Pages 201 to 311 include ARC 0005B to ARC 0054B

Notice, Interest in a retail establishment, 16.2
ARC 0036B 201

Schedule for rule making 192

Publication procedures 193

Administrative rules on CD–ROM 193

Agency identification numbers 199

CITATION OF ADMINISTRATIVE RULES 198

Notice, Accelerated career education grant
program, ch 19 ARC 0049B 202

Notice, Approval of postsecondary schools,
ch 21 ARC 0050B 203

Notice, North central correctional facility,
ch 26 ARC 0042B 203

Filed, Visits to offenders, 20.3 ARC 0041B 291

Notice, Registration of dental assistants,
amendments to chs 1, 6, 10, 14, 15, 21,
22, 25, 27, 30 to 34 ARC 0039B 204

Notice, Dental assistants, ch 20 ARC 0038B 213

Filed, Standards of practice and principles of
professional ethics; patient acceptance;
record keeping, 27.2, 27.11 ARC 0037B 294

Notice, Accelerated career education
(ACE) program, ch 20 ARC 0035B 216

Notice, Rural resource coordination programs
for fire services, ch 42 ARC 0031B 216

Notice, VAAPFAP loan guarantee; loan
or grant funds, 57.2, 57.6 ARC 0032B 218

Filed Emergency, Accelerated career education
(ACE) program, ch 20 ARC 0034B 279

Filed Emergency After Notice, Housing fund,
25.5 ARC 0033B 282

Filed, Iowa senior living program—home–
and community–based services for seniors,
ch 28 ARC 0027B 295

Filed, Organization, 1.1, 1.2 ARC 0018B 295

Filed, Agency procedures; Iowa emergency
plan, chs 2 to 6, 9 ARC 0020B 297

Filed, Local emergency management, ch 7
ARC 0019B 297

Filed, Criteria for awards or grants, ch 8
ARC 0017B 303

Notice, Fee refunds for storm water
general permit coverage—pilot project,
64.16(4) ARC 0052B 218

Filed Emergency, Fee refunds for storm water
general permit coverage—pilot project,
64.16(4) ARC 0051B 283

Notice, Public records and fair information
practices, 2.13, 2.14(5) ARC 0021B 219

Notice, Reimbursement rate—SSA residential
care facilities and in–home health related care,
52.1(3), 177.4 ARC 0008B 220

Filed, Applying county institutional credit
balances, 28.13 ARC 0007B 304

Filed Emergency, Reimbursement rate—
SSA residential care facilities and in–home
health related care, 52.1(3), 177.4
ARC 0009B 284

Filed, Child support guidelines and criteria,
99.2, 99.4(5) ARC 0010B 305

Filed, Child support parental obligation
pilot projects, ch 100 ARC 0011B 306

Notice, Hospitals, 51.5(1) ARC 0040B 220

Notice Terminated, Freedom of choice of
physician and pharmacy, 57.19(1), 58.51
ARC 0016B 220

Filed Emergency After Notice, Low–income
housing tax credits, 1.9, 9.29, 9.30, ch 12
ARC 0013B 284

Filed, Waivers and variances from
administrative rules, 1.101 to 1.109
ARC 0030B 307

Filed Emergency, Electronic license sales; child
support noncompliance, 15.1, 15.6(9), 15.12
ARC 0053B 286

Filed, Ginseng dealers, 78.3(2), 78.4, 78.5
ARC 0054B 308

Notice Terminated, Waivers and variances from
rules, 1.3, 3.4, 4.6(1), 6.3 to 6.5, 7.3, 7.4,
15.2 to 15.4, 16.5, 16.6, 19.6, ch 34
ARC 0015B 221

Filed Emergency, Controlled substances, 10.20
ARC 0014B 288

Notice, Waivers or variances from administrative
rules, ch 18 ARC 0043B 221

Notice, Lead professional certification,
amendments to ch 70 ARC 0012B 223

Summarized list 194

Notice, Thoroughbred and quarter horse racing,
8.3(12), ch 10 ARC 0029B 236

Filed, General, adopt chs 1, 5; amend chs 4, 7, 9, 10,
13, 22, 24, 26; rescind chs 6, 20, 21, 25
ARC 0028B 309

Notice, Voluntary disclosure program, ch 3
ARC 0045B 255

Notice, Multilevel marketer agreements, ch 4
ARC 0047B 258

Notice, Freight, other transportation charges,
and exclusions, 15.13 ARC 0046B 260

Notice, Residential and commercial real estate;
property tax exemption—barns and one–room
schoolhouses, 71.1, 74.6, 80.15
ARC 0044B 261

Notice, Cigarette tax, 81.12(1), 82.1(7)
ARC 0048B 263

Notice, “Vote here” signs, 21.8 ARC 0022B 264

Notice, Licensure standards for substance abuse
treatment programs, amendments to ch 3
ARC 0026B 264

Filed, Lighting on freeways, 150.2(3)
ARC 0024B 310

Filed, Zoning—applicants for dealer’s or used
vehicle wholesaler’s licenses, 425.10(6),
425.52(1) ARC 0023B 310

Filed Emergency After Notice, Fees for driver’s
licenses; waiver or refund of license fees—
pilot project, 602.3, 605.9, 605.10, 630.2(6)
ARC 0025B 288

Notice 277

Notice of amendment to procedural schedule in
notice and comment proceeding 277

Notice, New employment opportunities fund,
ch 13 ARC 0005B 277

Filed Emergency, New employment
opportunities fund, ch 13 ARC 0006B 289

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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KATHLEEN K. BATES, Administrative Code Editor Telephone: (515)281–3355

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Fax: (515)281–4424

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

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

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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 processing of rule–making documents, we request a 3.5” High Density (not Double Density) IBM PC–compatible diskette of the rule making. Please indicate on each diskette the following information: agency name, file name, format used for exporting, and chapter(s) amended. Diskettes may be delivered to the Administrative Code Division, 1st Floor, Lucas State Office Building or included with the documents submitted to the Governor’s Administrative Rules Coordinator.

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Please note that changes made prior to publication of the rule–making documents are reflected on the hard copy returned to agencies by the Governor’s office, but not on the diskettes; diskettes are returned unchanged.

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Containing: Iowa Administrative Code (updated through December 1999)
Iowa Administrative Bulletins (July 1999 through December 1999)
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For free brochures and order forms contact:

Legislative Service Bureau
Attn: Ms. Stephanie Cox
State Capitol
Des Moines, Iowa 50319
Telephone: (515)281–3566 Fax: (515)281–8027
lsbinfo@legis.state.ia.us

To All Agencies:

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

CITATION of Administrative Rules

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

441 IAC 79 (Chapter)

441 IAC 79.1(249A) (Rule)

441 IAC 79.1(1) (Subrule)

441 IAC 79.1(1)“a” (Paragraph)

441 IAC 79.1(1)“a”(1) (Subparagraph)

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

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

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

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

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

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

The following list will be updated as changes occur:

AGRICULTURE AND LAND STEWARDSHIP DEPARTMENT[21]

Agricultural Development Authority[25]

Soil Conservation Division[27]

ATTORNEY GENERAL[61]

AUDITOR OF STATE[81]

CITIZENS’ AIDE[141]

CIVIL RIGHTS COMMISSION[161]

COMMERCE DEPARTMENT[181]

Alcoholic Beverages Division[185]

Banking Division[187]

Credit Union Division[189]

Insurance Division[191]

Professional Licensing and Regulation Division[193]

Accountancy Examining Board[193A]

Architectural Examining Board[193B]

Engineering and Land Surveying Examining Board[193C]

Landscape Architectural Examining Board[193D]

Real Estate Commission[193E]

Real Estate Appraiser Examining Board[193F]

Savings and Loan Division[197]

Utilities Division[199]

CORRECTIONS DEPARTMENT[201]

Parole Board[205]

CULTURAL AFFAIRS DEPARTMENT[221]

Arts Division[222]

Historical Division[223]

ECONOMIC DEVELOPMENT, IOWA DEPARTMENT OF[261]

City Development Board[263]

Iowa Finance Authority[265]

EDUCATION DEPARTMENT[281]

Educational Examiners Board[282]

College Student Aid Commission[283]

Higher Education Loan Authority[284]

Iowa Advance Funding Authority[285]

Libraries and Information Services Division[286]

Public Broadcasting Division[288]

School Budget Review Committee[289]

ELDER AFFAIRS DEPARTMENT[321]

EXECUTIVE COUNCIL[361]

GENERAL SERVICES DEPARTMENT[401]

HUMAN RIGHTS DEPARTMENT[421]

Community Action Agencies Division[427]

Criminal and Juvenile Justice Planning Division[428]

Deaf Services Division[429]

Persons With Disabilities Division[431]

Latino Affairs Division[433]

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

Status of Women Division[435]

HUMAN SERVICES DEPARTMENT[441]

INSPECTIONS AND APPEALS DEPARTMENT[481]

Employment Appeal Board[486]

Foster Care Review Board[489]

Racing and Gaming Commission[491]

State Public Defender[493]

LAW ENFORCEMENT ACADEMY[501]

MANAGEMENT DEPARTMENT[541]

Appeal Board, State[543]

City Finance Committee[545]

County Finance Committee[547]

NATURAL RESOURCES DEPARTMENT[561]

Energy and Geological Resources Division[565]

Environmental Protection Commission[567]

Natural Resource Commission[571]

Preserves, State Advisory Board[575]

PERSONNEL DEPARTMENT[581]

PUBLIC DEFENSE DEPARTMENT[601]

Emergency Management Division[605]

Military Division[611]

PUBLIC EMPLOYMENT RELATIONS BOARD[621]

PUBLIC HEALTH DEPARTMENT[641]

Substance Abuse Commission[643]

Professional Licensure Division[645]

Dental Examiners Board[650]

Medical Examiners Board[653]

Nursing Board[655]

Pharmacy Examiners Board[657]

PUBLIC SAFETY DEPARTMENT[661]

REGENTS BOARD[681]

Archaeologist[685]

REVENUE AND FINANCE DEPARTMENT[701]

Lottery Division[705]

SECRETARY OF STATE[721]

TRANSPORTATION DEPARTMENT[761]

Railway Finance Authority[765]

TREASURER OF STATE[781]

WORKFORCE DEVELOPMENT DEPARTMENT[871]

Labor Services Division[875]

Workers’ Compensation Division[876]

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

Pursuant to the authority of Iowa Code sections 123.21 and 123.186, the Alcoholic Beverages Division of the Iowa Department of Commerce hereby gives Notice of Intended Action to amend Chapter 16, “Trade Practices,” Iowa Administrative Code.

The Alcoholic Beverages Division of the Iowa Department of Commerce is considering a rule to interpret statutory language in Iowa Code section 123.45. Under this statute, a person engaged in the business of manufacturing, bottling, or wholesaling alcoholic beverages, wine, or beer, shall not, directly or indirectly, be interested in the ownership, conduct, or operation of the business of another licensee or permittee authorized under Iowa Code chapter 123 to sell at retail or hold a retail liquor control license or retail wine or beer permit.

In 1995, the office of the Attorney General issued an advice letter to the Alcoholic Beverages Division and analyzed this statutory language as prohibiting any holdings or subsidiaries of Bass Ale, a brewer, bottler and importer of alcoholic beverages, from obtaining a permit or license to operate an Iowa retail establishment. Over the past five years, numerous jurisdictions have examined this issue under similar statutory provisions and concluded that the corporate connection of a manufacturer, bottler, or wholesaler may be so remote that rigid application of the statutory prohibition to an applicant for a license or permit is unreasonable. At least 13 states have reviewed their tied house laws and concluded that an industry member may have a corporate connection to a retail establishment that is sufficiently remote so as not to constitute either a direct or indirect interest in the retail outlet. The states that have permitted these arrangements have established conditions similar to those set forth in the proposed rule. Accordingly, the Alcoholic Beverages Division, with the advice of the Attorney General’s office, is undertaking this rule making to examine whether a rule should be adopted in Iowa to define “interest” more narrowly and exclude remote corporate connections that do not affect the retail business directly or indirectly.

The proposed rule set forth in the Notice of Intended Action is a draft which may be significantly amended through the rule–making process. The Alcoholic Beverages Division will examine factors that should be considered in determining whether the corporate connection of an industry member is sufficiently remote to exclude it from the statutory prohibition. The factors may include matters not expressly reflected in this proposed rule. The Division intends to seek input from industry members in addition to public comment through the rule–making procedures required by Iowa Code section 17A.4.

There will be a public hearing on the proposed amendment at 2 p.m., August 29, 2000, in the Commerce Board Room, Alcoholic Beverages Division, 1918 S.E. Hulsizer Road, Ankeny, Iowa 50021. Persons may present their views at the public hearing orally or in writing. Persons who wish to make oral presentations at the public hearing should contact the Alcoholic Beverages Division by telephone at (515) 281–7407 or by fax at (515)281–7385 no later than 4:30 p.m. on Monday, August 28, 2000.

Any interested person may make written suggestions or comments on the proposed amendment on or before Tuesday, August 29, 2000. Written comments should be addressed to Lynn M. Walding, Administrator, at the above address, faxed to (515)281–7385, or E–mailed to Walding@IowaABD.com.

This amendment is intended to implement Iowa Code sections 123.45 and 123.186.

The following amendment is proposed.

Amend rule 185—16.2(123) as follows:

16.2(1) An industry member is prohibited, directly or indirectly, from:

1. a. Acquiring or holding a partial or complete ownership interest in a retail establishment.

2. b. Acquiring or holding an interest in the real or personal property owned, occupied or used by the retailer in the conduct of the retail establishment.

3. c. Acquiring a mortgage on the real or personal property owned by the retailer.

4. d. Guaranteeing any loan or paying a financial obligation of the retailer, including, but not limited to, personal loans, home mortgages, car loans, operating capital obligations, or utilities.

5. e. Providing financial, legal, administrative or other assistance to a retailer to obtain a license or permit.

This rule is intended to implement Iowa Code sections 123.45 and 123.186.

Pursuant to the authority of Iowa Code sections 261.3 and 261.37(5) and 2000 Iowa Acts, Senate File 2439, section 8, the College Student Aid Commission proposes to adopt a new Chapter 19, “Accelerated Career Education Grant Program,” Iowa Administrative Code.

The new chapter provides a rule for administering the Accelerated Career Education Grant Program established by the Legislature in 2000 Iowa Acts, Senate File 2439.

Interested persons may submit comments orally or in writing to the Executive Director, College Student Aid Commission, 200 Tenth Street, Fourth Floor, Des Moines, Iowa 50309; telephone (515)242–3344, by 4:30 p.m. August 29, 2000.

This rule is intended to implement 2000 Iowa Acts, Senate File 2439, section 8.

The following new chapter is proposed.

CHAPTER 19
ACCELERATED CAREER EDUCATION
GRANT PROGRAM

283—19.1(261) ACE grants. Educational grants based on financial need may be awarded to Iowa residents enrolled in accelerated career education (ACE) programs at Iowa community colleges.

19.1(1) Student financial need.

a. Financial need shall be evaluated annually on the basis of a confidential financial statement, filed on forms designated by the commission, which must be received by the processing agency by the priority date specified in the application instructions.

b. Financial need is defined as the difference between total program expenses at the community college the student plans to attend and the estimated amount of family resources available for college, as determined by the commission. Need determination will include evaluation of all student financial aid received by the student including, but not limited to, federal Pell Grants, Iowa vocational–technical tuition grants, and institutional awards.

19.1(2) Student eligibility.

a. A recipient must be an Iowa resident. The criteria used by the state board of regents to determine residency for tuition purposes, 681—1.4(262), are adopted for this program.

b. A recipient must be enrolled in an accelerated career education program leading to a certificate, diploma, associate of science degree, or associate of applied science degree and in accordance with the provisions of Iowa Code chapter 260G.

c. A recipient must be a full–time student as defined by the college unless the financial aid administrator recommends an award to a part–time student based on extenuating circumstances.

d. A recipient may receive moneys under this program for not more than 150 percent of the length of time required for a full–time student to complete the accelerated career education program.

e. A recipient must meet and maintain the academic eligibility requirements established by the community college.

f. A recipient may receive no more than the amount specified by Iowa law or the amount of the student’s established financial need, whichever is less.

19.1(3) Priority for grants. Industries and occupations with high levels of shortages of workers based on the level of statewide need for skills and occupations will be identified by the Iowa department of economic development and the workforce development department. The commission will award grants based on the level of need for the identified skills and occupations for which technical workers are in the highest demand as defined by the Iowa department of economic development and the workforce development department.

Applicants who apply by the priority date specified in the application and who are enrolled in designated educational programs will be ranked in order of need, and awards will be granted to those who demonstrate need from highest need to lowest need, insofar as funds permit.

19.1(4) Award notification. Grant recipients will be notified of the awards by community college officials. Community college officials are responsible for verifying eligibility and coordinating other aid to ensure compliance with student eligibility requirements and allowable award amounts. Community college officials will report changes of student eligibility to the commission.

19.1(5) Maximum annual award. For purposes of this program, a student must be enrolled four quarters or two semesters plus a summer session to receive the maximum annual award.

19.1(6) Award transfers and adjustments. Recipients are responsible for promptly notifying the appropriate community college officials of changes in enrollment or financial situation. Community college officials will make necessary changes and notify the commission.

19.1(7) Restrictions. A student who is in default ona Stafford Loan, SLS Loan, or a Perkins/National Direct/National Defense Student Loan or who owes a repayment on any Title IV grant assistance or state award shall be ineligible for accelerated career education grants. Eligibility for state aid may be reinstated upon payment in full of the delinquent obligation or by commission ruling on the basis of adequate extenuating evidence presented in an appeal under the procedures set forth in 283—Chapter 5.

This rule is intended to implement 2000 Iowa Acts, Senate File 2439, section 8.

Pursuant to the authority of Iowa Code section 261.3, the College Student Aid Commission proposes to adopt new Chapter 21, “Approval of Postsecondary Schools,” Iowa Administrative Code.

The new chapter provides rules for the approval of postsecondary schools seeking to register with the Secretary of State.

Interested persons may submit comments orally or in writing to the Executive Director, College Student Aid Commission, 200 Tenth Street, Fourth Floor, Des Moines, Iowa 50309; telephone (515)242–3344, by 4:30 p.m. on August 29, 2000.

This rule is intended to implement Iowa Code chapter 261B as amended by 2000 Iowa Acts, Senate File 2248.

The following new chapter is proposed:

CHAPTER 21
APPROVAL OF POSTSECONDARY SCHOOLS

283—21.1(78GA,SF2248) Approval criteria. The college student aid commission shall approve applicant schools that:

1. Are accredited by an agency recognized by the United States Department of Education or its successor agency.

2. Are approved for operation by the appropriate state agencies in all other states in which the school operates or maintains a presence.

3. Are not subject to a limitation, suspension or termination order issued by the United States Department of Education.

4. Are free of sanctions from the school’s accrediting agencies and appropriate state agencies in all other states in which the school operates or maintains a presence.

5. Enroll students in Iowa or employ an Iowa faculty.

6. Comply with Iowa Code section 261B.7 limiting the use of references to the secretary of state, state of Iowa, or college student aid commission in promotional material.

7. Comply with the requirements of Iowa Code section 261.9(1)“e” to “h.”

8. File annual reports that the commission requires from all Iowa colleges and universities.

This rule is intended to implement Iowa Code chapter 261B as amended by 2000 Iowa Acts, Senate File 2248.

Pursuant to the authority of Iowa Code section 904.108, the Department of Corrections gives Notice of Intended Action to amend Chapter 26, “North Central Correctional Facility,” Iowa Administrative Code.

These rules provide for the days and hours of visits, tours, and offender trips.

Any interested person may make written suggestions or comments on the proposed amendments on or before August 29, 2000. Such written materials should be sent to the Director of Policy and Legal Services, Corrections Department, 420 Keo Way, Des Moines, Iowa 50309.

There will be a public hearing on August 29, 2000, from11 a.m. to 1 p.m. in the Second Floor Conference Room, 420 Keo Way, Des Moines, Iowa 50309, at which time persons may present their views either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendments.

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

These rules are intended to implement Iowa Code section 904.512.

The following amendments are proposed.

Amend 201—Chapter 26 as follows:

CHAPTER 26
NORTH CENTRAL CORRECTIONAL FACILITY

26.1(1) Visiting hours are from 8:30 a.m. to 3:30 7:30 p.m. on Saturday, and Sunday and Monday., 8:30 a.m. to 3:30 p.m. on Monday, 12:30 p.m. to 7:30 p.m. on Friday. on Thursday and Friday visiting hours are from 12:30 p.m. to 7:30 p.m. There is no visiting on Tuesday, and Wednesday, and Thursday unless a recognized state holiday falls on either of these days, and then the visiting hours shall be 8:30 a.m. to 3:30 p.m.

26.1(2) Visitors are authorized to bring in only the following items to a visit: one small change purse, wallet or billfold, as long as it does not contain paper money; coin money for the purpose of purchasing items from the vending machines; and, when applicable, one baby bottle, one jar of baby food, three baby diapers, one carrying bag, and one infant seat. Tobacco products are not allowed in the visiting room as smoking is not permitted at any time.

26.1(3) Visitors shall not give any article to inmates offenders during a visit. This does not apply to purchases from the vending machines which must be consumed during the visit.

26.1(4) Visitors may leave money for inmates offenders at the facility’s business office during normal business hours.

26.1(5) Inmates Offenders are permitted three–hour visits on Saturday, Sunday, and recognized state holidays, and four–hour visits are permitted on Monday, Thursday, and Friday. Visits may be extended at the discretion of the warden when visitors are from great distances or when they are only able to make rare visits or in cases when an inmate offender is in need of comfort during a time of personal or family crisis. Visits may be temporarily modified, suspended, or terminated by the warden due to a disturbance, riot, fire, labor dispute, natural disaster, or other emergency; and visits may be temporarily modified or terminated by the shift supervisor due to disruptive conduct by the inmate offender or visitor or due to space restrictions in the visiting room.

