred, then the department shall transfer the permit within 60 days if the department has found that the following requirements have been met:

a. The title transferee has applied in writing to the department to request a transfer of the permit within 30 days of the transfer of title.

b. The permitted facility is in compliance with Iowa Code chapters 455B and 455D, these rules and the conditions of the permit.

106.3(5) Permit conditions. Any permit may be issued subject to conditions specified in writing by the department that are necessary to ensure that the sanitary disposal project is constructed and operated in compliance with Iowa Code chapters 455B and 455D and these rules.

106.3(6) Effect of revocation. If a permit for a citizen convenience center or transfer station held by any public or private agency is revoked by the director, then no new permit shall be issued to that agency for that sanitary disposal project for a period of one year from the date of revocation. Such revocation shall not prohibit the issuance of a permit for the sanitary disposal project to another public or private agency.

106.3(7) Inspection prior to commencing new operation. The department shall be notified when the construction of a new citizen convenience center or a transfer station has been completed. The department shall then complete an inspection of the facility to determine if the sanitary disposal project has been constructed in accordance with the plans and specifications and permit requirements. No solid waste shall be accepted by the facility until it has been inspected and approved by the department.

106.3(8) Duration and renewal of permits. A citizen convenience center or transfer station permit shall be issued fora period of three years and is renewable, unless otherwise specified by conditions set forth in subrule 106.3(5).

106.3(9) Request and approval of permit renewal. A request for permit renewal shall be in writing and must be filed at least 90 days before the expiration of the current permit by submitting Form 50 (542–1542) to the department. The department may request that additional information be submitted for review in order to make a permit renewal decision. The department shall renew the permit if, after a review and inspection of the facility and its compliance history, the department finds that the facility is in compliance with Iowa Code chapters 455B and 455D, these rules and the conditions of the permit, and is making a good–faith effort to maintain compliance. If the facility is found not to be in compliance with Iowa Code chapters 455B and 455D, these rules, and the conditions of the permit or if a good–faith effort to maintain compliance is not being made, the sanitary disposal project shall be brought into compliance or placed on a compliance schedule approved by the department before the permit is renewed. The permit may be renewed with new conditions pursuant to subrule 106.3(5).

106.3(10) Request for permit modification. A request for permit modification shall be submitted in writing to the department with supporting documentation and materials. The department may request that additional information be submitted for review in order to make a permit modification decision. The department may also request that information pursuant to rule 106.4(455B) for citizen convenience centers or rule 106.8(455B) for transfer stations be resubmitted, in part or in whole, in order to make a permit modification decision. The modified permit may be approved with new conditions pursuant to subrule 106.3(5).

106.3(11) Emergency solid waste transfer permit. If a primary sanitary disposal project in a service area becomes inoperable, the department may issue an emergency solid waste transfer permit for a period of time no longer than necessary for a sanitary disposal project that provides replacement capacity to be constructed and become operational. The department may also issue an emergency solid waste transfer permit for a period of time no longer than necessary for a sanitary disposal project to return to permitted capacity if more solid waste is produced by an extraordinary event than can be managed by a sanitary disposal project. The conditions of an emergency solid waste transfer permit shall be determined by the department and may be used as an alternative to the requirements of this chapter. The department shall issue an emergency solid waste transfer permit only if the department has determined that the following conditions apply:

a. It is not technically feasible to direct haul with solid waste collection vehicles and manage the solid waste at another sanitary disposal project or combination thereof in the service area or surrounding service areas.

b. Solid waste must be transferred from the area in order to protect human health and the environment.

106.4(1) A citizen convenience center permit applicant shall submit the following permit application information to the department:

a. The name, address, and telephone number of:

(1) Owner of site where project will be located.

(2) Permit applicant.

(3) Official responsible for the operation of the project.

(4) Professional engineer (P.E.) licensed in the state of Iowa and retained for the design of the facility, if any.

(5) Agency to be served by the project, if any.

(6) Responsible official of agency to be served, if any.

b. A legal description of the site.

c. A map or aerial photograph locating the boundaries of the site and identifying:

(1) North and other principal compass points.

(2) Zoning and land use within 250 feet.

(3) Homes and buildings within 250 feet.

(4) Section lines or other legal boundaries.

d. Proof of the applicant’s ownership of the site and legal entitlement to use the site as a citizen convenience center.

e. Days and hours of operation of the site.

f. The service area of the facility and political jurisdictions included in that area.

g. Type, source, and expected weight of solid waste to be handled per day, week, and year.

h. A description of the disposal process to be used.

i. A site design illustrating the facility, which may include engineering plans and specifications completed by the engineer listed in 106.4(1)“a”(4).

j. A plan of operations detailing how the site will comply with rule 106.5(455B) and with rule 106.6(455B,455D), if applicable.

k. A closure plan detailing how the site will comply with rules 106.7(455B) and 106.18(455B).

l. An emergency response and remedial action plan (ERRAP) pursuant to rule 106.19(455B).

106.4(2) If the department finds the permit application information to be incomplete, it shall notify the applicant in writing of that fact and of the specific deficiencies and return the application materials to the applicant within 30 days of such notification. The applicant may reapply without prejudice.

106.5(1) Solid waste shall be accepted only from citizens and small businesses residing in the service area designated in 106.4(1)“f.” Solid waste shall not be accepted from solid waste collection vehicles.

106.5(2) All solid waste received shall be loaded into dumpsters, compactors, or roll–off boxes and collected by solid waste collection vehicles. Solid waste shall not be loaded into solid waste transport vehicles.

106.5(3) Dumpsters, compactors, and roll–off boxes shall not be allowed to overflow, and solid waste shall be collected as often as necessary to prevent the attraction or harborage of vectors and to prevent a nuisance or public health hazard.

106.5(4) Litter shall be collected as often as necessary to prevent a nuisance or public health hazard.

567—106.6(455B,455D) Citizen convenience center reporting requirements. A citizen convenience center that directly disposes of solid waste outside Iowa shall report the following information, on a form provided by the department, to the department and local solid waste authority on a quarterly basis:

106.6(1) Tons of solid waste disposed of.

106.6(2) Comprehensive planning areas from which the solid waste originated, and the tons of solid waste disposed from each county and comprehensive planning area.

106.6(3) Destinations of all outgoing solid waste.

567—106.7(455B) Citizen convenience center closure requirements. The facility shall submit to the local political jurisdiction, the department, and department field office with jurisdiction over the citizen convenience center written notice of intent to permanently close the facility at least 180 days before closure. Closure shall be in conformance with the closure plan pursuant to 106.4(1)“k” and shall not be official until the department field office has given written certification of the completion of the closure plan and the following activities:

106.7(1) Proper disposal of all solid waste and litter at the site.

106.7(2) Removal of all dumpsters, compactors, roll–off boxes, and other solid waste receptacles.

106.7(3) Reporting of the completion of these activities to the local political jurisdiction, the department, and the department field office with jurisdiction over the citizen convenience center.

106.8(1) A transfer station permit applicant shall submit the following permit application information to the department:

a. The name, address, and telephone number of:

(1) Owner of site where project will be located.

(2) Permit applicant.

(3) Official responsible for the operation of the project.

(4) Professional engineer (P.E.) licensed in the state of Iowa and retained for the design of the facility.

(5) Agency to be served by the project, if any.

(6) Responsible official of agency to be served, if any.

b. A legal description of the site.

c. A map or aerial photograph locating the boundaries of the site and identifying:

(1) North and other principal compass points.

(2) Zoning and land use within 750 feet.

(3) Homes and buildings within 750 feet.

(4) Haul routes to and from the site with load limits or other restrictions.

(5) Section lines or other legal boundaries.

d. Proof of the applicant’s ownership of the site and legal entitlement to use the site as a transfer station.

e. Days and hours of operation of the site.

f. The service area of the facility and political jurisdictions included in that area.

g. Type, source, and expected weight of solid waste to be handled per day, week, and year.

h. A description of the waste transfer and disposal proc–ess to be used.

i. An organizational chart.

j. An engineering design including applicable approvals from responsible government agencies and public entities, and triplicate engineering plans and specifications completed by the engineer listed in 106.8(1)“a”(4), detailing how the site will comply with rules 106.9(455B), 106.10(455B), 106.12(455B), and 106.15(455B).

k. A plan of operations detailing how the site will comply with rules 106.11(455B) through 106.16(455B).

l. A closure plan detailing how the site will comply with rules 106.17(455B) and 106.18(455B).

m. An emergency response and remedial action plan (ERRAP) pursuant to rule 106.19(455B).

106.8(2) If the department finds the permit application information to be incomplete, it shall notify the applicant in writing of that fact and of the specific deficiencies and return the application materials to the applicant within 30 days of such notification. The applicant may reapply without prejudice.

567—106.9(455B) Transfer station siting and location requirements. A transfer station shall meet the following requirements:

106.9(1) A transfer station shall not be located within a 100–year floodplain unless the design includes structures to prevent floodwater inundation from a 100–year flood of any area that comes into contact with solid waste or washwater.

106.9(2) A transfer station shall not be located within 500 feet of an educational or health care facility or permanent residence unless screening is utilized to minimize noise and visibility of operations. Such screening shall utilize natural components to the maximum extent possible. This requirement shall not apply if construction of the educational or health care facility or permanent residence began after the transfer station permit application was received by the department.

106.10(1) Transfer station building. A transfer station shall include a building inside which all solid waste is unloaded from solid waste collection vehicles and loaded into solid waste transport vehicles. Truck–to–truck transfer of solid waste that is not incidental solid waste transfer is not allowed outside a transfer station building. A rear–loading solid waste transport vehicle that does not have any other open access and securely abuts the transfer station building so that minimal amounts of solid waste escape during loading shall qualify as being inside the building. The transfer station building shall meet the following requirements:

a. All surfaces that come into contact with solid waste shall be enclosed by walls and a roof satisfactory to:

(1) Minimize dust and litter exiting the building.

(2) Keep precipitation out of the building.

(3) Prevent the attraction or harboring of vectors.

b. All surfaces that come in contact with solid waste or washwater shall be impervious to liquids.

c. The transfer station building shall have a drainage system that maintains a separation between stormwater and washwater.

d. The transfer station building shall have a washwater collection system that directs washwater to a storage tank for later disposal, a sanitary sewer system, or equivalent asapproved by the department. Storage tanks shall have high–level indicators or gauges.

e. Each area where unloaded solid waste is stored during nonoperating hours shall be clearly marked and include a fire detection system.

f. If solid waste is to be managed or stored in a surge pit, then effective odor control mechanisms such as, but not limited to, mist systems and air filters shall be required.

g. If solid waste is to be managed or stored in a surge pit, then a sprinkler system shall be installed over that area.

h. Each area where salvaged materials are stored shall be clearly marked.

i. The transfer station building shall have adequate indoor and outdoor lighting that minimizes the difference in lighting when entering or exiting the building.

j. The transfer station building shall have doors at each entrance and exit.

106.10(2) Other transfer station design requirements. A transfer station shall:

a. Provide a secure perimeter fence, with lockable gate(s).

b. Use a scale certified by the Iowa department of agriculture and land stewardship.

c. Provide adequate queuing distance for vehicles entering and exiting the property such that lines of vehicles will not extend onto public streets during peak hours, unless approved by the appropriate local government authority.

d. Provide signs or pavement markings indicating safe and proper on–site traffic patterns.

e. Post a sign at the primary entrance to the facility specifying:

(1) Name and permit number of facility.

(2) Operating hours.

(3) Materials that are accepted or the statement “All materials must have prior approval.”

(4) Telephone number of emergency contact person(s).

567—106.11(455B) Transfer station operating requirements. A transfer station shall perform its operations in a manner that complies with the following requirements:

106.11(1) Site access shall be controlled and limited to a time when a transfer station operator who has met the following training requirements is on duty:

a. Has read, understands, and is able to implement the plan of operations pursuant to 106.8(1)“k.”

b. Has read, understands, and is able to implement the emergency response and remedial action plan pursuant to 106.8(1)“m.”

c. Is able to visually recognize universal symbols and markings, and indications of unacceptable materials pursuant to subrule 106.11(4).

d. Is certified by a training program approved by the department such as, but not limited to, the Solid Waste Association of North America’s Managing Transfer Station Systems Training and Certification Course, if the facility is permitted for 20,000 tons or more per year of solid waste.

106.11(2) Solid waste shall be accepted only from generators within the service area designated in 106.8(1)“f.”

106.11(3) All unloading, handling, processing, screening, open storage, loading, and similar activities or processes involving solid waste shall be performed inside the transfer station building. Truck–to–truck transfer of solid waste that is not incidental solid waste transfer is not allowed outside a transfer station building. A rear–loading solid waste transport vehicle that does not have any other open access and securely abuts the transfer station building so that minimal amounts of solid waste escape during loading shall qualify as being inside the building. Salvaged materials that do not attract or harbor vectors may be stored outside the building in clearly marked designated areas.

106.11(4) All solid waste accepted by the transfer station shall, at a minimum, be visually inspected by personnel capable of identifying hot loads and hazardous, infectious, radioactive, and other wastes not acceptable for disposal in a sanitary landfill.

106.11(5) Transfer station operators shall segregate and manage unacceptable wastes and hot loads in accordance with applicable laws, and in a manner as safe and responsible as practical.

106.11(6) Transfer station operators shall be allowed to salvage materials. Scavenging shall not be allowed.

106.11(7) The operation of the facility shall be carried out in a manner that attempts to minimize litter, dust, odor, noise, vibration, and the attraction or harborage of vectors.

106.11(8) The transfer station building shall be maintained at a level of cleanliness necessary to prevent a nuisance or public health hazard.

106.11(9) On–site litter shall be maintained at a level of cleanliness necessary to prevent a nuisance or public health hazard. Off–site litter shall be collected daily.

106.11(10) The exterior of all buildings shall be maintained in a reasonable aesthetic condition, and that prevents the attraction or harborage of vectors, so as not to create a nuisance or public health hazard.

106.11(11) Washwater management systems shall not be allowed to overflow and shall be inspected monthly and maintained in proper operating condition.

106.11(12) Any breach of a surface that prevents washwater from entering the ground and groundwater shall be repaired within 24 hours to make that surface impervious to liquids. If such repairs cannot be made within 24 hours, the facility shall not allow solid waste or washwater to come into contact with the breached area until repairs are complete. If the facility cannot prevent solid waste or washwater from coming into contact with the breached area, the department may require the facility to shut down until repairs are completed.

106.11(13) Adequate provisions shall be made for the routine operational maintenance of the facility.

106.12(1) Areas permitted for storage. Solid waste shall be stored at the transfer station in the following manner:

a. Inside a transfer station building in a clearly marked designated area; or

b. Inside a transfer station building in a surge pit; or

c. Inside a secure solid waste transport vehicle, protected from precipitation and vectors.

106.12(2) Storage time requirements. Solid waste shall be stored no longer than the following periods of time, unless shorter storage times are required by the department or local government authority to prevent a nuisance or public health hazard:

a. Inside a transfer station building without a surge pit or similar operational structure for not more than 48 hours, excluding Sundays and national holidays.

b. Inside a transfer station building in a surge pit for not more than seven days, including Sundays and national holidays.

c. Inside a solid waste transport vehicle designated to travel only via roadway for not more than 48 hours, excluding Sundays and national holidays.

d. Inside a solid waste transport vehicle designated to travel via rail or navigable waterway, including intermodal container systems, for not more than seven days, including Sundays and national holidays.

106.13(1) A transfer station shall maintain a copy of the following documents:

a. Current permit(s), on site.

b. Plan of operation, on site.

c. Emergency response and remedial action plan, on site.

d. Proof of financial assurance, on file.

106.13(2) A transfer station shall maintain records of the following information for a period of three calendar years:

a. Tons of all solid waste disposed of quarterly.

b. Destination of all outgoing solid waste.

c. Washwater management system inspection log.

d. Hot loads and hazardous, infectious, radioactive, or other unacceptable wastes found.

e. Training received by transfer station operator(s) pursuant to 106.11(1).

106.14(1) A transfer station shall report the following information, on a form provided by the department, to the department and local solid waste authority on a quarterly basis:

a. Tons of solid waste disposed of.

b. Comprehensive planning areas from which the solid waste originated, and the tons of solid waste disposed from each county and comprehensive planning area.

c. Destinations of all outgoing solid waste.

106.14(2) A transfer station shall be inspected annually by an Iowa–licensed professional engineer (P.E.). The inspection shall, at a minimum, cover the design standards pursuant to rule 106.10(455B). The inspection report shall reflect the facility’s compliance with respect to thedepartment–approved design and construction. The annual report shall be submitted to the department and department field office with jurisdiction over the facility by the first workday in November each year.

