Bulletin 10-21-2020

Front matter not included
ARC 5236CEthics and Campaign Disclosure Board, Iowa[351]Notice of Intended Action

Proposing rule making related to update of rules and providing an opportunity for public comment

    The Iowa Ethics and Campaign Disclosure Board hereby proposes to rescind Chapter 3, “Iowa Election Campaign Fund,” and to amend Chapter 4, “Campaign Disclosure Procedures,” Chapter 5, “Use of Public Resources for a Political Purpose,” Chapter 6, “Executive Branch Ethics,” Chapter 8, “Executive Branch Lobbying,” and Chapter 15, “Waivers or Variances from Administrative Rules,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 68B.32A(1).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapters 17A, 68A and 68B.Purpose and Summary    The proposed rescission of Chapter 3 is intended to implement 2017 Iowa Acts, House File 242, which repealed Iowa Code sections 68A.601 through 68A.609. The proposed amendments are intended to bring the rules in conformity with the current versions of Iowa Code chapters 68A and 68B, including correcting typographical errors, updating citations, updating contact information, and implementing 2014 Iowa Acts, House File 2473; 2015 Iowa Acts, Senate File 135; 2015 Iowa Acts, Senate File 199; 2018 Iowa Acts, Senate File 2256; 2018 Iowa Acts, House File 2475; 2019 Iowa Acts, House File 392; and 2020 Iowa Acts, House File 2389.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Board for a waiver of the discretionary provisions, if any, pursuant to 351—Chapter 15. Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Board no later than 4:30 p.m. on November 12, 2020. Comments should be directed to: Mike Marshall Iowa Ethics and Campaign Disclosure Board 510 East 12th Street, Suite 1A Des Moines, Iowa 50319 Fax: 515.281.4073 Email: mike.marshall@iowa.govPublic Hearing    A public hearing at which persons may present their views orally or in writing will be held as follows: November 13, 2020 2 to 2:30 p.m. Via teleconference Conference line: 866.685.1580 Conference code: 2550409115     Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Board and advise of specific needs. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Rescind and reserve 351—Chapter 3.

    ITEM 2.    Amend subrule 4.1(1), introductory paragraph, as follows:    4.1(1) Persons subject to requirement.  Every committee shall file a statement of organization (Form DR-1) within ten days from the date of its organization. The forms shall be either typewritten or printed legibly in black inkfiled in electronic format.

    ITEM 3.    Amend subparagraph 4.1(1)"a" as follows:    (1)   A “candidate’s committee” that is the committee, even if the committee consists only of the candidate, designated by a candidate for a state or local office to receive contributions, make expenditures, or incur debts in excess of $750$1,000.

    ITEM 4.    Amend subparagraph 4.1(1)"a" as follows:    (2)   A “political committee” (PAC) that is a committee exceeding the $750$1,000 organizational threshold to expressly advocate the nomination, election, or defeat of candidates or to expressly advocate the passage or defeat of a ballot issue. The board shall automatically classify as a political committee any political organization that loses its status as a political party because it fails to meet the requirements of Iowa Code section 43.2. The board shall automatically classify as a political committee any county central committee that operated under the former political party.

    ITEM 5.    Amend paragraph 4.1(1)"b" as follows:    b.    When organization occurs; financial thresholds.At the latest, organization is construed to have occurred as of the date that the committee first exceeded $750$1,000 of financial activity in a calendar year in any of the following categories: contributions received (aggregate of monetary and in-kind contributions); expenditures made; or indebtedness incurred.

    ITEM 6.    Amend paragraph 4.1(1)"c" as follows:    c.    Permanent organizations temporarily engaging in political activity.The requirement to file the statement of organization applies to an entity that comes under the definition of a “political committee” (PAC) in Iowa Code Supplement section 68A.102(18) by receiving contributions, making expenditures, or incurring debts in excess of $750$1,000 in any one calendar year for the purpose of expressly advocating the election or defeat of a candidate for public office, or for the purpose of expressly advocating the passage or defeat of a ballot issue. A permanent organization that makes a one-time contribution in excess of $750$1,000 may in lieu of filing a statement of organization follow the procedure in rule 351—4.35(68A). A permanent organization that makes loans to a candidate or committee or that is owed debts from a candidate or committee is not deemed to be engaging in political activity requiring registration.

    ITEM 7.    Amend subrule 4.1(2) as follows:    4.1(2) Place of filing.  Statements of organization mandated by statute to be filed electronically with the board shall be filed through the board’s Web sitewebsite at www.iowagov/ethicsethics.iowa.gov. A statement of organization not mandated by statute to be filed electronically may be filed with the board at 510 East 12th Street, Suite 1A, Des Moines, Iowa 50319; by fax at (515)281-4073; or as an E-mail attachment.

    ITEM 8.    Amend subrule 4.1(3) as follows:    4.1(3) Time of filing.  A statement of organization shall be filed with the board within ten days after the financial filing threshold in subrule 4.1(1) has been exceeded. A statement must be physically received by the board or, if mailed, must bear a United States Postal Service postmark dated on or before the report due date. Faxed or electronically filed statements must be submitted on or before 11:59 p.m. of the tenth day after the organization of the committee is required. A committee that is mandated by statute to electronically file a statement of organization shall file the statement with the board on or before 4:30 p.m. on the due date. If the tenth day falls on a Saturday, Sunday, or holiday on which the board office is closed, the filing deadline is extended to the next working day when the board office is open.

    ITEM 9.    Amend subrule 4.1(6) as follows:    4.1(6) Electronic format or electronic filing defined.  “Electronic format” or “electronic filing” means the board’s electronic filing system for submitting a statement of organization via the board’s Web sitewebsite at www.iowa.gov/ethicsethics.iowa.gov.

    ITEM 10.    Amend rule 351—4.1(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code sectionsections 68A.201 and section 68A.401 as amended by 2009 Iowa Acts, Senate File 51, section 1.

    ITEM 11.    Amend rule 351—4.2(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.201.

    ITEM 12.    Amend rule 351—4.3(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.201.

    ITEM 13.    Amend subrule 4.4(3) as follows:    4.4(3) Signatures.  The candidate and treasurer shall sign the statement of organization filed by a candidate’s committee. The chairperson and treasurer shall sign a statement of organization filed by any other type of committee. A statement of organization filed electronically using the board’s Web sitewebsite is deemed signed when filed.

    ITEM 14.    Amend rule 351—4.4(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.201.

    ITEM 15.    Amend rule 351—4.5(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement sections 68A.201 and 68A.203.

    ITEM 16.    Amend subrule 4.6(1) as follows:    4.6(1) Amendment within 30 days.  If there is a change in any of the information disclosed on a statement of organization, the committee shall file with the board an amended statement within 30 days of the change. An amended statement shall be filed with the board in a format as required by 2009 Iowa Code Supplement section 68A.401 as amended by 2010 Iowa Acts, Senate File 2128, section 3, and board rule 351—4.1(68A,68B)this chapter.

    ITEM 17.    Amend subrule 4.6(2) as follows:    4.6(2) New office sought.  A candidate who filed a statement of organization for one office but eventually seeks another office may file an amended statement of organization to reflect the change in office sought in lieu of dissolving the old committee and organizing a new committee. A candidate filing an amended statement of organization for a new office shall continue to file the required campaign reports regardless of whether the $750$1,000 financial filing threshold for the new office has been exceeded. A candidate who has filed a statement of organization for one office and who then exceeds the financial activity threshold as set forth in Iowa Code section 68A.102(5) for a new office shall, within ten days of exceeding the threshold, file either an amended statement of organization disclosing information for the new office sought or organize and register a new committee.

    ITEM 18.    Amend rule 351—4.6(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.201.

    ITEM 19.    Amend subrule 4.7(3) as follows:    4.7(3) Funds available from prior committee.  If funds are available to a candidate’s committee from a prior candidacy of that candidate, or to a ballot issue committee from a prior effort on a ballot issue, and the prior candidacy or effort had not exceeded the financial reporting threshold, the carryover balance shall be disclosed by the new committee. The disclosure shall be made on Schedule A - Contributions and shall include the amount of the carryover, the date of the prior election, and the name and address of any source that made contributions to the candidacy or ballot effort that totaled more than $750$1,000 during the preceding three calendar years.

    ITEM 20.    Amend subrule 4.7(4) as follows:    4.7(4) Funds available from preballot issue activity.  Funds that are raised for an activity that is not included in the definition of a ballot issue in Iowa Code Supplement section 68A.102(1) and that are made available to a subsequent ballot issue committee shall be disclosed by the committee. The disclosure shall be made on Schedule A - Contributions and shall include the amount of the carryover balance, the date of the preballot issue activity, and the name and address of any source that made contributions to the activity that totaled more than $750$1,000 during the previous three calendar years.

    ITEM 21.    Amend rule 351—4.7(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.402.

    ITEM 22.    Amend subrule 4.8(1) as follows:    4.8(1) Place of filing.  Disclosure reports mandated by statute to be filed electronically with the board shall be filed through the board’s Web sitewebsite at www.iowagov/ethicsethics.iowa.gov. A disclosure report not mandated by statute to be filed electronically may be filed with the board at 510 East 12th Street, Suite 1A, Des Moines, Iowa 50319; by fax at (515)281-4073; or as an E-mail attachment.

    ITEM 23.    Amend subrule 4.8(2) as follows:    4.8(2) Reports made available.  The board shall post on its Web sitewebsite at www.iowa.gov/ethicsethics.iowa.gov all statements and reports filed under Iowa Code chapter 68A.

    ITEM 24.    Amend subrule 4.8(4) as follows:    4.8(4) Electronic format or electronic filing defined.  “Electronic format” or “electronic filing” means the board’s electronic filing system for submitting campaign disclosure reports via the board’s Web sitewebsite at www.iowa.gov/ethicsethics.iowa.gov.

    ITEM 25.    Amend rule 351—4.8(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code sectionsections 68A.401 as amended by 2009 Iowa Acts, Senate File 51, section 1, and section 68A.402 as amended by 2009 Iowa Acts, Senate File 49, section 4.

    ITEM 26.    Amend subrule 4.9(6) as follows:    4.9(6) State statutory political committee (state political party).  A committee defined in Iowa Code Supplement section 68A.102(22)68A.102(21) as a state statutory political committee shall file campaign disclosure reports as follows:    a.    Election year.Report dueCovering periodMay 19January 1 through May 14July 19May 15 through July 14October 19July 15 through October 14January 19 (next calendar year)October 15 through December 31 of election year    b.    Nonelection year.Report dueCovering periodJanuary 19 (next calendar year)January 1 through December 31 of nonelection year

    ITEM 27.    Amend subrule 4.9(7) as follows:    4.9(7) County statutory political committee (county central committee).  A committee defined as a county statutory political committee in Iowa Code Supplement section 68A.102(12) shall file campaign disclosure reports as follows:    a.    Election year.Report dueCovering periodMay 19January 1 through May 14July 19May 15 through July 14October 19July 15 through October 14January 19 (next calendar year)October 15 through December 31 of election year    b.    Nonelection year.Report dueCovering periodJanuary 19 (next calendar year)January 1 through December 31 of nonelection year

    ITEM 28.    Amend subrule 4.9(13) as follows:    4.9(13) Permanent organizations.  A permanent organization temporarily engaging in political activity as described in Iowa Code Supplement section 68A.102(18) shall organize a political committee and shall keep the funds relating to that political activity segregated from its operating funds. The committee shall file reports on the applicable due dates as required by this rule. The reports shall identify the source of the original funds used for a contribution made to a candidate or a candidate’s committee. When the permanent organization ceases to be involved in the political activity, the permanent organization shall dissolve the political committee. “Permanent organization” means an organization that is continuing, stable, and enduring, and was originally organized for purposes other than engaging in election activities.

    ITEM 29.    Amend subrule 4.9(15) as follows:    4.9(15) Independent expenditure reporting.  An independent expenditure committee that is required to file campaign disclosure reports pursuant to 2009 Iowa Code Supplement section 68A.404(3) as amended by 2010 Iowa Acts, Senate File 2354, section 3, shall file an initial report at the same time as the committee files its original independent expenditure statement. The committee shall then continue to file reports according to the same schedule as the office or election to which the independent expenditure was directed until the committee files a notice of dissolution pursuant to Iowa Code section 68A.402B(3) as amended by 2010 Iowa Acts, Senate File 2354, section 2. Form Ind-Exp-O shall serve as a campaign disclosure report for an independent expenditure committee. Form Ind-Exp-I shall serve as a campaign disclosure report for a sole individual making an independent expenditure.

    ITEM 30.    Amend rule 351—4.10(68A) as follows:

351—4.10(68A) Time of filing.  A report must be physically received by the board or, if mailed, shall bear a United States Postal Service postmark dated on or before the report due date. Faxed, E-mailed, or electronically filed reports must be submitted on or before 11:59 p.m. of the report due date. However, as provided in Iowa Code section 68A.402 as amended by 2009 Iowa Acts, Senate File 49, section 4, any report that is required to be filed five days or less prior to an election must be physically received by the board prior to 4:30 p.m. on the report due date. A report that is mandated by statute to be electronically filed shall be filed with the board on or before 4:30 p.m. on the due date. If the due date falls on a Saturday, Sunday, or holiday on which the board office is closed, the due date is extended to the first working day when the board office is open.       This rule is intended to implement Iowa Code sectionsections 68A.401(1) as amended by 2009 Iowa Acts, Senate File 51, and section 68A.402 as amended by 2009 Iowa Acts, Senate File 49, section 4.

    ITEM 31.    Amend subrule 4.11(1) as follows:    4.11(1) Persons voluntarily registering a committee.  A person that has not exceeded the $750$1,000 financial filing threshold may file Form DR-SFA for purposes of using the short form “paid for by” attribution statement under Iowa Code section 68A.405 and rule 351—4.38(68A). A person using the short form “paid for by” attribution statement shall file Form DR-SFA with the board prior to distributing the political material containing the short form “paid for by” attribution statement.

    ITEM 32.    Amend subrule 4.11(2) as follows:    4.11(2) $750$1,000 threshold later exceeded.  A person filing Form DR-SFA shall not be required to file a statement of organization or be required to file disclosure reports unless the $750$1,000 threshold is later exceeded. A person that later exceeds the $750$1,000 threshold and that fails to timely file a statement of organization or to timely file disclosure reports may be subject to the appropriate board sanctions as set out by statute and board rule.

    ITEM 33.    Amend rule 351—4.13(68A,68B) as follows:

351—4.13(68A,68B) Report forms—summary page (DR-2) and supporting schedules.  The board may require committees to submit relevant information not specifically delineated in Iowa Code Supplement chapter 68A on their disclosure report where the report form asks for and leaves space for information. All information shall be pertinent to the duties of the board.    4.13(1) Official reporting forms.  The disclosure reporting forms provided by the board shall be the official forms on which the disclosure reports shall be submittedusing the forms provided in the board’s electronic filing system via the board’s website at ethics.iowa.gov. Machine copies of original report forms are acceptable. The standard forms for campaign disclosure reports are:DR-2 — Disclosure Summary PageSchedule A — Monetary ReceiptsSchedule B — Monetary ExpendituresSchedule C — (Reserved)Schedule D — Incurred IndebtednessSchedule E — In-kind ContributionsSchedule F — Loans Received and RepaidSchedule G — Consultant ActivitySchedule H — Campaign Property    4.13(2) Computer-generated reports.  Committees that are not mandated by statute to file disclosure reports electronically may generate a disclosure report in lieu of using a board-approved paper report or the board’s electronic filing system so long as the generated report contains the same information and is in the same basic format as a board-approved paper report. A committee failing to submit a generated report that contains the same information and is in the same basic format as a board-approved paper report shall be required by the board’s staff to file an amended report, and the committee may be subject to board sanctions as provided in Iowa Code chapter 68B and rule 351—9.4(68B).    4.13(3) Typewritten or legible ink reports required.  Information provided on all forms, statements, and reports that are required to be filed under Iowa Code chapter 68A or the board’s rules in 351—Chapter 4 and that are not mandated by statute to be filed electronically shall be either typewritten or printed legibly in black ink. Approved computer-generated documents satisfy this requirement. If the board deems that a form, statement, or report is not legible or is otherwise not in compliance with rule 351—4.13(68A,68B), the person shall be required to file an amended form, statement, or report and the person may be subject to board sanctions as provided in Iowa Code chapter 68B and rule 351—9.4(68B).    4.(4) 4.13(2) Special information required for city, school, or local ballot issue elections.  Committees expressly advocating the election or defeat of a candidate for city or school public office, or expressly advocating the passage or defeat of a local ballot issue, shall indicate in the designated spaces on the report summary page the date that the election is to be held, the period covered by the disclosure report, and the control county responsible for conducting the election.    4.13(5) Signature on DR-2 Report Summary Page.  A disclosure report shall be signed by the individual filing the report. A disclosure report filed electronically using the board’s Web site is deemed signed when filed.    4.(6) 4.13(3) Independent expenditure disclosures.  An independent expenditure committee that is required to file campaign reports pursuant to 2009 Iowa Code Supplement section 68A.404(3) as amended by 2010 Iowa Acts, Senate File 2354, section 3,A person making an independent expenditure shall disclose campaign transaction information as required by Iowa Code section 68A.402A68A.404(3). However, the committee is required to disclose only those monetary receipts as provided in 2009 Iowa Code Supplement section 68A.404(3)“a”(2) as amended by 2010 Iowa Acts, Senate File 2354, section 3. Form Ind-Exp-O shall serve as a campaign disclosure report for an independent expenditure committee. Form Ind-Exp-I shall serve as a campaign disclosure report for a sole individual making an independent expenditure.       This rule is intended to implement Iowa Code Supplement sections 68A.40268A.402A and 68A.40368A.404.

    ITEM 34.    Amend subrule 4.14(4) as follows:    4.14(4) Unitemized contributions and freewill donations.  If the committee does not choose to itemize all contributions under the itemization threshold ($25 for most committees, see Iowa Code Supplement section 68A.402(3)“b”68A.402A(1)“b”), it shall aggregate these contributions and report the aggregate amount as “unitemized contributions.” No date received is required to be provided for miscellaneous unitemized contributions. Unitemized contributions may be solicited and received through a freewill donation such as a “fish bowl” or “pass the hat” collection if the collection is in compliance with rule 351—4.30(68A,68B). Unitemized contributions collected through freewill donations (the net amount of the collection after the itemization of those persons whose contributions of more than $10$25 in the freewill collection resulted in exceeding the annual itemization threshold) shall be reported by showing the net amount as “unitemized contributions—pass the hat (or can collection or fish bowl, for example) collection.” The “date received” to be reported for a freewill donation is the date a representative of the committee takes possession of the proceeds of the collection.

    ITEM 35.    Amend subrule 4.14(6) as follows:    4.14(6) ID number and check number.  If a contribution to a statewide or general assembly candidate or a judge standing for retention is from a statewide political committee (PAC) or a state party committee, the candidate receiving the contribution shall include on the candidate’s disclosure report the board-assigned identification number of the contributing committee and the check number by which the contribution was made. A list of ID numbers may be obtained from the board and is also available on the board’s Web sitewebsite at www.iowa.gov/ethicsethics.iowa.gov.

    ITEM 36.    Amend subrule 4.15(5) as follows:    4.15(5) Candidate ID number and committee check number.  If a contribution is made by a statewide political committee (PAC) or a state party committee to a statewide or general assembly candidate or a judge standing for retention, the committee making the contribution shall include on the committee’s disclosure report the board-assigned identification number of the recipient candidate’s committee and the check number by which the contribution was made. A list of candidate ID numbers may be obtained from the board and is also available on the board’s Web sitewebsite at www.iowa.gov/ethicsethics.iowa.gov.

    ITEM 37.    Amend rule 351—4.15(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.402.

    ITEM 38.    Amend rule 351—4.16(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.402.

    ITEM 39.    Amend rule 351—4.17(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.402.

    ITEM 40.    Amend rule 351—4.18(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.402.

    ITEM 41.    Amend rule 351—4.19(68A), implementation sentence, as follows:       This rule is intended to implement Iowa Code sections 68A.102(9) as amended by 2005 Iowa Acts, House File 312, section 3, and 68A.402A.

    ITEM 42.    Amend rule 351—4.20(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement sections 68A.304 and 68A.402.

    ITEM 43.    Amend subrule 4.22(2) as follows:    4.22(2)   If, upon review, board staff determine that a committee’s report is incomplete because required information has been omitted or has been incorrectly reported, the staff shall communicate the deficiencies to the committee. A failure to satisfactorily respond to or to remedy the error or omission may be grounds for a violation of Iowa Code Supplement section 68A.402 as a failure to file a report which conforms to the requirements of that provision.

    ITEM 44.    Amend rule 351—4.22(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement sectionsections 68A.402 and Iowa Code section 68B.32A.

    ITEM 45.    Amend rule 351—4.23(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.402.