26.1(6) Inmates Offenders are permitted eight visits per month from each approved person on the inmate’s offender’s visiting list.

26.1(7) A maximum of five persons may visit one inmate offender at a time.

26.1(8) A maximum of two inmates offenders may be visited by a visitor at a time provided both inmates offenders are members of the visitor’s immediate family.

26.1(9) Visits with attorneys or chaplains shall be conducted during normal business hours unless previously approved by the warden.

26.1(10) Inmates Offenders in administrative segregation and disciplinary detention may have their visits modified as to length of time and location depending on the conduct which caused placement in that status.

26.2(1) Tours of the facility are classified as either regular or official tours. A regular tour is given to persons with a genuine interest in corrections and for whom the tour might prove to be beneficial or enlightening, such as students, representatives of the criminal justice system, and probationers under the jurisdiction of the department of corrections or the judicial system. An official tour is given to persons directly related to the operation of the facility such as legislators and the board of corrections.

26.2(2) Sightseeing tours to the general public shall not be allowed unless approved by the warden for specific reasons.

26.2(3) Regular tours shall be conducted on Tuesday and Wednesday between the hours of 9 a.m. and 3 p.m., while official tours shall be conducted during the daytime or evening hours on a day scheduled by the warden.

26.2(4) Minimum age for regular tours is 12 years of age.

26.2(5) Tour groups larger than 30 persons, excluding nonstaff sponsors, shall not be allowed.

26.2(6) Prior approval from the warden is required for relatives or close friends of inmates offenders to tour the facility.

201—26.3(904) Inmate Offender trips. An outside group wishing to have an inmate offender from one of the facility’s approved organizations visit it shall send a written request to the warden. Trips are limited to a 100–mile radius from the facility.

These rules are intended to implement Iowa Code section 904.512.

Pursuant to the authority of Iowa Code section 147.76 and 2000 Iowa Acts, House File 686, the Board of Dental Examiners hereby gives Notice of Intended Action to amend Chapter 1, “Definitions”; Chapter 6, “Public Records and Fair Information Practices”; Chapter 10, “General”; Chapter 14, “Renewal”; Chapter 15, “Fees”; Chapter 21, “Dental Laboratory Technician”; Chapter 22, “Minimum Training Standards for Dental Assistants Engaging in Dental Radiography”; Chapter 25, “Continuing Education”; Chapter 27, “Principles of Professional Ethics”; Chapter 30, “Discipline”; Chapter 31, “Complaints and Investigations”; Chapter 32, “Mediation of Disputes”; Chapter 33, “Child Support Noncompliance”; and Chapter 34, “Student Loan Default/Noncompliance with Agreement for Payment of Obligation,” Iowa Administrative Code.

These amendments implement 2000 Iowa Acts, House File 686, which requires the Board to establish procedures for the registration, renewal, and revocation or suspension of dental assistants. These amendments update Board rules to include references to dental assistant registration or registrants, add a new definition of “coronal polish,” and establish fees for registration of dental assistants. Item 19 of the amendments also establishes two additional grounds for discipline for all licensees and registrants: practicing beyond training or delegating acts that are beyond the training and education of licensees or registrants.

The rules do not provide for waivers in specific circumstances as the amendments only update the rules to add the new category of dental assistant registrants to existing Board rules.

Any interested person may make written comments or suggestions on the proposed amendments on or before August 29, 2000. Such written comments should be directed to Jennifer Hart, Agency Rules Administrator, Board of Dental Examiners, 400 SW 8th Street, Suite D, Des Moines, Iowa 50309–4687. E–mail may also be sent to jhart@ bon.state.ia.us.

Also, there will be a public hearing on August 29, 2000, from 3 to 4 p.m. in the Board of Dental Examiners Conference Room, 400 SW 8th Street, Suite D, Des Moines, Iowa. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendments. Any person who plans to attend the public hearing and who may have special requirements, such as hearing or mobility impairments, should contact the Board and advise of specific needs.

These amendments were approved at the July 20, 2000, regular meeting of the Board of Dental Examiners.

These amendments are intended to implement Iowa Code chapters 17A, 147, 153, and 272C and 2000 Iowa Acts, House File 686.

The following amendments are proposed.

ITEM 1. Amend rule 650—1.1(153) as follows:

Adopt the following new definition in alphabetical order:

“Coronal polishing” means coronal polish is an adjunctive procedure that must also include removal of any calculus, if present, by a dentist or dental hygienist. “Coronal polishing” of teeth using only a rotary instrument and a rubber cup or brush for such purpose, when performed at the direction of and under the supervision of a licensed dentist, is deemed not to be the giving of prophylactic treatment.

Amend the following definition:

“Inactive status” means the status of a practitioner licensed or registered pursuant to Iowa Code chapter 153 in the state of Iowa to practice dentistry or dental hygiene who is not currently engaged in the practice of dentistry, or dental hygiene, or dental assisting in the state of Iowa and who has obtained a certificate of exemption from compliance with the requirements for continuing dental education.

ITEM 2. Amend subrule 6.13(2), paragraphs “b” to “e,” as follows:

b. Prior to initiation of a contested case, all complaint files, investigation files, other investigation reports, and other investigative information in the possession of the board or its employees or agents which relates to licensee or registrant discipline. (Iowa Code section 272C.6(4))

c. Criminal history, prior misconduct or investigative information relating to an applicant for licensure or registration. (Iowa Code section 147.21(1))

d. Information relating to results of an examination for licensure, registration, or certification other than final score except for information about results of an examination which is given to the person who took the examination. (Iowa Code section 147.21(3))

e. Information relating to the contents of an examination for licensure, registration, or certification. (Iowa Code section 147.21(2))

ITEM 3. Amend subrules 6.14(2) and 6.14(4) to 6.14(8) as follows:

6.14(2) Information in complaint, compliance, and investigative files maintained by the board for the purposes of licensee discipline. This information is collected pursuant to Iowa Code sections 153.33, 272C.3, and 272C.9. This information is stored on paper only. This information is required to be kept confidential pursuant to Iowa Code section 272C.6(4). However, information may be released to the licensee or registrant once a disciplinary proceeding is commenced by the filing of formal charges and the notice of hearing.

6.14(4) Continuing dental and dental hygiene education records. These records contain educational information about licensees persons registered or licensed by the board. This information is collected pursuant to the authority granted in Iowa Code section 272C.2. This information is stored on paper only.

6.14(5) Sponsors of continuing dental and dental hygiene education. These records contain information concerning continuing education sponsors, annual reports, recertification forms, courses, and attendance sheets. This information is collected pursuant to Iowa Code section 272C.2. This information is stored on paper only.

6.14(6) Application records. These records contain information about applicants which may include name, address, telephone number, social security number, place of birth, date of birth, education, certifications, examinations with scores, character references, fingerprints, diplomas and any additional information the board may request. This information is collected by the board pursuant to Iowa Code sections 147.2, 153.21, 153.22, and 153.37 and 2000 Iowa Acts, House File 686. This information is stored on paper only. The personal information contained in these records may be confidential in whole or in part pursuant to Iowa Code sections 147.21(1) to 147.21(3), 22.7(1), and 22.7(19) or other provisions of law.

6.14(7) Examination records. These records contain examination information and scores for any of the following examinations: Joint Commission on National Dental Examinations; Joint Commission on National Dental Hygiene Examinations; Central Regional Dental Testing Service, Inc. examinations; Iowa jurisprudence examinations; state radiography examinations; state dental examinations; state dental hygiene examinations; and state dental assistant registration examinations. This information is collected by the board pursuant to Iowa Code sections 147.21 and 147.34. This information is stored on paper only. The information contained in these records is confidential in part pursuant to Iowa Code sections 147.21(2), 147.21(3), 22.7(1), and 22.7(19).

6.14(8) Licensure, registration, permit or certificationrecords. These records contain information about currently, previously, or reinstated licensed dentists, dental hygienists, and dental assistants issued certificates of qualification in dental radiography. This information includes name of license, registration, permit or certificate holder, license, registration, permit or certificate number, date issued, current renewal status and current address. This information is collected by the board pursuant to the authority granted in Iowa Code sections 136C.2, 147.2, 147.10, 153.22, 153.23, and 153.30. This information is stored on paper, in automated data processing systems, on microfiche, or in the state archives.

ITEM 4. Amend rules 650—10.1(153) and 650— 10.2(153) as follows:

650—10.1(153) Licensed or registered personnel. Persons engaged in the practice of dentistry in Iowa must be licensed by the board as a dentist, and persons performing services under Iowa Code section 153.15, must be licensed by the board as a dental hygienist. Persons engaged in the practice of dental assisting must be registered by the board pursuant to 650—Chapter 20*.

This rule is intended to implement Iowa Code sections 147.2 and 153.17.

650—10.2(153) Display of license, registration, and license renewal. The license to practice dentistry or dental hygiene or the registration as a dental assistant and the current license renewal must be prominently displayed by the licensee or registrant at the principal office of employment.

10.2(1) Additional license or registration certificates shall be obtained from the board whenever a licensee or registrant practices at more than one address. If more than two additional certificates are requested, explanation must be made in writing to the board and the appropriate fee must be paid.

10.2(2) Duplicate licenses or certificates of registration shall be issued by the board upon satisfactory proof of loss or destruction of the original license or certificate of registration.

This rule is intended to implement Iowa Code sections 147.7, 147.10 and 147.80(17).

ITEM 5. Amend rules 650—14.3(153) and 650— 14.5(153) as follows:

practice dentistry or dental hygiene or of registration as a dental assistant. The board may refuse to renew, after proper notice and hearing, a license or registration on the following grounds:

14.3(1) Violation of Iowa Code chapter 147 or 153 during the term of the last license or registration or renewal of license or registration.

14.3(2) Commission of any acts of unprofessional conduct during the term of the last license or registration or renewal of license or registration.

14.3(3) Failure to obtain required continuing education.

This rule is intended to implement Iowa Code section 153.23 and chapter 272C.

650—14.5(153) Reinstatement of a lapsed license or registration. Application for reinstatement of a lapsed license or registration does not preclude the board from taking other disciplinary action as provided in this chapter.

14.5(1) Licensees A licensee or a registrant who allow their allows a license or registration to lapse by failing to renew such license may be reinstated at the discretion of the board by submitting the following:

a. A completed application for reinstatement of a lapsed license to practice dentistry or dental hygiene or application for reinstatement of a lapsed registration. The reinstatement fee of $150 shall accompany the application.

b. and c. No change.

d. Other A list of other states in which licensed or registered and the identifying number of each license or registration.

e. Character references from persons who are not licensed or registered in the profession concerned and such other information as the board may require to evaluate the applicant.

f. Reasons for seeking reinstatement and why license or registration was not maintained.

g. No change.

h. Evidence of completion of a total of 15 hours of continuing education for each lapsed year or part thereof in accordance with 650—Chapter 25. Dental assistants shall be required to submit evidence of completion of a total of 10 hours of continuing education for each lapsed year or part thereof in accordance with 650—20.12(153,78GA,HF686).

i. If licensed or registered in another state, the licensee or registrant shall provide certification by the state board of dentistry or equivalent authority of such state that the licen–see or registrant has not been the subject of final or pending disciplinary action.

j. Statement as to any investigations, claims, complaints, judgments or settlements made with respect to the licensee arising out of the alleged negligence or malpractice in rendering professional services as a dentist, or dental hygienist, or dental assistant.

14.5(2) The board may require a licensee or registrant applying for reinstatement to successfully complete an examination designated by the board prior to reinstatement if necessary to ensure the licensee or registrant is able to practice dentistry or dental hygiene the licensee’s or registrant’s respective profession with reasonable skill and safety.

14.5(3) When the board finds that a practitioner applying for reinstatement is or has been subject to disciplinary action taken against a license or registration held by the applicant in another state of the United States, District of Columbia, or territory, and the violations which resulted in such actions would also be grounds for discipline in Iowa in accordance with rule 650—30.4(153), the board may deny reinstatement of a license or registration to practice dentistry, or dental hygiene, or dental assisting in Iowa or may impose any applicable disciplinary sanctions as specified in rule 650— 30.2(153) as a condition of reinstatement.

14.5(4) No change.

This rule is intended to implement Iowa Code sections 147.10, 147.11, 153.30 and 272C.2.

ITEM 6. Adopt new subrules 15.1(12) to 15.1(14) as follows:

15.1(12) The fee for an application for registration as a dental assistant trainee is $10.

15.1(13) The fee for an application for registration as a registered dental assistant is $40.

15.1(14) The fee for an application for registration as an expanded function dental assistant is $40.

ITEM 7. Adopt new subrules 15.2(6) to 15.2(8) as follows:

15.2(6) The fee for renewal of registration as a registered dental assistant is $60.

15.2(7) The fee for renewal of registration as an expanded function dental assistant is $60.

15.2(8) Beginning July 1, 2002, the fee for renewal of a certificate of qualification in dental radiography is $30.

ITEM 8. Amend rules 650—15.3(153) and 650— 15.4(153) as follows:

650—15.3(153) Late renewal fees. All fees are nonrefund–able. A licensee or registrant who fails to renew a license or registration to practice following expiration shall be subject to late renewal fees pursuant to 650—Chapter 14.

15.4(1) The fee for issuing a duplicate license or registration certificate shall be $10.

15.4(2) The fee for a certification of the Iowa license or registration shall be $10.

ITEM 9. Amend rule 650—21.1(153) as follows:

650—21.1(153) Definition. “Dental laboratory technician” as used in these rules shall include a person other than a licensed dentist who fabricates, constructs, makes, or repairs oral prosthetic appliances solely and exclusively for a licensed dentist and under the dentist’s supervision or direction. A dental laboratory technician who performs any of the duties of a dental assistant, as defined in 650—20.2(153, 78GA,HF686), must be registered with the board as a dental assistant.

ITEM 10. Amend subrule 22.8(3) as follows:

22.8(3) Attendance once every four two years at an updating seminar in dental radiography approved by the board shall be required for renewal. At the time of renewal the dental assistant shall be required to sign a statement that the dental assistant has attended the required course during the previous four two–year period. Proof of attendance at such course of study shall be retained by the dental assistant and submitted to the board as further proof of compliance at the request of the board.

ITEM 11. Amend subrules 22.9(1) and 22.9(2) as follows:

22.9(1) The fee for application for a certificate of qualification or student status leading to qualification shall be $35. Beginning July 1, 2001, the fee for application for a certificate of qualification or student status leading to qualification shall be $15.

22.9(2) The fee for renewal of a certificate shall be $60. Beginning July 1, 2002, the fee for renewal of a certificate shall be $30.

ITEM 12. Amend 650—25.1(153) as follows:

Amend the following definition:

“Advisory committee.” An advisory committee on continuing education shall be formed to review and advise the board with respect to applications for approval of sponsors or activities and requests for postapproval of activities. Its members shall be appointed by the board and consist of a member of the board, two licensed dentists with expertise in the area of professional continuing education, and two licensed dental hygienists with expertise in the area of professional continuing education, and two registered dental assistants with expertise in the area of professional continuing education. The advisory committee on continuing education may tentatively approve or deny applications or requests submitted to it pending final approval or disapproval of the board at its next meeting.

Adopt the following new definition in alphabetical order:

“Registrant” means any person registered to practice as a dental assistant in the state of Iowa.

ITEM 13. Amend rule 650—25.2(153) as follows:

Amend the catchwords as follows:

Amend subrules 25.2(4) to 25.2(7) and 25.2(10) as follows:

25.2(4) It is the responsibility of each licensee or registrant to finance the costs of continuing education. All fees for continuing education courses shall be remitted by licen–see or registrant directly to the sponsor or as the board may otherwise direct.

25.2(5) Every licensee or registrant shall maintain a record of all courses attended by keeping the certificates of attendance for four years after the end of the year of attendance. The board reserves the right to require any licensee or registrant to submit the certificates of attendance for the continuing education courses attended as further evidence of compliance for any year no more than four years previously.

25.2(6) Licensees and registrants are responsible for obtaining proof of attendance forms when attending courses. Clock hours must be verified by the sponsor with the issuance of proof of attendance forms to the licensee or registrant.

25.2(7) Each licensee or registrant shall file a signed continuing education reporting form reflecting a the required minimum of 30 number of continuing education credit hours in compliance with this chapter and 650—Chapter 20. Such report shall be filed with the board at the time of application for renewal of a dental or dental hygiene license or renewal of dental assistant registration.

25.2(10) A licensed dental hygienist or registered dental assistant shall furnish evidence of a valid annual certification for cardiopulmonary resuscitation which shall be credited toward the dental hygienist’s continuing education requirement for renewal of a the license or registration. Such evidence shall be filed at the time of renewal of the license or registration. Credit hours awarded shall not exceed six three continuing education credit hours per biennium. Valid annual certification means certification by an organization on an annual basis or, if that certifying organization requires certification on a less frequent basis, evidence that the hygienist or dental assistant has been properly certified for each year covered by the license renewal period.

ITEM 14. Amend subrules 25.3(1), 25.3(2) and 25.3(4) to 25.3(7) as follows:

25.3(1) It constitutes an organized program of learning (including a workshop or symposium) which contributes directly to the professional competency of the licensee or registrant; and

25.3(2) It pertains to common subjects or other subject matters which relate integrally to the practice of dentistry, or dental hygiene, or dental assisting which are intended to refresh and review, or update knowledge of new or existing concepts and techniques; and

25.3(4) Activity types acceptable for continuing dental education credit may include:

a. Attendance at a multiday convention–type meeting. A multiday, convention–type meeting is held at a national, state, or regional level and involves a variety of concurrent educational experiences directly related to the practice of dentistry. Effective July 1, 2000, attendees shall receive three hours of credit with the maximum allowed six hours of credit per biennium. Prior to July 1, 2000, attendees shall receive five hours of credit with the maximum allowed ten hours of credit per biennium. Four hours of credit shall be allowed for pres–entation of an original table clinic at a convention–type meeting as verified by the sponsor when the subject matter conforms with 25.3(7). Attendees at the table clinic session of a dental, or dental hygiene, or dental assisting convention shall receive two hours of credit as verified by the sponsor.

b. to e. No change.

25.3(5) Prior approval of activities. An organization or person other than an approved sponsor, which desires prior approval of a course, program or other continuing education activity or who desires to establish approval of the activity prior to attendance, shall apply for approval to the board at least 90 days in advance of the commencement of the activity on a form provided by the board. The board shall approve or deny the application. The application shall state the dates, subjects offered, total hours of instruction, names and qualifications of speakers and other pertinent information. Applications may include the following:

a. Original presentation of continuing dental education courses shall result in credit double that which the participant receives. Credit will not be granted for repeating presentations within the biennium. Credit is not given for teaching which represents part of the licensee’s or registrant’s normal academic duties as a full–time or part–time faculty member or consultant.

b. Publications of scientific articles in professional dental, and dental hygiene, or dental assistant related journals shall result in a maximum of 5 hours per article; maximum of 20 hours per biennium.

c. Home study activities shall result in a maximum of 6 hours of credit per biennium; the licensee or registrant must submit a written report of activity. Activity may include television viewing, video programs, correspondence work or research.

25.3(6) Postapproval of activities. A licensee or registrant seeking credit for attendance and participation in an educational activity which was not conducted by an approved sponsor nor or otherwise approved may submit to the board, within 60 days after completion of such activity, its dates, subjects, instructors, and their qualifications, the number of credit hours and proof of attendance therefor. Within 90 days after receipt of such application the board shall advise the licensee or registrant in writing by ordinary mail whether the activity is approved and the number of hours allowed therefor. All requests may be reviewed by the advisory committee on continuing education prior to final approval or denial by the board. A licensee or registrant not complying with the requirements of this paragraph may be denied credit for such activity.

25.3(7) Subject matter acceptable for continuing dental education credit:

a. No change.

b. Nonacceptable Unacceptable subject matter includes personal development, business aspects of practice, personnel management, government regulations, insurance, collective bargaining, and community service presentations. While desirable, those subjects are not applicable to the dental and dental hygiene skills, knowledge, and competence as expressed in the legislation. Therefore, such courses will receive no credit toward relicensure renewal. The board may deny credit for any course. Courses in patient treatment record keeping, risk management, and OSHA regulations are acceptable subject matter.

ITEM 15. Amend subrule 25.4(3) as follows:

25.4(3) The person or organization sponsoring continuing education activities shall make a written record of the Iowa licensees or registrants in attendance and send a signed copy of such attendance record to the board office upon completion of the activity, but in no case later than July 1 of even–numbered years. The report shall be sent to the Iowa Board of Dental Examiners, 400 S.W. 8th Street, Suite D, Des Moines, Iowa 50309–4687.

ITEM 16. Amend rules 650—25.6(153) to 650— 25.10(153) as follows:

650—25.6(153) Hearings. In the event of denial, in whole or in part, of any application for approval of a continuing education program or credit for continuing education activity, the applicant, or licensee, or registrant shall have the right, within 20 days after the sending of the notification of the denial by ordinary mail, to request a hearing which shall be held within 60 days after receipt of the request for hearing. The hearing shall be conducted by the board or a qualified hearing officer designated by the board. If the hearing is conducted by a hearing officer, the hearing officer shall submit a transcript of the hearing with the proposed decision of the hearing officer. The decision of the board or decision of the hearing officer after adoption by the board shall be final.

25.7(1) Waivers. The board may, in individual cases involving physical disability or illness, grant waivers of the minimum education requirements or extensions of time within which to fulfill the same or make the required reports. No waiver or extension of time shall be granted unless written application shall be is made on forms provided by the board and signed by the licensee or registrant and a physician licensed by the board of medical examiners. Waivers of the minimum educational requirements may be granted by the board for any period of time not to exceed one calendar year. In the event that the physical disability or illness upon which a waiver has been granted continues beyond the period of the waiver, the licensee or registrant must reapply for an extension of the waiver. The board may, as a condition of the waiver granted, require the applicant to make up a certain portion or all of the minimum educational requirements waived by methods prescribed by the board.

