House Study Bill 201 - Introduced HOUSE FILE _____ BY (PROPOSED COMMITTEE ON STATE GOVERNMENT BILL BY CHAIRPERSON KAUFMANN) A BILL FOR An Act establishing the occupational therapy licensure compact. 1 BE IT ENACTED BY THE GENERAL ASSEMBLY OF THE STATE OF IOWA: 2 TLSB 2177YC (3) 89 ss/rh

H.F. _____ Section 1. NEW SECTION . 147E.1 Occupational therapy 1 licensure compact. 2 1. Purpose. The purpose of this compact is to facilitate 3 interstate practice of occupational therapy with the goal of 4 improving public access to occupational therapy services. The 5 practice of occupational therapy occurs in the state where 6 the patient or client is located at the time of the patient 7 or client encounter. The compact preserves the regulatory 8 authority of the states to protect public health and safety 9 through the current system of state licensure. This compact is 10 designed to achieve the following objectives: 11 a. Increase public access to occupational therapy services 12 by providing for the mutual recognition of other member state 13 licenses. 14 b. Enhance the states’ ability to protect the public’s 15 health and safety. 16 c. Encourage the cooperation of member states in regulating 17 multistate occupational therapy practice. 18 d. Support spouses of relocating military members. 19 e. Enhance the exchange of licensure, investigative, and 20 disciplinary information between member states. 21 f. Allow a remote state to hold a provider of services with 22 a compact privilege in that state accountable to that state’s 23 practice standards. 24 g. Facilitate the use of telehealth technology in order to 25 increase access to occupational therapy services. 26 2. Definitions. As used in this compact, and except as 27 otherwise provided, the following definitions shall apply: 28 a. “Active duty military” means full-time duty status in 29 the active uniformed service of the United States, including 30 members of the national guard and reserve on active duty orders 31 pursuant to 10 U.S.C. §1209 and 10 U.S.C. §1211. 32 b. “Adverse action” means any administrative, civil, 33 equitable, or criminal action permitted by a state’s laws which 34 is imposed by a licensing board or other authority against 35 -1- LSB 2177YC (3) 89 ss/rh 1/ 28

H.F. _____ an occupational therapist or occupational therapy assistant, 1 including actions against an individual’s license or compact 2 privilege such as censure, revocation, suspension, probation, 3 monitoring of the licensee, or restriction on the licensee’s 4 practice. 5 c. “Alternative program” means a nondisciplinary monitoring 6 process approved by an occupational therapy licensing board. 7 d. “Compact privilege” means the authorization, which 8 is equivalent to a license, granted by a remote state to 9 allow a licensee from another member state to practice as an 10 occupational therapist or practice as an occupational therapy 11 assistant in the remote state under its laws and rules. The 12 practice of occupational therapy occurs in the member state 13 where the patient or client is located at the time of the 14 patient or client encounter. 15 e. “Continuing competence or education” means a requirement, 16 as a condition of license renewal, to provide evidence 17 of participation in, and completion of, educational and 18 professional activities relevant to the practice or area of 19 work. 20 f. “Current significant investigative information” means 21 investigative information that a licensing board, after an 22 inquiry or investigation that includes notification and an 23 opportunity for the occupational therapist or occupational 24 therapy assistant to respond, if required by state law, has 25 reason to believe is not groundless and, if proved true, would 26 indicate more than a minor infraction. 27 g. “Data system” means a repository of information about 28 licensees, including but not limited to license status, 29 investigative information, compact privileges, and adverse 30 actions. 31 h. “Encumbered license” means a license in which an adverse 32 action restricts the practice of occupational therapy by the 33 licensee or said adverse action has been reported to the 34 national practitioners data bank. 35 -2- LSB 2177YC (3) 89 ss/rh 2/ 28

