CHAPTER 54
RECRUITMENT, APPLICATION AND EXAMINATION
[Prior to 11/5/86, Merit Employment Department [570]]
[Prior to 2/18/04, see 581—Ch 5]
11—54.1(8A) Recruitment. Classes are closed to application unless specifically opened for recruitment.
	54.1(1) Open recruitment announcements. The director shall give public notice of positions opened for recruitment for a minimum of ten calendar days following the announcement date. Recruitment may be limited to a specific geographic area or a specific selective background area or both. Recruitment announcements shall be posted publicly. Copies may also be sent to newspapers, radio stations, educational institutions, professional and vocational associations, and other recruitment sources. Recruitment announcements may be posted as promotional opportunities for current permanent state employees only.
	54.1(2) Content of announcements. Announcements shall specify the job title, vacancy number, salary range, location, method for making application, closing date for receiving applications, minimum qualifications, and any selective requirements. All announcements must include a statement indicating that the state of Iowa is an affirmative action and equal employment opportunity employer. Announcements for continuous recruitment shall include a statement indicating that applications will be accepted until further notice.
	54.1(3) Advertising. The appointing authority shall send to the director copies of all advertisements announcing employment opportunities that are to be placed in any publication, and any additional information required by the director. The appointing authority shall comply with any policies established by the director regarding advertising.
11—54.2(8A) Applications.
	54.2(1) Applicant information. Applicant information shall be on forms prescribed by the director unless an alternate method has been authorized. Applicants must supply at least their name, current mailing address, signature and social security number; however, if an applicant requests, a nine-digit number will be assigned by the department to be used in lieu of the social security number. If other than the social security number is requested, it shall be the applicant’s responsibility to ensure that all future correspondence directed to the department regarding the applicant’s records contains the assigned nine-digit number. All other information requested on the application will assist the department in accurately and completely processing and evaluating the application. Applications that are not complete may not be regarded as an official application and may not be processed. The director may require an applicant to submit documented proof of the possession of any license, certificate, degree, or other evidence of eligibility or qualification to satisfactorily perform the essential duties of the job with or without a reasonable accommodation.
	54.2(2) Verifying applicant information. The director may at any time verify statements contained in an application and seek further information concerning an applicant’s qualifications. If information is obtained which affects or would have affected an applicant’s qualifications, standing on an eligible list, or status if already employed, the director may make the necessary adjustment or take other appropriate action, including termination if the applicant has already been employed.
	54.2(3) Applicant files. Applications accepted for processing and necessary related materials will be placed in the applicant files in the department and retained for no less than one year. Applications for jobs which result in the hire of the applicant will be placed in the employee files in the department and retained for no less than the period of employment.
	54.2(4) Application for eligible lists. Persons may apply to be on eligible lists as follows:
	a. 	Promotional lists. Promotional applicants shall meet the minimum qualifications. Promotional applicants may be subject to keyboard examinations, background checks, psychological examinations, and other examinations used for further screening. The following persons may apply to be on promotional eligible lists:
	(1)	Permanent employees, including permanent employees of the board of regents and community-based corrections;
	(2)	Persons enrolled in work experience programs who have successfully completed at least 90 calendar days in the program; and
	(3)	Persons who have been formally enrolled in the department’s intern development program for a period of at least 90 calendar days.
	b. 	All-applicant lists. The following persons may apply to be on all-applicant lists:
	(1)	Persons laid off and eligible for recall;
	(2)	Judicial branch employees;
	(3)	Legislative branch employees;
	(4)	Probationary or provisional probationary employees;
	(5)	Permanent employees, including permanent employees of the board of regents and community-based corrections;
	(6)	Temporary employees not on the promotional list and volunteers (including persons enrolled in work experience programs who are not on the promotional list) following 60 calendar days’ service with the state;
	(7)	Nonpermanent employees of the board of regents and community-based corrections; and
	(8)	Former permanent employees who resigned or retired from state employment in good standing.
	54.2(5) Application pending license or graduation. An applicant who does not meet the minimum education or license requirements, but who is currently enrolled in an education program that will result in meeting such requirements, may be placed on the eligible list with a “pending graduation” or “pending license” status provided the applicant will meet or has a reasonable expectation of meeting, the requirements within the following nine months. The applicant may be selected for employment, but may not be appointed until all qualification requirements are met.
	54.2(6) Disqualification or removal of applicants. The director may refuse to place an applicant on a list of eligibles, refuse to refer an applicant for a vacancy, refuse to approve the appointment of an applicant, or remove an applicant from a list of eligibles for a position if it is found that the applicant:
	a. 	Does not meet the minimum qualifications or selective requirements for the job class or position as specified in the job class description, vacancy announcement, administrative rules, or law.
	b. 	Is incapable of performing the essential functions of the job classification or position and a reasonable accommodation cannot be provided.
	c. 	Has knowingly misrepresented the facts when submitting information relative to an application, examination, certification, appeal, or any other facet of the selection process.
	d. 	Has used or attempted to use coercion, bribery or other illegal means to secure an advantage in the application, examination, appeal or selection process.
	e. 	Has obtained screening information to which applicants are not entitled.
	f. 	Has failed to submit the application within the designated time limits.
	g. 	Was previously discharged from a position in state government.
	h. 	Has been convicted of a crime that is shown to have a direct relationship to the duties of a job class or position.
	i. 	Is proven to be an unrehabilitated substance abuser who would be unable to perform the duties of the job class or who would constitute a threat to state property or to the safety of others.
	j. 	Is not a United States citizen and does not have a valid permit to work in the United States under regulations issued by the U.S. Immigration and Naturalization Service.
Applicants disqualified or removed under this subrule shall be notified in writing by the director within five workdays following removal. Applicants may informally request that the director reconsider their disqualification or removal by submitting additional written evidence of their qualifications or reasons why they should not be removed in accordance with rule 11—61.3(8A). Formal appeal of disqualification or removal shall be in accordance with 11—subrule 61.2(4).
	54.2(7) Qualifications. Applicants must meet the qualifications for the class as well as any selective requirements associated with a particular class or position as indicated in the class description. The director shall determine whether or not an applicant meets such qualifications and requirements.
Applicants and employees may, as a condition of the job, be required to have a current license, certificate, or other evidence of eligibility or qualification. Employees who fail to meet and maintain this requirement shall be subject to discharge in accordance with rule 11—57.9(8A) or 11—subrule 60.2(4).
Any fees associated with obtaining or renewing a license, certificate, or other evidence of eligibility or qualification shall be the responsibility of the applicant or employee unless otherwise provided by statute.
11—54.3(8A) Examinations.
	54.3(1) Purpose of examinations. The director or appointing authority may conduct examinations to assess the qualifications of applicants. Possession of a valid license, certificate, registration, or work permit required by the Iowa Code or the Iowa Administrative Code in order to practice a trade or profession may qualify as evidence of an applicant’s basic qualifications.
	54.3(2) Types of examinations. Examinations may include, but are not limited to, written, oral, physical, or keyboard tests, and may screen for such factors as education, experience, aptitude, psychological traits, knowledge, character, physical fitness, or other standards related to job requirements.
	54.3(3) Background checks. Background checks and investigations, including, but not limited to, checks of arrest or conviction records, fingerprint records, driving records, financial or credit records, and child or dependent adult abuse records, constitute an examination or test within the meaning of this subrule, Iowa Code chapter 19A and 161—subrule 8.1(1). Confidential documents provided to the director by other agencies in conjunction with the administration of this rule shall continue to be maintained in their confidential status. The director is subject to the same policies and penalties regarding the confidentiality of the documents as any employee of the agency providing the documents.
Background checks shall be conducted only after receiving approval from the director concerning the areas to be checked and the standards to be applied in evaluating the information gathered. Background checks are subject to the following limitations and requirements:
	a. 	Arrest record information, unless otherwise required by law, shall not be considered in the selection of persons for employment unless expressly authorized by the director.
	b. 	The appointing authority shall notify the director of each job class or position that requires applicants to undergo any type of background check. The notification shall document the clear business necessity for the background check and the job relatedness of each topic covered in the inquiry.
	c. 	The director shall provide a statement that shall be presented by the appointing authority to each applicant that is to be investigated under this subrule. This statement shall inform the applicant that the applicant is subject to a background check as a condition of employment and the topics to be covered in the background check. It shall also inform the applicant that all information gathered will be treated as confidential within the meaning of Iowa Code section 22.7, but that all such information gathered shall be available to the applicant upon request through the agency authorized to release such information, unless otherwise specifically provided by law. The statement shall be signed and dated by the applicant and shall include authorization from the applicant for the appointing authority to conduct the background check as part of the application and selection process and to share the information gathered with the director.
	d. 	Information obtained from a background check is not necessarily a bar to an applicant’s employment.
	e. 	Appointing authorities shall send information periodically to the director on forms prescribed by the director. This information shall include the following:
	(1)	The total number of applicants for each position who were eligible for a background check.
	(2)	A list of all applicants for whom background checks were conducted, by organizational unit, name, social security number, type of background check, and result (pass or fail).
	(3)	Documentation of specific business necessity and job relatedness when any inequitable rejection rate is identified by the director.
11—54.4(8A) Development and administration of examinations.
	54.4(1) Examination development. The director shall oversee the development, purchase, and use of examination materials, forms, procedures, and instructions.
	54.4(2) Examination administration. The director or appointing authority shall arrange for suitable locations and conditions to conduct examinations. Locations in various areas of the state and out of state may be used. Examinations may be postponed, canceled, or rescheduled.
	a. 	Examination of persons with disabilities. Persons with disabilities may request specific examination accommodations. Reasonable accommodations will be granted in accordance with policies for accommodations established by the department. Persons in the certified disability program or any other formal waiver program established by the department may be exempt from examinations.
	b. 	Special admittance. Requests for special admittance after the closing date for application shall be submitted in writing to the director or the appointing authority. The request shall explain why the applicant seeks special admittance.
	c. 	Retaking examinations. Applicants may not retake aptitude, psychological, video-based or other examinations for 60 calendar days following the last date the examination was taken except as provided for in rule 11—54.6(8A). Violation of the waiting period for an examination shall result in the current examination score being voided and an additional 60-calendar-day waiting period being imposed.
Keyboard examinations, such as typing, may be retaken at any time without a waiting period, if equipment is available.
The most recent examination score shall determine the applicant’s qualification for the corresponding eligible lists.
Applicants who are required to take examinations covered by the rules or procedures of other agencies are subject to applicable rules or procedures on retakes for such examinations of that agency.
	54.4(3) Examination materials.
	a. 	All examination materials, including working papers, test booklets, test answer sheets and test answer keys are not public records under Iowa Code chapter 22. All examination materials are the property of the department and shall not be released without the consent of the director.
	b. 	Removing examination material. Any unauthorized person who removes examination material from an examination site, who participates in unauthorized distribution of examination materials, who is in unauthorized possession of examination material or who otherwise compromises the integrity of the examination process shall be subject to discipline, up to and including discharge if employed by the state, as well as prosecution.
11—54.5(8A) Scoring examinations. All applicants shall be given uniform treatment in all phases of the examination scoring process applicable to the job class or position and status of the applicant. Applicants may be required to obtain at least a minimum score in any or all parts of the examination process in order to receive a final score or to be allowed to participate in the remaining parts of an examination.
	54.5(1) Adjustment of errors. Examination scoring errors will be corrected. A correction shall not, however, invalidate any list already issued or any appointment already made and shall not extend the life of the score.
	54.5(2) Points for veterans. Veterans’ points shall be applied to veterans as defined in Iowa Code section 35C.1.
	a. 	“Veteran” means a resident of this state who served in the armed forces of the United States at any time during the following dates and who was discharged under honorable conditions:
	(1)	World War I from April 6, 1917, through November 11, 1918.
	(2)	Occupation of Germany from November 12, 1918, through July 11, 1923.
	(3)	American expeditionary forces in Siberia from November 12, 1918, through April 30, 1920.
	(4)	Second Haitian suppression of insurrections from 1919 through 1920.
	(5)	Second Nicaragua campaign with marines or navy in Nicaragua or on combatant ships from 1926 through 1933.
	(6)	Yangtze service with navy and marines in Shanghai or in the Yangtze valley from 1926 through 1927 and 1930 through 1932.
	(7)	China service with navy and marines from 1937 through 1939.
	(8)	World War II from December 7, 1941, through December 31, 1946.
	(9)	Korean conflict from June 25, 1950, through January 31, 1955.
	(10)	Vietnam conflict from February 28, 1961, through May 7, 1975.
	(11)	Lebanon or Grenada service from August 24, 1982, through July 31, 1984.
	(12)	Panama service from December 20, 1989, through January 31, 1990.
	(13)	Persian Gulf conflict from August 2, 1990, through the date the President or the Congress of the United States declares a cessation of hostilities. However, if the United States Congress enacts a date different from August 2, 1990, as the beginning of the Persian Gulf conflict for purposes of determining whether a veteran is entitled to receive military benefits as a veteran of the Persian Gulf conflict, that date shall be substituted for August 2, 1990.
	b. 	“Veteran” also includes the following:
	(1)	Former members of the reserve forces of the United States who served at least 20 years in the reserve forces after January 28, 1973, and who were discharged under honorable conditions. However, a member of the reserve forces of the United States who completed a minimum aggregate of 90 days of active federal service, other than training, and was discharged under honorable conditions or was retired under Title X of the United States Code shall be included as a veteran.
	(2)	Former members of the Iowa national guard who served at least 20 years in the Iowa national guard after January 28, 1973, and who were discharged under honorable conditions. However, a member of the Iowa national guard who was activated for federal duty, other than training, for a minimum aggregate of 90 days and was discharged under honorable conditions or was retired under Title X of the United States Code shall be included as a veteran.
	(3)	Former members of the active, oceangoing merchant marine who served during World War II at any time between December 7, 1941, and December 31, 1946, both dates inclusive, who were discharged under honorable conditions.
	(4)	Former members of the women’s air force service pilots and other persons who have been conferred veteran status based on their civilian duties during World War II in accordance with federal Pub. L. No.	95-202, 38 U.S.C. Section 106.
	c. 	Proof of eligibility for points must be provided by the applicant in the form of a certified photocopy of a DD214 Form (Armed Forces Report of Transfer or Discharge) or other official document containing dates of service or a listing of service medals and campaign badges.
	d. 	Applicants who were awarded a Purple Heart, or who have a service-connected disability, or who are receiving disability compensation or pension under laws administered by the U.S. Veterans Administration may request to have a maximum of ten points added to examination scores. Proof of current disability dated within the last 24 months and updated every 24 months after initial application must be submitted for continued eligibility.
11—54.6(8A) Review of written examination questions. Applicants may request to review their incorrectly answered questions on department administered written examinations except that aptitude, psychological, and video-based examinations are not subject to review. An applicant who reviews written examination questions may not retake that examination or an examination with the same or similar content for 60 calendar days following the review and then only if the class is open for recruitment. Violation of this waiting period shall result in the current examination score being voided and an additional 60-calendar-day waiting period being imposed.
11—54.7(8A) Drug use and drug tests.
	54.7(1) Policy. Employees shall not report to work while under the influence of alcohol or illegal drugs. The unauthorized use, possession, sale, purchase, manufacture, distribution, or transfer of any illegal drug or alcoholic beverage while engaged in state business or on state property is prohibited. Employees who violate this policy are subject to disciplinary action up to and including discharge.
	54.7(2) Definition and applicability.
	a. 	“Drug test” means any blood, urine, saliva, chemical, or skin tissue test conducted for the purpose of detecting the presence of a chemical substance in an individual. These rules authorize only the use of urinalysis tests for this purpose. Other methods of drug testing are prohibited.
	b. 	These rules do not apply to drug tests required under federal statutes, drug tests conducted pursuant to a nuclear regulatory commission policy statement, or drug tests conducted to determine if an employee is ineligible to receive workers’ compensation under Iowa Code section 85.16, subsection 2.
	54.7(3) Preemployment drug tests. A urinalysis drug test may be performed as part of a preemployment physical only for department of corrections correctional officer positions. Application materials for these positions shall include clear notice that a drug test is part of the preemployment physical. Requirements for these tests are as follows:
	a. 	A urine sample will be collected during the preemployment physical examination.
	b. 	The sample container will include identification for chain of custody purposes that does not include any part of the applicant’s name or social security number.
	c. 	The container will be transported directly from the site of the physical examination to a laboratory or other testing facility. Samples may be transported via certified mail or courier service.
	d. 	The sample will be tested and retained by the laboratory or other testing facility for a minimum of 30 days. The applicant may have the sample analyzed, at the applicant’s expense, by a laboratory or other testing facility approved in accordance with the administrative rules of the department of public health.
	e. 	Each drug test will include an initial screen and a confirmation of positive results. The initial screening test may utilize immunoassay, thin layer, high performance liquid or gas chromatography, or an equivalent technology. If the initial test utilizes immunoassay, the test kit must meet the requirements of the Food and Drug Administration. All confirmation tests will be done by Gas Chromatography - Mass Spectrometry (GC-MS) at a laboratory or other testing facility approved in accordance with the administrative rules of the department of public health.
	f. 	At a minimum, tests will screen for marijuana, cocaine, and amphetamines.
	g. 	Procedures for obtaining, sealing, identifying, transporting, storing, and retention of samples shall protect the chain of custody and the viability of the sample, and shall comply with department of public health administrative rules.
	h. 	The laboratory or other testing facility shall report the results of the drug tests to the appointing authority. The confidentiality of the information shall be protected by all parties.
	i. 	The appointing authority shall provide an applicant an opportunity to rebut or explain the results of a positive drug test by administering a pretest questionnaire or arranging a posttest conference with the applicant.
	j. 	A positive confirmation drug test will disqualify an applicant from further consideration and hire for department of corrections correctional officer positions.
	54.7(4) Employee drug tests. Drug testing of employees is prohibited except as provided in subrule 54.7(2), paragraph “b.”
These rules are intended to implement Iowa Code Supplement sections 8A.401, 8A.402, 8A.412 to 8A.414, 8A.416, 8A.452, 8A.453, 8A.456 and 8A.458.
[Filed 5/1/69; amended 5/13/70, 9/17/70, 4/14/71]
[Filed 6/28/76, Notice 5/17/76—published 7/12/76, effective 8/2/76]
[Filed without notice 7/22/76—published 8/9/76, effective 9/13/76]
[Filed emergency 9/7/76—published 9/22/76, effective 9/7/76]
[Filed 10/13/76, Notice 9/8/76—published 11/3/76, effective 12/8/76]
[Filed 4/11/79, Notice 3/7/79—published 5/2/79, effective 6/6/79]
[Filed 1/30/81, Notice 11/26/80—published 2/18/81, effective 3/25/81]
[Filed 12/3/82, Notice 10/13/82—published 12/22/82, effective 1/26/83]1
[Filed 3/22/85, Notice 10/24/84—published 4/10/85, effective 5/15/85]
[Filed 4/4/86, Notice 1/15/86—published 4/23/86, effective 5/28/86]
[Filed emergency 7/1/86—published 7/30/86, effective 7/1/86]2
[Filed 10/17/86, Notice 8/13/86—published 11/5/86, effective 12/10/86]
[Filed 7/24/87, Notice 6/17/87—published 8/12/87, effective 9/16/87]
[Filed 2/18/88, Notice 1/13/88—published 3/9/88, effective 4/13/88]
[Filed 9/2/88, Notice 6/29/88—published 9/21/88, effective 10/26/88]
[Filed 10/27/88, Notice 9/21/88—published 11/16/88, effective 12/21/88]
[Filed 7/7/89, Notice 5/17/89—published 7/26/89, effective 9/1/89]
[Filed 9/29/89, Notice 8/23/89—published 10/18/89, effective 11/24/89]
[Filed 2/1/90, Notice 12/13/89—published 2/21/90, effective 3/30/90]
[Filed 5/25/90, Notice 4/18/90—published 6/13/90, effective 7/20/90]
[Filed 2/1/91, Notice 12/12/90—published 2/20/91, effective 3/29/91]
[Filed 5/23/91, Notice 4/17/91—published 6/12/91, effective 7/19/91]3
[Filed emergency 9/13/91—published 10/2/91, effective 9/13/91]
[Filed 11/20/91, Notice 8/21/91—published 12/11/91, effective 1/17/92]
[Filed 11/21/91, Notice 10/2/91—published 12/11/91, effective 1/17/92]
[Filed 3/26/93, Notice 2/17/93—published 4/14/93, effective 5/19/93]
[Filed 12/12/96, Notice 10/23/96—published 1/15/97, effective 2/19/97]
[Filed 8/12/99, Notice 6/16/99—published 9/8/99, effective 10/13/99]
[Filed emergency 6/29/00—published 7/26/00, effective 7/1/00]
[Filed 1/28/04, Notice 12/24/03—published 2/18/04, effective 3/24/04]
[Filed 10/22/04, Notice 9/15/04—published 11/10/04, effective 12/15/04]
1	Effective date of amendments to 5.11 and 54.12(1/26/83) delayed 70 days by the Administrative Rules Review Committee. Delay lifted by Committee on 2/8/83. See details following chapter analysis.
2	See IAB Personnel Department
3	Effective date (7/19/91) of subrule 5.3(3) delayed 70 days by the Administrative Rules Review Committee at its meeting held 7/12/91.