House File 656 - Introduced HOUSE FILE 656 BY COMMITTEE ON STATE GOVERNMENT (SUCCESSOR TO HSB 220) A BILL FOR An Act establishing the dentist and dental hygienist compact. 1 BE IT ENACTED BY THE GENERAL ASSEMBLY OF THE STATE OF IOWA: 2 TLSB 2358HV (3) 90 ss/rh

H.F. 656 Section 1. NEW SECTION . 147G.1 Dentist and dental hygienist 1 compact. 2 1. Title and purpose. This chapter shall be known and cited 3 as the dentist and dental hygienist compact. The purposes 4 of this compact are to facilitate the interstate practice of 5 dentistry and dental hygiene and improve public access to 6 dentistry and dental hygiene services by providing dentists 7 and dental hygienists licensed in a participating state the 8 ability to practice in participating states in which they are 9 not licensed. The compact does this by establishing a pathway 10 for dentists and dental hygienists licensed in a participating 11 state to obtain a compact privilege that authorizes them to 12 practice in another participating state in which they are not 13 licensed. The compact enables participating states to protect 14 the public health and safety with respect to the practice 15 of such dentists and dental hygienists through the state’s 16 authority to regulate the practice of dentistry and dental 17 hygiene in the state. The compact: 18 a. Enables dentists and dental hygienists who qualify for 19 a compact privilege to practice in other participating states 20 without satisfying burdensome and duplicative requirements 21 associated with securing a license to practice in those states. 22 b. Promotes mobility and addresses workforce shortages 23 through each participating state’s acceptance of a compact 24 privilege to practice in that state. 25 c. Increases public access to qualified, licensed dentists 26 and dental hygienists by creating a responsible, streamlined 27 pathway for licensees to practice in participating states. 28 d. Enhances the ability of participating states to protect 29 the public’s health and safety. 30 e. Does not interfere with licensure requirements 31 established by a participating state. 32 f. Facilitates the sharing of licensure and disciplinary 33 information among participating states. 34 g. Requires dentists and dental hygienists who practice in a 35 -1- LSB 2358HV (3) 90 ss/rh 1/ 32

H.F. 656 participating state pursuant to a compact privilege to practice 1 within the scope of practice authorized in that state. 2 h. Extends the authority of a participating state to 3 regulate the practice of dentistry and dental hygiene within 4 its borders to dentists and dental hygienists who practice in 5 the state through a compact privilege. 6 i. Promotes the cooperation of participating states in 7 regulating the practice of dentistry and dental hygiene within 8 those states. 9 j. Facilitates the relocation of military members and 10 their spouses who are licensed to practice dentistry or dental 11 hygiene. 12 2. Definitions. As used in this compact, unless the context 13 requires otherwise, the following definitions shall apply: 14 a. “Active military member” means an individual in full-time 15 duty status in the armed forces of the United States, including 16 members of the national guard and reserve. 17 b. “Adverse action” means any disciplinary action or 18 encumbrance imposed on a licensee or compact privilege by a 19 state licensing authority. 20 c. “Alternative program” means a nondisciplinary monitoring 21 or practice remediation process applicable to a dentist or 22 dental hygienist approved by a state licensing authority of a 23 participating state in which the dentist or dental hygienist is 24 licensed. “Alternative program” includes but is not limited to 25 programs to which licensees with substance abuse or addiction 26 issues are referred in lieu of adverse action. 27 d. “Clinical assessment” means an examination or process, 28 required for licensure as a dentist or dental hygienist as 29 applicable, that provides evidence of clinical competence in 30 dentistry or dental hygiene. 31 e. “Commissioner” means the individual appointed by a 32 participating state to serve as the member of the commission 33 for that participating state. 34 f. “Compact” means this dentist and dental hygienist 35 -2- LSB 2358HV (3) 90 ss/rh 2/ 32