25.7(2) Extensions or exemptions. Extensions or exemptions of continuing education requirements will be considered by the board on an individual basis. Licensees or registrants will be exempt from the continuing education requirements for:

a. A dentist or dental hygienist licensed to practice in this state shall be deemed to have complied with the continuing education requirements of this state during periods Periods that the person serves honorably on active duty in the military services, or for;

b. periods Periods that the person practices dentistry or dental hygiene the person’s profession in another state or district having a continuing education requirement for dentistry or dental hygiene and the licensee or registrant meets all requirements of that state or district for practice therein, or for;

c. periods Periods that the dentist or dental hygienist person is a government employee working in the person’s licensed or registered specialty and assigned to duty outside the United States,; or

d. for other Other periods of active practice and absence from the state approved by the board.

650—25.8(153) Exemptions for inactive practitioners. A licensee or registrant who is not engaged in the practice in the state of Iowa, residing in or out of the state of Iowa, may be granted a waiver of compliance and obtain a certificate of exemption upon written application to the board. The application shall contain a statement that the applicant will not engage in the practice of dentistry or dental hygiene the applicant’s profession in Iowa without first complying with all regulations governing reinstatement after exemption. The application for a certificate of exemption shall be submitted upon the form provided by the board.

650—25.9(153) Reinstatement of inactive practitioners. Inactive practitioners who have been granted a waiver of compliance with these regulations and obtained a certificate of exemption shall, prior to engaging in the practice of dentistry, or dental hygiene, or dental assisting in the state of Iowa, satisfy the following requirements for reinstatement:

25.9(1) No change.

25.9(2) Furnish in the application evidence of one of the following:

a. The full–time practice of dentistry or dental hygiene the profession in another state of the United States or the District of Columbia and completion of continuing education for each year of inactive status substantially equivalent in the opinion of the board to that required under the rules; or

b. Completion of a total number of hours of accredited continuing education computed by multiplying 15 by the number of years a certificate of exemption shall have been in effect for such applicant a dentist or dental hygienist, or by multiplying 10 by the number of years a certificate of exemption shall have been in effect for a dental assistant; or

c. Successful completion of CRDTS or other Iowa state license or registration examination conducted within one year immediately prior to the submission of such application for reinstatement; or

d. The licensee or registrant may petition the board to determine the continuing education credit hours required for reinstatement of their the Iowa license or registration.

25.9(3) Applications must be filed with the board along with the following:

a. Certification by the state board of dentistry or equivalent authority in which applicant has engaged in the practice of dentistry or dental hygiene the applicant’s profession that the applicant has not been the subject of final or pending disciplinary action.

b. Statement as to any claims, complaints, judgments or settlements made with respect to the applicant arising out of the alleged negligence or malpractice in rendering professional services as a dentist, or dental hygienist, or dental assistant.

650—25.10(153) Noncompliance with continuing dental education requirements. It is the licensee’s or registrant’s personal responsibility to comply with these rules. The license or registration of individuals not complying with the continuing dental education rules may be subject to disciplinary action by the board.

Inquiries relating to acceptability of continuing dental education activities, approval of sponsors, or exemptions should be directed to: Advisory Committee on Continuing Dental Education, Iowa Board of Dental Examiners, 400 S.W. 8th Street, Suite D, Des Moines, Iowa 50309–4687.

ITEM 17. Adopt new subrule 27.1(3) as follows:

27.1(3) Dental assistant ethics. Dental assistants shall utilize the principles of professional dental and dental hygiene ethics for guidance, and the laws and rules governing the practice of dental assisting.

ITEM 18. Amend rules 650—27.5(153) and 650— 27.6(153) as follows:

650—27.5(153) Use of auxiliary personnel. Dentists shall protect the health of their patients by only assigning to qualified auxiliaries personnel only those duties which can be legally delegated. Dentists shall supervise the work of all auxiliary personnel working under their direction and control.

27.6(1) Dentists Licensees or registrants shall report to the board instances of gross or continual faulty treatment by other dentists licensees or registrants.

27.6(2) Dentists Licensees or registrants may provide expert testimony when that testimony is essential to a just and fair disposition of a judicial or administrative action.

ITEM 19. Amend rule 650—30.2(153), numbered paragraphs “1” to “3,” as follows:

1. Revocation of license or registration.

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

3. Nonrenewal of license or registration.

ITEM 20. Amend rule 650—30.3(153), numbered paragraph “7,” as follows:

7. Such other factors as may reflect upon the competency, ethical standards and professional conduct of the licensee or registrant.

ITEM 21. Amend rule 650—30.4(153) as follows:

Amend numbered paragraphs “1,” “2,” “4,” “6,” “15,” “19,” “21,” “22,” “24,” “30,” “32,” “34,” and “39” as follows:

1. Fraud or deceit in procuring a resident dentist license, faculty permit, or license to practice dentistry or dental hygiene, or registration as a dental assistant, whether by examination or credentials. Fraud or deceit shall mean any false or misleading statement of a material fact or omission of information required to be disclosed.

2. Fraud or deceit in renewing a resident dentist license, faculty permit, or other license to practice dentistry or dental hygiene, or registration as a dental assistant, including but not limited to false or misleading statements concerning continuing education required for renewal.

4. Conviction of a felony if the felony conviction relates to the practice of dentistry or dental hygiene the profession.

6. Practicing dentistry, or dental hygiene, or dental assisting while in a state of advanced physical or mental disability where such disability renders the licensee or registrant incapable of performing professional services or impairs functions of judgment necessary to the practice.

15. Engaging in the practice of dentistry, or dental hygiene, or dental assisting in Iowa after failing to renew a license or registration to practice in Iowa within 90 days of expiration of the license or registration.

19. Encouraging, assisting or enabling the unauthorized practice of dentistry, dental hygiene, or dental assisting in any manner.

21. Failure to prominently display the name names of all persons who are practicing dentistry, dental hygiene, or dental assisting within an office.

22. Employment of or permitting an unlicensed dentist or unregistered person to practice dentistry, dental hygiene, or dental assisting.

24. Failure to report any of the following:

Any acts or omissions which could result in the suspension or revocation of a license or registration when committed by a person licensed or registered to practice dentistry, or dental hygiene, or dental assisting.

Every adverse judgment in a professional malpractice action to which the licensee or registrant was a party.

Every settlement of a claim against the licensee or registrant alleging malpractice.

30. Knowingly submitting a false continuing education reporting form or failure to meet the continuing education requirements for renewal of an active license or registration.

32. Failure to report a license or registration revocation, suspension or other disciplinary action taken by a licensing authority of another state, territory or country within 30 days of the final action by the licensing authority. A stay by an appellate court shall not negate this requirement; however, if the disciplinary action is overturned or reversed by a court of last resort, the report shall be expunged from the records of the board when the board is so notified.

34. Engaging in the practice of dentistry, or dental hygiene, or dental assisting with an expired or inactive renewal.

39. Knowingly making misleading, deceptive, untrue or fraudulent representations in the practice of the licensee’s or registrant’s profession or engaging in unethical conduct or practice harmful or detrimental to the public. Proof of actual injury need not be established.

Adopt the following new numbered paragraphs:

43. Practicing beyond training.

44. Delegating any acts to any licensee or registrant that are beyond the training or education of the licensee or registrant, or that are otherwise prohibited by rule.

ITEM 22. Amend rule 650—31.1(272C) as follows:

650—31.1(272C) Complaint review. The board shall, upon receipt of a complaint, or may upon its own motion, pursuant to other evidence received by the board, review and investigate alleged acts or omissions which the board reasonably believes constitute cause under applicable law or administrative rule for licensee or registrant discipline. All complaints regarding the practice of dental hygiene will be initially directed to the dental hygiene committee. The committee shall review the complaint and make a recommendation to the board.

ITEM 23. Amend rule 650—31.2(153), numbered paragraph “2,” as follows:

2. The full name, address, and telephone number of the licensee or registrant.

ITEM 24. Amend rule 650—31.6(153) as follows:

650—31.6(153) Board appearances. The board may request a licensee or registrant to appear before the board to discuss a pending investigation. By electing to participate in the board appearance, the licensee or registrant waives any objection to a board member’s both participating in the appearance and later participating as a decision maker in a contested case proceeding on the grounds of a personal investigation and a combination of investigative and adjudicative functions. If the executive director participates in the appearance, the licensee or registrant further waives any objection to having the executive director assist the board in the contested case proceeding.

ITEM 25. Amend subrules 31.7(1) and 31.7(3) as follows:

31.7(1) The board shall determine which peer review committee will review a case involving a dentist or dental assistant and what complaints or other matters shall be referred to a peer review committee for investigation, review, and report to the board. The board may use the peer review committee system organized under the dental care programs council of the Iowa dental association, a peer review committee system organized by the Iowa dental assistants association, or a specifically constituted peer review committee designated by the board for matters involving dentists or dental assistants.

31.7(3) The Iowa dental association, and the Iowa dental hygienists’ association and the Iowa dental assistants association shall register yearly and keep current their peerreview systems with the board. Board or dental hygiene committee–appointed peer Peer review committee members shall be registered with the board when appointed.

ITEM 26. Amend rules 650—31.10(272C) to 650— 31.14(272C) as follows:

650—31.10(272C) Confidentiality of investigative files. Complaint files, investigation files, all other investigation reports, and other investigative information in the possession of the board or peer review committee acting under the authority of the board or its employees or agents which relate to licensee or registrant discipline shall be privileged and confidential, and shall not be subject to discovery, subpoena, or other means of legal compulsion for their release to any person other than the licensee or registrant and the board, its employees and agents involved in licensee or registrant discipline, or be admissible in evidence in any judicial or administrative proceeding other than the proceeding involving licensee or registrant discipline. However, a final written decision and finding of fact of the board in a disciplinary proceeding shall be public record.

650—31.11(272C) Reporting of judgments or settlements. Each licensee or registrant shall report to the board every adverse judgment in a malpractice action to which the licensee or registrant is a party and every settlement of a claim against the licensee or registrant alleging malpractice. The report together with a copy of the judgment or settlement must be filed with the board within 30 days from the date of said judgment or settlement.

650—31.12(272C) Investigation of reports of judgments and settlements. Reports received by the board from the commissioner of insurance, insurance carriers and licensees or registrants involving adverse judgments in a professional malpractice action, and settlement of claims alleging malpractice, shall be reviewed and investigated by the board in the same manner as is prescribed in these rules for the review and investigation of complaints.

650—31.13(272C) Reporting acts or omissions. Each licensee or registrant having knowledge of acts or omissions set forth in rule 650—30.4(153) shall report to the board those acts or omissions when committed by another person licensed or registered by the board. The report shall include the name and address of the licensee or registrant and the date, time and place of the incident.

650—31.14(272C) Failure to report licensee or registrant. Upon obtaining information that a licensee or registrant failed to file a report required by rule 31.13(272C) within 30 days from the date the licensee or registrant acquired the information, the board may initiate a disciplinary proceeding against the licensee or registrant who failed to make the required report.

ITEM 27. Amend rule 650—32.2(153) as follows:

650—32.2(153) Mediation authorized. The board has the authority to provide for mediation of disputes between licensees or registrants and their patients when requested by either party or recommended by the board and agreed to by the parties.

32.2(1) The board may recommend for mediation those cases that are appropriate, which could include, but are not limited to, cases involving fee disputes.

32.2(2) The board’s referral of a matter to mediation shall not preclude the board from taking disciplinary action against the affected licensee or registrant. There is no obligation that the licensee or registrant participate in mediation and the licensee or registrant shall not be subject to disciplinary action for failure to participate in a board recommended mediation.

ITEM 28. Amend subrules 32.3(1) and 32.3(2) as follows:

32.3(1) Subsequent to an investigation by the board, the board may recommend mediation to address a dispute between a licensee or registrant and a patient.

32.3(2) If mediation is recommended by the board, the board shall notify the licensee or registrant, the patient and a mediation center of the recommendation within 30 days.

ITEM 29. Amend rule 650—33.1(252J,598) as follows:

Amend the following definitions:

“Certificate” means a document known as a certificate of noncompliance which is provided by the child support unit certifying that the named licensee or registrant is not in compliance with a support order or with a written agreement for payment of support entered into by the child support unit and the licensee or registrant.

“Denial notice” means a board notification denying an application for the issuance or renewal of a license or registration as required by the Act.

“Revocation or suspension notice” means a board notification suspending a license or registration for an indefinite or specified period of time or a notification revoking a license or registration as required by the Act.

“Withdrawal certificate” means a document known as a withdrawal of a certificate of noncompliance provided by the child support unit certifying that the certificate is withdrawn and that the board may proceed with issuance, reinstatement, or renewal of a license or registration.

Adopt the following new definition in alphabetical order:

“Registration” means registration to practice as a dental assistant trainee, registered dental assistant, or expanded function dental assistant.

ITEM 30. Amend rules 650—33.2(252J,598) and 650— 33.3(252J,598) as follows:

650—33.2(252J,598) Issuance or renewal of a license or registration—denial. The board shall deny the issuance or renewal of a license or registration upon the receipt of a certificate from the child support unit. This rule shall apply in addition to the procedures set forth in the Act.

33.2(1) Service of denial notice. Notice shall be served upon the licensee, registrant, or applicant by certified mail, return receipt requested; by personal service; or through authorized counsel.

33.2(2) Effective date of denial. The effective date of the denial of issuance or renewal of a license or registration, as specified in the denial notice, shall be 60 days following service of the denial notice upon the licensee, registrant, or applicant.

33.2(3) Preparation and service of denial notice. The executive director of the board is authorized to prepare and serve the denial notice upon the licensee, registrant, or applicant.

33.2(4) Licensee, registrant, or applicant responsible to inform board. Licensees, registrants, and applicants shall keep the board informed of all court actions, and all child support unit actions taken under or in connection with the Act and shall provide the board copies, within seven days of filing or issuance, of all applications filed with the district court pursuant to the Act, all court orders entered in such actions, and any withdrawal of certificates issued by the child support unit.

33.2(5) Reinstatement following license or registration denial. All board fees required for application, license or registration renewal, or license or registration reinstatement shall be paid by licensees, registrants, or applicants before a license or registration will be issued, renewed, or reinstated after the board has denied the issuance or renewal of a license or registration pursuant to the Act.

33.2(6) Effect of filing in district court. In the event a licensee, registrant, or applicant files a timely district court action following service of a board notice, the board shall continue with the intended action described in the denial notice upon the receipt of a court order lifting the stay, dismissing the action, or otherwise directing the board to proceed. For purposes of determining the effective date of the denial of the issuance or renewal of a license or registration, the board shall count the number of days before the action was filed and the number of days after the action was disposed of by the court.

33.2(7) Final notification. The board shall notify the licensee, registrant, or applicant in writing through regular first–class mail, or such other means as the board determines appropriate in the circumstances, within ten days of the effective date of the denial of the issuance or renewal of a license or registration, and shall similarly notify the licensee, registrant, or applicant if the license or registration is issued or renewed following the board’s receipt of a withdrawal certificate.

650—33.3(252J,598) Suspension or revocation of a license or registration. The board shall suspend or revoke a license or registration upon the receipt of a certificate from the child support unit according to the procedures set forth in the Act. This rule shall apply in addition to the procedures set forth in the Act.

33.3(1) Service of revocation or suspension notice. Revocation or suspension notice shall be served upon the licensee or registrant by certified mail, return receipt requested; by personal service; or through authorized counsel.

33.3(2) Effective date of revocation or suspension. The effective date of the suspension or revocation of a license or registration, as specified in the revocation or suspension notice, shall be 60 days following service of the revocation or suspension notice upon the licensee or registrant.

33.3(3) Preparation and service of revocation or suspension notice. The executive director of the board is authorized to prepare and serve the revocation or suspension notice upon the licensee or registrant and is directed to notify the licensee or registrant that the license or registration will be suspended unless the license or registration is already suspended on other grounds. In the event that the license or registration is on suspension, the executive director shall notify the licensee or registrant of the board’s intention to revoke the license or registration.

33.3(4) Licensee or registrant responsible to inform board. The licensee or registrant shall keep the board informed of all court actions, and all child support unit action taken under or in connection with the Act, and shall provide the board copies, within seven days of filing or issuance, of all applications filed with the district court pursuant to the Act, all court orders entered in such actions, and any withdrawal certificates issued by the child support unit.

33.3(5) Reinstatement following license or registration suspension or revocation. A licensee or registrant shall pay all board fees required for license or registration renewal or license reinstatement before a license or registration will be reinstated after the board has suspended a license or registration pursuant to the Act.

33.3(6) Effect of filing in district court. In the event a licensee or registrant files a timely district court action pursuant to the Act and following service of a revocation or suspension notice, the board shall continue with the intended action described in the revocation or suspension notice upon the receipt of a court order lifting the stay, dismissing the action, or otherwise directing the board to proceed. For purposes of determining the effective date of the suspension or revocation, the board shall count the number of days before the action was filed and the number of days after the action was disposed of by the court.

33.3(7) Final notification. The board shall notify the licensee or registrant in writing through regular first–class mail, or such other means as the board determines appropriate in the circumstances, within ten days of the effective date of the suspension or revocation of a license or registration, and shall similarly notify the licensee or registrant if the license or registration is reinstated following the board’s receipt of a withdrawal certificate.

These rules are intended to implement Iowa Code sections 252J.1 to 252J.9 and chapter 598.

ITEM 31. Amend rule 650—34.1(261), definition of “certificate of noncompliance,” as follows:

“Certificate of noncompliance” means written certification from the college student aid commission to the licensing authority certifying that the licensee or registrant has defaulted on an obligation owed to or collected by the commission.

ITEM 32. Amend rules 650—34.2(261) and 650— 34.3(261) as follows:

650—34.2(261) Issuance or renewal of a license or registration—denial. The board shall deny the issuance or renewal of a license or registration upon receipt of a certificate of noncompliance from the college student aid commission according to the procedures set forth in Iowa Code sections 261.121 to 261.127. In addition to those procedures, this rule shall apply.

34.2(1) The notice required by Iowa Code section 261.126 shall be served by restricted certified mail, return receipt requested, or by personal service in accordance with the Iowa Rules of Civil Procedure. Alternatively, the applicant, registrant, or licensee may accept service personally or through authorized counsel.

34.2(2) The effective date of the denial of the issuance or renewal of a license or registration, as specified in the notice required by Iowa Code section 261.126, shall be 60 days following service of the notice upon the applicant, registrant, or licensee.

34.2(3) The board’s executive director is authorized to prepare and serve the notice required by Iowa Code section 261.126 upon the applicant, registrant, or licensee.

34.2(4) Applicants, registrants, and licensees shall keep the board informed of all court actions and all college student aid commission actions taken under or in connection with Iowa Code chapter 261 and shall provide the board copies, within seven days of filing or issuance, of all applications filed with the district court pursuant to Iowa Code section 261.127, all court orders entered in such actions, and withdrawals of certificates of noncompliance by the college student aid commission.

34.2(5) All board fees required for application, license or registration renewal or license or registration reinstatement must be paid by applicants, registrants, or licensees, and all continuing education requirements must be met before a license or registration will be issued, renewed, or reinstated after the board has denied the issuance or renewal of a license or registration pursuant to Iowa Code chapter 261.

34.2(6) In the event an applicant, registrant, or licensee timely files a district court action following service of a board notice pursuant to Iowa Code sections 261.126 and 261.127, the board shall continue with the intended action described in the notice upon the receipt of a court order lifting the stay, dismissing the action, or otherwise directing the board to proceed. For purposes of determining the effective date of the denial of the issuance or renewal of a license or registration, the board shall count the number of days before the action was filed and the number of days after the action was disposed of by the court.

34.2(7) The board shall notify the applicant, registrant, or licensee in writing through regular first–class mail, or such other means as the board deems appropriate in the circumstances, within ten days of the effective date of the denial of the issuance or renewal of a license or registration, and shall similarly notify the applicant, registrant, or licensee when the license or registration is issued or renewed following the board’s receipt of a withdrawal of the certificate of noncompliance.

650—34.3(261) Suspension or revocation of a license or registration. The board shall suspend or revoke a license or registration upon receipt of a certificate of noncompliance from the college student aid commission according to the procedures set forth in Iowa Code sections 261.121 to 261.127. In addition to those procedures, the following shall apply:

34.3(1) The notice required by Iowa Code section 261.126 shall be served by restricted certified mail, return receipt requested, or by personal service in accordance with the Iowa Rules of Civil Procedure. Alternatively, the licen–see or registrant may accept service personally or through authorized counsel.

34.3(2) The effective date of revocation or suspension of a license or registration, as specified in the notice required by Iowa Code section 261.126, shall be 60 days following service of the notice upon the licensee or registrant.

34.3(3) The executive director is authorized to prepare and serve the notice required by Iowa Code section 261.126 and is directed to notify the licensee or registrant that the license or registration will be suspended, unless the license or registration is already suspended on other grounds. In the event a license or registration is on suspension, the executive director shall notify the licensee or registrant of the board’s intention to revoke the license or registration.

34.3(4) Licensees and registrants shall keep the board informed of all court actions and all college student aid commission actions taken under or in connection with Iowa Code chapter 261 and shall provide the board copies, within seven days of filing or issuance, of all applications filed with the district court pursuant to Iowa Code section 261.127, all court orders entered in such actions, and withdrawals of certificates of noncompliance by the college student aid commission.

34.3(5) All board fees required for license or registration renewal or reinstatement must be paid by licensees and registrants, and all continuing education requirements must be met before a license or registration will be renewed or reinstated after the board has suspended or revoked a license or registration pursuant to Iowa Code chapter 261.

34.3(6) In the event a licensee or registrant timely files a district court action following service of a board notice pursuant to Iowa Code sections 261.126 and 261.127, the board shall continue with the intended action described in the notice upon the receipt of a court order lifting the stay, dismissing the action, or otherwise directing the board to proceed. For purposes of determining the effective date of the denial of the issuance or renewal of a license or registration, the board shall count the number of days before the action was filed and the number of days after the action was disposed of by the court.