H.F. _____ i. “Executive committee” means a group of directors elected 1 or appointed to act on behalf of, and within the powers granted 2 to them by, the commission. 3 j. “Home state” means the member state that is the 4 licensee’s primary state of residence. 5 k. “Impaired practitioner” means individuals whose 6 professional practice is adversely affected by substance abuse, 7 addiction, or other health-related conditions. 8 l. “Investigative information” means information, records, 9 or documents received or generated by an occupational therapy 10 licensing board pursuant to an investigation. 11 m. “Jurisprudence requirement” means the assessment of an 12 individual’s knowledge of the laws and rules governing the 13 practice of occupational therapy in a state. 14 n. “Licensee” means an individual who currently holds an 15 authorization from the state to practice as an occupational 16 therapist or as an occupational therapy assistant. 17 o. “Member state” means a state that has enacted the 18 compact. 19 p. “Occupational therapist” means an individual who is 20 licensed by a state to practice occupational therapy. 21 q. “Occupational therapy” , “occupational therapy practice” , 22 and “practice of occupational therapy” mean the care and 23 services provided by an occupational therapist or an 24 occupational therapy assistant as set forth in the member 25 state’s statutes and regulations. 26 r. “Occupational therapy assistant” means an individual 27 who is licensed by a state to assist in the practice of 28 occupational therapy. 29 s. “Occupational therapy compact commission” or “commission” 30 means the national administrative body whose membership 31 consists of all states that have enacted the compact. 32 t. “Occupational therapy licensing board” or “licensing 33 board” means the agency of a state that is authorized to license 34 and regulate occupational therapists and occupational therapy 35 -3- LSB 2177YC (3) 89 ss/rh 3/ 28

H.F. _____ assistants. 1 u. “Primary state of residence” or “home state” means the 2 state in which an occupational therapist or occupational 3 therapy assistant who is not active duty military declares a 4 primary residence for legal purposes as verified by a driver’s 5 license, federal income tax return, lease, deed, mortgage, 6 voter registration, or other verifying documentation as further 7 defined by commission rules. 8 v. “Remote state” means a member state other than the home 9 state, where a licensee is exercising or seeking to exercise 10 the compact privilege. 11 w. “Rule” means a regulation promulgated by the commission 12 that has the force of law. 13 x. “Single-state license” means an occupational therapist or 14 occupational therapy assistant license issued by a member state 15 that authorizes practice only within the issuing state and does 16 not include a compact privilege in any other member state. 17 y. “State” means any state, commonwealth, district, or 18 territory of the United States that regulates the practice of 19 occupational therapy. 20 z. “Telehealth” means the application of telecommunication 21 technology to deliver occupational therapy services for 22 assessment, intervention, or consultation. 23 3. State participation in the compact. 24 a. To participate in the compact, a member state shall do 25 all of the following: 26 (1) License occupational therapists and occupational 27 therapy assistants. 28 (2) Participate fully in the commission’s data system, 29 including but not limited to using the commission’s unique 30 identifier as defined in rules of the commission. 31 (3) Have a mechanism in place for receiving and 32 investigating complaints about licensees. 33 (4) Notify the commission, in compliance with the terms 34 of the compact and rules, of any adverse action or the 35 -4- LSB 2177YC (3) 89 ss/rh 4/ 28

H.F. _____ availability of investigative information regarding a licensee. 1 (5) Implement or utilize procedures for considering the 2 criminal history records of applicants for an initial compact 3 privilege. These procedures shall include the submission of 4 fingerprints or other biometric-based information by applicants 5 for the purpose of obtaining an applicant’s criminal history 6 record information from the federal bureau of investigation 7 and the agency responsible for retaining that state’s criminal 8 records. 9 (a) A member state shall, within a time frame established 10 by the commission, require a criminal background check for a 11 licensee seeking or applying for a compact privilege whose 12 primary state of residence is that member state, by receiving 13 the results of the federal bureau of investigation criminal 14 record search, and shall use the results in making licensure 15 decisions. 16 (b) Communication between a member state, the commission, 17 and among member states regarding the verification of 18 eligibility for licensure through the compact shall not 19 include any information received from the federal bureau of 20 investigation relating to a federal criminal records check 21 performed by a member state under Pub. L. No. 92-544. 22 (6) Comply with the rules of the commission. 23 (7) Utilize only a recognized national examination as 24 a requirement for licensure pursuant to the rules of the 25 commission. 26 (8) Have continuing competence or education requirements as 27 a condition for license renewal. 28 b. A member state shall grant the compact privilege to 29 a licensee holding a valid, unencumbered license in another 30 member state in accordance with the terms of the compact and 31 rules. 32 c. A member state may charge a fee for granting a compact 33 privilege. 34 d. A member state shall provide for the state’s delegate to 35 -5- LSB 2177YC (3) 89 ss/rh 5/ 28