    ITEM 46.    Amend rule 351—4.24(68A) as follows:

351—4.24(68A) Reporting of state party building fund transactions.  Pursuant to Federal Election Commission Advisory Opinion 2004-28, the board will permit a state statutory political committee (state party committee) to receive contributions from corporations, insurance companies, and financial institutions when those contributions are placed in the state party building fund account, the contributions are used to pay for costs associated with the building, and all transactions involving the fund are disclosed pursuant to this rule.A state party committee filing a state party building fund report under this rule shall use either the report form prescribed by the board or a computer-generated report so long as the report includes the information required under subrule 4.24(2).    4.24(1) Period covered.  A state party building fund report shall cover the time period from January 1 through December 31 of the previous year.    4.24(2) Information to be disclosed.  The following information shall be disclosed on a state party building fund report:    a.    The name and address of the state party committee.    b.    The name and address of each person who makes a contribution in excess of $200, or contributions in the aggregate that exceed $200 during the period covered, to the state party building fund. If no contributions were received for the fund, the report shall disclose $0.00 as contributions received.    c.    The date and the amount of the contribution. If aggregate contributions from one person are received that exceed $200, the amount to be disclosed shall be the total amount received from that person for the period covered and the date to be disclosed shall be the date of the last contribution.    d.    The total amount of all contributions of $200 or less received during the period covered. This total amount shall be disclosed as being received from “unitemized” with the date of the contribution being the last day of the reporting period.    e.    The name and mailing address of each person to whom an expenditure that exceeds $200 is made, or expenditures in the aggregate that exceed $200 during the period covered, from the state party building fund. If no expenditures were made from the fund, the report shall disclose $0.00 as expenditures made.    f.    The date and the amount of the expenditure. If aggregate expenditures that exceed $200 are made to one person, the amount to be disclosed shall be the total amount made to that person for the period covered and the date to be disclosed shall be the date of the last expenditure.    g.    The total amount of all expenditures of $200 or less made during the period covered. This total amount shall be disclosed as being expended to “unitemized” with the date of the expenditure being the last day of the reporting period.    h.    The signature and date of the individual filing the state party building fund report.    4.24(3) Place of filing.  A state party building fund report shall be filed with the board at 510 E.East 12th Street, Suite 1A, Des Moines, Iowa 50319, or; by fax at (515)281-3701(515)281-4073; or as an email attachment.    4.24(4) Time of filing.  A state party building fund report shall be filed on or before January 31 of each year. If mailed, the report must bear a United States Postal Service postmark dated on or before the due date. A faxedor emailed report must be submitted on or before 11:59 p.m. on the due date. If January 31 falls on a Saturday, Sunday, or holiday on which the board office is closed, the due date shall be extended to the next working day when the board office is open.    4.24(5) Failure to file.  If the board determines that a state party committee has failed to timely file a state party building fund report, the state party committee is subject to the possible imposition of board sanctions.       This rule is intended to implement Iowa Code sections 68A.402A(1)“k” and 68A.503.

    ITEM 47.    Amend paragraph 4.25(1)"l" as follows:    l.    Payment of salaries, fringe benefits, bonuses, and payroll taxes of paid campaign staff. As provided in Iowa Code section 68A.302(2) as amended by 2009 Iowa Acts, Senate File 50, section 1,68A.302(2)“k,” family members who perform actual work or services for a campaign and are not the candidate, candidate’s spouse, or candidate’s dependent children may be compensated for such work or services.

    ITEM 48.    Amend paragraph 4.25(1)"u" as follows:    u.    Repayment of campaign loans made to the committee. As provided in Iowa Code section 68A.302(2) as amended by 2009 Iowa Acts, Senate File 50, section 1, candidatesCandidates who make loans to their own committees shall not charge interest on the loans.

    ITEM 49.    Amend paragraph 4.25(2)"d" as follows:    d.    Purchases of small, incidental items such as pencils, pens, rulers and bookmarks provided to members of the public touring the offices of the state or a political subdivision. However, such items distributed on public property shall not expressly advocate the election or defeat of a candidate or the adoption or defeat of a ballot issue as prohibited in Iowa Code Supplement section 68A.505. For example, a bookmark bearing the state seal could be distributed on public property, while a bookmark that identified the donor as a candidate for office could not be distributed on public property.

    ITEM 50.    Amend rule 351—4.25(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement sections 68A.301, 68A.302, and 68A.303.

    ITEM 51.    Amend subrule 4.26(2) as follows:    4.26(2) Transfer of assets for same candidate.  A candidate’s committee may transfer funds, assets, loans, and debts to a committee established for a different office when the same candidate established both committees. A candidate seeking to transfer funds, assets, loans, or debts under this subrule shall file either an amended statement of organization disclosing information for the new office sought or register a new committee regardless of whether the $750$1,000 financial filing threshold for the new office will be exceeded.

    ITEM 52.    Amend rule 351—4.26(68A), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.303.

    ITEM 53.    Amend rule 351—4.27(68A) as follows:

351—4.27(68A) Filing of independent expenditure statement.  Pursuant to 2009 Iowa Code Supplement section 68A.404 as amended by 2010 Iowa Acts, Senate File 2354, section 3, any person except a candidate, a committee filing a statement of organization, a federal committee, or an out-of-state committee that makes one or more independent expenditures in excess of $750$1,000 in the aggregate shall file Form Ind-Exp-O. A sole individual making one or more independent expenditures in excess of $750$1,000 in the aggregate shall file Form Ind-Exp-I. A committee that has registered by filing a statement of organization shall disclose an independent expenditure on the appropriate campaign disclosure report.    4.27(1) Independent expenditure defined.  “Independent expenditure” means an expenditure as defined in 2009 Iowa Code Supplement section 68A.404(1) as amended by 2010 Iowa Acts, Senate File 2354, section 3.    4.27(2) Independent expenditure reporting.  When applicable under 2009 Iowa Code Supplement section 68A.404 as amended by 2010 Iowa Acts, Senate File 2354, section 3, andthis rule 351—4.27(68A), Form Ind-Exp-O shall be filed by a person and Form Ind-Exp-I shall be filed by a sole individual. Both forms shall be in a format that will enable a person or sole individual making an independent expenditure to comply with all of the reporting requirements in 2009 Iowa Code Supplement section 68A.404 as amended by 2010 Iowa Acts, Senate File 2354, section 3.    4.27(3) Place of filing.  Form Ind-Exp-O and Form Ind-Exp-I shall be filed with the board electronically via the board’s Web sitewebsite at www.iowa.gov/ethicsethics.iowa.gov.    4.27(4) Time of filing.  Form Ind-Exp-O or Form Ind-Exp-I shall be filed within 48 hours of the person’s or sole individual’s making an independent expenditure exceeding $750$1,000 in the aggregate or within 48 hours of disseminating the communication to its intended audience, whichever is earlier. An independent expenditure is deemed made at the time that the cost is incurred regardless of whether or not the costs for the independent expenditure have been billed.    4.27(5) Failure to file.  The failure to timely file either Form Ind-Exp-O or Form Ind-Exp-I shall be subject to the imposition of civil penalties pursuant to 351—subrule 4.59(7).    4.27(6) Attribution statement applicable.  Any person that makes an independent expenditure in any amount shall comply with the appropriate “paid for by” attribution statement pursuant to 2009 Iowa Code Supplement section 68A.405 as amended by 2010 Iowa Acts, Senate File 2354, section 4, and by 2010 Iowa Acts, Senate File 2195, section 7, and rule 351—4.38(68A).       This rule is intended to implement 2009 Iowa Code Supplement section 68A.404 as amended by 2010 Iowa Acts, Senate File 2354, section 3.

    ITEM 54.    Amend rule 351—4.28(68A) as follows:

351—4.28(68A) Prohibition on contributions and independent expenditures by foreign nationals.  As provided in Federal Election Commission regulation 11 CFR 110.20, a foreign national shall not, directly or indirectly, make a monetary or in-kind contribution, or specifically promise to make a contribution, in connection with a state or local campaign or election in Iowa. A foreign national shall not, directly or indirectly, make a contribution to a candidate or to a campaign committee organized under Iowa Code chapter 68A. Pursuant to 2009 Iowa Code Supplement section 68A.404(2)“c” as amended by 2010 Iowa Acts, Senate File 2354, section 3, foreign nationals are prohibited from making independent expenditures in relation to any state or local election in Iowa.    4.28(1) Foreign national defined.  “Foreign national” means a person as defined in 2009 Iowa Code Supplement section 68A.404(2)“c” as amended by 2010 Iowa Acts, Senate File 2354, section 3.68A.404(2)“c.”    4.28(2) Acceptance of campaign contributions and donations from foreign nationals.  No person shall knowingly accept or receive a campaign contribution from a foreign national. No person shall knowingly accept a monetary donation from a foreign national for purposes of making an independent expenditure.    4.28(3) Participation by foreign nationals in decisions involving election-related activity.  A foreign national shall not, directly or indirectly, participate in the decision-making process of any person with regard to such person’s election-related activities. Decisions including election-related activities include decisions involving the making of contributions, donations, or expenditures in connection with elections for state or local office, ballot issues, or decisions involving the administration of a committee.       This rule is intended to implement 2009 Iowa Code Supplement section 68A.404(2)“c” as amended by 2010 Iowa Acts, Senate File 2354, section 3.68A.404(2)“c.”

    ITEM 55.    Amend rule 351—4.29(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.404.

    ITEM 56.    Amend subrule 4.30(1) as follows:    4.30(1) Anonymous contributions in excess of $10$25 prohibited.  No person shall make a contribution in excess of $10$25 to a committee without providing the person’s name and address to the committee. The committee shall not maintain in any campaign account funds in excess of $10$25 that cannot be accounted for and reconciled with the committee’s disclosure reports.

    ITEM 57.    Amend subrule 4.30(2) as follows:    4.30(2) Escheat to the state.  Any contribution in excess of $10$25 from an unknown source or campaign funds in excess of $10$25 that cannot be accounted for and reconciled shall escheat to the state of Iowa as required by Iowa Code section 68A.501 as amended by 2007 Iowa Acts, Senate File 39, section 8. A committee required to escheat shall escheat such funds by depositing the funds into the committee’s campaign account and issuing a committee check to the general fund in the same amount. The committee check shall be sent to the board office at 510 East 12th Street, Suite 1A, Des Moines, Iowa 50319, for transmittal to the office of treasurer of state.

    ITEM 58.    Amend subrule 4.30(4) as follows:    4.30(4) Notice at fund-raising event.  Pursuant to Iowa Code Supplement section 68A.501, a person requested to make a contribution at a fund-raising event shall be advised that it is illegal to make a contribution in excess of $10$25 unless the person making the contribution also provides the person’s name and address. Notice of the requirement to provide a person’s name and address for a contribution in excess of $10$25 may be made orally or in a written statement that is displayed at the fund-raising event.

    ITEM 59.    Amend rule 351—4.31(68A), introductory paragraph, as follows:

351—4.31(68A) Information required for a trust to avoid a contribution in the name of another person.  A contribution to a committee by a trustee solely in the name of the trust constitutes a contribution in the name of another person as prohibited in Iowa Code Supplement section 68A.502 unless the recipient committee publicly discloses the contribution as provided in this rule.

    ITEM 60.    Amend subrule 4.31(3) as follows:    4.31(3) Registering a committee.  A trust, except for a living or revocable trust, that raises or spends more than $750$1,000 for campaign activities shall register a political committee (PAC) and shall file disclosure reports. A trust, except for a living or revocable trust, that makes a one-time contribution in excess of $750$1,000 may file Form DR-OTC in lieu of filing a statement of organization and filing disclosure reports.

    ITEM 61.    Rescind subrule 4.32(3).

    ITEM 62.    Renumber subrules 4.32(4) to 4.32(6) as 4.32(3) to 4.32(5).

    ITEM 63.    Amend renumbered subrule 4.32(3) as follows:    4.32(3) Where filed.  Every VSR filed for a contribution in excess of $50 shall be filed with the board at 510 East 12th Street, Suite 1A, Des Moines, Iowa 50319, electronically using the board’s Web site at www.iowa.gov/ethics, as an E-mail attachment, or by fax at (515)281-4073website at ethics.iowa.gov.

    ITEM 64.    Amend renumbered subrule 4.32(4) as follows:    4.32(4) When filed.  The VSR shall be filed with the board on or before the fifteenth day after the date of the contribution, or mailed bearing a United States Postal Service postmark dated on or before the fifteenth day after the date of the contribution. For purposes of this subrule, “date of the contribution” means the day, month, and year the contribution check is dated. If the board deems it necessary, a copy of any contribution check may be required to be filed with the board. When a copy of a check is required to be filed with the board, the copy shall be filed within ten days after notice by the board.

    ITEM 65.    Amend renumbered subrule 4.32(5) as follows:    4.32(5) Enhanced filing.  An out-of-state committee determining that the jurisdiction under which the committee is registered does not have reporting requirements substantially similar to those of Iowa Code Supplement chapter 68A may choose to comply by enhancing the committee’s filing in the other jurisdiction. The enhanced filing shall meet the reporting requirements of Iowa Code Supplement chapter 68A for the reporting period during which contributions to Iowa committees are made. The report shall cover a period of at least one month. An out-of-state committee choosing this option shall comply with the VSR procedures in subrule 4.32(2) and attach a signed statementaffirm that the report has been enhanced to satisfy the Iowa reporting requirements.

    ITEM 66.    Amend rule 351—4.32(68A), implementation sentence, as follows:       This rule is intended to implement Iowa Code section 68A.201(5)68A.201A.

    ITEM 67.    Amend rule 351—4.33(68A) as follows:

351—4.33(68A) Reporting of earmarked contributions.  A political committee or a political party committee is permitted to receive a contribution that is earmarked to be donated to another committee. A political committee or political party committee receiving and transferring an earmarked contribution is required to list on its disclosure report the name of the contributor and the name of the candidate or committee for which the contribution was earmarked. The political committee or political party committee shall notify the recipient committee in writing of the name of the individual contributor and the name of the committee that orginallyoriginally received the contribution. The committee ultimately receiving the earmarked contribution shall disclose on its disclosure report both the name of the individual contributor and the name of the committee that originally received and then transferred the earmarked contribution. A ballot issue committee is not permitted to transfer earmarked contributions except to another ballot issue committee.       This rule is intended to implement 2009 Iowa Code Supplement section 68A.402.

    ITEM 68.    Amend rule 351—4.35(68A) as follows:

351—4.35(68A) Permanent organizations forming temporary political committees; one-time contributor filing Form DR-OTC.  Pursuant to Iowa Code section 68A.402(9), a permanent organization temporarily engaging in activity that exceeds the $750$1,000 financial filing threshold described in rule 351—4.1(68A,68B) is required to organize and register a political committee (PAC), file disclosure reports, and, upon completion of activity, file a notice of dissolution. A permanent organization that is temporarily a political committee shall comply with all of the campaign laws in Iowa Code chapter 68A and this chapter. A permanent organization that makes loans to a candidate or committee or that is owed debts from a candidate or committee is not deemed to be engaging in political activity requiring registration.    4.35(1) Form DR-OTC.  A permanent organization that makes a one-time contribution in excess of $750$1,000 to a committee may, in lieu of filing a statement of organization, disclosure reports, and a notice of dissolution, file Form DR-OTC. The following information shall be disclosed on Form DR-OTC:    a.    The name and address of the organization making the contribution.    b.    The name and address of a contact person for the organization making the contribution.    c.    The name and address of the campaign committee receiving the contribution. If the contribution is to a candidate or a candidate’s committee, the source of the original funds used to make the contribution shall be disclosed.    d.    The date and amount of the contribution. If the contribution is an in-kind contribution, a description of the provided goods or services must be included.    e.    The date of election and the county in which the recipient committee is located if the committee is a county or local committee.    f.    The date and signature of the person filing Form DR-OTC. A Form DR-OTC that is filed electronically using the board’s Web site is deemed signed when filed.A permanent organization that makes more than one contribution is not eligible to file Form DR-OTC and is required to file a statement of organization, file disclosure reports, and file a notice of dissolution.    4.35(2) Place of filing.  Form DR-OTC shall be filed with the board at 510 East 12th Street, Suite 1A, Des Moines, Iowa 50319, filed by fax at (515)281-4073, or filed electronically using the board’s Web sitewebsite at www.iowa.gov/ethicsethics.iowa.gov.    4.35(3) Time of filing.  Form DR-OTC shall be filed with the board within ten days after the one-time contribution in excess of $750$1,000 is made. The form must be physically received by the board or, if mailed, must bear a United States Postal Service postmark dated on or before the report due date. A faxed or electronically filed Form DR-OTC must be submitted on or before 11:59 p.m. of the tenth day after the organization of the committee is required. If the tenth day falls on a Saturday, Sunday, or holiday on which the board office is closed, the filing deadline is extended to the next working day when the board office is open.    4.35(4) Failure to register.  If the board discovers that a permanent organization has become subject to the provisions of Iowa Code Supplement chapter 68A but did not timely file a statement of organization or file Form DR-OTC, as applicable, the permanent organization is subject to the possible imposition of board sanctions.    4.35(5) Partial refund of contribution.  A committee that receives a contribution from a permanent organization that causes the organization to become subject to the provisions of Iowa Code Supplement chapter 68A may refund all or part of a contribution to the organization so as to reduce the contribution to $750$1,000 or less and remove the organization’s filing obligations.       This rule is intended to implement Iowa Code sections 68A.102(18) and 68A.402.

    ITEM 69.    Amend rule 351—4.36(68A), implementation sentence, as follows:       This rule is intended to implement Iowa Code sections 68A.203 as amended by 2005 Iowa Acts, House File 312, section 5, and 68A.402A.

    ITEM 70.    Amend paragraph 4.37(2)"a" as follows:    a.    A ledger or similar record-keeping device which details all contributions received by the committee. This record shall include the name and address of each person making a contribution in excess of $10$25, with the date and amount of the contribution. In lieu of or in addition to a ledger, the committee may record contributions received through a receipt book or other method of individually documenting the contributions, such as by making and keeping copies of the contribution checks.

    ITEM 71.    Amend rule 351—4.37(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement sections 68A.203, 68A.302, 68A.402 and 68A.403 and Iowa Code section 68B.32A.

    ITEM 72.    Amend rule 351—4.38(68A), implementation sentence, as follows:       This rule is intended to implement 2009 Iowa Code Supplement section 68A.405 as amended by 2010 Iowa Acts, Senate File 2354, section 4, and by 2010 Iowa Acts, Senate File 2195, section 7.

    ITEM 73.    Amend rule 351—4.39(68A) as follows:

351—4.39(68A) Specific items exempted from or subject to attribution statement requirement; multiple pages.  2009 Iowa Code Supplement section 68A.405 as amended by 2010 Iowa Acts, Senate File 2354, section 4, and by 2010 Iowa Acts, Senate File 2195, section 7, and rule 351—4.38(68A) require the placement of a “paid for by” attribution statement on published material that expressly advocates for or against a clearly identified candidate or ballot issue, with certain exceptions.    4.39(1) Items exempted from requirement.  The requirement to place a “paid for by” attribution statement does not apply to the following:    a.    Editorials or news articles of a media organization that are not political advertisements.    b.    Small items upon which the inclusion of the attribution statement would be impracticable, such as campaign signs 32 square feet or smaller that have been placed or posted on real property, bumper stickers, pins, buttons, pens, pencils, emery boards, matchbooks and, except as set out in subrule 4.39(2), items that are smaller than 2 inches by 4 inches. For purposes of this rule, 32 square feet is the total dimension of the campaign sign regardless of whether or not both sides of the sign are used for campaign advertising.    c.    T-shirts, caps, and other articles of clothing that expressly advocate for or against a candidate or ballot issue.    d.    Radio advertisements, live telephone calls, or auto-generated telephone messages.    e.    Published material placed by an individual who acts independently and spends $100 or less of the individual’s own resources to expressly advocate the passage or defeat of a ballot issue.    4.39(2) Items subject to requirement.  The requirement to place a “paid for by” attribution statement applies to the following:    a.    Published material such as campaign signs larger than 32 square feet that have been placed or posted on real property, billboards, posters, portable sign carriers, and signs affixed or painted to the side or top of a building or vehicle. A campaign sign placed on a building or vehicle shall contain the appropriate attribution statement regardless of the size of the sign.    b.    Published material in a newspaper, magazine, shopper, or other periodical regardless of the size of the material.    c.    Direct mailings, flyers, brochures, postcards, or any other form of published material that is larger than 2 inches by 4 inches and not otherwise set out in 351—4.39(68A).    d.    Campaign Web sites. A blog that is not owned or controlled by a candidate or committee is not required to include an attribution statement disclosing who paid for the costs of the blog. A political advertisement on a blog is required to include the appropriate attribution statement disclosing who paid for the advertisement.    e.    Television, video, and motion picture advertising. The attribution statement shall be displayed on the advertisement in a clearly readable manner for at least four seconds.    4.39(3) Multiple pages.  If the published material consists of more than one page, the “paid for by” attribution statement need only appear on one page of the material. For a campaign Web site, the attribution statement need only appear on the home page of the site. A scratch pad need only include the attribution statement on the pad and not on each individual page of the pad.       This rule is intended to implement 2009 Iowa Code Supplement section 68A.405 as amended by 2010 Iowa Acts, Senate File 2354, section 4, and by 2010 Iowa Acts, Senate File 2195, section 7.