34.3(7) The board shall notify the licensee or registrant in writing through regular first–class mail, or such other means as the board deems appropriate in the circumstances, within ten days of the effective date of the suspension or revocation of a license or registration, and shall similarly notify the licensee or registrant when the license or registration is reinstated following the board’s receipt of a withdrawal of the certificate of noncompliance.

Pursuant to the authority of Iowa Code section 147.76 and 2000 Iowa Acts, House File 686, the Board of Dental Examiners hereby gives Notice of Intended Action to rescind Chapter 20, “Auxiliary Personnel,” and adopt a new Chapter 20, “Dental Assistants,” Iowa Administrative Code.

This amendment implements 2000 Iowa Acts, House File 686, which mandates that beginning July 1, 2001, a person shall not practice as a dental assistant unless the person has registered with the Board and received a certificate of registration. This amendment establishes a scope of practice for dental assistants, categories of dental assistants, registration requirements, procedures for the denial of registration and appeal of a denial, examination requirements, procedures for renewal, and continuing education requirements. The Board is required to adopt rules by January 1, 2001, to implement 2000 Iowa Acts, House File 686.

The rules do not provide for waivers in specific circumstances because the statute requires all dental assistants to be registered with the Board beginning July 1, 2001.

Any interested person may make written comments or suggestions on the proposed amendment on or before August 29, 2000. Such written comments should be directed to Jennifer Hart, Agency Rules Administrator, Board of Dental Examiners, 400 S.W. 8th Street, Suite D, Des Moines, Iowa 50309–4687. E–mail may be sent to jhart@bon.state.ia.us.

Also, there will be a public hearing on August 29, 2000, from 1 to 3 p.m. in the Board of Dental Examiners Conference Room, 400 S.W. 8th Street, Suite D, Des Moines, Iowa. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the amendment. Any person who plans to attend the public hearing and who may have special requirements, such as hearing or mobility impairments, should contact the Board and advise of specific needs.

This amendment was approved at the July 20, 2000, regular meeting of the Board of Dental Examiners.

This amendment is intended to implement Iowa Code chapters 17A, 147, 153, and 272C and 2000 Iowa Acts, House File 686.

The following amendment is proposed.

Rescind 650—Chapter 20 and adopt the following new chapter in lieu thereof:

CHAPTER 20
DENTAL ASSISTANTS

650—20.1(153,78GA,HF686) Registration required. A person shall not practice on or after July 1, 2001, as a dental assistant unless the person has registered with the board and received a certificate of registration pursuant to this chapter.

650—20.2(153,78GA,HF686) Definitions. As used in this chapter:

“Dental assistant” means any person who, under the supervision of a dentist, performs any extraoral services including infection control, dental radiography, or the use of hazardous materials or performs any intraoral services on patients.

“Direct supervision” means that the dentist is present in the treatment facility, but it is not required that the dentist be physically present in the treatment room while the dental assistant is performing acts assigned by the dentist.

“General supervision” means that a dentist has delegated the services to be provided by a dental assistant. The dentist need not be present in the facility while these services are being provided.

“Personal supervision” means the dentist is physically present in the treatment room to oversee and direct the services of the dental assistant.

20.3(1) In all instances, a dentist assumes responsibility for determining, on the basis of diagnosis, the specific treatment patients will receive and which aspects of treatment may be delegated to qualified personnel as authorized in these rules.

20.3(2) A lawfully licensed dentist may delegate to a dental assistant those procedures for which the dental assistant has received training. This delegation shall be based on the best interests of the patient. The dentist shall exercise supervision and shall be fully responsible for all acts performed by a dental assistant. A dentist may not delegate to a dental assistant any of the following:

a. Diagnosis, examination, treatment planning, or prescription, including prescription for drugs and medicaments or authorization for restorative, prosthodontic or orthodontic appliances.

b. Surgical procedures on hard and soft tissues within the oral cavity and any other intraoral procedure that contributes to or results in an irreversible alteration to the oral anatomy.

c. Administration of local anesthesia.

d. Placement of sealants.

e. Removal of any plaque, stain, or hard natural or synthetic material except by toothbrush, floss, or rubber cup coronal polish, or removal of any calculus.

f. Dental radiography, unless the assistant is qualified pursuant to 650—Chapter 22.

g. Those procedures that require the professional judgment and skill of a dentist.

20.3(3) A dental assistant may perform duties consistent with these rules under the supervision of a licensed dentist. The specific duties dental assistants may perform are based upon:

a. The education of the dental assistant.

b. The experience of the dental assistant.

c. An agreement with the supervising dentist whose goal for the team is to promote the efficiency of dental services consistent with the highest possible standards of dental care for the patient.

650—20.4(153,78GA,HF686) Categories of dental assistants. There are three categories of dental assistants. Both the supervising dentist and dental assistant are responsible for maintaining documentation of training. Such documentation must be maintained in the office of practice and shall be provided to the board upon request.

20.4(1) Dental assistant trainee. Dental assistant trainees are all individuals who have received no prior training or experience in dental assisting, but who will learn the necessary skills under the personal supervision of a licensed dentist. The dental assistant trainee shall meet the following requirements:

a. Within 60 days of employment, the dental assistant trainee shall successfully complete courses of study and examinations in the areas of infection control, hazardous waste and jurisprudence. The courses of study shall be prior approved by the board and sponsored by a school accredited by the Commission on Dental Accreditation of the American Dental Association.

b. After satisfactorily completing six consecutive months of work as a dental assistant, the trainee or dentist must apply to the board for the trainee to be reclassified as a registered dental assistant.

20.4(2) Registered dental assistant. A registered dental assistant may perform under general supervision all extraoral duties in the dental office or dental clinic that are assigned by the dentist that are consistent with these rules. During intraoral procedures, the registered dental assistant may, under direct supervision, assist the dentist in performing duties assigned by the dentist that are consistent with these rules. The registered dental assistant may take radiographs if certified pursuant to 650—Chapter 22.

20.4(3) Expanded function dental assistant. An expanded function dental assistant may perform, under direct supervision, intraoral procedures for which the dental assistant has successfully completed formal training sponsored by a board–approved program accredited by the Commission on Dental Accreditation of the American Dental Association or other program approved by the board. All expanded function duties must be assigned by the dentist and be consistent with these rules. Examples of expanded function dental assistant duties include, but are not limited to, the monitoring of nitrous oxide inhalation analgesia, temporization of crowns, placement and removal of temporary restorations, placement of periodontal dressings, taking impressions for dental appliances, and bite registrations.

20.5(1) A person employed as a dental assistant as of July 1, 2001, shall be registered with the board as a registered dental assistant without meeting the application requirements specified in 20.6(153,78GA,HF686), provided the application is postmarked by July 1, 2001.

20.5(2) Applications for registration prior to July 2, 2001, must be filed on official board forms and include the following:

a. The fee as specified in 650—Chapter 15.

b. Evidence of current employment as a dental assistant as demonstrated by a signed statement from the applicant’s employer.

c. Evidence of current certification in dental radiography pursuant to 650—Chapter 22 if engaging in dental radiography.

20.5(3) Applications must be signed and verified by the applicant as to the truth of the documents and statements contained therein.

650—20.6(153,78GA,HF686) Registration requirements after July 1, 2001. Effective July 2, 2001, dental assistants must meet the following requirements for registration:

20.6(1) Dental assistant trainee.

a. The employer of a dental assistant trainee must notify the board in writing of such employment within seven days of the time the dental assistant begins work.

b. Applications for registration as a dental assistant trainee must be filed on official board forms and include the following:

(1) The fee as specified in 650—Chapter 15.

(2) Evidence of high school graduation.

(3) Evidence the applicant is 18 years of age or older.

(4) Any additional information required by the board relating to the character and experience of the applicant as may be necessary to pass upon the applicant’s qualifications.

c. Within 60 days of employment, the dental assistant trainee is required to successfully complete board–approved courses of study and an examination in the areas of infection control, hazardous materials and jurisprudence. Evidence of meeting this requirement shall be submitted within 60 days by the employer dentist.

20.6(2) Registered dental assistant.

a. To meet this qualification, a person must:

(1) Work in a dental office for six months as a dental assistant trainee; or

(2) Have had at least six consecutive months of prior dental assisting experience under a licensed dentist within the past two years; or

(3) Be a graduate of a postsecondary dental assisting program.

b. Applications for registration as a registered dental assistant must be filed on official board forms and include the following:

(1) The fee as specified in 650—Chapter 15.

(2) Evidence of meeting one of the requirements specified in 20.6(2)“a.”

(3) Evidence of successful completion of courses of study approved by the board and sponsored by a school accredited by the Commission on Dental Accreditation of the American Dental Association in the areas of infection control, hazardous materials, and jurisprudence.

(4) Evidence of a board–approved examination in the areas of infection control, hazardous materials, and jurisprudence.

(5) Evidence of meeting the qualifications of 650—Chapter 22 if engaging in dental radiography.

(6) Evidence of current certification in cardiopulmonary resuscitation sponsored by a nationally recognized provider.

(7) Any additional information required by the board relating to the character, education and experience of the applicant as may be necessary to pass upon the applicant’s qualifications.

20.6(3) Expanded function dental assistant.

a. To meet the qualification of expanded function dental assistant, applicants must:

(1) Have two years of experience as a registered dental assistant; or

(2) Be a certified dental assistant as defined by the Dental Assisting National Board with six months of dental assisting experience; and

(3) Have successfully completed a formal program in one or more expanded functions within the previous two years of application as an expanded function dental assistant or documentation of equivalent out–of–state registration or education.

b. Applicants for registration as a registered expanded function dental assistant must be filed on official board forms along with:

(1) The fee as specified in 650—Chapter 15.

(2) Evidence of meeting the qualifications specified in 20.6(3)“a.”

(3) Evidence of meeting the qualifications of 650—Chapter 22 if engaging in dental radiography.

(4) Evidence of current certification in cardiopulmonary resuscitation sponsored by a nationally recognized provider.

(5) Evidence of successful completion of a formal program in one or more expanded functions sponsored by a school accredited by the Commission on Dental Accreditation of the American Dental Association or a program approved by the board.

(6) Any additional information required by the board relating to the character, education and experience of the applicant as may be necessary to pass upon the applicant’s qualifications.

c. An expanded function dental assistant is limited to performing only those expanded duties for which the assistant has been trained within the limits of these rules.

20.6(4) All applications must be signed and verified by the applicant as to the truth of the documents and statements contained therein.

650—20.7(153,78GA,HF686) Registration denial. The board may deny an application for registration as a dental assistant for any of the following reasons:

1. Failure to meet the requirements for registration as specified in these rules.

2. Pursuant to Iowa Code section 147.4, upon any of the grounds for which registration may be revoked or suspended as specified in 650—Chapter 30.

650—20.8(147,153,78GA,HF686) Registration denied—appeal procedure. An applicant who has been denied registration by the board may appeal the denial and request a hearing on the issues related to the registration denial by serving a notice of the appeal and request for hearing upon the executive director not more than 30 days following the date of the mailing of the notification of registration denial to the applicant or not more than 30 days following the date upon which the applicant was served notice if notification was made in the manner of service of an original notice. The hearing and subsequent procedures shall be considered a contested case hearing and shall be governed by the procedures outlined in 650—Chapter 51.

This rule is intended to implement Iowa Code sections 147.3, 147.4 and 147.29.

650—20.9(153,78GA,HF686) Examination requirements. Beginning July 2, 2001, applicants for registration must successfully pass an examination approved by the board on infection control, hazardous waste, and jurisprudence.

20.9(1) Examinations approved by the board are those administered by the board or board’s approved testing centers or the Dental Assisting National Board Infection Control Examination, if taken after June 1, 1991, in conjunction with the board–approved jurisprudence examination.

20.9(2) Information on taking the examination may be obtained by contacting the board office at 400 S.W. 8th Street, Suite D, Des Moines, Iowa 50309–4687.

20.9(3) An examinee must meet such other requirements as may be imposed by the board’s approved dental assistant testing centers.

20.9(4) A dental assistant trainee must successfully pass the examination within 60 days of the first date of employment. A dental assistant trainee who does not successfully pass the examination within 60 days shall be prohibited from working in a dental office or clinic until the examination has been passed in accordance with these rules.

20.9(5) A score of 75 or better on the board infectioncontrol/hazardous material section and a score of 75 or better on the board jurisprudence section shall be considered successful completion of the examination. The board accepts the passing standard established by the Dental Assisting National Board for applicants who take the Dental Assisting National Board Infection Control Examination.

20.10(1) Second examination.

a. On the second examination attempt, a dental assistant shall be required to obtain a score of 75 percent or better on each section of the examination.

b. A dental assistant examinee who fails the second examination will be required to complete the remedial education requirements set forth in subrule 20.10(2).

20.10(2) Third and subsequent examinations.

a. Prior to the third examination attempt, a dental assistant examinee must submit proof of additional formal education in the area of the examination failure in a program approved by the board or sponsored by a school accredited by the Commission on Dental Accreditation of the American Dental Association.

b. A dental assistant who fails the examination on the third attempt may not practice as a dental assistant in a dental office or clinic until additional remedial education approved by the board has been obtained.

c. For the purposes of additional study prior to retakes, the fourth or subsequent examination failure shall be considered the same as the third.

650—20.11(153,78GA,HF686) Renewal of registration. A certificate of registration as a registered dental assistant or expanded function dental assistant must be renewed biennially.

20.11(1) The board will notify each registrant by mail of the expiration of the registration.

20.11(2) Application for renewal must be made in writing to the board at least 30 days before the current registration expires.

20.11(3) The appropriate fee as specified in 650—Chapter 15 shall accompany the application for renewal. A penalty shall be assessed by the board for late renewal.

20.11(4) Failure to renew the registration by June 30 shall result in assessment of a late fee of $20 in addition to the renewal fee. Failure to renew by July 30 shall result in assessment of a late fee of $40. Failure to renew by August 30 following expiration shall result in assessment of a late fee of $60. Failure to renew a registration prior to September 30 following expiration shall cause the license to lapse and become invalid. A registrant whose license has lapsed and become invalid is prohibited from practicing as a dental assistant until the registration is reinstated in accordance with 650—14.5(153).

20.11(5) Completion of continuing education is required for renewal of an active registration. Failure to comply will automatically result in an inactive renewal.

20.11(6) In order to renew a registration, the registrant shall be required to furnish evidence of valid certification in a nationally recognized course in cardiopulmonary resuscitation.

20.11(7) The board may refuse to renew a registration in accordance with 650—14.3(153).

650—20.12(153,78GA,HF686) Continuing education. Beginning July 1, 2001, each person registered as a dental assistant shall complete 20 hours of continuing education approved by the board during the biennium period as a condition of registration renewal.

20.12(1) At least two continuing education hours must be in the subject area of infection control and at least one hour must be in the subject area of jurisprudence.

20.12(2) A maximum of three hours may be in cardiopulmonary resuscitation.

20.12(3) For dental assistants who have a special endorsement in radiography, at least two hours of continuing education must be obtained in the subject area of radiography.

650—20.13(252J,261) Receipt of certificate of noncompliance. The board shall consider the receipt of a certificate of noncompliance from the college student aid commission pursuant to Iowa Code sections 261.121 to 261.127 and 650—Chapter 34 or receipt of a certificate of noncompliance of a support order from the child support recovery unit pursuant to Iowa Code chapter 252J and 650—Chapter 33. Registration denial or denial of renewal of registration shall follow the procedures in the statutes and board rules as set forth in this rule.

This rule is intended to implement Iowa Code chapter 252J and sections 261.121 to 261.127.

650—20.14(153) Unlawful practice. A dental assistant who assists a dentist in practicing dentistry in any capacity other than as a person supervised by a dentist in a dental office, or who directly or indirectly procures a licensed dentist to act as nominal owner, proprietor or director of a dental office as a guise or subterfuge to enable such dental assistant to engage directly or indirectly in the practice of dentistry, or who performs dental service directly or indirectly on or for members of the public other than as a person working for a dentist shall be deemed to be practicing dentistry without a license.

650—20.15(153) Advertising and soliciting of dental services prohibited. Dental assistants shall not advertise, solicit, represent or hold themselves out in any manner to the general public that they will furnish, construct, repair or alter prosthetic, orthodontic or other appliances, with or without consideration, to be used as substitutes for or as part of natural teeth or associated structures or for the correction of malocclusions or deformities, or that they will perform any other dental service.

These rules are intended to implement Iowa Code chapter 153 and 2000 Iowa Acts, House File 686.

Pursuant to the authority of Iowa Code sections 15.104 and 15.106, the Iowa Department of Economic Development hereby gives Notice of Intended Action to rescind Chapter 20, “ACE PIAP Program,” and adopt a new Chapter 20, “Accelerated Career Education Program,” Iowa Administrative Code.

The proposed new rules implement the Accelerated Career Education (ACE) Program authorized by Iowa Code Supplement chapter 260G as amended by 2000 Iowa Acts, Senate File 2439, and 2000 Iowa Acts, Senate File 2453. The rules establish guidelines, application procedures, and evaluation criteria for the capital costs and program job credits components of the ACE program.

Public comments concerning the proposed new chapter will be accepted until 5 p.m. on August 29, 2000. Interested persons may submit written or oral comments by contacting Mike Fastenau, Business Finance, Department of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309; telephone (515)242–4831.

A public hearing to receive comments about the proposed amendments will be held on August 29, 2000, at 2 p.m. at the above address in the IDED main conference room.

These rules were also Adopted and Filed Emergency and are published herein as ARC 0034B. The content of that submission is incorporated by reference.

These rules are intended to implement Iowa Code Supplement chapter 260G as amended by 2000 Iowa Acts, Senate File 2439, and 2000 Iowa Acts, Senate File 2453.

Pursuant to the authority of Iowa Code sections 15.104 and 15.106, the Iowa Department of Economic Development hereby gives Notice of Intended Action to adopt Chapter 42, “Rural Resource Coordination Programs for Fire Services,” Iowa Administrative Code.

The proposed new rules establish the purpose and criteria for eligibility and selection for funding under two programs: the Response 2020 Program and the Dry Hydrant Program. Both of these programs are intended to meet the fire and emergency response needs of Iowa communities.

Public comments concerning the proposed new chapter will be accepted until 4:30 p.m. on August 29, 2000. Interested persons may submit written or oral comments by contacting Sue Lambertz, Division of Community and Rural Development, Department of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309; telephone (515)242–4922.

A public hearing to receive comments about the proposed new chapter will be held on August 29, 2000, at 10 a.m. at the above address in the Northwest Conference Room located on the second floor. Individuals interested in providing comments at the hearing should contact Sue Lambertz by 4 p.m. on August 28, 2000, to be placed on the hearing agenda.

These rules are intended to implement Iowa Code section 15.108(3) and 2000 Iowa Acts, Senate File 2453, section 4, subsection 3, and 2000 Iowa Acts, Senate File 2428, section 1, subsection 3, paragraph “c.”

The following new chapter is proposed.

CHAPTER 42
RURAL RESOURCE COORDINATION PROGRAMS FOR FIRE SERVICES

261—42.1(78GA,SF2428,SF2453) Purpose. This chapter includes provisions for two programs, Response 2020 and dry hydrants grant program. The purpose of Response 2020 is to assist fire and emergency response departments in the planning, assessment and evaluation of local emergency response services and to support systems to improve service delivery though financial and technical assistance. During fiscal year 2001, up to $200,000 of funding is available to support rural dry hydrant demonstration projects across the state.

261—42.2(78GA,SF2428,SF2453) Program eligibility. Cities, counties, and councils of government may apply on behalf of fire and emergency response departments for these funds. Resource conservation and development councils may apply for dry hydrant funds only. Requests for funding under the dry hydrant program must be made by a consortium of fire departments in order to be considered.

42.3(1) For Response 2020 projects, the maximum grant award shall not exceed $15,000 over a period not to exceed one year.

42.3(2) For the dry hydrant grant program, the maximum grant award shall be $12,500 per each applicant region. A maximum of $2,500 per dry hydrant may be requested.

a. The award amount for dry hydrant projects shall be used for the following activities including, but not limited to: approved training and education in site selection, hydrant location and water acquisition; and the proper use, installation and maintenance of the hydrants.

b. Fire departments requesting funding must obtain a certification of training in dry hydrants from the State of Iowa Community Fire Service Institute or another approved training entity. The review committee established in rule 42.6(78GA,SF2428,SF2453) must approve any training entity other than the State of Iowa Community Fire Service Institute proposed for use under this program.

42.3(3) All applicants must provide 25 percent match for the project. Match may be cash, in–kind services or a combination of the two.

42.4(1) Eligible uses of funds for the Response 2020 program include, but are not limited to:

a. Procurement of consultants to assist in planning and assessment.

b. Payment for the costs associated with technical assistance.

c. Purchase of materials necessary to complete an eligible project.

42.4(2) Dry hydrants grant program. Eligible uses of funds for the dry hydrants grant program include, but are not limited to: purchase of dry hydrant equipment, installation, training and education on the use of dry hydrants.

261—42.5(78GA,SF2428,SF2453) Application procedures. Applications will be requested at least annually on a date to be determined by the department of economic development based on availability of funds. Applications must be submitted on forms prescribed by and available from the department of economic development. Forms may be obtained by contacting the Iowa Department of Economic Development, Division of Community and Rural Development, 200 East Grand, Des Moines, Iowa 50309, or by calling (515) 242–4711.

42.5(1) Application contents shall include, but are not limited to: summary of project, description of geographic area served, information about each service included in the project area, financial information (such as organization budget, tax levies, volunteer staff, and paid personnel).

42.5(2) Application materials must be postmarked by midnight on the established due date. No faxed materials will be accepted.

261—42.6(78GA,SF2428,SF2453) Application review. Applications will be reviewed by a team of no fewer than five members selected from the following organizations: Iowa department of economic development, Iowa Fireman’s Association, state fire marshal, Iowa Fire Chiefs Association, Iowa State University Extension, Iowa League of Cities, Iowa Association of Counties, Institute of Public Affairs–University of Iowa, Iowa department of public health.