106.15(1) The portion of a solid waste transport vehicle that contains solid waste shall be designed to prevent the accidental discharge of its contents, the attraction or harborage of vectors, and infiltration of precipitation. This design shall include a suitable cover that is not easily torn, shredded, broken, or otherwise breached under normal use.

106.15(2) Any solid waste transport vehicle that fails to meet the requirements of this rule shall be repaired before it is utilized in the transport or storage of solid waste.

106.15(3) All solid waste transport vehicles shall be cleaned at intervals frequent enough to prevent a nuisance or vector attraction.

106.15(4) Wastewater generated from the cleaning of the areas of the solid waste transport vehicles that hold solid waste shall be considered washwater and shall be managed accordingly.

106.16(1) A solid waste transport vehicle’s openings shall be securely closed before transport and during solid waste storage so as to prevent the loss of solid waste.

106.16(2) A solid waste transport vehicle shall be loaded with solid waste inside a transfer station building and in a manner that minimizes the spilling of materials. Truck–to–truck transfer of solid waste that is not incidental solid waste transfer is not allowed outside a transfer station building. A rear–loading solid waste transport vehicle that does not have any other open access and securely abuts the transfer station building so that minimal amounts of solid waste escape during loading shall qualify as being inside the building. Solid waste spilled from a solid waste transport vehicle during loading shall be collected as often as necessary to minimize litter, dust, or other fugitive debris.

106.16(3) If solid waste is spilled from a solid waste transport vehicle during transport that is not on transfer station property, the spilled solid waste shall be collected as soon as possible. The transfer station shall immediately report the spill to the department and the department field office with jurisdiction over the transfer station and spill location.

567—106.17(455B) Transfer station closure requirements. The facility shall submit to the local political jurisdiction, the department, and department field office with jurisdiction over the transfer station written notice of intent to permanently close the facility at least 180 days before closure. Closure shall be in conformance with the closure plan pursuant to 106.8(1)“l,” and shall not be official until the department field office has given written certification of the completion of the closure plan and the following activities:

106.17(1) Proper disposal of all solid waste and litter at the site.

106.17(2) Cleaning the transfer station building, including the rinsing of all surfaces that have come in contact with solid waste or washwater.

106.17(3) Cleaning of all solid waste transport vehicles that will remain on site, including the rinsing of all surfaces that have come in contact with solid waste.

106.17(4) Removal and proper management of all washwater in the washwater management system.

106.17(5) Locking all doors, gates, entrances, and exits.

106.17(6) Reporting of the completion of these activities to the local political jurisdiction, the department, and the department field office with jurisdiction over the transfer station.

567—106.18(455B) Citizen convenience center and transfer station financial assurance. The holder of a permit for a citizen convenience center or transfer station shall maintain a closure account as financial assurance. The account shall be specific to a particular facility.

106.18(1) Definitions. For the purpose of this rule, the following definitions shall apply:

“Account” means a formal set of separate records.

“Current cost estimate” means the cost estimate pursuant to subrule 106.18(2) prepared and submitted to the department by an Iowa–licensed engineer on an annual basis for transfer stations and once before the commencement of operation for a citizen convenience center.

106.18(2) Current cost estimate. The current cost estimate submitted by an Iowa–licensed professional engineer (P.E.) on an annual basis to the department shall be the sum of the following costs:

a. Transportation costs and total tip fees to properly dispose of twice the maximum daily tonnage of solid waste that could be accepted by the citizen convenience center or transfer station;

b. Transportation costs and total tip fees to properly dispose of the tons of solid waste equal to the maximum solid waste storage capacity of the transfer station, including solid waste storage in solid waste transport vehicles;

c. The cost of properly cleaning the transfer station building pursuant to 106.17(2) and solid waste transport vehicles pursuant to 106.17(3); and

d. The cost of properly disposing of a one–week volume of washwater from the transfer station. If the transfer station utilizes washwater storage tanks, then this estimate shall assume that the storage tanks are full and add that volume to the one–week volume.

106.18(3) Nonassignment of funds. Money in the account shall not be assigned for the benefit of creditors except the state of Iowa.

106.18(4) Final judgments. Money in an account shall not be used to pay any final judgment against a permit holder arising out of the ownership or operation of the site during its active life or closure.

106.18(5) Withdrawal of funds. Money in the account may be withdrawn without department approval only for the purpose of funding closure, including partial closure, activities that are in conformance with the closure requirements for citizen convenience centers or transfer stations. Withdrawals for activities not in conformance with a closure requirement must receive prior written approval from the department.

106.18(6) Excess funds. If the balance of a closure account exceeds the current cost estimate for closure at any time, then the permit holder may withdraw the excess funds so long as the withdrawal does not cause the balance to be reduced below the amount of the current cost estimate.

106.18(7) Initial proof of establishment of account and funds. Proof of the establishment of the account and its compliance with this rule shall be submitted to the department within 30 days of the close of the permit holder’s first fiscal year that begins after the effective date of this rule, or at the time of application for a permit for a new citizen convenience center or transfer station.

106.18(8) Deposits. Deposits into the closure account shall be made on an annual basis for a period of five years, in the amount specified in this rule, beginning with the permit holder’s first fiscal year that begins after the effective date of this rule. The deposits shall be made within 30 days of the close of the permit holder’s fiscal year. The minimum annual deposit to the closure account shall be determined using the following formula:

“CE” means the current cost estimate of closure costs, as applicable.

“CB” means the current balance of the closure account, as applicable.

“Y” means the number of years remaining in the five–year pay–in period.

106.18(9) Investment of funds. Funds held in the account established by this rule may only be invested in instruments listed at Iowa Code section 12B.10(5).

106.18(10) Access to funds by the department. The department shall have full rights of access to all funds existing in a facility’s closure account, at the sole discretion of the department, if the permit holder fails to undertake closure activities after being directed to do so by a final agency action of the department. These funds shall be used only for the purpose of funding closure activities at the site.

567—106.19(455B) Emergency response and remedial action plans. A citizen convenience center or transfer station shall develop, submit to the department for approval, and maintain on site a detailed emergency response and remedial action plan (ERRAP).

106.19(1) Submittal requirements.

a. The owner or operator of facilities that have been permitted prior to the effective date of these rules shall submit a complete detailed ERRAP that meets the requirements set forth in this rule no later than December 31, 2001.

b. Applications for a new permit after the effective date of this rule shall incorporate a complete detailed ERRAP that meets the requirements set forth in these rules.

c. An updated ERRAP that meets the requirements of this rule shall be submitted at the time of each permit renewal or reissuance application that is due after December 31, 2001.

d. An updated ERRAP shall be included with any request for permit modification to incorporate a facility expansion or significant changes in facility operation that require modification of the currently approved ERRAP.

e. Three sets of ERRAP documents shall be submitted for department approval.

106.19(2) Content. The content of ERRAP documents shall be concise and readily usable as a reference manual by facility managers and operators during emergency conditions. The ERRAP document content shall address at least the following primary issues in detail, unless project conditions render the specific issue as not applicable. To facilitate department review, the rationale for exclusion of any issues that are not determined to be applicable must be provided either in the body of the plan or as a supplement. Additional ERRAP requirements unique to the facility shall be addressed, as applicable.

a. Facility information.

(1) Permitted agency.

(2) DNR permit number.

(3) Facility description.

(4) Responsible official and contact information.

(5) Site and environs map.

b. Regulatory requirements.

(1) Iowa Code section 455B.306(6)“d” criteria citation.

(2) Reference to provisions of the permit.

c. Emergency conditions—response activities—remedial action.

(1) Failure of utilities.

1. Short–term (48 hours or less).

2. Long–term (over 48 hours).

(2) Weather–related events.

1. Tornado.

2. Windstorms.

3. Intense rainstorms and erosion.

4. Lightning strikes.

5. Flooding.

6. Event and postevent conditions.

(3) Fire and explosions.

1. Waste materials.

2. Buildings and site.

3. Equipment.

4. Fuels.

5. Utilities.

6. Facilities.

7. Working area.

8. Hot loads.

9. Waste gases.

10. Evacuation.

(4) Regulated waste spills and releases.

1. Waste materials.

2. Washwater.

3. Waste gases.

4. Waste stockpiles or storage facilities.

5. Waste transport systems.

6. Litter and airborne particulate.

7. Site drainage systems.

8. Off–site releases.

(5) Hazardous material spills and releases.

1. Load–check control points.

2. Mixed waste deliveries.

3. Fuels.

4. Waste gases.

5. Site drainage systems.

6. Off–site releases.

(6) Mass movement of land and waste.

1. Earthquakes.

2. Slope failure.

3. Waste shifts.

(7) Emergency and release notifications and reporting.

1. Federal agencies.

2. State agencies.

3. County and city agencies.

4. News media.

5. Public and private facilities with special populations within five miles.

6. Emergency response agencies and contact information.

7. Reporting requirements and forms.

(8) Emergency waste management procedures.

1. Communications.

2. Temporary discontinuation of services—short– and long–term.

3. Facilities access and rerouting.

4. Waste acceptance.

5. Wastes in process.

(9) Primary emergency equipment inventory.

1. Major equipment.

2. Fire hydrants and water sources.

3. Off–site equipment resources.

(10) Emergency aid.

1. Responder contacts.

2. Medical services.

3. Contracts and agreements.

(11) ERRAP training requirements.

1. Training providers.

2 Employee orientation.

3. Annual training updates.

4. Training completion and record keeping.

(12) Reference tables, figures and maps.

These rules are intended to implement Iowa Code section 455B.304.

Pursuant to the authority of Iowa Code section 10A.104(6), the Department of Inspections and Appeals gives Notice of Intended Action to amend Chapter 1, “Administration,” Iowa Administrative Code.

The proposed amendment was recommended by the Attorney General’s Office to set up a procedural framework governing the issuance of investigatory subpoenas in the Department of Inspections and Appeals. Currently there are no administrative rules governing this procedure.

Any interested person may make written comments or suggestions on the proposed amendment on or before April 9, 2002. 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 jcurtis@dia.state.ia.us.

These rules are subject to waiver pursuant to the Department’s variance provisions contained in 481—Chapter 6.

This amendment is intended to implement Iowa Code section 10A.104(6).

The following amendment is proposed.

Amend rule 481—1.1(10A) by adopting the following new subrules:

1.1(6) Issuance of subpoenas. The director, or designees of the director, shall have the authority to issue subpoenas in accordance with the provisions of Iowa Code sections 10A.104(6) and 17A.13. In connection with audits, appeals, investigations, inspections, hearings, and any other permissible matters conducted by the department, the director, or designees of the director, may, upon the written request of a department employee or on the director’s own initiative:

a. Issue subpoena duces tecum for the production and delivery of books, papers, records and other real evidence; and

b. Issue subpoenas for the appearance of persons to provide statements, statements under oath and depositions.

1.1(7) Contents of subpoenas. Each subpoena shall contain the following:

a. The name and address of the person to whom the subpoena is directed;

b. The date, time and location for the appearance of the person;

c. A description of the books, papers, records or other real evidence requested;

d. The date, time and location for production, inspections, or copying of the books, papers, records or other real evidence;

e. The signature and address of the director or designee;

f. The name, address and telephone number of a department employee who can be contacted for purposes of providing clarification or assistance in compliance with the subpoena;

g. The date of issuance; and

h. A return of service.

1.1(8) Motions to quash or modify subpoena. A person who desires to challenge a subpoena directed to that person must, within ten days after service of the subpoena, or before the time specified for compliance, if such time is less than ten days, file with the director a motion to quash or modify the subpoena. Upon receipt of a timely motion to quash or modify a subpoena, the director may issue a decision or request an administrative law judge to issue a decision. Oral argument may be scheduled and conducted at the discretion of the director or administrative law judge. The director or the administrative law judge may quash or modify the subpoena, deny the motion, or issue other appropriate orders. A person aggrieved by a ruling of an administrative law judge and who desires to challenge that ruling must appeal the ruling to the director by serving the director, either in person or by certified mail, a notice of appeal within ten days after service of the decision of the administrative law judge. The director’s decision is final for purposes of judicial review.

1.1(9) Failure to comply with subpoena. If the person to whom the subpoena is directed refuses or fails to obey the subpoena, the director, or the director’s designee, may cause a petition to be filed in the Iowa district court seeking an order for the person’s compliance. Failure to obey orders of that court shall render the person in contempt of the court and subject to penalties provided for that offense.

Pursuant to the provisions of Iowa Code chapter 515A, the National Council on Compensation Insurance, Inc. (NCCI) submitted a rate filing, E–1376, on December 21, 2001. Notice of the filing was published in the Iowa Administrative Bulletin on January 23, 2002. No request for a hearing on the rate filing was received.

The rate filing proposes that claims directly attributable to the terrorist acts of September 11, 2001, be excluded from experience rating calculations.

Based on an independent review of the NCCI proposal, the Commissioner finds the proposed rates not to be excessive, inadequate, or unfairly discriminatory.

It is ordered that the December 21, 2001, rate filing, E–1376, is approved to be effective May 27, 2002.

Pursuant to the authority of Iowa Code section 505.8, the Insurance Division hereby gives Notice of Intended Action to adopt new Chapter 49, “Financial Instruments Used in Hedging Transactions,” Iowa Administrative Code.

This new chapter establishes rules implementing Iowa Code section 511.8(22) and provides guidance to domestic insurers authorized to do business pursuant to Iowa Code chapters 508 and 511 relative to the recognition of financial instruments used in hedging transactions as an approved asset for legal reserve funds.

Any interested person may make written suggestions or comments on the proposed amendment on or before April 9, 2002. Such written materials should be directed to Kimberlee Cross, Insurance Division, Department of Commerce, 330 Maple Street, Des Moines, Iowa 50319, or may be transmitted via E–mail to kim.cross@comm6.state.ia.us or facsimile to (515)281–3059.

A public hearing will be held at 10 a.m. on April 9, 2002, at the office of the Insurance Division, 330 Maple Street, Des Moines, Iowa 50319. Persons wishing to provide oral comments are requested to contact Kimberlee Cross no later than April 8, 2002, to be placed on the agenda.

These rules were also Adopted and Filed Emergency and are published herein as ARC 1487B. The content of that submission is incorporated by reference.

These rules are intended to implement Iowa Code section 511.8(22).

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 3, “Licensure to Practice—Registered Nurse/Licensed Practical Nurse,” Iowa Administrative Code.

This amendment increases license fees based on the cost of sustaining the Board and the actual costs of licensing.

Any interested person may make written comments or suggestions on or before April 9, 2002. 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 S.W. 8th Street, by appointment.

This amendment is intended to implement Iowa Code sections 147.76 and 147.80.

The following amendment is proposed.

Amend rule 655—3.1(17A,147,152,272C), definition of “fees,” numbered paragraphs “1” to “4” and “8” and “14,” to read as follows:

1. Application for original licensure based on the registered nurse examination, $75 95.

2. Application for original licensure based on the practical nurse examination, $75 95.

3. Application for registered nurse/licensed practical nurse licensure by endorsement, $101 132.

4. Application for registration as an advanced registered nurse practitioner, $21 27 per year, or any portion of a year.

8. For the renewal of a license to practice as a registered nurse/licensed practical nurse, $81 102 for a three–year period.

14. For special licensure, $62 83.

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 3, “Licensure to Practice—Registered Nurse/Licensed Practical Nurse,” Iowa Administrative Code.

This amendment requires nurses enrolled in approved nursing education programs to hold active licensure in the U.S. jurisdiction in which their patient care is provided.

Any interested person may make written comments or suggestions on or before April 9, 2002. 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 S.W. 8th Street, by appointment.

This amendment is intended to implement Iowa Code chapters 17A, 147, 152 and 272C.

The following amendment is proposed.

Rescind subrule 3.2(2), paragraph “d,” and insert in lieu thereof the following new paragraph:

d. A nurse who is enrolled in an approved nursing program shall hold an active license in the U.S. jurisdiction(s) in which the nurse provides patient care. An individual from another country who is enrolled in a course of study for registered nurses or licensed practical nurses shall hold an active license in the U.S. jurisdiction(s) in which the individual provides patient care.

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 4, “Discipline,” Iowa Administrative Code.

This amendment adds continuing education to the list of sanctions the Board may impose as a disciplinary action.

Any interested person may make written comments or suggestions on or before April 9, 2002. 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 S.W. 8th Street, by appointment.

This amendment is intended to implement Iowa Code section 272C.3(2).

The following amendment is proposed.