H.F. _____ attend all occupational therapy compact commission meetings. 1 e. Individuals not residing in a member state shall continue 2 to be able to apply for a member state’s single-state license 3 as provided under the laws of each member state. However, the 4 single-state license granted to these individuals shall not 5 be recognized as granting the compact privilege in any other 6 member state. 7 f. Nothing in this compact shall affect the requirements 8 established by a member state for the issuance of a 9 single-state license. 10 4. Compact privilege. 11 a. To exercise the compact privilege under the terms and 12 provisions of the compact, the licensee shall do all of the 13 following: 14 (1) Hold a license in the home state. 15 (2) Have a valid United States social security number or 16 national practitioner identification number. 17 (3) Have no encumbrance on any state license. 18 (4) Be eligible for a compact privilege in any member state 19 in accordance with paragraphs “d” , “f” , “g” , and “h”. 20 (5) Have paid all fines and completed all requirements 21 resulting from any adverse action against any license or 22 compact privilege, and two years have elapsed from the date of 23 such completion. 24 (6) Notify the commission that the licensee is seeking the 25 compact privilege within a remote state. 26 (7) Pay any applicable fees, including any state fee, for 27 the compact privilege. 28 (8) Complete a criminal background check in accordance with 29 subsection 3, paragraph “a” , subparagraph (5). The licensee 30 shall be responsible for the payment of any fee associated with 31 the completion of a criminal background check. 32 (9) Meet any jurisprudence requirements established by 33 the remote state in which the licensee is seeking a compact 34 privilege. 35 -6- LSB 2177YC (3) 89 ss/rh 6/ 28

H.F. _____ (10) Report to the commission adverse action taken by any 1 nonmember state within thirty days from the date the adverse 2 action is taken. 3 b. The compact privilege is valid until the expiration date 4 of the home state license. The licensee must comply with the 5 requirements of paragraph “a” to maintain the compact privilege 6 in the remote state. 7 c. A licensee providing occupational therapy in a remote 8 state under the compact privilege shall function within the 9 laws and regulations of the remote state. 10 d. Occupational therapy assistants practicing in a remote 11 state shall be supervised by an occupational therapist licensed 12 or holding a compact privilege in that remote state. 13 e. A licensee providing occupational therapy in a remote 14 state is subject to that state’s regulatory authority. A 15 remote state may, in accordance with due process and that 16 state’s laws, remove a licensee’s compact privilege in the 17 remote state for a specific period of time, impose fines, or 18 take any other necessary actions to protect the health and 19 safety of its citizens. The licensee may be ineligible for 20 a compact privilege in any state until the specific time for 21 removal has passed and all fines are paid. 22 f. If a home state license is encumbered, the licensee shall 23 lose the compact privilege in any remote state until all of the 24 following occur: 25 (1) The home state license is no longer encumbered. 26 (2) Two years have elapsed from the date on which the 27 home state license is no longer encumbered in accordance with 28 subparagraph (1). 29 g. Once an encumbered license in the home state is restored 30 to good standing, the licensee must meet the requirements of 31 paragraph “a” to obtain a compact privilege in any remote state. 32 h. If a licensee’s compact privilege in any remote state is 33 removed, the individual may lose the compact privilege in any 34 other remote state until all of the following occur: 35 -7- LSB 2177YC (3) 89 ss/rh 7/ 28