42.6(1) Scoring criteria for proposals. Applications will be ranked on the following criteria:

a. Demonstrated need in a given area. Identify proposed service area and show that the area is serviceable by the departments in the area – 125 points possible.

b. Evidence of cooperation and collaboration among neighboring departments – 125 points possible.

c. Evidence of local financial and volunteer commitment to the project – 50 points possible.

d. Evidence of capacity of applicant to implement any resulting action plan – 100 points possible.

e. Completeness of application with all necessary attachments included – 50 points possible.

42.6(2) Additional information needed for dry hydrant grant program. Before an application under the dry hydrant grant program will be reviewed and scored using the criteria in subrule 42.6(1), the following threshold requirements shall be met:

a. Identification of proposed service area and evidence that it is serviceable by applicant organizations.

b. Evidence of availability of suitable, accessible water source in proposed project area.

c. Demonstrated cooperation and participation among applicant departments and other affected entities within the project area.

261—42.7(78GA,SF2428,SF2453) Disbursement of funds. Upon the execution of a contract between the award recipient and the department of economic development, recipients may request funds on a reimbursement basis for funds awarded under the Response 2020 program. For funds awarded to dry hydrant projects, 50 percent of the funds may be paid in advance of completed work activities subject to approval by the department of revenue and finance. Remaining funds will be paid by the department of economic development upon receipt of the following: certification of training, proof of installation, and submission of a work plan to maintain the dry hydrants.

These rules are intended to implement Iowa Code section 15.208(3) and 2000 Iowa Acts, Senate File 2453, section 4, subsection 3, and 2000 Iowa Acts, Senate File 2428, section 1, subsection 3, paragraph “c.”

Pursuant to the authority of Iowa Code sections 15.104 and 15.106, the Iowa Department of Economic Development hereby gives Notice of Intended Action to amend Chapter 57, “Value–Added Agricultural Products and Proc–esses Financial Assistance Program (VAAPFAP),” Iowa Administrative Code.

The proposed amendments add a definition of “loan guarantee,” adopt a new subrule that determines the percent of loan and forgivable loan or grant funds to be included in an award, and rescind the subrule that established the interest rate to be charged for a loan and the repayment terms of an award.

Public comments concerning the proposed amendments will be accepted until 5 p.m. on August 29, 2000. Interested persons may submit written or oral comments by contacting Paul Stueckradt, Iowa Department of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309; telephone (515)242–4897.

A public hearing to receive comments about the proposed amendments will be held on August 29, 2000, at 1 p.m. at the above address in the Business Finance Conference Room on the first floor.

These amendments are intended to implement Iowa Code sections 15E.111 and 15E.112.

The following amendments are proposed.

ITEM 1. Amend rule 261—57.2(15E) by adopting the following new definition in alphabetical order:

“Loan guarantee” means a guarantee of all or part of a loan made by a commercial lender. Payment of all or a portion of the loan guarantee will occur if the business defaults on its repayment of the loan, provided that the lender has exhausted customary legal remedies in an attempt to secure repayment from the borrower.

ITEM 2. Rescind subrule 57.6(2) and adopt the following new subrule in lieu thereof:

57.6(2) Amount.

a. Grants, forgivable loans, and loans shall generally be awarded on the basis of the following:

b. The department reserves the right to provide a higher percentage of loan than indicated above. A higher percentage of grant or forgivable loan may be provided at the discretion of the department director upon a finding that the company being assisted would not be viable without such consideration.

ITEM 3. Rescind subrule 57.6(3).

Pursuant to the authority of Iowa Code section 455B.103A, the Environmental Protection Commission hereby gives Notice of Intended Action to amend Chapter 64, “Wastewater Construction and Operation Permits,” Iowa Administrative Code.

This amendment establishes the pilot project authorized by 2000 Iowa Acts, Senate File 2430, section 18. This legislation authorizes the Department to establish a pilot project to refund fees paid to the Department for issuance of authorizations to discharge storm water under general permits if the authorization is not sent to the applicant within a time period customary for such authorizations.

Any interested person may make written suggestions or comments on the proposed amendments on or before September 1, 2000. Written comments should be directed to Storm Water Coordinator, Iowa 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 September 1, 2000, at 1:30 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, 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 a public hearing and have special requirements such as hearing or mobility impairments should contact the Department of Natural Resources and advise of specific needs.

This amendment was also Adopted and Filed Emergency and is published herein as ARC 0051B. The content of that submission is incorporated by reference.

This amendment is intended to implement Iowa Code chapter 455B, division I.

Pursuant to the authority of Iowa Code section 17A.3, the Department of Human Rights gives Notice of Intended Action to amend Chapter 2, “Public Records and Fair Information Practices,” Iowa Administrative Code.

The amendment of Chapter 2 shall update the Department’s rules on public records and fair information practices.

The Department believes these amendments will bring its fair information practices rules into compliance with the requirements of Iowa Code chapter 22, which requires that state agencies have in their rules a list of records that will be maintained as confidential and that agencies identify records containing personally identifiable information. Records that did not previously exist, or have been ruled as confidential by Iowa courts, must be added to the list whenever there is a change in the status of the record or when the record first appears. This procedure serves to keep the Department’s list accurate for the public’s information.

The proposed amendments serve to update the Department’s list of rules which are either confidential or contain personally identifiable information. Consequently, the Department’s rules will more accurately reflect the records over which it has custody.

Any interested person may make written suggestions or comments on the amendments through August 29, 2000. Such written suggestions or comments should be directed to the Director, Department of Human Rights, Lucas State Office Building, Des Moines, Iowa 50319.

Persons are also invited to present oral or written suggestions or comments at a public hearing which shall be held on August 29, 2000, at 10 a.m. in the Director’s Conference Room, Department of Human Rights, Lucas State Office Building, Des Moines, Iowa. At the hearing, persons shall be asked to confine their remarks to the subjects of the amendments.

These amendments are intended to implement Iowa Code chapters 17A and 22.

The following amendments are proposed.

ITEM 1. Amend rule 421—2.13(22) as follows:

2.13(1) General. Agency records are open for public inspection and copying unless otherwise provided by rule or law.

2.13(2) Confidential records. The following records may be withheld from public inspection.

a. Information pertaining to clients receiving advocacy or referral services. (1988 Iowa Acts, House File 2255 Iowa Code section 216A.6);

b. Tax records made available to the agency. (Iowa Code sections 422.20 and 422.72);

c. Records which are exempt from disclosure under Iowa Code section 22.7;

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

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

f. Those portions of agency staff manuals, instructions or other statements excluded from the definition of “rule.” (Iowa Code section 17A.2(7)“f”);

g. Records which constitute an attorney work product, attorney–client communications, or which are otherwise privileged. (Iowa Code sections 22.7(4), 622.10, and 622.11, and chapter 622B);

2.13(3) Authority to release confidential records. The agency may have discretion to disclose some confidentialrecords which are exempt from disclosure under Iowa Code section 22.7 or other law. Any person may request permission to inspect records withheld from inspection under a statute which authorizes limited or discretionary disclosure as provided in rule 2.4(22). If the agency initially determines that it will release such records, the agency may, where appropriate, notify interested parties and withhold the records from inspection as provided in subrule 2.4(3).

ITEM 2. Amend rule 421—2.14(22) by adopting the following new subrule:

2.14(5) Criminal and juvenile justice information obtained from other agencies.

a. The agency maintains files containing criminal and juvenile justice information obtained from other agencies to conduct research and evaluations, to provide data and analytical information to federal, state and local governments, and to assist other agencies in the use of criminal and juvenile justice data. These files may contain personally identifiable information.

b. The agency maintains these records pursuant to the authority of Iowa Code sections 216A.136 and 216A.138 and by interagency agreements.

c. The information is maintained on paper, some of which is also in computer files, or in computer files and not on paper, or on a data processing system. Some of these files and systems are capable of matching, collating or permitting the comparison of some personally identifiable information.

d. Certain criminal and juvenile justice information contained within these records and record systems is confidential under state or federal law or rule.

Pursuant to the authority of Iowa Code section 217.6 and 2000 Iowa Acts, Senate File 2435, section 13, subsection 2, paragraph “a,” and section 44, the Department of Human Services proposes to amend Chapter 52, “Payment,” and Chapter 177, “In–Home Health Related Care,” appearing in the Iowa Administrative Code.

These amendments increase the maximum and flat State Supplementary Assistance (SSA) residential care facility (RCF) and in–home health related care (IHHRC) reimbursement rate. The maximum RCF reimbursement rate will be increased from $24.26 to $24.50 per day. The flat RCF reimbursement rate will be increased from $17.36 to $17.50 per day. The monthly IHHRC reimbursement rate will be increased from $466.49 to $471.06.

The Seventy–eighth General Assembly directed that the Department may take actions to meet the federal pass–along requirement mandated by Title XVI of the Social Security Act, Section 1618, if necessary. These rate increases are necessary to meet the federal pass–along requirements for calendar year 2000.

In order to comply with the federal pass–along requirement in calendar year 2000, Iowa’s total SSA expenditures must be at least $19,575,651. Based on current projections, the Department projects that calendar year 2000 may be short of this required spending level. Current projections indicate that a 0.98 percent increase in the RCF and IHHRC reimbursement rates is necessary to ensure compliance with the pass–along requirement in calendar year 2000. This spending shortfall is attributable to a decline in in–home health–related care usage.

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

The substance of these amendments is also Adopted and Filed Emergency and is published herein as ARC 0009B. The purpose of this Notice is to solicit comment on that submission, the subject matter of which is incorporated by reference.

Consideration will be given to all written data, views, and arguments thereto received by the Office of Policy Analysis, Department of Human Services, Hoover State Office Building, Des Moines, Iowa 50319–0114, on or before August 30, 2000.

These amendments are intended to implement Iowa Code sections 249.3(2) and 249.4 and 2000 Iowa Acts, Senate File 2435, section 13, subsection 2, paragraph “a.”

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

The proposed amendment removes an unnecessary responsibility from the Iowa Administrative Code. Current administrative rules require hospitals to submit a copy of their medical staff roster annually to the Department of Public Health. After consulting with the Hospital Licensing Board, the Iowa Hospital Association and the Department of Public Health, the Department deems a portion of this subrule to be unnecessary. On March 2, 2000, the Hospital Licensing Board approved the removal of this requirement from the Iowa Administrative Code.

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

Interested persons may make written comments or suggestions on the proposed amendment on or before August 29, 2000. 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, or faxed to (515)242–6863. E–mail may be sent to jkomos@dia.state.ia.us.

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

The following amendment is proposed.

Amend subrule 51.5(1) as follows:

51.5(1) A roster of medical staff members shall be kept, and a copy of the roster shall be reported annually to the state department of public health.

Pursuant to the authority of Iowa Code section 135C.14, the Department of Inspections and Appeals terminates the rule making initiated by its Notice of Intended Action published in the Iowa Administrative Bulletin on February 9, 2000, as ARC 9657A, proposing to amend Chapter 57, “Residential Care Facilities,” and Chapter 58, “Nursing Facilities,” Iowa Administrative Code.

The Notice proposed to correct a numerical reference made to the Iowa Code and update language pertaining to choice of physician and pharmacy in residential care facilities and nursing facilities.

The Department is terminating the rule making commenced in ARC 9657A and will renotice the proposed amendments after the Department has further reviewed the implications of the proposed amendments.

Pursuant to the authority of Iowa Code sections 17A.4 and 147.76, the Board of Pharmacy Examiners hereby terminates the rule making initiated by its Notice of Intended Action published in the Iowa Administrative Bulletin on December 15, 1999, as ARC 9541A, proposing to amend Chapter 1, “Purpose and Organization,” Chapter 3, “License Fees, Renewal Dates, Fees for Duplicate Licenses and Certification of Examination Scores,” Chapter 4, “Pharmacist–Intern Registration and Minimum Standards for Evaluating Practical Experience,” Chapter 6, “General Pharmacy Licenses,” Chapter 7, “Hospital Pharmacy Licenses,” Chapter 15, “Correctional Facility Pharmacy Licenses,” Chapter 16, “Nuclear Pharmacy,” and Chapter 19, “Nonresident Pharmacy Licenses,” Iowa Administrative Code, and to adopt new Chapter 34, “Uniform Rules for Waivers and Variances.”

The Notice proposed to rescind the Board’s current rule regarding procedures for petitions for waiver or variance from rules, to adopt uniform rules regarding petitions for waiver or variance from provisions of Board rules, and to change references directing persons to the appropriate rules. The proposed amendments were in response to Executive Order Number 11.

The Board is terminating the rule making commenced in ARC 9541A due to the provision in Iowa Code section 17A.4(1)“b” requiring that the Board, within 180 days of filing Notice of Intended Action, adopt or terminate proposed rule making. That period expired June 12, 2000. In addition, recent legislative action has prompted the revision of proposed uniform rules for waivers and variances from administrative rules. Such revision is expected to require significant changes to the Board’s rules as proposed in ARC 9541A. The Board intends, after review of legislation and proposed new uniform rules, to again file Notice of Intended Action regarding this subject.

Pursuant to the authority of Iowa Code section 147.53, the Professional Licensure Division hereby gives Notice of Intended Action to adopt Chapter 18, “Waivers or Variances from Administrative Rules,” Iowa Administrative Code.

This chapter allows for waivers or variances in compliance with 2000 Iowa Acts, House File 2206, and is being proposed by the Division to save duplication in each individual board’s administrative rules.

Any interested person may make written comments on the proposed chapter no later than September 6, 2000, addressed to Rosalie Steele, Professional Licensure Division, Department of Public Health, Lucas State Office Building, Des Moines, Iowa 50319–0075.

A public hearing will be held on September 6, 2000, from 1 to 3 p.m. in the Fifth Floor Board Conference Room, Lucas State Office Building, Des Moines, Iowa, at which time persons may present their views either orally or in writing. At the hearing, persons will be asked to give their names and addresses for the record and to confine their remarks to the subject of the proposed rules.

The Division has determined that the rules will have favorable impact on small business within the meaning of Iowa Code Supplement section 17A.4A(2)“b.”

This amendment is intended to implement 2000 Iowa Acts, House File 2206, Iowa Code chapter 17A as amended by 1998 Iowa Acts, chapter 1202, and Iowa Code chapters 21, 22, 147 and 272C.

The following new chapter is proposed:

CHAPTER 18
WAIVERS OR VARIANCES
FROM ADMINISTRATIVE RULES

645—18.1(17A,147,272C) Definition. For purposes of this chapter:

“Board” means a particular professional licensing board in the division of professional licensure.

“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.”

645—18.2(17A,147,272C) Scope of chapter. This chapter outlines generally applicable standards and a uniform proc–ess 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.

645—18.3(17A,147,272C) Applicability of chapter. The board may only grant a waiver from a rule 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.

645—18.4(17A,147,272C) Criteria for waiver or variance. In response to a petition completed pursuant to rule 645—18.6(17A,147,272C), 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 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.

645—18.5(17A,147,272C) Filing of petition. A petition for a waiver must be submitted in writing to the board, as follows:

18.5(1) License application. If the petition relates to a license application, the petition shall be made in accordance with the filing requirements for the license in question and submitted to the board administrator.

18.5(2) 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, and submitted to the board administrator.

18.5(3) Other. If the petition does not relate to a license application or a pending contested case, the petition may be submitted to the board’s administrator.

645—18.6(17A,147,272C) 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 being 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 645—18.4(17A,147,272C). 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 or license affected by the proposed waiver, including a description of each affected license held by the requester, any notices of violation, contested case hearings, or investigative reports relating to the regulated activity or license within the last 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 grant of a waiver.

8. The name, address, and telephone number of any person or entity that would be adversely affected by the grant 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.

645—18.7(17A,147,272C) 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 administrator, a committee of the board, or a quorum of the board.

645—18.8(17A,147,272C) Notice. The board shall acknowledge a petition upon its receipt in the board administrator’s office. The board shall ensure that notice of the pending petition and a concise summary of its contents have been provided to all persons to whom notice is required by any provision of law within 30 days of the receipt of the petition. 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.

645—18.9(17A,147,272C) 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 agency proceedings for a waiver only when the board so provides by rule or order or is required to do so by statute.

645—18.10(17A,147,272C) 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.

18.10(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.

18.10(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.

18.10(3) Narrowly tailored. A waiver, if granted, shall provide the narrowest exception possible to the provisions of a rule.

18.10(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.

18.10(5) Conditions. The board may place any condition on a waiver that the board finds desirable to protect the public health, safety, and welfare.

18.10(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.

18.10(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.

18.10(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.

18.10(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.

645—18.11(17A,147,272C) 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 a waiver petition 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.

645—18.12(17A,147,272C) Summary reports. Semiannually, each 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.

645—18.13(17A,147,272C) Cancellation of a waiver. A waiver issued by a 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.

645—18.14(17A,147,272C) 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.

645—18.15(17A,147,272C) 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.

645—18.16(17A,147,272C) 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. Any appeal to district court shall be taken within 30 days from the date of issuance of the decision by the board pursuant to Iowa Code section 17A.19.

These rules are intended to implement 2000 Iowa Acts, House File 2206.

Pursuant to the authority of Iowa Code section 135.105A, the Department of Public Health hereby gives Notice of Intended Action to amend Chapter 70, “Lead Professional Certification,” Iowa Administrative Code.

Iowa Code section 135.105A directs the Department of Public Health to establish a program for the training and certification of lead inspectors and lead abaters and states that a person shall not perform lead abatement or lead inspections unless the person has completed a training program approved by the Department and has obtained certification. Property owners are required to be certified only if the property in which they will perform lead inspections or lead abatement is occupied by a person other than the owner or a member of the owner’s immediate family while the measures are being performed. A person may be certified as both a lead inspector and a lead abater. However, a person who is certified as both shall not provide both inspection and abatement services at the same site unless a written consent or waiver, following full disclosure by the person, is obtained from the owner or manager of the site. Iowa’s law stipulates that it could take effect only after the Department of Public Health obtained authorization from the U.S. Environmental Protection Agency (EPA) for its program to train and certify lead inspectors and abaters. Iowa’s program was authorized by the U.S. EPA on July 13, 1999.

The proposed amendments incorporate EPA’s final comments on Iowa’s regulations, add definitions and other provisions to clarify the regulations, and add provisions to assist housing rehabilitation agencies and public housing authorities in complying with U.S. Department of Housing and Urban Development (HUD) regulations that become effective on September 15, 2000.

EPA has informed the Department that these regulations must incorporate provisions for the certification of firms that conduct lead–based paint activities in addition to the certification of individuals, so these provisions have been added to these regulations.

To clarify the current regulations, the Department has added definitions for “clearance testing,” “composite sampling,” and “elevated blood lead (EBL) inspection agency,” and modified the definition of “firm.” In addition, the Department has added several subjects that are customarily included in training courses to the required content for these courses. The Department has added provisions to clarify that the elevated blood lead (EBL) inspector/risk assessor training course builds on the lead inspector/risk assessor course and that the lead inspector/risk assessor course builds on the visual risk assessor course. Therefore, visual risk assessor training can be upgraded to lead inspector/risk assessor training and lead inspector/risk assessor training can be upgraded to elevated blood lead (EBL) inspector/risk assessor training if a training provider chooses to offer courses consisting of the additional topics needed for the upgraded training. In addition, the project designer course builds on the lead abatement contractor course, and the lead abatement contractor course builds on the lead abatement worker course. Lead abatement worker training can be upgraded to lead abatement contractor training and lead abatement contractor training can be upgraded to project designer training if a training provider chooses to offer courses consisting of the additional topics needed for the upgraded training. The Department has added provisions to consider applications for certification as a lead professional from individuals who have been certified in other states. The Department has clarified the procedures for lead abatement contractors to notify the Department prior to beginning a lead abatement project. Finally, the Department has added work practice standards for clearance testing.

The Department has added a number of provisions to assist housing rehabilitation agencies and public housing authorities in complying with HUD regulations that become effective on September 15, 2000. The Iowa Department of Economic Development, local housing rehabilitation agencies, and public housing authorities have asked the Department to make these changes to the regulations. The Department has added a definition of “clearance testing” and changed the definition of “lead–contaminated dust” to reflect that activities conducted pursuant to 24 CFR 35.1340 must comply with the dust lead levels contained in this federal regulation. The definition of “lead professional” has been modified to include clearance testing. The Department has added definitions for “ongoing maintenance,” “paint stabilization,” “rehabilitation,” and “standard treatments,” and has modified the definition of “visual inspection for clearance testing.” The Department has added four hours of training time and several additional topics to the requirements for the visual risk assessor training course and has clarified the procedures for previously certified visual risk assessors to upgrade their certifications to meet the new requirements. By adding all of these provisions, employees of housing rehabilitation agencies and public housing authorities can comply with 24 CFR 35.1340 by completing 20 hours of training and becoming certified as a visual risk assessor. Without these new provisions, employees of housing rehabilitation agencies and public housing authorities would need to complete 40 hours of training and become certified as lead inspector/risk assessors to comply with 24 CFR 35.1340.

The Department has determined that these rules are not subject to waiver or variance because Iowa’s program must be as protective as the U.S. EPA regulations which do not allow variances or waivers.

Consideration will be given to all written suggestions or comments on the proposed amendments received on or before August 29, 2000. Such written materials should be sent to the Lead Poisoning Prevention Program, Department of Public Health, Lucas State Office Building, Des Moines, Iowa, 50319; E–mail rgergely@idph.state.ia.us; fax (515) 281–4529.

Also, there will be a public hearing on August 29, 2000, at 10 a.m. (local Iowa time) over the Iowa Communications Network (ICN) at which time persons may present their views. The sites for the public hearing are as follows:

• A–H–S–T High School ICN Classroom

768 South Maple

Avoca, Iowa

• Belmond–Klemme High School ICN Classroom

411 10th Avenue NE

Belmond, Iowa

• Iowa Department of Public Health

ICN Room

6th Floor, Lucas Building

Des Moines, Iowa

• Mormon Trail Jr–Sr High School

ICN Classroom

Main Street

Garden Grove, Iowa

• Lone Tree Jr–Sr High School

ICN Classroom

303 South Devoes Street

Lone Tree, Iowa

• Office of Educational Services

ICN Room

Archdiocesan Pastoral Center

1229 Mount Loretta

Dubuque, Iowa

• Sergeant Bluff–Luton Senior High School

ICN Classroom

Port Neal Road

Sergeant Bluff, Iowa

• Waverly–Shell Rock Community High School

ICN Classroom

1405 4th Avenue SW

Waverly, Iowa

These amendments are intended to implement Iowa Code section 135.105A.