Amend rule 655—4.7(17A,147,152,272C) by renumbering paragraph “5” as “6” and adopting the following new paragraph “5”:

5. Continuing education, reexamination, or both.

Pursuant to the authority of Iowa Code sections 904A.4(2) and 906.3, the Board of Parole hereby gives Notice of Intended Action to rescind Chapters 1 to 15 and adopt new Chapters 1 to 16, Iowa Administrative Code.

Since the Board’s present rules became effective on or about July 7, 1999, there have been substantial changes in the Iowa Code sections which the rules are intended to implement, as well as in Board policy and procedure. These changes have necessitated a redrafting of the Board’s administrative rules. A synopsis of the rules is as follows:

Chapter 1 defines the organization, administration, and duties of the Board of Parole.

Chapter 2 provides the general rule–making procedures of the Board of Parole.

Chapter 3 provides the manner in which the public may petition for rule making.

Chapter 4 provides the manner in which the public may request a declaratory ruling.

Chapter 5 provides information regarding the Iowa Fair Information Practices Act.

Chapter 6 defines public records and communications with the Board of Parole.

Chapter 7 provides procedures relating to victim notification.

Chapter 8 provides procedures relating to consideration for parole and work release.

Chapter 9 is reserved.

Chapter 10 provides the general parole and work release supervision procedures of the Board of Parole.

Chapter 11 provides the general parole revocation procedures of the Board of Parole.

Chapter 12 is reserved.

Chapter 13 provides the general parole discharge procedures of the Board of Parole.

Chapter 14 provides procedures relating to executive clemency.

Chapter 15 provides the general appeal procedures of the Board of Parole.

Chapter 16 provides the waiver procedures for the Board of Parole.

Any interested person may submit written comments on or before April 9, 2002, addressed to Senior Parole and Probation Judge James C. Twedt, Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309.

A public hearing will be held at 10 a.m. on April 9, 2002, at the Board’s office at the Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309.

These rules were approved by the Iowa Board of Parole on February 7, 2002. It is the Board’s intention to make these rules effective on or about June 19, 2002.

These rules are intended to implement Iowa Code chapters 17A, 21, 22, 217, 902, 904A, 906, 908, 914 and 915.

The following amendment is proposed.

Rescind 205—Chapters 1 to 15 and adopt the following new chapters in lieu thereof:

CHAPTER 1
ORGANIZATION AND GENERAL ADMINISTRATION

1.1(1) The board of parole is established by Iowa Code chapter 904A and consists of five members, including a chairperson.

1.1(2) Board members are appointed by the governor for staggered terms of four years and are subject to confirmation by the senate.

1.1(3) The board is responsible directly to the governor and is attached to the department of corrections for the purpose of receiving routine administrative and support services.

1.1(4) The board chairperson is appointed by the governor and serves at the pleasure of the governor.

1.1(5) Vacancies in the board are filled in the same manner as regular appointments. Appointees who fill vacancies serve for the balance of the term.

205—1.2(904A) Board responsibilities. The statutory responsibilities of the board are:

1.2(1) Reviewing and interviewing inmates for parole or work release, and granting parole or work release.

1.2(2) Interviewing inmates according to board of parole administrative rules.

1.2(3) Gathering and reviewing information regarding new parole and work release programs being instituted or considered nationwide, and determining which programs may be useful to Iowa. Reviewing the current parole and work release programs and procedures used in Iowa on an annual basis.

1.2(4) Increasing the utilization of data processing and computerization to assist in the orderly conduct of the parole and work release system.

1.2(5) Conducting such studies of the parole and work release system as the governor and general assembly shall request.

1.2(6) Providing, to public and private entities, technical assistance and counseling related to the board’s purposes.

1.2(7) Reviewing and making recommendations to the governor regarding all applications for reprieve, pardon, commutation of sentence, remission of a fine or forfeiture, and restoration of citizenship rights.

1.2(8) Maintaining a risk assessment program which shall provide risk analysis for the board.

205—1.3(904A) Business location and hours. The business office address is Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309, telephone (515) 242–5757. Business hours are 8 a.m. to 4:30 p.m., Monday through Friday.

1.4(1) The board may conduct the following meetings:

a. Business meeting. The board may meet each month to consider rules, procedure and other matters.

b. Public hearing. The board may conduct a public hearing to solicit input and comment on parole and work release procedures.

c. Board session. The board shall be in session each month at any location designated by the chairperson. A board session may include:

(1) Parole and work release case reviews;

(2) Parole and work release interviews;

(3) Parole rescission hearings;

(4) Parole discharge reviews;

(5) Executive clemency reviews.

1.4(2) Quorum.

a. A majority of the members of the board constitutes a quorum except as provided herein.

b. The chairperson shall designate panels composed of at least three board members to conduct board sessions except as provided herein.

1.4(3) Majority vote. All questions shall be decided by a majority vote of the members except as provided herein.

1.4(4) Parliamentary authority. Robert’s Rules of Order, current edition, shall govern the conduct of all business meetings of the board except as provided herein.

1.4(5) Minutes. The board shall keep copies of the minutes of board meetings on file at the business office. The list of individuals considered by the board for action shall constitute the minutes of a board session.

1.4(6) Public notice and agenda. The board shall establish the date, time, and location of all meetings. The board shall give public notice of all meetings pursuant to Iowa Code chapter 21. The board shall mail copies of, or provide by electronic means, notices of public meetings and tentative agenda to news media that have so requested. When it is determined that an emergency meeting is required, the board shall notify the news media as soon as the need for an emergency meeting has been decided. The nature of the emergency shall be stated in the minutes.

1.4(7) Public access to meetings. Members of the public have access to board meetings as provided in Iowa Code chapter 21. Persons wishing to appear before the board shall submit their requests to the business office not less than three days prior to the business meeting. Members of the public wishing to attend board meetings conducted in department of corrections penal institutions should consult, in advance, department of corrections administrative rules relating to visitation and public access.

1.4(8) Electronic meetings. The board may conduct a meeting by electronic means as provided in Iowa Code section 21.8.

These rules are intended to implement Iowa Code chapter 904A.

CHAPTER 2
AGENCY PROCEDURE FOR RULE MAKING

The board of parole hereby adopts the agency procedure for rule making segment of the Uniform Rules on Agency Procedure which are printed in the first volume of the Iowa Administrative Code with the following amendments:

2.3(2) Anticipated rule making. In lieu of the words “(commission, board, council, director)”, insert “board of parole”.

2.5(1) Written comments. In lieu of the words “(identify office and address)”, insert “Executive Director of the Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309”.

2.6(2) Mailing list. In lieu of the words “(designate office)”, insert “Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309”.

2.11(1) General. In lieu of the words “(specify the office and address)”, insert “the executive director of the board of parole”.

These rules are intended to implement Iowa Code chapter 17A.

CHAPTER 3
PETITIONS FOR RULE MAKING

The board of parole hereby adopts the petitions for rule making segment of the Uniform Rules on Agency Procedure which are printed in the first volume of the Iowa Administrative Code with the following amendments:

205—3.1(17A) Petition for rule making. In lieu of the words “(designate office)”, the text should read “Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309”.

In lieu of the words “(AGENCY NAME)”, the heading on the petition form should read “BEFORE THE BOARD OF PAROLE OF THE STATE OF IOWA”.

205—3.3(17A) Inquiries. In lieu of the words “(designate official by full title and address)”, the text should read “the Executive Director of the Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309”.

These rules are intended to implement Iowa Code chapter 17A.

CHAPTER 4
DECLARATORY ORDERS

The board of parole hereby adopts the declaratory orders segment of the Uniform Rules on Agency Procedure which are printed in the first volume of the Iowa Administrative Code with the following amendments:

205—4.1(17A) Petition for declaratory order. In lieu of the words “(designate agency)”, the text should read “board of parole”. In lieu of the words “(designate office)”, the text should read “Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309”.

In lieu of the words “(AGENCY NAME)”, the heading on the petition form should read “BEFORE THE BOARD OF PAROLE OF THE STATE OF IOWA”.

205—4.2(17A) Notice of petition. In lieu of the words “(designate agency)”, the text should read “board of parole”.

4.3(1) In lieu of the words “____ days”, the text should read “20 days”.

4.3(2) In lieu of the words “(designate agency)”, the text should read “the board of parole”.

4.3(3) In lieu of the words “(designate office)”, the text should read “Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309–1638”. In lieu of the words “(designate agency)”, the text should read “board of parole”. In lieu of the words “(AGENCY NAME)”, the text should read “BEFORE THE BOARD OF PAROLE OF THE STATE OF IOWA”.

205—4.4(17A) Briefs. In lieu of the words “(designate agency)”, the text should read “board of parole”.

205—4.5(17A) Inquiries. In lieu of the words “(designate official by full title and address)”, the text should read “the Executive Director of the Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309”.

4.6(2) Filing—when required. In lieu of the words “(specify office and address)”, the text should read “Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309–1638”. In lieu of the words “(agency name)”, the text should read “board of parole”.

4.6(3) Method of service, time of filing, and proof of mailing. Method of service, time of filing and proof of mailing shall be as provided in the contested cases segment of the Uniform Rules on Agency Procedure.

205—4.7(17A) Consideration. In lieu of the words “(designate agency)”, the text should read “board of parole”.

4.8(1) In lieu of the words “(designate agency head)”, the text should read “chairperson of the board of parole”.

4.8(2) The date of issuance of an order or of a refusal to issue an order is as defined in the contested cases segment of the Uniform Rules on Agency Procedure.

205—4.9(17A) Refusal to issue order. In lieu of the words “(designate agency)”, the text should read “board of parole”.

205—4.12(17A) Effect of a declaratory order. In lieu of the words “(designate agency)”, the text should read “board of parole”.

These rules are intended to implement Iowa Code chapter 17A.

CHAPTER 5
FAIR INFORMATION PRACTICES

The board of parole hereby adopts by reference, with the following exceptions and amendments, the Uniform Rules on Agency Procedure relating to public records and fair information practices which are printed in the first volume of the Iowa Administrative Code.

205—5.1(17A,22) Definitions. As used in this chapter:

“Agency” means the board of parole.

“Confidential records” means records, as defined under Iowa Code sections 22.7, 22.8, 904.601, 904.602 and 904.603, which are not disclosed to members of the public except by court order. This includes records which the board is prohibited by law from making available for inspection by members of the public and those exempt records which the board has determined not to disclose to members of the public.

“Open records” means those records which are not authorized or required to be kept confidential under Iowa Code section 22.7, 22.8, 904.601, or 904.602 or any other provision of the law.

205—5.2(17A,22) Statement of policy. The purpose of this chapter is to facilitate broad public access to open records. It also seeks to facilitate sound agency determinations with respect to the handling of confidential records and the implementation of the fair information practices Act. This agency is committed to the policies set forth in Iowa Code chapter 22. Agency staff shall cooperate with members of the public in implementing the provisions of that chapter.

5.3(1) Location of record. A request for access to a record should be directed to the office where the record is kept.Records of current inmates, work releasees and parolees are maintained in the office of the Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309–1638, (515)242–5757.

5.3(2) Office hours. Open records shall be made available during all customary office hours, which are 8 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.

5.3(3) Request for access. Requests for access to records may be made in writing, in person, or by telephone if the request is for open record information. Requests shall identify the particular records sought by name or description in order to facilitate the location of the record. Mail requests shall include the name, address and telephone number of the person requesting the information. A person shall not be required to give a reason for requesting an open record.

5.3(4) Response to requests. The custodian is authorized to grant or deny access to the record according to the provisions of Iowa Code chapter 22, Iowa Code sections 904.601, 904.602, and 904.603 and this chapter. The decision to grant or deny access may be delegated to one or more designated employees. Unless the size or nature of the request requires time for compliance, the agency shall comply with the request as soon as practicable. However, access to such a record may be delayed for one of the purposes authorized by Iowa Code section 22.8(4) or 22.10(4) or for good cause. The agency shall promptly inform the requester of the reason for the delay. A request to review a confidential record shall be in writing and shall enumerate the specific grounds justifying access to the confidential record and shall provide any proof necessary to establish relevant facts prior to receiving access to the record.

5.3(7) Fees.

c. Supervisory fee. An hourly fee may be charged for actual agency expenses in supervising the examination and copying of requested records when the supervision time required is in excess of five minutes. That hourly fee shall not be in excess of the hourly wage of an agency employee who ordinarily would be appropriate and suitable to perform this supervisory function.

5.5(5) Request granted or deferred. If a request for confidential record treatment is granted, or if action on such a request is deferred, a copy of the record from which the matter in question has been deleted and a copy of the decision to grant the request or to defer action upon the request will be placed in the agency’s public file in lieu of the original record. If the agency subsequently receives a request for access to the original record, the agency will make reasonable and timely efforts to notify any person who has filed a request for its treatment as a confidential record.

205—5.6(17A,22) Procedure by which additions, dissents or objections may be entered into certain records. Except as otherwise provided by law, a person may file a request with the custodian to review, and to have a written statement of additions, dissents, or objections entered into, a record containing personally identifiable information pertaining to that person. However, this does not authorize a person who is the subject of such a record to alter the original copy of that record or to expand the official record of any agency proceeding. Requester shall send the request to review such a record or the written statement of additions, dissents, or objections to the custodian or to Board of Parole, Holmes Murphy Building, 420 Watson Powell Jr. Way, Des Moines, Iowa 50309–1698. The request to review such a record or the written statement of such a record of additions, dissents, or objections must be dated and signed by the requester, and shall include the current address and telephone number of the requester or the requester’s representative.

5.7(1) Consent to disclose by a subject individual. To the extent allowed by law, the subject may consent in writing to agency disclosure of confidential records as provided in rule 5.4(17A,22).

5.7(2) Complaints to public officials. A letter from a subject of a confidential record to a public official which seeks the official’s intervention on behalf of the subject in a matter that involves the agency may, to the extent permitted by law, be treated as an authorization to release sufficient information about the subject to the official to resolve the matter.

5.7(3) Obtaining information from a third party. The board is required to obtain information to assist in making decisions regarding classification, programming, security and administrative management. Requests to third parties for this information may involve the release of confidential information about individuals. Except as provided by law, the board may make these requests only when the individual has authorized the release.

205—5.9(17A,22) Routine use. To the extent allowed by law, the following uses are considered routine uses of all rec–ords:

5.9(1) Disclosure to those officers, employees, and agents of the agency who have a need for the record in the performance of their duties. The custodian of the record may, upon request of any officer or employee, or on the custodian’s own initiative, determine what constitutes legitimate need to use confidential records.

5.9(2) Disclosure of information indicating an apparent violation of the law to appropriate law enforcement authorities for investigation and possible criminal prosecution, civil court action, or regulatory order.

5.9(3) Disclosure to the department of inspections and appeals for matters in which it is performing services or functions on behalf of the agency.

5.9(4) Transfers of information within the agency, to other state agencies, or to units of local government as appropriate to administer the program for which the information is collected.

5.9(5) Information released to staff of federal and state entities for audit purposes or for purposes of determining whether the agency is operating a program lawfully.

5.9(6) Any disclosure specifically authorized by the statute under which the record was collected or maintained.

5.10(1) Open records are routinely disclosed without the consent of the subject.

5.10(2) To the extent allowed by law, disclosure of confidential records may occur without the consent of the subject. Following are instances when disclosure, if lawful, will generally occur without notice to the subject:

a. For a routine use as permitted by law and in the particular record system.

b. To a recipient who has provided the agency with advance written assurance that the record will be used solely as a statistical research or reporting record, provided that the record is transferred in a form that does not identify the subject.

c. To another government agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of such government agency or instrumentality has submitted a written request to the agency specifying the record desired and the law enforcement activity for which the record is sought.

d. To an individual pursuant to a showing of compelling circumstances affecting the health or safety of any individual if a notice of the disclosure is transmitted to the last–known address of the subject.

e. To the legislative fiscal bureau under Iowa Code section 2.52.

f. Disclosures in the course of employee disciplinary proceedings.

g. In response to a court order or subpoena.

5.11(1) The subject of a confidential record may file a written request to review confidential records about that person. However, the board need not release the following rec–ords to the subject:

a. The identity of a person providing information to the agency need not be disclosed directly or indirectly to the subject of the information when the information is authorized to be held confidential pursuant to Iowa Code sections 22.7(18) and 904.602.

b. Records need not be disclosed to the subject when they are the work product of an attorney or are otherwise privileged.

c. Peace officers’ investigative reports may be withheld from the subject, except as required by the Iowa Code.

d. As otherwise authorized by law.

5.11(2) When a record has multiple subjects with interest in the confidentiality of the record, the board may take reasonable steps to protect confidential information relating to another subject.

5.12(1) Open records. Board records are open for public inspection and copying unless otherwise prohibited by current rule or law.