    ITEM 74.    Amend rule 351—4.40(68A,68B) as follows:

351—4.40(68A,68B) Newspaper or magazine.  For the purposes of these rules and Iowa Code Supplement section 68A.405, “newspaper or magazine” means a regularly scheduled publication of news, articles of opinion, and features available to the general public which does not require membership in or employment by a specific organization.       This rule is intended to implement Iowa Code Supplement section 68A.405.

    ITEM 75.    Amend rule 351—4.41(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code sectionsections 68A.405 and Iowa Code Supplement section 68B.32A(8) as amended by 2006 Iowa Acts, House File 2512, section 3.

    ITEM 76.    Amend rule 351—4.44(68A,68B), introductory paragraph, as follows:

351—4.44(68A,68B) Prohibited corporate activity.  As provided in 2009 Iowa Code Supplement section 68A.503 as amended by 2010 Iowa Acts, Senate File 2354, section 5, a financial institution, insurance company, or corporation is prohibited from using its resources to make monetary or in-kind campaign contributions to a candidate, candidate’s committee, political committee that expressly advocates for or against a candidate, or a political party committee. For purposes of this chapter, “corporate entity” shall include financial institutions, insurance companies, and corporations.

    ITEM 77.    Amend paragraph 4.44(2)"f" as follows:    f.    Any other transaction conducted between a corporate entity and a candidate, candidate’s committee, political committee that expressly advocates for or against candidates, or a political party committee. Such transaction is presumed to be a corporate contribution unless it is sufficiently demonstrated to the board that the transaction should not be considered a prohibited contribution under 2009 Iowa Code Supplement section 68A.503 as amended by 2010 Iowa Acts, Senate File 2354, section 5.

    ITEM 78.    Amend rule 351—4.44(68A,68B), implementation sentence, as follows:       This rule is intended to implement 2009 Iowa Code Supplement section 68A.503 as amended by 2010 Iowa Acts, Senate File 2354, section 5.

    ITEM 79.    Amend rule 351—4.45(68A,68B) as follows:

351—4.45(68A,68B) Corporate-sponsored political committee.  These rules do not prevent a corporate entity from soliciting eligible members to join or contribute to its own corporate-sponsored political committee (PAC), so long as the corporate entity adheres to the provisions of Iowa Code Supplement section 68A.503.       This rule is intended to implement Iowa Code Supplement section 68A.503.

    ITEM 80.    Amend rule 351—4.47(68A,68B), introductory paragraph, as follows:

351—4.47(68A,68B) Permitted activity—reimbursement required.  The prohibitions against certain transactions between corporate entities and candidates or committees expressly advocating the election or defeat of candidates contained in Iowa Code Supplement section 68A.503 and in rule 351—4.44(68A,68B) are not construed to prohibit activity that occurs consistent with this rule.

    ITEM 81.    Amend rule 351—4.47(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.503.

    ITEM 82.    Amend rule 351—4.48(68A) as follows:

351—4.48(68A) Sham newspapers subject to campaign laws.  Iowa Code chapter 68A provides that when a media organization discusses candidates and public affairs, the media organization does not trigger the campaign laws. 2009 Iowa Code Supplement section 68A.503(5)“b” as amended by 2010 Iowa Acts, Senate File 2354, section 5, directs the board to adopt a rule requiring theThe owner, publisher, or editor of a sham newspaper who is using the sham newspaper to promote in any way the candidacy of any person for public office tomust comply with the requirements of Iowa Code chapter 68A.    4.48(1) Factors.  In determining whether or not a publication is entitled to the press exception or is a sham newspaper that triggers the campaign laws, the board will consider the following factors:    a.    Whether the publication is published and made available on a regular schedule or interval;    b.    The proximity to the election in which the candidates and public affairs are discussed;    c.    Whether the publication contains news items and articles of opinion of a general character separate from discussions concerning candidates and public affairs;    d.    How widely the publication is circulated or is otherwise made available to the public in comparison to a targeted audience for potential campaign purposes;    e.    Whether the publication discusses all candidates for a particular election or otherwise gives all candidates equal space; and    f.    Whether the publication expressly advocates for the candidacy of any person.    4.48(2) Definitions.  For purposes of this rule, the following definitions apply:        "Express advocacy" means “express advocacy” as defined in Iowa Code section 68A.102(14) and rule 351—4.53(68A).        "Media organization" means “media organization” as defined in rule 351—4.51(68A).        "Sham newspaper" means “sham newspaper” as defined in 2009 Iowa Code Supplement section 68A.503(5)“b” as amended by 2010 Iowa Acts, Senate File 2354, section 5.68A.503(5)“b.”       This rule is intended to implement 2009 Iowa Code Supplement section 68A.503(5)“b” as amended by 2010 Iowa Acts, Senate File 2354, section 5.68A.503(5)“b.”

    ITEM 83.    Amend rule 351—4.49(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.503.

    ITEM 84.    Amend rule 351—4.51(68A) as follows:

351—4.51(68A) Candidate debate—media organization; debate structure; debate funding; contribution reporting inapplicable.  Iowa Code Supplement section 68A.503 prohibits corporations from making contributions to state or local candidates in Iowa. This prohibition does not apply to incorporated media organizations that host candidate debates described in this rule.    4.51(1) Media organization defined.  “Media organization” means a broadcaster, cable television operator, television programmer, television producer, bona fide newspaper, magazine, or any other periodical publication. The media organization shall not be owned or controlled by a political party, political committee, or candidate.    4.51(2) Debate structure.  The structure of the debate shall be left to the discretion of the media organization provided that at least two or more candidates for the particular office are invited to participate. The debate shall not be structured to promote or advance one candidate over another. In choosing which candidates to invite to a debate, the media organization shall use good faith editorial judgment that is reasonable and viewpoint-neutral.    4.51(3) Funding debates.  A media organization may use its own funds and may accept funds donated by corporations to defray costs incurred in staging a candidate debate under this rule.    4.51(4) Contribution reporting inapplicable.  The costs of a debate under this rule are not a reportable monetary or in-kind contribution under Iowa Code Supplement section 68A.402.       This rule is intended to implement Iowa Code Supplement sections 68A.402 and 68A.503.

    ITEM 85.    Amend subrule 4.52(1) as follows:    4.52(1) Corporate payroll deductions.  For purposes of interpretation of Iowa Code Supplement section 68A.503, the administrative functions performed by a corporation (profit or nonprofit corporation including, but not limited to, a bank, savings and loan institution, credit union or insurance company) to make payroll deductions for an employee organization’s political committee and to transmit the deductions in lump sum to the treasurer of the political committee shall not be a prohibited corporate activity so long as the corporate entity is serving only as a conduit for the contributions.

    ITEM 86.    Amend subrule 4.52(3) as follows:    4.52(3) Allowable costs of administration.  For the purposes of interpreting Iowa Code Supplement section 68A.503, subsection 3section 68A.503(3), which permits an entity otherwise forbidden from contributing to a candidate or a candidate’s committee for “financing the administration of apolitical committee sponsored by that entity,” the following are considered to be allowable costs of administration:    a.    Full or partial compensation for political committee staff, which may include both wages and benefits.    b.    Expenses of transportation and travel incurred by political committee staff; however, this does not include expenses of transportation or travel if provided by a political committee or a staff member to a candidate, nor does this include expenses of meals or events held on behalf of a candidate.    c.    Printing and office supplies related to routine office administration so long as the printing and supplies are not used to expressly advocate for or against any candidate.    d.    Postage and stationery, including that necessary for mailing contributions to specific candidates. Postage and stationery necessary for distributing political material expressly advocating a specific candidate to persons other than the committee membership are not permitted.    e.    Expenses of maintaining committee records and preparing financial disclosure reports, including costs associated with services provided by an accountant or other professional.    f.    Promotional materials, such as stickers, pens, and coffee cups, so long as the items promote the political committee itself, but not a specific candidate.An item which is excluded by this subrule from being an allowable cost of administration may still be provided by the committee, so long as that cost is paid for from contributions or other sources of funds other than the parent entity.

    ITEM 87.    Amend rule 351—4.52(68A,68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68A.503.

    ITEM 88.    Amend rule 351—4.53(68A,68B) as follows:

351—4.53(68A,68B) Express advocacy; in-kind contributions; independent expenditures— definitions.  For the purposes of Iowa Code Supplement chapter 68A, the following definitions apply.    4.53(1) Express advocacy.  “Express advocacy” means any communication as defined in Iowa Code Supplement section 68A.102(14). “Express advocacy” includes a communication that uses any word, term, phrase, or symbol that exhorts an individual to vote for or against a clearly identified candidate or for the passage or defeat of a clearly identified ballot issue.    4.53(2) In-kind contribution.  “In-kind contribution” means the provision of any good or service to a committee without charge or at a charge that is less than the usual and normal charge for such good or service. If a good or service is provided at less than the usual and normal charge, the amount of the in-kind contribution is the difference between the usual and normal charge for the good or service at the time of the contribution and the amount charged the committee. An in-kind contribution also includes any expenditure that meets the definition of a coordinated expenditure in subrule 4.53(4).    4.53(3) Independent expenditure.  “Independent expenditure” means “independent expenditure” as defined in 2009 Iowa Code Supplement section 68A.404(1) as amended by 2010 Iowa Acts, Senate File 2354, section 3.    4.53(4) Coordinated expenditure.      a.    “Coordinated expenditure” means an expenditure made with the knowledge and approval of a candidate, candidate’s committee, political party committee, or political committee. “Coordinated expenditure” also means that there has been arrangement, coordination, or direction by the candidate, candidate’s committee, political party committee, or political committee, or an agent or officer of the candidate’s committee or a ballot issue committee prior to the procurement or purchase of the good or service, or the publication, distribution, display, or broadcast of an express advocacy communication.     b.    An expenditure will be presumed to be coordinated when it is:    (1)   Based on information provided to the expending person by the candidate, the candidate’s committee, or the ballot issue committee with a view toward having an expenditure made; or    (2)   Made by or through any person who is or has been authorized to raise or expend funds; who is or has been an officer of the candidate’s committee or the ballot issue committee; or who is or has been receiving any form of compensation or reimbursement from the candidate, the candidate’s committee, or the ballot issue committee.    c.    Pursuant to 2009 Iowa Code Supplement section 68A.404(7) as amended by 2010 Iowa Acts, Senate File 2354, section 3, a person making an independent expenditure shall not engage or retain an advertising firm or consultant that has also been engaged or retained within the prior six months by the candidate, candidate’s committee, or ballot issue PAC that is benefited by the independent expenditure. “Engage or retain” shall not include the purchase of goods or products from an advertising firm or consultant when the advertising firm or consultant does not provide guidance, assistance, or advice to the person making the purchase concerning the good or product.       This rule is intended to implement 2009 Iowa Code Supplement section 68A.404 as amended by 2010 Iowa Acts, Senate File 2354, section 3.

    ITEM 89.    Amend rule 351—4.55(68A) as follows:

351—4.55(68A) Statement of dissolution; final report; final bank statement.      4.55(1) Statement of dissolution.  A statement of dissolution (Form DR-3) shall be filed after the committee terminates its activity, disposes of its funds and assets, and has discharged all of its loans and debts. The statement shall be either typewritten or printed legibly in black ink and shall be signed by the person filing the statement. A statement of dissolution filed electronically using the board’s Web site is deemed signed when filed.    4.55(2) Place of filing.  Statements of dissolution mandated by statute to be filed electronically with the board shall be filed through the board’s Web sitewebsite at www.iowagov/ethicsethics.iowa.gov. A statement of dissolution not mandated by statute to be filed electronically may be filed with the board at 510 East 12th Street, Suite 1A, Des Moines, Iowa 50319; by fax at (515)281-4073; or as an E-mail attachment.    4.55(3) Time of filing.  A committee seeking dissolution shall file a statement of dissolution within 30 days of terminating activity, disposing of funds and assets, and discharging all loans and debts. A statement must be physically received by the board or, if mailed, must bear a United States Postal Service postmark dated on or before the required due date. Faxed or electronically filed statements must be submitted at or before 11:59 p.m. on the required due date. If the due date falls on a Saturday, Sunday, or holiday on which the board office is closed, the due date is extended to the next working day.    4.55(4) Final report.  The committee shall file a final report disclosing the committee’s closing transactions. Once the board staff reviews the report and determines that the committee has complied with all of the requirements of Iowa Code chapter 68A, the committee is no longer required to file campaign reports. If the board staff determines that the committee has not complied with all of the requirements of Iowa Code chapter 68A, the committee, prior to being dissolved, shall resolve all issues.    4.55(5) Final bank statement.  A copy of the committee’s final bank statement showing the committee’s closing transactions and a zero balance shall be attached to or submitted with the committee’s final report. A committee participating in an election at the county, city, school, or other political subdivision level, an independent expenditure committee, or a sole individual making an independent expenditure is not required to file a final bank statement unless requested to do so by the board. A committee seeking a waiver from the requirements of this subrule may do so in accordance with 351—Chapter 15.       This rule is intended to implement Iowa Code section 68A.402B as amended by 2010 Iowa Acts, Senate File 2354, section 2.

    ITEM 90.    Amend rule 351—4.61(68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement section 68B.32A(8).

    ITEM 91.    Amend rule 351—4.62(68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code Supplement sections 68A.503 andsection 68B.32A(8).

    ITEM 92.    Amend rule 351—5.8(68A) as follows:

351—5.8(68A) Holders of certain government positions prohibited from engaging in political activities.  Several statutes outside of the board’s jurisdiction prohibit the holders of certain government positions from being engaged in political activities. The board does not enforce these statutory prohibitions. However, to assist the regulated community and the public, the board will maintain on its Web sitewebsite at http://www.state.ia.us/ethics/index.htmethics.iowa.gov a list of positions whose holders are prohibited from engaging in political activities.       This rule is intended to implement Iowa Code section 68A.505.

    ITEM 93.    Amend rule 351—6.10(68B) as follows:

351—6.10(68B) Prohibition on sales; when public bids required—disclosure of income.  Pursuant to Iowa Code section 68B.3 as amended by 2010 Iowa Acts, Senate File 2067, sections 2 and 3, an official or employee shall not sell, in any one occurrence, goods or services having a value in excess of $2,000 to a state agency unless the sale is made pursuant to an award or contract let after public notice and competitive bidding and the official or employee making the sale files Form Public Bid with the board within 20 days of making the sale. This prohibition includes sales to the state agency in which the official or employee serves or is employed.    6.10(1) Exceptions.  The prohibition in Iowa Code section 68B.3 and this rule shall not apply to any of the following:    a.    Sales of goods or services done as part of the official’s or employee’s state duties.    b.    Sales of goods or services by a member of a board or commission to state executive branch agencies or subunits of departments or independent agencies that are not the subunit of the department or independent agency in which the person serves or are not a subunit of a department or independent agency with which the person has substantial and regular contact as part of the person’s duties. “Board” and “commission” as used in this rule mean the same as defined in Iowa Code section 7E.4.    b.    c.    The publication of resolutions, advertisements, or other legal propositions or notices in newspapers designated by law for the publication of such materials and for which publication rates are fixed by law.    c.    d.    Instruction at an accredited educational institution if the official or employee meets the minimum education and licensing requirements established for other instructors at the educational institution.    e.    A contract for professional services that is exempt from competitive bidding requirements under any provision in the Iowa Code or Iowa Administrative Code.    6.10(2) Sales to political subdivisions.  An official who sells goods or services to a political subdivision of the state shall disclose on the official’s Form PFD as provided in 351—Chapter 7 if income was received from the sale.    6.10(3) Filing of report.  An official or employee making a sale to a state agency pursuant to Iowa Code section 68B.3 as amended by 2010 Iowa Acts, Senate File 2067, sections 2 and 3, shall file Form Public Bid within 20 days of making the sale. The form shall be filed with the board at 510 East 12th Street, Suite 1A, Des Moines, Iowa 50319; by fax at (515)281-4073; or as an E-mailemail attachment. The failure to timely file Form Public Bid with the board within 20 days of making the sale may subject the official or employee to board sanctions under Iowa Code chapter 68B and rule 351—9.4(68B).       This rule is intended to implement Iowa Code section 68B.3 as amended by 2010 Iowa Acts, Senate File 2067, sections 2 and 3.

    ITEM 94.    Amend rule 351—8.3(68B) as follows:

351—8.3(68B) Individuals not considered executive branch lobbyists.  The following individuals are not considered to be executive branch lobbyists:
  1. Officials and employees of a political party that is organized in the state of Iowa and that meets the requirements of Iowa Code section 43.2, when the officials and employees represent the political party in an official capacity.
  2. Representatives of the news media only when engaged in the reporting and dissemination of news and editorials.
  3. All federal, state, and local elected officials, while performing the duties and responsibilities of office.
  4. Individuals whose activities are limited to appearances to give testimony or provide information or assistance at public hearings of state agencies or who are giving testimony or providing information or assistance at the request of public officials or employees.
  5. Members of the staff of the United States Congress or the Iowa general assembly.
  6. Agency officials and employees while they are engaged in activities within the agency in which they serve or are employed or with another agency within which an official’s or employee’s agency is involved in a collaborative project.
  7. An individual who is a member, director, trustee, officer, or committee member of a business, trade, labor, farm, professional, religious, education, or charitable association, foundation, or organization and who is not paid compensation orand is not specifically designated as an executive branch lobbyist.
  8. Individuals whose activities are limited to submitting data, views, or arguments in writing, or requesting an opportunity to make an oral presentation under Iowa Code section 17A.4(1).
  9. Individuals whose activities are limited to monitoring or following the progress of legislation, a rule, or an executive order, but who do not engage in executive branch lobbying.
  10. Individuals who represent a client in responding to a request for proposal or otherwise receiving a contract or grant from a state agency.
  11. Individuals who represent a client involved in a legal dispute with the state, including a contested case proceeding.
  12. Individuals advocating for or against the appointment of a particular individual to a board or commission of the state.
Individuals who are uncertain as to whether or not they are considered executive branch lobbyists should contact the board for guidance prior to engaging in any executive branch lobbying.       This rule is intended to implement Iowa Code section 68B.2(13).

    ITEM 95.    Amend rule 351—8.7(68B) as follows:

351—8.7(68B) Lobbyist registration required.      8.7(1) Time of filing.  Any individual engaging in executive branch lobbying activity shall register by electronically filing an executive branch lobbyist registration statement with the chief clerk of the house of representatives or the secretary of the senate on or before the day the lobbying activity begins. Registration expires at the end of the calendar year. Beginning December 1 of each year, a person may preregister to lobby for the following calender year.    8.7(2) Place of filing.  Executive branch lobbyist registration statements shall be electronically filed with the chief clerk of the house of representatives or the secretary of the senate through the general assembly’s Web site at http://www.legis.iowa.gov/Lobbyist/reports.aspx.    8.7(3) Amendment to registration.  Any change or addition to the information in an executive branch lobbyist’s registration statement shall be filed with the chief clerk of the house of representatives or the secretary of the senate within ten days after the change or addition is made known to the lobbyist. The lobbyist may file changes or additions by electronically filing an amended registration statement.    8.7(4) Failure to timely file registration.  An individual who fails to file an executive branch lobbyist registration statement before engaging in executive branch lobbying activities in violation of 2011 Iowa Code Supplement section 68B.36 may be subject to sanctions by the board as permitted under Iowa Code chapter 68B or rule 351—9.4(68B).       This rule is intended to implement 2011 Iowa Code Supplement section 68B.36.

    ITEM 96.    Amend rule 351—8.9(68B), implementation sentence, as follows:       This rule is intended to implement 2011 Iowa Code Supplement section 68B.38.

    ITEM 97.    Amend rule 351—8.10(68B) as follows:

351—8.10(68B) Session function registrations and reports.  Pursuant to Iowa Code section 68B.22(4)“s” as amended by 2010 Iowa Acts, House File 2109, section 1,68B.22(4)“s,” a sponsor of a qualified function is required to file with the general assembly and the board a registration notice prior to the function and a report within 28 days of the function. The board will deem filings with the general assembly as acceptable filings with the board. The board will establish links on its Web sitewebsite to the general assembly’s Web sitewebsite where the registration notices and reports are posted. The failure of a sponsor to timely file either a registration notice or a report may subject the sponsor to sanctions by the board as permitted under Iowa Code chapter 68B and rule 351—9.4(68B) separate from any sanctions imposed by the general assembly.       This rule is intended to implement Iowa Code sectionsections 68B.22(4)“s” as amended by 2010 Iowa Acts, House File 2109, section 1, and Iowa Code section 68B.32A(5) as amended by 2010 Iowa Acts, Senate File 2067, section 4.

    ITEM 98.    Amend rule 351—8.11(68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code sectionsections 68B.32A(5) as amended by 2010 Iowa Acts, Senate File 2067, section 4, and Iowa Code section 68B.32A(9).

    ITEM 99.    Amend rule 351—8.12(68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code sectionsections 68B.32A(5) as amended by 2010 Iowa Acts, Senate File 2067, section 4, and Iowa Code section 68B.32A(9).

    ITEM 100.    Amend rule 351—8.13(68B), implementation sentence, as follows:       This rule is intended to implement Iowa Code sectionsections 68B.32A(5), as amended by 2010 Iowa Acts, Senate File 2067, section 4, and Iowa Code sections 68B.32A(9), and 68B.33.