H.F. _____ (1) The specific period of time for which the compact 1 privilege was removed has ended. 2 (2) All fines have been paid and all conditions have been 3 met. 4 (3) Two years have elapsed from the date of completing the 5 requirements of subparagraphs (1) and (2). 6 (4) The compact privilege is reinstated by the 7 commission, and the compact data system is updated to reflect 8 reinstatement. 9 i. If a licensee’s compact privilege in any remote state 10 is removed due to an erroneous charge, privileges shall be 11 restored through the compact data system. 12 j. Once the requirements of paragraph “h” have been met, the 13 licensee must meet the requirements of paragraph “a” to obtain a 14 compact privilege in a remote state. 15 5. Obtaining a new home state license by virtue of compact 16 privilege. 17 a. An occupational therapist or occupational therapy 18 assistant may hold a home state license, which allows for 19 compact privileges in member states, in only one member state 20 at a time. 21 b. If an occupational therapist or occupational therapy 22 assistant changes primary state of residence by moving between 23 two member states: 24 (1) The occupational therapist or occupational therapy 25 assistant shall file an application for obtaining a new 26 home state license by virtue of a compact privilege, pay all 27 applicable fees, and notify the current and new home state in 28 accordance with applicable rules adopted by the commission. 29 (2) Upon receipt of an application for obtaining a new 30 home state license by virtue of compact privilege, the new 31 home state shall verify that the occupational therapist or 32 occupational therapy assistant meets the pertinent criteria 33 outlined in subsection 4 via the data system, without the 34 need for primary source verification except for all of the 35 -8- LSB 2177YC (3) 89 ss/rh 8/ 28

H.F. _____ following: 1 (a) A federal bureau of investigation fingerprint-based 2 criminal background check if not previously performed or 3 updated pursuant to applicable rules adopted by the commission 4 in accordance with Pub. L. No. 92-544. 5 (b) Any other criminal background check as required by the 6 new home state. 7 (c) Submission of any requisite jurisprudence requirements 8 of the new home state. 9 (3) The former home state shall convert the former home 10 state license into a compact privilege once the new home state 11 has activated the new home state license in accordance with 12 applicable rules adopted by the commission. 13 (4) Notwithstanding any other provision of this compact, if 14 the occupational therapist or occupational therapy assistant 15 cannot meet the criteria in subsection 4, the new home state 16 shall apply its requirements for issuing a new single-state 17 license. 18 (5) The occupational therapist or the occupational therapy 19 assistant shall pay all applicable fees to the new home state 20 in order to be issued a new home state license. 21 c. If an occupational therapist or occupational therapy 22 assistant changes primary state of residence by moving from a 23 member state to a nonmember state, or from a nonmember state to 24 a member state, the state criteria shall apply for issuance of 25 a single-state license in the new state. 26 d. Nothing in this compact shall interfere with a licensee’s 27 ability to hold a single-state license in multiple states; 28 however, for the purposes of this compact, a licensee shall 29 have only one home state license. 30 e. Nothing in this compact shall affect the requirements 31 established by a member state for the issuance of a 32 single-state license. 33 6. Active duty military personnel or their spouses. Active 34 duty military personnel, or their spouses, shall designate a 35 -9- LSB 2177YC (3) 89 ss/rh 9/ 28

H.F. _____ home state where the individual has a current license in good 1 standing. The individual may retain the home state designation 2 during the period the service member is on active duty. 3 Subsequent to designating a home state, the individual shall 4 only change their home state through application for licensure 5 in the new state or through the process described in subsection 6 5. 7 7. Adverse actions. 8 a. A home state shall have exclusive power to impose adverse 9 action against an occupational therapist’s or occupational 10 therapy assistant’s license issued by the home state. 11 b. In addition to the other powers conferred by state law, 12 a remote state shall have the authority, in accordance with 13 existing state due process law, to do all of the following: 14 (1) Take adverse action against an occupational therapist’s 15 or occupational therapy assistant’s compact privilege within 16 that member state. 17 (2) Issue subpoenas for both hearings and investigations 18 that require the attendance and testimony of witnesses as well 19 as the production of evidence. Subpoenas issued by a licensing 20 board in a member state for the attendance and testimony of 21 witnesses or the production of evidence from another member 22 state shall be enforced in the latter state by any court of 23 competent jurisdiction, according to the practice and procedure 24 of that court applicable to subpoenas issued in proceedings 25 pending before it. The issuing authority shall pay any witness 26 fees, travel expenses, mileage, and other fees required by the 27 service statutes of the state where the witnesses or evidence 28 are located. 29 c. For purposes of taking adverse action, the home state 30 shall give the same priority and effect to reported conduct 31 received from a member state as it would if the conduct had 32 occurred within the home state. In so doing, the home state 33 shall apply its own state laws to determine appropriate action. 34 d. The home state shall complete any pending investigations 35 -10- LSB 2177YC (3) 89 ss/rh 10/ 28