5.12(2) Confidential records. The following records may be kept confidential. Records are listed by category, according to the legal basis for withholding them from public inspection.

a. Sealed bids received prior to the time set for public opening of bids; (Iowa Code section 72.3)

b. Tax records made available to the agency; (Iowa Code sections 422.17, 422.20)

c. Minutes of closed meetings of a government body; (Iowa Code section 21.5(4))

d. Identifying details in final orders, decisions and opinions to the extent required to prevent a clearly unwarranted invasion of personal privacy or trade secrets under Iowa Code section 17A.3(1)(d);

e. Those portions of agency staff manuals, instructions, or other statements issued which set forth criteria or guidelines to be used by agency staff in auditing, in making inspections, in settling commercial disputes or negotiating commercial arrangements, or in the selection or handling of cases, such as operational tactics or allowable tolerance or criteria for the defense, prosecution or settlement of cases, when disclosure of these statements would:

(1) Enable law violators to avoid detection;

(2) Facilitate disregard of requirements imposed by law; or

(3) Give a clearly improper advantage to persons who are in an adverse position to the agency; (Iowa Code section 22.7)

f. Records which constitute attorney work product orattorney–client communications, or which are otherwise privileged. Attorney work product is confidential under Iowa Code sections 22.7(4), 622.10 and 622.11, Iowa Rule of Civil Procedure 1.503(3), Federal Rule of Civil Procedure 26(b)(3), and case law. Attorney–client communications are confidential under Iowa Code sections 622.10 and 622.11, the rules of evidence, the Code of Professional Responsibility and case law;

g. Other records made confidential by law.

5.13(1) This rule describes the nature and extent of personally identifiable information which is collected, maintained and retrieved by the agency by personal identifier in record systems as defined in this rule. For each record system, this rule describes the legal authority for the collection of that information, the means of storage of that information and indicates whether a data processing system matches, collates, or permits the comparison of personally identifiable information in one record system with personally identifiable information in another record system.

5.13(2) Litigation files. These files or records contain information regarding litigation or anticipated litigation, which includes judicial and administrative proceedings. The records include briefs, depositions, docket sheets, documents, correspondence, attorney notes, memoranda, research materials, witness information, investigation materials, information compiled under the direction of the attorney and case management records. The files contain materials which are confidential as attorney work product andattorney–client communications. Some materials are confidential under other applicable provisions of law or because of a court order. Persons wishing copies of pleadings and other documents filed in litigation should obtain these from the clerk of the appropriate court which maintains the official copy.

5.13(3) Personnel files. The agency maintains files containing information about employees, families and dependents, and applicants for positions with the agency. The files include payroll records, biographical information, medical information relating to disability, performance reviews and evaluations, disciplinary information, and informationrequired for tax withholding information concerning theemployer–employee relationship. Some of this information is confidential under Iowa Code section 22.7(11).

205—5.14(17A,22) Other groups of records available for public inspection—policies and procedures (excluding security), meeting minutes. This rule describes groups of records maintained by the board other than record systems as previously defined. These records are routinely available to the public. However, the board’s file of these records may contain confidential information, as discussed in rule 5.12(17A,22). The following records are stored both as hard copy and in automated data processing systems unless otherwise noted.

5.14(1) Rule–making records. Rule–making records may contain information about individuals making written or oral comments on proposed rules. This information is collected pursuant to Iowa Code section 17A.4.

5.14(2) Board meeting records. Agendas, minutes and materials presented to the board are available from the office of the director except those records concerning closed sessions which are exempt from disclosure under Iowa Code section 21.5(4), or which are otherwise confidential by law. Board meeting records contain information about people who participate in meetings. The information is collected pursuant to Iowa Code section 21.3. This information is not retrieved by individual identifier.

5.14(3) Publications. News releases, annual reports, project reports, board newsletters, and related documents are available from the board office. Board news releases, project reports, and newsletters may contain information about individuals, including board staff or members of the board councils or committees. This information is not retrieved by individual identifier.

5.14(4) Statistical reports. Periodic reports of the board for various board programs are available from the board office. Statistical reports do not contain personally identifiable information.

5.14(5) Grants. Records on persons receiving grants for various projects or programs are available through the office of the executive director. These records may contain information about employees or a grantee. This information is not retrieved by individual identifier and is not stored on an automated data processing system. The information is collected under the authority of Iowa Code chapter 904.

5.14(6) Published materials. The board uses many legal and technical publications in its work. The public may inspect these publications upon request. Some of these materials may be protected by copyright law. These records are hard copy only.

5.14(7) Policy manuals. The board employees’ manual, containing procedures describing the board’s regulations and practices, is available. Subscriptions to all or part of the employees’ manual are available at the cost of production and handling. Requests for subscription information should be addressed to the board office. Policy manuals do not contain information about individuals.

5.14(8) Other records. All other records that are not exempted from disclosure by law are available from the board office.

205—5.15(17A,22) Applicability. This chapter does not:

5.15(1) Require the agency to index or retrieve records which contain information about individuals by that person’s name or other personal identifier.

5.15(2) Make available to the general public records which would otherwise not be available under the public rec–ords law, Iowa Code chapter 22.

5.15(3) Govern the maintenance or disclosure of, notification of, or access to records in the possession of the agency which are governed by the regulations of another agency.

5.15(4) Apply to grantees, including local governments or subdivisions thereof, administering state–funded programs, unless otherwise provided by law or agreement.

5.15(5) Make available records compiled by the agency in reasonable anticipation of court litigation or formal administrative proceedings. The availability of such records to the general public or to any subject individual or party to such litigation or proceedings shall be governed by applicable legal and constitutional principles, rules of discovery, evidentiary privileges and applicable regulations of the agency.

These rules are intended to implement Iowa Code section 22.11 and chapter 17A.

CHAPTER 6
PUBLIC COMMUNICATIONS AND RECORDS

205—6.1(22) General. The public may obtain information or make submissions to the board through the business office.

6.2(1) Written communication preferred. The board requests that all communications by a person other than a victim, as defined in rule 205—7.1(915), concerning an inmate, parolee, or work releasee be in writing so that the communication may readily be made a permanent part of the case file. Oral communications concerning an inmate, parolee, or work releasee by a person other than a victim will be heard only with the consent of the board.

6.2(2) Disclosure to inmate. The board shall place a written communication concerning an inmate, parolee, or work releasee in the case file. The board shall inform an inmate, parolee, or work releasee when a communication adverse to the inmate, parolee, or work releasee will be considered in making a parole or work release decision and shall disclose to the inmate, parolee, or work releasee the substance of any opinion regarding the inmate’s, parolee’s, or work releasee’s status unless withholding the information is requested by the person providing the statement or oral communication and the board determines that the release of the information would endanger the public’s safety.

6.3(1) General. The public may examine and copy board public records pursuant to Iowa Code chapter 22 at the board’s business office. An individual wishing to examine or copy a record must schedule an appointment with the board’s business office a minimum of three working days prior to the date on which the individual will review the information in question. When making the appointment, the requesting party shall specifically indicate the information desired. Complete inmate files will not be released except by court order. When photocopies of documents or copies of audiotapes or videotapes are provided, the board may require the requester to pay the cost of the copies plus a reasonable charge for copying. These charges are to be determined by the lawful custodian. The board may refer anyone requesting information which has been generated by a source outside the board to the agency or individual which generated the information.

6.3(2) Lawful custodian. The board shall designate the chairperson or the chairperson’s designee as the lawful custodian of the records who shall be responsible for implementing the board’s rules regarding disclosure of publicrecords and coordination of staff in this regard and generally ensuring compliance by the staff with public records disclosure requirements.

6.4(1) Public information. The following information regarding individuals receiving services from the department of corrections or a district department is public information and may be disclosed by the board to anyone who requests the information, except that information shall be limited to the offense for which an individual was last convicted:

a. Name.

b. Age and date of birth.

c. Sex.

d. Status (for example, inmate, parolee, or probationer).

e. Location, except home street address.

f. Duration of supervision.

g. Offense or offenses for which the individual was placed under supervision.

h. County of commitment.

i. Arrest and detention orders.

j. Physical description.

k. Type of services received, except medical, psychiatric, psychological, substance abuse, gambling and sex offender treatment information.

l. Disciplinary reports and decisions which have been referred to the county attorney from prosecutor for prosecution, and the following information from all other disciplinary reports:

(1) The name of the subject of the investigation.

(2) The alleged infraction involved.

(3) The finding of fact and the penalty, if any, imposed as a result of the infraction.

m. Inmate risk assessment score.

6.4(2) Confidential information regarding inmates and parolees. The following information regarding individuals receiving services from the department of corrections or a district department is confidential information and shall not be disclosed to the public:

a. Home street address of the individual receiving services or of that individual’s family.

b. Department evaluations.

c. Medical, psychiatric, psychological, substance abuse treatment, gambling and sex offender treatment information.

d. Names of associates or accomplices.

e. Name of employer.

f. Social security number.

g. Prior criminal history including information on offenses when no conviction occurred.

h. Family and personal history.

i. Financial information.

j. Information from disciplinary reports and investigations other than identified in subrule 6.4(1).

k. Investigations by the department of corrections or other agencies which are contained in the individual’s file.

l. Department of corrections committee records containing confidential information.

m. Presentence investigations as provided under Iowa Code chapter 901.

n. Pretrial information that is not otherwise available in public court records or proceedings.

o. Correspondence directed to the board or the department of corrections from an individual’s family, victims, or employers of a personal or confidential nature as determined by the board or the department.

p. Communications to the board by members of the public other than public officials to the extent that the board believes that those members of the public would be discouraged from making the communications if the communications were available for general public examination.

q. Victim registrations pursuant to 205—Chapter 7. A record containing information which is both public and confidential which is reasonably segregable shall not be confidential after deletion of the confidential information.

6.4(3) The board may disclose confidential information described in subrule 6.4(2) as follows:

a. The board may release statistical information which does not identify particular individuals.

b. The board may disclose information to the department of corrections; district departments; public officials for use in connection with their duties relating to law enforcement, audits, and other purposes directly connected with the administration of their programs; and public and private agencies providing services to individuals. Those receiving information shall be subject to the same standards as the board in dissemination and redissemination of information.

c. The board may disclose information when necessary for civil or criminal court proceedings pursuant to court order. The board may seek to have the court limit disclosure of confidential information.

d. The board shall give a supervised individual or former supervised individual access to the individual’s own records in the custody of the board, except for those records that could result in physical or psychological harm to the individual or others, and disciplinary reports. Upon written authorization by a supervised individual or former supervised individual, the board may release information to any party included in the written release. This information is restricted to that which the individual can obtain.

205—6.5(904A) Inmate requests regarding risk assessment score. An inmate may request information from the board of parole regarding the inmate’s risk assessment score. However, because an inmate’s risk assessment score will not change unless the inmate is released from and later returned to prison, the board shall not be required to respond to more than one request regarding risk assessment score per commitment to prison from each inmate.

These rules are intended to implement Iowa Code chapter 22 and sections 904.601, 904.602, and 904A.4.

CHAPTER 7
VICTIM NOTIFICATION

“Notification” means mailing by regular mail or provid–ing for hand delivery of appropriate information or papers. However, this notification procedure does not prohibit the board from also providing appropriate information to a registered victim by telephone.

“Parole interview” means an interview conducted by the board to consider an inmate’s prospects for parole pursuant to Iowa Code section 906.5.

“Registered” means having provided the county attorney with the victim’s written request for registration and current mailing address and telephone number, and having been approved by said county attorney.

“Victim” means a person who has suffered physical, emotional, or financial harm as the result of a public offense, other than a simple misdemeanor, committed in this state. The term also includes the immediate family members of a victim who died or was rendered incompetent as a result of the offense or who was under 18 years of age at the time of the offense.

“Violent crime” means a forcible felony, as defined in Iowa Code section 702.11, and includes any other felony or aggravated misdemeanor which involved the actual or threatened infliction of physical or emotional injury on one or more persons.

205—7.2(915) Victim registration. A victim may register by filing a written request–for–registration form with the county attorney. The county attorney shall notify the victim in writing and advise the victim of the victim’s registration and rights. The county attorney shall provide the appropriate offices, agencies, and departments, including the board, with a registered victim list. The board shall determine if an individual will be accepted as a registered victim. This determination shall be based solely upon criteria set out in the Iowa Code. A registered victim is responsible for keeping the victim’s address and telephone number current with the board in order to ensure timely notification.

205—7.3(915) Victim notification. The board shall notify a registered victim of a violent crime not less than 20 days prior to conducting a hearing at which the board will interview the inmate, and shall inform the victim that the victim may submit the victim’s opinion concerning the release of the inmate in writing prior to the hearing, or may appear personally or by counsel at the hearing to express an opinion concerning the inmate’s release.

205—7.4(915) Notification of decision. Whether or not the victim appears at the hearing or expresses an opinion concerning the offender’s release on parole, the board shall notify the victim of the board’s decision regarding release of the offender.

205—7.5(915) Written opinions concerning release. A registered victim may submit a written opinion concerning the release of the inmate at any time by mailing the opinion to the business office. The written opinion shall be made a permanent part of the inmate’s file and shall be reviewed when the board considers the inmate’s prospects for parole.

7.6(1) A registered victim of a violent crime may appear personally or by counsel at a parole interview to express an opinion concerning the release of the inmate.

7.6(2) If a registered victim of a violent crime intends to appear at a parole interview, the victim must comply with the rules of the department of corrections that require a visitor to a state institution to give prior notice of the intended visit and to receive approval for the visit.

7.6(3) A registered victim of a violent crime, or victim’s counsel, shall appear at the institution at the time set forth in the notice of parole interview. The victim or counsel shall inform institutional personnel of the purpose of the appearance. Institutional personnel shall coordinate the appearance of the victim or victim’s counsel with the board. At the appearance, the board shall permit the victim or victim’s counsel to express an opinion concerning the release of the inmate.

205—7.7(915) Disclosure of victim information. Information regarding a registered victim, as well as the existence of a registered victim in a particular case, is confidential and shall not be disclosed to the public. A victim’s registration, and the substance of any opinion submitted by the victim regarding the inmate’s release, may be disclosed to the inmate at the discretion of the board.

These rules are intended to implement Iowa Code chapter 915.

CHAPTER 8
PAROLE AND WORK RELEASE CONSIDERATIONS

205—8.1(906) Purpose of parole and work release considerations. The board shall determine whether there is reasonable probability that an inmate committed to the custody of the department of corrections who is eligible for parole or work release can be released without detriment to the community or the inmate. The board shall consider the best interests of society and shall not grant parole or work release as an award of clemency.

8.2(1) Mandatory sentences. The board shall not grant parole to an inmate serving a mandatory minimum sentence. The board shall not grant work release to an inmate serving a mandatory minimum sentence unless the inmate is within six months of completing the mandatory minimum portion of the sentence. A parole or work release granted contrary to this rule shall be rescinded. Mandatory sentences are as follows:

a. A life sentence imposed for conviction of a Class “A” felony pursuant to Iowa Code section 902.1;

b. A mandatory minimum sentence imposed for use of a firearm pursuant to Iowa Code section 902.7;

c. A mandatory minimum sentence imposed for violation of uniform controlled substance provisions pursuant to Iowa Code section 124.406 or 124.413;

d. A mandatory minimum sentence imposed for being an habitual offender pursuant to Iowa Code section 902.8;

e. A mandatory minimum sentence imposed for a prior forcible felony pursuant to Iowa Code section 902.11.

8.2(2) Parole and work release while on patient status. Generally, the board will not grant parole or work release to an inmate on patient status.

8.2(3) Parole to detainer. The board may grant parole to an inmate against whom a detainer has been placed by another state. Generally, the board will not parole an inmate to a detainer that is solely for prosecution.

8.2(4) Parole to other states. The board may grant parole to another state pursuant to the provisions of the interstate parole and probation compact set forth in Iowa Code chapter 907A.

205—8.3(904A) Inmate orientation. Reserved.

205—8.4(906) Prior forcible felony mandatory minimum sentence. The board shall deny parole or work release to an inmate who is serving a mandatory minimum sentence pursuant to Iowa Code section 902.11.

205—8.5(904A) Risk assessment. The board shall assess the risk of an inmate committed to the custody of the department of corrections. The board shall utilize a risk assessment instrument approved by the board by resolution.

8.6(1) Case reviews. The board may review the records of an inmate committed to the custody of the department of corrections and consider the inmate’s prospects for parole or work release at any time. The board shall notify an inmate only if the inmate is granted parole or work release, except as provided in 8.16(3).

8.6(2) Interviews. The board may interview an inmate committed to the custody of the department of corrections at any time.