The following amendments are proposed.

Amend 641—Chapter 70 as follows:

CHAPTER 70
LEAD PROFESSIONAL CERTIFICATION

641—70.1(135) Applicability. Prior to March 1, 2000, this chapter applies to all persons who are certified lead professionals in Iowa. Beginning March 1, 2000, this chapter applies to all persons who are lead professionals in Iowa. While this chapter requires lead professionals to be certified and establishes specific requirements for how to perform lead–based paint activities if a property owner, manager, or occupant chooses to undertake them, nothing in this chapter requires a property owner, manager, or occupant to undertake any particular lead–based paint activity.

“Adequate quality control” means a plan or design which ensures the authenticity, integrity, and accuracy of samples, including dust, soil, and paint chip or paint film samples. Adequate quality control also includes provisions for representative sampling.

“Approved course” means a course that has been approved by the department for the training of lead professionals.

“Certified elevated blood lead (EBL) inspection agency” means an agency that has met the requirements of 641—70.5(135) and that has been certified by the department.

“Certified elevated blood lead (EBL) inspector/risk assessor” means a person who has met the requirements of 641—70.5(135) for certification or interim certification and who has been certified by the department.

“Certified lead abatement contractor” means a person who has met the requirements of 641—70.5(135) for certification or interim certification and who has been certified by the department.

“Certified lead abatement worker” means a person who has met the requirements of 641—70.5(135) and who has been certified by the department.

“Certified lead inspector/risk assessor” means a person who has met the requirements of 641—70.5(135) for certification or interim certification and who has been certified by the department.

“Certified lead professional” means a person who has been certified by the department as a lead inspector/risk assessor, elevated blood lead (EBL) inspector/risk assessor, lead abatement contractor, lead abatement worker, project designer, or visual risk assessor.

“Certified project designer” means a person who has met the requirements of 641—70.5(135) for certification or interim certification and who has been certified by the department.

“Certified visual risk assessor” means a person who has met the requirements of 641—70.5(135) and who has been certified by the department.

“Child–occupied facility” means a building, or portion of a building, constructed prior to 1978, visited by the same child under the age of six years, on at least two different days within any week (Sunday through Saturday period, provided that each day’s visit lasts at least three hours and the combined weekly visits last at least six hours). Child–occupied facilities may include, but are not limited to, day–care centers, preschools, and kindergarten classrooms.

“Clearance levels” means values that indicate the maximum amount of lead permitted in dust on a surface following completion of an abatement activity. These values are 100 micrograms per square foot on floors, 500 micrograms per square foot on windowsills, and 800 micrograms per square foot on window troughs.

“Common area” means a portion of the building that is generally accessible to all occupants. This includes, but is not limited to, hallways, stairways, laundry and recreational rooms, playgrounds, community centers, garages, and boundary fences.

“Component” or “building component” means specific design or structural elements or fixtures of a building, residential dwelling, or child–occupied facility that are distinguished from each other by form, function, and location. These include, but are not limited to, interior components such as ceilings, crown moldings, walls, chair rails, doors, door trim, floors, fireplaces, radiators and other heating units, shelves, shelf supports, stair treads, stair risers, stair stringers, newel posts, railing caps, balustrades, windows and trim (including sashes, window heads, jambs, sills or stools and troughs), built–in cabinets, columns, beams, bathroom vanities, countertops, and air conditions; and exterior components such as painted roofing, chimneys, flashing, gutters and downspouts, ceilings, soffits, fascias, rake boards, cornerboards, bulkheads, doors and door trim, fences, floors, joists, latticework, railings and railing caps, siding, handrails, stair risers and treads, stair stringers, columns, balustrades, windowsills or stools and troughs, casing, sashes and wells, and air conditioners.

“Containment” means a process to protect workers andthe environment by controlling exposures to the lead–contaminated dust and debris created during an abatement.

“Course agenda” means an outline of the key topics to be covered during a training course, including the time allotted to teach each topic.

“Course test” means an evaluation of the overall effectiveness of the training which shall test the trainees’ knowledge and retention of the topics covered during the course.

“Course test blueprint” means written documentation identifying the proportion of course test questions devoted to each major topic in the course curriculum.

“Department” means the Iowa department of public health.

“Deteriorated paint” means paint that is cracking, flaking, chipping, peeling, or otherwise separating from the substrate of a building component.

“Discipline” means one of the specific types or categories of lead–based paint activities identified in this chapter for which individuals may receive training from approved courses and become certified by the department. For example, “lead inspector/risk assessor” is a discipline.

“Distinct painting history” means the application history, as indicated by its visual appearance or a record of application, over time, of paint or other surface coatings to a component or room.

“Documented methodologies” means methods or protocols used to sample for the presence of lead in paint, dust, and soil.

“Elevated blood lead (EBL) child” means any child who has had one venous blood lead level greater than or equal to 20 micrograms per deciliter or at least two venous blood lead levels of 15 to 19 micrograms per deciliter.

“Elevated blood lead (EBL) inspection” means an inspection to determine the sources of lead exposure for an elevated blood lead (EBL) child and the provision within ten working days of a written report explaining the results of the investigation to the owner and occupant of the residential dwelling or child–occupied facility being inspected and to the parents of the elevated blood lead (EBL) child.

“Encapsulant” means a substance that forms a barrier between lead–based paint and the environment using a liquid–applied coating (with or without reinforcement materials) or an adhesively bonded coating material.

“Encapsulation” means the application of an encapsulant.

“Enclosure” means the use of rigid, durable construction materials that are mechanically fastened to the substrate in order to act as a barrier between lead–based paint and the environment.

“Firm” means a company, partnership, corporation, sole proprietorship, association, or other business entity, other than an elevated blood lead (EBL) inspection agency, that performs or offers to perform lead–based paint activities.

“Guest instructor” means an individual designated by the training program manager or principal instructor to provide instruction specific to the lecture, hands–on work activities, or work practice components of a course.

“Hands–on skills assessment” means an evaluation which tests the trainees’ ability to satisfactorily perform the work practices and procedures identified in 641—70.6(135), as well as any other skill taught in a training course.

“Hazardous waste” means any waste as defined in 40 CFR 261.3.

“Interim controls” means a set of measures designed to temporarily reduce human exposure or likely exposure to lead–based paint hazards, including repairing deteriorated lead–based paint, specialized cleaning, maintenance, painting, temporary containment, ongoing monitoring of lead–based paint hazards or potential hazards, and the establishment and operation of management and resident education programs.

“Lead abatement” means any measure or set of measures designed to permanently eliminate lead–based paint hazards in a residential dwelling or child–occupied facility. Abatement includes, but is not limited to, (1) the removal of lead–based paint and lead–contaminated dust, the permanent enclosure or encapsulation of lead–based paint, the replacement of lead–painted surfaces or fixtures, and the removal or covering of lead–contaminated soil and (2) all preparation, cleanup, disposal, and postabatement clearance testing activities associated with such measures. Lead abatement specifically includes, but is not limited to, (1) projects for which there is a written contract or other documentation, which provides that an individual will be conducting activities in or to a residential dwelling or child–occupied facility that shall result in or are designed to permanently eliminate lead–based paint hazards, (2) projects resulting in the permanent elimination of lead–based paint hazards, (3) projects resulting in the permanent elimination of lead–based paint hazards that are conducted by firms or individuals who, through their company name or promotional literature, represent, advertise, or hold themselves out to be in the business of performing lead–based paint abatement, and (4) projects resulting in the permanent elimination of lead–based paint that are conducted in response to an abatement order. Abatement does not include renovation, remodeling, landscaping, or other activities, when such activities are not designed to permanently eliminate lead–based paint hazards, but, instead, are designed to repair, restore, or remodel a given structure or dwelling, even though these activities may incidentally result in a reduction or elimination of lead–based paint hazards. Furthermore, abatement does not include interim controls, operations and maintenance activities, or other measures and activities designed to temporarily, but not permanently, reduce lead–based paint hazards.

“Lead–based paint” means paint or other surface coatings that contain lead equal to or in excess of 1.0 milligram per square centimeter or more than 0.5 percent by weight.

“Lead–based paint activities” means, in the case of target housing and child–occupied facilities, lead inspection, elevated blood lead (EBL) inspection, lead hazard screen, risk assessment, lead abatement, and visual risk assessment, clearance testing conducted after lead abatement, and clearance testing conducted after interim controls, paint stabilization, standard treatments, ongoing lead–based paint maintenance, or rehabilitation pursuant to 24 CFR 35.1340.

“Lead–based paint hazard” means any condition that causes exposure to lead from lead–contaminated dust, lead–contaminated soil, or lead–based paint that is deteriorated or present in accessible surfaces, friction surfaces, and impact surfaces that would result in adverse human health effects.

“Lead–contaminated dust” means surface dust in residential dwellings or child–occupied facilities that contains in excess of 100 micrograms per square foot on floors, 500 micrograms per square foot on windowsills, and 800 micrograms per square foot on window troughs. For lead–based paint activities conducted pursuant to 24 CFR 35.1340, the standards specified by 24 CFR 35.1340 for lead–contaminated dust shall apply.

“Lead–contaminated soil” means bare soil on residential real property and on the property of a child–occupied facility that contains lead in excess of 400 parts per million for areas where child contact is likely and in excess of 2,000 parts per million if child contact is not likely.

“Lead hazard screen” means a limited risk assessment activity that involves limited paint and dust sampling.

“Lead inspection” means a surface–by–surface investigation to determine the presence of lead–based paint and a determination of the existence, nature, severity, and location of lead–based paint hazards in a residential dwelling or child–occupied facility and the provision of a written report explaining the results of the investigation and options for reducing lead–based paint hazards to the person requesting the lead inspection.

“Lead professional” means a person who conducts lead abatement, lead inspections, elevated blood lead (EBL) inspections, lead hazard screens, risk assessments, or visual risk assessments, clearance testing after lead abatement, or clearance testing after interim controls, paint stabilization, standard treatments, ongoing lead–based paint maintenance, or rehabilitation pursuant to 24 CFR 35.1340.

“Living area” means any area of a residential dwelling used by at least one child under the age of six years, including, but not limited to, living rooms, kitchen areas, dens, playrooms, and children’s bedrooms.

“Multifamily dwelling” means a structure that contains more than one separate residential dwelling unit, which is used or occupied, or intended to be used or occupied, in whole or in part, as the home or residence of one or more persons.

“Occupant protection plan” means a plan developed by a certified lead abatement contractor prior to the commencement of lead abatement in a residential dwelling or child–occupied facility that describes the measures and management procedures that will be taken during lead abatement to protect the building occupants from exposure to any lead–based paint hazards.

“Permanently covered soil” means soil which has been separated from human contact by the placement of a barrier consisting of solid, relatively impermeable materials, such as pavement or concrete. Grass, mulch, and other landscaping materials are not considered permanent covering.

“Principal instructor” means the individual who has the primary responsibility for organizing and teaching a particular course.

“Recognized laboratory” means an environmental laboratory recognized by the U.S. Environmental Protection Agency pursuant to Section 405(b) of the federal Toxic Substance Control Act as capable of performing an analysis for lead compounds in paint, soil, and dust.

“Reduction” means measures designed to reduce or eliminate human exposure to lead–based paint hazards through methods including interim controls and abatement.

“Refresher training course” means a course taken by a certified lead professional to maintain certification in a particular discipline.

“Residential dwelling” means (1) a detached single–family dwelling unit, including the surrounding yard, attached structures such as porches and stoops, and detached buildings and structures including, but not limited to, garages, farm buildings, and fences, or (2) a single–family dwelling unit in a structure that contains more than one separate residential dwelling unit, which is used or occupied, or intended to be used or occupied, in whole or part, as the home or residence of one or more persons.

“Risk assessment” means an investigation to determine the existence, nature, severity, and location of lead–based paint hazards in a residential dwelling or child–occupied facility and the provision of a written report explaining the results of the investigation and options for reducing lead–based paint hazards to the person requesting the risk assessment.

“State certification examination” means a discipline–specific examination approved by the department to test the knowledge of a person who has completed an approved training course and is applying for certification in a particular discipline. The state certification examination may not be administered by the provider of an approved course.

“Target housing” means housing constructed prior to 1978 with the exception of housing for the elderly or for persons with disabilities and housing which does not contain a bedroom, unless at least one child under the age of six years resides or is expected to reside in the housing for the elderly or persons with disabilities or housing which does not contain a bedroom.

“Training hour” means at least 50 minutes of actual learning, including, but not limited to, time devoted to lecture, learning activities, small group activities, demonstrations, evaluations, or hands–on experience.

“Training manager” means the individual responsible for administering an approved course and monitoring the performance of principal instructors and guest instructors.

“Training program” means a person or organization sponsoring a lead professional training course.

“Visual inspection for clearance testing” means the visual examination of a residential dwelling or a child–occupied facility following an lead abatement or following interim controls, paint stabilization, standard treatments, ongoing lead–based paint maintenance, or rehabilitation pursuant to 24 CFR 35.1340 to determine whether or not the lead abatement, interim controls, paint stabilization, standard treatments, ongoing lead–based paint maintenance, or rehabilitation has been successfully completed.

“Visual risk assessment” means a visual assessment to determine the presence of deteriorated paint or other potential sources of lead–based paint hazards in a residential dwelling or child–occupied facility and the provision of a written report explaining the results of the assessment to the person requesting the visual risk assessment.

“X–ray fluorescence analyzer (XRF)” means an instrument that determines lead concentrations in milligrams per square centimeter (mg/cm²) using the principle of X–ray fluorescence.

641—70.3(135) Certification. Prior to March 1, 2000, lead professionals may be certified by the department. Beginning March 1, 2000, lead professionals and firms must be certified by the department in the appropriate discipline before they conduct lead abatement, clearance testing after lead abatement, lead inspections, elevated blood lead (EBL) inspections, lead hazard screens, risk assessments, and visual risk assessments, except persons who perform these activities within residential dwellings that they own, unless the residential dwelling is occupied by a person other than the owner or a member of the owner’s immediate family while these activities are being performed. In addition, elevated blood lead (EBL) inspections shall be conducted only by certified elevated blood lead (EBL) inspector/risk assessors employed by or under contract with a certified elevated blood lead (EBL) inspection agency. Beginning September 15, 2000, clearance testing after interim controls, paint stabilization, standard treatments, ongoing lead–based paint maintenance, andrehabilitation pursuant to 24 CFR 35.1340 shall be conducted only by certified visual risk assessors, certified lead inspector/risk assessors, or certified elevated blood lead (EBL) inspectors. Lead professionals and firms shall not state that they have been certified by the state of Iowa unless they have met the requirements of rule 70.5(135) and been issued a certificate by the department. Prior to March 1, 2000, elevated blood lead (EBL) inspection agencies may be certified by the department. Beginning March 1, 2000, elevated blood lead (EBL) inspection agencies must be certified by the department. Elevated blood lead (EBL) inspection agencies shall not state that they have been certified by the state of Iowa unless they have met the requirements of rule 70.5(135) and been issued a certificate by the department.

641—70.4(135) Course approval and standards. Prior to March 1, 1999, lead professional training courses for initial certification and refresher training may be approved by the department. Beginning March 1, 1999, lead professional training courses for initial certification and refresher training must be approved by the department. Training programs shall not state that they have been approved by the state of Iowa unless they have met the requirements of rule 70.4(135) and been issued a letter of approval by the department.

70.4(1) and 70.4(2) No change.

70.4(3) To be approved for the training of lead inspector/risk assessors prior to March 1, 1999, a course must beat least 24 training hours with a minimum of 8 hours devoted to hands–on training activities. Beginning March 1, 1999, a course must be at least 40 training hours with a minimum of 12 hours devoted to hands–on training activities. Leadinspector/risk assessor training courses shall cover at least the following subjects (requirements ending in an asterisk (*) indicate areas that require hands–on activities as an integral component of the course):

a. Role and responsibilities of an inspector/risk assessor.

b. Background information on lead and its adverse health effects, how children and adults are exposed to lead, and how to prevent lead exposure in children and adults.

c. Background information on federal, state, and local regulations and guidance that pertain to lead–based paint and lead–based paint activities.

d. Lead–based paint inspection methods, including selection of rooms and components for sampling or testing to determine if a property is free of lead–based paint as specified in the Guidelines for the Evaluation and Control of Lead–Based Paint Hazards in Housing (1995, U.S. Department of Housing and Urban Development), and methods to determine if lead–based paint hazards are present in a property.*

e. Paint, dust, and soil sampling methodologies.*

f. Clearance standards and testing, including random sampling.*

g. Collection of background information to perform a risk assessment.

h. Sources of environmental lead contamination such as paint, surface dust and soil, and water.

i. Visual inspection to identify lead–based paint hazards.*

j. Lead hazard screen protocol.

k. Visual risk assessment protocol.

l. Sampling for other sources of lead exposure.*

m. Interpretation of lead–based paint and other lead sampling results, including all applicable federal, state, and local guidance or regulations pertaining to lead–based paint hazards.*

n. Development of hazard control options, the role of interim controls, and operations and maintenance activities to reduce lead–based paint hazards.

o s. Preparation of the final inspection report.

p t. Record keeping.

q u. The course shall conclude with a course test and, if applicable, a hands–on skills assessment. The student must achieve a score of at least 80 percent on the examination and successfully complete the hands–on skills assessment to successfully complete the course.

70.4(4) 70.4(5) To be approved for the training of elevated blood lead (EBL) inspector/risk assessors prior to March 1, 1999, a course must be at least 32 training hours with a minimum of 8 hours devoted to hands–on training activities. Beginning March 1, 1999, a course must be at least 48 training hours with a minimum of 12 hours devotedto hands–on training activities. Elevated blood lead (EBL) inspector/risk assessor training courses shall cover at least the following subjects (requirements ending in an asterisk (*) indicate areas that require hands–on activities as an integral component of the course):

a. Role and responsibilities of an elevated blood lead (EBL) inspector/risk assessor.

b. Background information on lead and its adverse health effects, how children and adults are exposed to lead, and how to prevent lead exposure in children and adults.

c. Background information on federal, state, and local regulations and guidance that pertain to lead–based paint and lead–based paint activities.

d. Lead–based paint inspection methods, including selection of rooms and components for sampling or testing to determine if a property is free of lead–based paint as specified in the Guidelines for the Evaluation and Control of Lead–Based Paint Hazards in Housing (1995, U.S. Department of Housing and Urban Development), and methods to determine if lead–based paint hazards are present in a property.*

e. Paint, dust, and soil sampling methodologies.*

f. Clearance standards and testing, including random sampling.*

g. Collection of background information to perform a risk assessment.

h. Sources of environmental lead contamination such as paint, surface dust and soil, and water.

i. Visual inspection to identify lead–based paint hazards.*

j. Lead hazard screen protocol.

k. Visual risk assessment protocol.

l. Sampling for other sources of lead exposure.*

m. Interpretation of lead–based paint and other lead sampling results, including all applicable federal, state, and local guidance or regulations pertaining to lead–based paint hazards.*

n. Development of hazard control options, the role of interim controls, and operations and maintenance activities to reduce lead–based paint hazards.*

o s. Preparation of the final inspection report.

p t. Record keeping.

q u. Environmental and medical case management of elevated blood lead (EBL) children.

r v. The course shall conclude with a course test and, if applicable, a hands–on skills assessment. The student must achieve a score of at least 80 percent on the examination and successfully complete the hands–on skills assessment to successfully complete the course.

70.4(5) 70.4(8) To be approved for the training of lead abatement contractors, a course must be at least 40 training hours with a minimum of 12 hours devoted to hands–on activities and shall cover at least the following subjects (requirements ending in an asterisk (*) indicate areas that require hands–on activities as an integral component of the course):

a. Role and responsibilities of a lead abatement contractor.

b. Background information on lead and its adverse health effects, how children and adults are exposed to lead, and how to prevent lead exposure in children and adults.

c. Background information on federal, state, and local regulations and guidance that pertain to lead–based paint and lead–based paint activities.

d. Liability and insurance issues relating to lead–based paint abatement.

e. Identification of lead–based paint and lead–based paint hazards.*

f. Interpretation of lead inspection reports.*

g. Development and implementation of an occupant protection plan and abatement report.

h. Respiratory protection and protective clothing.*

i. Employee information and training.

j. Approved methods for conducting lead–based paint abatement and interim controls.*

k. Prohibited methods for conducting lead–based paint abatement and interim controls.

l. Interior dust abatement and cleanup.*

m. Soil and exterior dust abatement and cleanup.*

n. Clearance standards and testing, including random sampling.

o. Cleanup and waste disposal.

p. Record keeping.

q. The course shall conclude with a course test and, if applicable, a hands–on skills assessment. The student must achieve a score of at least 80 percent on the examination and successfully complete the hands–on skills assessment to successfully complete the course.

70.4(6) 70.4(10) To be approved for the training of lead abatement workers, a course must be at least 24 training hours with a minimum of 8 hours devoted to hands–on activities and shall cover at least the following subjects (requirements ending in an asterisk (*) indicate areas that require hands–on activities as an integral component of the course):

a. Role and responsibilities of a lead abatement worker.

b. Background information on lead and its adverse health effects, how children and adults are exposed to lead, and how to prevent lead exposure in children and adults.

c. Background information on federal, state, and local regulations and guidance that pertain to lead–based paint and lead–based paint activities.

d. Identification of lead–based paint and lead–based paint hazards.*

e. Approved methods for conducting lead–based paint abatement and interim controls.*

f. Prohibited methods for conducting lead–based paint abatement and interim controls.

g. Interior dust abatement and cleanup.*

h. Soil and exterior dust abatement and cleanup.*

i. Cleanup and waste disposal.

j. Respiratory protection and protective clothing.*

k. Personal hygiene.

l. The course shall conclude with a course test and, if applicable, a hands–on skills assessment. The student must achieve a score of at least 80 percent on the examination and successfully complete the hands–on skills assessment to successfully complete the course.