    ITEM 101.    Amend rule 351—15.1(17A) as follows:

351—15.1(17A) Definition.  For purposes of this chapter, a “waiver” or “variance” means action by the board that suspends, in whole or in part, the requirements or provisions of a rule as applied to an identified individual, business, organization or person on the basis of the particular circumstances of that individual, business, organization or person. For simplicity, the term “waiver” shall include both a waiver and a variance and theThe term “person” shall include any individual or entity subject to the board’s jurisdiction.

    ITEM 102.    Amend rule 351—15.12(17A) as follows:

351—15.12(17A) Summary reportsReports.  The board shall semiannually prepare a summarysubmit a report identifying the rules for which a waiver has been granted or denied, the number of times a waiver was granted or denied for each rule and a citation to the statutory provisions implemented by the rules. The report shall include a general summary of the reasons justifying the board’s actions on waiver requests and, if practicable, shall detail the extent to which the granting of a waiver has affected the general applicability of the rule itself. Copies of this report shall be available for public inspection and shall be provided semiannually to the administrative rules coordinator and the administrative rules review committee.This report shall be submitted electronically to the administrative rules coordinator and the administrative rules review committee within 60 days of a waiver being granted or denied.

    ITEM 103.    Amend 351—Chapter 15, implementation sentence, as follows:       These rules are intended to implement Iowa Code chapters 17A and, 68A, and 68B and Iowa Code Supplement chapter 68A.
ARC 5230CHuman Services Department[441]Notice of Intended Action

Proposing rule making related to mandatory child abuse and dependent adult abuse reporter training and providing an opportunity for public comment

    The Human Services Department hereby proposes to amend Chapter 77, “Conditions of Participation for Providers of Medical and Remedial Care,” Chapter 108, “Licensing and Regulation of Child-Placing Agencies,” Chapter 109, “Child Care Centers,” Chapter 113, “Licensing and Regulation of Foster Family Homes,” and Chapter 117, “Foster Parent Training,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 232.69.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 232.69.Purpose and Summary    2019 Iowa Acts, House File 731, relating to mandatory child abuse and dependent adult abuse reporter training, was approved and signed into law by Governor Reynolds on May 8, 2019, stating that mandatory reporter training must be completed every three years. Previously, training needed to be completed every five years. This proposed rule making implements that change and makes other corresponding changes. It also updates terminology relating to intellectual disabilities.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217). Public Comment     Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 10, 2020. Comments should be directed to: Nancy Freudenberg Department of Human Services Hoover State Office Building, Fifth Floor 1305 East Walnut Street Des Moines, Iowa 50319-0114 Email: appeals@dhs.state.ia.usPublic Hearing    No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend paragraph 77.37(15)"a" as follows:    a.    The following agencies may provide respite services:    (1)   Group living foster care facilities for children licensed by the department according to 441—Chapters 112 and 114 to 116 and child care centers licensed according to 441—Chapter 109.    (2)   Nursing facilities, intermediate care facilities for the mentally retardedpersons with an intellectual disability, and hospitals enrolled as providers in the Iowa Medicaid program.    (3)   Residential care facilities for persons with mental retardationan intellectual disability licensed by the department of inspections and appeals.    (4)   Home health agencies that are certified to participate in the Medicare program.    (5)   Camps certified by the American Camping Association.    (6)   Adult day care providers that meet the conditions of participation set forth in subrule 77.37(25).    (7)   Agencies authorized to provide similar services through a contract with the department of public health (IDPH) for local public health services. The agency must provide a current IDPH local public health services contract number.    (8)   Agencies certified by the department to provide respite services in the consumer’s home that meet the requirements of 77.37(1) and 77.37(3) through 77.37(9).    (9)   Assisted living programs certified by the department of inspections and appeals.

    ITEM 2.    Amend paragraph 77.37(23)"b" as follows:    b.    Subject to the requirements of this rule, the following agencies may provide residential-based supported community living services:    (1)   Agencies licensed as group living foster care facilities under 441—Chapter 114.    (2)   Agencies licensed as residential facilities for mentally retarded childrenwith an intellectual disability or brain injury under 441—Chapter 116.    (3)   Other agencies providing residential-based supported community living services that meet the following conditions:
  1. The agency must provide orientation training on the agency’s purpose, policies, and procedures within one month of hire or contracting for all employed and contracted treatment staff and must provide 24 hours of training during the first year of employment or contracting. The agency must also provide at least 12 hours of training per year after the first year of employment for all employed and contracted treatment staff. Annual training shall include, at a minimum, training on children’s mental retardationintellectual disabilities and developmental disabilities services and children’s mental health issues.Identification and reporting of child abuse shall be covered in training at least every fivethree years, in accordance with Iowa Code section 232.69.
  2. The agency must have standards for the rights and dignity of children that are age-appropriate. These standards shall include the following:
  3. Children, their families, and their legal representatives decide what personal information is shared and with whom.
  4. Children are a part of family and community life and perform varied social roles.
  5. Children have family connections, a social network, and varied relationships.
  6. Children develop and accomplish personal goals.
  7. Children are valued.
  8. Children live in positive environments.
  9. Children exercise their rights and responsibilities.
  10. Children make informed choices about how they spend their free time.
  11. Children choose their daily routine.
  12. The agency must use methods of self-evaluation by which:
  13. Past performance is reviewed.
  14. Current functioning is evaluated.
  15. Plans are made for the future based on the review and evaluation.
  16. The agency must have a governing body that receives and uses input from a wide range of local community interests and consumer representatives and provides oversight that ensures the provision of high-quality supports and services to children.
  17. Children, their parents, and their legal representatives must have the right to appeal the service provider’s application of policies or procedures or any staff person’s action that affects the consumer. The service provider shall distribute the policies for consumer appeals and procedures to children, their parents, and their legal representatives.

    ITEM 3.    Amend paragraph 108.2(9)"f" as follows:    f.    The agency refuses to cooperate with child protective investigationsassessments involving children placed by the agency.

    ITEM 4.    Amend subrule 108.6(3) as follows:    108.6(3) Staff training.  An agency shall provide orientation training on the agency’s purpose, policies and procedures within one month of hire and 24 hours of training in the first year of employment for all employed and contracted casework staff. The 24 hours of training shall include: training on family foster care services, adoption services, supervised apartment living services, or children and families’ mental health topics, and 2 hours of training related to the identification and reporting of child abuse for all employed or contracted casework staff in accordance with Iowa Code section 232.69. An agency shall provide 12 hours of training per year after the first year of employment for all employed or contracted casework staff. The 12 hours of training shall include: training on family foster care services, adoption services, supervised apartment living services, or children and families’ mental health topics and child abuse training every fivethree years in accordance with Iowa Code section 232.69.The training formats that shall qualify as training are as follows: in-service training, seminars, conferences, workshops, institutes, visiting other facilities, and meeting with consultants.The training provided shall be documented. The documentation shall include the training topic, format, date and number of hours.

    ITEM 5.    Amend subrule 108.8(5) as follows:    108.8(5) Complaints.  When an agency receives a complaint which may indicate possible violation of the foster care licensing rules, the agency shall, within five working days of receiving the complaint, either conduct an investigation to assess compliance with applicable rules or refer the complaint to the department for investigationassessment. If the agency conducts the investigation, the agency shall submit a written report of the investigation to the department within ten working days of receiving the complaint with a statement of rule violation and a recommendation regarding the license of the foster family home. The written report shall be filed in the foster parents’ file.

    ITEM 6.    Amend subrule 108.8(6) as follows:    108.8(6) Foster family training.  The agency shall ensure that each foster home recommended for foster family license has complied with the training requirements in 441—113.8(237).Within six months of licensure and every fivethree years thereafter, each foster parent shall obtain mandatory reporter training relating to identification and reporting of child abuse.

    ITEM 7.    Amend subparagraph 109.7(2)"a" as follows:    (2)   Training received for cardiopulmonary resuscitation (CPR), first aid, mandatory reporting of child abuse, and universal precautions shall not count toward the ten contact hours. A provider shall not use a specific training or class to meet minimum continuing education requirements more than one time every fivethree years.

    ITEM 8.    Amend subparagraph 109.14(3)"b" as follows:    (2)   Six hours’ training in care of ill children, and; two hours’ training in child abuse identification and reporting, as required by Iowa Code section 232.69, within the first six months of employment and every fivethree years thereafter; and maintenance of a valid certificate indicating expiration date.

    ITEM 9.    Amend paragraph 113.8(1)"d" as follows:    d.    Mandatory reporter training on child abuse identification and reporting before initial licensure and every fivethree years thereafter as required by rule 441—112.10(232) and 441—subrule 117.8(3).

    ITEM 10.    Amend paragraph 117.2(3)"d" as follows:    d.    Child abuse law and child abuse investigationassessment procedures.

    ITEM 11.    Amend subrule 117.8(3) as follows:    117.8(3) Child abuse reporting.  Each foster parent shall complete an approved mandatory child abuse reporter training every fivethree years after the foster parent’s initial preservice mandatory child abuse reporter training relating to the identification of child abuse and the requirements and procedures for the reporting of child abuse pursuant to Iowa Code section 232.68.    a.    Training provider.The foster parent shall be responsible for obtainingcompleting the required two-hour mandatory reporter training on child abuse identification and reporting as approved by the Iowa department of public healthin accordance with Iowa Code section 232.69. A list of approved training opportunities is available on the Iowa department of public health Web site by searching “mandatory reporter training.”Foster parents are eligible to take the one-hour recertification mandatory reporter training on child abuse identification and reporting within the six months prior to the expiration of their previous certification if they have already completed the two-hour training at least once.    b.    Documentation.The foster parent shall secure documentation of the training content, amount, and provider and shall forward the documentation to the recruitment and retention contractor, who will provide the documentation to the department for inclusion in the foster parent’s licensing file.
ARC 5228CHuman Services Department[441]Notice of Intended Action

Proposing rule making related to prescription drug automatic refill program and providing an opportunity for public comment

    The Human Services Department hereby proposes to amend Chapter 78, “Amount, Duration and Scope of Medical and Remedial Services,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 249A.4.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 249A.4.Purpose and Summary    The proposed rule making establishes pharmacy policies and procedures for Medicaid coverage and reimbursement of prescription drug refills through an automatic refill program, rather than prohibiting such a program. This may improve medication adherence for chronic medical conditions. Some pharmacies may currently offer this type of program, and Medicaid proposes to standardize the requirements to ensure medical necessity and prevent waste.    The United States Government Accountability Office (GAO) recommended in its July 2015 report, “Medicaid: Additional Reporting May Help CMS Oversee Prescription-Drug Fraud Controls,” that Medicaid programs review pharmacy automatic refill programs and corresponding Medicaid policies as a potential concern for waste and unnecessary costs.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any pursuant to rule 441—1.8(17A,217). Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 10, 2020. Comments should be directed to: Nancy Freudenberg Department of Human Services Hoover State Office Building, Fifth Floor 1305 East Walnut Street Des Moines, Iowa 50319-0114 Email: appeals@dhs.state.ia.usPublic Hearing    No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making action is proposed:

    ITEM 1.    Amend subparagraph 78.2(6)"b" as follows:    (2)   Automatic refills.    1.   Automatic refills are not allowed. A request specific to each medication is required.    2.   All prescription refills shall be initiated by a request at the time of each fill by the prescriber, Medicaid member or person acting as an agent of the member, based on continued medical necessity.    1.   Automatic refills are allowed. Participation in an automatic refill program is voluntary and opt-in only, on a drug-by-drug basis.    2.   The program must have:
  • Easy-to-locate contact information through telephone, the program’s website, or both;
  • Easy-to-understand patient materials on how to select or unselect drug(s) for inclusion and how to disenroll;
  • Confirmation that the member wants to continue in the automatic refill program at least annually;
  • Confirmation of continued medical necessity provided by the Medicaid member or person acting as an authorized representative of the member, before the member receives the medication at the pharmacy or before the medication is mailed or delivered to the member, without which confirmation the drug(s) must be credited back to the Medicaid program; and
  • Documentation of all consents, which must be available for review by auditors at the pharmacy.
  • ARC 5229CHuman Services Department[441]Notice of Intended Action

    Proposing rule making related to uniform prior authorization process and providing an opportunity for public comment

        The Human Services Department hereby proposes to amend Chapter 78, “Amount, Duration and Scope of Medical and Remedial Services,” and Chapter 79, “Other Policies Relating to Providers of Medical and Remedial Care,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 249A.4.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 249A.4 and 2019 Iowa Acts, House File 766.Purpose and Summary    2019 Iowa Acts, House File 766, required implementation of a uniform process to request medical prior authorization under the Medicaid program. As a result of implementing the uniform prior authorization process, there has been a change in forms and form numbers used to request a prior authorization. These proposed amendments align the rules with the new forms and processing time frames. The rules are also proposed to be revised to update outdated sections with current practices and processes.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 10, 2020. Comments should be directed to: Nancy Freudenberg Department of Human Services Hoover State Office Building, Fifth Floor 1305 East Walnut Street Des Moines, Iowa 50319-0114 Email: appeals@dhs.state.ia.usPublic Hearing    No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

        ITEM 1.    Amend paragraph 78.10(1)"c" as follows:    c.    A physician’s (doctor of medicine, osteopathy, or podiatry), physician assistant’s, or advanced registered nurse practitioner’s prescription is required to establish medical necessity. The prescription shall state the member’s name, diagnosis, prognosis, item(s) to be dispensed, quantity, and length of time the item is to be required and shall include the signature of the prescriber and the date of signature.For items requiring prior authorization, a request shall include a physician’s, physician assistant’s, or advanced registered nurse practitioner’s written order or prescription and sufficient medical documentation to permit an independent conclusion that the requirements for the equipment or device are met and the item is medically necessary and reasonable. A request for prior authorization is made on Form 470-0829, Request for Prior Authorizationusing Form 470-5595, Outpatient Prior Authorization Request. See rule 441—78.28(249A) for prior authorization requirements.

        ITEM 2.    Amend paragraph 78.10(2)"b" as follows:    b.    The types of durable medical equipment covered through the Medicaid program include, but are not limited to:Automated medication dispenser. See 78.10(5)“d” for prior authorization requirements.Bathtub/shower chair, bench. See 78.10(5)“g” and “j” for prior authorization requirements.Commode, shower commode chair. See 78.10(5)“j” for prior authorization requirements.Decubitus equipment.Dialysis equipment.Diaphragm (contraceptive device).Enclosed bed. See 78.10(5)“a” for prior authorization requirements.Enuresis alarm system (bed-wetting alarm device) for members five years of age or older.Heat/cold application device.Hospital bed and accessories.Inhalation equipment. See 78.10(5)“c” for prior authorization requirements.Insulin infusion pump. See 78.10(5)“b” and 78.10(5)“e” for prior authorization requirements.Lymphedema pump.Mobility device and accessories. See 78.10(5)“i” for prior authorization requirements.Neuromuscular stimulator.Oximeter.Oxygen, subject to the limitations in 78.10(2)“a” and 78.10(2)“c.”Patient lift. See 78.10(5)“h” for prior authorization requirements.Phototherapy bilirubin light.Protective helmet.Seat lift chair.Speech generating device. See 78.10(5)“f” for prior authorization requirements.Traction equipment.Ventilator.

        ITEM 3.    Rescind and reserve paragraph 78.10(5)"d".

        ITEM 4.    Amend paragraph 78.10(5)"e" as follows:    e.    Diabetic equipment and suppliesDME rebate agreements. If the department has a current agreement for a rebate with at least one manufacturer of a particular category of diabetic equipment or supplies (by healthcare common procedure coding system (HCPCS) code), prior authorization is required for any equipment or supplies in that category produced by a manufacturer that does not have a current agreement to provide a rebate to the department (other than supplies for members receiving care in a nursing facility or an intermediate care facility for persons with an intellectual disability). Prior approval shall be granted when the member’s medical condition necessitates use of equipment or supplies produced by a manufacturer that does not have a current rebate agreement with the department.

        ITEM 5.    Rescind and reserve paragraph 78.28(1)"b".

        ITEM 6.    Amend paragraph 78.28(1)"k" as follows:    k.    Diabetic equipment and suppliesDME rebate agreements. Payment will be approved pursuant to the criteria at 78.10(5)“e.”

        ITEM 7.    Amend paragraph 78.28(7)"b" as follows:    b.    Preprocedure review by the IFMC is required if ambulatory surgical centers are to be reimbursed for surgical procedures as set forth in subrule 78.1(19). Approval by the IFMC will be granted only if the procedures are determined to be necessary based on the condition of the patient and criteria established by the IFMC and the department. The criteria are available from IFMC, 6000 Westown Parkway, Suite 350E, West Des Moines, Iowa 50265-7771, or in local hospital utilization review offices.

        ITEM 8.    Amend subrule 78.28(12) as follows:    78.28(12)   High-technology radiology procedures.    a.     Except as provided in paragraph 78.28(12)“b,” the following radiology procedures require prior approval:    (1)   Magnetic resonance imaging (MRIs);    (2)   Computed tomography (CTs), including combined abdomen and pelvis CT scans;    (3)   Computed tomographic angiographs (CTAs);    (4)   Positron emission tomography (PETs); and     (5)   Magnetic resonance angiography (MRAs).    b.    Notwithstanding paragraph 78.28(12)“a,” prior authorization is not required when any of the following applies:    (1)   Radiology procedures are billed on a CMS 1500 claim for places of service “hospital inpatient” (POS 21) or “hospital emergency room” (POS 23), or on a UB04 claim with revenue code 45X;    (2)   The member has Medicare coverage;     (3)   The member received notice of retroactive Medicaid eligibility after receiving a radiology procedure at a time prior to the member’s receipt of such notice (see paragraph 78.28(12)“e”); or    (4)   (3)   A radiology procedure is ordered or requested by the department of human services, a state district court, law enforcement, or other similar entity for the purposes of a child abuse/neglect investigation, as documented by the provider.    c.    Prior approval will be granted if the procedure requested meets the requirements of 441—subrule 79.9(2), based on diagnosis, symptoms, history of illness, course of treatment, and treatment plan, as documented by the provider requesting prior approval.    d.    Required requests for prior approval of radiology procedures must be submitted through the online system operated by the department’s contractor for prior approval of high-technology radiology proceduresto the department of human services.     e.    Services are billed for members with retroactive eligibility.(1)   When a member has received notice of retroactive Medicaid eligibility after receiving a radiology procedure for a date of service prior to the member’s receipt of such notice and otherwise requiring prior approval pursuant to this rule, a retroactive authorization request must be submitted on Form 470-0829, Request for Prior Authorization470-5595, Outpatient Prior Authorization Request,and approved before any claim for payment is submitted.    (2)   Payment will be authorized only if the prior approval criteria were met and the service was provided to the member prior to the retroactive eligibility notification, as documented by the provider requesting retroactive authorization.    (3)   Retroactive authorizations will not be granted when sought for reasons other than a member’s retroactive Medicaid eligibility. Examples of such reasons include, but are not limited to, the following:
    1. The provider was unaware of the high-technology radiology prior authorization requirement.
    2. The provider was unaware that the member had current Medicaid eligibility or coverage.
    3. The provider forgot to complete the required prior authorization process.

        ITEM 9.    Amend paragraph 79.8(1)"a" as follows:    a.    Providers may submit requests for prior authorization for any items or procedures, other than prescription drugs, by mail or by facsimile transmission (fax) using Form 470-0829, Request for Prior Authorization470-5595, Outpatient Prior Authorization Request, or electronically using the Accredited Standards Committee (ASC) X12N 278 transaction, Health Care Services Request for Review and Response. Requests for prior authorization for drugs must be submitted on any Request for Prior Authorization form designated for the drug being requested in the preferred drug list published pursuant to Iowa Code chapter 249A.

        ITEM 10.    Amend subrule 79.8(3) as follows:    79.8(3)   The provider shall receive a notice of approval or denial for all requests.    a.    In the case of prescription drugs, notices of approval or denial will be faxed to the prescriber and pharmacy.    b.    Decisions regarding approval or denialof prescription drugs will be made within 24 hours from the receipt of the prior authorization request. In cases where the request is received during nonworking hours, the time limit will be construed to start with the first hour of the normal working day following the receipt of the request.    c.    Decisions regarding approval or denial for items or procedures other than prescription drugs will be made according to the time frames set forth in 42 CFR 438.210(d).
    ARC 5231CHuman Services Department[441]Notice of Intended Action

    Proposing rule making related to family support statewide database and providing an opportunity for public comment

        The Human Services Department hereby proposes to amend Chapter 155, “Child Abuse Prevention Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 235A.1.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 235A.1.Purpose and Summary    The proposed amendment modifies language around the Department’s use of the Family Support Statewide Database, maintained by the Iowa Department of Public Health. The current rule requires the Department grantees to input participant data into the system. However, it does not authorize the Department to release the data to other state agencies, including the Iowa Department of Public Health. Under the proposed rule making, the Department would cause the Iowa Department of Public Health to access the participant data entered by Department grantees for the purposes of system quality assurance.    The proposed amendment is necessary given the Department’s role as a covered entity under the Health Insurance Portability and Accountability Act (HIPAA), a law designed to protect patients’ medical and other health information records provided to health plans, doctors, hospitals and other health care providers. There will continue to be a memorandum of understanding with the Iowa Department of Public Health to address the privacy and security of the Department’s data and to outline the expectations of both parties, but this proposed amendment will prevent the need for individual patient authorization. Department services are not intended to be medical treatment. However, case records may include participants’ self-reported data about the family that could be classified as protected health information. For example, information about a child’s developmental screening results is often a part of a home visiting program’s record.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217). Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 10, 2020. Comments should be directed to: Nancy Freudenberg Department of Human Services Hoover State Office Building, Fifth Floor 1305 East Walnut Street Des Moines, Iowa 50319-0114 Email: appeals@dhs.state.ia.usPublic Hearing     No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making action is proposed:

        ITEM 1.    Amend subrule 155.4(2) as follows:    155.4(2)   Grantees, or the identified service providers, that provide family support services under the program shall enter participant data inThe department shall cause participant data to be entered into the state-administered, Internet-based data collection system identified in Iowa Code section 256I.13(3) and maintained by the Iowa department of public health.This release of information by the department is required by law, and as such, data entered into the system maintained by the Iowa department of public health will no longer be protected by the Health Insurance Portability and Accountability Act of 1996, Pub. L. No. 104-191, and associated implementing regulations found at 45 CFR Parts 160, 162, and 164. In addition, no information gathered by grantees and disclosed pursuant to this subrule is gathered for purposes of treating individuals for substance abuse. As such, the data disclosed pursuant to this subrule is not protected by 42 U.S.C. § 290dd-2 or by the implementing regulations found at 42 CFR 2. In addition, the substance abuse treatment information so released is not subject to the confidentiality provisions of Iowa law found at Iowa Code sections 125.37 and 125.93.
    ARC 5234CLabor Services Division[875]Notice of Intended Action

    Proposing rule making related to federal occupational safety and health standards and providing an opportunity for public comment

        The Labor Commissioner hereby proposes to amend Chapter 10, “General Industry Safety and Health Rules,” and Chapter 26, “Construction Safety and Health Rules,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 88.5.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 88.Purpose and Summary    The purposes of this proposed rule making are to adopt by reference changes to the federal occupational safety and health construction standards and to rescind an obsolete rule. The amendments would place Iowa in compliance with the requirements to adopt federal occupational safety and health standards by reference.    The U.S. Occupational Safety and Health Administration (OSHA) amended the beryllium construction standard to better align with the language of the general industry beryllium standard and changed numerous definitions. The agency’s intention with respect to trace amounts of beryllium was clarified. The exposure limits were not changed, and the agency intends to maintain employee health with reduced costs to employers.    The Federal Railroad Administration revised its rules concerning the use of equipment such as cranes and derricks in the maintenance and construction of railroads. As a result, OSHA amended its standard for cranes and derricks to clarify which standards apply.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Division for a waiver of the discretionary provisions, if any, pursuant to 875—Chapter 5.Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Commissioner no later than 4:30 p.m. on November 12, 2020. Comments should be directed to:Kathleen Uehling Division of Labor Services 150 Des Moines Street Des Moines, Iowa 50309 Email: kathleen.uehling@iwd.iowa.govPublic Hearing    If requested, a public hearing at which persons may present their views orally or in writing will be held as follows: November 12, 2020 10 a.m. To participate by conference call: Dial 312.626.6799 Meeting ID number 933 8268 9446 Pass code 881357     Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Commissioner and advise of specific needs.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

        ITEM 1.    Rescind and reserve rule 875—10.4(88).

        ITEM 2.    Amend rule 875—26.1(88) by inserting the following at the end thereof:85 Fed. Reg. 53997 (August 31, 2020)85 Fed. Reg. 57122 (September 15, 2020)
    ARC 5235CPharmacy Board[657]Notice of Intended Action

    Proposing rule making related to pharmacist-interns and providing an opportunity for public comment

        The Board of Pharmacy hereby proposes to amend Chapter 4, “Pharmacist-Interns,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 147.76, 147.80 and 155A.6.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 147.80 and 155A.6.Purpose and Summary    Pursuant to Iowa Code section 17A.7(2), the Board conducted a five-year review of this chapter of rules. This proposed rule making:

  • Provides consistency in the experiential training required of pharmacist-interns who are graduates of pharmacy programs in the United States and foreign pharmacy program graduates who are candidates for licensure in Iowa,
  • Provides consistent language with other Board rules relating to the use of an ITIN number in lieu of a social security number,
  • Simplifies the subrule relating to delegated functions of a pharmacist-intern,
  • Removes the reference to a license surcharge for the Board’s monitoring program, which the Board no longer assesses,
  • Allows the Board to require the submission of a $15 fee for verification of a pharmacist-intern registration or certification of hours,
  • Provides language relating to the required notice to the Board following criminal or disciplinary action, and
  • Rearranges rules for clarity.
  • Fiscal Impact    The fiscal impact cannot be determined because it is unknown how many interns would seek manual staff verification of registration in lieu of the Board’s free online verification system. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Board for a waiver of the discretionary provisions, if any, pursuant to 657—Chapter 34. Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Board no later than 4:30 p.m. on November 10, 2020. Comments should be directed to: Sue Mears Board of Pharmacy 400 S.W. 8th Street, Suite E Des Moines, Iowa 50309 Email: sue.mears@iowa.govPublic Hearing    No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

        ITEM 1.    Amend rule 657—4.6(155A) as follows:

    657—4.6(155A) Registration, reporting, and authorized functions.  Every person shall register with the board before beginning the person’s internship experience, whether or not for the purpose of fulfilling the requirements of rule 657—4.3(155A). Registration is required of all students enrolled in Iowa colleges of pharmacy upon commencement of the first professional year in the college of pharmacy. Colleges of pharmacy located in Iowa shall annually certify to the board the names of students who are enrolled in the first professional year in the college of pharmacy. Colleges of pharmacy located in Iowa shall, within two weeks of any change, certify to the board the names of students who have withdrawn from the college of pharmacy.    4.6(1) Application for registration—required information.  Application for registration as a pharmacist-intern shall be on forms provided by the board, and all requested information shall be provided on or with such application. The application shall require that the applicant provide, at a minimum, the following: name; address; telephone number; date of birth; social security number or individual tax identification number (ITIN); and name and location of college of pharmacy and anticipated month and year of graduation. The college of pharmacy shall certify the applicant’s eligibility to practice as a pharmacist-intern.If the applicant provides an ITIN in lieu of a social security number, the applicant shall also provide acceptable proof of lawful presence in the United States.    4.6(2) Supervision and authorized functions.  A licensed pharmacist shall be on duty in the pharmacy and shall be responsible for the actions of a pharmacist-intern during all periods of internship training. At the discretion of the supervising pharmacist, the followingclinical and judgmental functions, usually restricted to a pharmacist, may be delegated to pharmacist-interns registered by the board:a registered pharmacist-intern depending upon which functions are appropriate to the pharmacist-intern’s level of education and training.    a.    Verification of the accuracy, validity, and appropriateness of the filled prescription or medication order;    b.    Review and assessment of patient records for purposes identified in rule 657—8.21(155A);    c.    Patient counseling;    d.    Administration of vaccines pursuant to rule 657—39.10(155A).    4.6(3) Term of registration.  Registration shall remain in effect as long as the board is satisfied that the intern is pursuing a degree in pharmacy in good faith and with reasonable diligence. A pharmacist-intern may request that the intern’s registration be extended beyond the automatic termination of the registration pursuant to the procedures and requirements of 657—Chapter 34. Except as provided by the definition of pharmacist-intern in rule 657—4.1(155A), registration shall automatically terminate upon the earliest of any of the following:    a.    Licensure to practice pharmacy in any state;    b.    Lapse in the pursuit of a degree in pharmacy; or    c.    One year following graduation from the college of pharmacy.    4.6(4) Identification, reports, and notifications.  Credit for internship time will not be granted unless registration and other required records or affidavits are completed.a.    The pharmacist-intern shall be so designated in all relationships with the public and health professionals. While on duty in the pharmacy, the intern shall wear visible to the public a name badge includingthat is visible to the public and includes the designation “pharmacist-intern” or “pharmacy student.”    b.    Registered interns shall notify the board office within ten days of a change of name or address.    c.    Notarized affidavits of experience in non-college-sponsored programs shall be submitted to the board no later than six months following graduation from a school or college of pharmacy. These affidavits shall certify only the number of hours and dates of training obtained outside a college-based clinical program as provided in rule 657—4.3(155A). An individual registered as a pharmacist-intern while participating in an Iowa residency or fellowship program shall not be required to file affidavits of experience.    4.6(5) NoInternship credit prior to registration.      a.    Credit will not be given for internship experience obtained prior to the individual’s registration as a pharmacist-intern. Credit for Iowa college-based clinical programs will not be granted unless registration is issued before the student begins the program.Credit for internship experience will not be granted unless registration and other required records or affidavits are completed.    b.    Notarized affidavits of experience in non-college-sponsored programs shall be submitted to the board no later than six months following graduation from a school or college of pharmacy. These affidavits shall certify only the number of hours and dates of training obtained outside a college-based clinical program as provided in rule 657—4.3(155A). An individual registered as a pharmacist-intern while participating in an Iowa residency or fellowship program shall not be required to file affidavits of experience.    4.6(6) Nontraditional internship.  Internship training at any site which is not licensed as a general or hospital pharmacy is considered nontraditional internship.    a.    Application.Prior to beginning a period of nontraditional internship, the intern shall submit a written application, on forms provided by the board, for approval of the objectives of the nontraditional internship. The application shall identify objectives consistent with the unique learning experiences of the intern and consistent with the goal and objectives of internship in rule 657—4.2(155A).    b.    Preceptor.A preceptor supervising a pharmacist-intern in a nontraditional internship shall be a currently licensed pharmacist in the state where the internship is served, and the requirements of rule 657—4.9(155A) shall apply to all preceptors.    c.    Certification, not credit.Hours obtained in nontraditional internship shall not be credited toward the total 1500 hours required pursuant to rule 657—4.3(155A)or 657—4.7(155A) prior to licensure to practice pharmacy in Iowa. The board may, however, certify hours obtained in one or more approved nontraditional internships in recognition of the pharmacist-intern’s training outside the scope of traditional pharmacy practice. Certification shall not be granted for experience obtained in a nontraditional internship unless the board, prior to the intern’s beginning the period of internship, approved the objectives of the internship.

        ITEM 2.    Amend rule 657—4.7(155A) as follows:

    657—4.7(155A) Foreign pharmacy graduates.  Foreign pharmacy graduates who are candidates for licensure in Iowa will be required to obtain a minimum of 1500 hours of internship in a licensed pharmacylicensed in a state or territory of the United States or other board-approved locationthat provides experience in community, institutional, and clinical pharmacy practices.    4.7(1) Registration.  Candidates shall register with the board as provided in rule 657—4.6(155A). Internship credit will not be granted until the candidate has been issued an intern registration. Applications for registration shall be accompanied by certification from the Foreign Pharmacy Graduate Examination Committee (FPGEC) as provided in 657—subrule 2.10(1).    4.7(2) Certification of hours.  Following completion of any period of internship, internship hours shall be certified to the board by submission of notarized affidavits of experience as provided in paragraph 4.6(4)“c.”

        ITEM 3.    Amend rule 657—4.8(155A) as follows:

    657—4.8(155A) Fees.  The fee for registration as a pharmacist-intern is $30, plus applicable surcharge pursuant to 657—30.8(155A), which shall be payable with the application.The board may require the submission of a nonrefundable fee of $15 for written registration verification or certification of internship hours.

        ITEM 4.    Renumber rule 657—4.11(155A) as 657—4.12(155A).

        ITEM 5.    Adopt the following new rule 657—4.11(155A):

    657—4.11(155A) Notifications to the board.      4.11(1) Reporting registration changes.  A registered pharmacist-intern shall report to the board within ten days a change of the pharmacist-intern’s name, address or email address. Except for a change in name, an update to the pharmacist-intern’s personal online profile through the board’s online database shall satisfy this subrule.    4.11(2) Reporting criminal convictions and pleas.  A registered pharmacist-intern who has been convicted of a crime, or entered a plea of guilty, nolo contendere, or no contest to a crime, other than a minor traffic offense, shall report such conviction or plea to the board within 30 days of adjudication.    4.11(3) Reporting disciplinary action.  A registered pharmacist-intern who has been the subject of disciplinary action in another state, including but not limited to citations, reprimands, fines, license restrictions, probation, license or registration surrender, suspension, or revocation, shall report such action to the board within 30 days of adjudication.
    ARC 5232CTransportation Department[761]Notice of Intended Action

    Proposing rule making related to special registration plates and providing an opportunity for public comment

        The Department of Transportation hereby proposes to amend Chapter 401, “Special Registration Plates,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 307.12, 321.34 and 321.166.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 321.34 as amended by 2020 Iowa Acts, House File 2641, section 155, and section 321.166 as amended by 2020 Iowa Acts, House File 2641, section 156.Purpose and Summary    This proposed rule making updates Chapter 401 to conform the rules with 2020 Iowa Acts, House File 2641, section 155, which amends Iowa Code section 321.34, and 2020 Iowa Acts, House File 2641, section 156, which amends Iowa Code section 321.166, to provide for the creation of new “flying our colors” license plates.    These proposed amendments also make a technical change to remove the prohibition against allowing the number zero to be used on personalized license plates. Currently, the number zero may be used on county standard license plates, so this proposed amendment allows customers an additional character choice when requesting personalized license plates.Fiscal Impact    This rule making has no fiscal impact beyond the impact estimated by the Legislative Services Agency (LSA) for 2020 Iowa Acts, Senate File 2181, which originally proposed implementation of the new “flying our colors” license plate. The LSA calculated the fiscal impact would increase revenue to the Flood Mitigation Fund by $61,250 in FY 2021 and $70,000 in FY 2022. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the person’s circumstances meet the statutory criteria for a waiver may petition the Department for a waiver under 761—Chapter 11. Public Comment    Any interested person may submit written comments concerning this proposed rule making or may submit a written request to make an oral presentation at a public hearing. Written comments or requests in response to this rule making must be received by the Department no later than 4:30 p.m. on November 10, 2020. Comments should be directed to: Tracy George Department of Transportation DOT Rules Administrator, Strategic Communications and Policy Bureau 800 Lincoln Way Ames, Iowa 50010 Email: tracy.george@iowadot.usPublic Hearing    If requested, a public hearing to hear oral presentations will be held on November 12, 2020, via conference call from 10 to 11 a.m. Persons who wish to participate in the conference call should contact Tracy George before 4:30 p.m. on November 10, 2020, to facilitate an orderly hearing. A conference call number will be provided to participants prior to the hearing.     Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact Tracy George, the Department’s rules administrator, and advise of specific needs.     The public hearing will be canceled without further notice if no oral presentation is requested.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

        ITEM 1.    Amend paragraph 401.2(1)"b" as follows:    b.     Application for blackout plates, collegiate plates,flying our colors plates, personalized plates, and special registration plates that have eligibility requirements must be submitted to the department in a manner prescribed by the department. Unless otherwise specified, completed applications for these plates shall be submitted to the department at the following address: Vehicle and Motor Carrier Services Bureau, Iowa Department of Transportation, P.O. Box 9278, Des Moines, Iowa 50306-9278. Applications may be obtained from the vehicle and motor carrier services bureau or from any county treasurer’s office. Applications are also available on the department’s website at www.iowadot.gov.

        ITEM 2.    Amend rule 761—401.4(321) as follows:

    761—401.4(321) Gift certificates.  Gift certificates for blackout plates, collegiate plates,flying our colors plates, personalized plates, and special registration plates that have eligibility requirements may be purchased using the prescribed plate application. Gift certificates for special registration plates that counties have in their inventories may be purchased from county treasurers’ offices.

        ITEM 3.    Amend paragraph 401.6(2)"a" as follows:    a.    The characters “A” to “Z” and “1”“0” to “9” may be used. Zeros shall not be used.

        ITEM 4.    Adopt the following new rule 761—401.14(321):

    761—401.14(321) Flying our colors plates.      401.14(1) Application.  Application for flying our colors plates shall be submitted to the department in a manner prescribed by the department. The applicant may request letter-number designated flying our colors plates or personalized flying our colors plates. Flying our colors plates are available for autocycles, motor trucks, motor homes, multipurpose vehicles, motorcycles, trailers and travel trailers.    401.14(2) Characters.  Personalized flying our colors plates shall be issued in accordance with subrule 401.6(2).

        ITEM 5.    Amend 761—Chapter 401, implementation sentence, as follows:       These rules are intended to implement Iowa Code sections 35A.11,; 321.34,as amended by 2020 Iowa Acts, House File 2641, section 155; 321.105,; 321.166as amended by 2020 Iowa Acts, House File 2641, section 156; and 321L.1 and chapter 17A.
    ARC 5233CTransportation Department[761]Notice of Intended Action

    Proposing rule making related to salvage motor vehicles and providing an opportunity for public comment

        The Department of Transportation hereby proposes to amend Chapter 405, “Salvage,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 307.12, 321.52 and 321.69.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 321.52 and 321.69.Purpose and Summary    This proposed rule making relates to titling and registration of salvage motor vehicles and aligns with existing legal authority and Department practice. Iowa Code section 321.52 and 761—Chapter 405 provide a specific process for obtaining a regular certificate of title for a wrecked or salvage vehicle that has been rebuilt, including undergoing a salvage theft examination. A regular certificate of title is necessary before a rebuilt vehicle may be transferred to a new purchaser.    Title brands. These proposed amendments remove outdated language that no longer appears on the title as well as conform to current Department practice of the system printing the brand on the title, rather than the title being physically stamped.  The proposed amendments also address the fact that Iowa is the only state that prints the “prior salvage” designation on the title rather than using the “rebuilt” designation.  While these two phrases mean the same thing, other states do not recognize the “prior salvage” designation and it can sometimes cause confusion.  Changing the title designation in Iowa to “rebuilt” rather than “prior salvage” will ensure consistency with other states and make the process more efficient because there will be less need for follow-up clarifications. Finally, these proposed amendments conform the rules related to the titles for foreign vehicles to the proposed amendments to utilize the designation “rebuilt” rather than “prior salvage” but still account for times when a record check for a foreign vehicle may reflect that the vehicle was previously titled in Iowa under a “prior salvage” designation.    Salvage theft examinations. These proposed amendments address the process for converting a salvage title to a regular title to reflect the current practice of notating in the computer system when a salvage theft examination is complete, rather than issuing a physical certificate of completion. These proposed amendments also do the following:

  • Clarify that educational institutions may also be assigned a salvage certificate of title as authorized by Iowa Code section 321.52(4)“b.”
  • Utilize current terminology for the salvage theft examination form and align with current practice by no longer requiring an owner to certify by affidavit if a representative will be present at the salvage theft examination.
  • Outline that there is a three-year period in which an owner seeking a salvage theft examination can request that the examination be scheduled utilizing the original fee.
  • Strike an outdated requirement to use a physical form as evidence of completion of a salvage theft examination because this form is now completed electronically.
  • Align the rules with current Department practice of accessing the affidavit of salvage vehicle repairs via the Department’s website.
  • Provide that if a peace officer needs to utilize a physical salvage theft examination certificate, a peace officer is required to use a controlled form provided by the Department for such purposes.
  • Align the rule with the fact that in almost all cases, there is no longer a physical salvage theft examination certificate, while maintaining the existing content of the rule that the results of a salvage theft examination are not transferable.
  • Fiscal Impact    Iowa Code section 321.52(4)“d” sets the fee for a salvage theft examination at $50, with $40 being retained by the local law enforcement agency completing the examination. The remaining $10 is split evenly between the Road Use Tax Fund and the General Fund, with the General Fund portion being credited to the Iowa Law Enforcement Academy. In FY 2019, approximately 15,000 salvage theft examinations were completed. The Department does not anticipate a significant increase or decrease in the number of salvage theft examinations because of this rule making. From 2016 to May 29, 2020, there have only been 47 examinations scheduled that have not yet been completed. If all 47 applicants waited three years before completing an examination and had to pay a new fee, the Department estimates an additional $2,350 in fees would be generated because of this rule making (47 x $50 = $2,350), with $235 of that going to the Road Use Tax Fund.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the person’s circumstances meet the statutory criteria for a waiver may petition the Department for a waiver under 761—Chapter 11. Public Comment    Any interested person may submit written comments concerning this proposed rule making or may submit a written request to make an oral presentation at a public hearing. Written comments or requests to present oral comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 10, 2020. Comments should be directed to: Tracy George Department of Transportation DOT Rules Administrator, Strategic Communications and Policy Bureau 800 Lincoln Way Ames, Iowa 50010 Email: tracy.george@iowadot.usPublic Hearing    If requested, a public hearing to hear oral presentations will be held on November 12, 2020, via conference call from 9 to 10 a.m. Persons who wish to participate in the conference call should contact Tracy George before 4:30 p.m. on November 10, 2020, to facilitate an orderly hearing. A conference call number will be provided to participants prior to the hearing.    Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact Tracy George, the Department’s rules administrator, and advise of specific needs.     The public hearing will be canceled without further notice if no oral presentation is requested.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

        ITEM 1.    Amend rule 761—405.1(321) as follows:

    761—405.1(321) Applicability.  This chapter supplements 761—Chapter 400. It applies to salvage motor vehicles and foreign motor vehicles brought into Iowa that are or were salvage, rebuilt or junked. This chapter applies only to motor vehicles subject to registration except that owners of vehicles with a gross vehicle weight rating of 30,000 pounds or more are not required to submit a salvage theft examination certificate to convert a salvage title to a regular title.

        ITEM 2.    Adopt the following new definitions of “Foreign jurisdiction” and “Salvage theft examination certificate” in rule 761—405.2(321):        "Foreign jurisdiction" means a jurisdiction other than Iowa.        "Salvage theft examination certificate" means a certificate, including an electronic certificate in the form and manner prescribed by the department, issued by a peace officer who has been specially certified to conduct salvage theft examinations as provided in Iowa Code section 321.52.

        ITEM 3.    Amend subrule 405.3(1) as follows:    405.3(1) Face of title.  Except for vehicles with a gross vehicle weight rating of 30,000 pounds or more, the following shall be stamped in red inkprinted on the face of an Iowa salvage title: SALVAGE—CANNOT BE REGISTERED WITHOUT A SALVAGE THEFT EXAMINATION CERTIFICATE OR AN INSURER’S CERTIFICATION.

        ITEM 4.    Amend subrule 405.3(3) as follows:    405.3(3) Reassignment.  Reassignment of an Iowa or a foreign salvage title by a licensed new motor vehicle dealer or by an authorized vehicle recycler is allowed, and the dealer or recycler is not required to obtain a new Iowa salvage title upon assignment of an Iowa or a foreign salvage title to the dealer or recycler, provided a vacant reassignment space is available on the title. If all reassignment spaces on an Iowa or a foreign salvage title assigned to the dealer or recycler have been used, the dealer or recycler shall obtain a new Iowa salvage title in accordance with subrule 405.3(2). The following shall be stampedprinted on the dealer reassignment portion of Iowa salvage titles: ONLY NEW MOTOR VEHICLE DEALERS OR RECYCLERS MAY REASSIGN THIS TITLE.

        ITEM 5.    Amend paragraph 405.6(1)"b" as follows:    b.    Fair market value is the average retail value found in the National Automobile Dealers Association (NADA) Official Used Car Guide. If there is no value available, the office of vehicleand motor carrier servicesbureau shall determine the fair market value upon request. The address is: Office of Vehicleand Motor Carrier ServicesBureau, IowaDepartment of Transportation, P.O. Box 9278, Des Moines, Iowa 50306-9278.

        ITEM 6.    Amend rule 761—405.7(321) as follows:

    761—405.7(321) Converting salvage title to regular title.      405.7(1) General application procedure.      a.    To obtain a regular title, the owner in whose name the salvage title is issued or assigned shall pay the appropriate fees and surrender the followingsalvage title when applying for the regular title:.    (1)   The salvage title.    (2)   b.    The salvage theft examination certificate issued in the applicant’s name.To obtain a regular title, the applicant shall have completed a salvage theft examination certificate for the vehicle as required by Iowa Code section 321.52. However, a salvage theft examination certificate is not required if the vehicle has a gross vehicle weight rating of 30,000 pounds or more. See rule 761—405.15(321) for salvage theft examination.    b.    c.    A regular title and registration receipt issued pursuant to this subrule shall bear the designation “prior salvage.”“REBUILT-IA.”    405.7(2) Insurer’s certification.  An insurer who has title pursuant to Iowa Code subsectionsection321.52(4) may submit an insurer’s certification in lieu of a salvage theft examination certificate.    a.    The insurer’s certification shall:    (1)   Include the name and address of the insurance company and the VIN, year and make of the salvage titled vehicle.    (2)   Include a statement by the insurer certifying that the retail cost of repairs for all damages to the vehicle is less than $3000.    (3)   Be dated and signed by an authorized representative of the insurer.    b.    The insurer’s certification is not transferable if the insurer assigns the salvage title to another person.    c.    A regular title and registration receipt issued pursuant to this subrule is not required to have a designation of “prior salvage.”“REBUILT-IA.” However, the title and registration receipt shall bear any designation to be carried forward, as explained in rule 761—405.10(321).

        ITEM 7.    Amend subrule 405.8(2) as follows:    405.8(2) Foreign title with rebuilt designation.  If the prior title for a vehicle is a foreign title indicating that the vehicle was rebuilt, the Iowa title and registration receipt issued from the foreign title shall contain the designation of “rebuilt” together with the two-letter abbreviation of the name of the jurisdiction that issued the foreign title.Exception: If a records check indicates that the vehicle was previously titled in Iowa with a designation of “prior salvage,”the prior salvage designation shall be redesignated as “REBUILT-IA” and the prior salvage“REBUILT-IA” designation takes precedence and shall be carried forward to the Iowa title and registration receipt.If a records check indicates that the vehicle was previously titled in Iowa with a designation of “REBUILT-IA,” the “REBUILT-IA” designation takes precedence and shall be carried forward to the Iowa title and registration receipt.

        ITEM 8.    Amend paragraph 405.8(4)"a" as follows:    a.    “Prior salvage”“REBUILT-IA” if the foreign title does not indicate that the vehicle was rebuilt.

        ITEM 9.    Amend subrule 405.10(1) as follows:    405.10(1)   The following designations for a vehicle shall be used on Iowa titles and registrations receipts and shall be carried forward to all subsequent Iowa titles and registration receipts issued for the vehicle, unless otherwise specified:    a.    Prior salvage.“REBUILT-IA.” This designation supersedes other designations. When a designation of “prior salvage”“REBUILT-IA” is required pursuant to rule 761—405.7(321), it replaces any other designation.    b.    Rebuilt together with a two-letter abbreviation of the name of a foreign jurisdiction. When this designation is required pursuant to subrule 405.8(2), it replaces any other designation except a “prior salvage”“REBUILT-IA” designation.    c.    Damage over 50 percent. As required by Iowa Code section 321.69, a designation of “damage over 50 percent” shall be used when the seller or the buyer indicates on the damage disclosure statement that the person has knowledge that the motor vehicle sustained damage for which the cost of the repair exceeded 50 percent of the fair market value before the motor vehicle became damaged. This designation replaces any other designation except “prior salvage” or “rebuilt.”    d.    Flood, fire, vandalism or theft. The most recent designation applies. Unless superseded by a “prior salvage,”“REBUILT-IA,” “rebuilt,” or “damage over 50 percent” designation, a designation of “flood,” “fire,” “vandalism” or “theft” shall be used as specified in subrule 405.8(6) and supersedes a “lemon buy-back” designation.    e.    Lemon buy-back. Unless superseded by a “prior salvage,”“REBUILT-IA” “rebuilt,” “damage over 50 percent,” “flood,” “fire,” “vandalism” or “theft” designation, a designation of “lemon buy-back” shall be used:    (1)   When a certificate of title is issued to a manufacturer of a motor vehicle pursuant to Iowa Code section 322G.12.    (2)   When the prior certificate of title for a motor vehicle is a foreign title indicating that the vehicle was returned to the manufacturer pursuant to Iowa Code chapter 322G or a law of another state similar to Iowa Code chapter 322G.

        ITEM 10.    Amend rule 761—405.15(321) as follows:

    761—405.15(321) Salvage theft examination.  Except for foreign salvage titles assigned to licensed new motor vehicle dealers,or authorized vehicle recyclers,or educational institutions, a salvage theft examination may only be conducted on a vehicle with an Iowa salvage title. The vehicle shall not be examined until it has been completely repaired, except for minor body parts such as trim, body marking or paint.    405.15(1) General procedure.      a.    A salvage theft examination shall be conducted by a peace officer who has been specially certified, and recertified when required, by the Iowa law enforcement academy to perform salvage theft examinations.    (1)   To arrange for a salvage theft examination by an investigator from the department of transportation, the applicant shall contact the office of motor vehicle enforcement. The address is: Office of Motor Vehicle EnforcementBureau of Investigation and Identity Protection,Iowa Department of Transportation, P.O. Box 10473, Des Moines, Iowa 50306-04736310 SE Convenience Blvd., Ankeny Iowa 50021; by telephone at (515)237-3050; or on the department’s website at www.iowadot.gov.    (2)   To arrange for a salvage theft examination by any other authorized peace officer, the applicant shall contact the local law enforcement agency for instructions.    b.    The owner of the vehicle may drive the vehicle to and from the examination location by completing the permit sectionto drive located onwithin theelectronic affidavit of salvage vehicle repairs form.    (1)   The affidavit shall state that the vehicle is reasonably safe for operation and shall list the parts that have been replaced on the vehicle. The affidavit must be signed by the owner or the owner’s authorized agent.    (2)   To be valid, the permit to drive the vehicle to and from the examination location must be signed by the owner or owner’s authorized agent.    c.    The owner of the vehicleor the owner’s representative must be present for the examination or certify, on the affidavit of salvage vehicle repairs, the name of the person who will be representing the owner at the examination.    d.    The owner or owner’s representative, when appearing with the vehicle for the examination, shall submit to the peace officer for review the salvage title or a certified copy of the salvage title; the affidavit of salvage vehicle repairs; and, pursuant to subrules 405.15(3) and 405.15(4), bills of sale for all component parts replaced.    e.    The owner or owner’s representative shall electronically make payment for the salvage theft examination at the time the examination is scheduled, and the fee collected shall be distributed in accordance with Iowa Code section 321.52(4)“c.”The owner shall have three years from the date the affidavit and payment were submitted to complete the salvage theft examination without having to pay a new fee.    f.    If the vehicle passes the salvage theft examination, the peace officer shall complete aapprove the completed salvage theft examination certificate on a form prescribed by the department. The form shall be distributed as follows:    (1)   The white copy shall be mailed with the $10 to the office of vehicle services at the Des Moines address.    (2)   The canary copy shall be given to the owner or the owner’s representative. This copy must be surrendered when applying for title.    (3)   The pink copy shall be retained by the examining officer for three years for verification purposes.    g.    Reserved.    h.    The peace officer shall return the salvage title or the certified copy of the salvage title, the permit to drive section, if applicable, on the affidavit of salvage vehicle repairs, and the bills of sale to the owner or the owner’s representative.    405.15(2) Affidavit of salvage vehicle repairs form and salvage theft examination certificate.      a.    The affidavit of salvage vehicle repairs form may be obtained from the office of motor vehicle enforcement at the Des Moines address, any local enforcement agency with officers certified to conduct salvage theft examinations or any local county treasurer’s officeshall be accessed on the department’s website.    b.    TheIf a peace officer finds it necessary to use a physical salvage theft examination certificate, the salvage theft examination certificate shall be a controlled form and furnished by the department.    c.    The owner of the vehicle may obtain a duplicate copy of the salvage theft examination certificate upon written request to the issuing officer or agencydepartment.    d.    Theapproved salvage theft examination certificate is not transferableto a different party or owner.    405.15(3) Bill of sale.  A bill of sale is a document from the seller to the buyer containing the name, address and telephone number of the seller, a description and identification number of the component part and, if applicable, the vehicle identification number (VIN) of the vehicle from which it was removed.    405.15(4) Component part.  For salvage theft examinations, the definition of component part as found in Iowa Code section 321.1 shall apply.
    ARC 5237CReal Estate Appraiser Examining Board[193F]Adopted and Filed

    Rule making related to rules review

        The Real Estate Appraiser Examining Board hereby amends Chapter 1, “Organization and Administration,” Chapter 4, “Associate Real Property Appraiser,” Chapter 5, “Certified Residential Real Property Appraiser,” Chapter 6, “Certified General Real Property Appraiser,” Chapter 7, “Disciplinary Actions Against Certified and Associate Appraisers,” Chapter 9, “Renewal, Expiration and Reinstatement of Certificates and Registrations, and Inactive Status,” Chapter 10, “Reciprocity,” Chapter 11, “Continuing Education,” Chapter 12, “Fees,” Chapter 15, “Supervisor Responsibilities,” and Chapter 17, “Superintendent Supervision Standards and Procedures,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code chapter 543D.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 543D.Purpose and Summary    These amendments implement what the Board considers to be higher priority changes based on a full review of its rules. These amendments will reduce conflict between the rules and statutes, reduce conflict within the rules, better follow current application practices, clarify rules, and lower fees.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 12, 2020, as ARC 5126C.     A public hearing was held on September 1, 2020, at 10 a.m. in the Small Conference Room, Third Floor, 200 East Grand Avenue, Des Moines, Iowa. One person attended the public hearing but did not make a comment. Two written comments were received. The first written comment was from the Appraisal Institute and stated that the association was in favor of the changes with respect to reduction of fees and changes to subrule 11.2(8); however, the association stated that the Board should consider amending the language in subrule 11.2(8) to ensure that it could not be interpreted to mean that the appraiser must be certified in the other jurisdiction. The second written comment was from the Appraisal Subcommittee, and it stated that the Board should consider making additional changes to subrule 4.1(1) to clarify that the required courses are only for the qualifying education courses for the trainee license and not the certified appraiser license. The Board agreed with the written comments and has revised subrules 4.1(1) and 11.2(8).    The Board revised subrule 4.1(1) to reflect all education necessary as an associate appraiser instead of a certified appraiser so that the revised subrule would only cover the 75 initial hours and not the full 200 or 300 needed for certification prior to registration as an associate appraiser. The Board revised subrule 11.2(8) to remove references to “appraisal certification board”; to instead use the terms “appraisal regulatory body” and “jurisdiction,” because not every regulatory body is a board; and to clarify that an appraiser does not need to be licensed in the jurisdiction in which the course was taken. In addition, a sentence in subrule 4.2(2) was revised for clarity.Adoption of Rule Making    This rule making was adopted by the Board on September 28, 2020.Fiscal Impact    There are approximately 1,138 certified appraisers in Iowa who currently pay $390 to renew their license every two years. Reducing renewal fees to $280 ($200 renewal and $80 Appraisal Subcommittee fee) from the current $390 fee will reduce funds to the Board/Division of Banking by $125,180 every two years. In addition, there are 82 associate appraisers who will pay reduced fees resulting in $12,300 of lost revenue every two years. There are some additional fees being implemented; however, they will not have a significant fiscal impact.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Board for a waiver of the discretionary provisions, if any.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on November 25, 2020.    The following rule-making actions are adopted:

        ITEM 1.    Amend subrule 1.2(5) as follows:    1.2(5)   A person aggrieved by any final action of the board taken under Iowa Code chapter 543D or 193F—Chapter 17 may appeal that action to the superintendent within 20 days of the date the board issues the action.    a.    The appeal process applies whether the board action at issue was ministerial or nondiscretionary, or discretionary, and whether the proposed action was or was not submitted through a preclearance process before the superintendent.    b.    No person aggrieved by a final action of the board may seek judicial review of that action without first appealing the action to the superintendent, as more fully described in 193F—Chapter 17.    c.    Records, filings, and requests for public information.Final board action which is ministerial or nondiscretionary is, regardless of whether such board action is ministerial, nondiscretionary, or discretionary, shall be immediately effective when issued by the board but is subject toreview or appeal to the superintendentas permitted by and in accordance with 193F—Chapter 17. If a timely review is initiated or a timely appeal is taken, the effectiveness of such final board action shall be delayed during the pendency of such review or appeal.    d.    Records, filings, and requests for public information. Unless otherwise provided by rule of the board, final board action which is discretionary shall be effective upon the expiration of 20 days following issuance of the board’s action if not timely reviewed by or appealed to the superintendent or upon final action by the superintendent if timely reviewed or appealed.

        ITEM 2.    Amend rule 193F—1.21(543D) as follows:

    193F—1.21(543D) National criminal history check.  Effective January 1, 2017, allAll applicants for any of the classifications listed in 193F—1.17(543D), including an applicant seeking to upgrade from a certified residential credential to a certified general credential, must satisfactorily complete astate and national criminal history check as provided in Iowa Code section 543D.22 as a condition of registration as an associate real property appraiser,or certification as a residential, orcertification as or upgrade to a general real property appraiser. The applicant shall authorize release of the results of the criminal history check to the board. UnlessIf the criminal history check wasnot completed within 180 calendar days prior to the date the license application is received by the board, the board shallmay perform a new state and national criminal history check or may reject and return the application to the applicant.

        ITEM 3.    Adopt the following new rule 193F—1.23(272C,543D):

    193F—1.23(272C,543D) Applications.  Unless otherwise provided by rule of the board, abandoned applications shall be deemed withdrawn. An application is abandoned if the applicant has not accessed or modified the application through the board’s electronic licensing database within the preceding six months. For purposes of this rule, “application” means any request, application, registration, or petition submitted to the board through the licensing database, including but not limited to the following:
    1. Add supervisor appraiser;
    2. Associate appraiser registration;
    3. Conversion application;
    4. Course application;
    5. Course instructor application;
    6. Course provider application;
    7. Examination and experience application;
    8. Formal wall certificate request;
    9. Pre-/post-course approval request;
    10. Reactivation application;
    11. Reciprocity application;
    12. Reinstatement application;
    13. Removal of associate from supervisor;
    14. Removal of supervisor from associate;
    15. Renewal application;
    16. Temporary practice permit application;
    17. General application to apply military service to an experience or educational requirement for licensure;
    18. Background packet request;
    19. Petition for waiver from administrative rules;
    20. Request for change of legal name;
    21. Request for verification (license and/or examination history); or
    22. Request to change license address.

        ITEM 4.    Amend subrule 4.1(1) as follows:    4.1(1) Education.      a.    A person applying for registration as an associate appraiser shall, at a minimum, satisfactorily complete the followingall AQB-approved, qualifying education modulescourses required under thecurrent AQB criteria specifying educational standards applicable for certificationregistration as a certifiedan associate residential appraiser or certifiedassociate general appraiser:. Each required course must be completed before the person can obtain an associate credential.    (1)   The 30-hour module on basic appraisal principles;    (2)   The 30-hour module on basic appraisal procedures; and    (3)   The 15-hour national USPAP course or its equivalent.    b.    The initial qualifying education must be completed no more than five years prior to the date of application.Credit toward all or part of the core criteria qualifying education requirements in this rule may also be obtained via the completion of a degree in real estate from an accredited degree-granting college or university, provided that the college or university has had its curriculum reviewed and approved by the AQB and so long as the degree was granted no more than five years prior to the date of application.

        ITEM 5.    Amend subrule 4.1(3) as follows:    4.1(3) Background check.  Effective January 1, 2017, aA state and national criminal history check as provided in Iowa Code section 543D.22 shall be performed on any new associate appraiser. The applicant shall authorize release of the results of the criminal history check to the board. UnlessIf the criminal history check wasnot completed within 180 calendar days prior to the date the license application is received by the board, the board shallmay perform a new state and national criminal history check or may reject and return the application to the applicant.

        ITEM 6.    Amend rule 193F—4.2(543D) as follows:

    193F—4.2(543D) Supervision of associate appraisers.      4.2(1) Direct supervision.  An associate appraiser is subject to the direct supervision of a certified real property appraiser. Qualifications for a supervisory appraiser are outlined in 193F—Chapter 15. An associate appraiser may be supervised by more than one supervisory appraiser.    4.2(2) Supervisor registration.  An associate appraiser shall identify all supervisors by whom the associate will be supervised on forms provided by the board and shall promptly notify the board in the event of an addition of a, or change in, supervisor or if the associate will no longer be supervised by a previously identified supervisor. An associate appraiser who does not have at least one approved active supervisor meeting the requirements of 193F—Chapter 15 will be placed in inactive status until such time as the associate finds a supervisor meeting the requirements of 193F—Chapter 15. Associate appraisers wishing to maintain an inactive license must continue to renew on a biennial basis in accordance with rule 193F—4.3(543D).    4.(2) 4.2(3) Scope of practice.  The scope of practice of an associate appraiser is the same as the scope of practice of the supervisory appraiser. An associate appraiser supervised by a certified residential appraiser shall accordingly be restricted to the scope of practice of a certified residential appraiser, while an associate appraiser supervised by a certified general appraiser shall be subject to the same scope of practice as a certified general appraiser.    4.(3) 4.2(4) Logs.  An associate appraiser shall maintain an appraisal experience log that includes all information required by the AQB as a precondition for certification and shall maintain the log contemporaneously with the performance of supervised real property appraisal services. Every log page shall have the signatures of the associate appraiser and supervisory appraiser, the state certification number of the supervisory appraiser, and the date of signature. Required log entries shall, at a minimum, include the following for each appraisal:    a.    Type of property;    b.    Date of report;    c.    Address of appraised property;    d.    DescriptionA specific description of work performed by the associate appraiser and scope of review and supervision of the supervisory appraiser; and    e.    Number of actual work hours by the associate on the assignment.; and    f.    The approach(es) to value utilized in the report.    4.(4) 4.2(5) Monitoring of logs.  The associate appraiser shall have the appraisal log reviewed and signed by the supervisory appraiser at least monthly. Upon written request by the board, the associate appraiser and the supervisory appraiser shall submit a copy of the associate appraiser’s log by letter or email within ten calendar days. The failure of an associate appraiser or supervisory appraiser to submit the requested log is a ground for disciplinary action. A separate appraisal log shall be maintained for each supervisory appraiser.

        ITEM 7.    Amend rule 193F—4.6(272C,543D) as follows:

    193F—4.6(272C,543D) Reinstating or reactivating an associate registration.      4.6(1)   In order to reinstate or reactivate an associate registration that has lapsed or been placed in inactive status for longer than 12 months, the applicant must complete all continuing education required for reinstatement pursuant to 193F—subrule 11.2(5). For purposes of this rule, in addition to the most recent edition of a seven-hour USPAP course, the board shall allow for continuing education only those courses that have been AQB-approved as qualifying education required for certification, as outlined in rules 193F—5.2(543D) and 193F—6.2(543D). The purpose of this requirement is to ensure that those associates reinstating a lapsed or inactive registration are progressing toward certification. Any qualifying education course taken under this rule as continuing education shall also apply as qualifying education toward certification. If the applicant has completed all qualifying education prior to applying to reinstate a lapsed or inactive associate registration, the applicant may use any approved continuing education course as provided in 193F—Chapter 11, in addition to the required seven-hour USPAP update course, toward the continuing education required for reinstatement.    4.6(2)   If an appraiser’s registration is placed in inactive status as a result of the appraiser’s failure to maintain at least one approved active supervisor meeting the requirements of 193F—Chapter 15 pursuant to subrule 4.2(2), the applicant must complete the continuing education required by subrule 4.6(1) in order to reinstate the associate registration but is not required to pay any fee that would otherwise be required in connection with such reinstatement so long as the associate has not renewed the registration to inactive status or allowed the registration to lapse prior to reinstating or reactivating the registration.

        ITEM 8.    Amend subrules 5.5(1) to 5.5(3) as follows:    .(1)   The applicant shall provide to the board an appraisal log that includes all information required by the AQB as a precondition for certification and shall maintain the log contemporaneously with the performance of supervised real property appraisal services. The appraisal log shall, at a minimum, include all information as described in 193F—subrule 4.2(3)193F—subrule 4.2(4).    .(2)   The applicant shall accumulate a total of 1,500 hours of residential appraisal experience in no fewer than 12 months while in active status. While the hours may be cumulative, the 12 months must have elapsed before the applicant can apply to take the examination. Experience claimed must have been performed in compliance with USPAP in which the appraiser demonstrates proficiency in appraisal principles methodology, procedures and reporting conclusions. Acceptable appraisal experience includes, but is not limited to, the following:    a.    Fee and staff appraisal;    b.    Ad valorem tax appraisal;    c.    Review appraisal;    d.    Appraisal analysis;    e.    Appraisal consulting;    f.    Highest and best use analysis; and    g.    Feasibility analysis/study.; and    h.    Mass appraisal.    .(3)   The types of experience set out in 5.5(2) are intended neither to exclude other sorts of appraisal experience nor to prescribe a specified minimum array of experience. However, an applicant who cannot demonstrate a background of experience of the diversity manifested by this rule shall bear the burden of showing that the applicant’s experience is of sufficient quality and diversity to fulfill the objective of the demonstration of experience.A diversity of experience includes, but is not limited to, the following:    a.    Performing all approaches to value (i.e., cost, income, sales);    b.    Various reporting types;    c.    Appropriate use of various forms (e.g., gPAR, 1004) and formats;    d.    Various property types (e.g., vacant land, condominium, manufactured home, and rental);    e.    Various assignments that include varying scopes of work (e.g., as is, as completed or proposed, foreclosure, rural properties, estates, use of extraordinary assumption or hypothetical conditions); and    f.    Diversity in value ranges.

        ITEM 9.    Rescind subrule 5.6(11).

        ITEM 10.    Amend rule 193F—5.7(543D) as follows:

    193F—5.7(543D) Upgrade to a certified general real property appraiser.  To upgrade from a certified residential real property appraiser to a certified general real property appraiser, an applicant must complete the following additional education, examination,supervision, and experience requirements and, effective January 1, 2017, astate and national criminal history check as provided in Iowa Code section 543D.22.For all intents and purposes, a certified residential appraiser seeking to upgrade to a certified general status will be considered an associate appraiser as it relates to differences between the scope of practice of the two licensure categories, and the upgrade process will generally follow the same registration requirements, supervisory identification and maintenance requirements, and processes and procedures generally applicable to associate appraisers set forth in 193F—Chapter 4.    5.7(1) Education.      a.    Collegiate education.Certified residential real property appraisers must satisfy the college-level education requirements as specified in rule 193F—6.2(543D).    b.    Core criteria.In addition to the formal educationand core criteria educational requirements originally required to obtain a certified residential credential, an applicant must completethe following additional 100 creditable, core criteria class hours before taking the AQB-approved examination. All courses must be AQB-approved under current core criteria to be considered creditable. The required courses and 100 hours consist of the following:    (1)   General appraiser market analysis and highest and best use 15 hours    (2)   General appraiser sales comparison approach 15 hours    (3)   General appraiser site valuation and cost approach 15 hours    (4)   General appraiser income approach 45 hours    (5)   General appraiser report writing and case studies 10 hours    5.7(2) Examination.  An applicant must satisfy the examination requirements as specified in rule 193F—6.3(543D).    5.7(3) ExperienceSupervision and experience.      a.    Experience.An applicant must satisfyall of the experience requirements as specified in rulerules 193F—6.4(543D)and 193F—6.5(543D).In obtaining and documenting the 3,000 total experience hours required by 193F—subrule 6.5(2), as is the case for initial licensure, such hours must be accumulated in no fewer than 18 months while in active status as, in effect, a registered associate appraiser pursuing an upgrade pursuant to this rule and subject to the supervision of an Iowa-certified appraiser. Notwithstanding the foregoing:    (1)   To the extent residential appraisal experience may be counted towards licensure in accordance with 193F—subrule 6.5(2), residential appraisal experience obtained as a certified residential appraiser prior to initiating the upgrade process may be included on the appraisal log and, subject to the work product review process, counted towards the experience-hours requirement for purposes of upgrading from a certified real property appraiser to a certified general real property appraiser; provided that such residential appraisal experience obtained prior to initiating the upgrade process shall not apply toward the 18-month requirement.    (2)   Applicants may request that the board approve experience hours performed in the absence of registration as an associate real property appraiser by filing an application for approval on a form provided by the board, which application will be subject to and governed by the same processes and standards set forth in rule 193F—6.4(543D).    b.    Supervision.Subject to applicable exceptions, all nonresidential experience obtained and applied toward obtaining a certified general credential as part of the upgrade process shall be performed under the direct supervision of a certified general real property appraiser pursuant to the provisions of 193F—Chapter 15 and shall be subject to the identification, notification, maintenance, approval, scope-of-practice, log, and monitoring requirements set forth in 193F—Chapter 4. Both the applicant and the applicant’s supervisor(s) must complete a supervisor/trainee course within the five years prior to the board’s receipt of the associate registration application identifying a supervisor with the board or prior to the applicant’s obtaining or claiming any experience hours under the supervision of that supervisor.     5.7(4) Work product review.  An applicant must satisfy the work product review requirements as specified in rule 193F—6.5(543D).    5.7(5) Background check.  Effective January 1, 2017, aA state and national criminal history check as provided in Iowa Code section 543D.22 shall be performed on any appraiser upgrading to a certified general real property appraiser. The applicant shall authorize release of the results of the criminal history check to the board. UnlessIf the criminal history check wasnot completed within 180 calendar days prior to the date the license application is received by the board, the board shallmay perform a new state and national criminal history check or may reject and return the application to the applicant.

        ITEM 11.    Amend subrules 6.5(1) to 6.5(3) as follows:    .(1)   The applicant shall provide to the board an appraisal log that includes all information required by the AQB as a precondition for certification and shall maintain the log contemporaneously with the performance of supervised real property appraisal services. The appraisal log shall, at a minimum, include all information as described in 193F—subrule 4.2(3)193F—subrule 4.2(4).    .(2)   The applicant shall accumulate a total of 3,000 hours of appraisal experience in no fewer than 18 months while in active status, of which 1,500 hours must consist of nonresidential appraisal experience. While the hours may be cumulative, the 18 months must have elapsed before an applicant can be certified. Experience claimed must have been performed in compliance with USPAP where the appraiser demonstrates proficiency in appraisal principles methodology, procedures and reporting conclusions. Acceptable appraisal experience includes, but is not limited to, the following:    a.    Fee and staff appraisal;    b.    Ad valorem tax appraisal;    c.    Review appraisal;    d.    Appraisal analysis;    e.    Appraisal consulting;    f.    Highest and best use analysis; and    g.    Feasibility analysis/study.; and    h.    Mass appraisal.    .(3)   The types of experience set out in 6.5(2) are intended neither to exclude other sorts of appraisal experience nor to prescribe a specified minimum array of experience. However, an applicant who cannot demonstrate a background of experience of the diversity manifested by this rule shall bear the burden of showing that the applicant’s experience is of sufficient quality and diversity to fulfill the objective of the demonstration of experience.A diversity of experience includes, but is not limited to, the following:    a.    Performing all approaches to value (i.e., cost, income, sales);    b.    Various reporting types;    c.    Appropriate use of various forms (e.g., gPAR, 1004) and formats;    d.    Various property types (e.g., vacant land, single-family, multifamily, agricultural, retail, industrial, and special purpose);    e.    Various assignments that include varying scopes of work (e.g., as is, as completed or proposed, foreclosure, rural properties, acreages, estates, eminent domain, use of extraordinary assumption or hypothetical conditions); and    f.    Diversity in value ranges.

        ITEM 12.    Rescind subrule 6.6(11).

        ITEM 13.    Amend rule 193F—6.7(543D) as follows:

    193F—6.7(543D) Background check.  Effective January 1, 2017, aA state and national criminal history check as provided in Iowa Code section 543D.22 shall be performed on any appraiser upgrading to a new credential. The applicant shall authorize release of the results of the criminal history check to the board. UnlessIf the criminal history check wasnot completed within 180 calendar days prior to the date the license application is received by the board, the board shallmay perform a new state and national criminal history check or may reject and return the application to the applicant.

        ITEM 14.    Amend subrule 7.3(9) as follows:    7.3(9) Failure to report.      a.    Failure by a registrant or certificate holder or an applicant for a registration or certificate to report in writing to the board any revocation, suspension, or other disciplinary action taken by a licensing authority, in Iowa or any other jurisdiction, within 30 calendar days of the final action.    b.    Failure of a registrant or certificate holder or an applicant for a registration or certificate to report, within 30 calendar days of the action, any voluntary surrender of a professional license to resolve a pending disciplinary investigation or action, in Iowa or any other jurisdiction.    c.    Failure to notify the board of a criminal conviction within 30 calendar days of the action, regardless of the jurisdiction where it occurred.    d.    Failure to notify the board within 30 calendar days after occurrence of any adverse judgment in a professional or occupational malpractice action, or settlement of any claim involving malpractice, regardless of the jurisdiction where it occurred.    e.    Failure to report another registrant or certificate holder to the board for any violation listed in these rules, pursuant to Iowa Code section 272C.9(2), promptly after the registrant or certificate holder becomes aware that a reportable violation has occurred.    f.    Failure to report to the board the appraiser’s principal place of business and any change in the appraiser’s principal place of business within 1030 calendar days of such change; or failure to report to the board all other addresses at which the appraiser engages in the business of preparing real estate appraisal reports, or any change in such information, within 30 calendar days of such occurrence or change.    g.    Failure of an associate appraiser or supervisor to timely respond to board requests for information, as provided in 193F—Chapter 4.

        ITEM 15.    Adopt the following new subrule 9.1(4):    9.1(4)   With the exception of continuing education obtained during the 30-day grace period authorized by and subject to and in accordance with subrule 9.4(2), all continuing education claimed on a biennial renewal must have been acquired during the renewal period. In addition, all continuing education claimed on a biennial renewal must have been actually taken and completed prior to the renewal application being submitted to the board.

        ITEM 16.    Amend subrule 9.2(2) as follows:    9.2(2)   Certified and associate appraisers must ensure that the addresstheir contact information on file with the board office is current and that the board is notified within 30 days of any address change, and report to the board all other addresses at which the appraiser engages in the business of preparing real estate appraisal reports, or any change in such information, within 30 calendar days of any addition or change thereto.

        ITEM 17.    Amend subrule 9.3(4) as follows:    9.3(4) Insufficient applications.  The board shall reject applications that are insufficient. A sufficient application within the meaning of Iowa Code section 17A.18(2) must:    a.    Be on a form prescribed by the board or, in the event there are no paper forms, be submitted through the state’s database;    a.    b.    Be signed by the applicant,if submitted in person or mailed, or be certified as accurate, or display an electronic signature by the applicant if submitted electronically;    b.    c.    Be fully completed;    c.    d.    Reflect, on its face, full compliance with all applicable continuing education requirements; and    d.    e.    Be accompanied by the proper fee. The fee shall be deemed improper if, for instance, the amount is incorrect, the fee was not included with the application, the credit card number provided by the applicant is incorrect, the date of expiration of a credit card is omitted or incorrect, the attempted credit card transaction is rejected, or the applicant’s check is returned for insufficient funds or written on a closed account.

        ITEM 18.    Amend subrule 9.4(2) as follows:    9.4(2)   A certified or associate appraiser may renew a certificate or registration after the expiration date by submitting a sufficient renewal application and biennial renewal fee, accompanied by an additional penalty of 25 percent of the biennial renewal feethe late renewal fee as provided in 193F—Chapter 12, within 30 calendar days of the expiration date. The board will allow the reinstatement of a lapsed certificate or registration during the 30-day period following expiration for an appraiser who did not complete all required continuing education during the prior biennium but who will have sufficient continuing education if courses completed during the 30-day period following lapse are included; provided that such applicant must demonstrate 42 hours of qualifying continuing education rather than the 28 hours required to renew for those who completed all continuing education on a timely basis prior to the lapse. The continuing education completed between July 1 and July 30 that fulfills a shortage of continuing education in the prior biennium shall not be counted toward the continuing education required in a subsequent renewal.

        ITEM 19.    Amend subrule 9.4(5) as follows:    9.4(5)   Reinstatement. The board may reinstate a lapsed certificate or registration upon the applicant’s submission of an application to reinstate and completion of all of the following:     a.    Paying a penalty as provided in rule 193F—12.1(543D); and    b.    Paying the current renewal fee as provided in rule 193F—12.1(543D); and    c.    Paying the ASC National Registry fee as provided in rule 193F—12.1(543D); and    c.    d.    Providing evidence of completed continuing education outlined in rule 193F—11.2(272C,543D), as modified for associate appraisers in subrule 9.4(6), if the licensee wishes to reinstate to active status; and    d.    e.    Providing a written statement outlining the professional activities of the applicant in the state of Iowa during the period in which the applicant’s certificate or registration was lapsed. The statement shall describe all appraisal services performed, with or without the use of the titles described in Iowa Code section 543D.15, for all appraisal assignments that are required by federal or state law, rule, or policy to be performed by a certified real estate appraiser.

        ITEM 20.    Amend subrule 9.5(6) as follows:    9.5(6) Reactivation.  A person registered as inactive shall apply to reactivate to active status prior to engaging in any practice in Iowa that requires certification or associate registration. An application to reactivate to active status shall be on a form provided by the board, shall demonstrate full compliance with all applicable continuing education requirements, and shall be accompanied by a change of status feeto reactivate an inactive license and the biennial fee for active status as provided in rule 193F—12.1(543D). Prior to reactivation to active status, the applicant must complete all education that would have been required had the applicant been on active status, including the most recent seven-hour USPAP update course. All such continuing education must be verified whether or not the applicant has been in active practice in another jurisdiction. Additionally, the special continuing education requirements that apply to associate appraisers reinstating a lapsed registration, as provided in subrule 9.4(6), shall apply to associate appraisers reactivating to active status following a period of inactive status of 12 months or longer. Such an applicant shall be given credit for the most recent renewal fees previously paid if the applicant applies to reactivate in the same biennium at other than the applicant’s regular renewal date. An applicant changing from active to inactive status during a biennial renewal period shall not, however, be entitled to a refund of any of the fees previously paid to attain active status.

        ITEM 21.    Amend subrule 10.2(1) as follows:    10.2(1)   The board will recognize, on a temporary basis and for a maximum of two assignments per year, the certification of an appraiser issued by another state.

        ITEM 22.    Amend subrule 11.2(1) as follows:    11.2(1)   Certified residential, certified general and associate appraisers must demonstrate compliance with the following continuing education requirements as a condition of biennial renewal:    a.    A minimum of 28 credit hours in approved continuing education programs must be acquired during the two-year renewal period. Carryover hours from a previous renewal period are not allowed.    b.    The purpose of continuing education is to ensure that the appraiser participates in a program that maintains and increases the appraiser’s skill, knowledge and competency in real estate appraising. Credit may be granted for educational offerings that are consistent with the purpose of continuing education. A minimum of 21 of the required 28 credit hours must involve courses that address one or more of the subject areas listed in subrule 11.4(2).    c.    Appraisers must successfully complete the seven-hour National USPAP Update Course, or its equivalent, each two-year renewal cycle. Equivalency shall be determined through the AQB Course Approval Program or by an alternate method established by the AQB. USPAP continuing education credit shall be awarded only when the class is instructed by an AQB-certified instructor(s) and when the class is instructed by at least one state-certified residential or state-certified general appraiser. Individuals who are credentialed in more than one jurisdiction shall not have to take more than one seven-hour National USPAP Update Course within a two-calendar-year period for the purposes of meeting AQB criteria.    d.    With the exception of continuing education obtained during the 30-day grace period authorized by and subject to and in accordance with 193F—subrule 9.4(2), all continuing education claimed on a biennial renewal must have been acquired during the renewal period. In addition, all continuing education claimed on a biennial renewal must have been actually taken and completed prior to the renewal application being submitted to the board.

        ITEM 23.    Amend subrule 11.2(8) as follows:    11.2(8)   An applicant may claim continuing education credits earned in a statethat have been approved by another jurisdiction that has a continuing education requirement for renewal of a real estate appraisal certificate if theapplicable program iswas approved by theother jurisdiction’s appraisal certification board of that stateregulatory body or the Appraiser Qualifications BoardAQB for continuing education purposesat the time the applicant completed the course. The burden of proof is on the applicant to demonstrate that a claimed course was approved by either the other jurisdiction or the AQB for continuing education purposes at the time the applicant completed the course. All other programs must be approved upon application to the board pursuant to rules 193F—11.4(272C,543D), 193F—11.5(272C,543D) and 193F—11.6(272C,543D).

        ITEM 24.    Amend subrule 11.4(2) as follows:    11.4(2)   Continuing education programs dealing with the following subject areas that are integrally related to appraisal topicsand that will generally be acceptableinclude, but are not limited to:    a.    Ad valorem taxation;    b.    Agriculture production and economics;    c.    Agronomy/soil;    d.    Approaches to value;     e.    Arbitrations, dispute resolution;    f.    Courses related to the practice of real estate appraisal or consulting;    g.    Construction cost or development cost estimating;    h.    Ethics and standards of professional practice, USPAP;    i.    Land use planning or zoning;    j.    Management, leasing, time sharing;    k.    Property development, partial interests;    l.    Real estate appraisal law and rules;    m.    Real estate appraisal (valuations/evaluations);    n.    Real estate law, easements, and legal interests;    o.    Real estate litigation, damages, condemnation;    p.    Real estate financing and investment;    q.    Real estate appraisal-related computer applications;    r.    Real estate securities and syndication;    s.    Developing opinions of real property value in appraisals that also include personal property or business value, or both;    t.    Seller concessions and impact on value; and    u.    Energy efficient items and “green building” appraisals.; and    v.    Real estate appraisal technology (e.g., drones).

        ITEM 25.    Amend subrule 11.4(3) as follows:    11.4(3)   The following programs will not be acceptable:    a.    Sales promotion or other meetings held in conjunction with the appraiser’s general business;    b.    Time devoted to breakfast, lunch or dinner;    c.    A program certified by the use of a challenge examination. The required number of hours must be completed to receive credit hours;    d.    Meetings that are a normal part of the in-house staff or employee training;    e.    d.    Programs that do not provide at least two credit hours.

        ITEM 26.    Amend rule 193F—12.1(543D) as follows:

    193F—12.1(543D) Required fees.  The following fee schedule applies to certified general, certified residential and associate appraisers.Initial examination application fee $100$150Examination fee (and reexamination fee) $145Biennial registration fee for active status(initial, reciprocal, renewal):    Certified general real property appraiser> one year$390$200    Certified residential real property appraiser$390    Certified real property appraiser < one year$100    Associate real property appraiser> one year$250$200    Associate real property appraiser < one year$100Biennial registration fee for inactive status(initial, reciprocal, renewal):    Certified general real property appraiser$130$100    Certified residential real property appraiser$130    Associate real property appraiser$50Temporary practice permit fee (each request) $150$100Reciprocal application fee (one time only) $50Reciprocal registration fee (biennial) $390Fee to reinstate a lapsed license(lapsed to active status)$150 (plus the registration fee)Fee to reinstatereactivate an inactive license to active status(inactive to active status)$50(plus the registration fee)Reissuance or replacement of a lost, destroyed, or stolen certificate or registration$50Formal wall certificate$25Work product review fees:    Original submission, certified residential$300    Original submission, certified general$650    Additional residential reports as requested by the board$150 per report    Additional nonresidential reports as requested by the board$250 per report    Voluntary submission of residential reports for review$150 per report    Voluntary submission of nonresidential reports for review$250 per reportCourse application fee (non-AQB-approved courses and secondary providers)$50Pre-/post-course application fee$25Background check$51ASC National Registry fee > one year, separate from registration fee$80ASC National Registry fee < one year, separate from registration fee$40Fee to add supervisory appraiser$25Fee to add course instructor$10Waiver to administrative rules$25Late renewal fee (associate, certified)$50

        ITEM 27.    Amend rule 193F—12.2(543D) as follows:

    193F—12.2(543D) Prorating of registration fees.  An applicant applying for initialor reciprocal registration or certification within 12 months from the applicant’s required renewal date, pursuant torule 193F—9.1(543D), shall pay half the required fee. An applicant applying for initialor reciprocal registration or certification more than 12 months from the applicant’s required renewal date shall pay the full registration fee.An applicant applying to reinstate or reactivate a lapsed registration or certification within 12 months from the applicant’s required renewal date, pursuant to rule 193F—9.1(543D), shall pay half the required renewal fee plus the applicable reactivation or reinstatement fee. An applicant applying to reinstate or reactivate a lapsed registration or certification more than 12 months from the applicant’s required renewal date shall pay the full renewal fee plus the applicable reactivation or reinstatement fee.

        ITEM 28.    Amend rule 193F—15.2(543D) as follows:

    193F—15.2(543D) Supervisory appraiser responsibilities.  Supervisory appraisers shall:
    1. Ensure that the information presented in the appraisal report is accurate and dependable in order to provide a valid and credible report.
    2. Adequately supervise an associate in the data-gathering process to ensure that the associate is correctly and properly collecting pertinent and factual data for analysis.
    3. Ensure that the associate is knowledgeable about the various sources from which to gather data and that the data collected is reliable. The associate should be exposed to any sources of research that would be considered by one’s peers in the marketplace including cost manuals, multiple listing services, public records and Internet study.
    4. Teach the associate to reason independently and formulate reasonable conclusions based upon the analysis of the information gathered.
    5. Teach the basic routine of the appraisal process including a consistent and regular pattern of data gathering, analysis, and report writing.
    6. Review and critique appraisal reports for accuracy, ease of reading, understanding and purpose, and ensure that all addenda are both relevant and pertinent.
    7. Ensure that factual data is reliable and that analysis is both supported and documented. All necessary certification and limiting conditions should be up to date and applicable to the assignment.
    8. Expose an associate to as many different property types, report formats and value ranges as possible with the understanding that each time a new or unique assignment is introduced, there is a responsibility to instruct and educate the associate to ensure competency.
    9. Inspect each appraised property with the associate until the supervisor determines the associate is competent, in accordance with the COMPETENCY RULE of USPAP for the property type and geographic location.
    10. Bring the associate appraiser to a professional level that enables the associate to demonstrate competency independently.
    11. Notify the board within ten calendar days after the supervisor ceases supervising an associate appraiser. The notice must include the name of the associate appraiser and the date the supervision ceased.

        ITEM 29.    Amend subrule 17.2(4) as follows:    17.2(4) Review or appeal of contested case decision.      a.    Notwithstanding anything in these rules to the contrary, allAll board decisions in a contested case following hearing are proposed decisions and shall be provided to the superintendent when issued.If a timely review is initiated or a timely appeal is taken, the effectiveness of such final board action shall be delayed during the pendency of such review or appeal.    b.    All board decisions in a contested case resolved by consent are final decisions, shall be provided to the superintendent when issued, and are subject to the review procedures set forth in subrule 17.2(3).    c.    Any aggrieved party may appeal a proposed decision to the superintendent within 20 days after issuance of the proposed decision.     d.    When a proposed decision is or may be anticompetitive, the board (regardless of whether the proposed decision is in favor of the state) may request review of the proposed decision.    e.    The superintendent may initiate a review of the proposed decision on the superintendent’s own motion at any time within 20 days following issuance of such decision.    f.    A notice of appeal or request for review must be signed by the appealing party or a representative of that party and contain a certificate of service. The notice shall specify:    (1)   The party or parties initiating the appeal or requesting review;    (2)   The proposed decision or order which is being appealed or for which review is requested;    (3)   The specific findings or conclusions to which exception is taken and any other exceptions to the decision or order;    (4)   The relief sought; and     (5)   The grounds for such relief.    g.    A notice of superintendent’s review shall identify the superintendent’s concerns with sufficient detail from which the board or a party can respond.    h.    A party may request the taking of additional evidence only by establishing that the evidence is material, that good cause existed for the failure to present the evidence at the hearing, and that the party has not waived the right to present the evidence. A written request to present additional evidence must be filed with the notice of appeal or, by a nonappealing party, within 14 days of service of the notice of appeal. The superintendent may preside over the taking of additional evidence or may remand a case to the board for further hearing.    i.    The superintendent shall issue a schedule for consideration of the review or appeal.    j.    Unless otherwise ordered, within 20 days of the notice of appeal, request for review, or order for review, the board and each appealing party may file briefs. Within 20 days thereafter, the board or any party may file a responsive brief. Briefs shall cite any applicable legal authority and specify relevant portions of the record in that proceeding. Written requests to present oral argument shall be filed with the briefs. The superintendent may resolve the appeal or review on the briefs or provide an opportunity for oral argument. The superintendent may shorten or extend the briefing period as appropriate.    k.    The record on appeal or review shall be the entire record made at hearing.    l.    The superintendent shall issue a written decision as provided in subrule 17.1(4).    [Filed 9/28/20, effective 11/25/20][Published 10/21/20]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/21/20.
    ARC 5238CVolunteer Service, Iowa Commission on[817]Adopted and Filed

    Rule making related to contact information and meeting minutes

        The Iowa Commission on Volunteer Service hereby amends Chapter 1, “Organization and Operation,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code chapter 15H.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 15H.Purpose and Summary    These amendments update the contact information for the Commission and the location of the minutes of the Commission meetings.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 15, 2020, as ARC 5086C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commission on September 22, 2020.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on November 25, 2020.    The following rule-making actions are adopted:

        ITEM 1.    Amend subrule 1.2(1) as follows:    1.2(1) Location.  The commission is located at 200 East Grand, Des Moines, Iowa 503091963 Bell Avenue, Suite 200, Des Moines, Iowa 50315; telephone (515)242-47991-800-308-5987. Office hours are 8 a.m. to 4:30 p.m., Monday to Friday. Offices are closed on Saturdays and Sundays and on official state holidays designated in accordance with state law.

        ITEM 2.    Amend subrule 1.2(4) as follows:    1.2(4) Minutes.  The minutes of all commission meetings shall be recorded and kept by the administrative assistant in the commission office.    [Filed 10/1/20, effective 11/25/20][Published 10/21/20]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/21/20.
    ARC 5239CVolunteer Service, Iowa Commission on[817]Adopted and Filed

    Rule making related to mentor/mentee texting program

        The Iowa Commission on Volunteer Service hereby amends Chapter 13, “Future Ready Iowa Volunteer Mentor Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code chapter 15H.10.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 15H.10.Purpose and Summary    These amendments incorporate and clarify inclusion of the texting program and allow for simplified enrollment in the program by students in rule 817—13.4(15H) and subrule 13.5(1).Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 15, 2020, as ARC 5088C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commission on September 22, 2020.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on November 25, 2020.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 817—13.4(15H) as follows:

    817—13.4(15H) Mentor/mentee agreement.  All volunteer mentors and student menteesmatched with a volunteer mentor must complete and sign a written agreement issued by the commission as part of the program enrollment process.This does not include students receiving texting services only. Agreements will include expectations on regular communication, appropriate conduct, utilization of the online platform and participation in any training or resources offered to improve the efficacy of the mentor-mentee relationship. Failure by either party to adhere to the agreement may result in dismissal from the program.

        ITEM 2.    Amend subrule 13.5(1) as follows:    13.5(1) Mentor request process.  Students may request a volunteer mentor through the commission’s website or partner agencies, including through referrals from high schools and eligible institutions. Eligible institutions must collaborate in the facilitation of this subrule by providing information on the mentor request process to all students who meet the criteria of 2018 Iowa Acts, chapter 1067, sections 12 and 13. The Iowa college aid commission may enroll eligible students into the texting services whenever possible to facilitate overall student success and communication about career mentoring opportunities. Students may opt to not participate in the program.    [Filed 10/1/20, effective 11/25/20][Published 10/21/20]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/21/20.
    ARC 5240CVolunteer Service, Iowa Commission on[817]Adopted and Filed

    Rule making related to Iowa national service corps program

        The Iowa Commission on Volunteer Service hereby adopts new Chapter 14, “Iowa National Service Corps Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 15H.9.State or Federal Law Implemented    This rule making implements, in whole or in part, 2018 Iowa Acts, House File 2420.Purpose and Summary    This rule making implements Iowa Code section 15H.9 regarding the National Service Corps rules. The Iowa National Service Corps Program provides a process for the creation of national service programs so that more Iowans can serve their country. These rules outline the process to apply for and receive approval as an Iowa National Service Corps program.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 29, 2020, as ARC 5120C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commission on September 22, 2020.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on November 25, 2020.    The following rule-making action is adopted:

        ITEM 1.    Adopt the following new 817—Chapter 14: CHAPTER 14IOWA NATIONAL SERVICE CORPS PROGRAM

    817—14.1(15H) Purpose and program description.  The Iowa commission on volunteer service certifies national service programs that meet the standards established in Iowa Code section 15H.9. The Iowa commission on volunteer service also provides training, resources, and support services to Iowa national service corps programs. In partnership with approved programs, the Iowa commission on volunteer service strives to provide opportunities for state agencies, political subdivisions of the state, and private, nonprofit organizations to create national service programs outside of existing state and federal programs to meet state and local needs and to provide more opportunities for Iowans to serve their state and country and foster a cultural expectation of service in Iowa through a unified service corps.

    817—14.2(15H) Definitions.  For purposes of this chapter, unless the context otherwise requires:        "Approval" means the process for identifying service programs as meeting the criteria to become eligible for Iowa national service corps program benefits and technical assistance.        "Commission" means the Iowa commission on volunteer service.        "Host site" means the physical location where an Iowa national service corps member is based for the period of service in the Iowa national service corps program. The sponsoring organization may be the host site.        "Iowa national service corps approval application" means the application used to determine an applicant’s designation as an approved Iowa national service program. The application contains information that can be used to determine an applicant’s designation as an approved Iowa national service corps program.        "Iowa national service corps member" "corps member" means a participant in an approved Iowa national service corps program.        "Iowa national service corps program" "national service corps program" means a program that provides meaningful service opportunities to individuals, provided that the program meets the following requirements:
    1. The program is approved via the automatic approval, reciprocal approval, or regular approval process.
    2. The program is located in this state or has sites operating in the state.
    3. The program is operated by one of the following entities: a state agency, a political subdivision of the state, or a private, nonprofit organization (state agencies or political subdivisions of the state may establish Iowa national service corps programs or contract with a third-party vendor to assist the agency or political subdivision in establishing such programs).
    4. The program is developed to meet state and local needs and to provide more opportunities for Iowans to serve their state and country and foster a cultural expectation of service in Iowa through a unified service corps.
            "Sponsoring organization" means the entity operating the Iowa national service corps program, which is responsible for submitting the Iowa national service corps approval application and meeting requirements for approved programs.

    817—14.3(15H) Approval.  Before a national service corps program can access the benefits of the Iowa national service corps, it must be approved by the commission.    14.3(1) Automatic approval.  Existing programs and service positions in the following categories are automatically approved: AmeriCorps programs in Iowa created pursuant to 42 U.S.C. §12501, Senior Corps and AmeriCorps VISTA in Iowa created pursuant to 42 U.S.C. §4950 et seq., the Iowa summer youth corps program created pursuant to Iowa Code section 15H.5, the Iowa green corps program created pursuant to Iowa Code section 15H.6, the Iowa reading corps program created pursuant to Iowa Code section 15H.7, the RefugeeRISE AmeriCorps program created pursuant to Iowa Code section 15H.8, and the Iowa conservation corps created pursuant to Iowa Code section 84A.7.    14.3(2) Reciprocal approval.  Existing programs and service positions recognized by another service year certifying body may request reciprocal approval by following the process outlined on the commission’s website.    14.3(3) Regular approval.  All other entities seeking approval for their service programs or positions should follow the regular approval process by completing an Iowa national service corps approval application.    a.    Applications for national service corps program approval are available from the Iowa commission on volunteer service’s website.     b.    A review team designated by the commission shall review applications from national service corps programs to determine whether the national service corps programs or positions are eligible to participate in the program.    c.    Applicants shall receive written notification of the commission’s decision. Written notification will also be provided regarding the due dates and process for submission of program reports.    d.    Full approval means the commission has determined that the national service corps program has met the established standards.    e.    Conditional approval means the commission has temporarily approved the national service corps program before the program becomes fully operational or before the program has met the standards for full approval.    f.    Any program that is denied approval or decertified for any reason bears the burden of proving that all deficiencies previously cited have been corrected. Corrections shall be in accordance with requirements of the Iowa commission on volunteer service.    14.3(4) Documentation.  Additional documentation may be required to verify elements of the application. Documentation verifying a program’s compliance with approval standards may be required by the commission during the approval process. Each program shall provide relevant information upon the commission’s request in order to be considered for approval. National service corps programs may be requested to provide documentation of continued eligibility at any time during and after approval.    14.3(5) Duration of approval.      a.    Automatic approval will be in effect as long as the program is recognized as one of the automatically approved programs listed in subrule 14.3(1).    b.    Reciprocal approval will be in effect as long as the program is recognized by the other certifying body.    c.    Regular approval.    (1)   Full approval may be in effect for three years, as long as the program continues to meet the approval standards.    (2)   Conditional approval may be in effect for six months and may be used for the purpose of applying for program benefits and technical assistance available to approved national service corps programs. The commission may grant an extension of conditional approval if it is determined that significant progress is being made toward meeting the requirements for full approval. It shall be the responsibility of the national service corps program to notify the commission when the program believes it has met the full approval criteria.    (3)   A national service corps program may renew its approval. Programs whose full approval has expired should reapply using the application form available on the commission’s website.

    817—14.4(15H) Approval standards.  The commission has established standards to certify national service corps programs. These standards are based on a combination of factors established by the Corporation for National and Community Service, the Service Year Alliance, and the existing rules for the Iowa summer youth corps program created pursuant to Iowa Code section 15H.5, the Iowa green corps program created pursuant to Iowa Code section 15H.6, the Iowa reading corps program created pursuant to Iowa Code section 15H.7, the RefugeeRISE AmeriCorps program created pursuant to Iowa Code section 15H.8, and the Iowa conservation corps created pursuant to Iowa Code section 84A.7.     14.4(1) Program design.  The national service corps program should have a program design defining the impact the program will have on the community, sponsor organization, and service corps members. The program design must identify how the national service program will address a state or local need and how the program will promote a sense of civic engagement in program participants.    14.4(2) Corps member position description.  The national service corps program shall have written descriptions/plans for high-quality service activities. National service corps member activities must be clearly delineated from those of employees of the sponsoring organization and host site.    14.4(3) Orientation.  The national service corps program shall have an orientation for national service corps members, including clarification on how the member service activities differ from employee responsibilities.    14.4(4) Eligibility.  The national service corps program shall have eligibility screening for national service corps members, commensurate to the service activities to be conducted and the population to be served. National service corps programs shall set and meet minimum requirements for checking the criminal history of national service corps member applicants and considering the following results when selecting corps members:    a.    Criminal background and sex offender registry checks for corps members over the age of 18.    b.    Reference checks for corps members under the age of 18.    14.4(5) Training and professional development.  The national service corps program shall provide ongoing training and professional development to the national service corps members.     14.4(6) Member supervision.  The national service corps program shall demonstrate the ability to effectively supervise the national service corps members.    14.4(7) Certification of member service.  Upon successful completion of the term of service by the Iowa national service corps member, the sponsor organization shall issue a certification of service letter to the corps member. The letter should include, at a minimum, the name of the corps member, whether the corps member served in a full-time or less than full-time capacity, the dates of service (if the corps member served in a full-time capacity) or the hours of service (if the corps member served in a less than full-time capacity), the name of the sponsor organization, and a contact person at the sponsor organization.    14.4(8) Compliance process.  The national service corps program shall have a process for ensuring compliance with program standards.    14.4(9) Program impact.  The national service corps program should have a method for tracking progress towards the established goals of the program.    14.4(10) Organizational capacity.  The sponsoring organization shall have an established history and demonstrate the staff capacity and experience to effectively oversee the national service corps program.     14.4(11) Financial capacity, cost effectiveness and budget adequacy.  The sponsoring organization should demonstrate the financial capacity to administer the national service corps program, including any living allowances or stipends provided to national service corps members. The national service corps program budget should be sufficient to provide the national service corps member(s) with the tools needed to be effective in the assigned tasks.    14.4(12) Risk management.  The national service corps program should practice appropriate risk management strategies for the approved national service corps positions.

    817—14.5(15H) Application process.      14.5(1) Sponsor organization approval process.  Eligible organizations may request approval using the application materials available through the commission’s website.    14.5(2) Iowa national service corps member process.  Prospective national service corps members should apply directly to an approved Iowa national service corps program. Prospective corps members must meet the approved program’s eligibility requirements and agree to the program standards.

    817—14.6(15H) Special consideration.  In addition to the standards set forth in rule 817—14.4(15H), the commission may consider other factors to determine approval status to ensure that only high-quality national service corps programs are approved.    14.6(1) On-site audits.  At the discretion of the commission, on-site audits may be conducted to determine approval.    14.6(2) Reporting.  Programs that fail to submit required documentation are at risk of decertification and may be deemed ineligible to receive the benefits of approval, including complimentary training registration and inclusion on the Iowa commission on volunteer service website.

    817—14.7(15H) Decertification.  A national service corps program shall be decertified by the commission if it is determined that the program no longer meets the approval standards identified herein for a high-quality national service corps program, if program personnel cannot be contacted by the commission, if the program fails to provide documents requested by the commission or if the program fails to complete any required Iowa national service corps annual report.    14.7(1)   Written notice of the intent to revoke approval shall be provided to a national service corps program when the commission determines that there is reasonable cause to believe the program does not comply with these rules. Notice shall be sent at least 30 days before decertification becomes effective.    14.7(2)   Decertification procedures may be initiated by the commission, by the program, or following investigation of a complaint filed by the general public. A request for an investigation from the public must be in written form and shall specify the reason(s) why the approved national service corps program no longer meets the approval standards. Supporting documentation may be attached to the request. The identity of the complainant is confidential pursuant to Iowa Code section 22.7(18).    14.7(3)   Benefits and designation as an approved national service corps program will continue until the final decision is issued by the commission.

    817—14.8(15H) Fraudulent practices in connection with approved national service corps programs.  A person is considered to be guilty of a fraudulent practice if the person knowingly falsifies information on an application for the purpose of obtaining approval and any other potential benefits, including those offered through the Iowa commission on volunteer service or other state contracts and grants available only to approved national service corps programs. The commission may investigate allegations or complaints of fraudulent practices and will take action to decertify a national service corps program upon concluding that a violation has occurred. A violation under this rule is grounds for decertification of the national service corps program responsible for the violation. Decertification shall be in addition to any penalty otherwise authorized.

    817—14.9(15H) Appeal procedure.  Commission decisions regarding approved national service corps programs may be contested by an adversely affected party as detailed in 817—Chapter 5.

    817—14.10(15H) Intergovernmental agreements.  Approved Iowa national service corps programs are considered governmental entities in accordance with rule 11—118.4(8A). As such, state agencies or political subdivisions of the state may enter into an agreement for services with any approved Iowa national service corps program directly or through an agreement with the commission and are not required to use competitive selection.

    817—14.11(15H) Program administration.  State agencies or political subdivisions of the state may establish Iowa national service corps programs or contract with a third-party vendor to assist the agency or political subdivision in establishing such programs. In the case that a vendor is utilized, the program is still considered a governmental entity for the purposes of intergovernmental agreements pursuant to rule 11—118.4(8A).

    817—14.12(15H) Funding priority.  State agencies or political subdivisions of the state may give priority to grants or projects funded that utilize Iowa national service corps programs.

    817—14.13(15H) Hiring preferences.      14.13(1)   State agencies or political subdivisions of the state may establish hiring preferences for any Iowa national service corps or AmeriCorps participant who has successfully completed a year of full-time service or 1,700 hours over a period extending beyond a year.    14.13(2)   Iowa national service corps members may request a letter verifying their eligibility for a hiring preference from the program in which they served or agencies may independently verify upon application.

    817—14.14(15H) Participant employment status.  A person participating in the Iowa national service corps program is not an employee of the organization in which the person is enrolled regardless of whether a stipend is provided; shall be exempt from the merit system requirements of Iowa Code chapter 8A, subchapter IV; and is not eligible to receive unemployment compensation benefits under Iowa Code chapter 96 upon completion of service.       These rules are intended to implement Iowa Code chapter 15H.
        [Filed 10/2/20, effective 11/25/20][Published 10/21/20]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/21/20.

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