8.6(3) The board shall review the status of each inmate as directed by the Iowa Code, and shall provide the inmate with notice of its parole or work release decision. After an inmate has been granted work release, the board shall review the inmate’s status at least annually from the date of the decision to grant work release.

8.6(4) Class “A” felons, and Class “B” felons serving a sentence of more than 25 years, are excepted from the annual review requirement of 8.6(3).

8.6(5) Inmates serving a mandatory minimum sentence are excepted from the annual review requirements of 8.6(3) until such time as the mandatory minimum has expired.

8.6(6) Department–initiated review. The department of corrections may recommend an inmate for parole or work release consideration at any time. The board shall discuss such a recommendation with department staff during the next regularly scheduled board session involving the institution where the inmate in question is incarcerated. The board may, at its discretion, interview the inmate prior to acting upon the recommendation of the department of corrections staff.

205—8.7(906) Parole and work release information. The board shall notify the department of corrections or a district department when an inmate is to be considered for parole or work release. The receipt of notice by the department of corrections or the district department shall constitute a request for updated information on the inmate. The board shall request information required for parole or work release decision making. The department of corrections or the district department shall furnish updated information to the board.

205—8.8(906) Interview notice. The board or the board’s designee shall notify an inmate to be interviewed for parole or work release consideration of the time and purpose of the interview. Notice given to the department of corrections shall be considered notice to the inmate. Not less than 20 days prior to the interview, the board shall also notify the department of corrections of the scheduling of the interview, and the department shall make the inmate available to the board at the inmate’s institutional residence as scheduled in the notice. However, if health, safety, or security conditions require moving the inmate to another institution or facility prior to the scheduled interview, the department of corrections shall so notify the board.

205—8.9(906) Continuance. The board may reschedule or continue a parole or work release interview upon its own motion or upon a showing of good cause, as determined by the board.

8.10(1) The board may consider the following factors and others deemed relevant to the parole or work release decision:

a. Previous criminal record;

b. Nature and circumstances of the offense;

c. Recidivism record;

d. Convictions or behavior indicating a propensity for violence;

e. Participation in institutional programs, including academic and vocational training;

f. Psychiatric and psychological evaluations;

g. Length of time served;

h. Evidence of serious or habitual institutional misconduct;

i. Success or failure while on probation;

j. Prior parole or work release history;

k. Prior refusal to accept parole or work release;

l. History of drug or alcohol use;

m. A parole plan formulated by the inmate;

n. General attitude and behavior while incarcerated;

o. Risk assessment.

8.10(2) Psychological and psychiatric evaluations. The board may request a complete psychiatric or psychological evaluation of an inmate whenever, in the opinion of the board, it would be beneficial to the board’s decision. The board shall routinely request an evaluation of an inmate convicted of a crime involving sexual abuse or personal violence, or of an inmate who has committed assaults or violent acts while incarcerated.

205—8.11(906) Information disclosure to inmate. The board shall normally consider only information that has been reviewed by the inmate, except when the board deems such review not feasible. The information shall be considered only if the following safeguards are followed:

8.11(1) The staff of the department of corrections shall discuss the information with the inmate and disclose to the inmate any factual allegations if the disclosure can be done in a manner that protects confidential sources.

Factual allegations shall include but not be limited to:

a. Any statements attributed to the inmate;

b. Any allegations of criminal or antisocial behavior with or without court conviction from within or without the institution;

c. Any allegations of threats made by the inmate;

d. Any allegations of drug addiction or alcoholism;

e. Any allegations regarding family history, employment or education;

f. Disciplinary record at the institution.

8.11(2) If any information from outside institutions under the supervision of the department of corrections is to be considered by the board, and it is necessary to protect the source, the inmate shall be informed of at least the following:

a. The general substance of the information;

b. The number of communications;

c. The type of communications.

The inmate shall be given the opportunity to respond to information.

8.11(3) The inmate’s reports from institutions under the supervision of the department of corrections, including reception reports, progress reports, medical reports, and social information or reports, should, to the extent possible, be structured so as to separate opinion from factual information. The factual information shall be made available for review by the inmate; opinion information shall be confidential. Psychiatric or psychological test results or diagnoses shall be deemed confidential.

205—8.12(906) Interview procedure. The board or board panel shall interview the inmate and consider the inmate’srecords with respect to history, current situation, parole and work release prospects, and other pertinent matters. The board or board panel shall give the inmate ample opportunity to express views and present materials.

205—8.13(906) Case review procedure. The board or board panel may consider the inmate’s records and other information with respect to history, current situation, parole and work release prospects, and other pertinent matters. A case review may take place at any time and is in addition to any other required review.

8.14(1) Parole proceedings shall be open to the public except as otherwise necessary or proper.

8.14(2) Conduct of inmate.

a. Conduct of the inmate shall be in a manner consistent with decorum appropriate for a participant in a public meeting of a governmental body.

b. An inmate may not orally or otherwise communicate with spectators or others present at the parole proceeding except as permitted by the panel or board.

c. The inmate shall speak to the panel or board or counselor only when asked a question or directed otherwise to do so.

d. Each inmate will be given an opportunity to make an independent statement to the panel or board at some point during the parole proceeding. The panel or board may limit this statement in any manner as to topic or time. Specifically subject to this limitation will be persons who have no realistic grounds to believe a parole will be granted, i.e., those with mandatory minimum sentences, those serving life terms, or those having served short times relative to the severity of their crimes and length of their sentences.

e. Failure to comply with the direction of the panel or board in limiting statements, in communicating with persons present at the parole proceeding, or any absence of decorum which could disrupt or delay the proceeding may, at the discretion of the board, result in a forfeiture of the right to an interview, and a request by the board to have the institutional staff remove the inmate.

f. An inmate who forfeits the right to an interview for reasons under 8.14(2)“e” or for any other reason shall not be interviewed again until the inmate’s next annual review, or until such earlier time as determined by the board, except that the inmate may request an earlier interview. The request is to be made through the board liaison officer, the counselor or other institutional staff member, or the ombudsman, together with assurance by the inmate that no repeat of the offending conduct or other offending conduct will occur. A reinterview is subject to the discretion of the panel or board.

8.14(3) Conduct of spectators.

a. Spectators may not participate in the parole proceedings. The number of spectators will be limited by the number of seats provided. Only board staff or institutional staff will be allowed to stand during the interviews or between interviews, except during breaks of the panel or board or as necessary to enter and leave during times designated by the panel or board. An exception will be made for television camera operators.

b. Spectators may not enter or leave the room during interviews or between interviews, except that the board or panel will designate times when persons may enter and leave. This will be done at reasonable intervals, and may be between interviews even though the board or panel does not take a break.

c. Entering and leaving the interview room before and after the interview sessions and during breaks in the interview sessions shall be subject to the restrictions imposed by the staff of the institution at which the session is being held.

d. Spectators shall make no utterances which are intended to be or can be heard by the inmate or the panel. This includes any conversation among spectators.

e. Spectators shall conduct themselves in a manner consistent with decorum appropriate for a public meeting of a governmental body.

f. Any activity deemed inappropriate by the panel or institutional staff under the guidelines in the rules may result in a request by the panel or institutional staff for the offending party or parties to leave. Warnings for inadvertent or minor misconduct may or may not be given the first time it occurs and any subsequent offending activity will result in a request to leave. Refusal to leave upon request will result in a request by the panel to have the person or persons removed by the institutional staff.

All spectator places shall be on a first–come, first–served basis in accordance with the rules of the institution or the department of corrections.

g. A spectator who leaves during a time designated for entering or leaving or during a short break by the panel may retain a place if the person returns at the next time designated for that purpose. A person does not retain a place at the hearing over breaks taken for lunch, dinner, or overnight.

8.14(4) Conduct of the media.

a. General. Broadcasting, televising, recording and photographing will be permitted in the interview room during open sessions of the board or panel, including recesses between sessions, under the following conditions:

(1) Permission first shall have been granted by the institution or department of corrections, which may prescribe conditions and restrictions for bringing equipment into areas of the institution.

(2) Media coverage of any proceeding which is held in closed session under Iowa law is prohibited.

(3) The quantity and types of equipment permitted in the interview room shall be subject to the discretion of the panel or board within the guidelines in these rules, and subject to the permission of the institution or department of corrections.

(4) Notwithstanding the provisions of any of these procedural or technical rules, the panel or board may permit the use of other equipment provided the application for variance is made in advance. Ruling upon the variance application shall be in the discretion of the panel or board, subject to permission of the institution or department of corrections to bring in or move equipment.

(5) The panel or board may limit or terminate photographic or electronic media coverage of any or all media participants at any time during the proceedings in the event the panel or board finds that rules in this chapter or additional rules imposed by the institution or department of corrections have been violated.

(6) The rights of motion picture and electronic coverage provided herein may be exercised only by persons or organizations which are part of the news media, except that individuals may use sound tape recorders.

b. Advance notice of coverage. All requests by representatives of the news media to use television cameras or electronic sound recording equipment in the interview room shall be made to the institution in accordance with department of corrections rules.

c. Equipment specifications. Equipment to be used by the media or public in interview rooms or meeting rooms during interview proceedings or board meetings held at the institutions must be unobtrusive and must not produce distracting sound. In addition, the equipment must satisfy the following criteria, where applicable:

(1) Still cameras. Still cameras and lenses must be unobtrusive, without distracting light or sound.

(2) Television cameras and related equipment. Television cameras are to be electronic and, together with any related equipment to be located in the interview room, must be unobtrusive in both size and appearance, without distracting sound or light. Television cameras are to be designed or modified so that participants in the parole interview being covered are unable to determine when recording is occurring.

(3) Audio equipment. Microphones, wiring and audio recording equipment shall be unobtrusive and shall be of adequate technical quality to prevent interference with the proceeding being covered. Any changes in existing audio systems must be approved by the panel or board. No modifications of existing systems shall be made at public expense.

(4) Advance approval. It shall be the duty of media personnel to demonstrate to the panel or board reasonably in advance of the proceeding that the equipment sought to be utilized meets the criteria set forth in this rule. Failure to obtain advance panel or board approval for equipment may preclude its use in the proceeding. All media equipment and personnel shall be in place at least 15 minutes prior to the scheduled time of commencement of the proceeding.

d. Lighting. Other than light sources already existing in the interview room, no flashbulbs or other artificial light device of any kind shall be employed in the interview room. With the concurrence of the panel and institutional staff, however, modifications may be made in light sources existing in the interview room (e.g., higher wattage light bulbs), provided the modifications are installed and maintained without public expense.

e. Equipment and pooling. The following limitations on the amount of equipment and number of photographic and broadcast media personnel in the interview room shall apply:

(1) Still photography. Not more than two still photographers, each using not more than two camera bodies and two lenses, shall be permitted in the interview room at any one time during a parole proceeding.

(2) Television. Not more than two television cameras, each operated by not more than one camera person, shall be permitted in the interview room during a parole proceeding. All components must be contained within the area designated for the camera. Where possible, recording and broadcasting equipment which is not a component part of a television camera shall be located outside the interview room.

(3) Audio. Not more than one audio system shall be set up in the interview room for broadcast coverage of a parole proceeding. Audio pickup for broadcast coverage shall be accomplished for any existing audio system present in the interview room, if the pickup would be technically suitable for broadcast. Where possible, electronic audio recording equipment and any operating personnel shall be located outside the interview room.

(4) Pooling. Where the above limitations on equipment and personnel make it necessary, the media shall be required to pool equipment and personnel. Pooling arrangements shall be the sole responsibility of the media, and the panel or board shall not be called upon to mediate any dispute as to the appropriate media representatives authorized to cover a particular parole proceeding.

f. Location of equipment and personnel. Equipment and operating personnel shall be located in, and coverage of the proceedings shall take place from, an area or areas within the interview room designated by the panel or institutional staff. The area or areas designated shall provide reasonable access to the proceeding to be covered.

g. Movement during proceedings. Television cameras and audio equipment may be installed in or removed from the interview room only when the panel or board is not in session. In addition, the equipment shall at all times be operated from a fixed position. Still photographers and broadcast media personnel shall not move about the interview room while proceedings are in session, nor shall they engage in any movement which attracts undue attention. Still photographers shall not assume body positions inappropriate for spectators.

h. Decorum. All still photographers and broadcast media personnel shall be properly attired and shall maintain decorum appropriate for a public meeting of a governmental body at all times while covering a parole proceeding.

8.15(1) The board shall grant parole to an inmate on work release status if at least three members of the board agree that the inmate can be released without detriment to the community or to the inmate. If three members do not agree, the board shall deny parole.

8.15(2) The board shall grant parole or work release to an inmate with a risk assessment score of 1, 2, 3, 4, 5, or 6 only if at least three members of the board agree that the inmate can be released without detriment to the community or to the inmate. If three members do not agree, the board shall deny parole or work release.

8.15(3) The board shall defer granting parole or work release to an inmate with a risk assessment score of 7 or 8 and refer the case to the full board for review. The full board shall grant parole or work release only if at least four members agree that the inmate can be released without detriment to the community or to the inmate. If four members do not agree, the board shall deny parole or work release. If there are not four board members available due to unfilled vacancies on the board, conflicts of interest of board members, illness, or other reason, the board chairperson may, upon consultation with the board, suspend the four–vote requirement and allow parole or work release to be granted upon three votes.

8.15(4) The board shall defer granting parole or work release to an inmate with a risk assessment score of 9 and refer the case to the full board for review. The full board shall grant parole or work release only if the board members unanimously agree that the inmate can be released without detriment to the community or to the inmate. If the board members do not unanimously agree, the board shall deny parole or work release. If any of the five board members are not available due to unfilled vacancies on the board, conflicts of interest of board members, illness, or other reason, the board chairperson may, upon consultation with the board, suspend the five–vote requirement and allow parole or work release to be granted upon four votes if one board member is unavailable, or upon three votes if two board members are unavailable.

8.15(5) The board may determine if an inmate shall be required to provide a physical specimen to be submitted for DNA profiling as a condition of parole or work release. The board shall consider the deterrent effect of DNA profiling, the likelihood of repeated violations by the offender, and the seriousness of the offense. When funds have been allocated from the general fund of the state, or funds have been provided by other public or private sources, the board shall order DNA profiling, if appropriate.

8.16(1) The board shall give notice of a decision to grant parole by issuing an order for parole to the facility where the inmate in question is incarcerated.

8.16(2) The board shall give notice of a decision to grant work release by issuing an order for work release to the facility where the inmate in question is incarcerated.

8.16(3) The board shall give notice of a decision to deny parole or work release by issuing a notice of parole or work release denial to the facility where the inmate in question is incarcerated.

8.16(4) The board need not disclose a decision to grant or deny parole or work release to anyone other than the inmate in question and the facility where the inmate is incarcerated until at least two working days have elapsed from the date of the decision.

8.17(1) The board may, at the time of granting a work release, grant an offender a parole contingent upon successful completion of work release. Whenever the board grants a parole contingent upon successful completion of work release, it shall indicate in the offender’s file any special conditions for the parole and that the parole is contingent upon successful completion of work release.

8.17(2) The residential manager shall make a determination whether the offender has successfully completed the work release. For the purpose of this rule, successful completion of work release shall mean, at a minimum, the absence of any violent acts or threats of violence by the offender from the time the work release was authorized, and either (1) the offender has completed all board of parole recommended programs, or (2) the offender has enrolled in all recommended programs not completed and is making satisfactory progress toward completion and the facility is able to arrange for continued program participation while the offender is on parole. When an offender successfully completes the work release program, the residential manager shall certify that fact to the board in a written or electronic certification. Upon receipt of the certification, the chairperson or the chairperson’s designee shall cause a parole order to be issued and forwarded to the residential facility where a parole agreement will be executed by the offender with such parole conditions as the board may require in its original release decision. The parole shall be effective only upon execution of the parole order and agreement by the parole officer and the parolee, whichever occurs later. No further action is required by the parole board for said parole. Before the parole becomes effective, the chairperson or the chairperson’s designee may refer the case back to the board for further consideration. Nothing in this rule shall prevent the parole board from considering revocations of work release or parole for violations of the parole order, agreement, or any other provision of law, as otherwise provided in the parole board’s administrative rules.

8.17(3) If the residential manager does not certify that an offender has successfully completed work release within the six–month limit established in Iowa Code section 904.904, and if the offender’s work release has not otherwise been revoked, the offender’s case shall be reviewed by the board of parole. The board may grant parole, extend work release, refer the offender back to prison, or take any other action authorized by law.

8.17(4) The grant of parole contingent upon successful completion of work release shall comply with subrules 8.15(1) through 8.15(4).