70.4(7) 70.4(11) To be approved for the training of visual risk assessors prior to September 15, 2000, a course must be at least 16 training hours with a minimum of 4 hours devoted to hands–on activities. Beginning September 15, 2000, a course must be at least 20 training hours with a minimum of 6 hours devoted to hands–on training activities. and The training course shall cover at least the following subjects (requirements ending in an asterisk (*) indicate areas that require hands–on activities as an integral component of the course):

a. Role and responsibilities of a visual risk assessor.

b. Background information on lead and its adverse health effects, how children and adults are exposed to lead, and how to prevent lead exposure in children and adults.

c. Background information on federal, state, and local regulations and guidance that pertain to lead–based paint and lead–based paint activities.

d. Methods of conducting visual risk assessments.*

e. Paint, dust, and soil sampling methodologies.*

f. Clearance standards and testing, including random sampling.*

g. Identification of lead–based paint hazards.*

h n. Preparation of the final assessment report.

i p. Record keeping.

j q. The course shall conclude with a course test and, if applicable, a hands–on skills assessment. The student must achieve a score of at least 80 percent on the examination and successfully complete the hands–on skills assessment to successfully complete the course.

70.4(8) 70.4(12) To be approved for the training of project designers, a course must be at least 48 instructional training hours with a minimum of 12 hours devoted to hands–on activities and shall cover at least the following subjects (requirements ending in an asterisk (*) indicate areas that require hands–on activities as an integral component of the course):

a. Role and responsibilities of a lead abatement contractor.

b. Background information on lead and its adverse health effects, how children and adults are exposed to lead, and how to prevent lead exposure in children and adults.

c. Background information on federal, state, and local regulations and guidance that pertain to lead–based paint and lead–based paint activities.

d. Liability and insurance issues relating to lead–based paint abatement.

e. Identification of lead–based paint and lead–based paint hazards.*

f. Interpretation of lead inspection reports.*

g. Development and implementation of an occupant protection plan and abatement report.

h. Respiratory protection and protective clothing.*

i. Employee information and training.

j. Approved methods for conducting lead–based paint abatement and interim controls.*

k. Prohibited methods for conducting lead–based paint abatement and interim controls.

l. Interior dust abatement and cleanup.*

m. Soil and exterior dust abatement and cleanup.*

n. Clearance standards and testing, including random sampling.

o. Cleanup and waste disposal.

p. Record keeping.

q. Role and responsibilities of a project designer.

r. Development and implementation of an occupant protection plan for large–scale abatement projects.

s. Lead–based paint abatement and lead–based paint hazard reduction methods, including restricted practices for large–scale abatement projects.

t. Interior dust abatement/cleanup or lead hazard control and reduction methods for large–scale abatement proj–ects.

u. Clearance standards and testing for large–scale abatement projects.

v. Integration of lead–based paint abatement methods with modernization and rehabilitation projects for large–scale abatement projects.

w. The course shall conclude with a course test and, if applicable, a hands–on skills assessment. The student must achieve a score of at least 80 percent on the examination and successfully complete the hands–on skills assessment to successfully complete the course.

70.4(9) 70.4(15) To be approved for refresher training of visual risk assessors, lead abatement contractors, lead abatement workers, and project designers, a course must be at least 8 training hours. To be approved for refresher trainingof lead inspector/risk assessors who completed an approved 24–hour training course or elevated blood lead (EBL)inspector/risk assessors who completed an approved 32–hour training course, a course must be at least 8 training hours to meet the recertification requirements of subrule 70.5(3). To be approved for refresher training of lead inspector/risk assessors and elevated blood lead (EBL) inspector/risk assessors to meet the recertification requirements of subrule 70.5(5) 70.5(6), a course must be at least 16 training hours. All refresher courses shall cover at least the following topics:

a. A review of the curriculum topics of the initial certification course for the appropriate discipline as listed in subrules 70.4(3) to 70.4(8) 70.4(14).

b. An overview of current safety practices relating to lead–based paint activities in general, as well as specific information pertaining to the appropriate discipline.

c. Current laws and regulations relating to lead–based paint activities in general, as well as specific information pertaining to the appropriate discipline.

d. Current technologies relating to lead–based paint activities in general, as well as specific information pertaining to the appropriate discipline.

e. The course shall conclude with a course test and, if applicable, a hands–on skills assessment. The student must achieve a score of at least 80 percent on the examination and successfully complete the hands–on skills assessment to successfully complete the course.

70.4(10) 70.4(16) Approvals of training courses shall expire three years after the date of issuance. The training manager shall submit the following at least 90 days prior to the expiration date for a course to be reapproved:

a. Sponsoring organization name, contact person, address, and telephone number.

b. A list of the courses for which reapproval is sought.

c. A description of any changes to the training staff, facility, equipment, or course materials since the approval of the training program.

d. A statement signed by the training manager stating that the training program complies at all times with rule 70.4(135).

e. A nonrefundable fee of $200.

70.4(11) 70.4(17) The department shall consider a request for approval of a training course that has been approved by a state or tribe authorized by the U.S. Environmental Protection Agency.

a. The course shall be approved if it meets the requirements of rule 70.4(135).

b. If the course does not meet all of the requirements of rule 70.4(135), the department shall inform the training provider of additional topics and training hours that are needed to meet the requirements of rule 70.4(135).

70.5(1) to 70.5(3) No change.

70.5(4) 70.5(5) All agencies that perform or offer to perform elevated blood lead (EBL) inspections after September 15, 2000, must be certified by the department. An agency wishing to become a certified elevated blood lead (EBL) inspection agency shall apply on forms supplied by the department. The agency must submit:

a. A completed application form.

b. Documentation that the agency has the authority to require the repair of lead hazards identified through an elevated blood lead (EBL) inspection.

c. Documentation that the agency employs or has contracted with a certified elevated blood lead (EBL) inspector/risk assessor to provide environmental case management of all elevated blood lead (EBL) children in the agency’s service area, including follow–up to ensure that lead–based paint hazards identified as a result of elevated blood lead (EBL) inspections are corrected, and that lead–based paint activities will be conducted only by appropriately certified lead professionals. In addition, the agency must document that the agency and its employees or contractors will follow the work practice standards in rule 70.6(135) for conducting lead–based paint activities.

70.5(5) 70.5(6) Beginning March 1, 2000, individuals certified as lead professionals must be recertified each year. To be recertified, lead professionals must submit the following:

a. A completed application form.

b. A $50 nonrefundable fee.

c. Every three years, a certificate showing that the applicant has successfully completed an approved refresher training course for the appropriate discipline. If the applicant completed an approved training program prior to March 1, 2000, the initial refresher training course must be completed no more than three years after the date on which the applicant completed an approved training program.

70.5(6) 70.5(7) The department shall approve the state certification examinations for the disciplines of leadinspector/risk assessor, elevated blood lead (EBL) inspector/risk assessor, lead abatement contractor, and project designer. The state certification examination may not be administered by the provider of an approved course.

a. An individual may take the state certification examination no more than three times within six months of receiving a certificate of completion from an approved course.

b. If an individual does not pass the state certification examination within six months of receiving a certificate of completion from an approved course, the individual must retake the appropriate approved course before reapplying for certification.

70.6(1) to 70.6(5) No change.

70.6(6) A certified lead abatement contractor or certified lead abatement worker must conduct lead abatement according to the following standards. Beginning March 1, 2000, lead abatement shall be conducted only by a certified lead abatement contractor or a certified lead abatement worker.

a. A certified lead abatement contractor must be on site during all work site preparation and during the postabatement cleanup of work areas. At all other times when lead abatement is being conducted, the certified lead abatement contractor shall be on site or available by telephone, pager, or answering service, and be able to be present at the work site in no more than two hours.

b. A certified lead abatement contractor shall ensure that lead abatement is conducted according to all federal, state, and local requirements.

c. A certified lead abatement contractor shall notify the department in writing at least seven days prior to the commencement of lead abatement in a residential dwelling or child–occupied facility. The notification shall include the following information:

d. A certified lead abatement contractor or a certified project designer shall develop an occupant protection plan for all lead abatement projects prior to starting lead abatement and shall implement the occupant protection planduring the lead abatement project. The occupant protection plan shall be unique to each residential dwelling or child–occupied facility. The occupant protection plan shall describe the measures and management procedures that will be taken during the abatement to protect the building occupants from exposure to any lead–based paint hazards.

e. Approved methods must be used to conduct lead abatement and prohibited work practices must not be used to conduct lead abatement. The following are prohibited work practices:

(1) to (5) No change.

f. Soil abatement shall be conducted using one of the following methods:

(1) and (2) No change.

g. Postabatement clearance procedures shall be conducted by a certified lead inspector/risk assessor or a certified elevated blood lead (EBL) inspector/risk assessor using the following procedures:

(1) Following an abatement, a visual inspection shall be performed to determine if deteriorated paint surfaces or visible amounts of dust, debris, or residue are still present. If deteriorated paint surfaces or visible amounts of dust, debris, or residue are present, these conditions must be eliminated prior to the continuation of the clearance procedures.

(2) Following the visual inspection and any requiredpostabatement cleanup, clearance sampling for lead–contaminated dust shall be conducted. Clearance sampling may be conducted by employing single–surface sampling or composite dust sampling.

(3) Dust samples shall be collected a minimum of one hour after the completion of final postabatement cleanup activities.

(4) Dust samples shall be collected using the documented methodologies specified in the Guidelines for the Evaluation and Control of Lead–Based Paint Hazards in Housing (1995, U.S. Department of Housing and Urban Development). Dust samples shall be analyzed by a recognized laboratory to determine the level of lead.

(5) The following postabatement clearance activities shall be conducted as appropriate based upon the extent or manner of abatement activities conducted in the residential dwelling or child–occupied facility:

1. After conducting an abatement with containment between abated and unabated areas, one dust sample shall be taken from one windowsill and window trough (if available) and one dust sample shall be taken from the floor of no fewer than four rooms, hallways, or stairwells within the containment area. In addition, one dust sample shall be taken from the floor outside the containment area. If there are fewer than four rooms, hallways, or stairwells within the containment area, then all rooms, hallways, and stairwells shall be sampled.

2. After conducting an abatement with no containment, two dust samples shall be taken from no fewer than four rooms, hallways, or stairwells in the residential dwelling or child–occupied facility. One dust sample shall be taken from one windowsill and window trough (if available) and one dust sample shall be taken from the floor of each room, hallway, or stairwell selected. If there are fewer than four rooms, hallways, or stairwells within the containment area, then all rooms, hallways, and stairwells shall be sampled.

3. Following an exterior abatement, a visual inspection shall be conducted. All horizontal surfaces in the outdoor living area closest to the abated surface shall be found to be cleaned of visible dust and debris. In addition, a visual inspection shall be conducted to determine the presence of paint chips on the drip line or next to the foundation below any exterior surface abated. If visible dust, debris, or paint chips are present, they must be removed from the site and properly disposed of according to all applicable federal, state, and local standards.

(6) The rooms, hallways, and stairwells selected for sampling shall be selected using the documented methodologies specified in the Guidelines for the Evaluation and Control of Lead–Based Paint Hazards in Housing (1995, U.S. Department of Housing and Urban Development).

(7) The certified lead inspector/risk assessor or certified elevated blood lead (EBL) inspector/risk assessor shall compare the residual lead level as determined by the laboratory analysis from each dust sample with applicable clearance levels for lead in dust on floors and window troughs. If the residual lead levels in a dust sample exceed the clearance levels, then all the components represented by the failed dust sample shall be recleaned and retested until clearance levels are met.

h. In a multifamily dwelling with similarly constructed and maintained residential dwellings, random sampling for the purpose of clearance may be conducted if the following conditions are met:

(1) The certified lead abatement contractors and certified lead abatement workers who abate or clean the dwellings do not know which residential dwellings will be selected for the random sampling.

(2) A sufficient number of residential dwellings are selected for dust sampling to provide a 95 percent level of confidence that no more than 5 percent or 50 of the residential dwellings (whichever is smaller) in the randomly sampled population exceed the appropriate clearance levels.

(3) The randomly selected residential dwellings shall be sampled and evaluated for clearance according to the procedures found in paragraph 70.6(6)“g.”

i. The certified lead abatement contractor or a certified project designer shall prepare an abatement report containing the following information:

(1) to (8) No change.

70.6(7) No change.

70.6(8) 70.6(9) A certified elevated blood lead (EBL) inspection agency shall maintain the written records for all elevated blood lead (EBL) inspections conducted by persons that the agency employs or contracts with to provide elevated blood lead (EBL) inspections in the agency’s service area.

70.6(9) 70.6(10) A person may be certified as a leadinspector/risk assessor, visual risk assessor, or elevated blood lead (EBL) inspector/risk assessor and as a lead abatement contractor or lead abatement worker. However, Except as specified by paragraph 70.6(8)“h,” a person who is certified both as a lead inspector/risk assessor, visual risk assessor, or elevated blood lead (EBL) inspector/risk assessor and as a lead abatement contractor or lead abatement worker shall not provide both lead inspection or visual risk assessment and lead abatement services at the same site unless a written consent or waiver, following full disclosure by the person, is obtained from the owner or manager of the site.

70.6(10) 70.6(11) Any paint chip, dust, or soil samples collected pursuant to the work practice standards contained in this rule subrules 70.6(2) to 70.6(6) shall be collected by persons certified as a lead inspector/risk assessor or an elevated blood lead (EBL) inspector/risk assessor. Any paint chip, dust, or soil samples collected pursuant to the work practice standards contained in subrule 70.6(8) for clearance testing following lead abatement shall be collected by persons certified as a lead inspector/risk assessor or an elevated blood lead (EBL) inspector/risk assessor. Any paint chip, dust, or soil samples collected pursuant to the work practice standards contained in subrule 70.6(8) for clearance testing after interim controls, paint stabilization, standard treatments, ongoing lead–based paint maintenance, and rehabilitation pursuant to 24 CFR 35.1340 shall be conducted only by certified visual risk assessors, certified lead inspector/risk assessors, or certified elevated blood lead (EBL) inspectors. These Any paint chip, dust, or soil samples collected pursuant to the work practice standards contained in rule 70.6(135) shall be analyzed by a recognized laboratory.

70.6(11) 70.6(12) Composite dust sampling shall be conducted only in the situations specified in subrules 70.6(4) to 70.6(6) and 70.6(8). If composite sampling is conducted, it shall meet the following requirements:

a. Composite dust samples shall consist of at least two subsamples.

b. Every component that is being tested shall be included in the sampling.

c. Composite dust samples shall not consist of subsamples from more than one type of component.

641—70.7(135) Firms. Firms All firms that perform or offer to perform lead–based paint activities other than elevated blood lead (EBL) inspections after September 15, 2000, must be certified by the department. Firms shall employ only appropriately certified employees to conduct lead–based paint activities, and the firm and its employees shall follow the work practice standards in 641—70.6(135) for conducting lead–based paint activities.

641—70.8(135) Enforcement. No change.

70.9(1) The department may deny an application for certification, or may suspend or revoke a certification, when it finds that the applicant, or certified lead professional, certified elevated blood lead (EBL) inspection agency, or certified firm has committed any of the following acts:

a. Obtained documentation of training through fraudulent means.

b. Gained admission to and completed an accredited training program through misrepresentation of admission requirements.

c. Obtained certification through misrepresentation of certification requirements or related documents dealing with education, training, professional registration, or experience.

d. Performed work requiring certification at a job site without having proof of certification.

e. Permitted the duplication or use of the individual’s own certificate by another.

f. Performed work for which certification is required, but for which appropriate certification has not been received.

g. Failed to follow the standards of conduct required by rule 70.6(135).

h. Failed to comply with federal, state, or local lead–based paint statutes and regulations.

70.9(2) No change.

70.9(3) Complaints. Complaints regarding a certified lead professional, a certified elevated blood lead (EBL) inspection agency, a certified firm, or an approved course shall be submitted in writing to the Iowa Department of Public Health, Lead Poisoning Prevention Program, 321 East 12th Street, Des Moines, Iowa 50319–0075. The complainant shall provide:

a. The name of the certified lead professional, certified elevated blood lead (EBL) inspection agency, or certified firm and the specific details of the action(s) by the certified lead professional, certified elevated blood lead (EBL) inspection agency, or certified firm that did not comply with the rules, or

b. The name of the sponsoring person or organization of an approved course and the specific way(s) that an approved course did not comply with the rules.

70.9(4) and 70.9(5) No change.

641—70.10(135) Waivers. Rules in this chapter are not subject to waiver or variance pursuant to 641—Chapter 178 or any other provision of law.

These rules are intended to implement Iowa Code section 135.105A.

Pursuant to the authority of Iowa Code section 99D.7, the Racing and Gaming Commission hereby gives Notice of Intended Action to amend Chapter 8, “Mutuel Department,” and to rescind Chapter 10, “Thoroughbred Racing,” and adopt a new Chapter 10, “Thoroughbred and Quarter Horse Racing,” Iowa Administrative Code.

Item 1 removes a duplicate provision from Chapter 8.

Item 2 puts in place a new thoroughbred and quarter horse racing chapter. Many of the rules in the current Chapter 10 are reorganized within the new chapter. Redundant rules have been removed and some rules have been rewritten to reflect current practice.

These rules are not subject to a waiver, pending adoption of a uniform waiver rule.

This rule filing was sent out to all the horsemen groups and horse racing licensees prior to going before the Commission. No comments were received.

Any person may make written suggestions or comments on the proposed amendments on or before August 30, 2000. Written material should be directed to the Racing and Gaming Commission, 717 E. Court, Suite B, Des Moines, Iowa 50309. Persons who wish to convey their views orally should contact the Commission office at (515)281–7352.

Also, there will be a public hearing on August 30, 2000, at 9 a.m. in the office of the Racing and Gaming Commission, 717 E. Court, Suite B, Des Moines, Iowa. Persons may pre–sent their views at the public hearing either orally or in writing.

These amendments are intended to implement Iowa Code chapter 99D.

The following amendments are proposed.

ITEM 1. Rescind subrule 8.3(12), paragraph “h.”

ITEM 2. Rescind 491—Chapter 10 and adopt in lieu thereof the following new chapter:

CHAPTER 10
THOROUGHBRED AND QUARTER HORSE RACING

491—10.1(99D) Terms defined. As used in the rules, unless the context otherwise requires, the following definitions apply:

“Age” means the age of a horse reckoned from the first day of January of the year of foaling.

“Allowance race” means an overnight race for which eligibility and weight to be carried are determined according to specified conditions that include age, sex, earnings, and number of wins.

“Also eligible” means:

1. A number of eligible horses, properly entered, which were not drawn for inclusion in a race but which become eligible according to preference or lot, when an entry is scratched prior to the scratch time deadline; or

2. The next preferred nonqualifier for the finals or consolation from a set of elimination trials that will become eligible in the event a finalist is scratched by the stewards for a rule violation or is otherwise eligible if written race conditions permit.

“Appeal” means a request for the commission or its designee to investigate, consider, and review any decisions or rulings of stewards.

“Arrears” means all moneys owed by a licensee, including subscriptions, jockey fees, forfeitures, and any default incident to these rules.

“Authorized agent” means a person licensed by the commission and appointed by a written instrument, signed and acknowledged before a notary public by the owner on whose behalf the agent will act.

“Bleeder” means a horse that hemorrhages from within the respiratory tract during a race, within one and one–half hours postrace, during exercise or within one and one–half hours of exercise.

“Bleeder list” means a tabulation of all bleeders to be maintained by the commission.

“Chemist” means any official racing chemist designated by the commission.

“Claiming race” means a race which includes a condition that any horse starting the race may be claimed and purchased by any licensed owner, or person(s) approved by the commission for an owner’s license, for an amount specified in the conditions for that race by the racing secretary.

“Commission” means the racing and gaming commission.

“Conditions” means qualifications that determine a horse’s eligibility to be entered in a race.

“Contest” means a competitive racing event on which pari–mutuel wagering is conducted.

“Coupled entry” means two or more contestants in a contest that are treated as a single betting interest for pari–mutuel wagering purposes. (See also “Entry”)

“Day” means a 24–hour period ending at midnight.

“Dead heat” means when the noses of two or more horses reach the finish line of a race at the same time.

“Declaration” means the act of withdrawing an entered horse from a race prior to the closing of entries.

“Detention barn” means the barn designated for the collection from horses of test samples under the supervision of the commission veterinarian; also the barn assigned by the commission to a horse on the bleeder list, for occupancy as a prerequisite for receiving bleeder medication.

“Entry” means a horse made eligible to run in a race; or two or more horses, entered in the same race, which have common ties of ownership, lease, or training. (See also “Coupled entry”)

“Facility” means an entity licensed by the commission to conduct pari–mutuel wagering or gaming operations in Iowa.

“Facility grounds” means all real property utilized by the facility in the conduct of its race meeting, including the racetrack, grandstand, concession stands, offices, barns, stable area, employee housing facilities, parking lots, and any other areas under the jurisdiction of the commission.

“Field or mutuel field” means a group of two or more horses upon which a single bet may be placed. A mutuel field is required when the number of horses starting in a race exceeds the capacity of the track totalizator. The highest numbered horse within the totalizator capacity and all the higher–numbered horses following are then grouped together in the mutuel field.

“Foreign substances” means all substances except those that exist naturally in the untreated horse at normal physiological concentration.

“Forfeit” means money due from a licensee because of an error, fault, neglect of duty, breach of contract, or penalty imposed by the stewards or the commission.

“Handicap” means a race in which the weights to be carried by the horses are assigned by the racing secretary or handicapper for the purpose of equalizing the chances of winning for all horses entered.

“Horse” means any equine (including equine designated as a mare, filly, stallion, colt, ridgeling, or gelding) registered for racing; specifically, an entire male 5 years of age and older.