H.F. 656 compact. 1 g. “Compact privilege” means the authorization granted by a 2 remote state to allow a licensee from a participating state to 3 practice as a dentist or dental hygienist in a remote state. 4 h. “Continuing professional development” means a requirement 5 as a condition of license renewal to provide evidence of 6 successful participation in educational or professional 7 activities relevant to practice or area of work. 8 i. “Criminal background check” means the submission of 9 fingerprints or other biometric-based information for a license 10 applicant for the purpose of obtaining the applicant’s criminal 11 history record information, as defined in 28 C.F.R. §20.3(d) 12 from the federal bureau of investigation and the state’s 13 criminal history record repository as defined in 28 C.F.R. 14 §20.3(f). 15 j. “Data system” means the commission’s repository of 16 information about licensees, including but not limited to 17 examinations, licensure, investigative information, compact 18 privileges, adverse actions, and alternative programs. 19 k. “Dental hygienist” means an individual who is licensed by 20 a state licensing authority to practice dental hygiene. 21 l. “Dentist” means an individual who is licensed by a state 22 licensing authority to practice dentistry. 23 m. “Dentist and dental hygienist compact commission” or 24 “commission” means a joint government agency established by this 25 compact comprised of each state that has enacted the compact 26 and a national administrative body comprised of a commissioner 27 from each state that has enacted the compact. 28 n. “Encumbered license” means a license that a state 29 licensing authority has limited in any way other than through 30 an alternative program. 31 o. “Executive board” means the chair, vice chair, secretary, 32 and treasurer, and any other commissioners as may be determined 33 by commission rule or bylaw. 34 p. “Jurisprudence requirement” means the assessment of an 35 -3- LSB 2358HV (3) 90 ss/rh 3/ 32

H.F. 656 individual’s knowledge of the laws and rules governing the 1 practice of dentistry or dental hygiene, as applicable, in a 2 state. 3 q. “License” means current authorization by a state, other 4 than authorization pursuant to a compact privilege, or other 5 privilege, for an individual to practice as a dentist or dental 6 hygienist in that state. 7 r. “Licensee” means an individual who holds an unrestricted 8 license from a participating state to practice as a dentist or 9 dental hygienist in that state. 10 s. “Model compact” means the model for the dentist and 11 dental hygienist compact on file with the council of state 12 governments or other entity as designated by the commission. 13 t. “Participating state” means a state that has enacted the 14 compact and been admitted to the commission in accordance with 15 the provisions of the compact and commission rules. 16 u. “Qualifying license” means a license that is not an 17 encumbered license issued by a participating state to practice 18 dentistry or dental hygiene. 19 v. “Remote state” means a participating state where a 20 licensee who is not licensed as a dentist or dental hygienist 21 is exercising or seeking to exercise the compact privilege. 22 w. “Rule” means a regulation promulgated by an entity that 23 has the force of law. 24 x. “Scope of practice” means the procedures, actions, and 25 processes a dentist or dental hygienist licensed in a state 26 is permitted to undertake in that state and the circumstances 27 under which the licensee is permitted to undertake those 28 procedures, actions, and processes. Such procedures, actions, 29 and processes and the circumstances under which they may 30 be established through means, including but not limited to 31 statutes, regulations, case law, and other processes available 32 to the state licensing authority or other government agency. 33 y. “Significant investigative information” means information, 34 records, and documents received or generated by a state 35 -4- LSB 2358HV (3) 90 ss/rh 4/ 32

H.F. 656 licensing authority pursuant to an investigation for which a 1 determination has been made that there is probable cause to 2 believe that the licensee has violated a statute or regulation 3 that is considered more than a minor infraction for which 4 the state licensing authority could pursue an adverse action 5 against the licensee. 6 z. “State” means a state, commonwealth, district, or 7 territory of the United States that regulates the practices of 8 dentistry and dental hygiene. 9 aa. “State licensing authority” means an agency or other 10 entity of a state that is responsible for the licensing and 11 regulation of dentists or dental hygienists. 12 3. State participation in the compact. 13 a. In order to join the compact and thereafter continue as a 14 participating state, a state must do all of the following: 15 (1) Enact a compact that is not materially different from 16 the model compact, as determined in accordance with commission 17 rules. 18 (2) Participate fully in the commission’s data system. 19 (3) Have a mechanism in place for receiving and 20 investigating complaints about its licensees and license 21 applicants. 22 (4) Notify the commission, in compliance with the terms of 23 the compact and commission rules, of any adverse action or the 24 availability of significant investigative information regarding 25 a licensee or license applicant. 26 (5) Fully implement a criminal background check 27 requirement, within a time frame established by commission 28 rule, by receiving the results of a qualifying criminal 29 background check. 30 (6) Comply with commission rules applicable to a 31 participating state. 32 (7) Accept the national board examinations of the joint 33 commission on national dental examinations or another 34 examination accepted by commission rule as a licensure 35 -5- LSB 2358HV (3) 90 ss/rh 5/ 32

H.F. 656 examination. 1 (8) Accept for licensure that applicants for a dentist 2 license graduate from a predoctoral dental education program 3 accredited by the commission on dental accreditation or another 4 accrediting agency recognized by the United States department 5 of education for the accreditation of dentistry and dental 6 hygiene education programs, leading to the doctor of dental 7 surgery or doctor of dental medicine degree. 8 (9) Accept for licensure that applicants for a dental 9 hygienist license graduate from a dental hygiene program 10 accredited by the commission on dental accreditation or another 11 accrediting agency recognized by the United States department 12 of education for the accreditation of dentistry and dental 13 hygiene education programs. 14 (10) Require for licensure that applicants successfully 15 complete a clinical assessment. 16 (11) Have continuing professional development requirements 17 as a condition for license renewal. 18 (12) Pay a participation fee to the commission as 19 established by commission rule. 20 b. Providing alternative pathways for an individual to 21 obtain an unrestricted license does not disqualify a state from 22 participating in the compact. 23 c. When conducting a criminal background check the state 24 licensing authority shall do all of the following: 25 (1) Consider that information in making a licensure 26 decision. 27 (2) Maintain documentation of the criminal background check 28 and background check information to the extent allowed by state 29 and federal law. 30 (3) Report to the commission whether a state has completed 31 the criminal background check and whether the individual was 32 granted or denied a license. 33 d. A licensee of a participating state who has a qualifying 34 license in that state and does not hold an encumbered license 35 -6- LSB 2358HV (3) 90 ss/rh 6/ 32

H.F. 656 in any other participating state shall be issued a compact 1 privilege in a remote state in accordance with the terms of 2 the compact and commission rules. If a remote state has a 3 jurisprudence requirement, a compact privilege will not be 4 issued to the licensee unless the licensee has satisfied the 5 jurisprudence requirement. 6 4. Compact privilege. 7 a. To obtain and exercise the compact privilege under the 8 terms and provisions of the compact, a licensee shall do all 9 of the following: 10 (1) Have a qualifying license as a dentist or dental 11 hygienist in a participating state. 12 (2) Be eligible for a compact privilege in any remote state 13 in accordance with paragraphs “d” , “g” , and “h” . 14 (3) Submit to an application process whenever the licensee 15 is seeking a compact privilege. 16 (4) Pay any applicable commission and remote state fees for 17 a compact privilege in the remote state. 18 (5) Meet any jurisprudence requirement established by 19 a remote state in which the licensee is seeking a compact 20 privilege. 21 (6) Have passed a national board examination of the 22 joint commission on national dental examinations or another 23 examination accepted by commission rule. 24 (7) For a dentist, have graduated from a predoctoral dental 25 education program accredited by the commission on dental 26 accreditation, or another accrediting agency recognized by the 27 United States department of education for the accreditation of 28 dentistry and dental hygiene education programs, leading to the 29 doctor of dental surgery or doctor of dental medicine degree. 30 (8) For a dental hygienist, have graduated from a dental 31 hygiene education program accredited by the commission 32 on dental accreditation or another accrediting agency 33 recognized by the United States department of education for 34 the accreditation of dentistry and dental hygiene education 35 -7- LSB 2358HV (3) 90 ss/rh 7/ 32

H.F. 656 programs. 1 (9) Have successfully completed a clinical assessment for 2 licensure. 3 (10) Report to the commission any adverse action taken 4 by any nonparticipating state when applying for a compact 5 privilege and otherwise within thirty days from the date the 6 adverse action is taken. 7 (11) Report to the commission when applying for a compact 8 privilege the address of the licensee’s primary residence and 9 thereafter immediately report to the commission any change in 10 the address of the licensee’s primary residence. 11 (12) Consent to accept service of process by mail at the 12 licensee’s primary residence on record with the commission 13 with respect to any action brought against the licensee 14 by the commission or a participating state, and consent to 15 accept service of a subpoena by mail at the licensee’s primary 16 residence on record with the commission with respect to any 17 action brought or investigation conducted by the commission or 18 a participating state. 19 b. The licensee must comply with the requirements in 20 paragraph “a” to maintain the compact privilege in the remote 21 state. If those requirements are met, the compact privilege 22 will continue as long as the licensee maintains a qualifying 23 license in the state through which the licensee applied for the 24 compact privilege and pays any applicable compact privilege 25 renewal fees. 26 c. A licensee providing dentistry or dental hygiene in a 27 remote state under the compact privilege shall function within 28 the scope of practice authorized by the remote state for a 29 dentist or dental hygienist licensed in that state. 30 d. A licensee providing dentistry or dental hygiene 31 pursuant to a compact privilege in a remote state is subject 32 to that state’s regulatory authority. A remote state may, in 33 accordance with due process and that state’s laws, by adverse 34 action revoke or remove a licensee’s compact privilege in the 35 -8- LSB 2358HV (3) 90 ss/rh 8/ 32

H.F. 656 remote state for a specific period of time, impose fines, 1 or take any other necessary actions to protect the health 2 and safety of its citizens. If a remote state imposes an 3 adverse action against a compact privilege that limits the 4 compact privilege, that adverse action applies to all compact 5 privileges in all remote states. A licensee whose compact 6 privilege in a remote state is removed for a specified period 7 of time is not eligible for a compact privilege in any other 8 remote state until the specific time for removal of the compact 9 privilege has passed and all encumbrance requirements are 10 satisfied. 11 e. If a license in a participating state is an encumbered 12 license, the licensee shall lose the compact privilege in a 13 remote state and shall not be eligible for a compact privilege 14 in any remote state until the license is no longer encumbered. 15 f. Once an encumbered license in a participating state 16 is restored to good standing, the licensee must meet the 17 requirements of paragraph “a” to obtain a compact privilege in a 18 remote state. 19 g. If a licensee’s compact privilege in a remote state is 20 removed by the remote state, the individual shall lose or be 21 ineligible for the compact privilege in any remote state until 22 both of the following occur: 23 (1) The specified period of time for which the compact 24 privilege was removed has ended. 25 (2) All conditions for removal of the compact privilege have 26 been satisfied. 27 h. Once the requirements of paragraph “g” have been met, the 28 licensee must meet the requirements of paragraph “a” to obtain a 29 compact privilege in a remote state. 30 5. Active military member or spouses. An active military 31 member and the spouse of an active military member shall not 32 be required to pay to the commission for a compact privilege 33 the fee otherwise charged by the commission. If a remote state 34 chooses to charge a fee for a compact privilege, it may choose 35 -9- LSB 2358HV (3) 90 ss/rh 9/ 32

H.F. 656 to charge a reduced fee or no fee to an active military member 1 and the spouse of an active military member for a compact 2 privilege. 3 6. Adverse actions. 4 a. A participating state in which a licensee is licensed 5 shall have exclusive authority to impose adverse action against 6 the qualifying license issued by that participating state. 7 b. A participating state may take adverse action based on 8 significant investigative information of a remote state, so 9 long as the participating state follows its own procedures for 10 imposing adverse action. 11 c. Nothing in this compact shall override a participating 12 state’s decision that participation in an alternative 13 program may be used in lieu of adverse action and that 14 such participation shall remain nonpublic if required by 15 the participating state’s laws. Participating states must 16 require licensees who enter any alternative program in lieu 17 of discipline to agree not to practice pursuant to a compact 18 privilege in any other participating state during the term of 19 the alternative program without prior authorization from such 20 other participating state. 21 d. Any participating state in which a licensee is applying 22 to practice or is practicing pursuant to a compact privilege 23 may investigate actual or alleged violations of the statutes 24 and regulations authorizing the practice of dentistry or dental 25 hygiene in any other participating state in which the dentist 26 or dental hygienist holds a license or compact privilege. 27 e. A remote state shall have the authority to do all of the 28 following: 29 (1) Take adverse actions as set forth in subsection 4, 30 paragraph “d” , against a licensee’s compact privilege in the 31 state. 32 (2) In furtherance of its rights and responsibilities 33 under the compact and commission’s rules, issue subpoenas 34 for both hearings and investigations that require the 35 -10- LSB 2358HV (3) 90 ss/rh 10/ 32

H.F. 656 attendance and testimony of witnesses and the production of 1 evidence. Subpoenas issued by a state licensing authority 2 in a participating state for the attendance and testimony 3 of witnesses, or the production of evidence from another 4 participating state, shall be enforced in the latter state by 5 any court of competent jurisdiction according to the practice 6 and procedure of that court applicable to subpoenas issued in 7 proceedings pending before it. The issuing authority shall 8 pay any witness fees, travel expenses, mileage, and other 9 fees required by the service statutes of the state where the 10 witnesses or evidence are located. 11 (3) If otherwise permitted by state law, recover from the 12 licensee the costs of investigation and disposition of cases 13 resulting from any adverse action taken against that licensee. 14 f. Joint investigations. 15 (1) In addition to the authority granted to a participating 16 state by its dentist or dental hygienist licensure act or 17 other applicable state law, a participating state may jointly 18 investigate licensees with other participating states. 19 (2) Participating states shall share any significant 20 investigative information, litigation, or compliance materials 21 in furtherance of any joint or individual investigation 22 initiated under the compact. 23 g. Authority to continue investigation. 24 (1) After a licensee’s compact privilege in a remote state 25 is terminated, the remote state may continue an investigation 26 of the licensee that began when the licensee had a compact 27 privilege in that remote state. 28 (2) If the investigation yields what would be significant 29 investigative information had the licensee continued to have a 30 compact privilege in that remote state, the remote state shall 31 report the presence of such information to the data system as 32 required by subsection 8, paragraph “b” , subparagraph (6), as if 33 it was significant investigative information. 34 7. Establishment and operation of the commission. 35 -11- LSB 2358HV (3) 90 ss/rh 11/ 32

H.F. 656 a. The compact participating states hereby create and 1 establish a joint government agency whose membership consists 2 of all participating states that have enacted the compact. 3 The commission is an instrumentality of the participating 4 states acting jointly and not an instrumentality of any one 5 state. The commission shall come into existence on or after 6 the effective date of the compact as set forth in subsection 7 11, paragraph “a” . 8 b. Participation, voting, and meetings. 9 (1) Each participating state shall have and be limited 10 to one commissioner selected by the participating state’s 11 state licensing authority or, if the state has more than one 12 state licensing authority, selected collectively by the state 13 licensing authorities. 14 (2) The commissioner shall be a member or designee of such 15 authority or authorities. 16 (3) The commission may by rule or bylaw establish a term 17 of office for commissioners and may by rule or bylaw establish 18 term limits. 19 (4) The commission may recommend to a state licensing 20 authority or authorities, as applicable, removal or suspension 21 of an individual as the state’s commissioner. 22 (5) A participating state’s state licensing authority 23 or authorities, as applicable, shall fill any vacancy of 24 its commissioner on the commission within sixty days of the 25 vacancy. 26 (6) Each commissioner shall be entitled to one vote on all 27 matters that are voted upon by the commission. 28 (7) The commission shall meet at least once during each 29 calendar year. Additional meetings may be held as set forth 30 in the bylaws. The commission may meet by telecommunication, 31 video conference, or other similar electronic means. 32 c. The commission shall have the following powers: 33 (1) Establish the fiscal year of the commission. 34 (2) Establish a code of conduct and conflict of interest 35 -12- LSB 2358HV (3) 90 ss/rh 12/ 32

H.F. 656 policies. 1 (3) Adopt rules and bylaws. 2 (4) Maintain its financial records in accordance with the 3 bylaws. 4 (5) Meet and take such actions as are consistent with the 5 provisions of this compact, the commission’s rules, and the 6 bylaws. 7 (6) Initiate and conclude legal proceedings or actions in 8 the name of the commission, provided that the standing of a 9 state licensing authority to sue or be sued under applicable 10 law shall not be affected. 11 (7) Maintain and certify records and information provided 12 to a participating state as the authenticated business records 13 of the commission, and designate a person to do so on the 14 commission’s behalf. 15 (8) Purchase and maintain insurance and bonds. 16 (9) Borrow, accept, or contract for services of personnel, 17 including but not limited to employees of a participating 18 state. 19 (10) Conduct an annual financial review. 20 (11) Hire employees, elect or appoint officers, fix 21 compensation, define duties, grant such individuals appropriate 22 authority to carry out the purposes of the compact, and 23 establish the commission’s personnel policies and programs 24 relating to conflicts of interest, qualifications of personnel, 25 and other related personnel matters. 26 (12) As set forth in the commission rules, charge a fee to 27 a licensee for the grant of a compact privilege in a remote 28 state and thereafter, as may be established by commission 29 rule, charge the licensee a compact privilege renewal fee 30 for each renewal period in which that licensee exercises or 31 intends to exercise the compact privilege in that remote state. 32 Nothing herein shall be construed to prevent a remote state 33 from charging a licensee a fee for a compact privilege or 34 renewals of a compact privilege, or a fee for the jurisprudence 35 -13- LSB 2358HV (3) 90 ss/rh 13/ 32

H.F. 656 requirement if the remote state imposes such a requirement for 1 the grant of a compact privilege. 2 (13) Accept any and all appropriate gifts, donations, 3 grants of money, other sources of revenue, equipment, supplies, 4 materials, and services, and receive, utilize, and dispose of 5 the same, provided that at all times the commission shall avoid 6 any appearance of impropriety or conflict of interest. 7 (14) Lease, purchase, retain, own, hold, improve, or use any 8 property, real, personal, or mixed, or any undivided interest 9 therein. 10 (15) Sell, convey, mortgage, pledge, lease, exchange, 11 abandon, or otherwise dispose of any property, real, personal, 12 or mixed. 13 (16) Establish a budget or make expenditures. 14 (17) Borrow money. 15 (18) Appoint committees, including standing committees, 16 which may be composed of members, state regulators, 17 state legislators or their representatives, and consumer 18 representatives, and such other interested persons as may be 19 designated in this compact and the bylaws. 20 (19) Provide and receive information from, and cooperate 21 with, law enforcement agencies. 22 (20) Elect a chair, vice chair, secretary, and treasurer, 23 and such other officers of the commission as provided in the 24 commission’s bylaws. 25 (21) Establish and elect an executive board. 26 (22) Adopt and provide to the participating states an annual 27 report. 28 (23) Determine whether a state’s enacted compact is 29 materially different from the model compact language such that 30 the state would not qualify for participation in the compact. 31 (24) Perform such other functions as may be necessary or 32 appropriate to achieve the purposes of this compact. 33 d. Meetings of the commission. 34 (1) All meetings of the commission that are not closed 35 -14- LSB 2358HV (3) 90 ss/rh 14/ 32

H.F. 656 pursuant to this paragraph shall be open to the public. Notice 1 of public meetings shall be posted on the commission’s internet 2 site at least thirty days prior to the public meeting. 3 (2) Notwithstanding subparagraph (1), the commission may 4 convene an emergency public meeting by providing at least 5 twenty-four hours prior notice on the commission’s internet 6 site, and any other means as provided in the commission’s 7 rules, for any of the reasons it may dispense with notice 8 of proposed rulemaking under subsection 9, paragraph “l” . 9 The commission’s legal counsel shall certify that one of the 10 reasons justifying an emergency public meeting has been met. 11 (3) Notice of all commission meetings shall provide the 12 time, date, and location of the meeting, and if the meeting 13 is to be held or accessible via telecommunication, video 14 conference, or other electronic means, the notice shall include 15 the mechanism for access to the meeting through such means. 16 (4) The commission may convene in a closed, nonpublic 17 meeting for the commission to receive legal advice or to 18 discuss any of the following: 19 (a) Noncompliance of a participating state with its 20 obligations under the compact. 21 (b) The employment, compensation, discipline, or other 22 matters, practices, or procedures related to specific employees 23 or other matters related to the commission’s internal personnel 24 practices and procedures. 25 (c) Current or threatened discipline of a licensee 26 or compact privilege holder by the commission or by a 27 participating state’s licensing authority. 28 (d) Current, threatened, or reasonably anticipated 29 litigation. 30 (e) Negotiation of contracts for the purchase, lease, or 31 sale of goods, services, or real estate. 32 (f) Accusing any person of a crime or formally censuring any 33 person. 34 (g) Trade secrets or commercial or financial information 35 -15- LSB 2358HV (3) 90 ss/rh 15/ 32

H.F. 656 that is privileged or confidential. 1 (h) Information of a personal nature where disclosure would 2 constitute a clearly unwarranted invasion of personal privacy. 3 (i) Investigative records compiled for law enforcement 4 purposes. 5 (j) Information related to any investigative reports 6 prepared by or on behalf of or for use of the commission or 7 other committee charged with responsibility of investigation or 8 determination of compliance issues pursuant to the compact. 9 (k) Legal advice. 10 (l) Matters specifically exempted from disclosure to the 11 public by federal or participating state law. 12 (m) Other matters as promulgated by the commission by rule. 13 (5) If a meeting, or portion of a meeting, is closed, the 14 presiding officer shall state that the meeting will be closed 15 and reference each relevant exempting provision, and such 16 reference shall be recorded in the minutes. 17 (6) The commission shall keep minutes that fully and clearly 18 describe all matters discussed in a meeting and shall provide 19 a full and accurate summary of actions taken, and the reasons 20 therefore, including a description of the views expressed. 21 All documents considered in connection with an action shall 22 be identified in such minutes. All minutes and documents of 23 a closed meeting shall remain under seal, subject to release 24 only by a majority vote of the commission or order of a court of 25 competent jurisdiction. 26 e. Financing of the commission. 27 (1) The commission shall pay or provide for the payment of 28 the reasonable expenses of its establishment, organization, and 29 ongoing activities. 30 (2) The commission may accept any and all appropriate 31 sources of revenue, donations, and grants of money, equipment, 32 supplies, materials, and services. 33 (3) The commission may levy on and collect an annual 34 assessment from each participating state and impose fees on 35 -16- LSB 2358HV (3) 90 ss/rh 16/ 32

H.F. 656 licensees of participating states when a compact privilege is 1 granted to cover the cost of the operations and activities 2 of the commission and its staff, which must be in a total 3 amount sufficient to cover its annual budget as approved each 4 fiscal year for which sufficient revenue is not provided by 5 other sources. The aggregate annual assessment amount for 6 participating states shall be allocated based upon a formula 7 that the commission shall promulgate by rule. 8 (4) The commission shall not incur obligations of any kind 9 prior to securing the funds adequate to meet the same, nor 10 shall the commission pledge the credit of any participating 11 state, except by and with the authority of the participating 12 state. 13 (5) The commission shall keep accurate accounts of all 14 receipts and disbursements. The receipts and disbursements 15 of the commission shall be subject to the financial review 16 and accounting procedures established under its bylaws. All 17 receipts and disbursements of funds handled by the commission 18 shall be subject to an annual financial review by a certified 19 or licensed public accountant, and the report of the financial 20 review shall be included in and become part of the annual 21 report of the commission. 22 f. The executive board. 23 (1) The executive board shall have the power to act on 24 behalf of the commission according to the terms of this 25 compact. The powers, duties, and responsibilities of the 26 executive board shall include all of the following: 27 (a) Overseeing the day-to-day activities of the 28 administration of the compact including compliance with the 29 provisions of the compact, the commission’s rules, and bylaws. 30 (b) Recommending to the commission changes to the rules or 31 bylaws, changes to this compact legislation, fees charged to 32 the compact participating states, fees charged to licensees, 33 and other fees. 34 (c) Ensuring compact administration services are 35 -17- LSB 2358HV (3) 90 ss/rh 17/ 32

H.F. 656 appropriately provided, including by contract. 1 (d) Preparing and recommending the budget. 2 (e) Maintaining financial records on behalf of the 3 commission. 4 (f) Monitoring compact compliance of participating states 5 and providing compliance reports to the commission. 6 (g) Establishing additional committees as necessary. 7 (h) Exercising the powers and duties of the commission 8 during the interim between commission meetings, except for 9 adopting or amending rules, adopting or amending bylaws, and 10 exercising any other powers and duties expressly reserved to 11 the commission by rule or bylaw. 12 (i) Other duties as provided in the rules or bylaws of the 13 commission. 14 (2) The executive board shall be composed of up to seven 15 members: 16 (a) The chair, vice chair, secretary, and treasurer of the 17 commission, and any other members of the commission who serve 18 on the executive board shall be voting members of the executive 19 board. 20 (b) Other than the chair, vice chair, secretary, and 21 treasurer of the commission, the commission may elect up 22 to three voting members from the current membership of the 23 commission. 24 (3) The commission may remove any member of the executive 25 board as provided in the commission’s bylaws. 26 (4) The executive board shall meet at least annually. 27 (a) An executive board meeting at which it takes or intends 28 to take formal action on a matter shall be open to the public, 29 except that the executive board may meet in a closed, nonpublic 30 session of a public meeting when dealing with any of the 31 matters covered under paragraph “d” , subparagraph (4). 32 (b) The executive board shall give five business days’ 33 notice of its public meetings, posted on its internet site and 34 as it may otherwise determine to provide notice to persons with 35 -18- LSB 2358HV (3) 90 ss/rh 18/ 32

H.F. 656 an interest in the public matters the executive board intends 1 to address at those meetings. 2 (5) The executive board may hold an emergency meeting when 3 acting for the commission to do any of the following: 4 (a) Meet an imminent threat to public health, safety, or 5 welfare. 6 (b) Prevent a loss of commission or participating state 7 funds. 8 (c) Protect public health and safety. 9 g. Qualified immunity, defense, and indemnification. 10 (1) The members, officers, executive director, employees, 11 and representatives of the commission shall be immune from suit 12 and liability, both personally and in their official capacity, 13 for any claim for damage to or loss of property or personal 14 injury or other civil liability caused by or arising out of any 15 actual or alleged act, error, or omission that occurred, or 16 that the person against whom the claim is made had a reasonable 17 basis for believing occurred within the scope of commission 18 employment, duties, or responsibilities; provided that nothing 19 in this paragraph shall be construed to protect any such 20 person from suit or liability for any damage, loss, injury, 21 or liability caused by the intentional, willful, or wanton 22 misconduct of that person. The procurement of insurance of any 23 type by the commission shall not in any way compromise or limit 24 the immunity granted hereunder. 25 (2) The commission shall defend any member, officer, 26 executive director, employee, and representative of the 27 commission in any civil action seeking to impose liability 28 arising out of any actual or alleged act, error, or omission 29 that occurred within the scope of commission employment, 30 duties, or responsibilities, or as determined by the commission 31 that the person against whom the claim is made had a reasonable 32 basis for believing occurred within the scope of commission 33 employment, duties, or responsibilities; provided that nothing 34 in this paragraph shall be construed to prohibit that person 35 -19- LSB 2358HV (3) 90 ss/rh 19/ 32

H.F. 656 from retaining counsel at that person’s own expense; and 1 provided further that the actual or alleged act, error, 2 or omission did not result from that person’s intentional, 3 willful, or wanton misconduct. 4 (3) Notwithstanding subparagraph (1), should any member, 5 officer, executive director, employee, or representative of the 6 commission be held liable for the amount of any settlement or 7 judgment arising out of any actual or alleged act, error, or 8 omission that occurred within the scope of that individual’s 9 employment, duties, or responsibilities for the commission, 10 or that the person to whom the individual is liable had a 11 reasonable basis for believing occurred within the scope of 12 the individual’s employment, duties, or responsibilities 13 for the commission, the commission shall indemnify and hold 14 harmless such individual, provided that the actual or alleged 15 act, error, or omission did not result from the intentional, 16 willful, or wanton misconduct of the individual. 17 (4) Nothing in this compact shall be construed as a 18 limitation on the liability of any licensee for professional 19 malpractice or misconduct, which shall be governed solely by 20 any other applicable state laws. 21 (5) Nothing in this compact shall be interpreted to waive 22 or otherwise abrogate a participating state’s state action 23 immunity or state action affirmative defense with respect to 24 antitrust claims under the Sherman Act, Clayton Act, or any 25 other state or federal antitrust or anticompetitive law or 26 regulation. 27 (6) Nothing in this compact shall be construed to be a 28 waiver of sovereign immunity by the participating states or by 29 the commission. 30 8. Data system. 31 a. The commission shall provide for the development, 32 maintenance, operation, and utilization of a coordinated 33 database and reporting system containing licensure, adverse 34 action, and the presence of significant investigative 35 -20- LSB 2358HV (3) 90 ss/rh 20/ 32