8.17(5) An offender who has been granted a parole contingent upon successful completion of work release and who fails to successfully complete work release for whatever reason shall be reviewed for further release according to the board’s administrative rules.

8.17(6) A parole granted under this rule shall be administered and supervised according to the board’s administrative rules, 205—Chapters 10 and 11.

These rules are intended to implement Iowa Code chapters 904A and 906.

CHAPTER 9
PAROLE AND WORK RELEASE RESCISSION
Reserved

CHAPTER 10
PAROLE AND WORK RELEASE SUPERVISION

205—10.1(906) Release processing. Following the issuance of an order for parole or work release by the board, the inmate shall be processed for release pursuant to the rules and procedures of the department of corrections and the district department.

205—10.2(906) Parole supervision. An inmate granted parole or work release shall be under the supervision of the department of corrections, the district department, or a receiving state pursuant to the interstate probation and parole compact. Parole supervision shall continue until the expiration of the maximum sentence, subject to early discharge by the board or the district department.

205—10.3(906) Parole or work release agreement. A parole or work release agreement containing standard and special conditions of parole or work release shall be prepared without unreasonable delay following the board’s issuance of the order for parole or work release. The parole or work release agreement may provide for a search process and procedure of the parolee or work releasee. The parole or work release shall not commence until the inmate has signed the agreement. If the inmate is on work release status at the time parole is granted, the inmate shall remain on work release status until the parole agreement is signed. The inmate shall remain at the residential facility until the parole agreement is signed.

These rules are intended to implement Iowa Code chapter 906.

CHAPTER 11
PAROLE REVOCATION

205—11.1(906) Voluntary termination of parole. Any voluntary termination of parole should be executed in writing by the parolee and approved by the parole officer. Upon the execution of the voluntary termination of parole, the parolee’s parole is terminated and the parolee shall be returned to the Iowa Medical and Classification Center at Oakdale as soon as reasonably possible.

The parole officer shall determine if the parolee shall be incarcerated prior to the parolee’s return to the Iowa Medical and Classification Center and shall make arrangements accordingly. The parolee shall receive credit for the time spent on parole prior to the voluntary termination of parole.

205—11.2(906) Prerevocation procedures. Reserved.

205—11.3(908) Revocation initiated. Parole revocation procedures shall be initiated only as provided by Iowa Code chapter 908, which this rule is intended to implement.

205—11.4(908) Revocation of parole. The board of parole or its administrative parole judge, for good cause shown, may revoke any parole previously granted. Good cause for revocation of parole shall include the violation of a condition or conditions of the parole agreement or parole plan. Parole revocation procedures, including the parole revocation hearing, are governed by Iowa Code chapter 17A.

11.5(1) The parole officer shall report to the board any parolee who is reasonably believed to have engaged in the following types of behavior:

a. Violation of any federal or state laws, except simple misdemeanors.

b. Any violent or assaultive conduct.

c. Possession, control or use of any firearms, imitation firearms, explosives or weapons as defined in federal or state statutes.

d. Sale, possession, continual or problem use, transportation or distribution of any narcotic or other controlled substance or excessive use of alcohol by the parolee.

e. A parolee whose whereabouts are unknown and who has been unavailable for contact for 30 days, or about whom reliable information has been received indicating that the parolee is taking flight or absconding.

f. Any behavior indicating that the parolee may be suffering from a mental disorder which impairs the parolee’s ability to maintain the parolee in the community or which makes the parolee a danger to the parolee or others when the mental disorder cannot be adequately treated while the parolee is in the community.

g. Any other conduct or pattern of conduct in violation of the conditions of parole deemed sufficiently serious by the parole officer.

11.5(2) The parole officer or supervisor is authorized to sanction any other parolee misconduct not required to be reported above.

205—11.6(908) Parole violation report. The parole violation report is a document prepared by the parole officer on a form or medium provided by the board specifying the parole violation charges against a parolee and containing or referring to information known to the parole officer relevant to the charges.

11.6(1) Supplemental parole violation report. A supplemental parole violation report may be submitted to report sufficient new information or evidence which proves or disproves violations previously charged; note court action on charges which are being prosecuted in a criminal proceeding or expand, clarify, or correct information in an earlier report; provide the board with information not related to the violation but which may affect the board’s decision regarding the appropriate disposition; and provide additional requested information to the board at any time or change the officer’s recommendation. A supplemental report shall be filed upon the apprehension of a parolee on absconder status.

11.6(2) Recommendations. The parole officer shall recommend the appropriate disposition necessary to deal with the alleged violation. In a parole violation report, the parole officer may make the following recommendations:

a. Continue on parole. This recommendation may be used when a violation charge is not serious enough to warrant reincarceration. A copy of the violation report containing a “continue on parole” recommendation shall be personally delivered and explained to the parolee by the parole officer, and the parolee shall be given an opportunity to admit the alleged violations. Admitted violations contained in the report may be used to adjust time calculations in a later revocation proceeding. In the event that a dispute arises as to alleged violations, the parolee may request a parole hearing.

An administrative parole judge shall review the violation report and enter an order either affirming the recommendation to continue on parole or scheduling the matter for a parole revocation hearing.

A parolee shall be allowed only two violation reportscontaining a “continue on parole” recommendation in a 12– month period, after which a parole revocation hearing must be scheduled.

Generally, violations occurring over 12 months prior to the request for a parole revocation hearing will not be used to adjust time calculations, except in absconder cases and related matters.

b. Schedule for revocation proceedings. This recommendation may be used whenever the violation(s) alleged is so serious that reincarceration is necessary.

c. Delay action. This recommendation is used when there is a lack of information at the time the report is submitted or because charges are still pending and final disposition is unknown or the whereabouts of the parolee are unknown. The parole officer shall notify the board of the reason(s) for the recommendation to delay action.

d. Issue a detainer. This recommendation is used to request that an Iowa detainer be placed against an Iowa parolee who is serving time in another jurisdiction for an offense committed while on parole which would constitute a felony or aggravated misdemeanor if committed in Iowa.

e. Continue on parole and impose special condition 209A of the parole agreement, participation in the violator’s program. This recommendation may be used when there has been a violation of parole, but treatment in the violator’s program is seen as a reasonable alternative to revocation of parole.

f. Automatic revocation. This recommendation may be used when a parolee has been convicted of and sentenced for a new felony.

11.6(3) District review.

a. Parole officer’s responsibility. After discovery of information indicating a possible violation of parole and determination by the parole officer that the violation(s) must be reported to the board, the parole officer shall prepare a parole violation report.

b. Parole supervisor review. After the preparation of a parole violation report, the supervisor shall review the report. If the supervisor concurs with the recommendation made, the supervisor shall submit the report to the business office of the parole board for review and scheduling of a parole revocation hearing, if required.

205—11.7(908) Parole revocation hearing. Following receipt of a parole officer’s request for a parole revocation hearing, the administrative parole judge or board–designated officer shall set the date, time and place of the parole revocation hearing and shall cause a notice of parole revocation hearing to be completed. The parole revocation hearing shall be held in any county in the same judicial district as that in which the alleged parole violator had the initial appearance, or in the county from which the warrant for the arrest of the alleged parole violator was issued.

11.7(1) Parole revocation hearing notice. The parole officer or board’s designated officer shall cause to be prepared a written notice to the parolee of the date, time, and place of the parole revocation hearing, which shall:

a. Include a complete copy of the report of violations including all documents referred to therein except confidential material defined in 205—subrule 6.4(2).

b. Be served upon the parolee by personal service. The notice may be served by any person 18 years of age or older at least seven days prior to the parole revocation hearing unless the parolee waives the right to seven days’ advance notice.

c. Inform the parolee of the purpose of the hearing, the violations of parole conditions alleged, the circumstances of the alleged violations, the possible action which may be taken as a result of the revocation proceedings, and the following rights to which the parolee shall be entitled at the parole revocation hearing:

(1) Appear and speak in the parolee’s own behalf and to be aided by an interpreter if aid is determined to be necessary by the administrative parole judge.

(2) Representation by an attorney or if the parolee is indigent, the right to representation by an attorney pursuant to Rule 2.28 of the Iowa Rules of Criminal Procedure.

(3) Remain silent.

(4) Present witnesses to testify in the parolee’s behalf as to matters relevant to the alleged violation of parole.

(5) Confront and cross–examine adverse witnesses unless the administrative parole judge determines that such witnesses would be subjected to risk of harm.

(6) Present documentary evidence and any relevant material or information.

11.7(2) Testimony at parole revocation hearing. All testimony shall be under oath.

11.7(3) Parole revocation hearing recorded. Parole revocation hearings shall be mechanically recorded. The recording or transcription thereof shall be filed and maintained by the board of parole for at least five years from the date of the parole revocation hearing.

11.7(4) Witnesses segregated. The administrative parole judge on the judge’s own motion or on the request of the parolee, parolee’s counsel, or any representative of the state may order witnesses to be segregated except that the parole officer, parolee, and counsel may be present at all times at the hearing.

11.7(5) Parole revocation hearing evidence. The admissibility of evidence at parole revocation proceedings is governed by Iowa Code section 17A.14.

a. Documentary evidence. The parole officer shall ensure that all relevant documentary evidence is available at the hearing and has been made available to the parolee and the parolee’s attorney prior to the hearing unless designated confidential. This evidence includes the violation report and statements of witnesses. When relevant documentary evidence is not available, the parole officer shall specify what evidence is unavailable and why.

b. Physical evidence. Physical evidence is ordinarily not required at the hearing. The parole officer may bring physical evidence to the hearing if the parolee has requested it or it appears necessary for the hearing, security is not endangered and there is no other means of presenting the information.

11.7(6) Witnesses.

a. Parolee request. A parolee may request either friendly or adverse witnesses. If a witness is requested by the parolee or the parolee’s attorney, the parolee or the parolee’s attorney shall notify the parole officer.

b. Parole officer request. If, in preparing the case prior to the hearing, the parole officer requires a particular witness to demonstrate essential facts of violation, attendance of that witness may be requested by the officer even though the parolee has not requested that witness. If a witness is requested by the parole officer, the officer shall notify the parolee or the parolee’s attorney.

c. Witnesses’ transportation. All witnesses shall provide their own transportation.

d. Fearful witnesses. All witnesses who refuse to attend the hearing either because they would be subjected to risk of harm if their identities were disclosed or who, even if their identities were known, fear for their safety should they attend the hearing shall be interviewed by the parole officer prior to the hearing and their information and the reasons for their fear shall be documented in writing or on tape. The administrative parole judge shall determine whether good cause exists to excuse the witness’s attendance and shall document the decision including the reasons.

e. Interviewing witnesses. A parolee or the parolee’s attorney has the right to speak to possible witnesses, but it is completely within the discretion of an individual witness whether to speak to or disclose the witness’s whereabouts to a parolee or the parolee’s attorney. No attempt shall be made by the parole board staff to influence the witness’s decision.

11.7(7) Subpoenas—general. Subpoenas may be issued to require the attendance of witnesses or the production of documents at parole revocation hearings.

a. Who may request. The parolee, the parolee’s attorney, parole officer, or board staff may request that a subpoena be issued.

b. To whom made. Requests shall be made directly to the administrative parole judge or the board–designated officer as appropriate.

c. When made. The request shall be made prior to the scheduled hearing.

d. Subpoena duces tecum. The request for a subpoena duces tecum shall be accompanied by a declaration in support of the request. The declaration must show good cause for production of documentary evidence and specify precisely the documentary evidence to be produced, the relevance and materiality of that evidence to the hearing, and verification that the requested witness has possession or control of the documentary evidence.

e. The board of parole shall not be required to pay subpoena service fees, witness fees, or witness transportation expenses.

11.7(8) Continuances.

a. A hearing may be continued by the presiding administrative parole judge for good cause shown, either upon the presiding judge’s own motion or upon the request of a party. A party’s request for continuance shall be made in writing to the board business office prior to the hearing. Each party shall be granted only one continuance except that in the case of extreme emergency, determined by the presiding administrative parole judge, further continuance may be granted.

b. If, because of an emergency or other good cause, a party having received timely notice is unable to attend the hearing or to request continuance within the allotted time, the presiding administrative parole judge may continue the hearing and schedule another hearing with notice to all interested parties.

c. A notice of continuance may be served upon the parolee’s attorney of record for the parole revocation proceeding, in lieu of personal service upon the parolee.

d. If a notice of continuance does not involve any new allegations of parole violation, it need not be served upon the parolee or the parolee’s attorney of record at least seven days prior to the hearing date. However, if the notice of continuance includes allegations of violations beyond those contained in the original notice of hearing, it must be served upon the parolee or the parolee’s attorney of record at least seven days prior to the hearing date.

11.7(9) Areas of responsibility. The following areas of responsibility will apply for a parole revocation hearing.

a. The parole officer will be responsible for the following:

(1) Coordinating and scheduling location, security, and control of the parole revocation hearing in a courtroom unless good cause is established prior to the hearing;

(2) Preparing notice of hearing forms and causing the notices to be served;

(3) Notifying parolee’s attorney of record of hearing date, time, and place;

(4) Notifying all necessary state witnesses of the hearing date, time, and place;

(5) Processing any required subpoenas on behalf of the state;

(6) Ensuring that all relevant state documents, forms, and materials are available at the hearing;

(7) Attending the hearing;

(8) Arranging security for posthearing transfer of the parolee in the event incarceration is ordered.

b. The administrative parole judge shall be responsible for the following:

(1) Maintaining records on all hearings in the field;

(2) Advising the business office regarding progress of each case;

(3) Forwarding to the business office all materials and forms when hearings are completed.

11.7(10) Parole revocation hearing—adjudication.

a. At the conclusion of the adjudication stage of the hearing, the administrative parole judge shall determine whether the parolee has violated the conditions of parole and shall verbally advise the parolee of the decision.

b. If the administrative parole judge determines that the parolee has not violated the conditions of parole, the judge shall order that the parolee be released from custody and continued on parole.

c. If the administrative parole judge finds that the parolee has violated a condition or conditions of parole, the judge shall make one of the following dispositions at the parole revocation hearing:

(1) Revocation of the parole;

(2) Revocation of the parole with the parolee placed on work release;

(3) Reinstatement of the parole with the previous parole conditions;

(4) Reinstatement of the parole with a modification of the parole conditions;

(5) Continuation of the dispositional portion of the hearing.

d. The administrative parole judge shall determine from the record established at the final revocation hearing the date(s) of violation of parole. The judge shall also determine the number of days of parole which shall not be counted toward the discharge of the parolee’s sentence. This number shall not exceed the number of days after the date of first violation during which the parolee was not incarcerated.

11.7(11) Parole revocation—hearing summary. The administrative parole judge or the board’s designated officer shall forward a summary of parole revocation hearing to the parolee, the parolee’s attorney, the parole officer, and the board office as soon as reasonably possible following the parole revocation hearing. The summary of the parole revocation shall consist of a summary of the proceeding and shall contain the judge’s findings of fact, conclusions of law and disposition of the matter.

11.7(12) Parole revocation hearing—conduct of the media. The provisions governing the conduct of the media at parole interviews as set out in 205—subrule 8.14(4) shall also apply to parole revocation hearings, except that decisions committed to the discretion of the board or board panel in that rule shall be made by the presiding administrative parole judge.

205—11.8(908) Appeal or review. The order of the administrative parole judge shall become the final decision of the board of parole unless, within ten days of the date of the decision, the parole violator appeals the decision or a panel of the board reviews the decision on its own motion. On appeal or review of the judge’s decision, the board panel has all the power which it would have in initially making the revocation hearing decision. The appeal or review shall be conducted pursuant to rules adopted by the board of parole. The record on appeal or review shall be the record made at the parole revocation hearing conducted by the administrative parole judge. Appeals must be received at the parole office or be postmarked by the applicable date or they will not be considered.

205—11.9(908) Interstate compact parole probable cause hearings. The Iowa board of parole may conduct interstate compact parole probable cause hearings under the same procedures as the Iowa parole revocation hearings.

11.9(1) Interstate compact probable cause hearings. The Iowa board of parole, or an administrative parole judge, may conduct a probable cause hearing for a parolee from another state who is on parole in Iowa under the terms of the interstate compact on probabtion and parole according to the same procedures which govern parole revocation hearings for Iowa parolees who are on parole in Iowa.

11.9(2) Interstate compact parole revocation hearings. If an Iowa parolee was on parole outside the state of Iowa through the interstate compact on probation and parole and has been returned to Iowa following a finding of probable cause in the receiving state, a parole revocation hearing shall be conducted for the parolee at the Iowa institution at which the parolee is incarcerated. This hearing shall be conducted according to the same procedures as those specified for hearings conducted for Iowa parolees who are on parole in the state of Iowa.

205—11.10(908) Parolee convicted of new offenses. A parolee who is found guilty of a new offense or who pleads guilty to a new offense, including simple misdemeanors, has no right to the adjudication stage of the parole revocation hearing with regard to the new offense.

205—11.11(908) Waivers. When the parole officer makes a recommendation to the board of parole for revocation of parole, the parole officer shall inform the parolee of the parolee’s rights and afford the parolee the opportunity to execute a waiver of parole revocation hearing.

The parole officer shall also inform the parolee of the opportunity to waive the parolee’s right to personal appearance and consent to the parole revocation hearing’s being conducted over the telephone.

11.11(1) Waiver of parole revocation hearing. A waiver of parole revocation hearing shall constitute an admission of the alleged violation(s) and shall include a waiver of any right to a personal appearance before the administrative parole judge to contest the violations.

11.11(2) Parole revocation hearing waiver procedures. If the parolee desires to execute a waiver of parole revocation hearing, the waiver shall be entered on the appropriate form provided by the board which shall be signed by the parolee in the presence of the administrative parole judge or by the parolee in the presence of the parole officer/supervisor if the waiver hearing is conducted electronically. The administrative parole judge shall make a verbatim record of the waiver proceeding and shall address the parolee personally and inform the parolee of and determine that the parolee understands the contents of the waiver form which shall include:

a. The nature of the parole violation to which the waiver is addressed;

b. The legal rights of the parolee;

c. The fact that the execution of the waiver constitutes an admission of the alleged violation(s);

d. The fact that the parolee may be committed to the custody of the Iowa department of corrections without further proceedings;

e. A waiver is complete and final upon execution;

f. A waiver may be appealed according to the parole board’s parole revocation appeal process in rule 205— 11.8(908).

11.11(3) Waiver of the right to personal appearance. In the event the parolee executes a waiver of the right to personal appearance and consent to parole revocation hearing to be conducted over the telephone, the parole revocation hearing shall be scheduled and conducted as a routine parole revocation hearing with the exception that it shall be conducted electronically.

205—11.12(908) Conviction of a felony while on parole. When a parolee is convicted and sentenced to incarceration in Iowa for a felony committed while on parole, or is convicted and sentenced to incarceration under the laws of any other state of the United States or a foreign government or country for an offense committed while on parole and which if committed in Iowa would be a felony, the parolee’s parole shall be deemed revoked as of the date of the commission of the offense.

11.12(1) The parole officer shall inform the sentencing judge that the convicted defendant is a parole violator. The term for which the defendant shall be imprisoned as a parole violator shall be the same as that provided in cases of revocation of parole for violation of the conditions of parole. The new sentence of imprisonment for conviction of a felony shall be served consecutively to the sentence for which the defendant was on parole, unless a concurrent term of imprisonment is ordered by the court.

11.12(2) The parole officer shall forward to the board of parole a violation report together with a file–stamped copy of the judgment entry and sentencing order for the offense committed during the parole. An administrative parole judge shall review the violation report and the judgment entry and sentencing order and, if satisfied that the conditions of Iowa Code section 908.10 and of this rule have been met, shall issue an order revoking the parole. The judge shall also determine the date of commission of the felony offense and the date of subsequent incarceration in a state institution. Time loss shall be the time between these two dates, except that the parolee shall receive credit for any time the parolee was incarcerated in a county jail between these two dates.

11.12(3) The parolee shall be notified in writing that the parole has been revoked on the basis of the new conviction, and a copy of the commitment order shall accompany the notification. The parolee’s record shall be reviewed pursuant to the provision of Iowa Code section 906.5, or as soon as practical after a final reversal of the new conviction.

11.12(4) An inmate may appeal the revocation of parole under this rule according to the procedure indicated in rule 205—11.8(908).

11.12(5) Neither the administrative parole judge nor the board shall retry the facts underlying any conviction.

These rules are intended to implement Iowa Code chapters 906 and 908.

CHAPTER 12
Reserved

CHAPTER 13
PAROLE DISCHARGE

13.1(1) Statutory discharge. The board shall discharge a parolee from parole supervision when the term of the parolee’s sentence expires.

13.1(2) Early discharge. The board or the supervising district department may discharge a parolee from parole supervision prior to the expiration of the term of the parolee’s sentence when the board or district department determines that the parolee is able and willing to fulfill the obligations of a law–abiding citizen without further supervision.

205—13.2(906) Persons not eligible. A parolee convicted of a violation of Iowa Code section 709.3, 709.4, or 709.8 committed on or with a child shall not be discharged from parole until the term of the parolee’s sentence expires.

These rules are intended to implement Iowa Code section 906.15.

CHAPTER 14
EXECUTIVE CLEMENCY

205—14.1(902) Interviews of inmates serving life terms. The board shall not grant a parole or work release to a Class “A” felon serving a life term unless the governor commutes the sentence to a term of years. Administrative rules relating to the parole and work release consideration of an inmate sentenced to an indeterminate term shall not apply to an inmate sentenced to a life term. The board shall interview a Class “A” felon serving a life term to determine whether to recommend that the governor commute the sentence to a term of years. The board shall recommend that the governor commute the sentence when the board concludes that the inmate should be considered for release on parole or work release. In making such a recommendation, the board shall also indicate the existence of any registered victims and communicate any opinions expressed by those victims regarding release of the inmate.

205—14.2(902) Review of inmates serving life terms. The board may, at its discretion, review the record of a Class “A” felon serving a life term.

14.3(1) Applications to the board.

a. A person convicted of a criminal offense may apply to the board for a recommendation to the governor for a reprieve, pardon, commutation of sentence, or remission of fines and forfeitures at any time following the person’s conviction.

b. An application for a pardon or commutation of sentence shall be on the form provided by the board. The form may be obtained by contacting the board business office.

c. An application for a reprieve or remission of fines and forfeitures shall be in writing.

d. The applicant shall submit the executive clemency application to the board business office.

14.3(2) Applications to the governor. Upon the request of the governor, the board shall take charge of all correspondence in reference to an executive clemency application filed with the governor and shall provide the governor with the board’s advice and recommendation.

14.3(3) Restoration of citizenship.

a. A person convicted of a criminal offense may apply for restoration of citizenship at any time following the discharge of the person’s sentence.

b. A person applying for restoration of citizenship shall submit the Executive Clemency Application form to the governor. This form may be obtained from the governor’s office or from the board. The governor shall obtain a recommendation regarding restoration of citizenship from the board.

205—14.4(914,902) Board investigation. The board may investigate an application or district department recommendation with respect to history, current situation, parole prospects and other pertinent matters. The board may consider the application or recommendation, transcripts of judicial proceedings and all documents submitted with the application, and other documents as the board determines is appropriate, and may interview public officials, victims, and witnesses and other individuals as the board determines is appropriate.

14.5(1) Decision.

a. The board shall recommend that the governor grant commutation of sentence to a Class “A” felon serving a life term when the board unanimously agrees that the inmate should be considered for release on parole. If the board does not unanimously agree, the board shall recommend that the governor not grant commutation of sentence.

b. The board shall recommend that the governor grant executive clemency to a person other than a Class “A” felon serving a life term when at least three members of the board agree that the person has demonstrated that the person will become or continue to be a law–abiding citizen. If three members of the board do not agree, the board shall recommend that the governor not grant executive clemency.

14.5(2) Notice of board recommendation. The board shall give notice of an executive clemency recommendation to the office of the governor and, if requested, to the inmate or applicant.

14.5(3) Board consideration following commutation. The board shall consider the parole and work release prospects of an inmate whose sentence has been commuted by the governor.

14.5(4) Executive clemency reconsiderations.

a. The board may reconsider at any time a board recommendation to grant executive clemency that the governor has denied and returned to the board. The procedures for reviewing an executive clemency application shall apply to the reconsideration of a denied recommendation.

b. The board may refile the recommendation with the governor or withdraw the recommendation.

These rules are intended to implement Iowa Code sections 902.2, 902.4, and 904A.4(7) and chapter 914.

CHAPTER 15
APPEAL OF DECISIONS

205—15.1(17A) General. An inmate, parolee, or work re–leasee may appeal any action of the board staff or board that affects that person except a decision to schedule a hearing or a work release transfer hearing decision, the denial of an appeal, or the decision to conduct an appearance by electronic means or the revocation of parole which shall be appealed according to the procedure indicated in rule 205—11.8(908).

205—15.2(17A) Grounds. The general grounds for an appeal include that the board action is:

1. In violation of constitutional or statutory provisions;

2. In excess of the statutory authority of the board;

3. In violation of a board rule;

4. Made upon unlawful procedure;

5. Affected by other error of law;

6. Unsupported by evidence or based on incorrect or incomplete information which, if correct or complete, might have resulted in a different action;

7. Unreasonable, arbitrary, or capricious or characterized by an abuse of discretion or a clearly unwarranted exercise of decision.

15.3(1) An appeal shall be filed in writing and shall state:

a. The nature of the board action which is the subject of the appeal.

b. The particular agency action which is the subject of the appeal.

c. The grounds on which relief is sought.

d. The relief sought.

15.3(2) All grounds shall be included in the same appeal, and all necessary documents and information shall be attached to the appeal.

15.3(3) The appeal shall be submitted to the business of–fice. An appeal must be received at the parole board office, or be postmarked, within ten days of the receipt of notice of the action appealed. The board is not required to consider untimely appeals.

205—15.4(17A) Board review and decision. The board of parole, a designee of the board or a panel of three or more members of the board shall review the appeal. The chairperson or designee or the panel may affirm, modify or reverse the action being appealed or may defer for further consideration, including granting the inmate, parolee, or work releasee an appearance before the board. The board shall give notice to the inmate, parolee, or work releasee of its decision.

205—15.5(17A) Other appearances before the board. An inmate, parolee, or work releasee may request an appearance before the board by submitting a written request to the business office or a board liaison officer. A member of the board may grant the request for an appearance.

205—15.6(21) Electronic appearances. The board may require an inmate, parolee, or work releasee who has been granted an appearance before the board to appear by electronic means.

These rules are intended to implement Iowa Code chapter 17A.

CHAPTER 16
WAIVER AND VARIANCE RULES

205—16.1(17A) Definition. For purposes of this chapter, “a waiver or variance” means action by the board which suspends in whole or in part the requirements or provisions of a rule as applied to an identified person on the basis of the particular circumstances of that person. For simplicity, the term “waiver” shall include both a “waiver” and a “variance.”

205—16.2(17A) Scope. This chapter outlines generally applicable standards and a uniform process for the granting of individual waivers from rules adopted by the board in situations where no other more specifically applicable law provides for waivers. To the extent another more specific provision of law governs the issuance of a waiver from a particular rule, the more specific provision shall supersede this chapter with respect to any waiver from that rule.

205—16.3(17A) Applicability. The board may grant a waiver from a rule only if the board has jurisdiction over the rule and the requested waiver is consistent with applicable statutes, constitutional provisions, or other provisions of law. The board may not waive requirements created or duties imposed by statute.

205—16.4(17A) Criteria for waiver or variance. In response to a petition completed pursuant to rule 16.6(17A), the board may in its sole discretion issue an order waiving in whole or in part the requirements of a rule if the board finds, based on clear and convincing evidence, all of the following:

1. The application of the rule would impose an undue hardship on the person for whom the waiver is requested;

2. The waiver from the requirements of the rule in the specific case would not prejudice the substantial legal rights of any person;

3. The provisions of the rule subject to the petition for a waiver are not specifically mandated by statute or another provision of law; and

4. Substantially equal protection of public health, safety, and welfare will be afforded by a means other than that prescribed in the particular rule for which the waiver is requested.

205—16.5(17A) Filing of petition. A petition for a waiver must be submitted in writing to the board as follows:

16.5(1) Contested cases. If the petition relates to a pending contested case, the petition shall be filed in the contested case proceeding, using the caption of the contested case.

16.5(2) Other. If the petition does not relate to a pending contested case, the petition may be submitted to the board’s executive director.

205—16.6(17A) Content of petition. A petition for waiver shall include the following information where applicable and known to the requester:

1. The name, address, and telephone number of the person or entity for which a waiver is requested, and the case number of any related contested case.

2. A description and citation of the specific rule from which a waiver is requested.

3. The specific waiver requested, including the precise scope and duration.

4. The relevant facts that the petitioner believes would justify a waiver under each of the four criteria described in rule 16.4(17A). This statement shall include a signed statement from the petitioner attesting to the accuracy of the facts provided in the petition and a statement of reasons that the petitioner believes will justify a waiver.

5. A history of any prior contacts between the board and the petitioner relating to the regulated activity affected by the proposed waiver, including a description of any notices of violation, contested case hearings, or investigative reports relating to the regulated activity within the past five years.

6. Any information known to the requester regarding the board’s treatment of similar cases.

7. The name, address, and telephone number of any public agency or political subdivision which also regulates the activity in question, or which might be affected by the granting of a waiver.

8. The name, address, and telephone number of any person or entity that would be adversely affected by the granting of a petition.

9. The name, address, and telephone number of any person with knowledge of the relevant facts relating to the proposed waiver.

10. Signed releases of information authorizing persons with knowledge regarding the request to furnish the board with information relevant to the waiver.

205—16.7(17A) Additional information. Prior to issuing an order granting or denying a waiver, the board may request additional information from the petitioner relative to the petition and surrounding circumstances. If the petition was not filed in a contested case, the board may, on its own motion or at the petitioner’s request, schedule a telephonic or in–person meeting between the petitioner and the board’s executive director, a committee of the board, or a quorum of the board.

205—16.8(17A) Notice. The board shall acknowledge a petition upon receipt. The board shall ensure that, within 30 days of the receipt of the petition, notice of the pendency of the petition and a concise summary of its contents have been provided to all persons to whom notice is required by any provision of law. In addition, the board may give notice to other persons. To accomplish this notice provision, the board may require the petitioner to serve the notice on all persons to whom notice is required by any provision of law and provide a written statement to the board attesting that notice has been provided.

205—16.9(17A) Hearing procedures. The provisions of Iowa Code sections 17A.10 to 17A.18A regarding contested case hearings shall apply to any petition for a waiver filed within a contested case and shall otherwise apply to board proceedings for a waiver only when the board so provides by rule or order or is required to do so by statute.

205—16.10(17A) Ruling. An order granting or denying a waiver shall be in writing and shall contain a reference to the particular person and rule or portion thereof to which the order pertains, a statement of the relevant facts and reasons upon which the action is based, and a description of the precise scope and duration of the waiver if one is issued.

16.10(1) Board discretion. The final decision on whether the circumstances justify the granting of a waiver shall be made at the sole discretion of the board, upon consideration of all relevant factors. Each petition for a waiver shall be evaluated by the board based on the unique, individual circumstances set out in the petition.

16.10(2) Burden of persuasion. The burden of persuasion rests with the petitioner to demonstrate by clear and convincing evidence that the board should exercise its discretion to grant a waiver from a board rule.

16.10(3) Narrowly tailored exception. A waiver, if granted, shall provide the narrowest exception possible to the provisions of a rule.

16.10(4) Administrative deadlines. When the rule from which a waiver is sought establishes administrative deadlines, the board shall balance the special individual circumstances of the petitioner with the overall goal of uniform treatment of all similarly situated persons.

16.10(5) Conditions. The board may place any condition on a waiver that the board finds desirable to protect the public health, safety, and welfare.

16.10(6) Time period of waiver. A waiver shall not be permanent unless the petitioner can show that a temporary waiver would be impracticable. If a temporary waiver is granted, there is no automatic right to renewal. At the sole discretion of the board, a waiver may be renewed if the board finds that grounds for a waiver continue to exist.

16.10(7) Time for ruling. The board shall grant or deny a petition for a waiver as soon as practicable but, in any event, shall do so within 120 days of its receipt, unless the petitioner agrees to a later date. However, if a petition is filed in a contested case, the board shall grant or deny the petition no later than the time at which the final decision in that contested case is issued.

16.10(8) When deemed denied. Failure of the board to grant or deny a petition within the required time period shall be deemed a denial of that petition by the board. However, the board shall remain responsible for issuing an order denying a waiver.

16.10(9) Service of order. Within seven days of its issuance, any order issued under this chapter shall be transmitted to the petitioner or the person to whom the order pertains and to any other person entitled to such notice by any provision of law.

205—16.11(17A) Public availability. All orders granting or denying a waiver petition shall be indexed, filed, and available for public inspection as provided in Iowa Code section 17A.3. Petitions for a waiver and orders granting or denying waiver petitions are public records under Iowa Code chapter 22. Some petitions or orders may contain information the board is authorized or required to keep confidential. The board may accordingly redact confidential information from petitions or orders prior to public inspection.

205—16.12(17A) Summary reports. Semiannually, the board shall prepare a summary report identifying the rules for which a waiver has been granted or denied, the number of times a waiver was granted or denied for each rule, a citation to the statutory provisions implemented by these rules, and a general summary of the reasons justifying the board’s actions on waiver requests. If practicable, the report shall detail the extent to which the granting of a waiver has affected the general applicability of the rule itself. Copies of this report shall be available for public inspection and shall be provided semiannually to the administrative rules coordinator and the administrative rules review committee.

205—16.13(17A) Cancellation of a waiver. A waiver issued by the board pursuant to this chapter may be withdrawn, canceled, or modified if, after appropriate notice and hearing, the board issues an order finding any of the following:

1. The petitioner or the person who was the subject of the waiver order withheld or misrepresented material facts relevant to the propriety or desirability of the waiver; or

2. The alternative means for ensuring that the public health, safety and welfare will be adequately protected after issuance of the waiver order have been demonstrated to be insufficient; or

3. The subject of the waiver order has failed to comply with all conditions contained in the order.

205—16.14(17A) Violations. Violation of a condition in a waiver order shall be treated as a violation of the particular rule for which the waiver was granted. As a result, the recipient of a waiver under this chapter who violates a condition of the waiver may be subject to the same remedies or penalties as a person who violates the rule at issue.

205—16.15(17A) Defense. After the board issues an order granting a waiver, the order is a defense within its terms and the specific facts indicated therein for the person to whom the order pertains in any proceeding in which the rule in question is sought to be invoked.

205—16.16(17A) Judicial review. Judicial review of a board’s decision to grant or deny a waiver petition may be taken in accordance with Iowa Code chapter 17A.

These rules are intended to implement Iowa Code chapter 17A.

Pursuant to the authority of Iowa Code section 543D.5, the Real Estate Appraiser Examining Board gives Notice of Intended Action to amend Chapter 5, “Certified Residential Real Property Appraiser,” Chapter 6, “Certified General Real Property Appraiser,” Chapter 8, “Investigations and Disciplinary Procedures,” and Chapter 11, “Continuing Education,” Iowa Administrative Code.

These proposed amendments allow the Board, under certain conditions, to approve prelicense and continuing education courses that utilize technology–based delivery systems.

The amendments also describe the process under which the Board investigates possible disciplinary violations by licensees, the factors the Board considers in determining whether disciplinary charges are warranted, the grounds under which the Board may close a complaint file, and related procedural provisions.

Any interested person may make written or oral suggestions or comments on these proposed amendments on or before April 9, 2002. Comments should be directed to Susan Griffel, Executive Officer, Iowa Real Estate AppraiserExamining Board, 1918 SE Hulsizer Road, Ankeny, Iowa 50021, fax (515)281–7411, or E–mail to susan.griffel@ comm7.state.ia.us.

These amendments are intended to implement Iowa Code chapters 543D and 272C.

The following amendments are proposed.

ITEM 1. Amend subrule 5.1(1), paragraph “a,” introductory paragraph, and paragraphs “b” and “d,” as follows:

a. Completion of 120 classroom hours of courses in subjects related to real estate appraisal as listed below with particular emphasis on the appraisal of one to four unit residential properties.

b. Credit toward the classroom hour requirements edu–cation requirement may be granted only when the length of the educational offering is at least 15 hours and the individual successfully completes an examination pertinent to that offering.

d. Credit for the classroom hour education requirement may be obtained from the following:

(1) Colleges or universities;

(2) Community or junior colleges;

(3) Real estate appraisal or real estate related organizations;

(4) State or federal agencies or commissions;

(5) Proprietary schools;

(6) Other providers approved by the board.

ITEM 2. Amend subrule 6.1(1), paragraph “a,” introductory paragraph, and paragraphs “d” and “e,” as follows:

a. Completion of 180 classroom hours of courses which may include the 120 classroom hours required for the certified residential real property appraiser classification, in subjects related to real estate appraisal as listed below with particular emphasis on the appraisal of nonresidential properties. Each course credited toward the required number of qualifying education hours should represent a progression through which the appraiser’s knowledge increases.

d. Credit toward the classroom hour requirements edu–cation requirement may be granted only when the length of the educational offering is at least 15 hours and the individual successfully completes an examination pertinent to that offering.

e. Credit for the classroom hour education requirement may be obtained from the following:

(1) Colleges or universities;

(2) Community colleges or junior colleges;

(3) Real estate appraisal or real estate related organizations;

(4) State or federal agencies or commissions;

(5) Proprietary schools;

(6) Other providers approved by the board.

ITEM 3. Rescind rule 193F—8.2(543D) and adopt the following new rule in lieu thereof:

193F—8.2(17A,272C,543D) Initiation of disciplinary investigations. The board may initiate a licensee disciplinary investigation upon the board’s receipt of information suggesting that a licensee may have violated a law or rule enforced by the board which, if true, would constitute grounds for licensee discipline.

ITEM 4. Renumber rule 193F—8.3(543D,272C) as 193F—8.10(543D,272C) and adopt the following new rule 193F—8.3(272C,543D):

193F—8.3(272C,543D) Sources of information. Without limitation, the following nonexclusive list of information sources may form the basis for the initiation of a disciplinary investigation or proceeding:

1. News articles or other media sources.

2. General or random review of publicly available work product.

3. Reports filed with the board by the commissioner of insurance pursuant to Iowa Code subsection 272C.4(9).

4. Complaints filed with the board by any member of the public.

5. License applications or other documents submitted to the board, including appraisal logs and appraisal reports.

6. Reports to the board from any regulatory or law enforcement agency from any jurisdiction.

7. Board audits of licensee compliance with conditions for licensure, such as continuing education or qualifying experience.

ITEM 5. Rescind rule 193F—8.4(543D) and adopt the following new rule 193F—8.4(17A,272C,543D) in lieu thereof:

193F—8.4(17A,272C,543D) Conflict of interest. If the subject of a complaint is a member of the board, or if a member of the board has a conflict of interest in any disciplinary matter before the board, that member shall abstain from participation in any consideration of the complaint and from participation in any disciplinary hearing that may result from the complaint.

ITEM 6. Renumber rules 193F—8.5(543D) and 193F— 8.6(543D) as 193F—8.14(543D,272C) and 193F— 8.15(543D) and adopt new rules 193F—8.5(272C,543D) and 193F—8.6(272C,543D) as follows:

193F—8.5(272C,543D) Complaints. Written complaints may be submitted to the board office by mail, E–mail, facsimile or personal delivery by members of the public, including clients, business organizations, lenders, governmental bodies, licensees, or other individuals or entities with knowledge of possible law or rule violations by licensees.

8.5(1) Contents of a written complaint. Written complaints may be submitted on forms provided by the board which are available from the board office and on the board’s Web site. Written complaints, whether submitted on a board complaint form or in other written media, shall contain the following information:

a. The full name, address, and telephone number of the complainant (person complaining).

b. The full name, address, and telephone number of the respondent (licensee against whom the complaint is filed).

c. A statement of the facts and circumstances giving rise to the complaint, including a description of the alleged acts or omissions which the complainant believes demonstrate that the respondent has violated or is violating laws or rules enforced by the board.

d. If known, citations to the laws or rules allegedly violated by the respondent.

e. Evidentiary supporting documentation.

f. Steps, if any, taken by the complainant to resolve the dispute with the respondent prior to filing a complaint.

8.5(2) Immunity. As provided by Iowa Code section 272C.8, a person shall not be civilly liable as a result of filing a report or complaint with the board unless such act is done with malice, nor shall an employee be dismissed from employment or discriminated against by an employer for filing such a report or complaint.

8.5(3) Role of complainant. The role of the complainant in the disciplinary process is limited to providing the board with factual information relative to the complaint. A complainant is not party to any disciplinary proceeding which may be initiated by the board based in whole or in part on information provided by the complainant.

8.5(4) Role of the board. The board does not act as an arbiter of disputes between private parties, nor does the board initiate disciplinary proceedings to advance the private interest of any person or party. The role of the board in the disciplinary process is to protect the public by investigating complaints and initiating disciplinary proceedings in appropriate cases. The board possesses sole decision–making authority throughout the disciplinary process, including the authority to determine whether a case will be investigated, the manner of the investigation, whether a disciplinary proceeding will be initiated, and the appropriate licensee discipline to be imposed, if any.

8.5(5) Initial complaint screening. All written complaints received by the board shall be initially screened by the board’s executive officer to determine whether the allegations of the complaint fall within the board’s investigatory jurisdiction and whether the facts presented, if true, would constitute a basis for disciplinary action against a licensee. Complaints which are clearly outside the board’s jurisdiction, which clearly do not allege facts upon which disciplinary action would be based, or which are frivolous shall be referred by the board’s executive officer to the board for closure at the next scheduled board meeting. All other complaints shall be referred by the board’s executive officer to the board’s disciplinary committee for committee review as described in subrule 8.8(1).

193F—8.6(272C,543D) Case numbers. Whether based on written complaint received by the board or complaint initiated by the board, all complaint files shall be tracked by a case numbering system. Complaints are assigned case numbers in chronological order with the first two digits representing the year in which the complaint was received or initiated, and the second two digits representing the order in which the case file was opened (e.g., 01–01, 01–02, 01–03, etc.). The board’s executive officer shall maintain a case file log noting the date each case file was opened, whether disciplinary proceedings were initiated in the case, and the final disposition of the case. Once a case file number is assigned to a complaint, all persons communicating with the board regarding that complaint are encouraged to include the case file number to facilitate accurate records and prompt response.

ITEM 7. Adopt new rules 193F—8.7(272C,543D) to 193F—8.9(17A,272C,543D) as follows:

193F—8.7(272C,543D) Confidentiality of complaint and investigative information. All complaint and investigative information received or created by the board is privileged and confidential pursuant to Iowa Code subsection 272C.6(4). Such information shall not be released to any person except as provided in that section.

8.8(1) Disciplinary committee. The board chairperson shall annually appoint two to three members of the board to serve on the board’s disciplinary committee. The disciplinary committee is a purely advisory body which shall review complaint files referred by the board’s executive officer, generally supervise the investigation of complaints, and make recommendations to the full board on the disposition of complaints. Members of the committee shall not personally investigate complaints, but they may review the investigative work product of others in formulating recommendations to the board.

8.8(2) Committee screening of complaints. Upon the referral of a complaint from the board’s executive officer or from the full board, the committee shall determine whether the complaint presents facts which, if true, suggest that alicensee may have violated a law or rule enforced by the board. If the committee concludes that the complaint does not present facts which suggest such a violation or that the complaint does not otherwise constitute an appropriate basis for disciplinary action, the committee shall refer the complaint to the full board with the recommendation that the complaint be closed with no further action. If the committee determines that the complaint does present a credible basis for disciplinary action, the committee may either immediately refer the complaint to the full board recommending that a disciplinary proceeding be commenced or initiate a disciplinary investigation.

8.8(3) Committee procedures. If the committee determines that additional information is necessary or desirable to evaluate the merits of a complaint, the committee may assign an investigator or expert consultant, appoint a peer review committee, provide the licensee an opportunity to appear before the disciplinary committee for an informal discussion as described in rule 193F—8.9(17A,272C,543D) or request board staff to conduct further investigation. Upon completion of an investigation, the investigator, expert consultant, peer review committee or board staff shall present a report to the committee. The committee shall review the report and determine what further action is necessary. The committee may:

a. Request further investigation.

b. Determine there is not probable cause to believe a disciplinary violation has occurred, and refer the case to the full board with the recommendation of closure.

c. Determine there is probable cause to believe that a law or rule enforced by the board has been violated, but that disciplinary action is unwarranted on other grounds, and refer the case to the full board with the recommendation of closure. The committee may also recommend that the licensee be informally cautioned or educated about matters which could form the basis for disciplinary action in the future.

d. Determine there is probable cause to believe a disciplinary violation has occurred, and refer the case to the full board with the recommendation that the board initiate a disciplinary proceeding (contested case).

8.8(4) Subpoena authority. Pursuant to Iowa Code subsections 17A.13(1) and 272C.6(3), the board is authorized in connection with a disciplinary investigation to issue subpoenas to compel witnesses to testify or persons to produce books, papers, records and any other real evidence, whether or not privileged or confidential under law, which the board deems necessary as evidence in connection with a disciplinary proceeding or relevant to the decision about whetherto initiate a disciplinary proceeding. Board proceduresconcerning investigative subpoenas are set forth in 193— Chapter 6.

193F—8.9(17A,272C,543D) Informal discussion. If the disciplinary committee considers it advisable, or if requested by the affected licensee, the committee may grant the licensee an opportunity to appear before the committee for a voluntary informal discussion of the facts and circumstances of an alleged violation, subject to the provisions of this rule.

8.9(1) An informal discussion is intended to provide a licensee an opportunity to share in an informal setting the licensee’s side of a complaint before the board determines whether probable cause exists to initiate a disciplinary proceeding. Licensees are not required to attend an informal discussion. Because disciplinary investigations are confidential, licensees may not bring other persons with them to an informal discussion, but licensees may be represented by legal counsel.

8.9(2) Unless disqualification is waived by the licensee, board members or staff who personally investigate a disciplinary complaint are disqualified from making decisions or assisting the decision makers at a later formal hearing. Because board members generally rely upon investigators, peer review committees, or expert consultants to conduct investigations, the issue rarely arises. An informal discussion, however, is a form of investigation because it is conducted in a question and answer format. In order to preserve the ability of all board members to participate in board decision making and to receive the advice of staff, licensees who desire to attend an informal discussion must therefore waive their right to seek disqualification of a board member or staff based solely on the board member’s or staff’s participation in an informal discussion. Licensees would not be waiving their right to seek disqualification on any other ground. By electing to attend an informal discussion, a licensee accordingly agrees that participating board members or staff are not disqualified from acting as a presiding officer in a later contested case proceeding or from advising the decision maker.

8.9(3) 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.

8.9(4) The disciplinary committee, subject to board approval, may propose a consent order at the time of the informal discussion. If the licensee agrees to a consent order, a statement of charges shall be filed simultaneously with the consent order, as provided in rule 193—7.4(17A,272C).

ITEM 8. Adopt new rules 193F—8.11(17A,272C,543D) to 193F—8.13(17A,272C,543D) as follows:

8.11(1) Grounds for closing. Upon the recommendation of the executive officer, the recommendation of the disciplinary committee, or on its own motion, the board may close a complaint file, with or without prior investigation. Given the broad scope of matters about which members of the public may complain, it is not possible to catalog all possible reasons why the board may close a complaint file. The following nonexclusive list is, however, illustrative of the grounds upon which the board may close a complaint file:

a. The complaint alleges matters outside the board’s jurisdiction.

b. The complaint does not allege a reasonable or credible basis to believe that the subject of the complaint violated a law or rule enforced by the board.

c. The complaint is frivolous or trivial.

d. The complaint alleges matters more appropriately resolved in a different forum, such as civil litigation to resolve a contract dispute, or more appropriately addressed by alternative procedures, such as outreach education or rule making.

e. The matters raised in the complaint are situational, isolated, or unrepresentative of a licensee’s typical practice, and the licensee has taken appropriate steps to ensure future compliance and prevent public injury.

f. Resources are unavailable or better directed to other complaints or board initiatives in light of the board’s overall budget and mission.

g. While the evidence may reveal one or more appraisal standards about which the appraiser should be more vigilant in the future, the issues appear correctable, are not likely to recur with proper diligence in the development and reporting of future appraisals, and do not reveal impediments to competent practice in the future.

h. Other extenuating factors exist which weigh against the imposition of public discipline when considered in the context of the board’s purpose and mission.

8.11(2) Indexed orders. The board’s executive officer shall enter an order stating the basis for the board’s decision to close a complaint file. The order shall not contain the identity of the complainant or the respondent, and shall not disclose confidential complaint or investigative information. The orders shall be indexed by case number and shall be a public record pursuant to Iowa Code subsection 17.3(1)“d.” A copy of the order shall be mailed to the complainant, if any, and to the respondent.

8.11(3) Cautionary letters. The board may issue a confidential letter of caution to a licensee when a complaint file is closed which informally cautions or educates the licensee about matters which could form the basis for disciplinary action in the future if corrective action is not taken by the licensee. Informal cautionary letters do not constitute disciplinary action, but the board may take such letters into consideration in the future if a licensee continues a practice about which the licensee has been cautioned.

8.11(4) Reopening closed complaint files. The board may reopen a closed complaint file if additional information arises after closure which provides a basis to reassess the merits of the initial complaint.