H.F. _____ of an occupational therapist or occupational therapy assistant 1 who changes primary state of residence during the course of the 2 investigations. The home state where the investigations were 3 initiated shall also have the authority to take appropriate 4 action and shall promptly report the conclusions of the 5 investigations to the occupational therapy compact commission 6 data system. The occupational therapy compact commission data 7 system administrator shall promptly notify the new home state 8 of any adverse actions. 9 e. A member state, if otherwise permitted by state law, 10 may recover from the affected occupational therapist or 11 occupational therapy assistant the costs of investigations and 12 disposition of cases resulting from any adverse action taken 13 against that occupational therapist or occupational therapy 14 assistant. 15 f. A member state may take adverse action based on the 16 factual findings of the remote state, provided that the member 17 state follows its own procedures for taking the adverse action. 18 g. Joint investigations. 19 (1) In addition to the authority granted to a member 20 state by its respective state occupational therapy laws and 21 regulations or other applicable state law, any member state may 22 participate with other member states in joint investigations 23 of licensees. 24 (2) Member states shall share any investigative, 25 litigation, or compliance materials in furtherance of any joint 26 or individual investigation initiated under the compact. 27 h. If an adverse action is taken by the home state against 28 an occupational therapist’s or occupational therapy assistant’s 29 license, the occupational therapist’s or occupational therapy 30 assistant’s compact privilege in all other member states shall 31 be deactivated until all encumbrances have been removed from 32 the state license. All home state disciplinary orders that 33 impose adverse action against an occupational therapist’s 34 or occupational therapy assistant’s license shall include a 35 -11- LSB 2177YC (3) 89 ss/rh 11/ 28

H.F. _____ statement that the occupational therapist’s or occupational 1 therapy assistant’s compact privilege is deactivated in all 2 member states during the pendency of the order. 3 i. If a member state takes adverse action, it shall promptly 4 notify the administrator of the data system. The administrator 5 of the data system shall promptly notify the home state of any 6 adverse actions by remote states. 7 j. Nothing in this compact shall override a member state’s 8 decision that participation in an alternative program may be 9 used in lieu of adverse action. 10 8. Establishment of the occupational therapy compact 11 commission. 12 a. The compact member states hereby create and establish a 13 joint public agency known as the occupational therapy compact 14 commission. 15 (1) The commission is an instrumentality of the compact 16 states. 17 (2) Venue is proper and judicial proceedings by or against 18 the commission shall be brought solely and exclusively in a 19 court of competent jurisdiction where the principal office of 20 the commission is located. The commission may waive venue and 21 jurisdictional defenses to the extent it adopts or consents to 22 participate in alternative dispute resolution proceedings. 23 (3) Nothing in this compact shall be construed to be a 24 waiver of sovereign immunity. 25 b. Membership, voting, and meetings. 26 (1) Each member state shall have and be limited to one 27 delegate selected by that member state’s licensing board. 28 (2) The delegate shall be either of the following: 29 (a) A current member of the licensing board who is an 30 occupational therapist, occupational therapy assistant, or 31 public member. 32 (b) An administrator of the licensing board. 33 (3) Any delegate may be removed or suspended from office 34 as provided by the law of the state from which the delegate is 35 -12- LSB 2177YC (3) 89 ss/rh 12/ 28

H.F. _____ appointed. 1 (4) The member state board shall fill any vacancy occurring 2 in the commission within ninety days of the vacancy. 3 (5) Each delegate shall be entitled to one vote with regard 4 to the promulgation of rules and creation of bylaws and shall 5 otherwise have an opportunity to participate in the business 6 and affairs of the commission. A delegate shall vote in 7 person or by such other means as provided in the bylaws. The 8 bylaws may provide for delegates’ participation in meetings by 9 telephone or other means of communication. 10 (6) The commission shall meet at least once during each 11 calendar year. Additional meetings shall be held as set forth 12 in the bylaws. 13 (7) The commission shall establish by rule a term of office 14 for delegates. 15 c. The commission shall have the following powers and 16 duties: 17 (1) Establish a code of ethics for the commission. 18 (2) Establish the fiscal year of the commission. 19 (3) Establish bylaws. 20 (4) Maintain its financial records in accordance with the 21 bylaws. 22 (5) Meet and take such actions as are consistent with the 23 provisions of this compact and the bylaws. 24 (6) Promulgate uniform rules to facilitate and coordinate 25 implementation and administration of this compact. The rules 26 shall have the force and effect of law and shall be binding in 27 all member states. 28 (7) Bring and prosecute legal proceedings or actions in the 29 name of the commission, provided that the standing of any state 30 occupational therapy licensing board to sue or be sued under 31 applicable law shall not be affected. 32 (8) Purchase and maintain insurance and bonds. 33 (9) Borrow, accept, or contract for services of personnel, 34 including but not limited to employees of a member state. 35 -13- LSB 2177YC (3) 89 ss/rh 13/ 28

H.F. _____ (10) Hire employees, elect or appoint officers, fix 1 compensation, define duties, grant such individuals appropriate 2 authority to carry out the purposes of the compact, and 3 establish the commission’s personnel policies and programs 4 relating to conflicts of interest, qualifications of personnel, 5 and other related personnel matters. 6 (11) Accept any and all appropriate donations and grants 7 of money, equipment, supplies, materials, and services, and 8 receive, utilize, and dispose of the same; provided that at all 9 times the commission shall avoid any appearance of impropriety 10 or conflict of interest. 11 (12) Lease, purchase, accept appropriate gifts or donations 12 of, or otherwise own, hold, improve, or use, any property, 13 whether real, personal, or mixed; provided that at all times 14 the commission shall avoid any appearance of impropriety. 15 (13) Sell, convey, mortgage, pledge, lease, exchange, 16 abandon, or otherwise dispose of any property real, personal, 17 or mixed. 18 (14) Establish a budget and make expenditures. 19 (15) Borrow money. 20 (16) Appoint committees, including standing committees 21 composed of members, state regulators, state legislators or 22 their representatives, consumer representatives, and such other 23 interested persons as may be designated in this compact and the 24 bylaws. 25 (17) Provide and receive information from, and cooperate 26 with, law enforcement agencies. 27 (18) Establish and elect an executive committee. 28 (19) Perform such other functions as may be necessary or 29 appropriate to achieve the purposes of this compact consistent 30 with the state regulation of occupational therapy licensure and 31 practice. 32 d. The executive committee. The executive committee shall 33 have the power to act on behalf of the commission according to 34 the terms of this compact. 35 -14- LSB 2177YC (3) 89 ss/rh 14/ 28

H.F. _____ (1) The executive committee shall be composed of the 1 following nine members: 2 (a) Seven voting members who are elected by the commission 3 from the current membership of the commission. 4 (b) One ex officio, nonvoting member from a recognized 5 national occupational therapy professional association. 6 (c) One ex officio, nonvoting member from a recognized 7 national occupational therapy certification organization. 8 (2) The ex officio members will be selected by their 9 respective organizations. 10 (3) The commission may remove any member of the executive 11 committee as provided in bylaws. 12 (4) The executive committee shall meet at least annually. 13 (5) The executive committee shall have the following duties 14 and responsibilities: 15 (a) Recommend to the entire commission changes to the rules 16 or bylaws, changes to this compact, fees paid by compact member 17 states such as annual dues, and any commission compact fee 18 charged to licensees for the compact privilege. 19 (b) Ensure compact administration services are 20 appropriately provided, contractual or otherwise. 21 (c) Prepare and recommend the budget. 22 (d) Maintain financial records on behalf of the commission. 23 (e) Monitor compact compliance of member states and provide 24 compliance reports to the commission. 25 (f) Establish additional committees as necessary. 26 (g) Perform other duties as provided in rules or bylaws. 27 e. Meetings of the commission. 28 (1) All meetings shall be open to the public, and public 29 notice of meetings shall be given in the same manner as 30 required under the rulemaking provisions in subsection 10. 31 (2) The commission or the executive committee or other 32 committees of the commission may convene in a closed, nonpublic 33 meeting if the commission or executive committee or other 34 committees of the commission must discuss any of the following: 35 -15- LSB 2177YC (3) 89 ss/rh 15/ 28

H.F. _____ (a) Noncompliance of a member state with its obligations 1 under the compact. 2 (b) The employment, compensation, discipline, or other 3 matters, practices, or procedures related to specific employees 4 or other matters related to the commission’s internal personnel 5 practices and procedures. 6 (c) Current, threatened, or reasonably anticipated 7 litigation. 8 (d) Negotiation of contracts for the purchase, lease, or 9 sale of goods, services, or real estate. 10 (e) Accusing any person of a crime or formally censuring any 11 person. 12 (f) Disclosure of trade secrets or commercial or financial 13 information that is privileged or confidential. 14 (g) Disclosure of information of a personal nature where 15 disclosure would constitute a clearly unwarranted invasion of 16 personal privacy. 17 (h) Disclosure of investigative records compiled for law 18 enforcement purposes. 19 (i) Disclosure of information related to any investigative 20 reports prepared by, on behalf of, or for use of the commission 21 or other committee charged with the responsibility of 22 investigation or determination of compliance issues pursuant 23 to the compact. 24 (j) Matters specifically exempted from disclosure by 25 federal or member state statute. 26 (3) If a meeting, or portion of a meeting, is closed 27 pursuant to this provision, the commission’s legal counsel or 28 designee shall certify that the meeting may be closed and shall 29 reference each relevant exempting provision. 30 (4) The commission shall keep minutes that fully and clearly 31 describe all matters discussed in a meeting and shall provide 32 a full and accurate summary of actions taken, and the reasons 33 therefore, including a description of the views expressed. 34 All documents considered in connection with an action shall 35 -16- LSB 2177YC (3) 89 ss/rh 16/ 28

H.F. _____ be identified in such minutes. All minutes and documents of 1 a closed meeting shall remain under seal, subject to release 2 by a majority vote of the commission or order of a court of 3 competent jurisdiction. 4 f. Financing of the commission. 5 (1) The commission shall pay, or provide for the payment of, 6 the reasonable expenses of its establishment, organization, and 7 ongoing activities. 8 (2) The commission may accept any and all appropriate 9 revenue sources, donations, and grants of money, equipment, 10 supplies, materials, and services. 11 (3) The commission may levy on and collect an annual 12 assessment from each member state or impose fees on other 13 parties to cover the cost of the operations and activities 14 of the commission and its staff, which must be in a total 15 amount sufficient to cover its annual budget as approved by 16 the commission each year for which revenue is not provided by 17 other sources. The aggregate annual assessment amount shall 18 be allocated based upon a formula to be determined by the 19 commission, which shall promulgate a rule binding upon all 20 member states. 21 (4) The commission shall not incur obligations of any kind 22 prior to securing the funds adequate to meet the same; nor 23 shall the commission pledge the credit of any of the member 24 states, except by and with the authority of the member state. 25 (5) The commission shall keep accurate accounts of all 26 receipts and disbursements. The receipts and disbursements of 27 the commission shall be subject to the audit and accounting 28 procedures established under its bylaws. However, all receipts 29 and disbursements of funds handled by the commission shall be 30 audited yearly by a certified or licensed public accountant, 31 and the report of the audit shall be included in and become 32 part of the annual report of the commission. 33 g. Qualified immunity, defense, and indemnification. 34 (1) The members, officers, executive director, employees, 35 -17- LSB 2177YC (3) 89 ss/rh 17/ 28

H.F. _____ and representatives of the commission shall be immune from 1 suit and liability, either personally or in their official 2 capacity, for any claim for damage to or loss of property or 3 personal injury or other civil liability caused by or arising 4 out of any actual or alleged act, error, or omission that 5 occurred, or that the person against whom the claim is made had 6 a reasonable basis for believing occurred within the scope of 7 commission employment, duties, or responsibilities; provided 8 that nothing in this paragraph shall be construed to protect 9 any such person from suit or liability for any damage, loss, 10 injury, or liability caused by the intentional, willful, or 11 wanton misconduct of that person. 12 (2) The commission shall defend any member, officer, 13 executive director, employee, or representative of the 14 commission in any civil action seeking to impose liability 15 arising out of any actual or alleged act, error, or omission 16 that occurred within the scope of commission employment, 17 duties, or responsibilities, or that the person against 18 whom the claim is made had a reasonable basis for believing 19 occurred within the scope of commission employment, duties, 20 or responsibilities; provided that nothing herein shall be 21 construed to prohibit that person from retaining the person’s 22 own counsel; and provided further, that the actual or alleged 23 act, error, or omission did not result from that person’s 24 intentional, willful, or wanton misconduct. 25 (3) The commission shall indemnify and hold harmless 26 any member, officer, executive director, employee, or 27 representative of the commission for the amount of any 28 settlement or judgment obtained against that person arising 29 out of any actual or alleged act, error, or omission that 30 occurred within the scope of commission employment, duties, 31 or responsibilities, or that such person had a reasonable 32 basis for believing occurred within the scope of commission 33 employment, duties, or responsibilities; provided that the 34 actual or alleged act, error, or omission did not result from 35 -18- LSB 2177YC (3) 89 ss/rh 18/ 28

H.F. _____ the intentional, willful, or wanton misconduct of that person. 1 9. Data system. 2 a. The commission shall provide for the development, 3 maintenance, and utilization of a coordinated database and 4 reporting system containing licensure, adverse action, and 5 investigative information on all licensed individuals in member 6 states. 7 b. A member state shall submit a uniform data set to 8 the data system on all individuals to whom this compact is 9 applicable, utilizing a unique identifier, as required by the 10 rules of the commission, including all of the following: 11 (1) Identifying information. 12 (2) Licensure data. 13 (3) Adverse actions against a license or compact privilege. 14 (4) Nonconfidential information related to alternative 15 program participation. 16 (5) Any denial of application for licensure, and the reason 17 for such denial. 18 (6) Other information that may facilitate the 19 administration of this compact, as determined by the rules of 20 the commission. 21 (7) Current significant investigative information. 22 c. Current significant investigative information and other 23 investigative information pertaining to a licensee in any 24 member state will only be available to other member states. 25 d. The commission shall promptly notify all member states of 26 any adverse action taken against a licensee or an individual 27 applying for a license. Adverse action information pertaining 28 to a licensee in any member state will be available to any 29 other member state. 30 e. Member states contributing information to the data 31 system may designate information that may not be shared with 32 the public without the express permission of the contributing 33 state. 34 f. Any information submitted to the data system that is 35 -19- LSB 2177YC (3) 89 ss/rh 19/ 28

H.F. _____ subsequently required to be expunged by the laws of the member 1 state contributing the information shall be removed from the 2 data system. 3 10. Rulemaking. 4 a. The commission shall exercise its rulemaking powers 5 pursuant to the criteria set forth in this subsection and the 6 rules adopted thereunder. Rules and amendments shall become 7 binding as of the date specified in each rule or amendment. 8 b. The commission shall promulgate reasonable rules in 9 order to effectively and efficiently achieve the purposes of 10 the compact. Notwithstanding the foregoing, in the event the 11 commission exercises its rulemaking authority in a manner that 12 is beyond the scope of the purposes of the compact, or the 13 powers granted hereunder, then such an action by the commission 14 shall be invalid and have no force and effect. 15 c. If a majority of the legislatures of the member states 16 rejects a rule, by enactment of a statute or resolution in the 17 same manner used to adopt the compact within four years of the 18 date of adoption of the rule, then such rule shall have no 19 further force and effect in any member state. 20 d. Rules or amendments to the rules shall be adopted at a 21 regular or special meeting of the commission. 22 e. Prior to promulgation and adoption of a final rule or 23 rules by the commission, and at least thirty days in advance 24 of the meeting at which the rule will be considered and voted 25 upon, the commission shall file a notice of proposed rulemaking 26 in all of the following places: 27 (1) On the internet site of the commission or other publicly 28 accessible platform. 29 (2) On the internet site of each member state occupational 30 therapy licensing board or other publicly accessible platform 31 or the publication in which each state would otherwise publish 32 proposed rules. 33 f. The notice of proposed rulemaking shall include all of 34 the following: 35 -20- LSB 2177YC (3) 89 ss/rh 20/ 28