“Hypodermic injection” means any injection into or under the skin or mucosa, including intradermal injection, subcutaneous injection, submucosal injection, intramuscular injection, intravenous injection, intra–arterial injection, intra–articular injection, intrabursal injection, and intraocular (intraconjunctival) injection.

“Inquiry” means an investigation by the stewards of potential interference in a contest prior to declaring the result of said contest official.

“Jockey” means a professional rider licensed to ride in races.

“Licensee” means any person or entity licensed by the commission to engage in racing or related regulated activity.

“Maiden race” means a contest restricted to nonwinners.

“Meet/meeting” means the specified period and dates each year during which a facility is authorized by the commission to conduct pari–mutuel wagering on horse racing.

“Month” means a calendar month.

“Nomination” means the naming of a horse to a certain race or series of races generally accompanied by payment of a prescribed fee.

“Nominator” means the person or entity in whose name a horse is nominated for a race or series of races.

“Objection” means:

1. A written complaint made to the stewards concerning a horse entered in a race and filed not later than two hours prior to the scheduled post time of the first race on the day in which the questioned horse is entered; or

2. A verbal claim of foul in a race lodged by the horse’s jockey, trainer, owner, or the owner’s authorized agent before the race is declared official.

“Official starter” means the official responsible for dispatching the horses for a race.

“Official time” means the elapsed time from the moment the first horse crosses the starting point until the first horse crosses the finish line.

“Overnight race” means a race for which entries close 96 hours, or less, before the time set for the first race of the day on which the race is to be run.

“Owner” means a person or entity that holds any title, right or interest, whole or partial, in a horse, including the lessee and lessor of a horse.

“Paddock” means an enclosure in which horses scheduled to compete in a contest are saddled prior to racing.

“Performance” means a schedule of 9 to 11 races per day unless otherwise authorized by the commission.

“Post position” means the preassigned position from which a horse will leave the starting gate.

“Post time” means the scheduled starting time for a contest.

“Prize” means the combined total of any cash, premium, trophy, and object of value awarded to the owners of horses according to order of finish in a race.

“Purse” means the total cash amount for which a race is contested.

“Purse race” means a race for money or other prize to which the owners of horses entered do not contribute money toward its purse and for which entries close less than 96 hours prior to its running.

“Race” means a running contest between horses ridden by jockeys for a purse, prize, or other reward run at a facility in the presence of the stewards of the meeting. This includes purse races, overnight races and stakes races.

“Recognized meeting” means any meeting with regularly scheduled races for horses on the flat in a jurisdiction having reciprocal relations with this state and the commission for the mutual enforcement of rulings relating to horse racing.

“Rules” means the rules promulgated by the commission to regulate the conduct of horse racing.

“Scratch” means the act of withdrawing an entered horse from a contest after the closing of entries.

“Scratch time” means the deadline set by the facility for withdrawal of entries from a scheduled performance.

“Smoke” means the procedure of reviewing entries for correctness, eligibility, weight allowances, and medications.

“Stakes race” means a contest in which nomination, entry, and starting fees contribute to the purse.

“Starter” means a horse that becomes an actual contestant in a race by virtue of the starting gate opening in front of it upon dispatch by the official starter.

“Steward” means a duly appointed racing official with powers and duties specified by rules.

“Subscription” means moneys paid for nomination, entry, eligibility, or starting of a horse in a stakes race.

“Test level” means the concentration of a foreign substance found in the test sample.

“Test sample” means any bodily substance including, but not limited to, blood or urine taken from a horse under the supervision of the commission veterinarian and as prescribed by the commission for the purpose of analysis.

“Totalizator” means the system used for recording, calculating, and disseminating information about ticket sales, wagers, odds, and payoff prices to patrons at a pari–mutuel wagering facility.

“Veterinarian” means a veterinarian holding a current unrestricted license issued by the state of Iowa veterinary regulatory authority and licensed by the commission.

“Winner” means the horse whose nose reaches the finish line first or is placed first through disqualification by the stewards.

“Year” means a calendar year.

10.2(1) Stalls. The facility shall ensure that racing animals are stabled in individual box stalls; that the stables and immediate surrounding area are maintained in approved sanitary condition at all times; that satisfactory drainage is provided; and that manure and other refuse are kept in separate boxes or containers at locations distant from living quarters and promptly and properly removed.

10.2(2) Paddocks and equipment. The facility shall ensure that paddocks, starting gates, and other equipment subject to contact by different animals are kept in a clean condition and free of dangerous surfaces.

10.2(3) Receiving barn and stalls. Each facility shall provide a conveniently located receiving barn or stalls for the use of horses arriving during the meeting. The barn shall have adequate stable room and facilities, hot and cold water, and stall bedding. The facility shall employ attendants to operate and maintain the receiving barn or stalls in a clean and healthy condition.

10.2(4) Fire protection. The facility shall develop and implement a program for fire prevention on facility grounds in accordance with applicable state fire codes. The facility shall instruct employees working on facility grounds of procedures for fire prevention and evacuation. The facility shall, in accordance with state fire codes, prohibit the following:

a. Smoking in horse stalls, feed and tack rooms, and in the alleyways.

b. Sleeping in feed rooms or stalls.

c. Open fires and oil– or gasoline–burning lanterns or lamps in the stable area.

d. Leaving any electrical appliance unattended or in unsafe proximity to walls, beds, or furnishings.

e. Keeping flammable materials, including cleaning fluids or solvents, in the stable area.

f. Locking a stall which is occupied by a horse.

The facility shall post a notice in the stable area which lists the prohibitions outlined in 10.2(4)“a” to “f” above.

10.2(5) Starting gate.

a. During racing hours a facility shall provide at least two operable padded starting gates that have been approved by the commission.

b. During designated training hours a facility shall make at least one starting gate and qualified starting gate employee available for schooling.

c. If a race is started at a place other than in a chute, the facility shall provide and maintain in good operating condition backup equipment for moving the starting gate. The backup equipment must be immediately available to replace the primary moving equipment in the event of failure.

10.2(6) Distance markers.

a. A facility shall provide and maintain starting point markers and distance poles in a size and position that can be clearly seen from the steward’s stand.

b. The starting point markers and distance poles must be marked as follows:

1/4 poles red and white horizontal stripes

1/8 poles green and white horizontal stripes

1/16 poles black and white horizontal stripes

220 yards green and white

250 yards blue

300 yards yellow

330 yards black and white

350 yards red

400 yards black

440 yards red and white

550 yards black and white horizontal stripes

660 yards green and white horizontal stripes

770 yards black and white horizontal stripes

870 yards blue and white horizontal stripes

10.2(7) Detention enclosure. Each facility shall maintain a detention enclosure for use by the commission for securing samples of urine, saliva, blood, or other bodily substances or tissues for chemical analysis from horses who have run in a race. The enclosure shall include a wash rack, commission veterinarian office, a walking ring, at least four stalls, workroom for the sample collectors with hot and cold running water, and glass observation windows for viewing of the horses from the office and workroom. An owner, trainer, or designated representative licensed by the commission shall be with a horse in the detention barn at all times.

10.2(8) Ambulance. A facility shall maintain, on the grounds during every day that its track is open for racing or exercising, an ambulance for humans and an ambulance for horses, equipped according to prevailing standards and staffed by medical doctors, paramedics, or other personnel trained to operate them. When an ambulance is used for transfer of a horse or patient to medical facilities, a replacement ambulance must be furnished by the facility to comply with this rule.

10.2(9) Helmets and vests. A facility shall not allow any person to exercise any horse on facility grounds unless that person is wearing a protective helmet and safety vest of a type approved by the commission.

10.2(10) Racetrack.

a. The surface of a racetrack, including cushion, subsurface, and base, must be designed, constructed, and maintained to provide for the safety of the jockeys and racing animals.

b. Distances to be run shall be measured from the starting line at a distance three feet out from the inside rail.

c. A facility shall provide an adequate drainage system for the racetrack.

d. A facility shall provide adequate equipment and personnel to maintain the track surface in a safe training and racing condition. The facility shall provide backup equipment for maintaining the track surface. A facility that conducts races on a turf track shall:

(1) Maintain an adequate stockpile of growing medium; and

(2) Provide a system capable of adequately watering the entire turf course evenly.

e. Rails.

(1) Racetracks, including turf tracks, shall have inside and outside rails, including gap rails, designed, constructed, and maintained to provide for the safety of jockeys and horses. The design and construction of rails must be approved by the commission prior to the first race meeting at the track.

(2) The top of the rail must be at least 38 inches but not more than 44 inches above the top of the cushion. The inside rail shall have no less than a 24–inch overhang with a continuous smooth cover.

(3) All rails must be constructed of materials designed to withstand the impact of a horse running at a gallop.

10.2(11) Patrol films or videotapes. Each facility shall provide:

a. A videotaping system approved by the commission. Cameras must be located to provide clear panoramic and head–on views of each race. Separate monitors, which simultaneously display the images received from each camera and are capable of simultaneously displaying a synchronized view of the recordings of each race for review, shall be provided in the stewards’ stand. The location and construction of video towers must be approved by the commission.

b. One camera, designated by the commission, to videotape the prerace loading of all horses into the starting gate and to continue to videotape them until the field is dispatched by the starter.

c. One camera, designated by the commission, to videotape the apparent winner of each race from the finish line until the horse has returned, the jockey has dismounted, and the equipment has been removed from the horse.

d. At the discretion of the stewards, video camera operators to videotape the activities of any horses or persons handling horses prior to, during, or following a race.

e. That races run on an oval track be recorded by at least three video cameras. Races run on a straight course must be recorded by at least two video cameras.

f. Upon request to the commission, without cost, a copy of a videotape of a race.

g. Videotapes recorded prior to, during, and following each race maintained by the facility for not less than six months after the end of the race meeting, or such other period as may be requested by the stewards or the commission.

h. A viewing room in which, on approval by the stewards, an owner, trainer, jockey, or other interested individual may view a videotape recording of a race.

i. Following any race in which there is an inquiry or objection, the videotaped replays of the incident in question which were utilized by the stewards in making their decision. The licensee shall display to the public these videotaped replays on designated monitors.

10.2(12) Communications.

a. Each facility shall provide and maintain in good working order a communication system between the:

(1) Stewards’ stand;

(2) Racing office;

(3) Tote room;

(4) Jockeys’ room;

(5) Paddock;

(6) Test barn;

(7) Starting gate;

(8) Weigh–in scale;

(9) Video camera locations;

(10) Clocker’s stand;

(11) Racing veterinarian;

(12) Track announcer;

(13) Location of the ambulances (equine and human); and

(14) Other locations and persons designated by the commission.

b. A facility shall provide and maintain a public address system capable of clearly transmitting announcements to the patrons and to the stable area.

491—10.3(99D) Facility policies. It shall be the affirmative responsibility and continuing duty of each occupational licensee to follow and comply with the facility policies as published in literature distributed by the facility or posted in a conspicuous location.

10.4(1) General description. Every facility conducting a race meeting shall appoint at least the following officials:

a. One of the members of a three–member board of stewards;

b. Racing secretary;

c. Assistant racing secretary;

d. Paddock judge;

e. Horse identifier;

f. Clerk of the course;

g. Starter;

h. Clocker/timer;

i. Three placing judges;

j. Jockey room custodian;

k. Mutuel manager;

l. Clerk of scales;

m. Minimum of two outriders;

n. Horsemen’s bookkeeper;

o. Any other person designated by the commission.

10.4(2) Officials’ prohibited activities. No racing official or racing official’s assistant(s) listed in 10.4(1) while serving in that capacity during any meeting may engage in any of the following:

a. Enter into a business or employment that would be a conflict of interest, interfere with, or conflict with the proper discharge of duties including a business that does business with a facility or a business issued a concession operator’s license;

b. Participate in the sale, purchase, or ownership of any horse racing at the meeting;

c. Be involved in any way in the purchase or sale of any contract on any jockey racing at the meeting;

d. Sell or solicit horse insurance on any horse racing at the meeting, or any other business sales or solicitation not a part of the official’s duties;

e. Wager on the outcome of any race under the jurisdiction of the commission;

f. Accept or receive money or anything of value for the official’s assistance in connection with the official’s duties;

g. Consume or be under the influence of alcohol or any prohibited substance while performing official duties.

10.4(3) Single official appointment. No official appointed to any meeting, except placing judges, may hold more than one official position listed in 10.4(1) unless, in the determination of the stewards or commission, the holding of more than one appointment would not subject the official to a conflict of interest or duties in the two appointments.

10.4(4) Stewards. (For practice and procedure before the stewards and the commission, see 491—Chapter 4.)

a. General authority.

(1) General. The board of stewards for each racing meet shall be responsible to the commission for the conduct of the racing meet in accordance with the laws of this state and the rules adopted by the commission. The stewards shall have authority to regulate and to resolve conflicts or disputes between all other racing officials, licensees, and those persons addressed by 491—paragraph 4.6(5)“e” which are reasonably related to the conduct of a race or races and to discipline violators of these rules in accordance with the provisions of these rules.

(2) Period of authority. The stewards’ authority as set forth in this subrule shall commence 30 days prior to the beginning of each racing meet and shall terminate 30 days after the end of each racing meet or with the completion of their business pertaining to the meeting.

(3) Attendance. All three stewards shall be present in the stand during the running of each race.

(4) Appointment of substitute. Should any steward be absent at race time, the state steward(s) shall appoint a deputy for the absent steward. If any deputy steward is appointed, the commission shall be notified immediately by the stewards.

(5) Initiate action. The stewards shall take notice of questionable conduct or rule violations, with or without complaint, and shall initiate investigations promptly and render a decision on every objection and every complaint made to them.

(6) General enforcement provisions. Stewards shall enforce the laws of Iowa and the rules of the commission. The laws of Iowa and the rules of racing apply equally during periods of racing. They supersede the conditions of a race and the regulations of a racing meet and, in matters pertaining to racing, the orders of the stewards supersede the orders of the officers of the facility. The decision of the stewards as to the extent of a disqualification of any horse in any race shall be final for purposes of distribution of the pari–mutuel pool.

b. Other powers and authority.

(1) The stewards shall have the power to interpret the rules and to decide all questions not specifically covered by them.

(2) All questions within their authority shall be determined by a majority of the stewards.

(3) The stewards shall have control over and access to all areas of the facility grounds.

(4) The stewards shall have the authority to determine all questions arising with reference to entries and racing. Persons entering horses to run at licensed facilities agree in so doing to accept the decision of the stewards on any questions relating to a race or racing. The stewards, in their sole discretion, are authorized to determine whether two or more individuals or entities are operating as a single financial interest or as separate financial interests. In making this determination, the stewards shall consider all relevant information including, but not limited to, the following:

1. Whether the parties pay bills from and deposit receipts in the same accounts.

2. Whether the parties share resources such as employees, feed, supplies, veterinary and farrier services, exercise and pony riders, tack, and equipment.

3. Whether the parties switch horses or owner/trainer for no apparent reason, other than to avoid restrictions of being treated as a single interest.

4. Whether the parties engage in separate racing operations in other jurisdictions.

5. Whether the parties have claimed horses, or transferred claimed horses after the fact, for the other’s benefit.

6. If owners, whether one owner is paying the expenses for horses not in the owner’s name as owner.

7. If trainers, whether the relationship between the parties is more consistent with that of a trainer and assistant trainer.

(5) The stewards shall have the authority to discipline, for violation of the rules, any person subject to their control and, in their discretion, to impose fines or suspensions or both for infractions.

(6) The stewards shall have the authority to order the exclusion or ejection from all premises and enclosures of the facility any person who is disqualified for corrupt practices on any race course in any country.

(7) The stewards shall have the authority to call for proof that a horse is neither itself disqualified in any respect, nor nominated by, nor, wholly or in part, the property of a disqualified person. In default of proof being given to their satisfaction, the stewards may declare the horse disqualified.

(8) The stewards shall have the authority at any time to order an examination of any horse entered for a race or which has run in a race.

(9) In order to maintain necessary safety and health conditions and to protect the public confidence in horse racing as a sport, the stewards have the authority to authorize a person(s) on their behalf to enter into or upon the buildings, barns, motor vehicles, trailers, or other places within the grounds of a licensed facility, to examine same, and to inspect and examine the person, personal property, and effects of any person within such place, and to seize any illegal articles or any items as evidence found.

(10) The stewards shall maintain a log of all infractions of the rules and of all rulings of the stewards upon matters coming before them during the race meet.

(11) The state stewards must give prior approval for any person other than the commissioners or commission representative to be allowed in the stewards’ stand.

c. Emergency authority.

(1) Substitute officials. When in an emergency, any official is unable to discharge the official’s duties, the stewards may approve the appointment of a substitute and shall report it immediately to the commission.

(2) Substitute jockeys. The stewards have the authority, in an emergency, to place a substitute jockey on any horse in the event the trainer does not do so. Before using that authority, the stewards shall in good faith attempt to inform the trainer of the emergency and to afford the trainer the opportunity to appoint a substitute jockey. If the trainer cannot be contacted, or if the trainer is contacted but fails to appoint a substitute jockey and inform the stewards of the substitution by 30 minutes prior to post time, then the stewards may appoint under this rule.

(3) Substitute trainer. The stewards have the authority in an emergency to designate a substitute trainer for any horse.

(4) Excuse horse. In case of accident or injury to a horse or any other emergency deemed by the stewards before the start of any race, the stewards may excuse the horse from starting.

(5) Exercise authority. No licensee may exercise a horse on the track between races unless upon the approval of the stewards.

(6) Nonstarter. At the discretion of the stewards, any horse(s) precluded from having a fair start may be declared a nonstarter, and any wagers involving said horse(s) may be ordered refunded.

d. Investigations and decisions.

(1) Investigations. The stewards may, upon direction of the commission, conduct inquiries and shall recommend to the commission the issuance of subpoenas to compel the attendance of witnesses and the production of reports, books, papers, and documents for any inquiry. The commission stewards have the power to administer oaths and examine witnesses. The stewards shall submit a written report to the commission of every such inquiry made by them.

(2) Form reversal. The stewards shall take notice of any marked reversal of form by any horse and shall conduct an inquiry of the horse’s owner, trainer, or other persons connected with the horse including any person found to have contributed to the deliberate restraint or impediment of a horse in order to cause it not to win or finish as near as possible to first.

(3) Fouls.

1. Extent of disqualification. Upon any claim of foul submitted to them, the stewards shall determine the extent of any disqualification and place any horse found to be disqualified behind others in the race with which it interfered or may place the offending horse last in the race. The stewards at their discretion may determine if there was sufficient interference or intimidation to affect the outcome of the race and take the appropriate actions thereafter.

2. Coupled entry. When a horse is disqualified under 10.4(4)“d”(3)“1” and that horse was a part of a coupled entry and, in the opinion of the stewards, the act which led to the disqualification served to unduly benefit the other part of the coupled entry, the stewards may disqualify the other part of the entry.

3. Jockey guilty of foul. The stewards may discipline any jockey whose horse has been disqualified as a result of a foul committed during the running of a race.

(4) Protests and complaints. The stewards shall investigate promptly and render a decision in every protest and complaint made to them. They shall keep a record of all protests and complaints and any rulings made by the stewards and shall file reports daily with the commission.

1. Involving fraud. Protests involving fraud may be made by any person at any time. The protest must be made to the stewards.

2. Not involving fraud. Protests, except those involving fraud, may be filed only by the owner of a horse, authorized agent, trainer, or the jockey of the horse in the race over which the protest is made. The protest must be made to the clerk of scales, the stewards, or a person designated by the stewards before the race is declared official. If the placement of the starting gate is in error, no protest may be made, unless entered prior to the start of the race.

3. Protest to clerk of scales. A jockey who intends to enter a protest following the running of any race, and before the race is declared official, shall notify the clerk of scales, or a person designated by the stewards, of this intention immediately upon the arrival of the jockey at the scales.

4. Prize money of protested horse. During the time of determination of a protest, any money or prize won by a horse protested or otherwise affected by the outcome of the race shall be paid to and held by the horsemen’s bookkeeper until the protest is decided.

5. Protest in writing. A protest, other than one arising out of the actual running of a race, must be in writing, signed by the complainant, and filed with the stewards not later than one hour before post time of the race out of which the protest arises.

6. Frivolous protests. No person shall make a frivolous protest nor may any person withdraw a protest without the permission of the stewards.

10.4(5) Racing secretary.

a. General authority. The racing secretary is responsible for setting the conditions for each race of the meeting, regulating the nomination of entries, determining the amounts of purses and to whom they are due, and recording of race results. The racing secretary shall permit no person other than licensed racing officials to enter the racing secretary’s office or work areas until such time as all entries are closed, drawn, and smoked. Exceptions to this rule must be approved by the stewards.

b. Conditions. The racing secretary shall establish the conditions and eligibility for entering the races of the meeting and cause them to be published to owners, trainers, and the commission. Corrections to the conditions must be made within 24 hours of publication.

c. Posting of entries. Upon the closing of entries each day, the racing secretary shall post a list of entries in a conspicuous location in the office of the racing secretary and shall furnish that list to local newspaper, radio, and television stations.

d. Stakes and entrance money records. The secretary shall be caretaker of the permanent records of all stakes, entrance moneys, and arrears paid or due in a race meeting and shall keep permanent records of the results of each race of the meeting.

e. Record of racing. The racing secretary shall, no later than the day following each race, attach or endorse on the registration certificate of each horse winning in any race the fact of that winning performance and the distance, date of the race, and the type or conditions of the race.

f. Naming/engaging of riders. Riders must be named at the time of entry or no later than scratch time. Before naming any rider, the trainer, owner, or other person authorized must first engage the services of the rider and state on the entry or to the clerk of scales whether it is a first or second call. Riders properly engaged must fulfill their engagements as required in 10.5(2)“l.”

g. Handicapping. The racing secretary, or a handicapper assigned by the racing secretary, shall assign the weight to be carried by each horse in a handicap when weights are not stated in the condition of the race:

(1) Scale of weights for age. The scale of weights for age hereinafter listed shall be carried when conditions of races do not otherwise specify: