Bulletin 09-08-2021

Front matter not included
ARC 5902CEnvironmental Protection Commission[567]Notice of Intended Action

Proposing rule making related to waste tire management and providing an opportunity for public comment

    The Environmental Protection Commission (Commission) hereby proposes to amend Chapter 116, “Registration of Waste Tire Haulers,” and Chapter 117, “Waste Tire Management,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 455D.11(7) and 455D.11I(7).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 455D.11A(5) and 455D.11I(6) and 2021 Iowa Acts, House File 560.Purpose and Summary    Chapters 116 and 117 collectively establish standards for the proper management of waste tires. Specifically, the rules set forth requirements for the disposal, collection, storage, processing, and beneficial use of waste tires. They also require permits, require the registration of waste tire haulers, and dictate certain industry fees.    The purpose of this proposed rule making is to align Chapters 116 and 117 with their recently amended authorizing statutes. Iowa Code sections 455D.11A(5) and 455D.11I(6) as amended by 2021 Iowa Acts, House File 560, made several substantive changes to the waste tire program. The following amendments are proposed, consistent with the legislation:

  • Remove pre-1998 financial assurance requirements;
  • Increase the amount of financial assurance from $.35 to $2.50 for each tire stored by a waste tire collector and from $.85 to $2.50 for each tire held for more than three days by a waste tire processor; and
  • Change the bond amount required for waste tire haulers from $10,000 to $150,000.
  • Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. A copy of the fiscal impact statement is available from the Department of Natural Resources (Department) upon request.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request. 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, pursuant to 561—Chapter 10.Public Comment    Any interested person may submit 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 September 28, 2021. Comments should be directed to: Mel Pins Iowa Department of Natural Resources Wallace State Office Building 502 East Ninth Street Des Moines, Iowa 50319 Email: mel.pins@dnr.iowa.govPublic Hearing    A public hearing at which persons may present their views orally will be held by conference call as follows. Persons who wish to attend the conference call should contact Mel Pins via email. A conference call number will be provided prior to the hearing. Persons who wish to make oral comments at the conference call public hearing must submit a request to Mel Pins prior to the hearing to facilitate an orderly hearing. September 28, 2021 9 to 10 a.m. Via video/conference call     Persons who wish to make oral comments at the public hearing will 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 hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Department 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.    Amend subrule 116.6(1) as follows:    116.6(1)   An application for registration or renewal shall not be approved by the department until the waste tire hauler has provided a bond in the sum of a minimum of $10,000$150,000 on a form prescribed by the commissioner of insurance.

        ITEM 2.    Amend subrule 117.7(2) as follows:    117.7(2) Financial assurance amounts required.      a.    Waste tire stockpile sites shall have financial assurance coverage equal to 35 cents$2.50 per waste tire collected and stored prior to July 1, 1998, and 85 cents per waste tire collected and stored on or after July 1, 1998.    b.    If the owner or operator of a waste tire stockpile does not have adequate records to determine the time frame within which waste tire inventories were initially collected, then financial assurance amounts shall be determined by allocating the number of tires stored proportionally between the time period the facility has operated before and after July 1, 1998.    c.    b.    Waste tire processing sites shall have financial assurance coverage equal to 85 cents$2.50 per waste tire stored above the permitted three-day processing capacity, in accordance with 117.6(3)“b.”
    ARC 5888CEthics and Campaign Disclosure Board, Iowa[351]Notice of Intended Action

    Proposing rule making related to sales or leases by regulatory agency officials or employees and providing an opportunity for public comment

        The Ethics and Campaign Disclosure Board hereby proposes to amend Chapter 1, “Iowa Ethics and Campaign Disclosure Board,” and Chapter 6, “Executive Branch Ethics,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 68B.32A.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 68B.4 as amended by 2021 Iowa Acts, House File 491.Purpose and Summary    These proposed amendments implement 2021 Iowa Acts, House File 491, prohibiting state regulatory agency officials and employees from selling or leasing real estate to persons subject to the agency’s regulatory authority unless certain conditions are met.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 September 28, 2021. Comments should be directed to: Michael 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.gov Public Hearing     A public hearing at which persons may present their views orally or in writing will be held as follows: September 29, 2021 2 to 2:15 p.m. Zoom link: us02web.zoom.us/j/82254559463?pwd=cmd EZU9LY1ZLaFhwbFkzUkRXNGNydz09 Meeting ID: 822 5455 9463 Passcode: 174520 Phone: +1 312.626.6799 US (Chicago) (enter meeting ID and passcode)    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.    Amend subrule 1.4(9) as follows:    1.4(9)   As the board is defined as a “regulatory agency” under Iowa Code section 68B.2(23), members and staff of the board shall comply with the requirements of Iowa Code section 68B.4 and rule 351—6.11(68B) prior to selling or leasing goods, real estate, or services to individuals, associations, or corporations subject to the board’s regulatory authority.

        ITEM 2.    Amend 351—Chapter 6, Division III heading, as follows:SALES OR LEASES OF GOODS, REAL ESTATE, OR SERVICES

        ITEM 3.    Amend rule 351—6.11(68B), introductory paragraph, as follows:

    351—6.11(68B) Sales or leases by regulatory agency officials or employees.  An official or employee of a regulatory agency shall not directly or indirectly sell or lease any goods, real estate, or services to individuals, associations, or corporations subject to the regulatory authority of the official’s or employee’s agency except as provided by Iowa Code section 68B.4 and this rule. This prohibition does not apply to sales or leases that are part of the official’s or employee’s state duties.

        ITEM 4.    Rescind subrule 6.11(1).

        ITEM 5.    Renumber subrules 6.11(2) to 6.11(8) as 6.11(1) to 6.11(7).

        ITEM 6.    Amend renumbered subrule 6.11(2) as follows:    6.11(2) Request for consent.  An official’s or employee’s request for an agency’s consent to the sale or lease of goods, real estate, or services shall comply with all of the following:    a.    The request shall be in writing and shall be filed with the official’s or employee’s agency at least 20 calendar days in advance of the proposed sale or lease of any goods, real estate, or services.    b.    The request shall include all of the following:    (1)   The name of the individual, association, or corporation to which the goods, real estate, or services are to be sold or leased;    (2)   The relationship of the individual, association, or corporation to the agency;     (3)   A description of the goods, real estate, or services;    (4)   The date or dates that the goods, real estate, or services will be delivered; and    (5)   A statement by the official or employee explaining how the proposed sale or lease of the goods, real estate, or services will not violate the provisions of Iowa Code section 68B.4 or create a conflict of interest under Iowa Code section 68B.2A.

        ITEM 7.    Amend renumbered subrule 6.11(3) as follows:    6.11(3) Agency guidelines.  Iowa Code section 68B.4 and the guidelines in this subrule shall be the sole legal authorities to be used by an agency in considering the granting of consent. In determining whether to grant consent, the agency shall take the following guidelines into consideration:    a.    The official or employee seeking consent is not the person with the authority to determine whether consent should be granted.    b.    The duties and functions performed by the official or employee seeking consent are not related to the regulatory authority of the agency over the individual, association, or corporation to which the goods, real estate, or services will be sold or leased.    c.    The selling or leasing of the goods, real estate, or services does not affect the official’s or employee’s duties or functions at the agency.    d.    The selling or leasing of the goods, real estate, or services will not cause the official or employee to advocate on behalf of the individual, association, or corporation to the agency.    e.    The selling or leasing of the goods, real estate, or services does not cause the official or employee to sell or lease goods, real estate, or services to the agency on behalf of the individual, association, or corporation.    f.    The selling or leasing of the goods, real estate, or services will not result in a conflict of interest as provided in Iowa Code section 68B.2A.    g.    The request complies with the procedural requirements of subrule 6.11(3)6.11(2).    h.    A regulatory agency may grant blanket consent for sales or leases to classes of individuals, associations, or persons when such blanket consent is consistent with subrule 6.11(4)6.11(3) and the granting of single consents is impractical or impossible to determine.These guidelines shall be publicized and made known to all personnel throughout the agency.
    ARC 5904CHuman Services Department[441]Notice of Intended Action

    Proposing rule making related to medical assistance eligibility and payment and providing an opportunity for public comment

        The Human Services Department hereby proposes to amend Chapter 75, “Conditions of Eligibility,” and Chapter 80, “Procedure and Method of Payment,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 249A.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 249A.3.Purpose and Summary    The Department is aligning administrative rules with current policy and federal regulations in several areas. The proposed rules:

  • Remove exemptions from third-party liability for prenatal services based on the federal Bipartisan Budget Act of 2018.
  • Update the minimum community spouse resource allowance to allow for the federal amount and link to the federal references so the amounts do not need to be updated annually.
  • Add language to better describe the income considered in determining client participation.
  • 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 September 28, 2021. 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.us Public 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 75.5(3)"d" as follows:    d.    Method of attribution.The resources attributed to the institutionalized spouse shall be one-half of the documented resources of both the institutionalized spouse and the community spouse as of the first moment of the first day of the month of the spouse’s first entry to a medical facility. However, if one-half of the resources is less than $24,000the minimum set by the federal spousal impoverishment provisions, thenthe greater of $24,000or the federally established minimum shall be protected for the community spouse. Also, when one-half of the resources attributed to the community spouse exceeds the maximum amount allowed as a community spouse resource allowance by Section 1924(f)(2)(A)(i) of the Social Security Act (42 U.S.C. § 1396r-5(f)(2)(A)(i))under the federal spousal impoverishment provisions, the amount over the maximum shall be attributed to the institutionalized spouse. (Theminimum and maximum limit islimits are indexed annually according to the consumer price index.)The federal spousal impoverishment provisions are defined at Section 1924(f)(2)(A)(i) of the Social Security Act (42 U.S.C. §1396r-5(f)(2)(A)(i)).If the institutionalized spouse has transferred resources to the community spouse under a court order for the support of the community spouse, the amount transferred shall be the amount attributed to the community spouse if it exceeds the specified limits above.

        ITEM 2.    Amend subrule 75.16(1), introductory paragraph, as follows:    75.16(1) Income considered in determining client participation.  The department determines the amount of client participation based on the client’s total monthly income,. Income is determined pursuant to the supplemental security income program under Title XVI of the Social Security Act (42 U.S.C. §396r-5(f)(2)(A)(i)) with the following exceptions:

        ITEM 3.    Amend rule 441—75.25(249A), definition of “Pay and chase,” as follows:        "Pay and chase" shall mean that the state pays the total amount allowed under the agency’s payment schedule and then seeks reimbursement from the liable third party. The pay and chase provision applies to Medicaid claims for prenatal care, for preventive pediatric services, and for all services provided to a person for whom there is court-ordered medical support.

        ITEM 4.    Amend paragraph 80.3(2)"a" as follows:    a.    The department pays the total amount allowed under the Medicaid payment schedule and then seeks reimbursement from the liable third party. This “pay and chase” provision applies to claims for:    (1)   Prenatal care,    (2)   (1)   Preventive pediatric services, and    (3)   (2)   All services provided to a person for whom there is court-ordered medical support.
    ARC 5903CHuman Services Department[441]Notice of Intended Action

    Proposing rule making related to provider rates and fee schedules 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,” Chapter 79, “Other Policies Relating to Providers of Medical and Remedial Care,” and Chapter 83, “Medicaid Waiver Services,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 249A.4 and 2021 Iowa Acts, House File 891, section 32.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 249A.4.Purpose and Summary    As part of the 2021 Legislative Session, 2021 Iowa Acts, House File 891, appropriates funds to increase specific provider reimbursement rates. The proposed amendments to Chapter 78, 79 and 83 do the following:

  • Increase the reimbursement rates and upper rate limits for providers of Home- and Community-Based Service (HCBS) Waiver and HCBS Habilitation services beginning July 1, 2021, by 3.55 percent over the rates in effect on June 30, 2021.
  • Increase the monthly caps on the total monthly cost of HCBS waiver services and Habilitation.
  • Increase the monthly cap on HCBS Supported Employment and the annual cap on Intellectual Disability Waiver Respite services.
  • Increase annual or lifetime limitations for home and vehicle modifications and specialized medical equipment.
  • Increase air ambulance rates to $550 beginning July 1, 2021.
  •     In addition, the proposed amendments to Chapter 79:
  • Add the inflation factor limitation.
  • Implement the fee schedule rate in effect July 1, 2021, for air ambulance providers. 2021 Iowa Acts, House File 891, appropriates funds to increase air ambulance rates to $550 per one-way trip.
  • Implement the home health agency low utilization payment adjustment (LUPA) rate increase. This rate is applied when there are three or fewer visits provided in a 30-day period.
  • Increase psychiatric medical institutions for children (PMIC) provider-specific fee schedule rate percentages over the rates in effect June 30, 2021. House File 891 appropriates $3.9 million to increase non-State-owned PMIC provider rates over the rates in effect June 30, 2021.
  • Fiscal Impact    The targeted HCBS and Habilitation increases were calculated assuming both the regular federal medical assistance percentages (FMAP) and COVID-increased FMAP. The Legislature opted for the COVID-increased FMAP scenario for both sets of services. These are the only adjustments where the Legislature agreed to base the increase on the COVID-increased FMAP. All other adjustments are based on the regular FMAP. The FMAP is estimated at 65.14 percent in SFY22 and 62.01 percent in SFY23. As part of the 2021 Legislative Session, 2021 Iowa Acts, House File 891, appropriates funds to increase specific provider reimbursement rates.Jobs Impact    These amendments may have a positive influence on private-sector jobs and employment opportunities in Iowa.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 September 28, 2021. Comments should be directed to: Nancy Freudenberg Iowa Department of Human Services Hoover State Office Building, Fifth Floor 1305 East Walnut Street Des Moines, Iowa 50319-0114 Email: appeals@dhs.state.ia.us Public 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).Emergency Rule Making Adopted by Reference    This proposed rule making is also published herein as an Adopted and Filed Emergency rule making (see ARC 5896C, IAB 9/8/21). The purpose of this Notice of Intended Action is to solicit public comment on that emergency rule making, whose subject matter is hereby adopted by reference.

    ARC 5895CInspections and Appeals Department[481]Notice of Intended Action

    Proposing rule making related to frequency of game nights and providing an opportunity for public comment

        The Inspections and Appeals Department hereby proposes to amend Chapter 100, “General Provisions for Social and Charitable Gambling,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 99B.2.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 311.Purpose and Summary    The proposed amendment to Chapter 100 implements 2021 Iowa Acts, House File 311. The legislation modifies the frequency of game nights conducted by licensed qualified organizations.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 481—Chapter 6. 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 September 28, 2021. Comments should be directed to: Sara Throener Iowa Department of Inspections and Appeals Lucas State Office Building 321 East 12th Street Des Moines, Iowa 50319 Email: Sara.Throener@dia.iowa.gov Public 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 rule 481—100.2(99B) as follows:

    481—100.2(99B) Licensure.  Gambling shall only occur upon receipt of a license issued by the department. The license shall be prominently displayed at the gambling location.    100.2(1) Types of gambling licenses—qualified organizations.  A qualified organization (QO), as defined in Iowa Code section 99B.1(26), may apply for the six following license types, each of which permits the activities listed. A QO with a two-year QO license may also apply for a seventh license type, a very large raffle license.License type/Activity typeTwo-year QOOne-year QO180-day QO90-day QO14-day QOBingo at a fair or festivalBingoThree occasions per week; 15 occasions per monthNoNoNoTwo occasionsOne occasion per day for length of fair or festivalGames of skill and chanceUnlimited carnival-style gamesNoNoNoUnlimited carnival-style gamesNoGame nightOne per calendar yearmonthOne per calendar yearmonthOne per calendar yearmonthOne per calendar yearmonthOne per calendar yearmonthNoVery small and small rafflesUnlimitedUnlimitedUnlimitedUnlimitedUnlimitedNoLarge rafflesOne per calendar yearEight per license period, each conducted in a different countyOne per calendar yearOne per calendar yearOne per calendar yearNoVery large rafflesOne per calendar year, requires additional very large raffle licenseOne per calendar year, requires additional very large raffle licenseNoNoNoNoElectronic rafflesOne small raffle per day; one large raffle per calendar yearNoNoNoNoNo    100.2(2) Other types of gambling licenses.  There are four other types of gambling licenses:    a.    One-year license for an amusement concession.    b.    Two-year license for social gambling in beer and liquor establishments.    c.    Two-year license for social gambling in public places.    d.    Annual license for manufacturers and distributors of bingo equipment and supplies or electronic raffle systems.    100.2(3) Political action committees ineligible.  Political action committees are not qualified organizations as defined in Iowa Code section 99B.1(26) and are not eligible for gambling licenses.
    ARC 5885CRevenue Department[701]Notice of Intended Action

    Proposing rule making related to appeals of the rejection of an assessor appointment or reappointment and providing an opportunity for public comment

        The Revenue Department hereby proposes to amend Chapter 7, “Practice and Procedure Before the Department of Revenue,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 421.14 and 441.6(3).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 441.6(3) and chapter 17A.Purpose and Summary    This proposed rule making is intended to implement and clarify procedures for appeals of the Director of Revenue’s rejection of an assessor appointment or reappointment under Iowa Code section 441.6(3). This rule making alters the existing appeal procedures to clarify that the Director of Revenue is the presiding officer in contested cases under rule 701—7.37(441). Additionally, this rule making clarifies cross-references to the Department’s rule regarding contested cases before the Department.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 701—7.28(17A). Public Comment     Any interested person may submit written or oral comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Department no later than 4:30 p.m. on September 28, 2021. Comments should be directed to: Nick Behlke Department of Revenue Hoover State Office Building P.O. Box 10457 Des Moines, Iowa 50306 Phone: 515.336.9025 Email: nick.behlke@iowa.gov Public 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 rule 701—7.37(441) as follows:

    701—7.37(441) Appeals of director’s confirmation decision regarding conference boardrejection of assessor appointment or reappointment of assessor.      7.37(1) Appeal processWritten request for appeal.  Any assessor or conference board wishing to contest the director’s rejection of the conference board’s appointment or reappointment of an assessor under 701—subrule 72.15(4) orreappointment of an assessor under 701—subrule 72.16(3) shall file an appeal, in writing, within 30 days of the director’s notice of decision. Any person who does not seek an appeal within 30 days of the director’s notice shall be precluded from challenging the director’s decision. Appeals will be governed by the procedures set forth in this rule together with the process set forth in the following rules: rule 701—7.8(17A), excluding the first sentence of the introductory paragraph of 701—7.8(17A) and excluding subrules 7.8(1) to 7.8(7); subrules 7.8(8) and 7.8(9); subrule 7.8(10), except the clerk of the hearings section will file the protest file to the division of administrative hearings within ten days; subrules 7.9(1) and 7.9(2); rule 701—7.10(17A); paragraphs 7.11(2)“d” and “e”; subrules 7.12(2) to 7.12(4); subrules 7.12(7) and 7.12(8); rule 701—7.13(17A); rule 701—7.14(17A); rule 701—7.15(17A); rule 701—7.16(17A); subrules 7.17(1) to 7.17(7); subrule 7.17(8), except paragraph 7.17(8)“b” related to costs shall not apply; additionally, Iowa Code section 421.60(4) shall not apply; subrules 7.17(9) and 7.19(10); subrules 7.17(13) and 7.17(14); rule 701—7.18(17A); rule 701—7.19(17A); rule 701—7.20(17A); rule 701—7.21(17A); and rule 701—7.22(17A).     7.37(2) Procedures.  Appeals will be governed by the procedures set forth in this rule together with the procedures set forth in the following rules:    a.    The introductory paragraph of rule 701—7.8(17A), excluding the first sentence of the introductory paragraph of rule 701—7.8(17A); and subrules 7.8(8) and 7.8(9);    b.    Subrules 7.9(1) and 7.9(2);    c.    Rule 701—7.10(17A);    d.    Paragraphs 7.11(2)“d” and “e”;    e.    Subrules 7.12(2) to 7.12(4);    f.    Rule 701—7.13(17A);    g.    Rule 701—7.14(17A);    h.    Rule 701—7.15(17A);    i.    Rule 701—7.16(17A);    j.    Subrule 7.17(1); subrules 7.17(3) through 7.17(7); subrule 7.17(8), except paragraph 7.17(8)“b” related to costs shall not apply; additionally, Iowa Code section 421.60 shall not apply; subrules 7.17(9), 7.17(10), and 7.17(14);    k.    Rule 701—7.18(17A);    l.    Rule 701—7.19(17A);    m.    Rule 701—7.20(17A);    n.    Rule 701—7.21(17A); and    o.    Rule 701—7.22(17A).    7.37(3) Presiding officer.  The director shall be the presiding officer in a contested case under this rule. The director may request that an administrative law judge assist and advise the director with any matters related to the contested case proceedings, including but not limited to ruling on any prehearing matters, presiding at the contested case hearing, and issuing orders and rulings.    7.(2) 7.37(4) Contentsof the appeal.  The appeal shall contain the following in separate numbered paragraphs:    a.    A statement of the department action giving rise to the appeal.    b.    The date of the department action giving rise to the appeal.    c.    Each error alleged to have been committed, listed as a separate paragraph. For each error listed, an explanation of the error and all relevant facts related to the error shall be provided.    d.    Reference to the particular statutes, rules, or agreement terms, if known.    e.    References to and copies of any documents or other evidence relevant to the appeal.    f.    Any other matters deemed relevant to the appeal.    g.    A statement setting forth the relief sought.    h.    The signature, mailing address, and telephone number of the person or that person’s representative.    7.(3) 7.37(5) Burden of proof.  The burden of proof is on the party challenging the director’s decision under 701—subrule 72.15(4) or 72.16(3).       This rule is intended to implement Iowa Codesection 441.6(3) and chapter 17A.
    ARC 5884CRevenue Department[701]Notice of Intended Action

    Proposing rule making related to nonresident and part-year resident credit and providing an opportunity for public comment

        The Revenue Department hereby proposes to amend Chapter 42, “Adjustments to Computed Tax and Tax Credits,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 422.68.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 422.5.Purpose and Summary    This proposed rule making relates to the Iowa individual income tax credit used to apportion a nonresident’s or part-year resident’s income among Iowa and other jurisdictions. The primary objective of the amendments is to modify the Iowa income percentage used to calculate the credit so that the percentage is computed to the nearest ten-thousandth of a percent (i.e., four digits to the right of the decimal point) for tax years beginning on or after January 1, 2022. Under the current rules, the Iowa income percentage is computed to the nearest tenth of a percent (i.e., one digit to the right of the decimal point). This change will result in more accurate credit calculations and will create more uniformity under the Iowa income tax because corporations and other business entities apportion their income using a business activity ratio that is calculated to the nearest ten-thousandth of a percent. The amendments also make a number of changes to improve clarity and readability of the rules and to update or remove outdated language or outdated year or form references.Fiscal Impact    The change to the credit calculation is expected to result in a minimal increase or decrease to General Fund revenues. The total impact is expected to be less than $100,000 each year.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 701—7.28(17A).Public Comment    Any interested person may submit written or oral comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Department no later than 4:30 p.m. on September 28, 2021. Comments should be directed to: Michael Mertens Department of Revenue Hoover State Office Building P.O. Box 10457 Des Moines, Iowa 50306 Phone: 515.587.0458 Email: michael.mertens@iowa.gov Public Hearing    If requested, a public hearing at which persons may present their views orally or in writing will be held as follows: September 29, 2021 9 to 10 a.m. Via video/conference call    Persons who wish to participate in the video/conference call should contact Michael Mertens before 4:30 p.m. on September 28, 2021, 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 the Department 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 action is proposed:

        ITEM 1.    Amend rule 701—42.5(422) as follows:

    701—42.5(422) Nonresident and part-year resident credit.  For tax years beginning on or after January 1, 1982, anAn individual who is a nonresident of Iowa for the entire tax year, or an individual who is an Iowa resident for a portion of the tax year, is allowed a credit against the individual’s Iowa income tax liability for the Iowa income tax on the portion of the individual’s income which was earned outside Iowa while the person was a nonresident of Iowa. This credit is computed on Schedule IA 126, which is included in the Iowa individual income tax booklet. The following subrules clarifyexplain how the nonresident and part-year resident credit is computed fortaxpayers who are nonresidents of Iowa and taxpayers who are part-year residents of Iowa during the tax year.    42.5(1) Nonresident/part-year resident creditCredit calculation for nonresidents of Iowa.      a.    APrior to the calculation of the nonresident credit, a nonresident of Iowa shall complete the Iowa individual return in the same way an Iowa resident completes the form by reporting the individual’s total net income, including income earned outside Iowa, on the front of the IA 1040 return form. A nonresident individual is allowed the same deduction for federal income tax and the same itemized deductions as an Iowa resident taxpayer with identical deductions for these expenditurescompute taxable income in the same manner as a full-year Iowa resident. Thus, a nonresident with a taxable income of $40,000 would have the same initial Iowa income tax liability as afull-year Iowa resident taxpayer with a taxable income of $40,000with the same taxable income before the nonresident/part-year resident credit is computed.    b.    The nonresident/part-year resident credit is computed on Schedule IA 126. The lines referred to in this subrule are from Schedule IA 126 and Form IA 1040 for the 2008 tax year. Similar lines on the schedule and form may apply for subsequent tax years. The individual’s Iowa source net income from lines 1 through 25 of the schedule is totaled on line 26 of the schedule. If the nonresident’s Iowa source net income is less than $1,000, the taxpayer is not subject to Iowa income tax and is not required to file an Iowa income tax return for the tax year. However, if the Iowa source net income amount is $1,000 or more, the Iowa source net income is then divided by the person’s all source net income on line 27 of Schedule IA 126 to determine the percentage of the Iowa net income to all source net incomeby dividing the taxpayer’s Iowa source net income by the taxpayer’s total net income.See 701—Chapter 40 to determine a nonresident’s Iowa source net income and total net income. This Iowa income percentage, which is rounded to the nearest tenth of a percent, is inserted on line 28 of the schedule, and this(e.g., 1.2 percent) for tax years beginning before January 1, 2022, and to the nearest ten-thousandth of a percent (e.g., 1.2345 percent) for tax years beginning on or after January 1, 2022. The Iowa income percentage is then subtracted from 100 percent to arrive at the nonresident/part-year resident credit percentage or the, which represents the percentage of the individual’s total income which was earned outside Iowa. The nonresident/part-year resident credit percentage is entered on line 29 of Schedule IA 126. The Iowa income tax on total income from line 43 of the IA 1040 is entered on line 30 of Schedule IA 126. The total of nonrefundable credits from line 49 of the IA 1040 is then shown on line 31 of Schedule IA 126. The amount on line 31 is subtracted from the amount on line 30, which results in the Iowa total tax after nonrefundable credits, which is entered on line 32. This Iowa tax-after-credits amount is multiplied by the nonresident/part-year resident credit percentage from line 29net Iowa tax to compute the nonresident/part-year resident credit. The amount of the credit is inserted on line 33 of Schedule IA 126 and on line 51 of the IA 1040.For purposes of this subrule, “net Iowa tax” means the Iowa regular income tax after reduction for the nonrefundable credits provided in Iowa Code section 422.12.The Iowa tax from line 43 of the IA 1040before reduction for the nonrefundable credits under Iowa Code section 422.12 is $1,508. The total nonrefundable credit from line 49 isThe individual is allowed an exemption credit under Iowa Code section 422.12 of $40, which leaves a tax amount of $1,468 when the credit is subtracted from $1,508($1,508 - $40). When $1,468 is multiplied by the nonresident/part-year resident credit percentage of 62.562.5000, a nonresident credit of $918 is computed which is entered on line 33 of Schedule IA 126 as well as on line 51 of the IA 1040 for 2008.The taxpayers’ taxable income on their joint Iowa return was $70,000. The taxpayers had an Iowa income tax liability of $4,583 after application of the personal exemption credits of $80under Iowa Code section 422.12. The taxpayers had an Iowa sourcenet income of $20,000 and an all sourcea total net income of $100,000. Therefore, the Iowa income percentage was 2020.0000. Subtracting the Iowa income percentage of 20 percent from 100 percent leaves a nonresident/part-year resident credit percentage of 8080.0000.When the Iowa income tax liability of $4,583 is multiplied by 80 percent, this results in a nonresident/part-year resident credit of $3,666. This credit amount is entered on line 33 of the Schedule IA 126 and on line 51 of Form IA 1040.    42.5(2) Nonresident/part-year resident creditCredit calculation for part-year residents of Iowa.      a.    AnPrior to the calculation of the part-year resident credit, an individual who is a resident of Iowa for part of the tax year shall complete the front of the IA 1040 income tax return form as a resident taxpayer by showing the taxpayer’s total income, including income earned outside Iowa, on the front of the IA 1040 return form. A part-year resident of Iowa is allowed the same federal tax deduction and itemized deductions as a resident taxpayer who has paid the same amount of federal income tax and has paid for the same deductions that can be claimed on Schedule A in the tax yearcompute taxable income in the same manner as a full-year Iowa resident. Therefore, a part-year resident would have the same initial Iowa income tax liability as ana full-year Iowa resident with the same taxable income before computation of the nonresident/part-year resident credit.    b.    The nonresident/part-year resident credit for a part-year resident is computed on Schedule IA 126. The lines referred to in this subrule are from the IA 1040 income tax return form and the Schedule IA 126 for 2008. Similar lines may apply for tax years after 2008. The individual’s Iowa source income is totaled on line 26 of Schedule IA 126 and includesby adding all the individual’snet income received while the taxpayer was a resident of Iowa and all the Iowa sourcenet income received during the period of the tax year when the individual was a resident of a state other than Iowa. Iowa source income includes, but is not limited to, wages earned in Iowa while a resident of another state as well as income from Iowa farms and other Iowa businesses that was earned during the portion of the year that the taxpayer was a nonresident of Iowa. In the case of interest from a part-year resident’s account at an Iowa financial institution, only interest earned during the period of the individual’s Iowa residence is Iowa source income unless the account is for an Iowa business. If the part-year resident’s account at a financial institution is for an Iowa business, all interest earned in the year by the part-year resident from the account is taxable to Iowa.Income earned outside Iowa by the part-year resident during the portion of the year the individual was an Iowa resident is taxable to Iowa and is part of the individual’s Iowa source income. To compute the nonresident/part-year resident credit for a part-year resident, the taxpayer’s Iowa source income on Schedule IA 126 is totaled. If the Iowa source income is less than $1,000, the taxpayer is not subject to Iowa income tax and is not required to file an Iowa return. If the Iowa source income is $1,000 or more, it is divided by the taxpayer’s all source net income on line 27 of Schedule IA 126nonresident of Iowa, and dividing that sum by the taxpayer’s total net income. See 701—Chapter 40 to determine a part-year resident’s Iowa source net income and total net income. The percentage computed by this procedure is the Iowa income percentage and is entered on line 28 of the Schedule IA 126. TheThis Iowa income percentage, which is rounded to the nearest tenth of a percent,(e.g., 1.2 percent) for tax years beginning before January 1, 2022, and to the nearest ten-thousandth of a percent (e.g., 1.2345 percent) for tax years beginning on or after January 1, 2022. The Iowa income percentage is then subtracted from 100 percent to arrive at the nonresident/part-year resident credit percentage, which is entered on line 29 of Schedule IA 126. The Iowa tax from line 43 of the IA 1040 is then shown on line 30 of Schedule IA 126. The total of the Iowa nonrefundable credits from line 49 of the IA 1040 is entered on line 31 of Schedule IA 126 and is subtracted from the Iowa tax amount on line 30. The tax-after-credits amount on line 32 is next multiplied by the nonresident/part-year resident credit percentage from line 28. The amount calculated from this procedure is the nonresident/part-year resident credit, which is shown on line 33 of Schedule IA 126 and on line 51 of Form IA 1040represents the percentage of the individual’s total income which was earned outside of Iowa while a nonresident. The part-year resident credit percentage is multiplied by the net Iowa tax to compute the part-year resident credit. For purposes of this subrule, “net Iowa tax” means the Iowa regular income tax after reduction for the nonrefundable credits provided in Iowa Code section 422.12.The part-year resident’s all sourcetotal net income was $58,500 and the Iowa source net income was $34,300, which includes the Iowa wages, the Nebraska ranch income of $4,000 earned during the individual’s period of Iowa residence, as well as the interest income of $300 earned during that time of the tax year. The Iowa taxable income for the part-year resident for 20082022 was $44,500, which included the federal income tax deduction of $11,000 and itemized deductions of $3,000due to allowable deductions of $14,000 ($58,500 - $14,000). The individual’s Iowa income percentage was 58.658.6325, which was determined by dividing the Iowa source income of $34,300 by the all sourcetotal income of $58,500. Subtracting the Iowa income percentage of 58.658.6325 from 100 percent results in a nonresident/part-year resident credit percentage of 41.441.3675. The Iowa tax on total income was $2,529, which was reduced to $2,489 after subtraction of the personal exemption credit of $40under Iowa Code section 422.12.When $2,489 is multiplied by the nonresident/part-year resident percentage of 41.441.3675, a nonresident/part-year resident credit of $1,030 is computed for this part-year resident.The part-year resident’s all sourcetotal net income was $44,000 and the Iowa sourcenet income was $32,000, which consisted of $15,000 in wages, $2,000 in interest income, and $15,000 in income from the Iowa farm. Since the farm was in Iowa, theall farm income received in the first half of 2008, including the income received while the individual was not a resident of Iowa, was taxable to Iowa as well as the farm income received while the individual was an Iowa resident. The individual’s Iowa taxable income was $34,250, which was computed after subtracting the federal income tax deduction of $8,000 and a standard deduction of $1,750$9,750 in allowable deductions ($44,000 - $9,750). The taxpayer’s Iowa income tax liability was $1,757 after subtraction of a personal exemption credit of $40under Iowa Code section 422.12.The taxpayer’s Iowa income percentage was 72.772.7273, which was computed by dividing the Iowa sourcenet income of $32,000 by the all sourcetotal net income of $44,000. The nonresident/part-year resident credit percentage was 27.327.2727, which was arrived at by subtracting the Iowa income percentage of 72.772.7273 from 100 percent. The taxpayer’s nonresident/part-year resident credit is $480$479. This was determined by multiplying the Iowa income tax liability after personal exemption credit amount of $1,757 by the nonresident/part-year resident percentage of 27.327.2727.       This rule is intended to implement Iowa Code section 422.5.
    ARC 5886CRevenue Department[701]Notice of Intended Action

    Proposing rule making related to out-of-state tax credit and providing an opportunity for public comment

        The Revenue Department hereby proposes to amend Chapter 42, “Adjustments to Computed Tax and Tax Credits,” and Chapter 89, “Fiduciary Income Tax,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 422.68.State or Federal Law Implemented    This rule making implements, in whole or in part, 2020 Iowa Acts, House File 2641.Purpose and Summary    This proposed rule making relates to the Iowa out-of-state tax credit against regular Iowa income tax for income tax paid to other jurisdictions on a resident individual’s or fiduciary’s income that is also taxed by Iowa.    The primary purpose of these amendments is to implement 2020 Iowa Acts, House File 2641, division XVII. That legislation modified the out-of-state tax credit to allow a resident partner, shareholder, or beneficiary to claim certain entity-level income taxes owed and paid by a partnership, S corporation, estate, or trust (i.e., a “pass-through entity”) in another jurisdiction in the calculation of the resident’s out-of-state tax credit. That legislation also allowed a resident shareholder of a regulated investment company (e.g., mutual fund) to claim certain entity-level foreign income taxes owed and paid by the regulated investment company in the calculation of the resident’s out-of-state tax credit.     In general, the amendments provide that resident individuals and fiduciaries who are direct or indirect members of a pass-through entity may include in the calculation of the out-of-state tax credit their pro rata share of entity-level income tax owed and paid by such pass-through entity in another qualifying jurisdiction if the income tax would otherwise qualify for inclusion in the calculation of the out-of-state tax credit, had it been imposed on and paid by the resident, and if the pass-through entity provides certain statements to the resident and to other intermediate pass-through entities in the case of indirect ownership. The amendments also provide rules for regulated investment companies and their resident shareholders.     The amendments also significantly update, rewrite, or expand other parts of the out-of-state tax credit rule not directly impacted by 2020 Iowa Acts, House File 2641, in order to provide more guidance to taxpayers on the application of the credit. These amendments provide relevant definitions and describe the general application of the credit, the calculation of the credit including the maximum credit calculation, other limitations and considerations for the credit, and supporting documentation required for the taxpayer to prove eligibility for the credit and credit amount.    Finally, the amendments modify the Iowa income percentage used to calculate the maximum credit so that it is computed to the nearest ten-thousandth of a percent (i.e., four digits to the right of the decimal point) for tax years beginning on or after January 1, 2022. Under current rules, the Iowa income percentage is computed to the nearest tenth of a percent (i.e., one digit to the right of the decimal point). This change will result in more accurate credit calculations and will create more uniformity under the Iowa income tax because corporations and other business entities apportion their income using a business activity ratio that is calculated to the nearest ten-thousandth of a percent.Fiscal Impact    Modifying the maximum credit calculation to compute to the nearest ten-thousandth of a percent instead of the nearest tenth of a percent is expected to result in a minimal increase or decrease to General Fund revenues. The total impact is expected to be less than $100,000 each year. Apart from that change, this rule making has no fiscal impact to the State of Iowa beyond the legislation it is intended to implement. The final fiscal note for 2020 Iowa Acts, House File 2641, division XVII, estimated that the out-of-state tax credit changes enacted in that legislation will reduce General Fund revenues in fiscal years 2021 through 2025 by $4.2 million, $4.2 million, $4.3 million, $4.3 million, and $4.4 million, respectively.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 701—7.28(17A).Public Comment    Any interested person may submit written or oral comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Department no later than 4:30 p.m. on September 28, 2021. Comments should be directed to: Michael Mertens Department of Revenue Hoover State Office Building P.O. Box 10457 Des Moines, Iowa 50306 Phone: 515.587.0458 Email: michael.mertens@iowa.gov Public Hearing    If requested, a public hearing will be held as follows: September 29, 2021 11 a.m. to 12 noon Via video/conference call     Persons who wish to participate in the video/conference call should contact Michael Mertens before 4:30 p.m. on September 28, 2021, 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 the Department 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 rule 701—42.6(422) and adopt the following new rule in lieu thereof:

    701—42.6(422) Out-of-state tax credits.      42.6(1) Definitions.  For purposes of this rule:        "Foreign country" means any country, other than the United States, and any political subdivision of that country.        "Income tax" means any direct tax imposed upon a taxpayer and measured by the taxpayer’s income for a specified period of time. The out-of-state jurisdiction’s characterization of the tax is not controlling in the department’s determination of whether a tax is an income tax. Fees, penalty, and interest paid in connection with an income tax do not qualify. For purposes of this rule, the term “income tax” does not include a minimum tax imposed on preference items.        "Pass-through entity" means an entity taxed as a partnership for federal tax purposes, an S corporation, an estate, or a trust other than grantor trusts.         "Regulated investment company" means any domestic corporation that meets the requirements of Section 851 of the Internal Revenue Code and that has made a valid election under Section 853 of the Internal Revenue Code to have its shareholders’ pro rata share of entity-level income tax paid by the electing corporation be deemed to have been paid by its shareholders. The term “regulated investment company” includes, but is not limited to, a mutual fund.         "State" means any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, any territory or possession of the United States, and any political subdivision thereof.         "Tiered owner" means an owner or beneficiary of a pass-through entity that is itself a pass-through entity.     42.6(2) General application.      a.    Residents.Iowa residents, including part-year residents, are allowed an out-of-state tax credit against the resident’s Iowa income tax liability for income taxes owed and paid by the resident to another state or foreign country on income for which all of the following are true:     (1)   The income was derived from sources within the other state or foreign country. In determining whether income is derived from sources within that other state or foreign country, Iowa statutes and rules on the sourcing of a nonresident’s income shall govern.    (2)   The income is subject to Iowa income tax. Income tax imposed by another state or foreign country on income that is not subject to Iowa income tax does not qualify for the credit.    (3)   The income was earned while the taxpayer was an Iowa resident and is included on the resident’s Iowa income tax return. The credit is allowable only if the taxpayer files an Iowa income tax return as a resident or part-year resident.     b.    Nonresidents.Nonresidents of Iowa shall not claim the out-of-state tax credit.     42.6(3) Rule for pass-through entities.      a.    Direct owners.    (1)   If the Iowa resident is a direct partner, shareholder, or beneficiary of a pass-through entity that owed and paid entity-level income tax, or income tax on a composite return basis, to another state or foreign country on income derived from sources in that state or foreign country, the resident is allowed to treat the resident’s pro rata share of that income tax as paid by the resident for purposes of the out-of-state tax credit, provided the resident’s pro rata share of that income flows through to the resident and meets the requirements of paragraph 42.6(2)“a.”     (2)   The entity-level income tax or composite income tax paid to the other state or foreign country is the net state or foreign income tax actually owed and paid for the tax year on income taxed by that state or foreign country, as properly computed on the pass-through entity’s income tax return or composite return (not a withholding return) in the other state or foreign country after reduction for all nonrefundable credits provided to the pass-through entity. Paragraph 42.6(6)“b” provides an additional limitation if the Iowa resident receives a refundable credit in the other state or foreign country for the Iowa resident’s share of the income tax owed and paid by the pass-through entity. The resident’s pro rata share of entity-level income tax or composite income tax paid by the pass-through entity shall be in the same proportion as the resident’s pro rata share of income derived from sources in that state or foreign country, as properly reported on the entity’s return in the other state or foreign country.     (3)   To qualify, the pass-through entity must provide to the resident a statement identifying the jurisdiction and the resident’s pro rata share of the income, income tax liability, and income tax paid in that jurisdiction.    b.    Indirect owners.    (1)   If the Iowa resident is an indirect partner, shareholder, or beneficiary of a pass-through entity that paid entity-level income tax, or income tax on a composite return basis, to another state or foreign country on income derived from sources in that state or foreign country, the resident is allowed to treat the resident’s pro rata share of that income tax as paid by the resident for purposes of the out-of-state tax credit if both of the following requirements are satisfied:     1.   The tiered owner reduces the amount of the paying pass-through entity’s income tax that the tiered owner reports to its partners, shareholders, or beneficiaries by the amount of any credit available from that other state or foreign country to the tiered owner for the tax liability of the paying pass-through entity.     2.   The resident’s pro rata share of that income flows through one or more tiered owners to the resident and meets the requirements of paragraph 42.6(2)“a.”    (2)   The entity-level income tax or composite income tax paid to the other state or foreign country is the net state or foreign income tax actually owed and paid for the tax year on income taxed by that state or foreign country, as properly computed on the pass-through entity’s income tax return or composite tax return (not a withholding return) in the other state or foreign country, after reduction for all nonrefundable credits provided to the pass-through entity, and after further reduction by a tiered owner for any credits provided by that other state or foreign country to the tiered owner for the tax liability of the paying pass-through entity. Paragraph 42.6(6)“b” provides an additional limitation if the Iowa resident receives a refundable credit in the other state or foreign country for the Iowa resident’s share of the income tax owed and paid by a pass-through entity. The resident’s pro rata share of entity-level income tax or composite income tax paid by the pass-through entity shall be in the same proportion as the resident’s pro rata share of income derived from sources in that state or foreign country, as properly reported on the entity’s return in the other state or foreign country, after flowing through one or more tiered pass-through entities to the resident.     (3)   To qualify, the paying pass-through entity must provide to the tiered owner a statement identifying the jurisdiction and the tiered owner’s pro rata share of the income, income tax liability, and income tax paid in that jurisdiction. The tiered owner, in turn, must provide the indirect partner, shareholder, or beneficiary with a statement that includes all of the following information:     1.   The jurisdiction to which income tax was paid; the paying pass-through entity and any other tiered owner through which the income flowed; and the indirect partner’s, shareholder’s, or beneficiary’s pro rata share of the paying pass-through entity’s income.     2.   The indirect partner’s, shareholder’s, or beneficiary’s pro rata share of the paying pass-through entity’s income tax liability and income tax paid to the other jurisdiction after reduction for any credit available to the tiered owner for the tax liability of the paying pass-through entity. If no such credit was provided to the tiered owner, the statement must include a declaration from the tiered owner to that effect.     42.6(4) Rule for regulated investment companies.  If the Iowa resident is a shareholder of a regulated investment company making an election under Section 853 of the Internal Revenue Code, the resident shareholder is allowed an out-of-state tax credit for the resident shareholder’s pro rata share of entity-level income tax paid to a foreign country or possession of the United States by the regulated investment company and treated as paid by the resident shareholder under Section 853 of the Internal Revenue Code if the income taxed by the foreign country or possession of the United States is also subject to tax in Iowa and is included on the resident shareholder’s Iowa income tax return as earned while an Iowa resident. To qualify, the regulated investment company must provide to the resident shareholder a statement identifying the jurisdiction and the resident shareholder’s pro rata share of the income, income tax liability, and income tax paid in that jurisdiction.     42.6(5) Computing the out-of-state tax credit—preliminary calculation.      a.    Required form.The tax credit must be computed on the IA 130, Iowa Out-of-State Tax Credit Schedule. Married taxpayers filing separate Iowa returns, or filing separately on a combined Iowa return, must complete a separate IA 130 for each spouse.     b.    Computed separately by jurisdiction.The tax credit must be computed separately for each out-of-state jurisdiction. A separate IA 130 is required for each out-of-state jurisdiction. However, separate computations and separate IA 130s are not required for foreign income taxes paid by a regulated investment company.     c.    Computed separately by income tax type.The tax credit must be computed separately for regular income tax and special lump-sum distribution tax. If the taxpayer was assessed a special tax on a lump-sum distribution by another state or foreign country, compute the tax credit separately under these rules using only the lump-sum distribution and lump-sum distribution tax imposed in Iowa and imposed in the other state or foreign country. A lump-sum distribution taxed by another state or foreign country shall not be included as part of gross income. A minimum tax or income tax imposed on preference items derived from sources in another state or foreign country are not eligible for the out-of-state tax credit under this rule. For rules on the out-of-state tax credit with respect to minimum tax paid, see rule 701—42.7(422).    d.    Full-year Iowa residents.For a taxpayer who is an Iowa resident for the entire tax year, the income tax paid to the other state or foreign country is the sum of the following amounts:    (1)   Income tax treated as paid by the resident under subrules 42.6(3) and 42.6(4). The income tax shall be treated as paid by the resident for the tax year that the out-of-state pass-through income is considered taxable Iowa income to the resident.     (2)   The net state or foreign income tax actually owed and paid by the resident for the tax year on income qualifying under paragraph 42.6(2)“a,” as properly computed on the resident’s income tax return in the other state or foreign country, less all nonrefundable credits provided to the resident, and less any refundable credits provided to the resident for entity-level income taxes or composite income taxes paid by a pass-through entity. See Example 5 below.     e.    Part-year Iowa residents.A taxpayer who is a part-year resident of Iowa may only claim the out-of-state tax credit against the taxpayer’s Iowa income tax liability for income tax paid to another state or foreign country on income qualifying under paragraph 42.6(2)“a” that is earned during the period of the tax year that the taxpayer was an Iowa resident. The income tax paid to the other state or foreign country is the sum of the following amounts:     (1)   Income tax treated as paid by the resident under subrules 42.6(3) and 42.6(4) on income earned during the period of the tax year that the taxpayer was an Iowa resident. The income tax shall be treated as paid by the resident for the tax year that the out-of-state pass-through income is considered taxable Iowa income.    (2)   The net state or foreign income tax actually owed and paid by the taxpayer for the tax year on income qualifying under paragraph 42.6(2)“a” that was earned during the period of the tax year that the taxpayer was an Iowa resident, as properly computed on the resident’s income tax return in the other state or foreign country, less all nonrefundable credits provided to the resident, and less any refundable credits provided to the resident for entity-level income taxes or composite income taxes paid by a pass-through entity. See Example 6 below.     42.6(6) Computing the out-of-state tax credit—additional limitations and considerations.      a.    Maximum credit.The out-of-state tax credit cannot exceed the amount of Iowa income tax that would have been imposed on the same income which was taxed by the other state or foreign country. The maximum out-of-state tax credit must be computed according to the formula in this paragraph. If gross income is subject to tax in a jurisdiction at more than one level (i.e., at the pass-through entity level and at the individual level), it shall only be counted once for purposes of computing the maximum credit.     (1)   Full-year Iowa residents. Gross income qualifying under paragraph 42.6(2)“a” and taxed by the other state or foreign country shall be divided by the total gross income of the Iowa resident taxpayer. This quotient, multiplied by the net Iowa tax as determined on the total gross income of the taxpayer as if entirely earned in Iowa, shall be the maximum tax credit. For tax years beginning before January 1, 2022, this quotient shall be computed as a percentage rounded to the nearest tenth of a percent (e.g., 1.2 percent). For tax years beginning on or after January 1, 2022, this quotient shall be computed as a percentage rounded to the nearest ten-thousandth of a percent (e.g., 1.2345 percent). For purposes of this subparagraph, “net Iowa tax” means the Iowa regular income tax after reduction for the nonrefundable credits provided in Iowa Code section 422.12.     (2)   Part-year Iowa residents. Gross income qualifying under paragraph 42.6(2)“a” that was earned during the period of the tax year that the taxpayer was an Iowa resident and taxed by the other state or foreign country shall be divided by the total gross income of the Iowa taxpayer earned while an Iowa resident or otherwise sourced to Iowa. This quotient, multiplied by the net Iowa tax as determined on the total gross income of the taxpayer as if entirely earned in Iowa, shall be the maximum tax credit. For tax years beginning before January 1, 2022, this quotient shall be computed as a percentage rounded to the nearest tenth of a percent (e.g., 1.2 percent). For tax years beginning on or after January 1, 2022, this quotient shall be computed as a percentage rounded to the nearest ten-thousandth of a percent (e.g., 1.2345 percent). For purposes of this subparagraph, “net Iowa tax” means the Iowa regular income tax after reduction for the nonrefundable credits provided in Iowa Code section 422.12 and after reduction for the nonresident and part-year resident credit in rule 701—42.5(422).     b.    Refund attributable to credit for entity-level income tax or composite income tax paid by a pass-through entity.If the resident claims a refundable tax credit in another state or foreign country for entity-level income tax or composite income tax paid by a pass-through entity, that refundable credit reduces the resident’s income tax liability in that state or foreign country as described in subparagraphs 42.6(5)“d”(2) and 42.6(5)“e”(2). However, any refund attributable to that refundable credit also reduces the amount of income tax treated as paid by the resident under subrules 42.6(3) and 42.6(4). In computing this credit reduction, the refundable credit for entity-level income tax or composite income tax paid by a pass-through entity shall be applied on the other state’s or foreign country’s income tax return after all nonrefundable credits, but before any other refundable credit. The credit reduction is required whether the resident receives the refund or applies the amount to a different tax liability or tax period.    c.    Taxpayers claiming the S corporation apportionment tax credit.A taxpayer who is a shareholder of an S corporation and who has income that was apportioned outside of Iowa through a claim to the S corporation apportionment tax credit is not permitted to claim the out-of-state tax credit on the same S corporation income. Income tax paid by the resident or a pass-through entity with respect to the S corporation income shall not be included in the resident’s preliminary credit calculation in paragraph 42.6(5)“d” or “e.” Gross income from the S corporation shall not be included in the resident’s maximum credit calculation in paragraph 42.6(6)“a.”     d.    Married taxpayers using a different filing status in the other state or foreign country.If married taxpayers use a separate filing status in the other state or foreign country, but file jointly for Iowa tax purposes, the taxpayers must combine both spouses’ income and income tax paid in the other state or foreign country for purposes of computing the out-of-state tax credit. If married taxpayers file jointly in the other state or foreign country, but file separate Iowa returns, or separately on a combined Iowa return, the taxpayers must prorate the income tax paid in the other state or foreign country according to each spouse’s respective gross income earned in that state or foreign country.    e.    Tax on income that does not flow through to resident.Entity-level income tax or composite income tax paid by a pass-through entity on income that does not flow through to the Iowa resident and meet the requirements of paragraph 42.6(2)“a” does not qualify for the out-of-state tax credit. For example, a LIFO recapture tax installment paid by an S corporation in another state would not qualify because that tax is measured by the income of the entity in the last tax year it was a C corporation, when such income did not flow through to the shareholders. Also, income tax paid by a trust in another state on income not distributed to the beneficiaries would not qualify because that income did not flow through to the beneficiaries. These examples are not intended to be exhaustive.     f.    Recalculating credit following adjustments in the other jurisdiction.If the taxpayer or the taxpayer’s pass-through entity amends the amount of income or income tax liability reported and paid to the other state or foreign country, either through an amended return, audit, or otherwise, the taxpayer shall file an amended Iowa return and recalculate the allowable out-of-state tax credit. Any refund must be requested by the later of three years after the due date of the return, or one year after payment of the tax, as prescribed in Iowa Code section 422.73(2)“a.” Iowa law does not provide additional time to request a refund following an audit by another state or foreign country.    g.    Nonrefundable and nontransferable.The out-of-state tax credit cannot exceed the resident’s tax liability; thus, no amount is eligible to be carried forward to any future tax year. The credit may not be transferred to any other person.     42.6(7) Claiming the out-of-state tax credit—supporting documentation.  To claim the out-of-state tax credit, the taxpayer claiming the credit must submit the following to the department with the return or upon request as indicated below:     a.    Out-of-state tax return.A copy of the income tax return filed with the other state or foreign country must be submitted. The department may further request a copy of the return which has been certified by the tax authority of that state or foreign country and showing thereon that the income tax assessed has been paid to them.    b.    Iowa income tax return.To claim the out-of-state tax credit, a taxpayer must file an Iowa income tax return for the tax year for which the credit is claimed. A taxpayer must file an Iowa income tax return to claim the out-of-state tax credit even if the taxpayer would not otherwise have an obligation to file an Iowa income tax return for the year for which the credit is claimed.     c.    Iowa out-of-state tax credit schedule.An IA 130, Iowa Out-of-State Tax Credit Schedule, must be submitted for the tax year for which the credit is claimed.     d.    Pass-through entity statements.A taxpayer who is claiming an out-of-state tax credit for entity-level income tax or composite income tax paid by a pass-through entity must submit a statement from the pass-through entity that meets the requirements of subrule 42.6(3). The pass-through entity’s actual income tax returns must be submitted to the department upon request. A taxpayer who is claiming an out-of-state tax credit for entity-level income tax paid by a regulated investment company must submit a statement from the regulated investment company that meets the requirements of subrule 42.6(4).     e.    Additional foreign income tax documentation.A taxpayer who is claiming the out-of-state tax credit for income taxes paid to a foreign country must provide the department with a copy of federal Form 1116, Foreign Tax Credit, if that form was required to be submitted with the taxpayer’s federal income tax return. This submission requirement does not mean that all amounts on federal Form 1116 qualify for the Iowa out-of-state tax credit. Additionally, if the income tax was paid in foreign currency, the taxpayer shall include a detailed explanation of how the taxpayer figured the conversion rate. The conversion rate is the rate of exchange in effect on the day the taxpayer paid the foreign income tax.    f.    Proof of payment.Upon request, the taxpayer must provide the department with a photocopy, or other similar reproduction, of either:    (1)   The receipt issued by the other state or foreign country for payment of the tax, or    (2)   The canceled check (both sides) with which the tax was paid to the other state or foreign country together with a statement of the amount and kind (e.g., wage or salary income, rental income, business income) of total income on which such tax was paid.       This rule is intended to implement Iowa Code section 422.8.

        ITEM 2.    Amend subrule 89.8(11) as follows:    89.8(11) Credits against the tax.      a.    The personal exemption credit.The estate of a decedent and a trust, whether simple or complex, are allowed the same credit against the tax as the credit allowed an individual taxpayer, that is currently $40. The personal exemption credit is not prorated for short taxable years. The federal exemption allowed estates and trusts under 26 U.S.C. Section 642(b), in lieu of the personal exemption for individuals, has no application to Iowa income tax.    b.    Credit for tax paid to another state or foreign country.Iowa Code section 422.8 grants Iowa situs trusts and estates of Iowa resident decedents, which have income derived from sources in another state or foreign country, a credit against the Iowa tax for the income tax paid to the state or foreign country where the income was derived. To be eligible for the credit, the income must have been includable for income tax purposes both in Iowa and the other state or foreign country. The credit allowable against the Iowa tax is limited to the lesser of: (1) the tax paid to the other state or foreign country on the income, or (2) the Iowa income tax paid on the foreign source income. The Iowa income tax paid on the foreign source income is computed by multiplying the Iowa computed tax, less the personal exemption credit, by a fraction of which the foreign source income included in the Iowa gross income is the numerator and the total Iowa gross income is the denominator. The resulting amount is the Iowa tax paid on foreign source income. Any tax paid to another state or foreign country in excess of the Iowa credit allowable is not refundable.The credit is computed in the same manner as a full-year resident under rules 701—42.6(422) and 701—42.7(422). Foreign situs trusts and estates of foreign decedents are not allowed a credit against the Iowa tax for the income tax paid another state or foreign country on Iowa source income. This ruleRule 701—42.6(422) as applied to an Iowa situs trust or estate is illustrated by the following example:Decedent A died a resident of Webster City, Iowa, on February 15, 1997.Decedent A at the time of death owned income-producing property both in Iowa and the state of Missouri. For the short taxable year ending December 31, 1997, A’s estate had the following income and expenses:Interest$ 5,000Dividends7,500Iowa farm income20,000Missouri farm income 10,000Iowa gross income$ 42,500Less allowable deductions 8,000Iowa taxable income$ 34,500Iowa computed tax$2,587.87 Less personal credit 40.00 Tax subject to credit for foreign taxes paid$2,547.87 Tentative credit for tax paid to Missouri$ 413.00Maximum credit$ 604.20Less credit for tax paid MissouriLesser of tentative credit or maximum credit 413.00 Iowa tax due$2,134.87 A’s estate paid $413.00 income tax to the state of Missouri on the $10,000 Missouri farm income.This is A’s tentative credit.The Iowa taxmaximum credit on the foreign source income is $604.20 computed as follows:Foreign income included in gross income $10,000×$2,547.87*=$604.20Total Iowa gross income $42,500*$2,547.87 is the Iowa computed tax less the $40.00 personal credit.The allowableout-of-state tax credit for taxes paid the state of Missouri is $413.00, because itthe $413.00 of income tax paid to Missouri (tentative credit) is less than the Iowa tax paid on the Missouri incomemaximum credit of $604.20. If the Missouri tax paid had been greater than the Iowa tax on the Missouri incomemaximum credit, the allowable credit would have been the Iowa tax on the Missouri incomemaximum credit.See 701—subrule 42.6(3) for the computation of the credit allowed Iowa resident individuals for income tax paid to another state or foreign country.    c.    Motor vehicle fuel tax credit.An estate or trust incurring Iowa motor vehicle fuel tax expense attributable to nonhighway uses may, in lieu of obtaining an Iowa motor vehicle fuel refund, claim as a credit against its Iowa income tax liability, the Iowa motor vehicle fuel taxes paid during the taxable year.A copy of the Iowa motor vehicle fuel tax credit Form IA 4136 must be submitted with the fiduciary return of income to substantiate the claim for credit. Any credit in excess of the income tax due shall be refunded to the estate or trust, subject to the right of offset against other state taxes owing.    d.    Nonresident/part-year resident credit.The nonresident/part-year resident credit is available for part-year trusts described in subrule 89.3(3) and trusts whose situs is outside Iowa. See rule 701—42.5(422) for the computation of the nonresident/part-year resident credit allowed for individuals who are either part-year residents of Iowa or nonresidents of Iowa.    e.    Other tax credits.All other tax credits set forth in Iowa Code chapter 422, division II, are also available for any estate or trust that meets the criteria for claiming these tax credits. For tax years beginning on or after January 1, 2013, estates and trusts with a situs in Iowa which are shareholders in S corporations which carry on business within and without Iowa can take advantage of the apportionment provisions for S corporation income set forth in 701—Chapter 50. The criteria to determine whether the S corporation is carrying on business within and without Iowa is set forth in 701—subrule 54.1(4).
    ARC 5883CRevenue Department[701]Notice of Intended Action

    Proposing rule making related to deduction of credits and providing an opportunity for public comment

        The Revenue Department hereby proposes to amend Chapter 42, “Adjustments to Computed Tax and Tax Credits,” Chapter 52, “Filing Returns, Payment of Tax, Penalty and Interest, and Tax Credits,” and Chapter 58, “Filing Returns, Payment of Tax, Penalty and Interest, and Tax Credits,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 422.68.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 422.Purpose and Summary    This proposed rule making updates the Department’s rules that dictate the order in which Iowa income and franchise tax credits must be deducted by Iowa taxpayers. The amendments strike from the deduction list recently repealed tax credits and add newly enacted tax credits such as the Beginning Farmer Tax Credit, the Hoover Presidential Library Tax Credit, and the Renewable Chemical Production Tax Credit. Updates are also proposed to certain tax credits that have experienced a change in name, claim period, or claim procedure, or that were previously grouped together with other similar tax credits on the list.    These amendments change the order of deduction for the alternative minimum tax credit in tax year 2021 for corporations and financial institutions, and in tax year 2023 for individuals, because that is the final tax year that credit may be claimed for those tax types, so the carryforward period is reduced to zero. This change will allow the alternative minimum tax credit to be claimed in 2021 or 2023, as applicable, before other tax credits with a carryforward period.     These amendments also provide for the order in which tax credits carried forward from a previous tax year must be deducted. Finally, this rule making proposes a rule regarding order of deduction for tax credits claimed under the Iowa franchise tax.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 701—7.28(17A). Public Comment     Any interested person may submit written or oral comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Department no later than 4:30 p.m. on September 28, 2021. Comments should be directed to: Michael Mertens Department of Revenue Hoover State Office Building P.O. Box 10457 Des Moines, Iowa 50306 Phone: 515.587.0458 Email: michael.mertens@iowa.gov Public Hearing     If requested, a public hearing will be held as follows: September 29, 2021 10 to 11 a.m. Via video/conference call     Persons who wish to participate in the video/conference call should contact Michael Mertens before 4:30 p.m. on September 28, 2021, 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 the Department 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.    Amend rule 701—42.44(422) as follows:

    701—42.44(422) Deduction of credits.      42.44(1) Sequencing of credit deductions.  The credits against computed tax set forth in Iowa Code sections 422.5, 422.8, 422.10 through 422.12C,422.12N, and 422.110 shall be claimed in the following sequence:    1a.    Personal exemption credit.    2b.    Tuition and textbook credit.    3c.    Volunteer fire fighter, volunteer emergency medical services personnel and reserve peace officer tax credit.    4d.    Nonresident and part-year resident credit.    e.    Out-of-state tax credit.    5f.    Franchise tax credit.    6g.    S corporation apportionment credit.    h.    Alternative minimum tax credit (for tax years beginning during 2023 only).    i.    Historic preservation tax credit (when the taxpayer has elected that the credit be nonrefundable under Iowa Code section 404A.2(4)).    7j.    School tuition organization tax credit.    8k.    Venture capital tax credits (excluding redeemed Iowa fund of funds tax credit).Innovation fund investment tax credit.    9l.    Endow Iowa tax credit.
    1. Film qualified expenditure tax credit.
    1. Film investment tax credit.
        12m.    Redevelopment tax credit.    13n.    From farm to food donation tax credit.    14o.    Workforce housing tax credit.    p.    Hoover presidential library tax credit.    15q.    InvestmentEnterprise zone investment tax credit.    r.    High quality jobs investment tax credit.    16s.    Wind energy production tax credit.    17t.    Renewable energy tax credit.
    1. Redeemed Iowa fund of funds tax credit.
        19u.    New jobs tax credit.    v.    Beginning farmer tax credit.
    1. Economic development region revolving fund tax credit.
        21w.    Agricultural assets transfer tax credit.    22x.    Custom farming contract tax credit.    23y.    Geothermal heat pump tax credit.    24z.    Solar energy system tax credit.    25aa.    Charitable conservation contribution tax credit.    26ab.    Alternative minimum tax credit(for tax years beginning before January 1, 2023).    27ac.    Historic preservation and cultural and entertainment district tax credit(when the taxpayer has elected that the credit be refundable under Iowa Code section 404A.2(4)).    28ad.    Ethanol promotion tax credit.High quality jobs third-party developer tax credit.    29ae.    Research activities credit.
    1. Out-of-state tax credit.
        31af.    Child and dependent care tax credit or early childhood development tax credit.    32ag.    Motor fuel tax credit.    33ah.    Claim of right credit (if elected in accordance with rule 701—38.18(422)).
    1. Wage-benefits tax credit.
        ai.    Qualifying business investment tax credit (also known as angel investor tax credit).    35aj.    Adoption tax credit.    36ak.    E-85 gasoline promotion tax credit.    37al.    Biodiesel blended fuel tax credit.    38am.    E-15 plus gasoline promotion tax credit.    39an.    Earned income tax credit.    40ao.    Iowa taxpayers trust fundRenewable chemical production tax credit.    41ap.    Estimated payments, payment with vouchers, and withholding tax.
        42.44(2) Order of credits carried forward from a previous tax year.  A credit carried forward from a previous tax year shall be applied against computed tax before a credit earned under the same credit program in the current tax year. However, a credit carried forward from a previous tax year cannot be applied against computed tax before a credit earned under a different credit program in a later year that appears before it in the sequence in subrule 42.44(1). For example, a school tuition organization tax credit awarded in the current tax year must be applied against computed tax before a renewable energy tax credit carried forward from a previous tax year.        This rule is intended to implement Iowa Code sections 422.5, 422.8, 422.10, 422.11, 422.11A, 422.11B, 422.11D, 422.11E, 422.11F, 422.11H, 422.11I, 422.11J, 422.11L, 422.11M, 422.11N, 422.11O, 422.11P, 422.11Q, 422.11R, 422.11S, 422.11V, 422.11W, 422.11Y, 422.11Z, 422.12, 422.12B, 422.12C and 422.110 and 2014 Iowa Acts, House Files 2448 and 2468.

        ITEM 2.    Amend rule 701—52.12(422) as follows:

    701—52.12(422) Deduction of credits.      52.12(1) Sequencing of credit deductions.  The credits against computed tax set forth in Iowa Code sections 422.33 and 422.110 shall be claimed in the following sequence.    1a.    Franchise tax credit.    b.    Alternative minimum tax credit (for tax years beginning during 2021 only).    c.    Qualifying business investment tax credit (also known as angel investor tax credit).    d.    Historic preservation tax credit (when the taxpayer has elected that the credit be nonrefundable under Iowa Code section 404A.2(4)).    2e.    School tuition organization tax credit.    3f.    Venture capital tax credit (excluding redeemed Iowa fund of funds tax credit).Innovation fund investment tax credit.    4g.    Endow Iowa tax credit.
    1. Film qualified expenditure tax credit.
    1. Film investment tax credit.
        7h.    Redevelopment tax credit.    8i.    From farm to food donation tax credit.    9j.    Workforce housing tax credit.    k.    Hoover presidential library tax credit.    10l.    InvestmentEnterprise zone tax credit.    m.    High quality jobs investment tax credit.    11n.    Wind energy production tax credit.    12o.    Renewable energy tax credit.
    1. Redeemed Iowa fund of funds tax credit.
        14p.    New jobs tax credit.    q.    Beginning farmer tax credit.
    1. Economic development region revolving fund tax credit.
        16r.    Agricultural assets transfer tax credit.    17s.    Custom farming contract tax credit.    18t.    Solar energy system tax credit.    19u.    Charitable conservation contribution tax credit.    20v.    Alternative minimum tax credit(for tax years beginning before January 1, 2021, only).    21w.    Historic preservation and cultural and entertainment district tax credit(when the taxpayer has elected that the credit be refundable under Iowa Code section 404A.2(4)).
    1. Corporate tax credit for certain sales tax paid by developer.
        x.    High quality jobs third-party developer tax credit.
    1. Ethanol promotion tax credit.
        24y.    Research activities credit.    25z.    Assistive device tax credit.    26aa.    Motor fuel tax credit.
    1. Wage-benefits tax credit.
        28ab.    E-85 gasoline promotion tax credit.    29ac.    Biodiesel blended fuel tax credit.    30ad.    E-15 plus gasoline promotion tax credit.    ae.    Renewable chemical production tax credit.    31af.    Estimated tax and payment with vouchers.
        52.12(2) Order of credits carried forward from a previous tax year.  A credit carried forward from a previous tax year shall be applied against computed tax before a credit earned under the same credit program in the current tax year. However, a credit carried forward from a previous tax year cannot be applied against computed tax before a credit awarded under a different credit program in a later year that appears before it in the sequence in subrule 52.12(1). For example, a school tuition organization tax credit awarded in the current tax year must be applied against computed tax before a renewable energy tax credit carried forward from a previous tax year.       This rule is intended to implement Iowa Code sections 422.33, 422.91 and 422.110.

        ITEM 3.    Adopt the following new rule 701—58.24(422):

    701—58.24(422) Deduction of credits.      58.24(1) Sequencing of credit deductions.   The credits against computed tax set forth in Iowa Code section 422.60 shall be claimed in the following sequence.    a.    Alternative minimum tax credit (for tax years beginning during 2021 only).    b.    Qualifying business investment tax credit (also known as angel investor tax credit).    c.    Historic preservation tax credit (when the taxpayer has elected that the credit be nonrefundable under Iowa Code section 404A.2(4)).    d.    Innovation fund investment tax credit.    e.    Endow Iowa tax credit.    f.    Redevelopment tax credit.    g.    Workforce housing tax credit.    h.    Hoover presidential library tax credit.    i.    Enterprise zone tax credit.    j.    High quality jobs investment tax credit.    k.    Wind energy production tax credit.    l.    Renewable energy tax credit.    m.    Solar energy system tax credit.    n.    Alternative minimum tax credit (for tax years beginning before January 1, 2021, only).    o.    Historic preservation tax credit (when the taxpayer has elected that the credit be refundable under Iowa Code section 404A.2(4)).    p.    High quality jobs third-party developer tax credit.    q.    Estimated tax and payment with vouchers.    58.24(2) Order of credits carried forward from a previous tax year.  A credit carried forward from a previous tax year shall be applied against computed tax before a credit earned under the same credit program in the current tax year. However, a credit carried forward from a previous tax year cannot be applied against computed tax before a credit awarded under a different credit program in a later year that appears before it in the sequence in subrule 58.24(1). For example, an innovation fund investment tax credit awarded in the current tax year must be applied against computed tax before a renewable energy tax credit carried forward from a previous tax year.       This rule is intended to implement Iowa Code sections 422.60 and 422.91.
    ARC 5887CRevenue Department[701]Notice of Intended Action

    Proposing rule making related to restrictions on assessors and deputy assessors assessing their own property and providing an opportunity for public comment

        The Revenue Department hereby proposes to amend Chapter 71, “Assessment Practices and Equalization,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 421.14 and 441.17(2).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 441.17(2) as amended by 2021 Iowa Acts, Senate File 366, section 76.Purpose and Summary    This proposed rule making is intended to implement changes made in the 2021 Legislative Session. Specifically, 2021 Iowa Acts, Senate File 366, section 76, removes the “immediate family” component from Iowa Code section 441.17(2), which prohibits assessors and deputy assessors from assessing their own property, property the assessor or deputy assessor has a financial interest in, and property owned by an entity in which the assessor or deputy assessor has a financial interest. Additionally, this rule making removes reporting requirements and requires that assessors and deputy assessors certify annually to the Director that they have not personally assessed the above properties.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 701—7.28(17A).Public Comment     Any interested person may submit written or oral comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Department no later than 4:30 p.m. on September 28, 2021. Comments should be directed to: Nick Behlke Department of Revenue Hoover State Office Building P.O. Box 10457 Des Moines, Iowa 50306 Phone: 515.336.9025 Email: nick.behlke@iowa.gov Public 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 rule 701—71.27(441) as follows:

    701—71.27(441) Assessor shall not assess own property.      71.27(1) Assessorand deputy assessor prohibited from assessing own property.  An assessor or deputy assessor shall not personally assess a property if the assessor or deputy assessor or a member of the assessor’s or deputy assessor’s immediate family owns the property, has a financial interest in the property, or has a financial interest in the entity that owns the property. The assessing jurisdiction shall pay all costs and expenses associated with the assessment of the above property.    71.27(2) ReportCertification to the department.      a.    Not later than January 1 of each year, assessors, and in the case that an assessing jurisdiction has a deputy assessor, deputy assessors, shall reportcertify to the director, using forms and procedures prescribed by the director, an inventory of all of the following real property in the assessor and deputy assessor’s assessing jurisdictionthat the assessor did not personally assess the following property in the previous assessment year:     (1)   Property owned by the assessor;    (2)   Property in which the assessor has a financial interest;    (3)   Property owned by an entity in which the assessor has a financial interest.    (1)   Properties owned by the assessor;     (2)   Properties owned by a member of the assessor’s immediate family;    (3)   Properties in which the assessor or a member of the assessor’s immediate family has a financial interest;    (4)   Properties owned by an entity in which the assessor or a member of the assessor’s immediate family has a financial interest;    (5)   Properties owned by a deputy assessor;    (6)   Properties owned by a member of the deputy assessor’s immediate family;    (7)   Properties in which a deputy assessor or a member of a deputy assessor’s immediate family has a financial interest;    (8)   Properties owned by an entity in which a deputy assessor or a member of a deputy assessor’s immediate family has a financial interest.    b.    Not later than March 1 of each year, assessors, and in the case that an assessing jurisdiction has a deputy assessor, deputy assessors, shall report to the director, using forms and procedures prescribed by the director, the property record card of each of the properties described in paragraph 71.27(2)“a” and additional information as required by the director. In the event a property described in paragraph 71.27(2)“a” was reported on January 1 but is no longer owned by one of the parties described in paragraph 71.27(2)“a” and none of the parties described in paragraph 71.27(2)“a” has a financial interest in the property or has a financial interest in the entity that owns the property, the assessor is not required to make the March 1 report described in this subrule for that property but shall report to the department the sale or other circumstances under which the property no longer requires reporting under this subrule.    c.    In the event of an appeal to the board of review regarding the assessment of any of the properties described in paragraph 71.27(2)“a,” the board of review shall report the results of the appeal to the director within 15 days following the adjournment of any regular or special session of the board of review.    b.    Not later than January 1 of each year, deputy assessors shall certify to the director that the deputy assessor did not personally assess the following property in the previous assessment year:    (1)   Property owned by the deputy assessor;    (2)   Property in which the deputy assessor has a financial interest;    (3)   Property owned by an entity in which the deputy assessor has a financial interest.    c.    Assessors and deputy assessors shall use forms and procedures prescribed and provided by the director for the certifications described in paragraphs 71.27(2)“a” and “b.”    71.27(3) Powers and duties of director.  The director shall have and assume all of the powers and duties under Iowa Code section 421.17 in administering this rule.    71.27(4) Definitions.  For purposes of this rule, the following definitions shall govern.        "Financial interest" includes but is not limited to the holding of legal title to real property or any ownership interest in an entity that holds legal title to real property. Notwithstanding the preceding sentence, ownership interest in an entity shall not be deemed a “financial interest” when a person’s ownership interest equals less than 10 percent of the entity’s total ownership interest.        "Immediate family" includes the spouse, children, or parents of the assessor or deputy assessor, including adoptive relationships. There is a rebuttable presumption that relatives of the assessor or deputy assessor beyond the relation of the spouse, children, or parents of the taxpayer are not within the taxpayer’s immediate family.        "Personally assess" means engaging in the listing, valuation, and classification of real property.       This rule is intended to implement Iowa Code section 441.17 as amended by 2020 Iowa Acts, House File 2641.
    ARC 5896CHuman Services Department[441]Adopted and Filed Emergency

    Rule making related to provider rates and fee schedules

        The Human Services Department hereby amends Chapter 78, “Amount, Duration and Scope of Medical and Remedial Services,” Chapter 79, “Other Policies Relating to Providers of Medical and Remedial Care,” and Chapter 83, “Medicaid Waiver Services,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 249A.4 and 2021 Iowa Acts, House File 891, section 32.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 249A.4 and 2021 Iowa Acts, House File 891.Purpose and Summary    As part of the 2021 Legislative Session, 2021 Iowa Acts, House File 891, appropriates funds to increase specific provider reimbursement rates. The amendments to Chapters 78, 79 and 83 do the following:

  • Increase the reimbursement rates and upper rate limits for providers of Home- and Community-Based Services (HCBS) Waiver and HCBS Habilitation services beginning July 1, 2021, by 3.55 percent over the rates in effect on June 30, 2021.
  • Increase the monthly caps on the total monthly cost of HCBS Waiver and Habilitation services.
  • Increase the monthly cap on HCBS Supported Employment and the annual cap on Intellectual Disability Waiver Respite services.
  • Increase annual or lifetime limitations for home and vehicle modifications and specialized medical equipment.
  • Increase air ambulance rates to $550 beginning July 1, 2021.
  •     In addition, the amendments to Chapter 79:
  • Add the inflation factor limitation.
  • Implement the fee schedule rate in effect July 1, 2021, for air ambulance providers. 2021 Iowa Acts, House File 891, appropriates funds to increase air ambulance rates to $550 per one-way trip.
  • Implement the home health agency low utilization payment adjustment (LUPA) rate increase. This rate is applied when there are three or fewer visits provided in a 30-day period.
  • Increase psychiatric medical institutions for children (PMIC) provider-specific fee schedule rate percentages over the rates in effect June 30, 2021. House File 891 appropriates $3.9 million to increase non-State-owned PMIC provider rates over the rates in effect June 30, 2021.
  • Reason for Adoption of Rule Making Without Prior Notice and Opportunity for Public Participation    Pursuant to Iowa Code section 17A.4(3), the Department finds that notice and public participation are unnecessary or impractical because statute so provides and because the emergency adoption was reviewed by the Administrative Rules Review Committee. 2021 Iowa Acts, House File 891, allows for emergency adoption due to a July 1, 2021, effective date provided in the legislation. This also provides a benefit of increased provider rates. In compliance with 2021 Iowa Acts, House File 891, section 32, the Administrative Rules Review Committee at its August 17, 2021, meeting reviewed the Department’s determination and this rule filing.Reason for Waiver of Normal Effective Date    Pursuant to Iowa Code section 17A.5(2)“b”(1)(a) and (b), the Department also finds that the normal effective date of this rule making, 35 days after publication, should be waived and the rule making made effective on August 17, 2021, because 2021 Iowa Acts, House File 891, section 32, so provides and because increased provider rates provide a benefit.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on August 12, 2021.Concurrent Publication of Notice of Intended Action    In addition to its adoption on an emergency basis, this rule making has been initiated through the normal rule-making process and is published herein under Notice of Intended Action as ARC 5903C to allow for public comment.Fiscal Impact    The targeted HCBS and Habilitation increases were calculated assuming both the regular federal medical assistance percentages (FMAP) and COVID-increased FMAP. The Legislature opted for the COVID-increased FMAP scenario for both sets of services. These are the only adjustments for which the Legislature agreed to base the increase on the COVID-increased FMAP. All other adjustments are based on the regular FMAP. The FMAP is estimated at 65.14 percent in SFY22 and 62.01 percent in SFY23. As part of the 2021 Legislative Session, 2021 Iowa Acts, House File 891, appropriates funds to increase specific provider reimbursement rates.Jobs Impact    These amendments may have a positive influence on private-sector jobs and employment opportunities in Iowa.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).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 became effective on August 17, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend subparagraph 78.27(10)"f" as follows:    (2)   In absence of a monthly cap on the cost of waiver services, the total monthly cost of all supported employment services may not exceed $3,059.29$3,167.89 per month.

        ITEM 2.    Amend paragraph 78.34(9)"g" as follows:    g.    Service payment shall be made to the enrolled home or vehicle modification provider. If applicable, payment will be forwarded to the subcontracting agency by the enrolled home or vehicle modification provider following completion of the approved modifications. Payment of up to $6,366.64$6,592.66 per year may be made to certified providers upon satisfactory completion of the service.

        ITEM 3.    Amend paragraph 78.41(2)"i" as follows:    i.    Payment for respite services shall not exceed $7,334.62$7,595 per the member’s waiver year.

        ITEM 4.    Amend paragraph 78.43(5)"g" as follows:    g.    Service payment shall be made to the enrolled home or vehicle modification provider. If applicable, payment will be forwarded to the subcontracting agency by the enrolled home or vehicle modification provider following completion of the approved modifications. Payment of up to $6,366.64$6,592.66 per year may be made to certified providers upon satisfactory completion of the service.

        ITEM 5.    Amend paragraph 78.43(8)"c" as follows:    c.    Payment of up to $6,366.64$6,592.66 per year may be made to enrolled specialized medical equipment providers upon satisfactory receipt of the service. Each month within the 12-month period, the service worker shall encumber an amount within the monthly dollar cap allowed for the member until the amount of the equipment cost is reached.

        ITEM 6.    Amend paragraph 78.46(2)"g" as follows:    g.    Service payment shall be made to the enrolled home or vehicle modification provider. If applicable, payment will be forwarded to the subcontracting agency by the enrolled home or vehicle modification provider following completion of the approved modifications. Payment of up to $6,366.64$6,592.66 per year may be made to certified providers upon satisfactory completion of the service.

        ITEM 7.    Amend paragraph 78.46(4)"c" as follows:    c.    Payment of up to $6,366.64$6,592.66 per year may be made to enrolled specialized medical equipment providers upon satisfactory receipt of the service.

        ITEM 8.    Adopt the following new paragraph 79.1(1)"i":    i.    Inflation factor.When the department’s reimbursement methodology for any provider includes an inflation factor, this inflation factor shall not exceed the amount by which the consumer price index for all urban consumers increased during the calendar year ending December 31, 2002.

        ITEM 9.    Amend subrule 79.1(2), provider categories of “Ambulance,” “HCBS waiver service providers,” “Home- and community-based habilitation services,” “Home health agencies” and “Psychiatric medical institutions for children,” as follows: AmbulanceFee scheduleGround ambulance: Fee schedule in effect 6/30/14 plus 10%. Air ambulance: Fee schedule in effect 6/30/14 plus 10%7/1/21.    HCBS waiver service providers, including:Except as noted, limits apply to all waivers that cover the named provider.1. Adult day careFor AIDS/HIV, brain injury, elderly, and health and disability waivers:Fee schedule    Effective 7/1/167/1/21, for AIDS/HIV, brain injury, elderly, and health and disability waivers: Provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute, half-day, full-day, or extended-day rate. If no 6/30/166/30/21 rate: Veterans Administration contract rate or $1.47$1.52 per 15-minute unit, $23.47$24.30 per half day, $46.72$48.38 per full day, or $70.06$72.55 per extended day if no Veterans Administration contract.For intellectual disability waiver:Fee schedule for the member’s acuity tier, determined pursuant to 79.1(30)    Effective 7/1/177/1/21, for intellectual disability waiver: The provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute or half-day rate. If no 6/30/166/30/21 rate, $1.96$2.03 per 15-minute unit or $31.27$32.38 per half day.For daily services, the fee schedule rate published on the department’s website, pursuant to 79.1(1)“c,” for the member’s acuity tier, determined pursuant to 79.1(30).2. Emergency response system:    Personal response systemFee scheduleEffective 7/1/137/1/21, provider’s rate in effect 6/30/136/30/21 plus 3%3.55%. If no 6/30/136/30/21 rate: Initial one-time fee: $52.04$53.89. Ongoing monthly fee: $40.47$41.91.    Portable locator systemFee scheduleEffective 7/1/137/1/21, provider’s rate in effect 6/30/136/30/21 plus 3%3.55%. If no 6/30/136/30/21 rate: One equipment purchase: $323.26$334.74. Initial one-time fee: $52.04$53.89. Ongoing monthly fee: $40.47$41.91.3. Home health aidesRetrospective cost-relatedFee schedule    For AIDS/HIV, elderly, and health and disability waivers effective 7/1/167/1/21: Lesser of maximum Medicare rate in effect 6/30/166/30/21 plus 1%3.55% or maximum Medicaid rate in effect 6/30/166/30/21 plus 1%3.55%.For intellectual disability waiver effective 7/1/167/1/21: Lesser of maximum Medicare rate in effect 6/30/166/30/21 plus 1%3.55% or maximum Medicaid rate in effect 6/30/166/30/21 plus 1%3.55%, converted to an hourly rate.4. HomemakersFee scheduleEffective 7/1/137/1/21, provider’s rate in effect 6/30/136/30/21 plus 3%3.55%, converted to a 15-minute rate. If no 6/30/136/30/21 rate: $5.20$5.38 per 15-minute unit.5. Nursing careFee schedule    For AIDS/HIV, health and disability, elderly and intellectual disability waiver effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%. If no 6/30/166/30/21 rate: $87.99$91.11 per visit.6. Respite care when provided by:    Home health agency:    Specialized respite    Cost-based rate for nursing services provided by a home health agencyFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: Lesser of maximum Medicare rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate, or maximum Medicaid rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate, not to exceed $315.09$326.28 per day.    Basic individual respite    Cost-based rate for home health aide services provided by a home health agencyFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: Lesser of maximum Medicare rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate, or maximum Medicaid rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate, not to exceed $315.09$326.28 per day.    Group respiteFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed $315.09$326.28 per day.    Home care agency:    Specialized respiteFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $8.96$9.28 per 15-minute unit, not to exceed $315.09$326.28 per day.    Basic individual respiteFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $4.78$4.95 per 15-minute unit, not to exceed $315.09$326.28 per day.    Group respiteFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed $315.09$326.28 per day.    Nonfacility care:    Specialized respiteFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $8.96$9.28 per 15-minute unit, not to exceed $315.09$326.28 per day.    Basic individual respiteFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $4.78$4.95 per 15-minute unit, not to exceed $315.09$326.28 per day.    Group respiteFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed $315.09$326.28 per day.    Facility care:    Hospital or nursing facilityproviding skilled careFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed the facility’s daily Medicaid rate for skilled nursing level of care.    Nursing facilityFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed the facility’s daily Medicaid rate.    CampsFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed $315.09$326.28 per day.    Adult day careFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed rate for regular adult day care services.    Intermediate care facility for persons with an intellectual disabilityFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed the facility’s daily Medicaid rate.    Residential care facilities for persons with an intellectualdisabilityFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed contractual daily rate.    Foster group careFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed daily rate for child welfare services.    Child care facilitiesFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit, not to exceed contractual daily rate.7. Chore serviceFee scheduleEffective 7/1/137/1/21, provider’s rate in effect 6/30/136/30/21 plus 3%3.55%, converted to a 15-minute rate. If no 6/30/136/30/21 rate: $4.05$4.19 per 15-minute unit.8. Home-delivered mealsFee scheduleEffective 7/1/137/1/21, provider’s rate in effect 6/30/136/30/21 plus 3%3.55%. If no 6/30/136/30/21 rate: $8.10$8.39 per meal. Maximum of 14 meals per week.    9. Home and vehiclemodificationFee schedule. See 79.1(17)For elderly waiver effective 7/1/137/1/21: $1,061.11$1,098.78 lifetime maximum.For intellectual disability waiver effective 7/1/137/1/21: $5,305.53$5,493.88 lifetime maximum.For brain injury, health and disability, and physical disability waivers effective 7/1/137/1/21: $6,366.64$6,592.66 per year.    10. Mental health outreachprovidersFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%. If no 6/30/166/30/21 rate: On-site Medicaid reimbursement rate for center or provider. Maximum of 1,440 units per year.11. TransportationFee scheduleEffective 10/1/13: The provider’s nonemergency medical transportation contract rate or, in the absence of a nonemergency medical transportation contract rate, the median nonemergency medical transportation contract rate paid per mile or per trip within the member’s DHS region.Fee schedule in effect 7/1/21.12. Nutritional counselingFee schedule    Effective 7/1/167/1/21 for non-county contract: Provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $8.76$9.07 per 15-minute unit.13. Assistive devicesFee schedule. See 79.1(17)Effective 7/1/137/1/21: $115.62$119.72 per unit.14. Senior companionFee schedule    Effective 7/1/167/1/21 for non-county contract: Provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $1.89$1.96 per 15-minute unit.    15. Consumer-directed attendant care provided by:    Agency (other than an elderly waiver assisted living program)    Fee agreed upon bymember and provider    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $5.35$5.54 per 15-minute unit, not to exceed $123.85$128.25 per day.    Assisted living program (for elderly waiver only)    Fee agreed upon bymember and provider    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $5.35$5.54 per 15-minute unit, not to exceed $123.85$128.25 per day.    Individual    Fee agreed upon bymember and provider    Effective 7/1/167/1/21, $3.58$3.71 per 15-minute unit, not to exceed $83.36$86.32 per day. When an individual who serves as a member’s legal representative provides services to the member as allowed by 79.9(7)“b,” the payment rate must be based on the skill level of the legal representative and may not exceed the median statewide reimbursement rate for the service unless the higher rate receives prior approval from the department.    16. Counseling:    Individual    Fee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $11.45$11.86 per 15-minute unit.    Group    Fee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $11.44$11.85 per 15-minute unit. Rate is divided by six, or, if the number of persons who comprise the group exceeds six, the actual number of persons who comprise the group.17. Case managementFee scheduleFor brain injury and elderly waivers: Fee scheduleeffective 7/1/21, provider’s rate in effect 7/1/186/30/21 plus 3.55%.18. Supported community livingFor brain injury waiver:Retrospectively limited prospective rates. See 79.1(15)    For brain injury waiver effective 7/1/167/1/21: $9.28$9.61 per 15-minute unit, not to exceed the maximum daily ICF/ID rate per day plus 3.927%7.477%.For intellectual disability waiver:Fee schedule for the member’s acuity tier, determined pursuant to 79.1(30). Retrospectively limited prospective rate for SCL 15-minute unit. See 79.1(15)For intellectual disability waiver effective 7/1/177/1/21: $9.28$9.61 per 15-minute unit. For daily service, the fee schedule rate published on the department’s website, pursuant to 79.1(1)“c,” for the member’s acuity tier, determined pursuant to 79.1(30).    19. Supported employment:    Individual placement and support    Fee schedule    Fee schedule in effect 7/1/21.    Individual supported employment    Fee schedule    Fee schedule in effect 7/1/167/1/21. Total monthly cost for all supported employment services not to exceed $3,059.29$3,167.89 per month.    Long-term job coaching    Fee schedule    Fee schedule in effect 7/1/167/1/21. Total monthly cost for all supported employment services not to exceed $3,059.29$3,167.89 per month.    Small-group supportedemployment (2 to 8 individuals)    Fee schedule    Fee schedule in effect 7/1/167/1/21. Maximum 160 units per week. Total monthly cost for all supported employment services not to exceed $3,059.29$3,167.89 per month.20. Specialized medical equipmentFee schedule. See 79.1(17)Effective 7/1/137/1/21, $6,366.64$6,592.66 per year.21. Behavioral programmingFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%. If no 6/30/166/30/21 rate: $11.45$11.86 per 15 minutes.22. Family counseling and trainingFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $11.44$11.85 per 15-minute unit.    23. Prevocational services, includingcareer explorationFee schedule    Fee schedule in effect 7/1/167/1/21.    24. Interim medical monitoringand treatment:    Home health agency(provided by home health aide)Cost-based rate for home health aide services provided by a home health agencyFee schedule    Effective 7/1/167/1/21: Lesser of maximum Medicare rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate, or maximum Medicaid rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate.    Home health agency(provided by nurse)Cost-based rate for nursing services provided by a home health agencyFee schedule    Effective 7/1/167/1/21: Lesser of maximum Medicare rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate, or maximum Medicaid rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate.    Child development homeor centerFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.49$3.61 per 15-minute unit.    Supported community livingproviderRetrospectively limited prospective rate. See 79.1(15)    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $9.28$9.61 per 15-minute unit, not to exceed the maximum ICF/ID rate per day plus 3.927%7.477%.    25. Residential-based supportedcommunity livingFee schedule for the member’s acuity tier, determined pursuant to 79.1(30)    Effective 7/1/177/1/21: The fee schedule rate published on the department’s website, pursuant to 79.1(1)“c,” for the member’s acuity tier, determined pursuant to 79.1(30).26. Day habilitationFee schedule for the member’s acuity tier, determined pursuant to 79.1(30)    Effective 7/1/177/1/21: Provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $3.51$3.63 per 15-minute unit. For daily service, the fee schedule rate published on the department’s website, pursuant to 79.1(1)“c,” for the member’s acuity tier, determined pursuant to 79.1(30).    27. Environmental modificationsand adaptive devicesFee schedule. See 79.1(17)Effective 7/1/137/1/21, $6,366.64$6,592.66 per year.    28. Family and community supportservicesRetrospectively limited prospective rates. See 79.1(15)    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $9.28$9.61 per 15-minute unit.29. In-home family therapyFee schedule    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%, converted to a 15-minute rate. If no 6/30/166/30/21 rate: $24.85$25.73 per 15-minute unit.30. Financial management servicesFee scheduleEffective 7/1/137/1/21, provider’s rate in effect 6/30/136/30/21 plus 3%3.55%. If no 6/30/136/30/21 rate: $68.97$71.42 per enrolled member per month.31. Independent support brokerRate negotiated by member    Effective 7/1/167/1/21, provider’s rate in effect 6/30/166/30/21 plus 1%3.55%. If no 6/30/166/30/21 rate: $16.07$16.64 per hour.32. to 34. No change.    35. Assisted living on-callservice providers (elderlywaiver only)Fee agreed upon by memberand provider    $26.08$27.01 per day.    Home- and community-basedhabilitation services:1. Case managementFee schedule. See 79.1(24)“d”FeeEffective 7/1/21: Fee schedule in effect 7/1/186/30/21 plus 3.55%.2. Home-based habilitationSee 79.1(24)“d”Effective 7/1/13: $11.68 per 15-minute unit, not to exceed $6,083 per month, or $200 per day.Fee schedule in effect 7/1/21.3. Day habilitationSee 79.1(24)“d”Effective 7/1/137/1/21: $3.30$3.42 per 15-minute unit or $64.29$66.57 per day.4. Prevocational habilitationCareer explorationFee scheduleFee schedule in effect May 4, 20167/1/21.5. Supported employment:    Individual supported employmentFee scheduleFee schedule in effect May 4, 20167/1/21. Total monthly cost for all supported employment services not to exceed $3,029.00$3,136.53 per month.    Long-term job coachingFee scheduleFee schedule in effect May 4, 20167/1/21. Total monthly cost for all supported employment services not to exceed $3,029.00$3,136.53 per month.    Small-group supported employment (2 to 8 individuals)Fee scheduleFee schedule in effect May 4, 20167/1/21. Maximum 160 units per week. Total monthly cost for all supported employment services not to exceed $3,029.00$3,136.53 per month.    Home health agencies1. Skilled nursing, physical therapy, occupational therapy, speech therapy, home health aide, and medical social services; home health care for maternity patients and children    Fee schedule. See 79.1(26). For members living in a nursing facility, see 441—paragraph 81.6(11)“r.    Effective 7/1/18: Medicare LUPA rates in effect on 6/30/18 plus a 3% increase.7/1/21: The Medicaid LUPA fee schedule rate published on the department’s website.    2. and 3. No change.        Psychiatric medical institutionsfor children:1. Inpatient in non-state-owned facilities    Fee schedule    Effective 7/1/147/1/21: non-state-owned facilities provider-specific fee schedule in effect.    2. and 3. No change.

        ITEM 10.    Amend paragraph 83.2(2)"b", table, as follows:Skilled level of careNursing level of careICF/ID$2,792.65$2,891.79$959.50$993.56$3,742.93$3,875.80

        ITEM 11.    Amend paragraph 83.42(2)"b" as follows:    b.    The total monthly cost of the AIDS/HIV waiver services shall not exceed the established aggregate monthly cost for level of care. The monthly cost of AIDS/HIV waiver services cannot exceed the established limit of $1,876.80$1,943.43.

        ITEM 12.    Amend paragraph 83.102(2)"b" as follows:    b.    The total cost of physical disability waiver services, excluding the cost of home and vehicle modifications, shall not exceed $705.84$730.90 per month.

        ITEM 13.    Amend paragraph 83.122(6)"b" as follows:    b.    The total cost of children’s mental health waiver services needed to meet the member’s needs, excluding the cost of environmental modifications, adaptive devices and therapeutic resources, may not exceed $2,006.34$2,077.57 per month.    [Filed Emergency 8/17/21, effective 8/17/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.ARC 5901CHuman Services Department[441]Filed Emergency After Notice

    Rule making related to prescription drug monitoring

        The Human Services Department hereby amends Chapter 79, “Other Policies Relating to Providers of Medical and Remedial Care,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code chapter 249A.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 249A.Purpose and Summary    Section 5042 of the SUPPORT for Patients and Communities Act, codified in 42 U.S.C. 1396w–3a, requires covered providers who are permitted to prescribe controlled substances and who participate in Medicaid to query qualified prescription drug monitoring programs (PDMPs) before prescribing controlled substances to most Medicaid beneficiaries, beginning October 1, 2021. This rule making adds requirements consistent with the federal and state requirements for Medicaid-participating providers. Iowa Medicaid providers must also comply with requirements under Iowa Code section 124.551A and their respective licensing boards in regard to utilizing the PDMP.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 16, 2021, as ARC 5708C. The Department received comments on the proposed rule in the following areas.    Comment 1: One respondent commented on the ability to allow a covered provider to delegate the ability to utilize the Prescription Monitoring Program (PMP) database.     Response 1: The Department agrees with the comment and has revised subrule 79.17(1) to add the prescribing practitioner’s designated agent.    Comment 2: One respondent asked to amend the rules for practitioners to exclude utilizing the PMP database for an inpatient setting.    Response 2: The rule allows practitioners’ review of the database to be conducted in accordance with all requirements under the practitioner’s specific professional licensing authority. No changes were made as a result of this comment.     Comment 3: Two respondents commented on the additional work required for practitioners who prescribe controlled substances for Attention Deficit Hyperactivity Disorder and epilepsy. For example: checking the PMP every month or every six months.     Response 3: The federal law (Section 5042 of the SUPPORT for Patients and Communities Act, codified in 42 U.S.C. 1396w–3a) requires covered providers who are permitted to prescribe controlled substances and who participate in Medicaid to query qualified PDMPs before prescribing controlled substances. Medicaid is implementing this requirement to comply with the federal requirements. No changes were made as a result of this comment.    Comment 4: One respondent asked if providers would be required to check the PMP for other states.    Response 4: The requirement is to check the Iowa PMP. The Iowa PMP allows registered users to query other states’ PMPs by selecting those states at the bottom of a patient request in the section titled “PMP InterConnect Search.” Additional information can be found there. Providers would also have the discretion to sign up for surrounding states’ PMPs. No changes were made as a result of this comment.     Comment 5: Two respondents asked if the State would require software requirements and provide state assistance with cost.    Response 5: The PMP is not a Medicaid system; it is operated by the Iowa Board of Pharmacy under the Iowa Department of Public Health. Providers would need to check with their electronic health record provider. Additional information can be found at Integration with PMP. No changes were made as a result of this comment.Reason for Waiver of Normal Effective Date    Pursuant to Iowa Code section 17A.5(2)“b”(1)(b), the Department finds that the normal effective date of this rule making, 35 days after publication, should be waived and the rule making made effective on October 1, 2021, because the effective date of federal legislation is October 1, 2021, and because it provides a benefit to individual consumers and the general public by providing a method to monitor prescription controlled substance use to prevent drug misuse and improve patient care.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on August 12, 2021.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).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 October 1, 2021.    The following rule-making action is adopted:

        ITEM 1.    Adopt the following new rule 441—79.17(249A):

    441—79.17(249A) Requirements for prescribing controlled substances.      79.17(1) Review of Iowa prescription monitoring program database.  A prescribing practitioner, as defined in Iowa Code section 124.550, or the prescribing practitioner’s designated agent, shall review patient information in the Iowa prescription monitoring program (PMP) database prior to issuing a prescription for a controlled substance as defined in 42 U.S.C. 1396w–3a, inclusive of Schedules II, III and IV, unless the patient is receiving inpatient hospice care or long-term residential facility care. Review shall be conducted in accordance with all requirements under the prescribing practitioner’s specific professional licensing authority.    79.17(2) Documentation.  The prescribing practitioner shall include documentation in the patient file to demonstrate compliance with subrule 79.17(1). Subject to the requirements under Iowa Code chapter 124, subchapter VI, if the prescribing practitioner is not able to conduct a review of the PMP database despite a good-faith effort, the prescribing practitioner must document in the patient file such good-faith effort, including the reasons why the prescribing practitioner was not able to conduct the review. The prescribing practitioner shall submit such documentation to the Iowa Medicaid program upon request.       This rule is intended to implement Iowa Code chapters 124 and 249A.
        [Filed Emergency After Notice 8/17/21, effective 10/1/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5898CEnvironmental Protection Commission[567]Adopted and Filed

    Rule making related to air quality

        The Environmental Protection Commission (Commission) hereby amends Chapter 20, “Scope of Title—Definitions,” Chapter 22, “Controlling Pollution,” Chapter 23, “Emission Standards for Contaminants,” and Chapter 25, “Measurement of Emissions,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 455B.133.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 455B.133 and 455B.134.Purpose and Summary    This rule making adopts several new mandatory federal air quality standards. These amendments are identical to the federal regulations, and the amendments do not impose any regulations on Iowa businesses not already required by federal law. Additionally, the adoption of these amendments will ensure that Iowa’s administrative rules are consistent with federal regulations and not any more stringent.    More specifically, the amendments adopt updated federal new source performance standards (NSPS) and air toxics standards, also known as National Emissions Standards for Hazardous Air Pollutants (NESHAP). These standards apply whether they are adopted into state regulation or not; however, by incorporating these terms into the State’s rules, the Department of Natural Resources (Department) can continue to be a delegated authority under the Clean Air Act (CAA). This allows the Department, rather than the U.S. Environmental Protection Agency (EPA), to be the primary compliance and implementation agency in Iowa.    In more detail, this rule making adopts the following six amendments:    Item 1 amends rule 567—20.2(455B), definition of “EPA reference method,” to adopt the most current EPA methods for measuring air pollutant emissions, performance testing (sometimes called “stack testing”), and continuous monitoring. EPA’s revisions to 40 Code of Federal Regulations (CFR) Parts 51, 60, 61, and 63 to correct and update regulations for source testing of emissions were published in the Federal Register on October 7, 2020. See 85 Fed. Reg. 63394–63422 (Oct. 7, 2020) (a correction to Part 63 was subsequently published in 85 Fed. Reg. 77384 (Dec. 2, 2020)). EPA states in the final regulations that these revisions include corrections to inaccurate testing provisions, updates to outdated procedures, and approved alternative procedures that will provide flexibility to testers. EPA also states that the updates will improve the quality of data and will not impose any new substantive requirements on source owners or operators. Adopting EPA’s updates ensures that state reference testing methods match current federal reference methods and are no more stringent than the federal methods.    The amendment in Item 2 is adopted concurrently with the amendment in Item 1. It revises the definition of “EPA reference method” in rule 567—22.100(455B) to similarly reflect updates to EPA testing and monitoring methods, which are the methods that apply to the Title V Operating Permit rules in Chapter 22.    The amendments in Items 3, 4, and 5 adopt changes to the federal NSPS and NESHAP. The CAA obligates EPA to issue standards to control air pollution. The NSPS and NESHAP set federal standards and deadlines for industrial, commercial or institutional facilities to meet uniform standards for equipment operation and air pollutant emissions.    Because the NSPS and NESHAP adopted by reference are federal regulations, affected sources are subject to the federal requirements regardless of whether the Commission adopts the standards into the State’s rules. However, the CAA allows a state or local agency to implement NSPS and NESHAP as a delegated authority. Upon state adoption of the standards, the Department becomes the delegated authority for the specific NSPS or NESHAP and is the primary implementation agency in Iowa. Two local agencies, those in Polk County and Linn County, implement these standards within their counties.    The Commission’s rules, including all compliance deadlines, are identical to the federal NSPS and NESHAP as of a specific federal publication date. With delegation authority and adoption of the federal standards into the State’s rules and the rules of Polk County and Linn County, the State and local agencies have the ability to make applicability determinations for facilities, rather than referring these decisions to EPA.    Stakeholders affected by NSPS and NESHAP typically prefer for the Department, rather than EPA, to be the primary implementation agency in Iowa. Upon adoption of the new and amended standards, the Department will work with affected facilities to provide any needed compliance assistance. Additionally, affected area sources that are small businesses are eligible for free assistance from the small business technical assistance program.    Notably, the Commission is excluding from adoption the recent changes that EPA made to the NSPS for Kraft Pulp Mills (40 CFR 60, Subpart BB) due to active litigation of the federal regulation. This is described in more specificity below. An additional amendment to subrule 23.1(2) indicates the previous date for which Subpart BB was adopted by reference, which will exclude the recent federal amendments from being adopted.    Finally, Item 6 amends subrule 25.1(9) to adopt the changes EPA made to the federal test methods for measuring emissions, as explained above for Item 1.    Risk and technology review    Most of EPA’s amendments adopted in subrule 23.1(4) address the risk and technology reviews required under the CAA. The CAA requires EPA to address air toxics emissions from large industrial facilities (major sources) in two phases.    The first phase is “technology-based,” where EPA develops standards for controlling the emissions of air toxics from sources in an industry group or “source category” (for example, industrial boilers). These maximum achievable control technology (MACT) standards are based on emissions levels that controlled and low-emitting sources in an industry are already achieving. Typically, MACT affects only a “major source” of air toxics (a source with a potential to emit at least 10 tons per year of any one hazardous air pollutant (HAP) or 25 tons per year of any combination of HAPs).    The second phase is a “risk-based” approach called residual risk. In this step, EPA must determine whether more health-protective standards are necessary. Within eight years of setting the MACT standards, the CAA requires EPA to assess the remaining health risks from each source category to determine whether the MACT standards protect public health with an ample margin of safety and protect against adverse environmental effects. On this same schedule, the CAA also requires EPA to review the standards and, if necessary, revise them to account for improvements in air pollution controls or prevention. The combined review of public health risk and air pollution control is called the “risk and technology review” (RTR).    Impact of the NESHAP amendments    For most of the recent NESHAP RTR updates, EPA has determined that the risks from emissions from affected source categories are acceptable and that there are no new cost-effective controls available. However, the updates do include revisions to the requirements for periods of startup, shutdown, and malfunction (SSM) and require electronic reporting of performance test results and compliance reports.    In some cases, EPA made minor amendments to correct errors, clarify requirements, and provide technical amendments. EPA also provided additional flexibilities in several of the final NESHAP RTRs, such as alternative testing methods or reduced monitoring. A few of the recent and upcoming NESHAP RTRs do include more substantive requirements for pollution control and monitoring.    Table 1 below identifies the amendments to the NESHAP source categories adopted by reference. The standards are identified by source category and are listed in order of publication date in the Federal Register. The table also indicates the subpart in 40 CFR Part 63, as well as the associated paragraph in subrule 23.1(4). Additionally, the table indicates the number of facilities that the Department estimates are currently affected by the specific standard. The Commission is adopting standards that currently do not affect any Iowa sources in case a new facility of that type is constructed in the future.Table 1Adopted NESHAP AmendmentsNESHAP: Affected Source Category (Note: “Mfg” is the abbreviation for “manufacturing”)Date Published in Federal Register40 CFR 63 Subpart/Subrule 23.1(4) ParagraphEstimated Iowa Facilities AffectedSurface Coating of Metal Cans2/25/2020KKKK/“ck”0Surface Coating of Metal Coil2/25/2020SSSS/“cs”0Asphalt Processing3/12/2020LLLLL/“dl”0Vegetable Oil Production3/18/2020GGGG/“cg”17Boat Mfg3/20/2020VVVV/“cv”0Reinforced Plastics3/20/2020WWWW/“cw”15HCl Acid Production4/15/2020NNNNN/“dn”0Engine Test Cells6/3/2020PPPPP/“dp”1Cellulose Products7/2/2020UUUU/“cu”0Automobiles and Light Duty Trucks7/8/2020IIII/“ci”0Miscellaneous Metal Parts7/8/2020MMMM/“cm”31Plastic Parts7/8/2020PPPP/“cp”12Paper and Other Web Coatings7/9/2020JJJJ/“cj”2Rubber Tire Mfg7/24/2020XXXX/“cx”1Miscellaneous Coating Mfg8/14/2020HHHHH/“dh”1Iron and Steel Foundries9/10/2020EEEEE/“de”4Phosphoric Acid Mfg11/3/2020AA/“aa”0    There are several recent NESHAP amendments that the Commission excluded from adoption at this time due to active legal challenges of the federal regulations. Additional amendments to subrule 23.1(4) indicate the previous dates for which the specific NESHAP were adopted by reference, which excludes the recent federal amendments from being adopted. Table 2 below indicates the NESHAP amendments being excluded from adoption. Affected sources remain subject to these federal requirements regardless of whether the Commission adopts the standards into the State’s rules. Table 2 NESHAP Amendments Excluded from Adoption Due to Legal ChallengesNESHAP: Affected Source Category (Note: “Mfg” is the abbreviation for “manufacturing”)Date Published in Federal Register40 CFR 63 Subpart/Subrule 23.1(4) paragraph and the previous adoption dateEstimated Iowa Facilities Affected by the NESHAPCombustion Turbines3/9/2020YYYY/“cy” 4/20/20062Municipal Solid Waste Landfills3/26/2020AAAA/“ca” 4/20/20065Ethylene Production7/6/2020YY/“ay” 10/8/20141Organic Liquids (Non-Gasoline) Distribution7/7/2020EEEE/“ce” 7/17/20083Site Remediation7/10/2020GGGGG/“dg” 11/29/20060Integrated Steel Mfg7/13/2020FFFFF/“df” 7/13/20060Lime Mfg7/24/2020AAAAA/“da” 4/20/20060Miscellaneous Organic Chemical Mfg (MON)8/12/2020FFFF/“cf” 7/14/200619Plywood & Composites Mfg8/13/2020DDDD/“cd” 10/29/20072Pulp Mills11/5/2020MM/“am” 10/11/20170Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 16, 2021, as ARC 5678C. A public hearing was held on July 19, 2021, at 1 p.m. via video/conference call. No one attended the public hearing. 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 August 17, 2021.Fiscal Impact    After analysis and review of this rule making, these amendments will have no fiscal impact to either the State of Iowa or to regulated facilities, the general public, or county or local governments. Some of the amendments may benefit the private sector because they streamline current air quality programs. Affected businesses and the public benefit from up-to-date air quality requirements and increased effectiveness. A copy of the fiscal impact statement is available from the Department upon request. Jobs Impact    After analysis and review of this rule making, these amendments will have an overall neutral impact on private-sector jobs. Some of these amendments may benefit the private sector because they streamline current air quality programs. For the amendments specified in Items 3, 4, and 5, the Commission has determined that there may be job impacts to Iowa businesses. However, the amendments are only implementing federally mandated regulations, thus any resulting impact originates at the federal level. These amendments are identical to the federal regulations and will not impose any regulations on Iowa businesses not already required by federal law. In some cases, the revised federal standards being adopted provide more flexibility and potential cost savings for affected businesses, offering a positive impact on private-sector jobs. A copy of the jobs impact statement is available from the Department upon request.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 561—Chapter 10.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 October 13, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 567—20.2(455B), definition of “EPA reference method,” as follows:        "EPA reference method" means the following methods used for performance tests and continuous monitoring systems:
    1. Performance test (stack test). A stack test shall be conducted according to EPA reference methods specified in 40 CFR 51, Appendix M (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 60, Appendix A (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 61, Appendix B (as amendedor corrected through August 30, 2016October 7, 2020); and 40 CFR 63, Appendix A (as amendedor corrected through November 14, 2018December 2, 2020).
    2. Continuous monitoring systems. Minimum performance specifications and quality assurance procedures for performance evaluations of continuous monitoring systems are as specified in 40 CFR 60, Appendix B (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 60, Appendix F (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 75, Appendix A (as amendedor corrected through August 30, 2016); 40 CFR 75, Appendix B (as amendedor corrected through August 30, 2016); and 40 CFR 75, Appendix F (as amendedor corrected through August 30, 2016).

        ITEM 2.    Amend rule 567—22.100(455B), definition of “EPA reference method,” as follows:        "EPA reference method" means the following methods used for performance tests and continuous monitoring systems:
    1. Performance test (stack test). A stack test shall be conducted according to EPA reference methods specified in 40 CFR 51, Appendix M (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 60, Appendix A (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 61, Appendix B (as amendedor corrected through August 30, 2016October 7, 2020); and 40 CFR 63, Appendix A (as amendedor corrected through November 14, 2018December 2, 2020).
    2. Continuous monitoring systems. Minimum performance specifications and quality assurance procedures for performance evaluations of continuous monitoring systems are as specified in 40 CFR 60, Appendix B (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 60, Appendix F (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 75, Appendix A (as amendedor corrected through August 30, 2016); 40 CFR 75, Appendix B (as amendedor corrected through August 30, 2016); and 40 CFR 75, Appendix F (as amendedor corrected through August 30, 2016).

        ITEM 3.    Amend subrule 23.1(2) as follows:    23.1(2) New source performance standards.  The federal standards of performance for new stationary sources, as defined in 40 Code of Federal Regulations Part 60 as amended or corrected through November 14, 2018October 7, 2020, are adopted by reference, except § 60.530 through § 60.539b (Part 60, Subpart AAA), and shall apply to the following affected facilities. The corresponding 40 CFR Part 60 subpart designation is in parentheses. An earlierA different date for adoption by reference may be included with the subpart designation in parentheses. Reference test methods (Appendix A), performance specifications (Appendix B), determination of emission rate change (Appendix C), quality assurance procedures (Appendix F) and the general provisions (Subpart A) of 40 CFR Part 60 also apply to the affected facilities.    a.    Fossil fuel-fired steam generators.A fossil fuel-fired steam generating unit of more than 250 million Btu heat input for which construction, reconstruction, or modification is commenced after August 17, 1971. Any facility covered under paragraph “z” is not covered under this paragraph. (Subpart D as amended through January 20, 2011)    b.    Incinerators.An incinerator of more than 50 tons per day charging rate. (Subpart E)    c.    Portland cement plants.Any of the following in a Portland cement plant: kiln; clinker cooler; raw mill system; finish mill system; raw mill dryer; raw material storage; clinker storage; finished product storage; conveyor transfer points; bagging and bulk loading and unloading systems. (Subpart F)    d.    Nitric acid plants.A nitric acid production unit. Unless otherwise exempted, these standards apply to any nitric acid production unit that commences construction or modification after August 17, 1971, and on or before October 14, 2011. (Subpart G)    e.    Sulfuric acid plants.A sulfuric acid production unit. (Subpart H)    f.    Hot mix asphalt plants.Each hot mix asphalt facility that commenced construction or modification after June 11, 1973. For the purpose of this paragraph, a hot mix asphalt facility is comprised only of any combination of the following: dryers; systems for screening, handling, storing, and weighing hot aggregate; systems for loading, transferring, and storing mineral filler; systems for mixing hot mix asphalt; and the loading, transfer, and storage systems associated with emission control systems. (Subpart I)    g.    Petroleum refineries.Rescinded IAB 3/18/15, effective 4/22/15.    h.    Secondary lead smelters.Rescinded IAB 3/18/15, effective 4/22/15.    i.    Secondary brass and bronze ingot production plants.Any of the following at a secondary brass and bronze ingot production plant; reverberatory and electric furnaces of 1000/kilograms (2205 pounds) or greater production capacity and blast (cupola) furnaces of 250 kilograms per hour (550 pounds per hour) or greater production capacity. (Subpart M)    j.    Iron and steel plants.A basic oxygen process furnace. (Subpart N)    k.    Sewage treatment plants.An incinerator which burns the sludge produced by municipal sewage treatment plants. (Subpart O of 40 CFR 60 and Subpart E of 40 CFR 503.)    l.    Steel plants.Either of the following at a steel plant: electric arc furnaces and dust-handling equipment, the construction, modification, or reconstruction of which commenced after October 21, 1974, and on or before August 17, 1983. (Subpart AA)    m.    Primary copper smelters.Rescinded IAB 3/18/15, effective 4/22/15.    n.    Primary zinc smelters.Rescinded IAB 3/18/15, effective 4/22/15.    o.    Primary lead smelter.Rescinded IAB 3/18/15, effective 4/22/15.    p.    Primary aluminum reduction plants.Rescinded IAB 3/18/15, effective 4/22/15.    q.    Wet process phosphoric acid plants in the phosphate fertilizer industry.A wet process phosphoric acid plant, which includes any combination of the following: reactors, filters, evaporators and hotwells. (Subpart T)    r.    Superphosphoric acid plants in the phosphate fertilizer industry.A superphosphoric acid plant which includes any combination of the following: evaporators, hotwells, acid sumps, and cooling tanks. (Subpart U)    s.    Diammonium phosphate plants in the phosphate fertilizer industry.A granular diammonium phosphate plant which includes any combination of the following: reactors, granulators, dryers, coolers, screens and mills. (Subpart V)    t.    Triple super phosphate plants in the phosphate fertilizer industry.A triple super phosphate plant which includes any combination of the following: mixers, curing belts (dens), reactors, granulators, dryers, cookers, screens, mills and facilities which store run-of-pile triple superphosphate. (Subpart W)    u.    Granular triple superphosphate storage facilities in the phosphate fertilizer industry.A granular triple superphosphate storage facility which includes any combination of the following: storage or curing piles, conveyors, elevators, screens and mills. (Subpart X)    v.    Coal preparation plants.Any of the following at a coal preparation plant which processes more than 200 tons per day: thermal dryers; pneumatic coal cleaning equipment (air tables); coal processing and conveying equipment (including breakers and crushers); coal storage systems; and coal transfer and loading systems. (Subpart Y)    w.    Ferroalloy production.Any of the following: electric submerged arc furnaces which produce silicon metal, ferrosilicon, calcium silicon, silicomanganese zirconium, ferrochrome silicon, silvery iron, high-carbon ferrochrome, charge chrome, standard ferromanganese, silicomanganese, ferromanganese silicon, or calcium carbide; and dust-handling equipment. (Subpart Z)    x.    Kraft pulp mills.Any of the following in a kraft pulp mill: digester system; brown stock washer system; multiple effect evaporator system; black liquor oxidation system; recovery furnace; smelt dissolving tank; lime kiln; and condensate stripper system. In pulp mills where kraft pulping is combined with neutral sulfite semichemical pulping, the provisions of the standard of performance are applicable when any portion of the material charged to an affected facility is produced by the kraft pulping operation. (Subpart BBas amended or corrected through February 27, 2014)    y.    Lime manufacturing plants.A rotary lime kiln or a lime hydrator used in the manufacture of lime at other than a kraft pulp mill. (Subpart HH)    z.    Electric utility steam generating units.An electric utility steam generating unit that is capable of combusting more than 250 million Btus per hour (73 megawatts) heat input of fossil fuel for which construction or modification or reconstruction is commenced after September 18, 1978, or an electric utility combined cycle gas turbine that is capable of combusting more than 250 million Btus per hour (73 megawatts) heat input. “Electric utility steam generating unit” means any steam electric generating unit that is constructed for the purpose of supplying more than one-third of its potential electric output capacity and more than 25 MW net-electrical output to any utility power distribution system for sale. Also, any steam supplied to a steam distribution system for the purpose of providing steam to a steam electric generator that would produce electrical energy for sale is considered in determining the electrical energy output capacity of the affected facility. (Subpart Da as amended through January 20, 2011)    aa.    Stationary gas turbines.Any simple cycle gas turbine, regenerative cycle gas turbine or any gas turbine portion of a combined cycle steam/electric generating system that is not self-propelled. It may, however, be mounted on a vehicle for portability. (Subpart GG)    bb.    Petroleum storage vessels.Unless exempted, any storage vessel for petroleum liquids for which the construction, reconstruction, or modification commenced after June 11, 1973, and prior to May 19, 1978, having a storage capacity greater than 151,412 liters (40,000 gallons). (Subpart K)    cc.    Petroleum storage vessels.Unless exempted, any storage vessel for petroleum liquids for which the construction, reconstruction, or modification commenced after May 18, 1978, and prior to July 23, 1984, having a storage capacity greater than 151,416 liters (40,000 gallons). (Subpart Ka)    dd.    Glass manufacturing plants.Any glass melting furnace. (Subpart CC)    ee.    Automobile and light-duty truck surface coating operations at assembly plants.Any of the following in an automobile or light-duty truck assembly plant: prime coat operations, guide coat operations, and topcoat operations. (Subpart MM)    ff.    Ammonium sulfate manufacture.Any of the following in the ammonium sulfate industry: ammonium sulfate dryers in the caprolactam by-product, synthetic, and coke oven by-product sectors of the industry. (Subpart PP)    gg.    Surface coating of metal furniture.Any metal furniture surface coating operation in which organic coatings are applied. (Subpart EE)    hh.    Lead-acid battery manufacturing plants.Any lead-acid battery manufacturing plant which uses any of the following: grid casting, paste mixing, three-process operation, lead oxide manufacturing, lead reclamation, other lead-emitting operations. (Subpart KK)    ii.    Phosphate rock plants.Any phosphate rock plant which has a maximum plant production capacity greater than four tons per hour including the following: dryers, calciners, grinders, and ground rock handling and storage facilities, except those facilities producing or preparing phosphate rock solely for consumption in elemental phosphorus production. (Subpart NN)    jj.    Graphic arts industry.Publication rotogravure printing. Any publication rotogravure printing press except proof presses. (Subpart QQ)    kk.    Industrial surface coating — large appliances.Any surface coating operation in a large appliance surface coating line. (Subpart SS)    ll.    Metal coil surface coating.Any of the following at a metal coil surface coating operation: prime coat operation, finish coat operation, and each prime and finish coat operation combined when the finish coat is applied wet-on-wet over the prime coat and both coatings are cured simultaneously. (Subpart TT)    mm.    Asphalt processing and asphalt roofing manufacturing.Any saturator, mineral handling and storage facility at asphalt roofing plants; and any asphalt storage tank and any blowing still at asphalt processing plants, petroleum refineries, and asphalt roofing plants. (Subpart UU)    nn.    Equipment leaks of volatile organic compounds (VOC) in the synthetic organic chemicals manufacturing industry.Standards for affected facilities in the synthetic organic chemicals manufacturing industry (SOCMI) that commenced construction, reconstruction, or modification after January 5, 1981, and on or before November 7, 2006, are set forth in Subpart VV. Standards for affected SOCMI facilities that commenced construction, reconstruction or modification after November 7, 2006, are set forth in Subpart VVa. The standards apply to pumps, compressors, pressure relief devices, sampling systems, open-ended valves or lines (OEL), valves, and flanges or other connectors which handle VOC. (Subpart VV and Subpart VVa)    oo.    Beverage can surface coating.Any beverage can surface coating lines for two-piece steel or aluminum containers in which soft drinks or beer are sold. (Subpart WW)    pp.    Bulk gasoline terminals.The total of all loading racks at bulk gasoline terminals which deliver liquid product into gasoline tank trucks. (Subpart XX)    qq.    Pressure sensitive tape and label surface coating operations.Any coating line used in the tape manufacture of pressure sensitive tape and label materials. (Subpart RR)    rr.    Metallic mineral processing plants.Any ore processing and handling equipment. (Subpart LL)    ss.    Synthetic fiber production facilities.Any solvent-spun synthetic fiber process that produces more than 500 megagrams of fiber per year. (Subpart HHH)    tt.    Equipment leaks of VOC in petroleum refineries.A compressor and all equipment (defined in 40 CFR, Part 60.591) within a process unit for which the construction, reconstruction, or modification commenced after January 4, 1983. (Subpart GGG)    uu.    Flexible vinyl and urethane coating and printing.Each rotogravure printing line used to print or coat flexible vinyl or urethane products. (Subpart FFF)    vv.    Petroleum dry cleaners.Petroleum dry-cleaning plant with a total manufacturer’s rated dryer capacity equal to or greater than 38 kilograms (84 pounds): petroleum solvent dry-cleaning dryers, washers, filters, stills, and settling tanks. (Subpart JJJ)    ww.    Electric arc furnaces and argon-oxygen decarburization vessels constructed after August 17, 1983.Steel plants that produce carbon, alloy, or specialty steels: electric arc furnaces, argon-oxygen decarburization vessels, and dust-handling systems. (Subpart AAa)    xx.    Wool fiberglass insulation manufacturing plants.Rotary spin wool fiberglass manufacturing line. (Subpart PPP)    yy.    Iron and steel plants.Secondary emissions from basic oxygen process steelmaking facilities for which construction, reconstruction, or modification commenced after January 20, 1983. (Subpart Na)    zz.    Equipment leaks of VOC from on-shore natural gas processing plants.A compressor and all equipment defined in 40 CFR, Part 60.631, unless exempted, for which construction, reconstruction, or modification commenced after January 20, 1984. (Subpart KKK)    aaa.    On-shore natural gas processing: SO2 emissions.Unless exempted, each sweetening unit and each sweetening unit followed by a sulfur recovery unit for which construction, reconstruction, or modification commenced after January 20, 1984. (Subpart LLL)    bbb.    Nonmetallic mineral processing plants.Unless exempted, each crusher, grinding mill, screening operation, bucket elevator, belt conveyor, bagging operation, storage bin, enclosed truck or rail car loading station in fixed or portable nonmetallic mineral processing plants for which construction, reconstruction, or modification commenced after August 31, 1983. (Subpart OOO)    ccc.    Industrial-commercial-institutional steam generating units.Unless exempted, each steam generating unit for which construction, reconstruction, or modification commenced after June 19, 1984, and which has a heat input capacity of more than 100 million Btu/hour. (Subpart Db as amended through January 20, 2011)    ddd.    Volatile organic liquid storage vessels.Unless exempted, volatile organic liquid storage vessels for which construction, reconstruction, or modification commenced after July 23, 1984. (Subpart Kb)    eee.    Rubber tire manufacturing plants.Unless exempted, each undertread cementing operation, each sidewall cementing operation, each tread end cementing operation, each bead cementing operation, each green tire spraying operation, each Michelin-A operation, each Michelin-B operation, and each Michelin-C automatic operation that commences construction or modification after January 20, 1983. (Subpart BBB)    fff.    Industrial surface coating: surface coating of plastic parts for business machines.Each spray booth in which plastic parts for use in the manufacture of business machines receive prime coats, color coats, texture coats, or touch-up coats for which construction, modification, or reconstruction begins after January 8, 1986. (Subpart TTT)    ggg.    VOC emissions from petroleum refinery wastewater systems.Each individual drain system, each oil-water separator, and each aggregate facility for which construction, modification or reconstruction is commenced after May 4, 1987. (Subpart QQQ)    hhh.    Magnetic tape coating facilities.Unless exempted, each coating operation and each piece of coating mix preparation equipment for which construction, modification, or reconstruction is commenced after January 22, 1986. (Subpart SSS)    iii.    Polymeric coating of supporting substrates.Unless exempted, each coating operation and any on-site coating mix preparation equipment used to prepare coatings for the polymeric coating of supporting substrates for which construction, modification, or reconstruction begins after April 30, 1987. (Subpart VVV)    jjj.    VOC emissions from synthetic organic chemical manufacturing industry air oxidation unit processes.Unless exempted, any air oxidation reactor, air oxidation reactor and recovery system or combination of two or more reactors and the common recovery system used in the production of any of the chemicals listed in 40 CFR §60.617 for which construction, modification or reconstruction commenced after October 21, 1983. (Subpart III)    kkk.    VOC emissions from synthetic organic chemical manufacturing industry distillation operations.Unless exempted, any distillation unit, distillation unit and recovery system or combination of two or more distillation units and the common recovery system used in the production of any of the chemicals listed in 40 CFR §60.667 for which construction, modification or reconstruction commenced after December 30, 1983. (Subpart NNN)    lll.    Small industrial-commercial-institutional steam generating units.Each steam generating unit for which construction, modification, or reconstruction is commenced after June 9, 1989, and that has a maximum design heat input capacity of 100 million Btu per hour or less, but greater than or equal to 10 million Btu per hour. (Subpart Dc as amended through January 20, 2011)    mmm.     VOC emissions from the polymer manufacturing industry.Each of the following process sections in the manufacture of polypropylene and polyethylene—raw materials preparation, polymerization reaction, material recovery, product finishing, and product storage; each material recovery section of polystyrene manufacturing using a continuous process; each polymerization reaction section of poly(ethylene terephthalate) manufacturing using a continuous process; each material recovery section of poly(ethylene terephthalate) manufacturing using a continuous process that uses dimethyl terephthalate; each raw material section of poly(ethylene terephthalate) manufacturing using a continuous process that uses terephthalic acid; and each group of fugitive emissions equipment within any process unit in the manufacturing of polypropylene, polyethylene, or polystyrene (including expandable polystyrene). The applicability date for construction, modification or reconstruction for polystyrene and poly(ethylene terephthalate) affected facilities and some polypropylene and polyethylene affected facilities is September 30, 1987. For the other polypropylene and polyethylene affected facilities the applicability date for these regulations is January 10, 1989. (Subpart DDD)    nnn.    Municipal waste combustors.Unless exempted, a municipal waste combustor with a capacity greater than 225 megagrams per day of municipal solid waste for which construction is commenced after December 20, 1989, and on or before September 20, 1994, and modification or reconstruction is commenced after December 20, 1989, and on or before June 19, 1996. (Subpart Ea)    ooo.    Grain elevators.A grain terminal elevator or any grain storage elevator except as provided under 40 CFR 60.304(b), August 31, 1993. A grain terminal elevator means any grain elevator which has a permanent storage capacity of more than 2.5 million U.S. bushels except those located at animal food manufacturers, pet food manufacturers, cereal manufacturers, breweries, and livestock feedlots. A grain storage elevator means any grain elevator located at any wheat flour mill, wet corn mill, dry corn mill (human consumption), rice mill, or soybean oil extraction plant which has a permanent grain storage capacity of 1 million bushels. Any construction, modification, or reconstruction after August 3, 1978, is subject to this paragraph. (Subpart DD)    ppp.    Mineral processing plants.Each calciner and dryer at a mineral processing plant unless excluded for which construction, modification, or reconstruction is commenced after April 23, 1986. (Subpart UUU)    qqq.    VOC emissions from synthetic organic chemical manufacturing industry reactor processes.Unless exempted, each affected facility that is part of a process unit that produces any of the chemicals listed in 40 CFR §60.707 as a product, coproduct, by-product, or intermediate for which construction, modification, or reconstruction commenced after June 29, 1990. Affected facility is each reactor process not discharging its vent stream into a recovery system, each combination of a reactor process and the recovery system into which its vent stream is discharged, or each combination of two or more reactor processes and the common recovery system into which their vent streams are discharged. (Subpart RRR)    rrr.    Municipal solid waste landfills, as defined by 40 CFR 60.751.Each municipal solid waste landfill that commenced construction, reconstruction or modification or began accepting waste on or after May 30, 1991, must comply. (Subpart WWW as amended through April 10, 2000)    sss.    Municipal waste combustors.Unless exempted, a municipal waste combustor with a combustion capacity greater than 250 tons per day of municipal solid waste for which construction, modification or reconstruction is commenced after September 20, 1994, or for which modification or reconstruction is commenced after June 19, 1996. (Subpart Eb)    ttt.    Hospital/medical/infectious waste incinerators.Unless exempted, a hospital/medical/ infectious waste incinerator for which construction is commenced after June 20, 1996, or for which modification is commenced after March 16, 1998. (Subpart Ec)**As of November 24, 2010, the adoption by reference of Part 60 Subpart Ec is rescinded.    uuu.    New small municipal waste combustion units.Unless exempted, this standard applies to a small municipal waste combustion unit that commenced construction after August 30, 1999, or small municipal waste combustion units that commenced reconstruction or modification after June 6, 2001. (Part 60, Subpart AAAA)    vvv.    Commercial and industrial solid waste incineration.Unless exempted, this standard applies to units for which construction is commenced after November 30, 1999, or for which modification or reconstruction is commenced on or after June 1, 2001. (Part 60, Subpart CCCC, as amended through December 1, 2000)    www.     Other solid waste incineration (OSWI) units.Unless exempted, this standard applies to other solid waste incineration (OSWI) units for which construction is commenced after December 9, 2004, or for which modification or reconstruction is commenced on or after June 16, 2006. (Part 60, Subpart EEEE)    xxx.    Reserved.    yyy.    Stationary compression ignition internal combustion engines.Unless otherwise exempted, these standards apply to each stationary compression ignition internal combustion engine whose construction, modification or reconstruction commenced after July 11, 2005. (Part 60, Subpart IIII)    zzz.    Stationary spark ignition internal combustion engines.These standards apply to each stationary spark ignition internal combustion engine whose construction, modification or reconstruction commenced after June 12, 2006. (Part 60, Subpart JJJJ)    aaaa.     Stationary combustion turbines.Unless otherwise exempted, these standards apply to stationary combustion turbines with a heat input at peak load equal to or greater than 10 MMBtu per hour, based on the higher heating value of the fuel, that commence construction, modification, or reconstruction after February 18, 2005. (Part 60, Subpart KKKK)    bbbb.     Nitric acid plants.Unless otherwise exempted, these standards apply to any nitric acid production unit that commenced construction, reconstruction or modification after October 14, 2011. (Subpart Ga)    cccc.     Sewage sludge incineration units.Each sewage sludge incineration (SSI) unit for which construction or reconstruction commenced after October 14, 2010, or for which modification commenced after September 21, 2011, must comply. (Subpart LLLL)

        ITEM 4.    Amend subrule 23.1(3), introductory paragraph, as follows:    23.1(3) Emission standards for hazardous air pollutants.  The federal standards for emissions of hazardous air pollutants, 40 Code of Federal Regulations Part 61 as amended or corrected through August 30, 2016October 7, 2020, and 40 CFR Part 503 as adopted on August 4, 1999, are adopted by reference, except 40 CFR §61.20 to §61.26, §61.90 to §61.97, §61.100 to §61.108, §61.120 to §61.127, §61.190 to §61.193, §61.200 to §61.205, §61.220 to §61.225, and §61.250 to §61.256, and shall apply to the following affected pollutants and facilities and activities listed below. The corresponding 40 CFR Part 61 subpart designation is in parentheses.A different date for adoption by reference may be included with the subpart designation in parentheses. Reference test methods (Appendix B), compliance status information requirements (Appendix A), quality assurance procedures (Appendix C) and the general provisions (Subpart A) of Part 61 also apply to the affected activities or facilities.

        ITEM 5.    Amend subrule 23.1(4) as follows:    23.1(4) Emission standards for hazardous air pollutants for source categories.  The federal standards for emissions of hazardous air pollutants for source categories, 40 Code of Federal Regulations Part 63 as amended or corrected through March 15, 2019November 3, 2020, are adopted by reference, except those provisions which cannot be delegated to the states. The corresponding 40 CFR Part 63 subpart designation is in parentheses. An earlierA different date for adoption by reference may be included with the subpart designation in parenthesesor as indicated in this introductory paragraph. 40 CFR Part 63, Subpart B, incorporates the requirements of Clean Air Act Sections 112(g) and 112(j) and does not adopt standards for a specific affected facility. Test methods (Appendix Aas amended or corrected through December 2, 2020), sources defined for early reduction provisions (Appendix B), and determination of the fraction biodegraded (Fbio) in the biological treatment unit (Appendix C) of Part 63 also apply to the affected activities or facilities. For the purposes of this subrule, “hazardous air pollutant” has the same meaning found in rule 567—22.100(455B). For the purposes of this subrule, a “major source” means any stationary source or group of stationary sources located within a contiguous area and under common control that emits or has the potential to emit, considering controls, in the aggregate, 10 tons per year or more of any hazardous air pollutant or 25 tons per year or more of any combination of hazardous air pollutants, unless a lesser quantity is established, or in the case of radionuclides, where different criteria are employed. For the purposes of this subrule, an “area source” means any stationary source of hazardous air pollutants that is not a “major source” as defined in this subrule. Paragraph 23.1(4)“a,” general provisions (Subpart A) of Part 63, shall apply to owners or operators who are subject to subsequent subparts of 40 CFR Part 63 (except when otherwise specified in a particular subpart or in a relevant standard) as adopted by reference below.    a.    General provisions.General provisions apply to owners or operators of affected activities or facilities except when otherwise specified in a particular subpart or in a relevant standard. (Subpart A)    b.    Requirements for control technology determinations for major sources in accordance with Clean Air Act Sections 112(g) and 112(j).(40 CFR Part 63, Subpart B)    (1)   Section 112(g) requirements. For the purposes of this subparagraph, the definitions shall be the same as the definitions found in 40 CFR 63.2 and 40 CFR 63.41 as amended through December 27, 1996. The owner or operator of a new or reconstructed major source of hazardous air pollutants must apply maximum achievable control technology (MACT) for new sources to the new or reconstructed major source. If the major source in question has been specifically regulated or exempted from regulation under a standard issued pursuant to Section 112(d), Section 112(h), or Section 112(j) of the Clean Air Act and incorporated in another subpart of 40 CFR Part 63, excluded in 40 CFR 63.40(e) and (f), or the owner or operator of such major source has received all necessary air quality permits for such construction or reconstruction project before June 29, 1998, then the major source in question is not subject to the requirements of this subparagraph. The owner or operator of an affected source shall apply for a construction permit as required in 567—paragraph 22.1(1)“b.” The construction permit application shall contain an application for a case-by-case MACT determination for the major source.    (2)   Section 112(j) requirements. The owner or operator of a new or existing major source of hazardous air pollutants which includes one or more stationary sources included in a source category or subcategory for which the U.S. Environmental Protection Agency has failed to promulgate an emission standard within 18 months of the deadline established under CAA 112(d) must submit a MACT application (Parts 1 and 2) in accordance with the provisions of 40 CFR 63.52, as amended through April 5, 2002, by the CAA Section 112(j) deadline. In addition, the owner or operator of a new emission unit may submit an application for a Notice of MACT Approval before construction, as defined in 40 CFR 63.41, in accordance with the provisions of 567—paragraph 22.1(3)“a.”    c.    Reserved.    d.    Compliance extensions for early reductions of hazardous air pollutants.Compliance extensions for early reductions of hazardous air pollutants are available to certain owners or operators of an existing source who wish to obtain a compliance extension from a standard issued under Section 112(d) of the Act. (Subpart D)    e.    Reserved.    f.    Emission standards for organic hazardous air pollutants from the synthetic chemical manufacturing industry.These standards apply to chemical manufacturing process units that are part of a major source. These standards include applicability provisions, definitions and other general provisions that are applicable to Subparts F, G, and H of 40 CFR 63. (Subpart F)    g.    Emission standards for organic hazardous air pollutants from the synthetic organic chemical manufacturing industry for process vents, storage vessels, transfer operations, and wastewater.These standards apply to all process vents, storage vessels, transfer racks, and wastewater streams within a source subject to Subpart F of 40 CFR 63. (Subpart G)    h.    Emission standards for organic hazardous air pollutants for equipment leaks.These standards apply to emissions of designated organic hazardous air pollutants from specified processes that are located at a plant site that is a major source. Affected equipment includes: pumps, compressors, agitators, pressure relief devices, sampling connection systems, open-ended valves or lines, valves, connectors, surge control vessels, bottoms receivers, instrumentation systems and control devices or systems required by this subpart that are intended to operate in organic hazardous air pollutant service 300 hours or more during the calendar year within a source subject to the provisions of a specific subpart in 40 CFR Part 63. In organic hazardous air pollutant or in organic HAP service means that a piece of equipment either contains or contacts a fluid (liquid or gas) that is at least 5 percent by weight of total organic HAPs as determined according to the provisions of 40 CFR Part 63.161. The provisions of 40 CFR Part 63.161 also specify how to determine that a piece of equipment is not in organic HAP service. (Subpart H)    i.    Emission standards for organic hazardous air pollutants for certain processes subject to negotiated regulation for equipment leaks.These standards apply to emissions of designated organic hazardous air pollutants from specified processes (defined in 40 CFR 63.190) that are located at a plant site that is a major source. Subject equipment includes pumps, compressors, agitators, pressure relief devices, sampling connection systems, open-ended valves or lines, valves, connectors, and instrumentation systems at certain source categories. These standards establish the applicability of Subpart H for sources that are not classified as synthetic organic chemical manufacturing industries. (Subpart I)    j.    Emission standards for hazardous air pollutants for polyvinyl chloride and copolymers production.Rescinded IAB 3/18/15, effective 4/22/15.    k.    Reserved.    l.    Emission standards for coke oven batteries.These standards apply to existing coke oven batteries, including by-product and nonrecovery coke oven batteries and to new coke oven batteries, or as defined in the subpart. (Subpart L)    m.    Perchloroethylene air emission standards for dry cleaning facilities (40 CFR Part 63, Subpart M).These standards apply to the owner or operator of each dry cleaning facility that uses perchloroethylene (also known as perc). The specific standards applicable to dry cleaning facilities, including the compliance deadlines, are set out in the federal regulations contained in Subpart M. In general, dry cleaning facilities must meet the following requirements, which are set out in greater detail in Subpart M:    (1)   New and existing major source dry cleaning facilities are required to control emissions to the level of the maximum achievable control technology (MACT).    (2)   New and existing area source dry cleaning facilities are required to control emissions to the level achieved by generally available control technologies (GACT) or management practices.    (3)   New area sources that are located in residential buildings and that commence operation after July 13, 2006, are prohibited from using perc.    (4)   New area sources located in residential buildings that commenced operation between December 21, 2005, and July 13, 2006, must eliminate all use of perc by July 27, 2009.    (5)   Existing area sources located in residential buildings must eliminate all use of perc by December 21, 2020.    (6)   New area sources that are not located in residential buildings are prohibited from operating transfer machines.    (7)   Existing area sources that are not located in residential buildings are prohibited from operating transfer machines after July 27, 2008.    (8)   All sources must comply with the requirements in Subpart M for emissions control, equipment specifications, leak detection and repair, work practice standards, record keeping and reporting.    n.    Emission standards for chromium emissions from hard and decorative chromium electroplating and chromium anodizing tanks.These standards limit the discharge of chromium compound air emissions from existing and new hard chromium electroplating, decorative chromium electroplating, and chromium anodizing tanks at major and area sources. (Subpart N)    o.    Emission standards for hazardous air pollutants for ethylene oxide commercial sterilization and fumigation operations.New and existing major source ethylene oxide commercial sterilization and fumigation operations are required to control emissions to the level of the maximum achievable control technology (MACT). New and existing area source ethylene oxide commercial sterilization and fumigation operations are required to control emissions to the level achieved by generally available control technologies (GACT). Certain sources are exempt as described in 40 CFR 63.360. (Subpart O)    p.    Emission standards for primary aluminum reduction plants.Rescinded IAB 3/18/15, effective 4/22/15.    q.    Emission standards for hazardous air pollutants for industrial process cooling towers.These standards apply to all new and existing industrial process cooling towers that are operated with chromium-based water treatment chemicals on or after September 8, 1994, and are either major sources or are integral parts of facilities that are major sources. (Subpart Q)    r.    Emission standards for hazardous air pollutants for sources categories: gasoline distribution: (Stage 1).These standards apply to all existing and new bulk gasoline terminals and pipeline breakout stations that are major sources of hazardous air pollutants or are located at plant sites that are major sources. Bulk gasoline terminals and pipeline breakout stations located within a contiguous area or under common control with a refinery complying with 40 CFR Subpart CC are not subject to 40 CFR Subpart R standards. (Subpart R)    s.    Emission standards for hazardous air pollutants for pulp and paper (noncombustion).These standards apply to pulping and bleaching process sources at kraft, soda, sulfite, and stand-alone semichemical pulp mills. Affected sources include pulp mills and integrated mills (mills that manufacture pulp and paper/paperboard) that chemically pulp wood fiber (using kraft, sulfite, soda, or semichemical methods); pulp secondary fiber; pulp nonwood fiber; and mechanically pulp wood fiber. (Subpart S)    t.    Emission standards for hazardous air pollutants: halogenated solvent cleaning.These standards require batch vapor solvent cleaning machines and in-line solvent cleaning machines to meet emission standards reflecting the application of maximum achievable control technology (MACT) for major and area sources; area source batch cold cleaning machines are required to achieve generally available control technology (GACT). The subpart regulates the emissions of the following halogenated hazardous air pollutant solvents: methylene chloride, perchloroethylene, trichloroethylene, 1,1,1-trichloroethane, carbon tetrachloride, and chloroform. (Subpart T)    u.    Emission standards for hazardous air pollutants: Group I polymers and resins.Applicable to existing and new major sources that emit organic HAP during the manufacture of one or more elastomers including but not limited to producers of butyl rubber, halobutyl rubber, epichlorohydrin elastomers, ethylene propylene rubber, Hypalon™, neoprene, nitrile butadiene rubber, nitrile butadiene latex, polybutadiene rubber/styrene butadiene rubber by solution, polysulfide rubber, styrene butadiene rubber by emulsion, and styrene butadiene latex. MACT is required for major sources. (Subpart U)    v.    Reserved.    w.    Emission standards for hazardous air pollutants for epoxy resins production and nonnylon polyamides production.These standards apply to all existing, new and reconstructed manufacturers of basic liquid epoxy resins and manufacturers of wet strength resins that are located at a plant site that is a major source. (Subpart W)    x.    National emission standards for hazardous air pollutants from secondary lead smelting.Rescinded IAB 3/18/15, effective 4/22/15.    y.    Emission standards for marine tank vessel loading operations.This standard requires existing and new major sources to control emissions using maximum achievable control technology (MACT) to control hazardous air pollutants (HAP). (Subpart Y)    z.    Reserved.    aa.    Emission standards for hazardous air pollutants for phosphoric acid manufacturing.These standards apply to all new and existing major sources of phosphoric acid manufacturing. Affected processes include, but are not limited to, wet process phosphoric acid process lines, superphosphoric acid process lines, phosphate rock dryers, phosphate rock calciners, and purified phosphoric acid process lines. (Subpart AA)    ab.    Emission standards for hazardous air pollutants for phosphate fertilizers production.These standards apply to all new and existing major sources of phosphate fertilizer production plants. Affected processes include, but are not limited to, diammonium and monoammonium phosphate process lines, granular triple superphosphate process lines, and granular triple superphosphate storage buildings. (Subpart BB)    ac.    National emission standards for hazardous air pollutants: petroleum refineries.Rescinded IAB 3/18/15, effective 4/22/15.    ad.    Emission standards for hazardous air pollutants for off-site waste and recovery operations.This rule applies to major sources of HAP emissions which receive certain wastes, used oil, and used solvents from off-site locations for storage, treatment, recovery, or disposal at the facility. Maximum achievable control technology (MACT) is required to reduce HAP emissions from tanks, surface impoundments, containers, oil-water separators, individual drain systems and other material conveyance systems, process vents, and equipment leaks. Regulated entities include but are not limited to businesses that operate any of the following: hazardous waste treatment, storage, and disposal facilities; Resource Conservation and Recovery Act (RCRA) exempt hazardous wastewater treatment facilities other than publicly owned treatment works; used solvent recovery plants; RCRA exempt hazardous waste recycling operations; used oil re-refineries. The regulations also apply to federal agency facilities that operate any of the waste management or recovery operations. (Subpart DD)    ae.    Emission standards for magnetic tape manufacturing operations.These standards apply to major sources performing magnetic tape manufacturing operations. (Subpart EE)    af.    Reserved.    ag.    National emission standards for hazardous air pollutants for source categories: aerospace manufacturing and rework facilities.These standards apply to major sources involved in the manufacture, repair, or rework of aerospace components and assemblies, including but not limited to airplanes, helicopters, missiles, and rockets for civil, commercial, or military purposes. Hazardous air pollutants regulated under this standard include chromium, cadmium, methylene chloride, toluene, xylene, methyl ethyl ketone, ethylene glycol, and glycol ethers. (Subpart GG)    ah.    Emission standards for hazardous air pollutants for oil and natural gas production.These standards apply to all new and existing major sources of oil and natural gas production. Affected sources include, but are not limited to, processing of liquid or gaseous hydrocarbons, such as ethane, propane, butane, pentane, natural gas, and condensate extracted from field natural gas. (Subpart HH)    ai.    Emission standards for hazardous air pollutants for shipbuilding and ship repair (surface coating) operations.Rescinded IAB 3/18/15, effective 4/22/15.    aj.    Emission standards for hazardous air pollutants for hazardous air pollutant (HAP) emissions from wood furniture manufacturing operations.These standards apply to each facility that is engaged, either in part or in whole, in the manufacture of wood furniture or wood furniture components and that is located at a plant site that is a major source. (Subpart JJ)    ak.    Emission standards for hazardous air pollutants for the printing and publishing industry.Existing and new major sources are required to control hazardous air pollutants (HAP) using the maximum achievable control technology (MACT). Affected units are publication rotogravure, product and packaging rotogravure, and wide-web flexographic printing. (Subpart KK)    al.    Emission standards for hazardous air pollutants for primary aluminum reduction plants.Rescinded IAB 3/18/15, effective 4/22/15.    am.    Emission standards for hazardous air pollutants for chemical recovery combustion sources at kraft, soda, sulfite, and stand-alone semichemical pulp mills.(Part 63, Subpart MMas amended or corrected through October 11, 2017)    an.    Reserved.    ao.    Emission standards for tanks – level 1.These provisions apply when another paragraph under this rule references the use of this paragraph for such air emission control. These air emission standards are placed here for administrative convenience and only apply to those owners and operators of facilities subject to the referencing paragraph. The provisions of paragraph 23.1(4)“a,” general provisions (Subpart A), do not apply to this paragraph except as specified in a referencing paragraph. (Part 63, Subpart OO)    ap.    Emission standards for containers.These provisions apply when another paragraph under this rule references the use of this paragraph for such air emission control. These air emission standards are placed here for administrative convenience and only apply to those owners and operators of facilities subject to the referencing paragraph. The provisions of paragraph 23.1(4)“a,” general provisions (Subpart A), do not apply to this paragraph except as specified in a referencing paragraph. (Part 63, Subpart PP)    aq.    Emission standards for surface impoundments.These provisions apply when another paragraph under this rule references the use of this paragraph for such air emission control. These air emission standards are placed here for administrative convenience and only apply to those owners and operators of facilities subject to the referencing paragraph. The provisions of paragraph 23.1(4)“a,” general provisions (Subpart A), do not apply to this paragraph except as specified in a referencing paragraph. (Part 63, Subpart QQ)    ar.    Emission standards for individual drain systems.These provisions apply when another paragraph under this rule references the use of this paragraph for such air emission control. These air emission standards are placed here for administrative convenience and only apply to those owners and operators of facilities subject to the referencing paragraph. The provisions of paragraph 23.1(4)“a,” general provisions (Subpart A), do not apply to this paragraph except as specified in a referencing paragraph. (Part 63, Subpart RR)    as.    Emission standards for closed vent systems, control devices, recovery devices and routing to a fuel gas system or a process.These provisions apply when another paragraph under this rule references the use of this paragraph for such air emission control. These air emission standards are placed here for administrative convenience and only apply to those owners and operators of facilities subject to the referencing paragraph. The provisions of paragraph 23.1(4)“a,” general provisions, (Subpart A), do not apply to this paragraph except as specified in a referencing paragraph. (Subpart SS)    at.    Emission standards for equipment leaks—control level 1.These provisions apply to the control of air emissions from equipment leaks for which another paragraph under this rule references the use of this paragraph for such emission control. These air emission standards for equipment leaks are placed here for administrative convenience and only apply to those owners and operators of facilities subject to the referencing paragraph. The provisions of paragraph 23.1(4)“a,” general provisions, (Subpart A), do not apply to this paragraph except as specified in a referencing paragraph. (Subpart TT)    au.    Emission standards for equipment leaks—control level 2 standards.These provisions apply to the control of air emissions from equipment leaks for which another paragraph under this rule references the use of this paragraph for such air emission control. These air emission standards for equipment leaks are placed here for administrative convenience and only apply to those owners and operators of facilities subject to the referencing paragraph. The provisions of paragraph 23.1(4)“a,” general provisions, (Subpart A), do not apply to this paragraph except as specified in a referencing paragraph. (Subpart UU)    av.    Emission standards for oil-water separators and organic-water separators.These provisions apply when another paragraph under this rule references the use of this paragraph for such air emission control. These air emission standards are placed here for administrative convenience and only apply to those owners and operators of facilities subject to the referencing paragraph. The provisions of paragraph 23.1(4)“a,” general provisions (Subpart A), do not apply to this paragraph except as specified in a referencing paragraph. (Part 63, Subpart VV)    aw.    Emission standards for storage vessels (tanks)—control level 2.These provisions apply to the control of air emissions from storage vessels for which another paragraph under this rule references the use of this paragraph for such air emission control. These air emission standards for storage vessels are placed here for administrative convenience and only apply to those owners and operators of facilities subject to the referencing paragraph. The provisions of paragraph 23.1(4)“a,” general provisions, (Subpart A), do not apply to this paragraph except as specified in a referencing paragraph. (Subpart WW)    ax.    Emission standards for ethylene manufacturing process units: heat exchange systems and waste operations.This standard applies to hazardous air pollutants (HAPs) from heat exchange systems and waste streams at new and existing ethylene production units. (Part 63, Subpart XX)    ay.    Emission standards for hazardous air pollutants: generic maximum achievable control technology (Generic MACT).These standards apply to new and existing major sources of acetal resins (AR) production, acrylic and modacrylic fiber (AMF) production, hydrogen fluoride (HF) production, polycarbonate (PC) production, carbon black production, cyanide chemicals manufacturing, ethylene production, and Spandex production. Affected processes include, but are not limited to, producers of homopolymers and copolymers of alternating oxymethylene units, acrylic fiber, modacrylic fiber synthetics composed of acrylonitrile (AN) units, hydrogen fluoride and polycarbonate. (Subpart YYas amended or corrected through October 8, 2014)    az.    to bb. Reserved.    bc.    Emission standards for hazardous air pollutants for steel pickling—HCL process facilities and hydrochloric acid regeneration plants.Rescinded IAB 3/18/15, effective 4/22/15.    bd.    Emission standards for hazardous air pollutants for mineral wool production.These standards apply to all new and existing major sources of mineral wool production. Affected processes include, but are not limited to, cupolas and curing ovens. (Subpart DDD)    be.    Emission standards for hazardous air pollutants from hazardous waste combustors.These standards apply to all hazardous waste combustors: hazardous waste incinerators, hazardous waste burning cement kilns, hazardous waste burning lightweight aggregate kilns, hazardous waste solid fuel boilers, hazardous waste liquid fuel boilers, and hazardous waste hydrochloric acid production furnaces, except as specified in Subpart EEE. Both area sources and major sources are subject to this subpart as of April 19, 1996, and are subject to the requirement to apply for and obtain a Title V permit. (Part 63, Subpart EEE)    bf.    Reserved.    bg.    Emission standards for hazardous air pollutants for pharmaceutical manufacturing.These standards apply to producers of finished dosage forms of drugs, for example, tablets, capsules, and solutions, that contain an active ingredient generally, but not necessarily, in association with inactive ingredients. Pharmaceuticals include components whose intended primary use is to furnish pharmacological activity or other direct effect in the diagnosis, cure, mitigation, treatment, or prevention of disease, or to affect the structure or any function of the body of humans or other animals. The regulations do not apply to research and development facilities. (Subpart GGG)    bh.    Emission standards for hazardous air pollutants for natural gas transmission and storage.These standards apply to all new and existing major sources of natural gas transmission and storage. Natural gas transmission and storage facilities are those that transport or store natural gas prior to its entering the pipeline to a local distribution company. Affected sources include, but are not limited to, mains, valves, meters, boosters, regulators, storage vessels, dehydrators, compressors and delivery systems. (Subpart HHH)    bi.    Emission standards for hazardous air pollutants for flexible polyurethane foam production.These standards apply to producers of slabstock, molded, and rebond flexible polyurethane foam. The regulations do not apply to processes dedicated exclusively to the fabrication (i.e., gluing or otherwise bonding foam pieces together) of flexible polyurethane foam or to research and development. (Subpart III)    bj.    Emission standards for hazardous air pollutants: Group IV polymers and resins.Applicable to existing and new major sources that emit organic HAP during the manufacture of the following polymers and resins: acrylonitrile butadiene styrene resin (ABS), styrene acrylonitrile resin (SAN), methyl methacrylate acrylonitrile butadiene styrene resin (MABS), methyl methacrylate butadiene styrene resin (MBS), polystyrene resin, poly (ethylene terephthalate) resin (PET), and nitrile resin. MACT is required for major sources. (Subpart JJJ)    bk.    Reserved.    bl.    Emission standards for hazardous air pollutants for Portland cement manufacturing operations.These standards apply to all new and existing major and area sources of Portland cement manufacturing unless exempted. Cement kiln dust (CKD) storage facilities, including CKD piles and landfills, are excluded from this standard. Affected processes include, but are not limited to, all cement kilns and in-line kiln/raw mills, unless they burn hazardous waste. (Subpart LLL)    bm.    Emission standards for hazardous air pollutants for pesticide active ingredient production.These standards apply to all new and existing major sources of pesticide active ingredient production that manufacture organic pesticide active ingredients (PAI), including herbicides, insecticides and fungicides. Affected processes include, but are not limited to, processing equipment, connected piping and ducts, associated storage vessels, pumps, compressors, agitators, pressure relief devices, sampling connection systems, open-ended valves or lines, valves and connectors. Exempted sources include research and development facilities, storage vessels already subject to another 40 CFR Part 63 NESHAP, production of ethylene, storm water from segregated sewers, water from fire-fighting and deluge systems (including testing of such systems) and various spills. (Subpart MMM)    bn.    Emission standards for hazardous air pollutants for wool fiberglass manufacturing.These standards apply to all new and existing major sources of wool fiberglass manufacturing. Affected processes include, but are not limited to, all glass-melting furnaces, rotary spin (RS) manufacturing lines that produce bonded building insulation, flame attenuation (FA) manufacturing lines producing bonded pipe insulation and new FA manufacturing lines producing bonded heavy-density products. (Subpart NNN)    bo.    Emission standards for hazardous air pollutants for amino/phenolic resins production.These standards apply to new or existing facilities that own or operate an amino or phenolic resins production unit. (Part 63, Subpart OOO)    bp.    Emission standards for hazardous air pollutants for polyether polyols production.These standards apply to all new and existing major sources of polyether polyols. Polyether polyols are compounds formed through polymerization of ethylene oxide, propylene oxide or other cyclic ethers with compounds having one or more reactive hydrogens to form polyethers. Affected processes include, but are not limited to, storage vessels, process vents, heat exchange systems, equipment leaks and wastewater operations. (Subpart PPP)    bq.    Emission standards for hazardous air pollutants for primary copper smelting.Rescinded IAB 3/18/15, effective 4/22/15.    br.    Emission standards for hazardous air pollutants for secondary aluminum production.(Part 63, Subpart RRR)    bs.    Reserved.    bt.    Emission standards for hazardous air pollutants for primary lead smelting.Rescinded IAB 3/18/15, effective 4/22/15.    bu.    Emission standards for hazardous air pollutants for petroleum refineries: catalytic cracking units, catalytic reforming units, and sulfur recovery units.Rescinded IAB 2/15/17, effective 3/22/17.    bv.    Emission standards for hazardous air pollutants publicly owned treatment works (POTW).(Part 63, Subpart VVV)    bw.    Reserved.    bx.    Emission standards for hazardous air pollutants for ferroalloys production: ferromanganese and silicomanganese.Rescinded IAB 3/14/18, effective 4/18/18.    by.    Reserved.    bz.    Reserved.    ca.    Emission standards for hazardous air pollutants: municipal solid waste landfills.This standard applies to existing and new municipal solid waste (MSW) landfills. (Part 63, Subpart AAAAas amended or corrected through April 20, 2006)    cb.    Reserved.    cc.    Emission standards for hazardous air pollutants for the manufacturing of nutritional yeast.(Part 63, Subpart CCCC)    cd.    Emission standards for hazardous air pollutants for plywood and composite wood products (formerly plywood and particle board manufacturing).These standards apply to new and existing major sources with equipment used to manufacture plywood and composite wood products. This equipment includes dryers, refiners, blenders, formers, presses, board coolers, and other process units associated with the manufacturing process. This also includes coating operations, on-site storage and wastewater treatment. However, only certain process units (defined in the federal rule) are subject to control or work practice requirements. (Part 63, Subpart DDDDas amended or corrected through October 29, 2007)    ce.    Emission standards for hazardous air pollutants for organic liquids distribution (non-gasoline).These standards apply to new and existing major source organic liquids distribution (non-gasoline) operations, which are carried out at storage terminals, refineries, crude oil pipeline stations, and various manufacturing facilities. (Part 63, Subpart EEEE, as amended or corrected through July 17, 2008)    cf.    Emission standards for hazardous air pollutants for miscellaneous organic chemical manufacturing (MON).These standards establish emission limits and work practice standards for new and existing major sources with miscellaneous organic chemical manufacturing process units, wastewater treatment and conveyance systems, transfer operations, and associated ancillary equipment. (Part 63, Subpart FFFF, as amended or corrected through July 14, 2006)    cg.    Emission standards for hazardous air pollutants for solvent extraction for vegetable oil production.(Part 63, Subpart GGGG)    ch.    Emission standards for hazardous air pollutants for wet-formed fiberglass mat production.This standard applies to wet-formed fiberglass mat production plants that are major sources of hazardous air pollutants. These plants may be stand-alone facilities or located with asphalt roofing and processing facilities. (Part 63, Subpart HHHH)    ci.    Emission standards for hazardous air pollutants for surface coating of automobiles and light-duty trucks.These standards apply to new, reconstructed, or existing affected sources, as defined in the standard, that are located at a facility which applies topcoat to new automobile or new light-duty truck bodies or body parts for new automobiles or new light-duty trucks and that is a major source, is located at a major source, or is part of a major source of emissions of hazardous air pollutants. Additional applicability criteria and exemptions from these standards may apply. (Part 63, Subpart IIII)    cj.    Emission standards for hazardous air pollutants: paper and other web coating.This standard applies to a facility that is engaged in the coating of paper, plastic film, metallic foil, and other web surfaces located at a major source of hazardous air pollutant (HAP) emissions. (Part 63, Subpart JJJJ)    ck.    Emission standards for hazardous air pollutants for surface coating of metal cans.These standards apply to a metal can surface coating operation that uses at least 5,700 liters (1,500 gallons (gal)) of coatings per year and is a major source, is located at a major source, or is part of a major source of hazardous air pollutant emissions. Coating operations located at an area source are not subject to this rule. Additional applicability criteria and exemptions from these standards may apply. (Part 63, Subpart KKKK)    cl.    Reserved.    cm.    Emission standards for hazardous air pollutants for surface coating of miscellaneous metal parts and products.These standards apply to miscellaneous metal parts and products surface coating facilities that are a major source, are located at a major source, or are part of a major source of hazardous air pollutant emissions. A miscellaneous metal parts and products surface coating facility that is located at an area source is not subject to this standard. Certain sources are exempt as described in the standard. (Part 63, Subpart MMMM)    cn.    Emission standards for hazardous air pollutants: surface coating of large appliances.This standard applies to a facility that applies coatings to large appliance parts or products, and is a major source, is located at a major source, or is part of a major source of emissions of hazardous air pollutants (HAPs). The large appliances source category includes facilities that apply coatings to large appliance parts or products. Large appliances include “white goods” such as ovens, refrigerators, freezers, dishwashers, laundry equipment, trash compactors, water heaters, comfort furnaces, electric heat pumps and most HVAC equipment intended for any application. (Part 63, Subpart NNNN)    co.    Emission standards for hazardous air pollutants for printing, coating, and dyeing of fabrics and other textiles.These standards apply to new and existing facilities with fabric or other textile coating, printing, slashing, dyeing, or finishing operations, or group of such operations, that are a major source of hazardous air pollutants or are part of a facility that is a major source of hazardous air pollutants. Coating, printing, slashing, dyeing, or finishing operations located at an area source are not subject to this standard. Several exclusions from this source category are listed in the standard. (Part 63, Subpart OOOO)    cp.    Emission standards for surface coating of plastic parts and products.These standards apply to new and existing major sources with equipment used to coat plastic parts and products. The surface coating application process includes drying/curing operations, mixing or thinning operations, and cleaning operations. Coating materials include, but are not limited to, paints, stains, sealers, topcoats, basecoats, primers, inks, and adhesives. (Part 63, Subpart PPPP)    cq.    Emission standards for hazardous air pollutants for surface coating of wood building products.These standards establish emission limitations, operating limits, and work practice requirements for wood building products surface coating facilities that use at least 1,100 gallons of coatings per year and are a major source, are located at a major source, or are part of a major source of hazardous air pollutant emissions. Wood building products surface coating facilities located at an area source are not subject to this standard. Several exclusions from this source category are listed in the standard. (Part 63, Subpart QQQQ)    cr.    Emission standards for hazardous air pollutants: surface coating of metal furniture.This standard applies to a metal furniture surface coating facility that is a major source, is located at a major source, or is part of a major source of HAP emissions. A metal furniture surface coating facility is one that applies coatings to metal furniture or components of metal furniture. Metal furniture means furniture or components that are constructed either entirely or partially from metal. (Part 63, Subpart RRRR)    cs.    Emission standards for hazardous air pollutants: surface coating of metal coil.This standard requires that all new and existing “major” air toxics sources in the metal coil coating industry meet specific emission limits. Metal coil coating is the process of applying a coating (usually protective or decorative) to one or both sides of a continuous strip of sheet metal. Industries using coated metal include: transportation, building products, appliances, can manufacturing, and packaging. Other products using coated metal coil include measuring tapes, ventilation systems for walls and roofs, lighting fixtures, office filing cabinets, cookware, and sign stock material. (Part 63, Subpart SSSS)    ct.    Emission standards for hazardous air pollutants for leather finishing operations.This standard applies to a new or existing leather finishing operation that is a major source of hazardous air pollutants (HAPs) emissions or that is located at, or is part of, a major source of HAP emissions. In general, a leather finishing operation is a single process or group of processes used to adjust and improve the physical and aesthetic characteristics of the leather surface through multistage application of a coating comprised of dyes, pigments, film-forming materials, and performance modifiers dissolved or suspended in liquid carriers. (Part 63, Subpart TTTT)    cu.    Emission standards for hazardous air pollutants for cellulose products manufacturing.This standard applies to a new or existing cellulose products manufacturing operation that is located at a major source of HAP emissions. Cellulose products manufacturing includes both the miscellaneous viscose processes source category and the cellulose ethers production source category. (Part 63, Subpart UUUU)    cv.    Emission standards for hazardous air pollutants for boat manufacturing.(Part 63, Subpart VVVV)    cw.    Emission standards for hazardous air pollutants: reinforced plastic composites production.This standard applies to a new or an existing reinforced plastic composites production facility that is located at a major source of HAP emissions. (Part 63, Subpart WWWW)    cx.    Emission standards for hazardous air pollutants: rubber tire manufacturing.This standard applies to a rubber tire manufacturing facility that is located at, or is a part of, a major source of hazardous air pollutant (HAP) emissions. Rubber tire manufacturing includes the production of rubber tires and/or the production of components integral to rubber tires, the production of tire cord, and the application of puncture sealant. (Part 63, Subpart XXXX)    cy.    Emission standards for hazardous air pollutants for stationary combustion turbines.These standards apply to stationary combustion turbines which are located at a major source of hazardous air pollutant emissions. Several subcategories have been defined within the stationary combustion turbine source category. Each subcategory has distinct requirements as specified in the standards. These standards do not apply to stationary combustion turbines located at an area source of hazardous air pollutant emissions. (Part 63, Subpart YYYY, as amended or corrected through April 20, 2006)    cz.    Emission standards for stationary reciprocating internal combustion engines.These standards apply to new and existing major sources and to new and existing area sources with stationary reciprocating internal combustion engines (RICE). For purposes of these standards, stationary RICE means any reciprocating internal combustion engine which uses reciprocating motion to convert heat energy into mechanical work and which is not mobile. (Part 63, Subpart ZZZZ)    da.    Emission standards for hazardous air pollutants for lime manufacturing plants.These standards regulate hazardous air pollutant emissions from new and existing lime manufacturing plants that are major sources, are colocated with major sources, or are part of major sources. Additional applicability criteria and exemptions from these standards may apply. (Part 63, Subpart AAAAA, as amended or corrected through April 20, 2006)    db.    Emission standards for hazardous air pollutants: semiconductor manufacturing.These standards apply to new and existing major sources with semiconductor manufacturing. (Part 63, Subpart BBBBB)    dc.    Emission standards for hazardous air pollutants for coke ovens: pushing, quenching, and battery stacks.This standard applies to a new or existing coke oven battery at a plant that is a major source of HAP emissions. (Part 63, Subpart CCCCC)    dd.    Emission standards for industrial, commercial and institutional boilers and process heaters.These standards apply to new and existing major sources with industrial, commercial or institutional boilers and process heaters. (Part 63, Subpart DDDDD)**As of April 15, 2009, the adoption by reference of Part 63, Subpart DDDDD, is rescinded. On July 30, 2007, the United States Court of Appeals for the District of Columbia Circuit issued its mandate vacating 40 CFR Part 63, Subpart DDDDD, in its entirety, and requiring EPA to repromulgate final standards for industrial, commercial or institutional boilers and process heaters at new and existing major sources.    de.    Emission standards for hazardous air pollutants for iron and steel foundaries.These standards apply to each new or existing iron and steel foundary that is a major source of hazardous air pollutant emissions. A new affected source is an iron and steel foundary for which construction or reconstruction began after December 23, 2002. An existing affected source is an iron and steel foundary for which construction or reconstruction began on or before December 23, 2002. (Part 63, Subpart EEEEE)    df.    Emission standards for hazardous air pollutants for integrated iron and steel manufacturing.These standards apply to affected sources at an integrated iron and steel manufacturing facility that is, or is part of, a major source of hazardous air pollutant emissions. The affected sources are each new or existing sinter plant, blast furnace, and basic oxygen process furnace (BOPF) shop at an integrated iron and steel manufacturing facility that is, or is part of, a major source of hazardous air pollutant emissions. (Part 63, Subpart FFFFF, as amended or corrected through July 13, 2006)    dg.    Emission standards for hazardous air pollutants: site remediation.These standards apply to new and existing major sources with certain types of site remediation activity on the source’s property or on a contiguous property. These standards control hazardous air pollutant (HAP) emissions at major sources where remediation technologies and practices are used at the site to clean up contaminated environmental media (e.g., soil, groundwater, or surface water) or certain stored or disposed materials that pose a reasonable potential threat to contaminate environmental media.Some site remediations already regulated by rules established under the Comprehensive Environmental Response and Compensation Liability Act (CERCLA) or the Resource Conservation and Recovery Act (RCRA) are not subject to these standards, as specified in Subpart GGGGG. There are also exemptions for short-term remediation and for certain leaking underground storage tanks, as specified in Subpart GGGGG. (Part 63, Subpart GGGGG, as amended or corrected through November 29, 2006)    dh.    Emission standards for hazardous air pollutants for miscellaneous coating manufacturing.These standards establish emission limits and work practice requirements for new and existing miscellaneous coating manufacturing operations, including, but not limited to, process vessels, storage tanks, wastewater, transfer operations, equipment leaks, and heat exchange systems. (Part 63, Subpart HHHHH)    di.    Emission standards for mercury emissions from mercury cell chlor-alkali plants.These standards apply to the chlorine production source category. This source category contains the mercury cell chlor-alkali plant subcategory and includes all plants engaged in the manufacture of chlorine and caustic in mercury cells. These standards define two affected sources: mercury cell chlor-alkali production facilities and mercury recovery facilities. (Part 63, Subpart IIIII)    dj.    Emission standards for hazardous air pollutants for brick and structural clay products manufacturing.Rescinded IAB 2/15/17, effective 3/22/17.    dk.    Emission standards for hazardous air pollutants for clay ceramics manufacturing.Rescinded IAB 2/15/17, effective 3/22/17.    dl.    Emission standards for hazardous air pollutants: asphalt processing and asphalt roofing manufacturing.This standard applies to an existing or new asphalt processing or asphalt roofing manufacturing facility that is a major source of hazardous air pollutants (HAPs) emissions, or is located at, or is part of a major source of HAP emissions. (Part 63, Subpart LLLLL)    dm.    Emission standards for hazardous air pollutants: flexible polyurethane foam fabrication operations.This standard applies to a new or existing source at a flexible polyurethane foam fabrication facility. The standard defines two affected sources (units or collections of units to which a given standard or limit applies) corresponding to the two subcategories, loop slitter adhesive use or flame lamination. (Part 63, Subpart MMMMM)    dn.    Emission standards for hazardous air pollutants: hydrochloric acid production.This standard applies to a new or existing HCl production facility that produces a liquid HCl product at a concentration of 30 weight percent or greater during its normal operations and is located at, or is part of, a major source of HAP. This does not include HCl production facilities that only occasionally produce liquid HCl product at a concentration of 30 weight percent or greater. (Part 63, Subpart NNNNN)    do.    Reserved.    dp.    Emission standards for hazardous air pollutants: engine test cells/stands.This standard applies to an engine test cell/stand that is located at a major source of HAP emissions. An engine test cell/stand is any apparatus used for testing uninstalled stationary or uninstalled mobile engines. (Part 63, Subpart PPPPP)    dq.    Emission standards for hazardous air pollutants for friction materials manufacturing facilities.This standard applies to a new or existing friction materials manufacturing facility that is (or is part of) a major source of hazardous air pollutants (HAPs) emissions. Friction materials manufacturing facilities produce friction materials for use in brake and clutch assemblies. (Part 63, Subpart QQQQQ)    dr.    Emission standards for hazardous air pollutants: taconite iron ore processing.Rescinded IAB 3/18/15, effective 4/22/15.    ds.    Emission standards for hazardous air pollutants for refractory products manufacturing.This standard applies to a new or existing refractory products manufacturing facility that is, is located at, or is part of, a major source of hazardous air pollutant (HAP) emissions. (Part 63, Subpart SSSSS)    dt.    Emission standards for hazardous air pollutants: primary magnesium refining.Rescinded IAB 3/18/15, effective 4/22/15.    du.    Reserved.    dv.    Reserved.    dw.    Emission standards for hazardous air pollutants for hospital ethylene oxide sterilizer area sources.This standard applies to a hospital that is an area source for hazardous air pollutant emissions and that owns or operates a new or existing ethylene oxide sterilization facility. (Part 63, Subpart WWWWW)    dx.    Reserved.    dy.    Emission standards for hazardous air pollutants for electric arc furnace steelmaking area sources.This standard applies to new or existing electric arc furnace (EAF) steelmaking facilities that are area sources for hazardous air pollutant emissions. (Part 63, Subpart YYYYY)    dz.    Emission standards for hazardous air pollutants for iron and steel foundry area sources.This standard applies to new or existing iron and steel foundries that are area sources for hazardous air pollutant emissions. (Part 63, Subpart ZZZZZ)    ea.    Reserved.    eb.    Emission standards for hazardous air pollutants for gasoline distribution area sources: bulk terminals, bulk plants and pipeline facilities.This standard applies to new and existing bulk gasoline terminals, pipeline breakout stations, pipeline pumping stations and bulk gasoline plants that are area sources for hazardous air pollutant emissions. (Part 63, Subpart BBBBBB)    ec.    Emmission standards for hazardous air pollutants for area sources: gasoline dispensing facilities.This standard applies to new and existing gasoline dispensing facilities (GDF) that are area sources for hazardous air pollutant emissions. The affected equipment includes each gasoline cargo tank during delivery of product to GDF and also includes each storage tank. The equipment used for refueling of motor vehicles is not covered under these standards. (Part 63, Subpart CCCCCC)    ed.    Reserved.    ee.    Reserved.    ef.    Reserved.    eg.    Reserved.    eh.    Emission standards for hazardous air pollutants for area sources: paint stripping and miscellaneous surface coating operations.This standard applies to new or existing area sources of hazardous air pollutant emissions that engage in any of the following activities: (1) paint stripping operations that use methylene chloride (MeCl)-containing paint stripping formulations; (2) spray application of coatings to motor vehicles or mobile equipment; or (3) spray application of coatings to plastic or metal substrate with coatings that contain compounds of chromium (Cr), lead (Pb), manganese (Mn), nickel (Ni) or cadmium (Cd). (Part 63, Subpart HHHHHH)    ei.    Reserved.    ej.    Emission standards for hazardous air pollutants for area sources: industrial, commercial, and institutional boilers.This standard applies to new and existing industrial, commercial and institutional boilers that are area sources for hazardous air pollutant emissions. (Part 63, Subpart JJJJJJ)    ek.    Reserved.    el.    Emission standards for hazardous air pollutants for acrylic and modacrylic fibers production area sources.This standard applies to acrylic and modacrylic fibers production plants that are area sources for hazardous air pollutant emissions. (Part 63, Subpart LLLLLL)    em.    Emission standards for hazardous air pollutants for carbon black production area sources.This standard applies to carbon black production plants that are area sources for hazardous air pollutants. (Part 63, Subpart MMMMMM)    en.    Emission standards for hazardous air pollutants for chemical manufacturing of chromium compounds area sources.This standard applies to plants that produce chromium compounds and are area sources for hazardous air pollutants. (Part 63, Subpart NNNNNN)    eo.    Emission standards for hazardous air pollutants for flexible polyurethane foam production and fabrication area sources.This standard applies to plants that produce flexible polyurethane foam or rebond foam, and plants that fabricate polyurethane foam, that are area sources for hazardous air pollutants. This standard applies to both new and existing area sources. An affected source is existing if construction or reconstruction commenced on or before April 4, 2007. An affected source is new if construction or reconstruction commenced after April 4, 2007. (Part 63, Subpart OOOOOO)    ep.    Emission standards for hazardous air pollutants for lead acid battery manufacturing area sources.This standard applies to lead acid battery manufacturing plants that are area sources for hazardous air pollutants. Affected sources include all grid casting facilities, paste mixing facilities, three-process operation facilities, lead oxide manufacturing facilities, lead reclamation facilities, and any other lead-emitting operation that is associated with a lead acid battery manufacturing plant. This standard applies to both new and existing area sources. An affected source is existing if construction or reconstruction commenced on or before April 4, 2007. An affected source is new if construction or reconstruction commenced after April 4, 2007. (Part 63, Subpart PPPPPP)    eq.    Emission standards for hazardous air pollutants for wood preserving area sources.This standard applies to wood preserving operations that are area sources for hazardous air pollutants. This standard applies to both new and existing area sources. An affected source is existing if construction or reconstruction commenced on or before April 4, 2007. An affected source is new if construction or reconstruction commenced after April 4, 2007. (Part 63, Subpart QQQQQQ)    er.    Emission standards for hazardous air pollutants for clay ceramics manufacturing area sources.This standard applies to any new or existing clay ceramics manufacturing facility with an atomized glaze spray booth or kiln that fires glazed ceramic ware, that processes more than 50 tons per year of wet clay, and that is an area source for hazardous air pollutant emissions. (Part 63, Subpart RRRRRR)    es.    Emission standards for hazardous air pollutants for glass manufacturing area sources.This standard applies to any new or existing glass manufacturing facility that is an area source for hazardous air pollutant emissions and meets the following criteria: (1) manufactures flat glass, glass containers or pressed and blown glass by melting a mixture of raw materials to produce molten glass and form the molten glass into sheets, containers or other shapes; and (2) uses one or more continuous furnaces to produce glass at a rate of at least 50 tons per year and that contains compounds of one or more “glass manufacturing metal HAP,” as defined in 40 CFR 63.11459, as raw materials in a glass manufacturing batch formulation. (Part 63, Subpart SSSSSS)    et.    Emissions standards for hazardous air pollutants for secondary nonferrous metals processing area sources.This standard applies to any new or existing secondary nonferrous metals processing facility that is an area source for hazardous air pollutant emissions. This standard applies to all crushing and screening operations at a secondary zinc processing facility and to all furnace melting operations located at any secondary nonferrous metals processing facility. (Part 63, Subpart TTTTTT)    eu.    Reserved.    ev.    Emission standards for hazardous air pollutants for area sources: chemical manufacturing.This standard applies to chemical manufacturing at new and existing facilities that are area sources for hazardous air pollutant emissions. (Part 63, Subpart VVVVVV)    ew.    Emission standards for hazardous air pollutants for area sources: plating and polishing.This standard applies to plating and polishing activities at new and existing facilities that are area sources for hazardous air pollutant emissions. (Part 63, Subpart WWWWWW)    ex.    Emission standards for hazardous air pollutants for area sources: metal fabrication and finishing.This standard applies to new and existing facilities in which the primary activity or activities at the facility are metal fabrication and finishing and that are area sources for hazardous air pollutant emissions. (Part 63, Subpart XXXXXX)    ey.    Reserved.    ez.    Emission standards for hazardous air pollutants for area sources: aluminum, copper, and other nonferrous foundries.This standard applies to aluminum, copper, and other nonferrous foundries at new and existing facilities that are area sources for hazardous air pollutant emissions. (Part 63, Subpart ZZZZZZ)    fa.    and fb. Reserved.    fc.    Emission standards for hazardous air pollutants for area sources: paint and allied products manufacturing.This standard applies to paint and allied products manufacturing at new and existing facilities that are area sources for hazardous air pollutant emissions. (Part 63, Subpart CCCCCCC)    fd.    Emission standards for hazardous air pollutants for area sources: prepared feeds manufacturing.This standard applies to prepared feeds manufacturing that produces animal feed products (not including feed for cats or dogs) and uses chromium or manganese compounds at new and existing facilities that are area sources for hazardous air pollutant emissions. (Part 63, Subpart DDDDDDD)

        ITEM 6.    Amend subrule 25.1(9) as follows:    25.1(9) Methods and procedures.  Stack sampling and associated analytical methods used to evaluate compliance with emission limitations of 567—Chapter 23 or a permit condition are as follows:    a.    Performance test (stack test).A stack test shall be conducted according to EPA reference methods as specified in 40 CFR 51, Appendix M (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 60, Appendix A (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 61, Appendix B (as amendedor corrected through August 30, 2016October 7, 2020); and 40 CFR 63, Appendix A (as amendedor corrected through November 14, 2018December 2, 2020). The owner of the equipment or the owner’s authorized agent may use an alternative methodology if the methodology is approved by the department in writing before testing. Each test shall consist of at least three separate test runs. Unless otherwise specified by the department, compliance shall be assessed on the basis of the arithmetic mean of the emissions measured in the three test runs.    b.    Continuous monitoring systems.Minimum performance specifications and quality assurance procedures for performance evaluations of continuous monitoring systems are as specified in 40 CFR 60, Appendix B (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 60, Appendix F (as amendedor corrected through November 14, 2018October 7, 2020); 40 CFR 75, Appendix A (as amendedor corrected through August 30, 2016); 40 CFR 75, Appendix B (as amendedor corrected through August 30, 2016); and 40 CFR 75, Appendix F (as amendedor corrected through August 30, 2016). The owner of the equipment or the owner’s authorized agent may use an alternative methodology for continuous monitoring systems if the methodology is approved by the department in writing before the minimum performance specifications and quality assurance procedures are conducted.    c.    Permit and compliance demonstration requirements.After October 24, 2012, all stack sampling and associated analytical methods used to evaluate compliance with emission limitations of 567—Chapter 23 or required in a permit issued by the department pursuant to 567—Chapter 22 or 33 shall be conducted using the methodology referenced in this rule. If stack sampling was required for a compliance demonstration pursuant to 567—Chapter 23 or for a performance test required in a permit issued by the department pursuant to 567—Chapter 22 or 33 before October 24, 2012, and the demonstration or test was not required to be completed before October 24, 2012, then the methodology referenced in this subrule applies retroactively.    [Filed 8/17/21, effective 10/13/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5899CEnvironmental Protection Commission[567]Adopted and Filed

    Rule making related to dams and water storage permitting

        The Environmental Protection Commission (Commission) hereby amends Chapter 50, “Scope of Division—Definitions—Forms—Rules Of Practice,” Chapter 51, “Water Permit or Registration—When Required,” Chapter 52, “Criteria and Conditions for Authorizing Withdrawal, Diversion and Storage of Water,” Chapter 70, “Scope of Title—Definitions—Forms—Rules of Practice,” Chapter 71, “Flood Plain or Floodway Development—When Approval is Required,” and Chapter 72, “Criteria for Approval”; rescinds Chapter 73, “Use, Maintenance, Removal, Inspections, and Safety of Dams”; and adopts a new Chapter 73, “Approval, Construction, Use, Maintenance, Removal, Inspections, and Safety of Dams,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 455B.275(9), 455B.276(1) and 455B.278.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 455B.262, 455B.264, 455B.265, 455B.267, 455B.268, 455B.270, 455B.271, 455B.275 and 455B.278.Purpose and Summary    Until adoption of these amendments, the regulation of dams was located in seven different Iowa Administrative Code chapters. This rule making reduces and consolidates these administrative rules to ease administrative and regulatory burdens on dam owners and consultants. Simultaneously, this rule making updates the rules to make them consistent with national standards and best management practices.    More specifically, this rule making consolidates rules governing dam approval, construction, maintenance, and inspections. Formerly, these rules were scattered across four Iowa Administrative Code chapters (Chapters 70, 71, 72, and 73), as well as included in one rule-referenced technical bulletin. The rules are now located in large part in new Chapter 73, and almost all rules regarding dam safety from the previous seven Iowa Administrative Code chapters are now in new Chapter 73.    This rule making also streamlines water storage permits involving the use of a dam (i.e., to establish a new pond or lake). Previously, this process required two separate permit applications to two different programs (water supply and floodplains) and touched on four different Iowa Administrative Code chapters (Chapters 50, 51, 52, and 73). The rule making consolidates this process into one chapter (new Chapter 73) and requires only one application and one approval process to obtain both permits.    Strategic rule rescissions and amendments are included in this consolidation effort. For example, dam size thresholds subject to the Department of Natural Resources’ (Department’s) oversight are being simplified to make it easier to know when permits are required. Prescriptive design standards have been relaxed. Dams designated as “high hazard,” which are those likely to cause loss of life in the event of a failure, will now be required to have an emergency action plan to mitigate risk. Finally, certain updates to the inflow design storm requirements have been made. These two changes in particular bring Iowa’s administrative rules on dams up to national standards and reflect best management practices.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 16, 2021, as ARC 5677C. A public hearing was held on July 12, 2021, at 2 p.m. via video/conference call. A representative of the Iowa Farm Bureau Federation (IFBF) attended but did not provide oral comments.    Written comments were received from the IFBF. Two revisions to the rules were requested, both of which have been addressed as explained below.     First, IFBF stated that proposed paragraph 73.10(8)“i” “requires the department to include a permit condition which gives the department access to the dam site for inspections. The rule does not set any limitations on government access to private property.” The commenter requested that reasonable limitations be placed on dam site access.    Second, IFBF stated that “subrule 73.10(2) requires the preliminary application packet to be prepared by or under the supervision of an Iowa licensed profession engineer. Subrule 73.10(4) requires the final submittal of engineering plans to be certified by a professional engineer licensed in the state of Iowa. Many conservation structures, such as channel stabilization, constructed wetlands, sediment control basins and farm ponds, are designed by the Natural Resources Conservation Service (NRCS) each year. The NRCS employees assisting with the design and permit application may or may not be professional engineers licensed in the state of Iowa, but these federal employees are working from NRCS design standards. We recommend that the rules allow for the preliminary and final submission to be prepared by an NRCS qualified staff person or an Iowa licensed professional engineer.”    The Commission has revised subrule 73.10(2), the introductory paragraph of subrule 73.10(4) and paragraph 73.10(8)“i” to read as follows:    “73.10(2) Preliminary application packet. The preliminary application packet includes the joint application form and requires submittal of preliminary design data prepared by or under supervision of a professional engineer licensed in the state of Iowa or by an engineer working for the United States government. The preliminary design data packet shall contain a report summarizing the preliminary design, hydrologic data and reservoir routing, a hazard potential analysis, preliminary design drawings, the soils and geotechnical engineering analysis, and a list of the engineering references used as the basis for design and construction.”    “73.10(4) Final submittal. After the department’s review of and concurrence with the preliminary submittal, the engineering plans and other engineering information shall be certified by a professional engineer licensed in the state of Iowa, unless prepared by an engineer working for the United States government, and submitted with the following information:”    “i. Postconstruction department inspections. A department approval which authorizes construction or modification, operation, and maintenance of a dam for which ongoing inspections are required by these rules shall include a condition stating that the department shall have access to the dam site for such inspections at a reasonable time after notification of the dam owner.”Adoption of Rule Making    This rule making was adopted by the Commission on August 17, 2021.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. A copy of the fiscal impact statement is available from the Department upon request.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request. Waivers    This rule is subject to the waiver provisions of 561—Chapter 10. 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.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 October 13, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend paragraph 50.4(1)"a" as follows:    a.    Application for approval of a new withdrawal,or diversion or storage of water unrelated to the use of an agricultural drainage well.For withdrawals,or diversions, or storage of water unrelated to the use of an agricultural drainage well, a request for a new permit as distinguished from modification or renewal of an existing permit shall be made on Form 16 (542-3106)542-3106. An application form must be submitted by or on behalf of the owner, lessee, easement holder or option holder of the area where the water is to be withdrawn, diverted or stored, and used. An application must be accompanied by a map portraying the points of withdrawal or diversion and storage, and the land on which water is to be used oriented as to section, township, and range. One application normally will be adequate for all uses on contiguous tracts of land. Tracts of land involved in the same operation separated only by roads or railroads will be deemed contiguous tracts.For water storage permits, applications will be made in conjunction with dam construction permits as required in rule 567—73.10(455B).

        ITEM 2.    Rescind and reserve rule 567—51.2(455B).

        ITEM 3.    Rescind and reserve rule 567—52.20(455B).

        ITEM 4.    Amend rule 567—70.2(455B,481A), definition of “Dam,” as follows:        "Dam" means a barrier which impounds or stores waterthe same as defined in rule 567—73.2(455B).

        ITEM 5.    Rescind the definitions of “Height of dam,” “Low head dam” and “Major dam structure” in rule 567—70.2(455B,481A).

        ITEM 6.    Amend rule 567—71.3(455B) as follows:

    567—71.3(455B) Dams.  Approval by the department for construction, operation, or maintenance of a dam in the floodway or flood plain of any water source shall be required when the dimensions and effects of such dam exceed the thresholds established by this rulerepair, or modification of any dam shall be required when the dam exceeds the thresholds under rule 567—73.3(455B). Other structures across a stream may require approval under rule 567—71.12(455B). Exception: Public road embankments with culverts which impound water only in temporary storage are exempt from the requirements of this rule and shall be reviewed under rules 567—71.1(455B) and 567—72.1(455B). Approval required by this rule shall be coordinated with approval for storage of water required by 567—Chapter 51. Approval by the department shall be required in the following instances:    71.3(1) Rural areas.  In rural areas:    a.    Any dam designed to provide a sum of permanent and temporary storage exceeding 50 acre-feet at the top of dam elevation, or 25 acre-feet if the dam does not have an emergency spillway, and which has a height of 5 feet or more.    b.    Any dam designed to provide permanent storage in excess of 18 acre-feet and which has a height of 5 feet or more.    c.    Any dam across a stream draining more than 10 square miles.    d.    Any dam located within 1 mile of an incorporated municipality, if the dam has a height of 10 feet or more, stores 10 acre-feet or more at the top of dam elevation, and is situated such that the discharge from the dam will flow through the incorporated area.    71.3(2) Urban areas.  Any dam which exceeds the thresholds in 71.3(1)“a,” “b” or “d.”    71.3(3) Low head dams.  Any low head dam on a stream draining 2 or more square miles in an urban area, or 10 or more square miles in a rural area.    71.3(4) Modifications to existing dams.  Modification or alteration of any dam or appurtenant structure beyond the scope of ordinary maintenance or repair, or any change in operating procedures, if the dimensions or effects of the dam exceed the applicable thresholds in this rule. Changes in the spillway height or dimensions of the dam or spillway are examples of modifications for which approval is required.    71.3(5) Mill dams.  Rescinded IAB 2/20/91, effective 3/27/91.    71.3(6) Maintenance of preexisting dams.  Approval shall be required to maintain a preexisting dam as described in 567—Chapter 73 only if the department determines that the dam poses a significant threat to the well-being of the public or environment and should therefore be removed or repaired and safely maintained. Preexisting dams are subject to the water, air and waste management dam safety inspection program as set forth in 567—Chapter 73.       This rule is intended to implement Iowa Code sections 455B.262, 455B.264, 455B.267, 455B.275 and 455B.277.

        ITEM 7.    Rescind and reserve rule 567—72.3(455B).

        ITEM 8.    Adopt the following new subrule 72.11(3):    72.11(3) Structures or materials across a channel.  The following criteria shall apply to structures or materials such as riprap that span the channel of a stream or river and do not meet the thresholds of rule 567—73.3(455B):    a.    The location and design of the structure shall not adversely affect the fisheries or recreational use of the stream.    b.    The pool created by the structure shall not adversely affect drainage on lands not owned or under easements by the applicant.    c.    The structure shall be hydraulically designed to submerge before bankfull stage is reached in the stream channel in order that increased or premature overbank flooding does not occur. Where this cannot be reasonably accomplished in order for the structure to fulfill its intended purpose, the applicant shall demonstrate that any increased flooding will affect only lands owned or controlled by the applicant.    d.    For projects that include significant appurtenant structures or works outside the stream channel, the combined effect of the total project shall not create more than one foot of backwater during floods which exceed the flow capacity of the channel, unless the proper lands, easements, or rights-of-way are obtained.    e.    The structure shall be capable of withstanding the effects of normal and flood flows across its crest and against the abutments with erosion protection added as required to prevent failure of the structure during flood events.

        ITEM 9.    Rescind 567—Chapter 73 and adopt the following new chapter in lieu thereof: CHAPTER 73APPROVAL, CONSTRUCTION, USE, MAINTENANCE, REMOVAL, INSPECTIONS, AND SAFETY OF DAMS DIVISION ISCOPE AND DEFINITIONS

    567—73.1(455B) Scope and applicability.  The department regulates the storage of water and the construction and maintenance of dams. Any person who desires to construct, repair, modify, abandon, or remove a dam has a responsibility to determine whether approval is required from the department prior to undertaking any such work.

    567—73.2(455B) Definitions.          "Abandonment" means to render a dam nonimpounding by dewatering and filling the reservoir created by that dam with solid materials and by diverting the natural drainage around the site.        "Acre-foot" means a volume of water that would cover one acre of land one foot deep, equal to 43,560 cubic feet of water.        "Adverse consequences" means negative impacts that may occur upstream, downstream, or at locations remote from the dam. The primary concerns are loss of human life, economic loss including but not limited to property damage, public damages, disruption of public utilities, and environmental impact.        "Appurtenant structures" means structures such as spillways, either in the dam or separate therefrom; the reservoir and its rim; low-level outlet works; and water conduits such as tunnels, pipelines, or penstocks, occurring through either the dam or its abutments.        "Auxiliary spillway" means any secondary spillway that is designed to be operated infrequently.        "Confinement feeding operation" means the same as defined in rule 567—65.1(459,459B).        "Dam" means a barrier that impounds or stores water.        "Dam owner" means any person who owns, controls, operates, maintains, or manages a dam.        "Hazard potential" means a classification based on the possible incremental adverse consequences that result from the release of water or stored contents due to a failure or misoperation of the dam or appurtenances. The hazard potential classification of a dam does not reflect in any way on the current condition of the dam and its appurtenant structures (e.g., safety, structural integrity, or flood routing capacity).        "Height of dam" means the vertical distance from the top of the dam to the natural bed of the stream or water source measured at the downstream toe of the dam or to the lowest elevation of the outside limit of the dam if it is not across a water source.        "Incremental consequence" means the difference, under the same conditions (e.g., flood, earthquake, or other event), between the consequences that are likely to occur from the failure or misoperation of the dam and appurtenances as compared to the consequences that are likely to occur without such failure or misoperation.        "Probable" means more likely than not to occur; reasonably expected; realistic.        "Probable maximum flood" means the same as defined in rule 567—70.2(455B,481A).        "Public damages" means as defined in rule 567—70.2(455B,481A).        "Q100,” “Q50,” “Q25,” “Q15,” “Q10," et cetera, means the same as defined in rule 567—70.2(455B,481A).

    567—73.3(455B) Regulated dams.      73.3(1) Thresholds.  Dams meeting any of the following thresholds shall be regulated by the department:     a.    A dam with a height of at least 25 feet and a storage of 15 acre-feet or more at the top of the dam elevation; or    b.    A dam with a storage of 50 acre-feet or more at the top of the dam elevation and a height of at least 6 feet; or    c.    A dam that is assigned a hazard potential of high hazard.    73.3(2) Exceptions.  Road embankments or driveways with culverts are exempt unless such structure serves, either primarily or secondarily, a purpose commonly associated with dams, such as the temporary storage of water for flood control.    73.3(3) New construction.  Before construction begins, approval is required for construction of any dam meeting the thresholds of a regulated dam. The proposed dam must meet the criteria outlined in this chapter.    73.3(4) Existing dams.      a.    Approval is required for:    (1)   Modification, repair, alteration, breach, abandonment, or removal of any existing dam or appurtenant structure beyond the scope of ordinary maintenance if the height of the dam or storage of the dam exceeds the applicable thresholds in this rule.    (2)   Any change in operating procedures if the height of the dam or storage of the dam exceeds the applicable thresholds in this rule.     b.    Spillway reconstruction, changes in normal water level, and modification of the dam embankment or spillway are examples of modifications that require approval. The dam must meet the criteria outlined in this chapter. Dams found to be unsafe according to rule 567—73.33(455B) shall be repaired or removed.     73.3(5) Required upgrades.  Improvements may be required for existing dams in order to reduce the risk of a dam failure.    a.    Existing dams assigned a high hazard potential or significant hazard potential that have been inspected or analyzed and found not to meet the criteria in this chapter will be required to meet the requirements outlined in this chapter for the appropriate hazard potential.    b.    Existing dams assigned a low hazard potential that have been inspected or analyzed and found to have a significant hazard potential or high hazard potential shall be required to be upgraded to meet the requirements outlined in this chapter for the appropriate hazard potential.

    567—73.4(455B) Assignment of hazard potential.  All existing and proposed dams reviewed by the department shall be assigned a hazard potential. Anticipated future land and impoundment use shall be considered in the determination of hazard potential. The hazard potential shall be determined using the following criteria:    73.4(1) Low hazard.  A dam shall be classified as “low hazard” if failure of the dam would result in no probable loss of human life, low economic losses, and low public damages.    73.4(2) Significant hazard.  A dam shall be classified as “significant hazard” if failure of the dam would result in no probable loss of human life but may damage residential structures or industrial, commercial, or public buildings; may negatively impact important public utilities or moderately traveled roads or railroads; or may result in significant economic losses or significant public damages.    73.4(3) High hazard.  A dam shall be classified as “high hazard” if located in an area where failure would result in probable loss of human life.    73.4(4) Consideration of changes affecting hazard potential.  In locating the site of a dam and in obtaining easements and rights-of-way, the applicant shall consider the impacts to the hazard potential of a dam from anticipated changes in land use downstream or adjacent to the impoundment, the operation of the dam, and the potential liability of the dam owner.    73.4(5) Changes in hazard potential.  Any future changes in downstream land use, development, impoundment use, or critical hydraulic structures shall require a reevaluation of the hazard potential of the dam. If the hazard potential of the dam changes, the dam shall be required to meet all applicable criteria for that hazard potential. This may require additional increases in spillway capacity for the dam. The owner and any other persons responsible for the construction and operation of the dam shall assume all risks for future costs to upgrade a dam in the event there is a change in hazard potential.

    567—73.5()   Reserved.

    567—73.6()   Reserved.

    567—73.7()   Reserved.

    567—73.8()   Reserved.

    567—73.9()   Reserved.DIVISION IIAPPROVAL PROCESS

    567—73.10(455B) Review and approval process for dam construction, modification, abandonment, or removal.      73.10(1) Application process.  Application materials are provided by the department. The application shall be submitted by or on behalf of the person or persons who will be the future dam owner or owners. The application shall be signed by the applicant or a duly authorized agent. Completed applications along with supporting information shall be submitted to the department through an online application system or mailed to Iowa Department of Natural Resources, Attn: Joint Application, 502 East 9th Street, Des Moines, Iowa 50319. For dam repairs, abandonment, or removal, the department may waive the requirements of the application process outlined in this rule if the requirements are unnecessary for the application approval or if the dam has been designated as unsafe and immediate temporary emergency stabilization repairs are required to prevent failure of the dam. Permanent repairs or modifications will require review and approval.    73.10(2) Preliminary application packet.  The preliminary application packet includes the joint application form and requires submittal of preliminary design data prepared by or under supervision of a professional engineer licensed in the state of Iowa or by an engineer working for the United States government. The preliminary design data packet shall contain a report summarizing the preliminary design, hydrologic data and reservoir routing, a hazard potential analysis, preliminary design drawings, the soils and geotechnical engineering analysis, and a list of the engineering references used as the basis for design and construction.    73.10(3) Project review.  The department shall review a preliminary application packet and provide feedback or concurrence on the initial design and assumptions. After concurrence with the preliminary application packet and upon reception of the final submittal as required by subrule 73.10(4), the department will review the final submittal and issue a decision based on whether the project meets criteria for approval outlined in this chapter.     73.10(4) Final submittal.  After the department’s review of and concurrence with the preliminary submittal, the engineering plans and other engineering information shall be certified by a professional engineer licensed in the state of Iowa, unless prepared by an engineer working for the United States government, and submitted with the following information:    a.    One complete set of certified construction plans;    b.    One complete set of construction specifications;    c.    An operating plan, if required;    d.    Easements, if required;    e.    For high hazard dams, an emergency action plan; and    f.    An engineering design report documenting all aspects of the design of the dam and how the design of the dam meets the criteria outlined in this chapter. The engineering design report shall include the following: hazard potential analysis; hydrology and hydraulic calculations; embankment design and foundation analysis; and structural calculations, where applicable.    73.10(5) Public notice.  Public notice shall be issued by the department to inform persons who may experience adverse consequences by the permitted project. Adverse consequences may occur through maintenance of the dam and appurtenant structures, spillway discharges, temporary ponding of floodwater behind the dam, or failure of the dam. It is the applicant’s responsibility to submit sufficient information with the preliminary application packet and on request to enable the department to accurately identify the owners, occupants, and addresses of affected lands.    73.10(6) Project approval or disapproval.       a.    Approval.Issuance of a dam construction permit shall constitute approval of a project. The permit may include one or more special conditions when reasonably necessary to implement relevant criteria.    b.    Disapproval.A letter to the applicant denying the application shall constitute disapproval of a project.    c.    Notice of decision.Copies of the decision shall be mailed or electronically transmitted to the applicant and any person who commented.    73.10(7) Appeal of decision.  Any person aggrieved by a decision issued under these rules may file a notice of appeal as governed by 567—Chapter 7.    73.10(8) General conditions.  Department approvals of a project shall be subject to the following conditions:    a.    Change in ownership.The dam owner and any successor in interest to the real estate on which the project or activity is located shall be responsible for notifying the department of change in ownership.    b.    Maintenance.The dam owner has a responsibility to maintain the dam and appurtenant structures in a safe condition. Maintenance shall include keeping earthen portions of the dam well vegetated, keeping trees and brush off the dam, preventing and repairing erosion, keeping the spillway free of obstructions, repairing deteriorated structural elements, and performing required maintenance on mechanical appurtenances such as gates.    c.    Responsibility.No legal or financial responsibility arising from the construction or maintenance of the approved works shall attach to the state of Iowa or the department due to the issuance of an approval or administrative waiver.    d.    Lands.The applicant shall be responsible for obtaining such government licenses, permits, and approvals, and lands, easements, and rights-of-way which are required for the construction, operation, and maintenance of the authorized work.    e.    Change in plans.No material change from the plans and specifications approved by the department shall be made unless authorized in writing by the department.    f.    Revocation of permit.A department permit may be revoked if construction is not completed within the period of time specified in the department permit.    g.    Performance bond.A performance bond may be required when necessary to secure the construction, operation, and maintenance of approved projects and activities in a manner that does not create a hazard to the public’s health, welfare, and safety. The amount and conditions of the bond shall be specified as special conditions in the department permit.    h.    Construction inspection.For high hazard and significant hazard dams, construction shall be inspected by or under the supervision of a professional licensed engineer in the state of Iowa. The engineer shall prepare and certify as-built plans after completion and a report documenting that the dam was constructed in general conformance with the approved plans (or approved changes) and outlining unusual circumstances encountered during construction. The water storage permit shall not be issued until the department accepts the as-built plans and report.    i.    Postconstruction department inspections.A department approval which authorizes construction or modification, operation, and maintenance of a dam for which ongoing inspections are required by these rules shall include a condition stating that the department shall have access to the dam site for such inspections at a reasonable time after notification of the dam owner.    j.    Owner inspections.For high hazard and significant hazard dams, the owner is responsible for annual inspections and submission of written inspection reports to the department as required in subrule 73.30(4).

    567—73.11(455B) Water storage permits.      73.11(1)   A water storage permit shall be required for all regulated dams in order to legally impound water. No water shall be impounded by a dam or reservoir prior to issuance of a water storage permit.    73.11(2)   Application for a dam construction permit shall constitute application for a water storage permit if the appropriate fee (as stated in 567—subrule 50.4(2)) is received with the application.    73.11(3)   A water storage permit shall be issued upon a finding by the department that the dam and reservoir are safe to impound water within the conditions prescribed in the dam construction permit and the project meets the following conditions:     a.    The proposed storage is for a specified beneficial use such as human or livestock water supply, flood control, water quality, recreation, aesthetic value, erosion control, or low-flow augmentation.    b.    The impounding structure can be operated in a manner which will not adversely affect any applicable protected flow in the impounded stream. Protected flows are listed in 567—Chapter 52.     c.    For high hazard and significant hazard dams, the water storage permit will not be issued until as-built plans and a construction report have been submitted documenting that the dam has been constructed in general conformance with the approved plans and conditions of the dam construction permit and until the department has conducted an inspection of the dam.    73.11(4)   A water storage permit may be modified, canceled, or suspended pursuant to Iowa Code section 455B.271. Conditions of cancellation or suspension of water storage permits shall include draining the lake with any available low-level drain and may include dewatering with other methods or breaching of the dam.

    567—73.12()   Reserved.

    567—73.13()   Reserved.

    567—73.14()   Reserved.DIVISION IIICRITERIA FOR APPROVAL

    567—73.15(455B) General criteria.      73.15(1) Required findings.  The department shall approve the construction, repair, modification, abandonment, or removal of a dam only after finding that the project is designed in accordance with accepted engineering practice and methods, and in a manner consistent with the applicable department criteria in this rule.    73.15(2) Waiver.  A request for a waiver to this chapter shall be submitted in writing pursuant to 561—Chapter 10. The contents of a petition for waiver shall include information pursuant to rule 561—10.9(17A,455A).

    567—73.16(455B) Lands, easements, and rights-of-way.  An application for approval of a dam project shall include information showing the nature and extent of lands, easements, and rights-of-way that the applicant has acquired or proposes to acquire to satisfy the following criteria:    73.16(1)   Ownership or perpetual easements shall be obtained for the area to be occupied by the dam embankment, spillways, and appurtenant structures, and the permanent or maximum normal pool.    73.16(2)   Ownership or easements shall be obtained for temporary flooding of areas that would be inundated by the flood pool up to the top of dam elevation and for spillway discharge areas.    73.16(3)   Easements covering areas affected by temporary flooding or spillway discharges shall include provisions prohibiting the erection and usage of structures for human habitation or commercial purposes without prior approval by the department.    73.16(4)   As a condition of granting approval of a dam rated less than high hazard, the applicant may be required to acquire control over lands downstream from the dam as necessary to prevent downstream development which would affect the hazard classification of the dam.

    567—73.17(455B) Emergency action plans for high hazard dams.      73.17(1) Emergency action plan required.  All high hazard dams shall be required to have an approved emergency action plan on file with the department. The plan shall include the following:    a.    A statement of purpose;    b.    A project description;    c.    An emergency response process;    d.    An emergency notification plan with flowchart;    e.    Responsibilities of all parties;    f.    A list of emergency preparedness and plan maintenance activities; and    g.    Inundation maps or another acceptable description of the inundated area.    73.17(2) Emergency action plan maintenance.  The owner of the dam shall keep the emergency action plan up to date. Contact information shall be verified in the plan at least once a year, and an exercise shall be performed at least every five years. The owner of the dam shall keep an up-to-date copy of the emergency action plan on file with the department and with the local county emergency manager.

    567—73.18(455B) Encroachment on a confinement feeding operation structure.  A dam shall not be constructed or modified so that the ordinary high water of the lake, pond, or reservoir created by the dam is closer than the following distances from a confinement feeding operation structure unless a secondary containment barrier according to 567—subrule 65.15(17) is in place. Measurement shall be from the closest point of the confinement feeding operation structure to the water edge of the lake, pond, or reservoir for a pool level at the elevation of the crest of the auxiliary spillway or at the top of dam elevation if the dam does not have an auxiliary spillway.    73.18(1)   The minimum separation between a water source other than a major water source and a confinement feeding operation structure is 500 feet.    73.18(2)   The minimum separation between a major water source and a confinement feeding operation structure is 1,000 feet or such distance that the structure is not located on land that would be inundated by Q100, whichever is greater.

    567—73.19(455B) Hydrologic and hydraulic criteria.      73.19(1) Hydrology and hydraulic calculations.  Hydrology and hydraulic calculations shall be submitted in the design report documenting the methods and analysis followed in modeling software selection, inflow design hydrograph determination, and reservoir routing. The hydrology and hydraulics section of the design report shall include design references, inflow hydrograph, reservoir stage storage, and stage discharge curves and clearly identify peak inflows, peak discharges, and reservoir elevations for the design floods.    73.19(2) Design floods.  The specified freeboard design floods in the table below shall be passed without overtopping of the dam or the dam shall be designed to withstand such overflow. The specified spillway design flood in the table below shall be passed by the principal spillway without need for operation of an auxiliary spillway unless the auxiliary spillway is designed such that erosion is not expected during operation.Hazard Potential Freeboard Design FloodSpillway Design FloodLow HazardQ100Q10Significant HazardQ1000Q50High HazardProbable Maximum FloodQ100    73.19(3) Precipitation amounts.  The National Oceanic and Atmospheric Administration’s NOAA Atlas 14, Precipitation-Frequency Atlas of the United States, Volume 8, Version 2.0, dated 2013, shall be used for the Q10–Q1000 frequency storm events. NOAA Hydrometeorological Report No. 51, Probable Maximum Precipitation Estimates, United States, East of the 105th Meridian, dated 1978, shall be used for the probable maximum precipitation.    73.19(4) Spatial and temporal rainfall distributions and storm durations.  The design report shall document the sources and methodologies for inflow hydrograph development. Distributions and durations that produce the highest impoundment water level shall be used for design.    73.19(5) Spillway discharge capacity.  The spillway discharge capacity shall be sufficient to evacuate at least 80 percent of the volume of water temporarily stored during the principal spillway design flood within ten days. If this cannot be accomplished, the auxiliary spillway and freeboard design flood routings shall be made beginning with the impoundment level at the ten-day drawdown elevation.    73.19(6) Incremental consequence analysis.  An inflow design flood based on an incremental consequence analysis may be developed and submitted to the department for review as an alternative to the design floods stated in subrule 73.19(2). The design flood selected using incremental consequence analysis is the flood above which there is a negligible increase in downstream water surface elevation, velocity, and consequences due to failure of the dam when compared to the same flood without failure. If the department concurs with the analysis, the freeboard design storm may be reduced. The minimum design flood for a high hazard dam shall be Q500. The minimum design flood for low hazard and significant hazard dams shall be Q100.

    567—73.20(455B) Spillway design requirements.      73.20(1)   Spillways shall be designed to operate safely for the life of the structure and at the discharges and pressures that would be experienced under all flow conditions, including the freeboard design flood.    73.20(2)   Spillways shall be provided with a means of piping and seepage control (e.g., drainage diaphragms), antivortex devices, trash racks, or other inlet debris control measures, and stable outlets capable of handling design exit flow velocities.    73.20(3)   When a conduit is proposed to be used in a high hazard or significant hazard dam, detailed hydraulic, hydrologic, and structural computations supporting selection of the size and type of pipe to be used shall be provided by the applicant.    73.20(4)   Detailed drawings and specifications relating to the installation of the pipe shall include, but not be limited to, construction measures that adequately address critical load bedding, backfill, compaction, joints, and seepage precautions related to installation of the pipe.    73.20(5)   Structural computations and drawings shall be submitted for all proposed concrete structures. Drawing details, as necessary, shall be provided showing reinforcement, cutoffs, underdrains/filters, waterstops, construction joints, control joints, and any other details necessary to construct.    73.20(6)   If an auxiliary spillway is proposed, it shall be analyzed, designed, and constructed adequately to establish and maintain stability during the passage of design flows without blockage or breaching. Open-channel auxiliary spillways shall have a minimum depth of 2 feet and minimum width of 10 feet and be designed with appropriate curvature and slopes to prevent excessive erosion.    73.20(7)   A gated low-level outlet shall be provided for high hazard and significant hazard dams. The gated low-level outlet shall be capable of draining at least 50 percent of the permanent storage behind the dam within ten days. The pipe conduit shall be designed so that negative pressures will not occur at any point.

    567—73.21(455B) Embankment design requirements.      73.21(1)   The applicant shall document the engineering standards and design references used for dam embankment design. Drawing details, as necessary, shall be provided showing embankment slopes, required additional fill for anticipated settlement, top width, foundation preparation, core trench or cutoff wall, fill materials and methodology, internal seepage controls, and embankment erosion protection.    73.21(2)   A geotechnical report shall be submitted for high hazard and significant hazard dams documenting the evaluation of slope stability requirements, anticipated vertical settlement and horizontal elongation, seepage and underseepage potential, whether cathodic protection is needed for metal pipes, and proper construction practices for the soil types and conditions encountered. A stability evaluation shall include end-of-construction, steady-state seepage and sudden-drawdown conditions.

    567—73.22(455B) Operating plan.  A written operating plan shall be prepared for any dam with gates or other movable structures that must operate or be operated during times of flood or to provide a minimum downstream release rate. Development of the operating plan is considered part of the design process. An operating plan shall include, at a minimum, the following items:    73.22(1) Responsibility.  The operating plan shall outline and identify the necessary personnel who will be present to operate the equipment or, in the case of automatic equipment, to monitor it and ensure it is functioning properly.     73.22(2) Operating circumstances.  The circumstances under which operation must occur shall be clearly defined, and a means shall be provided to ensure that operating personnel are present when necessary.    73.22(3) Method of operation.  The means and methods by which operation is to be conducted shall be clearly defined and shall include, at a minimum, the following items: rates and sequences for opening or closure of gates, target water levels, and target flow rates.    73.22(4) Flood capacity.  The operating plan shall allow for safe passage of all floods up to and including the freeboard design flood. Flood discharges through the dam greater than the design peak flood inflows into the impoundment shall not be permitted.    73.22(5) Low flow.  The operating plan shall address low flow situations and shall specify a minimum release rate if required by the department and how the minimum release will be provided and maintained.    73.22(6) Equipment.  Consideration shall be given to and allowance made for the possible failure of or malfunctioning of the equipment.    73.22(7) Discharge measurement.  A means shall be provided to determine the discharge through the control structures, especially where operation is to maintain a minimum downstream flow. Stage discharge tables, streamflow gages or other means of obtaining discharge readings shall be provided. The settings of control structures shall be easily read.

    567—73.23(455B) Removal and abandonment of dams.  Removal is the draining of the impoundment and removal of all or a significant portion of the embankment. A dam may be abandoned by rendering a dam nonimpounding by dewatering and filling the reservoir with solid materials and by diverting the natural drainage around the site.    73.23(1) Removal requirements.  A dam removal project shall meet all of the following requirements:    a.    The dam removal plan shall clearly show removal limits and will demonstrate how the proposed construction will render the dam height and storage below thresholds in rule 567—73.3(455B);    b.    An impoundment dewatering plan shall be submitted that documents how the water will be released in a controlled manner and not cause upstream erosion or pose a flooding risk downstream;    c.    A dam breach plan shall be submitted that demonstrates how the breach process will not pose an increased risk compared to the existing structure; and    d.    A sediment disposition plan shall be submitted that provides for stabilization, release, or removal of stored sediment and shall demonstrate no significant adverse consequences on fish and wildlife habitat downstream from the proposed construction.    73.23(2) Abandonment requirements.  An abandonment plan shall be submitted documenting the final site stabilization, evidence that the structure will no longer impound water or waterborne materials that would be released in the event of a dam failure, and evidence that the structure will not store water above the thresholds outlined in this chapter.

    567—73.24()   Reserved.

    567—73.25()   Reserved.

    567—73.26()   Reserved.

    567—73.27()   Reserved.

    567—73.28()   Reserved.

    567—73.29()   Reserved.DIVISION IVDAM OWNERSHIP, INSPECTIONS, AND ENFORCEMENT

    567—73.30(455B) Dam owner responsibilities.       73.30(1) Operation and maintenance required.  The intent to permanently cease or cause to cease all acts of construction, operation, and maintenance of a dam is prohibited. If any person wishes to be relieved of the responsibilities inherent in the ownership or control of a dam structure, those responsibilities shall be undertaken by another person through sale, transfer, or other means or the dam shall be removed.    73.30(2) Dam maintenance.  The dam owner shall be required to maintain the dam and appurtenant structures in a safe condition. Maintenance shall include, but not be limited to, keeping earthen portions of the dam well vegetated, keeping trees and brush off the dam, preventing and repairing erosion, keeping spillways and drains free of obstructions, repairing structural deterioration, and performing required maintenance on mechanical appurtenances such as gates. The dam owner shall perform regular inspections to identify potential maintenance problems.    73.30(3) Dam repairs.  The dam owner shall arrange for performance of engineering investigations when needed to evaluate potential safety problems. The dam owner shall perform any required repairs. When the department determines the need for follow-up inspections, the dam owner may be required to have a qualified person make inspections and prepare written inspection reports at specified intervals.    73.30(4) Maintenance inspections by dam owner.  The dam owner of a high hazard or significant hazard structure shall be responsible for annual inspections and submission of written inspection reports. Annual inspection reports are due to the department on or before December 1. Inspection reports shall include:    a.    Maintenance work done since the previous annual report;    b.    Observed deficiencies on the dam or appurtenant structures;    c.    Remedial measures necessary and the method and schedule the dam owner proposes to correct the deficiencies found; and    d.    Changes in land use downstream of the dam.

    567—73.31(455B) Dam safety inspection program.      73.31(1) Scope of dam safety inspection program.  Dams subject to inspection under these rules are regulated dams as defined in this chapter. The scope of department staff field inspections normally is limited to visually observable features of dams and their appurtenant structures.    73.31(2) Purpose of dam safety inspection program.  The general purposes of inspections are as follows: to evaluate the construction, operation, and maintenance of dams; to identify observable deficiencies in dams or appurtenant structures; and to identify other floodplain structures or uses which may affect the hazard potential of a dam or use of an associated impoundment. Inspection reports shall be used by the department in determining whether a proposed dam project complies with applicable criteria and to determine whether any of the following conditions exist:    a.    A permit violation;     b.    A violation of law which requires that a permit be obtained; or    c.    A condition which constitutes a public nuisance by causing unacceptable risk of injury to the public health, safety or welfare.     73.31(3) Inspections of significant hazard and high hazard dam structures.       a.    Inspection prior to construction.A field inspection may be made by the department to determine the hazard potential of the dam and verify the location and plan information upon receipt of an application for approval of construction or modification of a dam.    b.    Inspection during construction.Construction or modification of a dam structure shall be inspected by an engineer licensed in the state of Iowa or by a trained inspector under the supervision of the engineer. After completion of construction or modification of a dam structure, the engineer shall prepare and submit a construction report, as-built plans, and a statement that in the engineer’s professional opinion the work was conducted in general conformance with the approved plans and specifications.    c.    Acceptance inspections.When construction of a dam or modifications thereto is completed, and as-built plans and a construction report have been submitted, the department shall make a field inspection to determine whether visually observable features of the dam and appurtenant structures are consistent with the approved plans and the conditions of the dam construction permit. The department shall thereafter issue the water storage permit or a letter stating that additional work is required for acceptance of construction. Closure of the low-level outlet gate shall not begin until the department has issued the water storage permit.    d.    Periodic inspections after acceptance.High hazard structures shall be inspected at least once every two years by the department. Significant hazard structures shall be inspected at least once every five years by the department. Structures poorly maintained or those that require repairs identified by the department shall be inspected more frequently until required maintenance and repairs are completed. The department shall notify the dam owner or agent before each inspection. Each inspection shall assess the condition of the dam and appurtenant structures and the adequacy of operation and maintenance practices. The inspection may include reevaluation of the ability of the dam and appurtenant structures to adequately withstand the hydraulic loadings and pass the appropriate design floods.    73.31(4) Inspections of low hazard dams.       a.    Preliminary site evaluation.The department may evaluate the site of a proposed dam from maps and aerial photographs in lieu of a field inspection.    b.    Inspection during construction.The applicant shall be responsible for providing supervision of construction by a person experienced in the type of construction involved.    c.    Inspection of dams with operating plans.Low hazard dams with operating plans shall be inspected by the department at least once every five years. Any problems noted shall be reported to the dam owner in writing.    d.    General inspections of low hazard dams.Low hazard dams may be periodically inspected by the department to determine their condition. Any serious problems noted shall be reported to the dam owner in writing.    73.31(5) Special inspections and investigations.  Special inspections and investigations shall be made by department personnel in the following instances:    a.    Upon notice or evidence of unauthorized construction;    b.    Upon notice or evidence that a dam has failed or is in a condition where failure appears likely, and public damages would result from such failure; or    c.    Upon notice or evidence that the hazard classification of a dam may no longer be valid due to changes in downstream conditions.    73.31(6) Inspections by others.  At the discretion of the department, an inspection report submitted by a qualified individual may be accepted in lieu of an inspection and report by the department.    73.31(7) Inspection reports.  The department shall prepare a report of each inspection and provide a copy to the dam owner. The report shall state the deficiencies observed during the inspection. If appropriate, the report shall detail the actions required to address the noted deficiencies.

    567—73.32(455B) Raising or lowering of impoundment levels.      73.32(1) When approval is required.  A separate approval is required to temporarily or permanently raise or lower the normal level of water impounded by a regulated dam unless the raising and lowering has been authorized as part of an approved operating plan. Such approval shall be in the form of a letter authorizing the lowering or raising and may be conditioned upon various requirements.    73.32(2) Information required for approval.  The applicant shall submit the following information:    a.    The date when the raising or lowering will be initiated, the level to which the impoundment will be raised or lowered and, if the raising or lowering is temporary, the anticipated date when the normal water level will be restored; and    b.    Evidence that the discharge rate during lowering will not exceed the capacity of the stream channel below the dam.    73.32(3) Criteria for approval.  The department’s review of the raising or lowering of the impoundment includes determining the effects on flooding or flood control for any proposed works and adjacent lands and property; on the wise use and protection of water resources; on the quality of water; on fish, wildlife, and recreational facilities or uses; and on all other public rights and requirements.    73.32(4) Conditions.  Conditions of approving the temporary or permanent raising or lowering of water levels may include:     a.    Giving prior notice to the director of the local county conservation board or local enforcement officer for the department;    b.    Publicizing the lowering locally in order to notify downstream users, persons who have boats or docks on the impoundment and other persons whose use of the impoundment might be affected; and    c.    Maintaining a minimum release rate as determined by the department during refilling.

    567—73.33(455B) Unsafe dams.      73.33(1) Procedures for designation of a dam as unsafe.       a.    Department report.If after inspection or other investigation the department determines that a dam is unsafe, a report shall be prepared. Copies of the report shall be provided to the dam owner and any other person whom the report identifies as responsible for the unsafe condition of the dam. The report shall identify the problems which cause the dam to be unsafe and recommend action to remedy the unsafe condition.    b.    Opportunity for comment.The department shall provide the dam owner or other responsible person with a reasonable opportunity to comment on the department report considering the degree and imminence of hazard identified in the department report.    73.33(2) Criteria for designating a dam as unsafe.  Designation of a dam as unsafe shall be based on one or more of the following findings:    a.    The dam has serious deficiencies in its design, construction, use, maintenance, or physical condition which would contribute to failure or otherwise increase flood damages;    b.    A high hazard or significant hazard dam has inadequate spillway capacity for the size and hazard potential of the dam.    73.33(3) Department action concerning an unsafe dam.  After completion of the procedures for designating an unsafe dam, the department shall issue an initial decision which may order remedial work depending on the degree and imminence of hazard caused by the unsafe condition. Remedial work may include draining of the impoundment or removal of any structure determined to constitute a public nuisance. Procedures for appealing an initial decision are the procedures in 567—Chapter 7. If the initial decision requires emergency remedial work to abate an imminent danger of failure which would cause significant public damages, the director of the department may request the assistance of the attorney general to seek an appropriate judicial order compelling performance of emergency remedial work.       These rules are intended to implement Iowa Code chapter 455B, division III, part 4.
        [Filed 8/17/21, effective 10/13/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5897CEnvironmental Protection Commission[567]Adopted and Filed

    Rule making related to mercury-added switch recovery from end-of-life vehicles

        The Environmental Protection Commission (Commission) hereby rescinds Chapter 215, “Mercury-Added Switch Recovery from End-of-Life Vehicles,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 455B.806.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 455B.801 to 455B.809.Purpose and Summary    This rule making rescinds and reserves Chapter 215. The Mercury-Free Recycling Act, passed in 2006, required auto manufacturers to implement and fund a system to recover mercury switches from scrap vehicles before they were crushed or shredded for recycling. Mercury switches were used in convenience lighting (hood and trunk lights) in vehicles as recently as 2002. The Mercury-Free Recycling Act included a sunset date of July 1, 2020, based on the expectation that the vast majority of vehicles containing the switches would be scrapped by then. The sunset deadline was not extended by the Legislature. As such, the Commission no longer has the authority to enforce this program. Accordingly, the rules must be rescinded.  Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 16, 2021, as ARC 5676C. 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 August 17, 2021.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. A copy of the fiscal impact statement is available from the Department of Natural Resources (Department) upon request. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request.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 561—Chapter 10.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 October 13, 2021.    The following rule-making action is adopted:

        ITEM 1.    Rescind and reserve 567—Chapter 215.    [Filed 8/17/21, effective 10/13/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5889CHuman Services Department[441]Adopted and Filed

    Rule making related to home- and community-based services eligibility

        The Human Services Department hereby amends Chapter 77, “Conditions of Participation for Providers of Medical and Remedial Care,” and Chapter 78, “Amount, Duration and Scope of Medical and Remedial Services,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code chapter 249A.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 249A.Purpose and Summary    The purpose of these amendments to the Home- and Community-Based Services (HCBS) Habilitation program is to adopt the Level of Care Utilization System (LOCUS) for adults ages 19 and older and Child and Adolescent Level of Care Utilization System (CALOCUS) for youth ages 16 to 18 for the purposes of the needs-based eligibility determination, person-centered service planning, and HCBS tier authorization.    These amendments also add provisions related to intensive residential habilitation services as defined in rule 441—25.1(331), adopt training criteria for direct service staff providing HCBS services, and clarify the scope of services included in Home-Based Habilitation (HBH).Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 16, 2021, as ARC 5706C.    The Department received 26 comments and questions from five respondents on the proposed amendments. The comments and questions and the corresponding responses from the Department are divided into three topic areas: (1) provider standards, (2) needs-based eligibility and LOCUS/CALOCUS implementation, and (3) general comments.    HCBS habilitation and HBH provider standards    Comment 1: Does the training proposed in the rule packet need to be competency-based?     Response 1: The training required in paragraph 77.25(8)“b” does not have to be competency-based; however, that is best practice.    Comment 2: What is the proposed effective date for the rule changes?     Response 2: The effective date of these adopted amendments is November 1, 2021.    Comment 3: How do we approach staff training if a person served moves from a “home-based habilitation” service to an “intensive residential habilitation” service? Do the staff need an additional 48 hours of training? Twenty-four hours of training since they already had their initial 24 hours, or just an additional 12 hours of training on top of the 12 hours they need to have annually?     Response 3: Staff training is not affected if a member moves from HBH services to intensive residential habilitation services. Staff that will be delivering intensive residential habilitation services must meet the criteria of subparagraph 77.25(8)“b”(3), which states that a person providing direct support to members receiving intensive residential habilitation services shall complete 48 hours of training within the first year of employment in mental health and multi-occurring conditions pursuant to subrule 25.6(8).    Comment 4: How will these training rules apply to existing staff? Will the staff be grandfathered in, or will they need to take 24 or 48 hours of training within a year of implementation of the rule? How do the new training expectations impact current staff? Will they need the initial 24 or 48 hours of training in the first year following rule implementation or default to the 12-hour annual training immediately?    Response 4: Existing staff will be expected to have completed the initial 24 or 48 hours of training, as applicable, within 12 months of November 1, 2021. When completing the 2022 HCBS provider self-assessment, the provider will attest to compliance with the HBH training requirements and the intensive residential habilitation training requirements, if applicable. In addition, during future HCBS quality oversight desk reviews and targeted reviews, HBH providers will be expected to show evidence of completion of the required training based on the services being delivered by the employee as documented in each employee’s training file.    Comment 5: Do training expectations apply solely to the HBH tier services, or will they additionally apply to staff in employment and day habilitation services as well?     Response 5: The training requirements in paragraph 77.25(8)“b” are applicable to HBH services only. Day habilitation service provider training requirements are included in paragraph 77.25(7)“b,” and the supported employment service provider training requirements are listed in paragraph 77.25(10)“c.”    Comment 6: Will training types including webinars, seminars and video tutorials that apply to the approved topics be an appropriate training method for staff, or is the expectation that trainings be such that staff must show competency for the topic?     Response 6: Providers may choose from a wide variety of training modalities to deliver the required training.    Comment 7: Do staff providing services to persons served who are receiving services in Intensive I, II, III, and IV need to have 48 hours of training within the first year of employment? Or is this just needed for staff working with persons served who are approved for the new level of service Intensive IV?     Response 7: When a staff person is delivering HBH services, that employee must be provided training in accordance with subparagraphs 77.25(8)“b”(4) and 77.25(8)“b”(5). When a direct support professional is providing intensive residential habilitation – Intensive IV services, that employee must be provided training in accordance with subparagraph 77.25(8)“b”(3).    Since publication of the Notice of Intended Action, the Department has revised subparagraph 77.25(8)“b”(3) in Item 2 by adding a requirement that 24 hours of training be completed each year after the employee’s first year of employment.     Comment 8: Paragraphs 77.25(8)“c” and “d.” Do these line items pertain to only the “intensive residential service homes” as being “designed to serve up to four persons,” or do these pertain to any home providing HBH services?    Response 8: Paragraphs 77.25(8)“c” and “d” apply to any home where HCBS habilitation or HCBS waiver services are provided. These paragraphs implement Iowa Code section 135C.6.     Comment 9: Subparagraph 77.25(8)“b”(1) states that a person providing direct support shall be at least 18 years old and have a high school diploma or its equivalent. This field is drastically short staffed, and this rule may continue to prohibit a provider’s ability to hire staff. Is it necessary to have a high school diploma or its equivalent? What exactly does “its equivalent” mean? With the increase in training hours to provide HBH, it appears that providers will be able to train on the skills that are necessary to provide these services regardless if a person has a high school diploma or its equivalent.    Response 9: The age and education requirements for a direct support professional that will be delivering the HBH services set the minimum expectation for the staff. A “high school diploma or equivalent” means having either a high school diploma or a GED certificate. Due to the level of maturity needed to support adults with functional limitations as a result of a diagnosis of serious mental illness, it was determined that the services should be delivered by an adult. If a provider wishes to employ someone who does not meet the minimum requirements under subparagraph 77.25(8)“b”(1), the provider may seek an exception to policy to employ the person in the delivery of HBH services.    Comment 10: Numbered paragraph 78.27(7)“c”(1)“1.” What exactly does “medically managed residential services” mean?     Response 10: Once generated, the LOCUS score is used to recommend a person for a level of care. There are seven different levels of care described in the LOCUS that differ according to:

  • The types of services and supports available.
  • The type and amount of staff support available.
  • How often treatment or services are provided.
  • The setting in which the treatment or services are provided.
  • The ability of the treatment or service setting to manage the safety of people who are at risk of harming themselves or others.
  •     Medically managed residential services is a level of care generally used for those experiencing the greatest severity of behavioral health condition(s), whether acutely or (for a small subset of individuals) for a longer period. This level of care is provided in an environment that allows persons who are at high risk of harm or with severe dysfunction and lack of engagement to be managed safely until their condition improves. The clinical attention and level of intervention provided are generally intense.    Comment 11: Subparagraph 78.27(7)“c”(2). What exactly does “medically monitored residential services” mean?     Response 11: This level of care is for those with higher levels of risk, more difficulties with daily functioning, and less access to or ability to use supports in the home. It commonly involves residential-based services, though it may also be provided through intensive in-home support. There is a great deal of structure and intervention provided under this level of care, with intensive monitoring and some level of 24-hour access to nursing and medical monitoring.    Comment 12: Subparagraph 78.27(7)“c”(7). For High Recovery, it states that the person must have a LOCUS score of level zero. We are concerned with this as our clients all have serious and persistent mental illness and will never have scores of zero on the LOCUS, as they have to meet all of the eligibility criteria which will indicate trouble in areas of functioning to receive habilitation services.    Response 12: The Department recognizes that actual disposition of level one recovery maintenance and health management is the lowest disposition score obtainable through the LOCUS/CALOCUS assessment, and as such, the Department has revised subparagraph 78.27(7)“c”(7) by changing the eligible LOCUS score from level zero to level one.     Comment 13: Subparagraph 78.27(7)“c”(3). What exactly does “medically monitored non-residential services” mean? There should be clarification within the rule as to what this means.    Response 13: This level of care is for those who need a great deal of structure, support and monitoring in order to live safely and successfully in the community. With appropriately matched supports and services, individuals at this level of care do not require an on-site living situation for their treatment. The Department recognizes that members receiving this level of HBH services may be residing in residential settings with daily staffing support.    Comment 14: Paragraphs 78.27(7)“d” and “e.” With the additional requirements for support and safety in service provision for serving youth, ensuring children ages 16 to 18 or those living in a 24-hour home for children up to the age of 21 are provided 24-hour supervision, they should get the highest level tier if residing in an agency-operated home. Recently our organization had this situation and did not get the highest level tier of Intensive III. Also, not sure how the LOCUS for children scores are calculated, but they would almost always need that higher tier because of their age. It does state in the rules that children ages 17.5 to 18 shall receive 24-hour supervision and support, but what about the 16 year olds and 17 year olds? We understand that if services are provided in their parental/guardian home, then we wouldn’t need that high level tier, but this should be clarified better.    Response 14: In accordance with Department policy regarding serving minors in residential settings outside the family home, minors 16 to 17 years old are to be served in a setting licensed by the Department of Inspections and Appeals. Minors receiving services outside the family home are to receive 24-hour supervision from the service provider. The Department has revised paragraph 78.27(7)“d” by adding new subparagraph 78.27(7)“d”(4) as follows:    “(4) Individuals 16 to 18 years of age shall receive 24-hour site supervision and support.”    Needs-based eligibility and LOCUS/CALOCUS implementation    Comment 1: Subparagraphs 78.27(2)“f”(1) and (2). Needs Assessment Habilitation Services are utilized to serve Medicaid members who have experienced psychiatric treatment and have a history of severe and persistent mental illness. Our agency strongly recommends that assessments not be completed based solely on a review of records, but that language be included in this section requiring a face-to-face assessment completed by the designated case manager and the interdisciplinary team (including member and guardian). This is consistent with current Iowa Administrative Code rule 441—90.4(249A) guidelines and will ensure the LOCUS score is a true representation of each member’s assessed needs.    Response 1: The Department agrees that the comprehensive assessment and social history completed by the integrated health home (IHH) or the community-based case manager (CBCM) must be completed based on a face-to-face interview with the member and the member’s representatives as applicable. Consequently, the Department has revised the first sentence of paragraph 78.27(2)“f” so that it now reads as follows:    “The LOCUS or CALOCUS tool has been completed in the LOCUS online system and using the algorithm developed by Deerfield Solutions to derive the actual disposition score based on the comprehensive assessment and social history (CASH) completed by the integrated health home (IHH) or community-based case manager (CBCM) during a face-to-face interview with the member and the member’s representative as applicable, and based on information submitted on the information submission tool and other supporting documentation as relevant, the IME medical services unit has determined that the member is in need of home- and community-based services.”    Comment 2: The assessor should be identified prior to the implementation of these rules (CBCM, IHH or other?). Add into rule the requirement for assessor to have completed LOCUS/CALOCUS training by Deerfield Solutions’ authorized training program or certification prior to implementation.    Response 2: The operationalization of the LOCUS/CALOCUS is within the purview of the managed care organizations (MCOs). The MCOs are expected to have trained assessors who meet the criteria in the 1915(i) state plan amendment (SPA) and the managed care contracts. The scoring of the LOCUS/CALOCUS will be operationalized through the contractual obligations of the MCOs.    Comment 3: Add language requiring that any scoring of the LOCUS/CALOCUS use the algorithm developed by Deerfield Solutions.    Response 3: Paragraph 78.27(2)“f” has been revised as noted in Response 1 of this section.    Comment 4: Regarding completion of a member’s initial assessment within 7 days of referral for habilitation services, an annual LOCUS/CALOCUS assessment should be completed 30 days prior to the implementation of the new individual service plan.    Response 4: The timelines for completion of the initial assessment and annual reassessment will be completed within the timelines agreed upon in the core standardized assessment (CSA) vendor contract and the managed care contracts. The contractual obligations of the MCOs and CSA vendors will not be placed in administrative rule.    Comment 5: Our agency recommends that a process for appeal of the assessment be developed and clearly outlined, utilizing the Supports Intensity Scale (SIS) assessment process for appeal.    Response 5: Habilitation member appeal rights are included in paragraph 78.27(11)“d.” The Department has amended paragraph 78.27(11)“d” in new Item 6 to add the words “or of the LOCUS/CALOCUS actual disposition score” to the paragraph’s second sentence so that it now reads as follows:    “The member is entitled to have a review of the determination of needs-based eligibility or of the LOCUS/CALOCUS actual disposition score by the Iowa Medicaid enterprise medical services unit by sending a letter requesting a review to the medical services unit.”     Comment 6: Development of evaluation process to ensure interrater reliability of assessment should be included in rules.    Response 6: The oversight of the MCO assessment processes will be included in the scope of work of the MCO oversight vendor contract. Similar processes that are in place today to ensure interrater reliability for the interRAI and SIS assessment tools will be utilized for the scoring of the LOCUS/CALOCUS tool.    Comment 7: The process for reassessment should include a seven-day time frame for completion of LOCUS/CALOCUS in the event of a significant observable change in the member’s situation, condition, or circumstances. Include language directing that a copy of the LOCUS/CALOCUS full assessment and scores derived from the assessment be shared with all members of the interdisciplinary team at the conclusion of the assessment with a written report distributed within seven days.    Response 7: The MCO and medical services vendors are contractually obligated to observe the timelines contained in their respective contracts regarding completion of initial and annual assessments. No changes are being made to the rules at this time in response to the comment.    Comment 8: Subparagraphs 78.27(7)“c”(3) and (4). Currently Intensive I and Intensive II tiers (UD and U8) are residential-based services, but they are indicated on here to be “non-residential services” in the proposed rule. The only indicated residential service in the proposed tiers is for Intensive III and IV. This would be a change from the current tier system. This is a concern to us, as we feel they should remain residential services.    Response 8: The definitions related to the LOCUS/CALOCUS actual disposition scores are the definitions for the level of care identified by the LOCUS/CALOCUS online system. For the purposes of the HCBS habilitation program, the Department recognizes that both Intensive I and Intensive II are provided in residential and community-based settings.    The Department has revised subparagraphs 78.27(7)“c”(2) to (7) to remove references to the level of care identified by the LOCUS/CALOCUS online system. The subparagraphs now read as follows:    “(1) Intensive IV residential habilitation services. Intensive IV services are provided 24 hours per day. To be eligible for intensive IV services, a member must meet the following criteria:    “1. The member has a LOCUS/CALOCUS actual disposition of level six medically managed residential services, and    “2. The member meets the criteria in 441—subparagraph 25.6(8)“c”(3).    “(2) Intensive III services are provided 17 to 24 hours per day. To be eligible for intensive III services, the member must have a LOCUS/CALOCUS actual disposition of level five.    “(3) Intensive II services are provided 13 to 16.75 hours per day. To be eligible for intensive II services, the member must have a LOCUS/CALOCUS actual disposition of level four.    “(4) Intensive I services are provided 9 to 12.75 hours per day. To be eligible for intensive I services, the member must have a LOCUS/CALOCUS actual disposition of level three.    “(5) Medium need services are provided 4.25 to 8.75 hours per day as needed. To be eligible for medium need services, the member must have a LOCUS/CALOCUS actual disposition of level two.    “(6) Recovery transitional services are provided 2.25 to 4 hours per day as needed. To be eligible for recovery transitional services, the member must have a LOCUS/CALOCUS actual disposition of level one.    “(7) High recovery services are provided 0.25 to 2 hours per day as needed. To be eligible for high recovery services, the member must have a LOCUS/CALOCUS actual disposition of level one.”    Comment 9: We have heard that the LOCUS tool would be completed by the MCO as a desk review and not as an interactive assessment completed with the individuals receiving service. We are concerned about individuals not receiving appropriate scoring by only utilizing this method. We strongly encourage that the rules be amended to indicate that the LOCUS would include an interview with the individual requesting services, as that is also indicated in the LOCUS training manual to be done.    Response 9: The member will participate in a face-to-face comprehensive assessment and social history (CASH) to be completed by the IHH or by the CBCM at the time the member is enrolled in habilitation. The CASH will be used to complete the LOCUS/CALOCUS in the LOCUS online system by assessors trained by Deerfield Solutions, the LOCUS/CALOCUS vendor. The Department requested clarification from Deerfield Solutions and the American Association for Community Psychiatry (AACP) regarding the validity of the LOCUS and CALOCUS when completed as a desk review. According to Deerfield Solutions and AACP, it is appropriate to complete the LOCUS/CALOCUS as a desk review as long as the supporting information reflects the member’s current status.    Comment 10: The current process allows for a client to change tiers by just having a comprehensive team meeting, but it appears that a new LOCUS would have to be completed by the MCO to get this done. How timely can this get completed utilizing this proposed process, as often situations can change very rapidly and need a change in tier with very quick turnover?    Response 10: The operationalization of the LOCUS/CALOCUS including timelines for completion and distribution back to the member and the member’s IHH or CBCM will be consistent with the terms of the managed care contracts.    Comment 11: There are concerns also about the MCO payer completing the LOCUS and deciding the level of care for a client, overall, as it is a possible conflict of interest. We feel it should be completed by IHH Care Coordinators (IHHCC), as the interRAI is now, as they have the relationship with the client and thus, better understand the needs of the clients.    Response 11: The payer is not determining the service; it is the decision support tool, the LOCUS/CALOCUS, in addition to other supporting documentation that will determine the member’s eligibility for habilitation and the LOCUS/CALOCUS tool that will determine the member’s level of service for HBH. A dedicated team of trained LOCUS/CALOCUS assessors will enhance the interrater reliability. LOCUS/CALOCUS will be incorporated to the core standardized assessment oversight process that is completed today by Telligen. This process will be similar to the process that is used today to score the SIS assessment used for level of care and service authorization for the intellectual disability waiver.    Comment 12: For HBH services, if someone needs or wants less hours than what they are tested at, do staff have to be provided at that amount?    Response 12: The member and the member’s interdisciplinary team will review the LOCUS/CALOCUS Domain scores and Actual Disposition Score to determine if the member’s needs can be safely met at a lower tier than that recommended by the LOCUS online tool. If the member can be safely served at a lower level of care, the IHHCC or CBCM will document the discussion and determination made by the team in the member’s comprehensive person-centered service plan. That information will be communicated to the MCO or through IoWANS when seeking service authorization.    Comment 13: How will they ensure comp assessments are done thoroughly?    Response 13: The IHHs and CBCMs will be provided training on the interaction between the CASH and the LOCUS/CALOCUS. The IHHs and CBCMs will use the CASH/LOCUS crosswalk tool developed to ensure that the CASH is capturing the member’s information and condition accurately and thoroughly to enable accurate scoring of the LOCUS/CALOCUS in the LOCUS online system.    Comment 14: Would providers still do tier reviews with the MCO/IHH?    Response 14: The process for reviewing a member’s service authorization will be modified to include updates to the CASH, which would then be submitted to the MCO to complete a new LOCUS/CALOCUS when a change in the member’s needs indicates that a change in service level is necessary.    Comment 15: Paragraph 78.27(2)“g,” plan for service, states “Home- and community-based habilitation services provided before approval of a member’s eligibility for the program cannot be reimbursed.” IACP requests the plan for service be developed within 7 days of the initial assessment completion and 30 days prior to the annual Individual Service Plan implementation date. This request is due to the nature of the supports and services offered through the Habilitation Program. Without a completed service plan, providers cannot provide necessary supports and services to individuals, which puts the member at risk.    Response 15: The timelines for completion of the service plan are detailed in subparagraph 78.27(4)“a”(9). In addition, the MCO and medical services vendors are contractually obligated to observe the timelines contained in their respective contracts. No changes are being made to the rules at this time based on this comment.    Comment 16: At the June 1, 2021, workgroup meeting, it was announced that the LOCUS/CALOCUS tool that is to replace the interRAI would no longer be completed by the IHH during a meeting with the client (aka member), but instead the MCOs would complete the tool by doing a desk review of the 30+ page CASH document compiled by the IHH via meetings with the client. It was suggested by the MCOs that maybe the IHHs could highlight areas of the CASH when changes were made and add more in-depth verbiage throughout the CASH so that it would be easier for the MCO to more readily recognize these areas when completing the LOCUS/CALOCUS as a desk review. We are opposed to the change in how the LOCUS tool would be utilized.    1. The LOCUS is designed for interaction with a client to understand their needs, not as a desk review tool of other documents. The LOCUS Training Manual clearly states that “Although the instrument does supply some guidelines, you will be required to make a determination based upon the interview with the client and your intuition about where the most appropriate assignment or rating level falls within a dimension.” The LOCUS has a guided interview to gather the information with the client. There is also a need to understand the client, to know the client, and to be able to determine how the client’s ability to engage may affect his or her capacity for making changes that will enhance well-being.    2. A crosswalk between the CASH and the LOCUS/CALOCUS tool needs to be completed with provider input and advanced training provided. The CASH takes over an hour with the client just to read the questions on the 30+ pages; it is more focused on the history and strengths of how a client is doing, whereas the LOCUS is a tool to determine the resource intensity needs of the client via a disposition score.    3. There are again concerns with interrater reliability as the MCO payer also becomes the decider of the level of care for a client without even meeting with that client. Past experience shows that MCO staff are not consistent in the review of client files and charts even when all are reporting on the same documents.    Response 16: The CASH is a person-centered tool and identifies the member’s needs. If all necessary information is present, a desktop review is acceptable to complete the LOCUS/CALOCUS. According to Deerfield and AACP, it is appropriate to complete the LOCUS/CALOCUS as a desk review as long as the supporting information reflects the member’s current status. The LOCUS/CALOCUS will be completed by a trained assessor using the information submitted by the IHH or CBCM on the CASH. The assessment functions within the MCO are separate from utilization management functions, which ensures an appropriate firewall in the administration of the assessment.    A crosswalk between the CASH and LOCUS is in process at this time. IHHs will receive comprehensive training on the completion of the CASH and interaction between the CASH and the LOCUS tools in advance of implementation.    The payer is not determining the level of care or the service; the LOCUS/CALOCUS is a decision support tool. All needs-based eligibility determinations are made by the IME. A dedicated team of trained LOCUS/CALOCUS assessors will enhance the interrater reliability. LOCUS/CALOCUS interrater reliability processes will be incorporated to the core standardized assessment oversight process that is completed today by Telligen.    Comment 17: If the MCOs are to complete the LOCUS/CALOCUS, then they should also be actively involved in completing the CASH so that they will have direct contact with the client to best understand the overall needs of each respective client. Additionally, a process and timeline for completion of the tool scoring as well as the appeal process needs to be developed to ensure there is a not a gap in services or provider payments due to the changes proposed by these rules.    Response 17: In accordance with rule 441—90.4(249A), the IHHs and CBCMs are responsible to complete the CASH for the members that they are assigned. Habilitation member appeal rights are included in paragraph 78.27(11)“d.” The Department has amended paragraph 78.27(11)“d” as described in Response 5 of this section.    The timelines for completion of the initial assessment and annual reassessment will be completed within the timelines agreed upon in the Core Standardized Assessment vendor contract and the managed care contracts. The contractual obligations for the MCOs and CSA vendors will not be placed in administrative rule.    Comment 18: We strongly encourage you to amend the rules to state the LOCUS/CALOCUS tool cannot be utilized as a desk review and must be completed as designed as an interactive interview with the client by care coordinators and staff who already have a relationship and understanding of the needs of the client and focused on the client’s overall well-being.    Response 18: The CASH will be used to complete the LOCUS/CALOCUS in the LOCUS online system by assessors trained by Deerfield Solutions, the LOCUS/CALOCUS vendor. The Department requested clarification from Deerfield Solutions and AACP regarding the validity of the LOCUS and CALOCUS when completed as a desk review. According to Deerfield and AACP, it is appropriate to complete the LOCUS/CALOCUS as a desk review as long as the supporting information reflects the member’s current status.    Comment 19: Considering the time commitment necessary for assessments for other HCBS Waivers (ID Waiver and the SIS), what is the expectation for provider staff involvement in the LOCUS or CALOCUS assessment process? Will providers need to plan for additional staff time to be involved in these assessments?    Response 19: Providers are expected to participate as necessary in the development of the CASH completed by the member’s IHHCC or the CBCM of the member’s MCO. The MCOs will be completing the LOCUS/CALOCUS in the LOCUS online system as a desk review based on submission of the CASH by the IHHCC or CBCM.    Comment 20: What is the process for requesting a need for service plan change related to member situation, condition or circumstance?    Response 20: The processes to request a service plan change remains unchanged. Members and their service providers are to work through the IHHCC or MCO’s CBCM to request service plan changes.    Comment 21: Does the requirement for the service plan to include LOCUS/CALOCUS disposition, composite score and domain scores apply to the service provider plan in addition to the authorizing plan?    Response 21: The requirement for the service plan to include LOCUS/CALOCUS disposition, composite score and domain scores applies to the comprehensive person-centered service plan developed by the IHH or CBCM in coordination with the member’s interdisciplinary team. The provider delivering HBH services will indicate in the provider-specific service plan the member’s LOCUS/CALOCUS actual disposition score and the HBH tier that the provider is authorized to deliver.    General Comments     The Department received a number of positive comments in support of the proposed rule making. The Department thanks the agencies that participated in the Habilitation workgroup and those who are supportive of the changes to the Habilitation program. Adoption of Rule Making    This rule making was adopted by the Council on Human Services on August 12, 2021.Fiscal Impact    Assumptions are based on the change in the HBH service eligibility criteria of individuals accessing services under each of the tiers for HBH. The SFY22 State share estimate assumes the COVID-19-related increase in the Federal Medical Assistance Percentage (FMAP) will remain in effect through December 2021. The estimate does not include the potential 10 percent FMAP increase for HCBS waiver services authorized through the American Rescue Plan Act since decisions on this FMAP increase are still pending. This rule making will change the assessment tool for this population from the current interRAI to the LOCUS/CALOCUS assessment tool. The contractor costs associated with completing the assessments are comparable between these tools, so no additional administrative impact is anticipated. Use of the new assessment tool is expected to shift utilization across the HBH reimbursement tiers. Estimates were derived from Optumas using historical data from Iowa Total Care and Amerigroup on utilization and costs for different tiers of service. Funding will need to come from the existing Medical Assistance appropriation. Providers will likely see increased Medicaid payments due to the redistribution of members by reimbursement tier.Jobs Impact    The impact on jobs is unknown at this time but is anticipated to be minimal. 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).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 1, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Adopt the following new definition of “Intensive residential service homes” in subrule 77.25(1):        "Intensive residential service homes" or "intensive residential services" means intensive, community-based services provided 24 hours per day, 7 days per week, 365 days per year to individuals with a severe and persistent mental illness who have functional impairments and may also have multi-occurring conditions. Providers of intensive residential service homes are enrolled with Medicaid as providers of HCBS habilitation or HCBS intellectual disability waiver supported community living and meet additional criteria specified in 441—subrule 25.6(8).

        ITEM 2.    Amend subrule 77.25(8) as follows:    77.25(8) Home-based habilitation.      a.    The following agencies may provide home-based habilitation services:    a.    (1)   An agency that is certified by the department to provide supported community living services under:    (1)   1.   The home- and community-based services intellectual disability waiver pursuant to rule 441—77.37(249A); or    (2)   2.   The home- and community-based services brain injury waiver pursuant to rule 441—77.39(249A).    b.    (2)   An agency that is accredited under 441—Chapter 24 to provide supported community living services.    c.    (3)   An agency that is accredited by the Commission on Accreditation of Rehabilitation Facilities as a community housing or supported living service provider.    d.    (4)   An agency that is accredited by the Council on Quality and Leadership in Supports for People with Disabilities.    e.    (5)   An agency that is accredited by the Council on Accreditation of Services for Families and Children.    f.    (6)   An agency that is accredited by the Joint Commission on Accreditation of Healthcare Organizations.    b.    Direct support staff providing home-based habilitation services shall meet the following minimum qualifications in addition to the other requirements outlined in this rule:    (1)   A person providing direct support shall be at least 18 years old and have a high school diploma or its equivalent.     (2)   A person providing direct support shall not be an immediate family member of the member receiving services.    (3)   A person providing direct support to members receiving intensive residential habilitation services shall complete 48 hours of training within the first year of employment and 24 hours of training each year thereafter in mental health and multi-occurring conditions pursuant to 441—subrule 25.6(8).    (4)   A person providing direct support to members receiving home-based habilitation services shall complete a minimum of 24 hours of training within the first year of employment in mental health and multi-occurring conditions, including but not limited to the following topics:    1.   Mental health diagnoses, symptomology, and treatment;    2.   Intervention strategies that may include applied behavioral analysis, motivational interviewing, or other evidence-based practices;    3.   Crisis management, intervention, and de-escalation;    4.   Psychiatric medications, common medications, and potential side effects;    5.   Member-specific medication protocols, supervision of self-administration of medication, and documentation;    6.   Substance use disorders and treatment;    7.   Other diagnoses or conditions present in the population served; and    8.   Individual-person-centered service plan, crisis plan, and behavioral support plan implementation.    (5)   A person providing direct support to members receiving home-based habilitation services shall complete a minimum of 12 hours of training annually on the topics listed in subparagraph 77.25(8)“b”(4) or other topics related to serving individuals with severe and persistent mental illness.    c.    The department shall approve living units designed to serve up to four persons except as necessary to prevent an overconcentration of supported community living units in a geographic area.    d.    The department shall approve a living unit designed to serve five persons if both of the following conditions are met:    (1)   Approval will not result in an overconcentration of supported community living units in a geographic area; and    (2)   The county in which the living unit is located provides to the bureau of long-term care verification in writing that the approval is needed to address one or more of the following issues:    1.   The quantity of services currently available in the county is insufficient to meet the need; or    2.   The quantity of affordable rental housing in the county is insufficient to meet the need; or    3.   Approval will result in a reduction in the size or quantity of larger congregate settings.

        ITEM 3.    Adopt the following new definitions of “Child and Adolescent Level of Care Utilization System,” “Intensive residential service homes,” “Level of Care Utilization System” and “Severe and persistent mental illness” in subrule 78.27(1):        "Child and Adolescent Level of Care Utilization System" or "CALOCUS" means the comprehensive functional assessment tool utilized to determine eligibility for the habilitation program and service authorization for the home-based habilitation service for individuals aged 16 to 18.        "Intensive residential service homes" or "intensive residential services" means intensive, community-based services provided 24 hours per day, 7 days per week, 365 days per year to individuals with a severe and persistent mental illness who have functional impairments and may also have multi-occurring conditions. Providers of intensive residential service homes are enrolled with Medicaid as providers of HCBS habilitation or HCBS intellectual disability waiver supported community living and meet additional criteria specified in 441—subrule 25.6(8).        "Level of Care Utilization System" or "LOCUS" means the comprehensive functional assessment tool utilized to determine eligibility for the habilitation program and service authorization for the home-based habilitation service for individuals aged 19 and older.        "Severe and persistent mental illness" means the same as defined in rule 441—25.1(331).

        ITEM 4.    Amend subrule 78.27(2) as follows:    78.27(2) Member eligibility.  To be eligible to receive home- and community-based habilitation services, a member shall meet the following criteria:    a.    Age.The member is at least 16 years of age or older.    b.    LOCUS/CALOCUS actual disposition.The member has a LOCUS/CALOCUS actual disposition of level one recovery maintenance and health management or higher on the most current LOCUS/CALOCUS assessment completed within the past 30 days.    a.    c.    Risk factors.The member has at least one of the following risk factors:    (1)   The member has undergone or is currently undergoing psychiatric treatment more intensive than outpatient care (e.g.,crisis response services, subacute mental health services, emergency services, alternative home care, partial hospitalization, or inpatient hospitalization) more than once in the member’s life; or    (2)   The member is currently receiving habilitation or integrated health home services; or    (2)   (3)   The member has a history of psychiatric illnesssevere and persistent mental illness resulting in at least one episode of continuous, professional supportive care other than hospitalization.(e.g., counseling, therapy, assertive community treatment, or medication management); or    (4)   The member has a history of severe and persistent mental illness resulting in involvement in the criminal justice system (e.g., prior incarceration, parole, probation, criminal charges, jail diversion program or mental health court); or    (5)   Traditional mental health services available in the member’s community have not been able to meet the member’s needs.    b.    d.    Need for assistance.The member has a need for assistanceor is likely to need assistance related to functional impairment arising out of a mental health diagnosis typically demonstrated by meeting at least two of the following criteria on a continuing or intermittent basis for at least two years12 months:    (1)   The member is unemployed, is employed in a sheltered setting, or has markedly limited skills and a poor work history, and the member is currently receiving employment services or the member has a need for employment services to obtain or maintain employment.    (2)   The member requires financial assistance for out-of-hospital maintenance and isto reside independently in the community or may be homeless or at risk of homelessness if unable to procure this assistance without help.    (3)   The member shows severesignificant inability to establish or maintain a personal social support system.    (4)   The member requires help in basic living skills such as self-care, money management, housekeeping, cooking, and medication management.    (5)   The member exhibits inappropriate social behavior that results in a demand for interventionputs the member’s safety or others’ safety at risk, which results in the need for service intervention which may include crisis management or protective oversight.    c.    e.    Income.The countable income used in determining the member’s Medicaid eligibility does not exceed 150 percent of the federal poverty level.    d.    f.    Needs assessment.The interRAI - Child and Youth Mental Health (ChYMH) for youth aged 16 to 18 or the interRAI - Community Mental Health (CMH) for those aged 19 and olderLOCUS or CALOCUS tool has been completedin the LOCUS online system, and using the algorithm developed by Deerfield Solutions to derive the actual disposition score based on the comprehensive assessment and social history (CASH) completed by the integrated health home (IHH) or community-based case manager (CBCM) during a face-to-face interview with the member and the member’s representative as applicable, and based on information submitted on the information submission tool and other supporting documentation as relevant, the IME medical services unit has determined that the member is in need of home- and community-based habilitation services. The interRAI - Child and Youth Mental Health (ChYMH) and the interRAI - Community Mental Health (CMH)LOCUS/CALOCUS information submission tools are available on request from the IME medical services unit. Copies of the information submission tool for an individual are available to that individual from the individual’s case manager, integrated health home care coordinator, or managed care organization. The designated case manager or integrated health home care coordinator shall:    (1)   Arrange for the completion of the interRAILOCUS or CALOCUS, before services begin and annually thereafter, and more frequently if significant observable changes occur in the member’s situation, condition or circumstances.    (2)   Use the information submission tool and other supporting documentation as relevant to develop a comprehensive service plan as specified in subrule 78.27(4),and 441—paragraph 90.4(1)“b” before services begin and annually thereafter, and when there is a significant observable change in the member’s situation, condition, or circumstances.    e.    g.    Plan for service.The departmentor the member’s managed care organization has approved the member’s comprehensive service plan for home- and community-based habilitation services. Home- and community-based habilitation services included in a comprehensive service plan or treatment plan that has been validated through ISISby the IME or the member’s managed care organization shall be considered approved by the department. Home- and community-based habilitation services provided before approval of a member’s eligibility for the program cannot be reimbursed.    (1)   The member’s comprehensive service plan shall be completed annually according to the requirements of subrule 78.27(4).and 441—paragraph 90.4(1)“b.” A service plan may change at any time due to a significant change in the member’s needswhen requested by the member or the member’s interdisciplinary team when there is a significant observable change in the member’s situation, condition, or circumstances.    (2)   For members receiving home-based habilitation, the service plan shall include the member’s LOCUS/CALOCUS actual disposition, the LOCUS/CALOCUS composite score, and each individual domain score for each of the six LOCUS/CALOCUS domains.    (2)   (3)   The member’s habilitation services shall not exceed the maximum number of units established for each service in 441—subrule 79.1(2).    (3)   (4)   The cost of the habilitation services shall not exceed unit expense maximums established in 441—subrule 79.1(2).

        ITEM 5.    Amend subrule 78.27(7) as follows:    78.27(7) Home-based habilitation.  “Home-based habilitation” means individually tailored supports that assist with the acquisition, retention, or improvement of skills related to living, working, and recreating in the community.    a.    Scope.Home-based habilitation services are individualized supportive services provided in the member’s home and community that assist the member to reside in the most integrated setting appropriate to the member’s needs. Services are intended to provide for the daily living needs of the member and shall be available as needed during any 24-hour period. The specific support needs for each member shall be determined necessary by the interdisciplinary team and shall be identified in the member’s comprehensive service plan. Covered supports include:    (1)   Adaptive skill development;    (2)   Assistance with activities of daily livingto address daily living needs;    (3)   Assistance with symptom management and participation in mental health treatment;    (4)   Assistance with accessing physical and mental health care treatment, communication, and implementation of health care recommendations and treatment;    (5)   Assistance with accessing and participating in substance use disorder treatment and services;    (6)   Assistance with medication administration and medication management;    (7)   Assistance with understanding communication whether verbal or written;    (3)   (8)   Community inclusionand active participation in the community;    (4)   (9)   Transportation;    (5)   (10)   Adult educational supports, which may include assistance and support with enrolling in educational opportunities and participation in education and training;    (6)   (11)   Social and leisure skill development;    (7)   (12)   Personal care; and    (8)   (13)   Protective oversight and supervision.    b.    Setting requirements.Home-based habilitation services shall occur in the member’s home and community.    (1)   A member may live in the member’s own home, within the home of the member’s family or legal representative, or in another community living arrangement that meets the criteria in 441—subrule 77.25(5).    (2)   A member living with the member’s family or legal representative is not subject to the criteria in 441—paragraphs 77.25(8)“c” and “d.”    (3)   A member may not reside in a licensed medical or health care facility or in a setting that is required to be licensed as a medical or health care facility.    c.    Home-based habilitation level of service criteria.Home-based habilitation services shall be available to members based on the member’s most current LOCUS/CALOCUS actual disposition score, according to the following criteria:    (1)   Intensive IV residential habilitation services. Intensive IV services are provided 24 hours per day. To be eligible for intensive IV services, a member must meet the following criteria:    1.   The member has a LOCUS/CALOCUS actual disposition of level six medically managed residential services, and    2.   The member meets the criteria in 441—subparagraph 25.6(8)“c”(3).    (2)   Intensive III services are provided 17 to 24 hours per day. To be eligible for intensive III services, the member must have a LOCUS/CALOCUS actual disposition of level five.    (3)   Intensive II services are provided 13 to 16.75 hours per day. To be eligible for intensive II services, the member must have a LOCUS/CALOCUS actual disposition of level four.    (4)   Intensive I services are provided 9 to 12.75 hours per day. To be eligible for intensive I services, the member must have a LOCUS/CALOCUS actual disposition of level three.    (5)   Medium need services are provided 4.25 to 8.75 hours per day as needed. To be eligible for medium need services, the member must have a LOCUS/CALOCUS actual disposition of level two.    (6)   Recovery transitional services are provided 2.25 to 4 hours per day as needed. To be eligible for recovery transitional services, the member must have a LOCUS/CALOCUS actual disposition of level one.    (7)   High recovery services are provided 0.25 to 2 hours per day as needed. To be eligible for high recovery services, the member must have a LOCUS/CALOCUS actual disposition of level one.    d.    Additional criteria for receiving home-based habilitation services for transition-age youth 16 to 17.5 years of age.    (1)   Members residing in the family home may receive home-based habilitation services as needed, subject to the criteria set forth in this rule.    (2)   Members residing outside the family home may only receive home-based habilitation services in residential settings with 16 or fewer beds licensed by the department of inspections and appeals.    (3)   The proposed living environment must meet HCBS setting requirements in accordance with 441—subrule 77.25(5).    (4)   Individuals 16 to 18 years of age shall receive 24-hour site supervision and support.    e.    Additional criteria for receiving home-based habilitation services for transition-age youth 17.5 to 18 years of age.    (1)   Members residing in the family home may receive home-based habilitation services as needed, subject to the criteria set forth in this rule.    (2)   Members residing outside of the family home may receive daily home-based habilitation in a provider-owned or controlled setting when the following criteria are met:    1.   The proposed living environment must meet HCBS setting requirements in accordance with 441—subrule 77.25(5).    2.   All providers of the service setting being requested must meet the following additional safety and service requirements for serving youth under the age of 18:
  • Individuals 17.5 to 18 years of age shall receive 24-hour site supervision and support.
  • Individuals under the age of 18 may not reside in settings with individuals over the age of 21.
  • The comprehensive service plan shall specifically identify educational services and supports for individuals who have not obtained a high school diploma or equivalent.
  • For individuals who have obtained a high school diploma or equivalent, the comprehensive service plan shall include supported employment, additional training, or educational supports.
  •     3.   The member’s parent or guardian has consented to home-based habilitation services.    4.   The member is able to pay room and board costs (funding sources may include, but are not limited to, supplemental security income, child support, adoptions subsidy, or private funds).    5.   A licensed setting, such as those approved to provide residential-based supported community living, is not available.
        b.    f.    Exclusions.Home-based habilitation payment shall not be made for the following:    (1)   Room and board and maintenance costs, including the cost of rent or mortgage, utilities, telephone, food, household supplies, and building maintenance, upkeep, or improvement.    (2)   Service activities associated with vocational services, day care, medical services, or case management.    (3)   Transportation to and from a day program.    (4)   Services provided to a member who lives in a licensed residential care facility of more than 16 persons.    (5)   Services provided to a member who lives in a facility that provides the same service as part of an inclusive or “bundled” service rate, such as a nursing facility or an intermediate care facility for persons with mental retardation.    (6)   Personal care and protective oversight and supervision may be a component part of home-based habilitation services but may not comprise the entirety of the service.

        ITEM 6.    Amend paragraph 78.27(11)"d" as follows:    d.    Appeal rights.The department shall give notice of any adverse action and the right to appeal in accordance with 441—Chapter 7. The member is entitled to have a review of the determination of needs-based eligibilityor of the LOCUS/CALOCUS actual disposition score by the Iowa Medicaid enterprise medical services unit by sending a letter requesting a review to the medical services unit. If dissatisfied with that decision, the member may file an appeal with the department.    [Filed 8/13/21, effective 11/1/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.ARC 5892CHuman Services Department[441]Adopted and Filed

    Rule making related to child and spousal support and parenting time

        The Human Services Department hereby amends Chapter 99, “Support Establishment and Adjustment Services,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 252B.7A.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 252B.7A.Purpose and Summary    This rule making is necessitated by recent changes to 45 CFR Section 302.56 for guidelines for setting child support awards and to 45 CFR Section 303.4 for establishment of support obligations. To conform to these federal regulations, this rule making updates the Child Support Recovery Unit’s current rules for determining income to consider a parent’s specific circumstances when evidence of income is limited. The federal Family Support Act of 1988 required each state to maintain uniform child support guidelines and criteria and to review the guidelines and criteria at least once every four years. The Iowa General Assembly entrusted the Iowa Supreme Court with this responsibility in Iowa Code section 598.21B. These amendments update Chapter 99 to conform to upcoming changes to the Iowa Supreme Court guidelines. This rule making adds the term “parenting time” in reference to the rights awarded a parent to time with the parent’s child. The term “parenting time” is becoming the more preferred terminology, as compared to the term “visitation,” and there has been recent proposed legislation to replace the term throughout the Iowa Code.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 16, 2021, as ARC 5709C. No public comments were received; however, the Department has made some minor corrections since publication of the Notice to ensure the rules adopted are consistent throughout the chapter. To ensure conformity, changes were made in the introductory paragraph of subrule 99.1(4) in Item 1 and subrule 99.109(2) in Item 7, and they now read as follows:    “99.1(4) Use of occupational wage rate information or median income for parents on the CSRU caseload. CSRU shall use occupational wage rate information or median income for parents on the CSRU caseload to determine a parent’s income when the parent has failed to return a completed financial statement when requested, and when complete and accurate income information from other readily available sources cannot be secured. If a parent’s most recent residential address is in Iowa, CSRU shall use Iowa workforce development regional data to determine income. If a parent’s most recent residential address is in another state, the District of Columbia, or Puerto Rico, CSRU shall use wage data from the place of the parent’s most recent residence to determine income. For all other cases, CSRU shall use Iowa statewide occupational wage rate or median income for parents on the CSRU caseload to determine income.”    “99.109(2) Orders eligible for suspension.     “a. The unit shall assist an obligor in suspending support for a child under this part only when there is no order in effect regarding legal custody, physical care, visitation, or parenting time for the child.    “b. If an order exists that contains language regarding legal custody, physical care, visitation, or parenting time for the child, the unit shall deny the suspension request.”Adoption of Rule Making    This rule making was adopted by the Council on Human Services on August 12, 2021.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).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 January 1, 2022.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 441—99.1(234,252B,252H) as follows:

    441—99.1(234,252B,252H) Income considered.  The child support recovery unit shall consider all regularly recurring income of both legal parents to determine the amount of the support award in accordance with the child support guidelines prescribed by the Iowa Supreme Court.Spousal support shall be considered as specified in the Iowa Supreme Court guidelines, and prior obligation spousal support actually paid or received shall be calculated in the same manner as the deductions for support in subrule 99.2(4). These rules on child support guidelines shall not apply if the child support recovery unit is determining the support amount by a cost-of-living alteration as provided in Iowa Code chapter 252H, subchapter IV.    99.1(1) Exempt income.  The following income of the parent is exempt in the establishment or modification of support:    a.    Income received by the parent under the family investment program (FIP).    b.    Income or other benefits derived from public assistance programs funded by a federal, state, or local governmental agency or entity that are listed in rule 441—41.27(239B) as exempt from consideration in determining eligibility under FIP.    c.    Income such as child support, social security dependent benefits received by a parent for a child because of the other parent’s disability, and veteran’s dependent benefits received by a parent on behalf of a child.    d.    Stepparent’s income.    e.    Income of a guardian who is not the child’s parent.    f.    Income of the child’s siblings.    g.    Earned income tax credit.    99.1(2) Determining income.  Any of the following may be used in determining a parent’s income for establishing or modifying a support obligation:    a.    Income reported by the parent in a financial statement.    b.    Income established by any of the following:    (1)   Income verified by an employer or other source of income.    (2)   Income reported to the department of workforce development.    (3)   For a public assistance recipient, income reported to the department of human services caseworker assigned to the public assistance case.    (4)   Other written documentation that identifies income.    c.    Income as determined through occupational wage rate information published by the Iowa workforce development department or other state or federal agencies.    d.    The median income for parents on the CSRU caseload, calculated annually.    e.    Social security dependent benefits. Social security dependent benefits paid for a child because of a parent’s disability shall be included in the disabled parent’s income. Social security dependent benefits paid for a parent due to the other parent’s disability shall be included in the receiving parent’s income.    99.1(3) Verification of income.  Verification of income and allowable deductions from each parent shall be requested.    a.    Verification of income may include, but is not limited to, the following:    (1)   Federal and state income tax returns.    (2)   W-2 statements.    (3)   Pay stubs.    (4)   Signed statements from an employer or other source of income.    (5)   Self-employment bookkeeping records.    (6)   Award letters confirming entitlement to benefits under a program administered by a government or private agency such as social security, veterans’ or unemployment benefits, military or civil service retirement or pension plans, or workers’ compensation.    b.    Cases in which the information or verification provided by a parent is questionable or inconsistent with other circumstances of the case may be investigated. If the investigation does not reveal any inconsistencies, the financial statement and other documentation provided by the parent shall be used to establish income.    c.    If discrepancies exist in the financial statement provided by the parent and additional income information is not available, the child support recovery unit may:    (1)   Request a hearing before the court if attempting to establish a support order through administrative process.    (2)   Conduct discovery if a parent places the matter before the court by answering a petition or requesting a hearing before the court.    (3)   When attempting to establish a default order, provide the court with a copy of the parent’s financial information and the reasons the information may be questionable.    d.    If the child support recovery unit is unable to obtain verification of a parent’s income, the financial statement provided by the parent may be used to establish support.    99.1(4) Use of occupational wage rate information or median income for parents on the CSRU caseload.  OccupationalCSRU shall use occupational wage rate information or median income for parents on the CSRU caseload shall be used to determine a parent’s income when the parent has failed to return a completed financial statement when requested, and when complete and accurate income information from other readily available sources cannot be secured.If a parent’s most recent residential address is in Iowa, CSRU shall use Iowa workforce development regional data to determine income. If a parent’s most recent residential address is in another state, the District of Columbia, or Puerto Rico, CSRU shall use wage data from the place of the parent’s most recent residence to determine income. For all other cases, CSRU shall use Iowa statewide occupational wage rate or median income for parents on the CSRU caseload to determine income.    a.    Occupation known.WhenCSRU can reasonably ascertain thecurrent or last-known occupation of a parent can be determined through a documented source including, but not limited to, Iowa workforce development or the National Directory of New Hires,CSRU shall use occupational wage rate information shall be used to determine income. When the last-known occupation of a parent cannot be determined through a documented source, information may be gathered from the other parent and occupational wage rate information applied. Wage rate information shall be converted to a monthly amount in accordance with subrule 99.3(1).    b.    Occupation unknown.WhenCSRU cannot reasonably ascertain thecurrent or last-known occupation of a parent is unknown, CSRU shall estimatedetermine the income of a parent using the median income amount for parents on the CSRU caseload, based upon the parent’s most recent residential address.    99.1(5) Self-employment income.  A self-employed parent’s adjusted gross income, rather than the net taxable income, shall be used in determining net income. The adjusted gross income shall be computed by deducting business expenses involving actual cash expenditures that affect the actual dollar income of the parent.    a.    A person is self-employed when the person:    (1)   Is not required to report to the office regularly except for specific purposes such as sales training meetings, administrative meetings, or evaluation sessions.    (2)   Establishes the person’s own working hours, territory, and methods of work.    (3)   Files quarterly reports of earnings, withholding payments, and FICA payments to the Internal Revenue Service (IRS).    b.    In calculating net income from self-employment, the child support recovery unit shall deduct only those items allowed by the child support guidelines. Amounts from a prior period claimed as net losses shall not be allowed as deductions.    c.    Net profits from self-employment may be determined through a review of self-employment bookkeeping records, sales and expenditure records, quarterly reports filed with the IRS, previous year’s federal or state income tax returns, or other documentation. The parent shall provide records of bookkeeping, sales, and expenditures for the most recent 12-month period or, if the self-employment is less than 12 months old, for the period since the self-employment began.    99.1(6) Fluctuating income.  A person has a fluctuating income when the calculated gross income or the adjusted gross income, as defined in subrule 99.1(5), for the current year varies from the gross or adjusted gross income of the previous year by more than 20 percent.    a.    If requested, the child support recovery unit shall average the income of a person whose income fluctuated because the nature of the person’s occupation is of a type that normally experiences fluctuations in income.    b.    In determining a person’s average income, the following procedures shall be used:    (1)   For non-self-employed persons, the child support recovery unit shall estimate the gross income for the current year and add the amount to the gross income from relevant years that would accurately depict fluctuations in the person’s income. The unit shall divide this sum by the number of years added, prior and current, to arrive at an average gross annual income. The unit shall divide the average gross annual income by 12 to arrive at the person’s average gross monthly income.    (2)   For income from self-employment, the child support recovery unit shall compute the adjusted gross annual income as defined in subrule 99.1(5) for the relevant years that would accurately depict fluctuations in the person’s income. The unit shall use the adjusted gross annual income to compute the average adjusted gross monthly income in the same manner as the computation of average gross monthly income in 99.1(6)“b”(1).

        ITEM 2.    Amend rule 441—99.2(234,252B) as follows:

    441—99.2(234,252B) Allowable deductions.  The deductions specified in the supreme courtIowa Supreme Court child support guidelines shall be allowed when determining the amount of income subject to application of the guidelines. The parent claiming the deduction shall provide the documentation necessary for computing allowable deductions. Allowable deductions are:    99.2(1)   Federal and state income tax.    a.    The child support recovery unit shall calculate the amount of the deduction for federal and state income tax as specified in the Iowa Supreme Court guidelines.    b.    The unit shall calculate the amount of the deduction for self-employed persons with fluctuating incomes, as defined in subrule 99.1(6), by computing the person’s averaged income and applying the method of calculating a tax deduction as required by Iowa Supreme Court guidelines.    99.2(2)   Social security and Medicare tax deductions, mandatory pensions, and union dues as specified in the Iowa Supreme Court guidelines.    99.2(3)   Mandatory occupational license fees as specified in the Iowa Supreme Court guidelines.    99.2(4)   Actual payments of child and spousal support pursuant to a prior court or administrative order. The date of the original court or administrative order, rather than the date of any modifications, shall establish a prior order under this subrule. Support paid under an order established subsequent to the order being modified shall not be deducted. All support payments shall be verified before being allowed as a deduction. The child support recovery unit shall calculate deductions for support as follows:    a.    In establishing prior support payments, the child support recovery unit shall verify payments made for the 12 months preceding the month in which the amount of support for the new order is determined. If the support obligation is less than one year old, the child support recovery unit shall verify each monthly payment since the beginning of the obligation.    b.    If the obligation is one year old or older, the child support recovery unit shall add together all verified amounts paid during the past 12 months up to the total of the current support obligation that accrued during this 12-month period, and divide by 12. All amounts collected shall be included, regardless of the source.    c.    If the support obligation is less than one year old, the child support recovery unit shall add together the verified amounts paid since the obligation began up to the total of the current support obligation that accrued during this period, and divide by the number of months that the obligation has existed.    d.    When a parent has more than one prior support order, the child support recovery unit shall calculate the allowable deduction for each obligation separately, and then add the amounts together to determine the parent’s total allowable deduction.    99.2(5)   Actual medical support paid pursuant to a court order or administrative order in another orderHealth insurance premium costs for other children, notin the pending matter, as specified in the Iowa Supreme Court guidelines. All medical support paymentsHealth insurance premium costs shall be verified before being allowed as a deduction and shall be calculated in the same manner as the deductions for support in subrule 99.2(4).    99.2(6)   Actual child care expenses during the custodial parent’s employment, less the applicable federal income tax creditas specified in the Iowa Supreme Court guidelines. The child support recovery unit shall determine the amount of the child care deduction as follows:    a.    Actual child care expenses related to the custodial parent’s employment shall be verified by a copy of the custodial parent’s federal or state income tax return or by a signed statement from the person or agency providing the child care.    b.    Only the amount of reported child care expenses in excess of the amount allowed as “credit for child and dependent care expenses” for federal income tax purposes shall be allowed as a deduction in determining the custodial parent’s net income.    c.    In determining the deduction allowed to the custodial parent for child care expenses due to employment, the following procedures shall be used:    (1)   If the custodial parent provides a copy of a federal income tax return for the current tax processing year and the amount is consistent with the current financial circumstances of the parent, the child support recovery unit shall use the amount reported as “credit for child and dependent care expenses.”    (2)   If income tax information is not available, or if the parent indicates or there is reason to believe that the amount stated in the return is no longer representative of the parent’s financial conditions or child care expenses, the child support recovery unit shall determine the allowable deduction for child care expenses for federal income tax purposes using the custodial parent’s income only.    d.    The child support recovery unit shall compute the child care deduction as follows:    (1)   Divide the amount of child care expense the parent may claim as a deduction for federal income tax purposes by 12 to arrive at a monthly amount.    (2)   If the child care expense reported on the financial statement is not a monthly amount, convert the reported amount to an equivalent monthly figure and round the figure to two decimal places.    (3)   Subtract the amount the parent may claim as “credit for child and dependent care expenses” for federal income tax from the amount of child care expenses reported on the financial statement. The difference is the amount allowed for a deduction in determining income for child support.    99.2(7)   Qualified additional dependent deduction (QADD). The qualified additional dependent deduction is the amount specified in the supreme courtIowa Supreme Court guidelines as a deduction for any child for whom parental responsibility has been legally established as defined by the child support guidelines. However, this deduction may not be used for a child for whom the parent may be eligible to take a deduction under subrule 99.2(4).    a.    The deduction for qualified additional dependents may be used:    (1)   For dependents of the custodial or noncustodial father or mother, whether in or out of the parent’s home. The father may establish the deduction by providing written verification of a legal obligation to the children through one of the actions enumerated in the guidelines. The mother may establish the deduction by providing written verification of a legal obligation to the children, including the mother’s statement.    (2)   In the establishment of original orders.    (3)   In the modification of existing orders. The deduction may be used in an upward modification. The deduction cannot be used to affect the threshold determination of eligibility for a downward modification, but may be used after the threshold determination is met.    b.    Reserved.    99.2(8)   Cash medical support, either ordered in the pending matter or for other children, not in the pending matter, as specified in the Iowa Supreme Court guidelines.All cash medical support payments for other children, not in the pending matter, shall be verified before being allowed as a deduction and shall be calculated in the same manner as the deductions for support in subrule 99.2(4).

        ITEM 3.    Amend subrule 99.4(5) as follows:    99.4(5) Extraordinary visitation adjustmentAdjustment for extraordinary visitation or parenting time.  TheCSRU shall calculate an extraordinary visitation adjustment is aor parenting time credit as specified in the supreme courtIowa Supreme Court guidelines. The credit shall not reduce the child support below the amount required by the supreme courtIowa Supreme Court guidelines.The extraordinary visitation adjustmentor parenting time credit shall be given if all of the following apply:    a.    There is an existing order for the noncustodial parent that meets the criteria for extraordinary visitationor parenting time in excess of 127 overnights per year on an annual basis for the child for whom support is sought. The order granting visitationor parenting time can be a different order than the child support order. If a controlling order is determined pursuant to Iowa Code chapter 252K and that controlling support order does not meet the criteria for extraordinary visitationor parenting time, there is another order that meets the criteria.    b.    The noncustodial parent has provided CSRU with a file-stamped or certified copy of the order.    c.    The court has not ordered equally shared physical care.

        ITEM 4.    Amend subrule 99.69(4) as follows:    99.69(4)   The request is based entirely on issues such as custody,or visitation, or parenting time rights, which are not directly related to child support.

        ITEM 5.    Amend paragraph 99.85(1)"d" as follows:    d.    The unit may also use the most recentoccupational wage rate information published by the department of workforce development or the median income for parents on the unit caseload to estimatedetermine the net earnedgross income of a parent when a parent has failed to return a completed financial statement when requested and complete and accurate information is not readily available from other sources.

        ITEM 6.    Amend subrule 99.91(1) as follows:    99.91(1) Nonsupport issues.  The request is based entirely on issues such as custody,or visitation, or parenting time rights.

        ITEM 7.    Amend subrule 99.109(2) as follows:    99.109(2) Orders eligible for suspension.      a.    The unit shall assist an obligor in suspending support for a child under this part only when there is no order in effect regarding legal custody, physical care, visitation, or other parenting time for the child.    b.    If an order exists that contains language regarding legal custody, physical care, visitation, or other parenting time for the child, the unit shall deny the suspension request.    [Filed 8/13/21, effective 1/1/22][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5890CHuman Services Department[441]Adopted and Filed

    Rule making related to foster home insurance fund

        The Human Services Department hereby amends Chapter 158, “Foster Home Insurance Fund,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 237.13.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 237.13 as amended by 2021 Iowa Acts, House File 891, section 54.Purpose and Summary    The Foster Home Insurance Fund (Fund) was established to provide liability coverage to licensed foster parents who have a child placed in their home. Pursuant to Iowa Code section 237.13, the Fund is created within the Office of the Treasurer of State to be administered by the Department of Human Services. The Fund consists of all moneys appropriated by the General Assembly for deposit into the Fund. Iowa Code section 237.13 was updated in the 2020 Legislative Session to state that the Department shall use moneys in the Fund to reimburse foster parents for the cost of purchasing foster care liability insurance and to perform the administrative functions necessary to carry out the Iowa Code section.    The initial plan was for the Department to offer financial assistance for licensed foster parents to purchase or offset liability insurance. Following extensive research, it was determined that this was not an existing coverage offered by insurance companies. Therefore, the Department worked with the Legislature to update Iowa Code section 237.13 during the 2021 Legislative Session to add language to the Iowa Code to reflect that moneys in the Fund shall be used to provide home and property coverage for foster parents to cover damages resulting from the actions of a child residing in a foster home. In addition, language was added to the Iowa Code to allow the Department to establish limitations of liability for individual claims as deemed reasonable by the Department.    The Department has contracted with a private organization to perform the administrative functions required of the Fund and sign up all licensed foster parents to ensure that there is coverage in the event foster parents need to submit a claim.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 16, 2021, as ARC 5707C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on August 12, 2021.Fiscal Impact    The annual amount budgeted for the Foster Home Insurance Fund is $675,000. Changes to the annual limit and an increased deductible could reduce costs, so it is possible the full amount will not be utilized.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).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 1, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Renumber rules 441—158.1(237) to 441—158.5(237) as 441—158.3(237) to 441—158.7(237).

        ITEM 2.    Adopt the following new rule 441—158.1(237):

    441—158.1(237) Applicability.  This chapter specifically relates to the foster home insurance fund established by Iowa Code section 237.13. A foster home insurance fund shall be developed by the department. The fund shall provide reimbursement for any property damages caused by the acts of a foster child residing in a foster home. The department may contract with another state agency or private organization to perform the administrative functions necessary to carry out this rule.

        ITEM 3.    Adopt the following new rule 441—158.2(237):

    441—158.2(237) Definitions.          "Department" means the Iowa department of human services.        "Foster family home" or "licensed foster home" means an individual, as defined in Iowa Code section 237.1(7), who is licensed to provide child foster care.        "Personal property" means any movable thing of value which is owned, rented, or leased by a person and not recognized as real property.        "Real property" means anything owned, leased, or rented which is permanently affixed to, or built upon, a piece of land. Real property is best characterized as property that does not move or that is attached to the land.        "Third-party property" means property belonging to any person or entity other than the foster family or foster child.

        ITEM 4.    Amend renumbered subrule 158.3(1) as follows:    158.3(1) Eligible foster family claims.  The foster home insurance fund shall pay the following within the limits defined in Iowa Code section 237.13, subsections 3 and 4237.13(2):    a.    Valid and approved claims of family foster care children, their parents, guardians or guardians ad litema licensed foster family home.    b.    Compensation to licensed foster families forpersonal or real property damage, at replacement cost, or for bodily injury, as a result of the activities of the family foster care child.Coverage also extends to third-party property damages caused by actions of the foster child.    c.    Reasonable and necessary legal fees incurred by licensed foster families in defense of civil claims filed pursuant to Iowa Code section 237.13, subsection 7, paragraph “d,” and any judgments awarded as a result of these claims. The reasonableness and necessity of legal fees shall be determined by the department or its contract agent.Non-property-based liability, bodily injury, sexual abuse or molestation, auto liability, and professional liability are not covered.

        ITEM 5.    Amend renumbered rule 441—158.4(237) as follows:

    441—158.4(237) Payment limits.  The fund is not liable for the first $100 for all claims arising out of one or more occurrences during a fiscal year related to a single foster home$150 per claim deductible per family. Each claim shall be limited to one incident/occurrence. The fund is not liable for damages in excess of $300,000$5,000 for all claims arising out of one or more occurrences during a fiscal year related to a single home.Claims for losses related to bedbugs or other insect infestations will have an annual sublimit set by the department.

        ITEM 6.    Amend renumbered rule 441—158.5(237) as follows:

    441—158.5(237) Claim procedures.  Claims against the fund shall be filed with the department’s contractor. If the department does not have a contractor, claims shall be filed on Form 470-2470, Foster Home Insurance Fund Claim.Claims shall be filed on Form 470-5659, Foster Home Property Fund Notice of Loss Form. The decision to approve or deny the claim shall be made by the department or its contractor and the notice mailed or given to the claimant within 180 days of the date the claim is received.

        ITEM 7.    Amend renumbered rule 441—158.6(237) as follows:

    441—158.6(237) Time frames for filing claims.  Claims by children who were under the age of 18 at the time of the occurrence shall be submitted within two yearssix months of the date of the occurrence or after the child’s eighteenth birthday, but before the child’s nineteenth birthday.    158.6(2)   Claims by persons who were aged 18 or older at the time of the occurrence shall be submitted within two years of the occurrence.    158.6(3)   Claims by foster parents pursuant to paragraph 158.1(1)“c” for legal fees or court-ordered judgments shall be submitted within two years of the date of the judgment.

        ITEM 8.    Amend 441—Chapter 158, implementation sentence, as follows:       These rules are intended to implement Iowa Code section 237.13 as amended by 2011 Iowa Acts, Senate File 482, division II2021 Iowa Acts, House File 891.    [Filed 8/12/21, effective 11/1/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5891CHuman Services Department[441]Adopted and Filed

    Rule making related to child care assistance provider reimbursement rates

        The Human Services Department hereby amends Chapter 170, “Child Care Services,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 234.6 and 2021 Iowa Acts, House File 891.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 234.6 and 45 CFR Part 98.Purpose and Summary    The Department is revising the child care assistance provider reimbursement rate ceiling tables. This is being done to comply with federal requirements (45 CFR Part 98) that states must use the most recent market rate survey in establishing child care reimbursement rates. Iowa’s most recent market rate survey was conducted in December 2020.     Reimbursement rates for providers of child care assistance are increased to at least the 50th percentile of the 2020 market rate for child care providers.     The base rates for the Quality Rating System (QRS) bonuses reflect increased child care provider reimbursement rates. The base rates are updated to the 50th percentile and the QRS highest rates to the 75th percentile of the 2020 survey. Previously, the highest rates had been at the 75th percentile based on the 2017 market rate survey.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 30, 2021, as ARC 5732C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on August 12, 2021.Fiscal Impact    Increasing the maximum provider rates as shown in the rate tables is estimated to cost $13,355,730 per year. This cost is expected to be funded by federal Child Care Development Fund (CCDF) funds carried forward until SFY25, when it is anticipated that the balance of CCDF funds will be fully expended.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).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 1, 2021.    The following rule-making action is adopted:

        ITEM 1.    Amend paragraph 170.4(7)"a" as follows:    a.    Rate of payment.The rate of payment for child care services, except for in-home care which shall be paid in accordance with 170.4(7)“d,” shall be the actual rate charged by the provider for a private individual, not to exceed the maximum rates shown below. When a provider does not have a half-day rate in effect, a rate is established by dividing the provider’s declared full-day rate by 2. When a provider has neither a half-day nor a full-day rate, a rate is established by multiplying the provider’s declared hourly rate by 4.5. Payment shall not exceed the rate applicable to the provider type and age group as shown in the tables below. To be eligible for the special needs rate, the provider must submit documentation to the child’s service worker that the child needing services has been assessed by a qualified professional and meets the definition for “child with special needs,” and a description of the child’s special needs, including, but not limited to, adaptive equipment, more careful supervision, or special staff training.Table 1 Half-Day Rate Ceilings for (Licensed Center)No QRS QRS 1 or 2QRS 3 or 4QRS 5Age GroupBasicSpecial NeedsBasicSpecial NeedsBasicSpecial NeedsBasicSpecial NeedsInfant and Toddler$17.00$19.30$51.94$19.75$20.50$51.94$20.50$21.50$51.94$21.90$23.21$51.94Preschool$14.75$17.00$30.43$15.50$18.00$30.43$16.40$18.98$30.43$18.69$20.00$30.43School Age$12.18$13.50$30.34$12.50$14.75$30.34$13.50$15.00$30.34$15.00$16.00$30.34Table 2 Half-Day Rate Ceilings for (Child Development Home A/B)No QRS QRS 1 or 2QRS 3 or 4QRS 5Age GroupBasicSpecial NeedsBasicSpecial NeedsBasicSpecial NeedsBasicSpecial NeedsInfant and Toddler$12.98$19.47$13.50$20.25$13.75$20.63$14.00$21.00Preschool$12.50$18.75$12.75$19.13$13.00$19.50$13.75$20.63School Age$10.82$16.23$11.25$16.88$12.00$18.00$12.50$18.75Table 3 Half-Day Rate Ceilings for (Child Development Home C)No QRS QRS 1 or 2QRS 3 or 4QRS 5Age GroupBasicSpecial NeedsBasicSpecial NeedsBasicSpecial NeedsBasicSpecial NeedsInfant and Toddler$13.00$14.00$19.50$21.00$14.00$14.50$21.00$21.75$14.50$15.00$21.75$22.50$15.00$15.25$22.50$22.88Preschool$12.50$13.75$18.75$20.63$13.00$14.50$19.50$21.75$13.50$14.75$20.25$22.13$15.00$22.50School Age$11.25$16.88$12.00$12.50$18.00$18.75$12.50$13.00$18.75$19.50$14.00$14.50$21.00$21.75Table 4 Half-Day Rate Ceilings for Child Care Home (Not Registered) Age Group Basic Special Needs Infant and Toddler $8.19$12.98 $12.29$19.47 Preschool $7.19$12.50 $10.79$18.75 School Age $7.36$10.82 $11.04$16.23The following definitions apply in the use of the rate tables:    (1)   “Licensed center” shall mean those providers as defined in 170.4(3)“a.” “Child development home A/B” or “child development home C” shall mean those providers as defined in 170.4(3)“b.” “Child care home (not registered)” shall mean those providers as defined in 441—Chapter 120.    (2)   Under age group, “infant and toddler” shall mean age two weeks to three years; “preschool” shall mean three years to school age; “school age” shall mean a child in attendance in full-day or half-day classes.    (3)   “No QRS” shall mean a provider who is not participating in the quality rating system.    (4)   A provider who is rated under the quality rating system shall be paid according to the corresponding QRS payment level in the tables above only during the period the rating is valid as defined in 441—Chapter 118. If the provider’s QRS rating expires, the provider shall be paid according to the “No QRS” payment level.    (5)   For a provider rated “QRS 1” through “QRS 4,” if the rating period expires before a new QRS level is approved, the provider will be paid according to the “No QRS” payment level until the new QRS level is approved.    (6)   For a provider rated “QRS 5,” if a renewal application is received before the current rating period expires, the provider will continue to be paid according to the “QRS 5” payment level until a decision is made on the provider’s application.     (7)   “QRS 1 or 2” shall mean a provider who has achieved a rating of Level 1 or Level 2 under the quality rating system.    (8)   “QRS 3 or 4” shall mean a provider who has achieved a rating of Level 3 or Level 4 under the quality rating system.    (9)   “QRS 5” shall mean a provider who has achieved a rating of Level 5 under the quality rating system.    [Filed 8/12/21, effective 11/1/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5900CNatural Resource Commission[571]Adopted and Filed

    Rule making related to state parks, recreation areas, and state forest camping

        The Natural Resource Commission (Commission) hereby amends Chapter 61, “State Parks, Recreation Areas, and State Forest Camping,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 455A.5(6).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 461A.3 and 461A.48.Purpose and Summary    These amendments address different aspects of the operations of the Department of Natural Resources (Department) by clarifying existing rules, rescinding outdated rules, modernizing Department systems, and streamlining camping procedures. More specifically, this rule making:

  • Amends the following definitions: “cabin” to better reflect the different sizes of cabins that are available; “camping” to include hammocks; “recreation area” to correct a misspelling and cross-reference to a chapter; and “state park” to include Honey Creek Resort State Park.
  • Rescinds the following definitions that are no longer used in the chapter: “call center,” “persons with disabilities parking permit,” “reservation window,” and “state park managed by a management company.”
  • Rescinds the centralized reservation rule and adopts a new rule establishing that the Department operates a centralized reservation system for camping, rental facilities, and other special privileges in state parks, recreation areas, and state forests. Policies and procedures for the reservation system are available to the public upon request.
  • Rescinds the paragraph regarding camping coupons because camping coupons have been discontinued.
  • Amends the paragraph regarding camping units on campsites to include a hammock as a second small unit allowed on the site in addition to the basic unit.
  • Amends the checkout time for campsites to be 3 p.m. for both reservable and nonreservable campsites.
  • Amends a rule by extending the Friday and Saturday night stay requirement for camping through October 31, and amends the Fourth of July holiday three-night minimum stay requirement for campsites to only apply when the Fourth of July occurs on a Monday.
  • Rescinds the requirement that campsites marked with the international symbol of accessibility be used only by vehicles displaying a persons with disabilities parking permit in order to allow the Department to make accessibility information available through the campsite reservation system, which is consistent with federal accessibility guidance.
  • Adopts a new paragraph that requires campers to use straps that are at least one inch wide to secure hammocks to trees in a campground and prohibits the use of bolts, nails, spikes, and other fastening attachments that can damage trees.
  • Adopts a new paragraph that allows the Department Director or Director’s designee to permit camping in areas outside designated campgrounds for certain special events.
  • Rescinds the existing minimum stay requirements for cabins and yurts for organizational purposes and adopts new minimum stay requirements including:      o A minimum three-night stay is required for the national Memorial Day holiday weekend, the national Fourth of July holiday weekend when the Fourth of July is on a Monday, and the national Labor Day holiday weekend. o The Department may require a minimum one-week stay for cabins with bathroom and kitchen facilities during the time period beginning with the Friday of the national Memorial Day holiday weekend and ending with the Thursday after the national Labor Day holiday.
  • Rescinds and reserves the paragraph regarding occupancy numbers for cabins because the numbers are determined on a case-by-case basis following building and fire codes. Occupancy numbers are posted on the Department and centralized reservation system websites.
  • Amends the damage deposit rule to require payment based on the identified deadline, which is found on the centralized reservation system website.
  • Amends the procedures and policies for wet and dry vessel storage rental assignment and use.
  • Amends the motorized vehicle restrictions with updated procedures for persons with a physical disability or mobility impairment to acquire a permit to use a motorized vehicle in certain areas in state parks, recreation areas, and preserves.
  • Rescinds the subrule on restrictions on picnic sites to allow the Department to make accessibility information available through other mechanisms consistent with federal accessibility guidance, including availability online.
  • Rescinds the rule for the Restore the Outdoors Program because the program no longer exists.
  • Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 16, 2021, as ARC 5690C. A public hearing was held on July 6, 2021, at 10 a.m. via video/conference call. No one attended the public hearing. 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 August 12, 2021.Fiscal Impact    This rule making has no fiscal impact to the state of Iowa. A copy of the fiscal impact statement is available from the Department upon request.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request.Waivers    This rule is subject to the waiver provisions of 571—Chapter 11. 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.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 October 13, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 571—61.2(461A), definitions of “Cabin,” “Camping,” “Recreation areas” and “State park,” as follows:        "Cabin" means a small, one-story dwelling of simple construction which is available for rental on a daily or weekly basis.Cabins may or may not contain restroom and kitchen facilities.        "Camping" means the erecting of a tent, hammock, or shelter of natural or synthetic material;or placing a sleeping bag or other bedding material on the ground; or parking a motor vehicle, motor home, or trailer for the apparent purpose of overnight occupancy.        "Recreation areas" means the following areas that have been designated by action of the commission:AreaCountyBadger Creek Recreation AreaMadisonBrushy Creek Recreation AreaWebsterClaireClair Wilson ParkDickinsonEmerson Bay and LighthouseDickinsonFairport Recreation AreaMuscatineLower Gar AccessDickinsonMarble BeachDickinsonMines of Spain Recreation AreaDubuquePleasant Creek Recreation AreaLinnTemplar ParkDickinsonVolga River Recreation AreaFayetteWilson Island Recreation AreaPottawattamieThese areas are managed for multiple uses, including public hunting, and are governed by rules established in this chapter as well as in 571—Chapters 5251 and 105.        "State park" means the following areas managed by the state and designated by action of the commission:AreaCountyA. A. CallKossuthBackboneDelawareBanner Lakes at SummersetWarrenBeed’s LakeFranklinBellevueJacksonBig CreekPolkBlack HawkSacCedar RockBuchananClear LakeCerro GordoDolliver MemorialWebsterElinor BedellDickinsonElk RockMarionFort AtkinsonWinneshiekFort DefianceEmmetGeodeHenry and Des MoinesGeorge WythBlack HawkGreen ValleyUnionGull PointDickinsonHoney CreekAppanooseHoney Creek ResortAppanooseLacey-KeosauquaVan BurenLake AhquabiWarrenLake AnitaCassLake DarlingWashingtonLake KeomahMahaskaLake MacbrideJohnsonLake ManawaPottawattamieLake of Three FiresTaylorLake WapelloDavisLedgesBooneLewis and ClarkMononaMaquoketa CavesJacksonMcIntosh WoodsCerro GordoMini-WakanDickinsonNine EaglesDecaturOkamanpedanEmmetPalisades-KeplerLinnPikes PeakClaytonPikes PointDickinsonPilot KnobWinnebagoPine LakeHardinPrairie RoseShelbyPreparation CanyonMononaRed HawLucasRice LakeWinnebagoRock CreekJasperShimek Forest CampgroundLeeSpringbrookGuthrieStephens Forest CampgroundLucasStonePlymouth and WoodburyTrapper’s BayDickinsonTwin LakesCalhounUnion GroveTamaViking LakeMontgomeryWalnut WoodsPolkWapsipiniconJonesWaubonsieFremontWildcat DenMuscatineYellow River Forest CampgroundAllamakeeUse and management of these areas are governed by Iowa Code chapter 461A and by other restrictions prescribed on area signs pursuant to Iowa Code section 461A.44.

        ITEM 2.    Rescind the definitions of “Call center,” “Persons with disabilities parking permit” and “State park managed by a management company” in rule 571—61.2(461A).

        ITEM 3.    Rescind rule 571—61.3(461A) and adopt the following new rule in lieu thereof:

    571—61.3(461A) Centralized reservation system.  The centralized reservation system of the department accepts and processes reservations for camping, rental facilities, and other special privileges in state parks, recreation areas, and state forests. The system is accessible through the department’s website. The operating policies and procedures for the centralized reservation system are available upon request.       This rule is intended to implement Iowa Code section 461A.3.

        ITEM 4.    Rescind paragraph 61.4(3)"d".

        ITEM 5.    Amend paragraphs 61.4(5)"c", 61.4(5)"h" and 61.4(5)"k" as follows:    c.    Camping is restricted to one basic unit per site except that a small tentor hammock may be placed on a site with the basic unit. The area occupied by the small tent shall be no more than 8eight feet by 10ten feet, and the tent shall hold no more than four people.    h.    Campers occupying nonreservable campsites shall vacate the campground or register for the night prior to 43 p.m. daily. Registration can be for more than 1 night at a time but not for more than 14 consecutive nights for nonreservable campsites. All members of the camping party must vacate the state park or recreation area campground after the fourteenth night and may not return to the state park or recreation area until a minimum of 3 nights has passed. All equipment must be removed from the site at the end of each stay. The 14-night limitation shall not apply to volunteers working under a department program.    k.    Minimum stay requirements for camping reservations. From May 1 to September 30October 31, a two-night minimum stay is required for weekends. The two nights shall be designated as Friday and Saturday nights. However, if September 30October 31 is a Friday, the Friday and Saturday night stay shall not apply. If September 30October 31 is a Saturday, the Friday and Saturday night stay shall apply. The following additional exceptions apply:    (1)   A Friday, Saturday, and Sunday night stay is required for the national Memorial Day holiday and national Labor Day holiday weekends.    (2)   A Thursday, Friday, and Saturday night stay is required for the Fourth of July holiday if the Fourth of July occurs on a Thursday, Friday or Saturday.    (3)   (2)   A Friday, Saturday, and Sunday night stay is required for the Fourth of July holiday ifwhen the Fourth of July occurs on a Monday.

        ITEM 6.    Rescind and reserve paragraph 61.4(5)"m".

        ITEM 7.    Adopt the following new paragraphs 61.4(5)"o" and 61.4(5)"p":    o.    Campers shall use only straps to secure hammocks to trees in campsites. Straps must be a minimum of one inch wide. The use of bolts, nails, spikes, or any other fastening attachment to a tree is prohibited.    p.    Special events. The department director or director’s authorized representative may authorize camping in areas outside designated campgrounds for certain special events as defined in rule 571—44.2(321G,321I,461A,462A,481A). Requests shall be reviewed on a case-by-case basis and permitted under the provisions of 571—Chapter 44.

        ITEM 8.    Rescind paragraph 61.5(3)"b" and adopt the following new paragraph in lieu thereof:    b.    Rental stay requirements for cabins and yurts.    (1)   Except as provided in subparagraphs 61.5(3)“b”(2) and 61.5(3)“b”(3), cabins and yurts may be reserved for a minimum of two nights throughout the entire season.    (2)   Cabins and yurts must be reserved for a minimum of three nights (Friday, Saturday, and Sunday nights) for the national Memorial Day holiday weekend, the Fourth of July holiday weekend when the Fourth of July occurs on a Monday, and the national Labor Day holiday weekend.    (3)   The department may require cabins with restroom and kitchen facilities to be reserved for a minimum stay of one week (Friday p.m. to Friday a.m.) during the time period beginning with the Friday of the national Memorial Day holiday weekend and ending with the Thursday after the national Labor Day holiday.    (4)   All unreserved cabins, yurts and group camps may be rented for a minimum of two nights on a walk-in first-come, first-served basis. No walk-in rentals will be permitted after 6 p.m.    (5)   Reservations or walk-in rentals for more than a two-week stay will not be accepted for any facility.

        ITEM 9.    Amend paragraph 61.5(3)"c" as follows:    c.    Persons renting cabins, yurts or group camp facilities must check in at or after 4 p.m. on Saturdaythe first day of the rental period. Check-out time is 11 a.m. or earlier on Saturdaythe last day of the rental period.

        ITEM 10.    Rescind and reserve paragraphs 61.5(3)"d" and 61.5(3)"f".

        ITEM 11.    Amend paragraph 61.5(4)"a" as follows:    a.    Upon arrival for the rental facility period, rentersRenters shall pay in full a damage deposit in an amount equal to the weekend daily rental fee for the facility or $50, whichever is greater, by the established deadline for the facility. If a gathering with keg beer takes place in a lodge or open shelter with kitchenette, the damage deposit shall be waived in lieu of a keg damage deposit as specified in 571—subrule 63.5(3) if the keg damage deposit is greater than the lodge or open shelter with kitchenette damage deposit.

        ITEM 12.    Rescind rule 571—61.6(461A) and adopt the following new rule in lieu thereof:

    571—61.6(461A) Wet and dry storage for vessels.  The department may provide limited temporary vessel storage for individuals who own vessels that are actively used on waters in state parks and recreation areas.    61.6(1) Vessel storage fees.      a.    Vessel storage rental fees shall be set by the department pursuant to 561—Chapter 16.    b.    A person who fails to pay a vessel storage fee by the established payment due date shall forfeit the slip assignment.    61.6(2) Storage slip assignment.      a.    Slip assignments shall be made on a first-come, first-served basis. Park staff may establish a waiting list upon receiving more requests for storage slips than the number of slips available. The waiting list shall be maintained in chronological order of the requests received.    b.    Slip assignments shall be valid for one year with the option to renew annually.    c.    In the event a person on a waiting list refuses a specific slip assignment, the person’s name will be removed from the waiting list.    61.6(3) Storage slip requirements and conditions.      a.    Each storage slip is limited to no more than one vessel at any given time.    b.    All vessels in a storage slip must have a current boat registration.    c.    Slip assignments must be in the same name of the person to whom the vessel that will occupy the slip is registered.    d.    Dry storage slips shall be maintained in a clean and orderly manner. Failure to maintain the slip in a satisfactory condition will result in forfeiture of the slip assignment and any storage fees paid.    e.    Slip assignments are not transferrable.       This rule is intended to implement Iowa Code section 461A.3.

        ITEM 13.    Amend subparagraphs 61.7(8)"b", 61.7(8)"b" and 61.7(8)"b" as follows:    (1)   Permits.1Each person with a physical disabilityor mobility impairment must have a permit issued by the directorpark or recreation area staff in order to use a motorized vehicle in specific areas within state parks, recreation areas, and preserves. Such permits will be issued without chargeand shall be valid for two years from the date of issuance. One nonhandicapped companion may accompany the permit holder on the same vehicle if that vehicle is designed for more than one rider; otherwise the companion must walk.
    1. Existing permits. Those persons possessing a valid permit for use of a motorized vehicle on game management areas as provided in 571—51.7(461A) may use a motorized vehicle to gain access to specific areas for recreational opportunities and facilities within state parks, recreation areas and preserves.
        (2)   Approved areas. On each visit, the permit holder must contact the park staff in charge of the specific area in which the permit holder wishes to use a motorized vehicle. The parkor recreation area staff mustshall designate on a parkor recreation area map the area(s) where the permit holder will be allowed to use a motorized vehicle. This restriction is intended to protect the permit holder from hazards orand to protectother users or certain natural resourcesconsistent with relevant state and federal law. The map is to be signed and dated on each visit by the park staff in charge of the area. Approval for use of a motorized vehicle on state preserves also requires consultation with a member of the preserves staff in Des Moines.    (4)   Prohibited acts and restrictions.
    1. Except as provided in 61.7(8)“b,” the use of a motorized vehicle on any park, recreation area or preserve by a person without a valid permit or at any site not approved on a signed map is prohibited. Permits and maps shall be carried by the permittee at any time the permittee is using a motorized vehicle in a park, recreation area or preserve and shall be exhibited to any department employee or law enforcement official upon request.
    2. The speed limit for an approved motormotorized vehicle off-road will be no more than 5 mph3 miles per hour. The permit of a person who is found exceeding the speed limit will be revoked.
    3. The permit of any person who is found causing damage to cultural and natural features or abusing the privilege of riding off-road within the park will be revoked, and restitution for damages or other remedies available under the law may be sought.

        ITEM 14.    Rescind and reserve subrule 61.7(12).

        ITEM 15.    Rescind and reserve rule 571—61.14(461A).

        ITEM 16.    Amend subrule 61.23(1) as follows:    61.23(1)   Restrictions of campsite or campground use in established state forest campgrounds shall be the same as those cited in paragraphs 61.4(5)“a” through “c,” “e” through “k,” “m,” and “n.”“n” through “p.”    [Filed 8/17/21, effective 10/13/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.ARC 5905CProfessional Licensure Division[645]Adopted and Filed

    Rule making related to standards of practice and telepsychology

        The Board of Psychology hereby amends Chapter 240, “Licensure of Psychologists”; adopts new Chapter 243, “Practice of Psychology”; and amends Chapter 244, “Prescribing Psychologists,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 147.76 and 272C.4.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 154B and sections 147.9, 147.55, 272C.4, 272C.9 and 272C.10 and 2020 Iowa Acts, House File 2389.Purpose and Summary    This rule making establishes standards of practice for psychologists who provide patient care through telepsychology, requires Health Insurance Portability and Accountability Act (HIPAA)-compliant technology, and imposes other requirements to ensure the patient’s confidential health information is secure. These rules align with the Board of Medicine’s rules governing telemedicine, which will ensure that psychologists operate under uniform standards when coordinating remote care. The new chapter also establishes the minimum standards of practice for licensed psychologists, provides definitions of practice terminology, and specifies the requirements for patient records management, psychological testing, participation in judicial proceedings and reporting to the Board.    In addition, there are two amendments that pertain to technical corrections. The first amendment pertains to Chapter 240 and ensures uniformity with the chapter by removing the requirement that supervised professional experience by a postdoctoral supervisee take place in the same physical setting as the supervisor. The second amendment pertains to 2020 Iowa Acts, House File 2389, which amended Iowa Code chapter 17A to remove the term “variance” and required that agencies’ rules about waiver procedures refer only to waivers. The word “variance” is therefore removed from Chapter 244.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on May 5, 2021, as ARC 5617C. A virtual public hearing was held on May 25, 2021, at 10 a.m. No one attended the public hearing. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Board on August 6, 2021.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 645—Chapter 18.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 October 13, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend subparagraph 240.6(2)"a" as follows:    (3)   Work in the same physical setting as the supervisor unless a completed off-site supervision form is submitted to and approved by the boardthe requirements stated in subparagraph 240.6(2)“b”(11) are met;

        ITEM 2.    Adopt the following new 645—Chapter 243: CHAPTER 243PRACTICE OF PSYCHOLOGY

    645—243.1(154B) Definitions.  645—243.1645—243.1645—243.1645—243.1645—243.1645—243.1645—243.1645—243.1645—243.1645—243.1        "APA" means the American Psychological Association.        "Clinical records" means records created by a licensee regarding the observation and treatment of patients, such as progress notes, but does not include psychotherapy notes.         "Examinee" means a person who is the subject of a forensic examination for the purpose of informing a decision maker or attorney about the psychological functioning of that examinee.        "HIPAA" means the Health Insurance Portability and Accountability Act of 1996 and regulations promulgated thereunder.        "Licensee" "licensed" means an individual with an active license to practice psychology, including a provisional license, or a certificate of exemption issued by the board.         "Patient" means an individual under the care of a licensee in a clinical role and is synonymous with the term client.        "Personal representative" means a person authorized to act on behalf of the patient in making health care-related decisions. A personal representative may include a parent or legal guardian, an individual with a health care power of attorney, an individual with a general power of attorney or durable power of attorney that includes the power to make health care decisions, or a court-appointed legal guardian.         "Psychotherapy notes" means notes recorded by a licensee documenting or analyzing the contents of a conversation during a private therapy session with a patient, or a group, joint, or family therapy session, that are maintained separately from the patient’s clinical records. Psychotherapy notes excludes medication prescription monitoring, counseling session start and stop times, the modalities and frequencies of treatment furnished, results of any clinical tests, and any summary of the following items: diagnosis, functional status, treatment plan, symptoms, prognosis, and progress to date.        "Telepsychology" means the provision of psychological services using telecommunication technologies.        "Test data" means raw and scaled scores, patient responses to test questions or stimuli, and notes and recordings concerning patient statements and behavior during an examination.

    645—243.2(147,154B,272C) Purpose and scope.  The purpose of this chapter is to set the minimum standards of practice for licensees practicing in Iowa. The practice of psychology is occurring in Iowa if the patient or examinee is located in Iowa. Licensees shall ensure any interns or residents under supervision adhere to the minimum standards of practice and must comply with the requirements set forth in rule 645—240.9(154B). The APA Code of Ethics is applicable and enforceable to the extent it does not conflict with any standards of practice set forth in this chapter. A licensee may be disciplined for any violation of this chapter or the APA Code of Ethics.

    645—243.3(154B) Access to records.      243.3(1) Clinical records generally.  Upon a signed release from the patient or the patient’s personal representative, a licensee shall provide clinical records in accordance with the release unless there is a ground for denial under HIPAA.    243.3(2) Psychotherapy notes.  A licensee is not required to release psychotherapy notes in response to a signed release, but a licensee who chooses to release psychotherapy notes may only provide psychotherapy notes if the signed release specifically authorizes the release of psychotherapy notes.     243.3(3) Substance use disorder treatment programs.  Licensees who practice in a federally assisted substance use disorder treatment program, also known as a part 2 program, are prohibited from disclosing any information that would identify a patient as having a substance use disorder unless the patient provides written consent in compliance with part 2 requirements.    243.3(4) Clinical records of minor patients.  A minor patient is a patient who is under the age of 18 and is not emancipated. A licensee is not required to release the clinical records of a minor patient to the minor’s personal representative if releasing such records is not in the minor’s best interest. When a minor patient reaches the age of 18, the clinical records belong to the patient.    243.3(5) Clinical records of deceased patients.  A licensee shall provide the clinical records of a deceased patient to the deceased patient’s executor upon a written request accompanied by a copy of the patient’s death certificate and a copy of the legal document identifying the requestor as the patient’s executor.    243.3(6) Forensic records.  A licensee shall provide forensic records consistent with the APA Specialty Guidelines for Forensic Psychology.    243.3(7) Board.  A licensee shall provide clinical records, test data, or forensic records to the board as requested during the investigation of a complaint. A licensee is not required to obtain a patient release to send such information to the board because the board is a health oversight agency.     243.3(8) Exceptions.  Nothing herein shall be construed as requiring a licensee to disclose information when there is a legal basis for not disclosing the information.

    645—243.4(154B) Psychological testing.  A licensee may administer psychological tests and assessments to a patient or examinee provided the licensee has appropriate training for any psychological test or assessment utilized and the test or assessment is scientifically founded.    243.4(1) Use of proctors.  A licensee may delegate the administration of a standardized test, intelligence test, or objective personality assessment to an appropriately trained individual. The licensee is responsible for supervising any proctors.    243.4(2) Release of test data.  A licensee shall not provide test data to any person, except that upon a written request of a patient or examinee who is the subject of a test, the test data shall be disclosed to a licensed psychologist designated by the patient or examinee. A psychologist who receives test data in this manner may not further disseminate the test data.

    645—243.5(154B) Judicial proceedings.  Prior to participating in a judicial proceeding, a licensee shall become familiar with the rules governing the proceeding. A licensee shall understand and clearly identify the licensee’s role in the proceeding.    243.5(1) Licensure.  A license to practice psychology in Iowa or an exemption from licensure is not required solely to testify as an expert witness in court, provided the psychologist did not personally examine the examinee. A psychologist who personally examines an examinee located in Iowa for the purpose of providing an expert opinion is required to be licensed or exempt from licensure at the time of the evaluation.     243.5(2) Custody evaluations.  A licensee who performs a child custody evaluation shall comply with the APA Guidelines for Child Custody Evaluations in Family Law Proceedings.

    645—243.6(147,154B,272C) Reports required.  Within 30 days, a licensee shall report to the board the following:    243.6(1)   A change of name or address. Name and address changes may be reported at www.idph.iowa.gov/Licensure.    243.6(2)   A criminal conviction, even if the adjudication of guilt is deferred, withheld, or not entered. A conviction includes Alford pleas and pleas of nolo contendere.    243.6(3)   Any disciplinary action taken by another licensing authority in this state, another state, territory, or country.    243.6(4)   Any occurrence of any judgment or settlement of a malpractice claim or action.    243.6(5)   Acts or omissions of the board’s statute or administrative rules committed by another person licensed to practice by the board when a licensee has first-hand knowledge of such acts or omissions. This duty to report does not apply when a licensee has knowledge as a result of the other licensee being a patient.

    645—243.7(154B) Telepsychology.  A psychologist may practice telepsychology provided the following are met:    243.7(1)   The psychologist must be licensed or be exempt from licensure in the jurisdiction where the patient or examinee is located.     243.7(2)   Prior to initiating telepsychology with a new patient or examinee, a licensee shall take reasonable steps to verify the identity and location of the patient or examinee.    243.7(3)   A licensee shall ensure informed consent for telepsychology includes a description of any limitations of services as a result of the technology utilized.    243.7(4)   A licensee shall gain competency in the use of a particular technology prior to utilizing it in practice. A licensee shall only use technologies that are secure and functioning properly.    243.7(5)   A licensee shall apply the same ethical and professional standards of care and professional practice that are required when providing in-person psychological services. If the same standard of care cannot be met with telepsychology, a licensee shall not utilize telepsychology.

    645—243.8(154B) Records.  A licensee shall complete clinical records as soon as practicable to ensure continuity of services. All clinical records shall be completed within 30 days after the service or evaluation is complete in the absence of significant extenuating circumstances. Clinical records and psychotherapy notes shall be retained for at least seven years after the last date of service, or until at least three years after a minor reaches the age of 18, whichever is later. Forensic records shall be completed and retained consistent with the APA Specialty Guidelines for Forensic Psychology.       These rules are intended to implement Iowa Code chapters 147, 154B, and 272C.

        ITEM 3.    Amend rule 645—244.12(148,154B) as follows:

    645—244.12(148,154B) Joint waiver or variance—joint rule.  Any rule identified as a joint rule may only be waived upon approval by both the board and the board of medicine.
        [Filed 8/18/21, effective 10/13/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5906CRevenue Department[701]Adopted and Filed

    Rule making related to marketable food products for human consumption

        The Revenue Department hereby amends Chapter 230, “Exemptions Primarily Benefiting Manufacturers and Other Persons Engaged in Processing,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 421.17.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 423.3.Purpose and Summary    Iowa Code section 423.3(49) provides a limited exemption for manufacturers producing “marketable food products for human consumption.” Specifically, the Iowa Code section exempts from sales tax:    “The sales price from the sale of carbon dioxide in a liquid, solid, or gaseous form, electricity, steam, and other taxable services and the lease or rental of tangible personal property when used by a manufacturer of food products to produce marketable food products for human consumption, including but not limited to treatment of material to change its form, context, or condition, in order to produce the food product, maintenance of quality or integrity of the food product, changing or maintenance of temperature levels necessary to avoid spoilage or to hold the food product in marketable condition, maintenance of environmental conditions necessary for the safe or efficient use of machinery and material used to produce the food product, sanitation and quality control activities, formation of packaging, placement into shipping containers, and movement of the material or food product until shipment from the building of manufacture.” [Emphasis added.]    This exemption was first codified in 1985 and has only been amended once, in 2005, to add leases or rentals of otherwise-qualifying tangible personal property to the exemption. The phrase “marketable food products for human consumption” has never been defined in the Iowa Code or the Department’s administrative rules. The Department’s long-standing interpretation of the term, articulated through audits and protests, has been that only final food products, not food ingredients, are “marketable food products for human consumption.” This interpretation is consistent with the statutory construction principle that exemption provisions be narrowly construed.    To provide clarity to taxpayers seeking to claim this exemption as manufacturers of marketable food products for human consumption, the Department is adopting this definition of the term. The Department notes that if a taxpayer does not produce marketable food products for human consumption, the taxpayer may still be eligible for other processing-related exemptions, such as those in Iowa Code section 423.3(47). Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on May 5, 2021, as ARC 5614C. An Amended Notice of Intended Action was published in the Iowa Administrative Bulletin on June 16, 2021, as ARC 5720C. A virtual public hearing was held on July 8, 2021, at 1:30 p.m.    The Department received public comments from the Iowa Taxpayers Association (ITA) and the Iowa Association of Business and Industry (ABI) at each stage of the process: two public hearings and both Administrative Rules Review Committee (ARRC) meetings, at which the Notice and the Amended Notice were reviewed. The Department also received written comments from ITA and ABI, as well as other interested tax professionals, in the initial public comment period. All comments received opposed the rule as proposed, rooted in a disagreement with the Department’s interpretation. The Department did not amend the rule from its proposed form prior to adoption. The Department understands impacted stakeholders continue to disagree with the Department’s interpretation of this exemption and is willing and interested in working with these stakeholders to bring this issue to a resolution.    No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Department on August 18, 2021.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 701—7.28(17A).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 October 13, 2021.    The following rule-making action is adopted:

        ITEM 1.    Adopt the following new subrule 230.2(1):    230.2(1)   “Marketable food products for human consumption” means products intended to be sold ultimately at retail as items which furnish energy, sustain growth, support vital processes in the human body, and are final products ready for and capable of consumption without the need for further processing after being sold to the purchaser. “Marketable food products for human consumption” includes food products traditionally accepted and sold as food products and products that have been enhanced or compounded with nutritional elements. “Marketable food products for human consumption” does not include medicines or dietary or food supplements. A product that may be consumed by a human but is sold for other purposes is not a marketable food product for human consumption.    a.    Certain entities eligible.An entity that processes a product owned by another entity is eligible for this exemption, subject to satisfying the other requirements to properly claim the exemption.     b.    Determination.The burden is on the taxpayer seeking to claim this exemption to establish a product is a marketable food product for human consumption. The department’s determination shall be a fact-based determination based on the information provided by a manufacturer and the individual circumstances at issue.    [Filed 8/18/21, effective 10/13/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5893CTransportation Department[761]Adopted and Filed

    Rule making related to motor vehicles operated by an automated driving system

        The Transportation Department hereby adopts new Chapter 380, “Motor Vehicles Operated by an Automated Driving System,” and amends Chapter 400, “Vehicle Registration and Certificate of Title,” Chapter 524, “For-Hire Intrastate Motor Carrier Authority,” and Chapter 540, “Transportation Network Companies,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 307.12 and 321.519.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 321.514 through 321.519.Purpose and Summary    This rule making establishes Chapter 380 and makes conforming changes to existing Chapters 400, 524 and 540. 2019 Iowa Acts, Senate File 302, enacted Iowa Code sections 321.514 through 321.519, which authorize operation of autonomous (driverless-capable) vehicles on Iowa roadways and provide the Department with rule-making authority to regulate such vehicles.    New Chapter 380 applies to the regulation of driverless-capable vehicles in Iowa. A driverless-capable vehicle means a vehicle that is capable of performing the entire driving task within the automated driving system’s operational design domain without intervention of a conventional human driver. The following paragraphs further explain the amendments:    Definitions. While many of the definitions applicable to driverless-capable vehicles can be found in Iowa Code section 321.514, a few definitions require further clarification in the rules. For example, the term “driverless-capable vehicle” is further defined to mean a vehicle meeting the definition of a Level 3, 4 or 5 classification, which are classifications of higher-level automated vehicles widely recognized within the autonomous vehicle community. Chapter 380 also defines “operational design domain” as that document established by the vehicle manufacturer that is very important in assessing the capabilities and intended uses of a driverless-capable vehicle.    Identification and operational restrictions. The rules incorporate a fundamental requirement in regulating driverless-capable vehicles in Iowa, namely, the requirement to identify the vehicle as driverless-capable in the Department’s vehicle registration system. The rules also address operational restrictions for driverless-capable vehicles. The Department already has the authority to place operational restrictions on a vehicle registered in Iowa, for example, if the vehicle is unable to meet certain equipment standards. The new chapter and amendments extend this authority to driverless-capable vehicles, especially for when the Department begins to see fully autonomous vehicles with no human driver required to be present in the vehicle. There may be operational restrictions needed for a vehicle due to the intended design of the vehicle. Two examples of potential operational restrictions would be to limit the vehicle to being operated only during daylight hours or to being operated only on roadways with a certain classification, such as a highway or a city street. Part of establishing any operational restrictions will include a review of the vehicle’s operational design domain or other necessary documentation to assess the vehicle’s operational capabilities. If the Department does issue a restricted registration, the Department will issue a certificate of restriction to be provided to the vehicle owner, which shall be carried in the vehicle and available for inspection by law enforcement upon request. These amendments also provide that if an applicant receives a software update or otherwise modifies the vehicle to make it driverless-capable after registration, the applicant is required to notify the Department within 30 days.    Driverless-capable vehicle networks. These amendments address driverless-capable vehicle networks that may be operated by transportation network companies (e.g., Uber or Lyft) or other commercial carriers. These networks and carriers are already required to apply to the Department for operating authority, and the rules now require a network or carrier intending to operate driverless-capable vehicles in Iowa to notify the Department. The Department may also require additional documentation as part of the application process.    Vehicle registration and titling. This rule making amends the existing chapter governing vehicle registration and titling to address that the applicant must indicate whether the vehicle the applicant is seeking to register is driverless-capable. In addition to requiring this information on the vehicle registration application, the Department will also have the internal ability to capture this information from the Department’s vehicle identification system. Supporting documentation requirements for a vehicle registration application are also being changed to include the authority to require the operational design domain for the driverless-capable vehicle or any other documentation necessary to assess the driverless-capable vehicle’s operational capabilities. Finally, these amendments allow a driverless-capable vehicle indicator to be placed on the vehicle title or registration, which may also include whether any operational restrictions exist. This indicator may only appear in the electronic vehicle records system.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on May 19, 2021, as ARC 5621C. A public hearing was held on June 11, 2021.    The Department received oral and written comments from the Alliance for Automotive Innovation (AFAI) regarding rules 761—380.1(321) through 761—380.7(17A,321) and subrules 400.4(10) and 400.21(6). AFAI shared concerns about the Department’s proposed rules and amendments, in particular as related to the Department’s proposal to establish a driverless-capable vehicle testing permit in rule 761—380.7(17A,321). AFAI expressed that the Iowa Code already provides a comprehensive framework for driverless-capable vehicles to operate safely and that creation of an additional testing permit process was unnecessary and would potentially discourage driverless-capable vehicle companies from bringing business to Iowa. AFAI also submitted several suggestions to further align the Department’s rules with the Iowa Code and industry experience, including deleting terminology that is not used in the rule chapter, making definitions and references consistent with existing technology, and removing requirements to submit extra documentation to the Department other than the operational design domain of the vehicle.    The Department received written comments from the National Association of Mutual Insurance Companies (NAMIC) suggesting that subrule 380.7(2) be revised to add that a manufacturer or entity applying for a testing permit submit evidence of the vehicle’s driving operations in order to conform to Iowa state traffic laws and regulations. The Department has not adopted the testing permit provision that was proposed in rule 761—380.7(17A,321); therefore, the suggested change is no longer applicable.    A description of the changes made by the Department in response to AFAI’s comments on each of these rules and subrules is as follows:    Rule 761—380.1(321) establishes the applicability of Chapter 380. The Department has removed the proposed language regarding system-equipped driverless-capable vehicles since this term is not used in this chapter.    Rule 761—380.2(321) adopts new definitions for Chapter 380. The Department has removed the proposed definition of “ADS-equipped vehicle” because that term is not used in this chapter. The Department has revised the definition of a Level 3 driverless-capable vehicle to conform with existing technology, which provides that a Level 3 vehicle requires a human operator to respond to a request to intervene issued by the vehicle’s automated driving system, although the human operator need not be present in the vehicle. The definition of “operational design domain” has also been revised to align with the definition in the Iowa Code.    Rule 761—380.3(17A) provides contact information for the Department. This rule has been revised to remove a proposed reference to driverless-capable vehicle testing permits, which has been replaced with a reference to driverless-capable vehicle exemptions. Driverless-capable vehicle exemptions are discussed in further detail in the paragraph explaining the changes to rule 761—380.7(17A,321) below.    Rule 761—380.4(321) addresses identification of driverless-capable vehicles at the time of registration. The Department has added terminology describing the vehicle classification level that is commonly used, as well as language to acknowledge changes in a vehicle’s recorded SAE level of automation if the automated driving system is subsequently upgraded.    Rule 761—380.5(321) authorizes the Department to impose operational restrictions on a driverless-capable vehicle as a condition of registration pursuant to rule 761—400.21(321). The Department has added language requiring a driverless-capable vehicle manufacturer to provide information to the Department regarding the vehicle’s operational design domain and associated operational restrictions. This revision also allows the manufacturer to provide subsequent information to the Department about automated driving system design upgrades to the vehicle so that the Department may update its records.    Rule 761—380.6(321) addresses documentation submission requirements for a person seeking to operate a for-hire driverless-capable vehicle network in Iowa. The Department has not adopted the proposed application requirement for the submission of additional documentation regarding features other than the vehicle’s operational design domain.    Rule 761—380.7(17A,321) creates a driverless-capable vehicle testing process in Iowa. However, upon further review of the Iowa Code, which already provides a framework for a driverless-capable vehicle to operate in Iowa, the Department has not adopted the proposed testing permit provision because the Department agrees that the driverless-capable vehicle exemption pursuant to Iowa Code section 321.515(1)“b” is sufficient to address any circumstance in which a driverless-capable vehicle is unable to meet all of the traffic and motor vehicle safety laws and regulations in Iowa. This new rule establishes an application, review, and issuance process for the exemption as well as a suspension and hearing process.    Subrule 400.4(10) addresses supporting documentation as part of an application for vehicle registration and title. The Department has removed the proposed application requirement for the submission of additional documentation other than the vehicle’s operational design domain. The Department has also removed a cross-reference to a proposed subrule concerning the testing permit process that was not adopted.    Subrule 400.21(6) authorizes operational restrictions. The Department has revised this subrule to clarify that the Department will use the operational design domain to evaluate a driverless-capable vehicle’s intended operational design.    Nonsubstantive grammar and punctuation changes have also been made from the Notice.Adoption of Rule Making    This rule making was adopted by the Department on August 12, 2021.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 761—Chapter 11.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 October 13, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Adopt the following new 761—Chapter 380: CHAPTER 380MOTOR VEHICLES OPERATED BY AN AUTOMATED DRIVING SYSTEM

    761—380.1(321) Applicability.  This chapter applies to driverless-capable motor vehicles operated by an automated driving system, which shall be regulated exclusively by the department under Iowa Code section 321.519.       This rule is intended to implement Iowa Code sections 321.514 through 321.519.

    761—380.2(321) Definitions.  The definitions in Iowa Code section 321.514 are adopted and incorporated herein. In addition:        "Conventional human driver" means the same as defined in Iowa Code section 321.514 but does not include a driverless-capable vehicle user.        "Driverless-capable vehicle" as defined in Iowa Code section 321.514 means the vehicle meets one of the following classifications:
    1. Level 3—conditional driving automation. The vehicle is capable of achieving the sustained and specific performance of the entire dynamic driving task as provided in the operational design domain. An SAE Level 3 vehicle requires a human operator to respond to a request to intervene issued by the automated driving system, as well as to dynamic driving task performance-relevant system failures in other vehicle systems. However, a driverless-capable Level 3 vehicle can be remotely operated without a human operator present in the vehicle.
    2. Level 4—high driving automation. The vehicle is capable of achieving the sustained and specific performance of the entire dynamic driving task as provided in the operational design domain. An SAE Level 4 vehicle does not require a conventional human driver and does not require a driverless-capable vehicle user to be present in the vehicle or to perform remote operation to respond to a request to intervene issued by the automated driving system. A Level 4 vehicle is capable of fallback to a minimal risk condition without human intervention.
    3. Level 5—full driving automation. The vehicle is capable of achieving the sustained and unconditional performance of the entire dynamic driving task. An SAE Level 5 vehicle is capable of performing all driving functions under all conditions. A Level 5 vehicle does not require a conventional human driver and does not require a driverless-capable vehicle user to be present in the vehicle or to perform remote operation to respond to a request to intervene issued by the automated driving system. A Level 5 vehicle is capable of fallback to a minimal risk condition without human intervention.
            "Driverless-capable vehicle user" means a person who does not control the in-vehicle accelerating, braking, steering, and transmission gear selection input devices in order to operate a motor vehicle and who is not otherwise expected to respond to a request to intervene issued by the automated driving system of a driverless-capable vehicle.        "Functional highway classifications" means the process by which streets and highways are grouped into classes, or systems, according to the character of service the street or highway is intended to provide, and may include but not be limited to a functional highway classification established under 23 CFR Section 470.105.        "Operational design domain" means the same as defined in Iowa Code section 321.514.        "Public highways" means the same as “street” or “highway” as defined in Iowa Code section 321.1.        "SAE" means the Society of Automotive Engineers, which is an international association reputed for its standards development efforts, including its efforts to standardize definitions of driving automation systems.       This rule is intended to implement Iowa Code sections 321.1 and 321.514 and 23 CFR Section 470.105.

    761—380.3(17A) Information and addresses.  Information and forms pertaining to driverless-capable vehicle exemptions and vehicle registration and operational restrictions issued by the department or a county treasurer for a driverless-capable vehicle may be obtained in the form and manner prescribed by the department by mail from the Motor Vehicle Division, Iowa Department of Transportation, P.O. Box 9278, Des Moines, Iowa 50306-9278; in person at 6310 SE Convenience Blvd., Ankeny, Iowa; by telephone at (515)237-3264; by email at vscusto@iowadot.us; or on the department’s website at www.iowadot.gov.       This rule is intended to implement Iowa Code section 17A.3.

    761—380.4(321) Identification of driverless-capable vehicles in registration.  The SAE level of automation of a driverless-capable vehicle subject to registration under 761—Chapter 400 shall be listed in the department’s records system established under Iowa Code section 321.31 subject to possible changes to the SAE level of automation if the vehicle’s automated driving system is subsequently upgraded.       This rule is intended to implement Iowa Code sections 321.20, 321.31, 321.515 and 321.519.

    761—380.5(321) Operational restrictions.  The department may impose operational restrictions on a driverless-capable vehicle as provided in rule 761—400.21(321) as a condition of registration of the vehicle. The manufacturer shall provide information to the department regarding the vehicle’s operational design domain and associated operational restrictions. The manufacturer may subsequently provide information showing changes to the vehicle’s operational design domain and associated operational restrictions if there are subsequent automated driving system design upgrades, and the department shall update its records accordingly.       This rule is intended to implement Iowa Code sections 321.515 and 321.519.

    761—380.6(321) Identification of driverless-capable vehicle networks.  A person seeking to operate a for-hire driverless-capable vehicle network in Iowa, including an on-demand driverless-capable vehicle network, may be required to submit to the department the operational design domain as part of the application for the applicable permit under rule 761—524.3(325A) or 761—540.4(321N).        This rule is intended to implement Iowa Code sections 321.518 and 321.519.

    761—380.7(17A,321) Driverless-capable vehicle exemption.       380.7(1) Application.  If a driverless-capable vehicle does not meet the standards set forth in Iowa Code section 321.515(1)“b,” a driverless-capable vehicle manufacturer or entity may apply in the form and manner prescribed by the department for an exemption to allow driverless operation of the vehicle. A manufacturer or entity seeking an exemption under this rule shall do all of the following:    a.    Disclose in the application which traffic or motor vehicle safety law the driverless-capable vehicle is seeking an exemption from under Iowa Code section 321.515(1)“b.”    b.    Submit information describing how the manufacturer or entity intends to operate under the exemption without posing a safety risk to the public.    380.7(2) Issuance and display of exemption.  If all requirements of subrule 380.7(1) are met, and the department has sufficient information to determine a public safety risk does not exist, the department may issue the driverless-capable vehicle exemption. The exemption may include operational restrictions as provided under rule 761—400.21(321). The manufacturer or entity shall maintain a physical or electronic copy of the exemption and make it available for display at all times in the driverless-capable motor vehicle that is subject to the exemption. The copy may be in either a physical or an electronic format as prescribed by the department. The exemption shall be available for display or accessible to any peace officer upon request.    380.7(3) Suspension or revocation and reinstatement.  The department may suspend or revoke a driverless-capable vehicle exemption if the exemption has been issued in conflict with the statutes or rules governing the exemption’s issuance; if the exemption was issued based on false information; if there was a violation of Iowa Code sections 321.514 through 321.519, 761—Chapter 400 or this chapter; if the vehicle operating under the exemption is involved in a contributive motor vehicle accident attributable to the automated driving system performance in this or any other state and that accident results in death or serious injury; or if the vehicle is operated in violation of any of the motor vehicle laws of this or any other state that results in death or serious injury. For incidents occurring outside the state of Iowa, revocation may only occur once the investigation of the incident is completed and the vehicle’s automated driving system performance was found to be involved in or contributive to a motor vehicle accident that resulted in a death or serious injury. The effective date of the suspension or revocation shall be 20 days after the department has mailed notice of the revocation to the manufacturer or entity by first class.    380.7(4) Hearings.  A manufacturer or entity whose driverless-capable vehicle exemption has been suspended or revoked may contest the suspension or revocation in accordance with Iowa Code chapter 17A and 761—Chapter 13. The request for a hearing shall be submitted in writing to the director of the motor vehicle division. The request shall include, as applicable, the manufacturer’s or entity’s name, exemption number, complete address and telephone number. The request must be submitted within 20 days after the date of the notice of the suspension or revocation. The department shall stay the suspension or revocation of an exemption for the period that the manufacturer or entity is contesting the suspension or revocation under this rule.       This rule is intended to implement Iowa Code sections 321.381, 321.482, 321.515 and 321.519.

        ITEM 2.    Adopt the following new definition of “Driverless-capable vehicle” in rule 761—400.1(321):        "Driverless-capable vehicle" means the same as defined in rule 761—380.2(321).

        ITEM 3.    Amend rule 761—400.1(321), definition of “ERT service provider,” as follows:        "ERT service provider" means a person or entity authorized by the department under subrule 400.3(16)400.3(17) to submit electronic applications for certificate of title or registration of a vehicle on behalf of an end user to a county treasurer.

        ITEM 4.    Renumber subrule 400.3(16) as 400.3(17).

        ITEM 5.    Adopt the following new subrule 400.3(16):    400.3(16) Driverless-capable vehicle.  As provided in Iowa Code sections 321.20 and 321.515 and rule 761—400.21(321), the applicant shall indicate on the application whether the vehicle is a driverless-capable vehicle as defined in rule 761—380.2(321).

        ITEM 6.    Amend rule 761—400.3(321), implementation sentence, as follows:       This rule is intended to implement Iowa Code sections 321.1, 321.8, 321.20, 321.23 to 321.26, 321.31, 321.34, 321.46, 321.105A, 321.109, 321.122,321.515, 321.519,322.19A and 423.26.

        ITEM 7.    Renumber subrule 400.4(10) as 400.4(11).

        ITEM 8.    Adopt the following new subrule 400.4(10):    400.4(10) Driverless-capable vehicles.  If an application is made for a driverless-capable vehicle, the department may require the application to be accompanied by the operational design domain.

        ITEM 9.    Amend renumbered subrule 400.4(11) as follows:    400.4(11) Supporting document retained by county treasurer.  All supporting documents, except those submitted pursuant to subrule 400.3(16)400.3(17), shall be retained by the county treasurer.

        ITEM 10.    Amend rule 761—400.4(321), implementation sentence, as follows:       This rule is intended to implement Iowa Code sections 321.20, 321.23, 321.24, 321.30, 321.31, 321.45 to 321.50, 321.67, 321.515, 321.519 and 322.3.

        ITEM 11.    Adopt the following new subrule 400.7(12):    400.7(12)   Driverless-capable vehicle indicator, which may also indicate whether operational restrictions exist.

        ITEM 12.    Amend rule 761—400.7(321), implementation sentence, as follows:       This rule is intended to implement Iowa Code sections 321.24, 321.31, 321.40, 321.45, 321.52, 321.69, 321.71, 321.124, 321.515, 321.519 and 322G.12.

        ITEM 13.    Amend rule 761—400.21(321) as follows:

    761—400.21(321) Registration of vehicles on a restricted basis.  The department may register a vehicle which does not meet the equipment requirements of Iowa Code chapter 321, due to the particular use for which it is designed or intended, or which is a driverless-capable vehicle as defined in rule 761—380.2(321). Registration may be accomplished upon payment of the appropriate fees and after inspection and certification by the department that the vehicle is not in an unsafe condition.    400.21(1)   Operation of the vehicle may be restricted to a roadway to which a specific lawful speed limit applies, as specified in Iowa Code section 321.285, if the maximum speed of the vehicle is such that the operation of the vehicle would impede or block the normal and reasonable movement of traffic.    400.21(2)   The department may also restrict the operation of the vehicle to daylight hours if operation of the vehicle during hours other than daylight would create a hazard.    400.21(3)   A certificate of restriction shall be issued in conjunction with registration of the vehicle, listing the restrictions that apply to the operation of the vehicle.    a.    Registration laws applicable to motor vehicles in general shall also apply to vehicles registered under a restricted registration.    b.    The department may approve exceptions to those equipment requirements of Iowa Code chapter 321 which cannot be met due to the particular use for which the vehicle is designed or intended.    400.21(4)   The department shall not register an all-terrain vehicle. The department shall not register a vehicle built on or after January 1, 1968, unless it was manufactured primarily for use on public streets, roads and highways except a vehicle operated exclusively by a person with a disability, which may be registered if the department, in its discretion, determines that the vehicle is not in an unsafe condition. This subrule does not apply to a specially constructed, reconstructed, street rod or replica motor vehicle as defined in Iowa Code section 321.1.    400.21(5)   When a vehicle registered in this state is modified to make it a driverless-capable vehicle as defined in rule 761—380.2(321), the person in whose name the vehicle is registered shall within 30 days notify the department upon a form prescribed by the department.    400.21(6)   As provided in Iowa Code sections 321.515 and 321.519, the department may restrict the operations of a driverless-capable vehicle registered in this state or another state but which operates in this state. The restrictions may include but are not limited to the restrictions provided in subrules 400.21(1) and 400.21(2) and any operational restrictions based on a specific functional highway classification, weather conditions, days of the week, times of day, and other elements of operational design while the automated driving system is engaged. The department may require the vehicle owner to submit to the department the automated driving system’s intended operational design domain for the vehicle on a form prescribed by the department. The department may evaluate the automated driving system’s intended operational design domain for the vehicle. The department may establish additional operational restrictions to ensure safe operation of the vehicle. The department shall issue a certificate of restriction as provided in subrule 400.21(3) for any restriction established under this subrule, and the certificate shall be carried in the vehicle and made available for inspection by any peace officer upon request.       This rule is intended to implement Iowa Code sections 321.1, 321.23(4), 321.30(2), 321.101(1),and321.234Aand subsections 321.23(4), 321.30(2), and 321.101(1), 321.515 and 321.519.

        ITEM 14.    Adopt the following new paragraph 524.3(3)"f":    f.    All applicable documents identified in 761—subrule 380.7(2) and any other documentation, if required by the department, necessary to assess the operational capabilities of any driverless-capable vehicles the motor carrier intends to operate, including for the purpose of determining whether to impose operational restrictions as authorized under rule 761—400.21(321).

        ITEM 15.    Amend 761—Chapter 524, implementation sentence, as follows:       These rules are intended to implement Iowa Codesections 321.515 and 321.519 and chapter 325A.

        ITEM 16.    Reletter paragraph 540.4(3)"j" as 540.4(3)"k".

        ITEM 17.    Adopt the following new paragraph 540.4(3)"j":    j.    All applicable documents identified in 761—subrule 380.7(2) and any other documentation, if required by the department, necessary to assess the operational capabilities of any driverless-capable vehicles the transportation network company intends to operate, including for the purpose of determining whether to impose operational restrictions as authorized under rule 761—400.21(321).

        ITEM 18.    Amend 761—Chapter 540, implementation sentence, as follows:       These rules are intended to implement Iowa Codesections 321.515 and 321.519 and chapter 321N.    [Filed 8/13/21, effective 10/13/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.
    ARC 5894CUtilities Division[199]Adopted and Filed

    Rule making related to hazardous liquid pipelines and underground storage

        The Utilities Board hereby amends Chapter 13, “Hazardous Liquid Pipelines and Underground Storage,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code chapter 479B.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 479B.Purpose and Summary    The Board is conducting a comprehensive review of its administrative rules in accordance with Iowa Code section 17A.7(2). The purpose of the comprehensive review is to identify and update or eliminate rules that are outdated, redundant, or inconsistent with statutes and other administrative rules. This rule making reorganizes the chapter, retains necessary provisions, introduces new provisions to address issues that have arisen in various dockets, and aligns the chapter with other chapters of the Board’s rules.    On August 12, 2021, the Board issued an order adopting new rules. The order is available on the Board’s electronic filing system, efs.iowa.gov, under Docket No. RMU-2020-0013.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on January 27, 2021, as ARC 5403C.     An oral presentation was held April 15, 2021, at 1:30 p.m. in the Board Hearing Room, 1375 East Court Avenue, Des Moines, Iowa.    The Board received comments at the oral presentation from the Office of Consumer Advocate (OCA), a division of the Iowa Department of Justice; the Iowa Farm Bureau Federation (Farm Bureau); the American Petroleum Institute and Association of Oil Pipelines (Associations); and the Sierra Club Iowa Chapter (Sierra Club) relating to the scope of the rules as well as other technical changes throughout the rules.     On February 16, 2021, OCA, Farm Bureau, and Associations filed their initial comments on the Notice. On February 17, 2021, Sierra Club filed its initial comments on the Notice. On May 26, 2021, the Board issued an order requesting stakeholder comments on a draft Adopted and Filed rule making. OCA, Farm Bureau, and Sierra Club filed comments based on the Board’s order requesting stakeholder comments on its proposed draft Adopted and Filed rule making, which addressed the last remaining issues stakeholders had regarding the rule.     The changes to the chapter are based upon comments made at the oral presentation, as well as the written comments submitted by interested parties. Adoption of Rule Making    This rule making was adopted by the Board on August 12, 2021.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    No waiver provision is included in this amendment because the Board has a general waiver provision in rule 199—1.3(17A,474,476) that provides procedures for requesting a waiver of the rules in this chapter.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 October 13, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend subrule 13.1(1) as follows:    13.1(1) AuthorityPurpose and authority.  The purpose of this chapter is to implement the requirements of Iowa Code chapter 479B to establish procedures and filing requirements for a permit to construct, maintain, and operate an interstate hazardous liquid pipeline, for an amendment to an existing permit, and for renewal of an existing permit. This chapter also implements the requirements of Iowa Code chapter 479B for permits for underground storage of hazardous liquids.The standardsrules in this chapter relating to hazardous liquid pipelines and underground storage of hazardous liquids are prescribedadopted by the Iowa utilities board pursuant to Iowa Code section 479B.1chapter 479B.

        ITEM 2.    Rescind subrule 13.1(2) and adopt the following new subrule in lieu thereof:    13.1(2) When a permit is required.  A hazardous liquid pipeline permit shall be required for any hazardous liquid pipeline to be constructed in Iowa, regardless of length or operating pressure of the pipeline.

        ITEM 3.    Amend subrule 13.1(3) as follows:    13.1(3) Definitions.  Words and terms not otherwise defined in this chapter shall be understood to have their usual meaning. For the administration and interpretation of this chapter, the following words and terms, when used in these rules, shall have thefollowing meanings indicated below:        "Affected person" means any person with a legal right or interest in the property, including but not limited to a landowner, a contract purchaser of record, a person possessing the property under a lease, a record lienholder, and a record encumbrancer of the property.        "Amendment of permit" means changes to the pipeline permit or pipeline that require the filing of a petition to amend an existing pipeline permit as described in rule 199—13.9(479B).        "Approximate right angle" means within 5 degrees of a 90 degree90-degree angle.        "Board" means the utilities board within the utilities division of the department of commerce.        "CFR" means the Code of Federal Regulations, which contains the general administrative rules adopted by federal departments and agencies, in effect as of October 13, 2021, unless a separate effective date is identified in a specific rule.        "County inspector" means a professional engineer licensed under Iowa Code chapter 542B, familiar with agricultural and environmental inspection requirements, who has been employed by a county board of supervisors to do an on-site inspection of a proposed pipeline for compliance with 199—Chapter 9 and Iowa Code chapter 479B.        "Hazardous liquid" means crude oil, refined petroleum products, liquefied petroleum gases, anhydrous ammonia, liquid fertilizers, liquefied carbon dioxide, alcohols, and coal slurries.        "Multiple line crossing" means a point at which a proposed pipeline will either cross over or under an existing pipeline.        "Negotiating" means contact between a pipeline company and a person with authority to negotiate an easement or other interest in land that involves the location, damages, compensation, or other matter that is restricted by Iowa Code section 479B.4(6). Contact for purposes of obtaining addresses and other contact information from a landowner or tenant is not considered negotiation.        "Permit" means a new, amended, or extendedrenewal permit issued after appropriate application to and determination by the board.        "Person" means an individual, a corporation, a limited liability company, a government or governmental subdivision or agency, a business trust, an estate, a trust, a partnership or association, or any other legal entity as defined in Iowa Code section 4.1(20).        "Pipeline" means any pipe or pipeline and necessary appurtenances used for the transportation or transmission of any hazardous liquid.        "Pipeline company" means any person, firm, copartnership, association, corporation, or syndicate engaged in or organized for the purpose of owning, operating, or controlling pipelines for the transportation or transmission of any hazardous liquid or underground storage facilities for the underground storage of any hazardous liquid.        "Renewal permit" means the extension and reissuance of a permit after appropriate application to and determination by the board.        "Underground storage" means storage of hazardous liquid in a subsurface stratum or formation of the earth.

        ITEM 4.    Rescind subrule 13.1(4).

        ITEM 5.    Rescind rule 199—13.2(479B) and adopt the following new rule in lieu thereof:

    199—13.2(479B) Informational meetings.  Informational meetings shall be held for any proposed pipeline project five miles or more in length, including both the current project and future anticipated extensions, and which is to be operated at a pressure in excess of 150 pounds per square inch. A separate informational meeting shall be held in each county in which real property or property rights would be affected.     13.2(1) Time frame for holding meeting.  Informational meetings shall be held not less than 30 days nor more than two years prior to the filing of the petition for pipeline permit.    13.2(2) Facilities.  A pipeline company shall be responsible for all negotiations and compensation for a suitable facility to be used for each informational meeting, including but not limited to a building or facility which is in substantial compliance with any applicable requirements of the Americans with Disabilities Act Standards for Accessible Design, including both Title II regulations at 28 CFR part 36, subpart D, and the 2004 Americans with Disabilities Act Accessibility Guidelines at 36 CFR part 1191, appendices B and D (as amended through October 13, 2021), where such a building or facility is reasonably available.    13.2(3) Location.  The informational meeting location shall be reasonably accessible to all persons who may be affected by the granting of a permit or who have an interest in the proposed pipeline.    13.2(4) Board approval.  A pipeline company proposing to schedule an informational meeting shall file a request to schedule the informational meeting and shall include a proposed date and time for the informational meeting, an alternate time and date, and a description of the proposed project and map of the route. The pipeline company shall be notified within ten days of the filing of the request whether the request is approved or alternate times and dates are required. Once a date and time for the informational meeting have been approved, the pipeline company shall file the location of the informational meeting and a copy of the pipeline company’s presentation with the board. The pipeline company shall file a copy of its presentation with the board 14 days prior to the date the informational meeting is to be held.    13.2(5) Notices.  Announcement by mailed and published notice of each informational meeting shall be given to persons as listed on the tax assessment rolls as responsible for payment of real estate taxes imposed on the property and those persons in possession of or residing on the property in the corridor in which the pipeline company intends to seek easements.    a.    The notice shall include the following:    (1)   The name of the pipeline company;     (2)   The pipeline company’s principal place of business;     (3)   The general description and purpose of the proposed project;     (4)   The general nature of the right-of-way desired;     (5)   The possibility that the right-of-way may be acquired by condemnation if approved by the board;    (6)   A map showing the route of the proposed project;     (7)   A description of the process used by the board in making a decision on whether to approve a permit, including the right to take property by eminent domain;    (8)   A statement that an affected landowner and any other affected person with a legal interest in the property, or residing on the property, has the right to be present at the informational meeting and to file objections with the board;     (9)   The following statement: “Persons with disabilities requiring assistive services or devices to observe or participate should contact the board at (515) 725-7300 in advance of the scheduled date to request accommodations”;    (10)   Designation of the date, time, and place of the meeting; and     (11)   A copy of the statement of damage claims as required by paragraph 13.3(3)“b.”    b.    The pipeline company shall cause a written copy of the meeting notice to be served, by certified United States mail with return receipt requested, on all persons as listed on the tax assessment rolls as responsible for payment of real estate taxes imposed on the property and persons in possession of or residing on the property, whose addresses are known. The certified meeting notice shall be deposited in the United States mail not less than 30 days prior to the date of the meeting.    c.    The pipeline company shall cause the meeting notice, including the map, to be published once in a newspaper of general circulation in each county where the pipeline is proposed to be located at least one week and not more than three weeks prior to the date of the meeting. Publication shall be considered as notice to affected persons listed on the tax assessment rolls as responsible for paying the real estate taxes imposed on the property and persons in possession of or residing on the property whose addresses are not known, provided a good faith effort to obtain the address can be demonstrated by the pipeline company. The map used in the published notice shall clearly delineate the pipeline route.    d.    The pipeline company shall file prior to the informational meeting an affidavit that describes the good faith effort the pipeline company undertook to locate the addresses of all affected persons. The affidavit shall be signed by a corporate officer or an attorney representing the pipeline company.    13.2(6) Personnel.  The pipeline company shall provide qualified personnel to present the following information at the informational meeting:    a.    Service requirements and planning which have resulted in the proposed project.    b.    When the pipeline will be constructed.    c.    In general terms, the elements involved in pipeline construction.    d.    In general terms, the rights which the pipeline company will seek to acquire through easements.    e.    Procedures to be followed in contacting the affected persons for specific negotiations in acquiring voluntary easements.    f.    Methods and factors used in arriving at an offered price for voluntary easements including the range of cash amount for each component.    g.    Manner in which voluntary easement payments are made, including discussion of conditional easements, signing fees, and time of payment.    h.    Other factors or damages not included in the easement for which compensation is made, including features of interest to affected persons but not limited to computation of amounts and manner of payment.    13.2(7) Notice to county board of supervisors.  The pipeline company shall send notice of the request for an informational meeting to the county board of supervisors in each county where the proposed pipeline is to be located. The pipeline company shall request from the board of supervisors the name of the county inspector, a professional engineer who shall conduct the on-site inspection required by Iowa Code section 479B.20(2). The pipeline company shall provide the name and contact information of the county inspector to the board, landowners, and other affected persons at the meeting, if known.

        ITEM 6.    Rescind rule 199—13.3(479B) and adopt the following new rule in lieu thereof:

    199—13.3(479B) Petition for permit.      13.3(1)   A petition for a permit shall be filed with the board upon the form prescribed and shall include all required exhibits. The petition shall be considered filed with the board on the date accepted by the board’s electronic filing system as provided for in 199—Chapter 14. The petition shall be attested to by an officer, official, or attorney with authority to represent the pipeline company. Required exhibits shall be in the following form:    a.    Exhibit A.A legal description showing, at minimum:     (1)   The beginning and ending points of the proposed pipeline.     (2)   The general direction of the proposed route through each quarter section of land to be crossed, including township and range.     (3)   Whether the proposed pipeline will be located on private or public property, public highway, or railroad right-of-way.     (4)   Other pertinent information.     (5)   When the route is in or adjacent to the right-of-way of a named road or a railroad, the exhibit shall specifically identify the road or railroad by name.    b.    Exhibit B.Maps showing the proposed routing of the pipeline. The maps may be to any scale appropriate for the level of detail to be shown, but not smaller than one inch to the mile, and shall be legible when printed on paper no larger than 11 by 17 inches. Maps based on satellite imagery are preferred. An additional map of the entire route, if the route is located in more than one county or there is more than one map for a county, shall be filed in this exhibit on paper no larger than 11 by 17 inches without regard to scale. The pipeline company shall also provide the board with a KMZ file showing the proposed route of the pipeline. Data files necessary to provide mapping of the route through the use of a geographic information system application shall be provided upon the request of the board. The following minimum information shall be provided on the maps:    (1)   The route of the pipeline which is the subject of the petition, including the starting and ending points, and when paralleling a road or railroad, which side the pipeline is on. Multiple pipelines on the same right-of-way shall be indicated, and the distance between paralleling pipelines shall be shown.    (2)   The name of the county, county lines, section lines, section numbers, township numbers, and range numbers.    (3)   The location and identity of adjacent or crossed public roads, railroads, named streams or bodies of water, and other pertinent natural or man-made features influencing the route.    (4)   The name and corporate limits of cities and the name and boundaries of any public lands or parks.    (5)   Other pipelines and the identity of the owner.    (6)   Any buildings or places of public assembly within six tenths of a mile of the pipeline.    c.    Exhibit C.A showing of engineering specifications covering the engineering features, materials and manner of construction of the proposed pipeline; its approximate length, diameter and the name and location of each railroad and primary highway and the number of secondary highways to be crossed, if any; and such other information as may be deemed pertinent on forms prescribed by the board, which are located on the board’s website. In addition, the maximum and normal operating pressure and maximum capacity of the proposed pipeline shall be provided.    d.    Exhibit D.Satisfactory proof of solvency and financial ability to pay damages in the sum of $250,000 or more; or surety bond satisfactory to the board in the penal sum of $250,000 with surety approved by the board, conditioned that the pipeline company will pay any and all damages legally recovered against the pipeline company growing out of the construction and operation of its pipeline or hazardous liquid storage facilities in the state of Iowa; security satisfactory to the board as a guarantee for the payment of damages in the sum of $250,000; or satisfactory proofs that the company has property subject to execution within this state, other than pipelines, of a value in excess of $250,000. The board may require additional surety or insurance policies to ensure the payment of damages resulting from the construction and operation of a hazardous liquid pipeline in a county.    e.    Exhibit E.    (1)   Consent or documentation of appropriate public highway authorities, or railroad companies, where the pipeline will be placed longitudinally on, over or under, or at other than an approximate right angle to railroad tracks or highway, when consent is obtained prior to filing of the petition, shall be filed with the petition.    (2)   If any consent is not obtained at the time the petition is filed, the pipeline company shall file a statement that it will obtain all necessary consents or file other documentation of the right to commence construction prior to commencement of construction of the pipeline. A pipeline company may request board approval to begin construction on a segment of a pipeline prior to obtaining all necessary consents for construction of the entire pipeline.    (3)   Whether there are permits that will be required from other state agencies for construction of the pipeline and, if so, a description of the permit required and whether the permit has been obtained shall be included.    (4)   Whether there are permits from federal agencies that will be required for construction of the pipeline and, if so, a description of the permit required and whether the permit has been obtained shall be included.    f.    Exhibit F.This exhibit shall contain the following information:    (1)   A statement of the purpose of the project and a description of how the services rendered by the pipeline will promote the public convenience and necessity.    (2)   A general statement covering each of the following topics:     1.   The nature of the lands, waters, and public or private facilities to be crossed;     2.   The possible use of alternative routes;     3.   The relationship of the proposed pipeline to present and future land use and zoning ordinances; and     4.   The inconvenience or undue injury which may result to property owners as a result of the proposed project.    (3)   For an existing pipeline, the year of original construction and a description of any amendments or reportable changes since the permit or latest renewal permit was issued.    g.    Exhibit G.If informational meetings were required, an affidavit that the meetings were held in each county affected by the proposed project and the time and place of each meeting. Copies of the mailed notice letter, the corridor map, and the published notice(s) of the informational meeting shall be attached to the affidavit.    h.    Exhibit H.This exhibit is required only if the petition requests the right of eminent domain. The extent of the eminent domain request may be uncertain at the time the petition is filed. However, the exhibit must be in final form before a hearing is scheduled. The exhibit shall consist of a map of the route showing the location of each property for which the right of eminent domain is sought and the following information for each property:    (1)   The legal description of the property.    (2)   The legal description of the desired easement.    (3)   A specific description of the easement rights being sought.    (4)   The names and addresses of all affected persons for the property over which eminent domain is requested based upon a good faith effort to identify all affected persons.    (5)   A map drawn to an appropriate scale showing the boundaries of the property, the boundaries and dimensions of the proposed easement, the location of pipelines or pipeline facilities within the proposed easement, the location of and distance to any building within 300 feet of the proposed pipeline, and any other features pertinent to the location of the pipeline to the rights being sought.     (6)   An overview map showing the location of the property over which eminent domain is requested, with the property identified as required by 199—Chapter 9.    (7)   An updated KMZ file required by paragraph 13.3(1)“b” to show the locations of the property over which the pipeline company is seeking eminent domain.    i.    Exhibit I.If pipeline construction on agricultural land as defined in 199—subrule 9.1(3) is proposed, a land restoration plan shall be prepared and filed as provided for in rule 199—9.2(479,479B). The name and contact information of each county inspector designated by county boards of supervisors pursuant to Iowa Code section 479B.20(2) shall be included in the land restoration plan, when known.    j.    Underground storage.If permission is sought to construct, maintain, and operate facilities for underground storage of hazardous liquid, the petition shall include the following information, in addition to that stated above:    (1)   A description of the public or private highways, grounds and waters, streams, and private lands of any kind under which the storage is proposed, together with a map.    (2)   Maps showing the location of proposed machinery, appliances, fixtures, wells, and stations necessary for the construction, maintenance, and operation of the facilities.    k.    Exhibit K.The pipeline company shall file additional information as follows:    (1)   An affidavit describing the good faith effort the company has undertaken to identify all affected persons in the property for all parcels over which the pipeline is proposed to be located before easements were signed or eminent domain requested. The affidavit shall be signed by an attorney representing the pipeline company.    (2)   Whether any private easements will be required for the proposed pipeline and, if a private easement will be required, when the easement negotiations will be completed and whether all affected persons associated with the property have been notified.    (3)   Whether there are permits that will be required from other state agencies for the construction of the pipeline and, if so, a description of the permit required and whether the permit has been obtained.    (4)   Whether there are permits from federal agencies that will be required for construction of the pipeline and, if so, a description of the permit required and whether the permit has been obtained.    (5)   Whether there are any agreements or additional facilities that need to be constructed to transport or receive hazardous liquids.    (6)   Projected date when construction of the pipeline will begin.     l.    Exhibit L.Other exhibits. The board may require filing of additional exhibits if further information on a particular project is deemed necessary.    13.3(2)   Construction on an existing easement.    a.    Petitions proposing new pipeline construction on an existing easement where the pipeline company has previously constructed a pipeline shall include a statement indicating whether any unresolved damage claims remain from the previous pipeline construction and, if so, shall include the name of each landowner or tenant, a legal description of the property involved, and the status of proceedings to settle the claim.    b.    A petition for permit proposing a new pipeline construction on an existing easement where the pipeline company has previously constructed a pipeline shall not be acted upon by the board if a damage claim from the installation of the previous pipeline has not been resolved by negotiation, arbitration, or court action. The board may take action on the petition if the damage claim is under litigation or arbitration.    13.3(3)   Statement of damage claims.    a.    A petition for permit proposing new pipeline construction shall not be acted upon by the board if the pipeline company does not file with the board a written statement in compliance with Iowa Code chapter 479B as to how damages resulting from the construction of the pipeline shall be determined and paid.    b.    The statement shall contain the following information: the type of damages which will be compensated, how the amount of damages will be determined, the procedures by which disputes may be resolved, the manner of payment, and the procedures that the affected person is required to follow to obtain a determination of damages by a county compensation commission.    c.    The statement shall be amended as necessary to reflect changes in the law, company policy, or the needs of a specific project.    d.    A copy of this statement shall be mailed with the notice of informational meeting as provided for in Iowa Code section 479B.4. If no informational meeting is required, a copy shall be provided to each affected person prior to entering into negotiations for payment of damages.    e.    Nothing in this rule shall prevent a person from negotiating with the pipeline company for terms which are different, more specific, or in addition to the statement filed with the board.    13.3(4)   Negotiation of easements. The pipeline company is not prohibited from responding to inquiries concerning existing easements or from requesting and collecting tenant and affected person information, provided that the pipeline company is not “negotiating” as defined at subrule 13.1(3).

        ITEM 7.    Amend rule 199—13.4(479B) as follows:

    199—13.4(479B) Notice of hearing.      13.4(1)   When a proper petition for permit is received byfiled with the board, it shall be docketed for hearing and the petitioner shall be advised of the time and place of hearing, except as provided for in rule 13.8(479B). Petitioner shall also be furnished copies of the official notice of hearing which petitioner shall cause to be published once each week for two consecutive weeks in a newspaper of general circulation in each county in or through which construction is proposed. The second publication shall be not less than 10 nor more than 30 days prior to the date of the hearing. Proof of publication shall be filed prior to or at the hearingthe petition shall be reviewed by board staff for compliance with applicable laws. Once board staff has completed the review and filed a report regarding the proposed pipeline and petition, the petition shall be set for hearing. This subrule does not apply to renewal petitions filed pursuant to rule 199—13.8(479B) which do not require a hearing.    13.4(2)   The pipeline company shall be furnished copies of the official notice of hearing, which the pipeline company shall cause to be published once each week for two consecutive weeks in a newspaper of general circulation in each county in or through which construction is proposed. The second publication shall be not less than 10 and no more than 30 days prior to the date of the hearing. Proof of publication shall be filed prior to the hearing.    13.4(3)   The published notice shall include a map showing either the pipeline route or the area affected by underground gashazardous liquid storage, or a telephone number and an address through which interested persons canmay obtain a copy of a map from petitionerthe pipeline company at no charge. If a map other than that filed as Exhibit B will be published or provided, a copy shall be filed with the petition.    13.(2) 13.4(4)   If a petition for permit seeks the right of eminent domain, petitionerthe pipeline company shall, in addition to the published notice of hearing, serve a copy of the notice of hearing toon the owners and parties in possession of landslandowners and any affected person with an interest in the property over which eminent domain is sought. A copy of the Exhibit H filed with the board for the affected property shall accompany the notice. Service shall be by certified United States mail, return receipt requested, addressed to theirthe person’s last-known address;, and this notice shall be mailed notno later than the first day of publication of the official notice of hearing on the petition. Not less than five days prior to the date of the hearing, the petitionerpipeline company shall file with the board a certificate of service showing allpersons and addresses to which notice was sent by certified mail,and the date of the mailing, and an affidavit that all affected persons were served.    13.(3) 13.4(5)   If a petition does not seek the right of eminent domain, but all required interests in private property have not yet been obtainedat the time the petition is filed, a copy of the notice of hearing shall be served upon the owners and parties in possession of those landsany affected person with interests in the property. Service shall be by ordinary mail, addressed to the last-known address,and mailed notno later than the first day of publication of the official notice. A copy of each letter of notification, or one copy of the letter accompanied by a written statement listing all partiespersons to which itwhom the notice was mailed,and the date of mailing,and an affidavit that all affected persons were served, shall be filed with the board not less than five days prior to the hearing.

        ITEM 8.    Amend rule 199—13.5(479B) as follows:

    199—13.5(479B) Objections.  AAny person, including a governmental entity, whose rights or interests may be affected by the object of a petitiona proposed pipeline or underground storage facility may file a written objectionwith the board. The written objectionWritten objections shall be filed with the secretary of the board not less than five days prior to date of hearing. The board may, for good cause shown, permit filing of objections less than five days prior to hearing, but in such event petitionerthe pipeline company shall be granted a reasonable time to meet objectionsrespond to a late-filed objection.

        ITEM 9.    Amend rule 199—13.6(479B) as follows:

    199—13.6(479B) Hearing.  Hearing shall beA petition for a pipeline permit, or amendment to a pipeline permit, shall be scheduled for hearing not less than 10 ornor more than 30 days from the date of last publication ofthe notice of hearing.Petitioner shall be represented by one or more duly authorized representatives or counsel or both. The board may examine the proposed route of the pipeline or location of the underground storage facilities which are the object of the petition or may cause examination to be made on its behalf by an engineer of its selection. One or more members of the board or a duly appointed administrative law judge shall consider the petition and any objections filed thereto and may hear testimony deemed appropriate. One or more petitions may be considered at the same hearing. Petitions may be consolidated. Hearing shall be held in the office of the board or at any other place within the state of Iowa as the board may designate. Any hearing permitted by these rules in which there are no objections, interventions or material issues in dispute may be conducted by telephonic means. Notice of the telephonic hearings shall be given to parties within a reasonable time prior to the date of hearing.    13.6(1)   Representation of a pipeline company at a pipeline permit hearing shall comply with the requirements of 199—subrule 7.4(8).    13.6(2)   The board or presiding officer may schedule a prehearing conference to consider a procedural schedule for the petition and a hearing date.    13.6(3)   One or more petitions may be consolidated for hearing.    13.6(4)   Hearings shall be scheduled and held in the office of the board or at any other place within the state of Iowa as the board may designate pursuant to Iowa Code section 479B.6. Requests for conducting a hearing or taking testimony by telephone or electronic means may be approved by the board or presiding officer.    13.6(5)   The hearing requirements in this rule also apply to petitions for hazardous liquid underground storage permits and amendments to hazardous liquid underground storage permits.

        ITEM 10.    Amend rule 199—13.7(479B) as follows:

    199—13.7(479B) Pipeline permit.  If after hearing and appropriate findings of fact it is determined a permit should be granted, a permit shall be issued. Otherwise, the petition shall be dismissed with or without prejudice. Where proposed construction has not been established definitely, the permit will be issued on the route or location as set forth in the petition, subject to deviation of up to 660 feet (one-eighth mile) on either side of the proposed route. If the proposed construction is not completed within two years from the date of issue, subject to extension at the discretion of the board, the permit shall be void and of no further force or effect. Upon completion of the proposed construction, maps accurately showing the final routing of the pipeline shall be filed with the board.A permit shall normally expire 25 years from date of issue. No permit shall be granted for a period longer than 25 years.    13.7(1)   A pipeline permit shall be issued once an order granting the permit is final and the compliance requirements have been met. A pipeline company may request board approval to delay obtaining consent to cross railroad right-of-way until after the pipeline permit is issued.     13.7(2)   The issuance of the permit authorizes construction on the route or location as approved by the board, subject to deviation within the permanent route easement right-of-way. If a deviation outside the permanent route easement right-of-way becomes necessary, construction of the line in that location shall be suspended and the pipeline company shall follow the procedures for filing a petition for amendment of a permit, except that the pipeline company need only file Exhibits A, B, E and F, reflecting the proposed deviation. In case of any deviation from the approved permanent route easement, the pipeline company shall secure the necessary easements before construction may commence on the altered route. The right of eminent domain shall not be used to acquire any such easement except as specifically approved by the board, and a hearing will not be required unless the board determines a hearing is necessary to complete a review of the petition for amendment.    13.7(3)   If the construction of facilities authorized by a permit is not commenced within two years of the date the permit is granted, or within two years after final disposition of judicial review of a permit or of condemnation proceedings, the permit shall be forfeited, unless the board grants an extension of the permit filed prior to the expiration of the two-year period.     13.7(4)   Upon completion of the proposed construction, maps accurately showing the final routing of the pipeline, in compliance with 199—Chapter 9 and revised Exhibits A, B, and C, shall be filed with the board.    13.7(5)   The board shall set the term of the permit. The term of the permit may be less than, but shall not exceed, 25 years from the date of issuance.

        ITEM 11.    Amend rule 199—13.8(479B) as follows:

    199—13.8(479B) Renewal permits.  A petition for renewal of permit may be filed at any time subsequent to issuance of a permit and prior to expiration. The petition shall be made on the form prescribed by the board. Instructions for the petition are included as a part of the form. The procedure for petition for permit shall be followed with respect to publication of notice, objections, and assessment of costs. If review of the petition finds unresolved issues of fact or law, or if an objection is filed within 20 days of the second publication of the published notice, the matter will be set for hearing. If a hearing is not required, a renewal permit will be issued upon the filing of the proof of publication required by subrule 13.4(1). Renewal permits shall normally expire 25 years from date of issue. No permit shall be granted for a period longer than 25 years. The same procedure shall be followed for subsequent renewals.    13.8(1)   A petition for renewal of an original or previously renewed pipeline permit may be filed at any time subsequent to issuance of the permit and shall be filed at least one year prior to expiration of the permit. This requirement is not applicable to renewal of permits that expire within one year of October 13, 2021. The petition shall be made on the form prescribed by the board. Instructions for the petition are included as part of the form, and the form is available on the board’s website. The petition shall include the name of the pipeline company requesting renewal of the permit, the pipeline company’s principal office and place of business, a description of any amendment or reportable change since the permit or previous renewal permit was issued, and the same exhibits as required for a new permit. The petition shall be considered filed with the board on the date accepted into the board’s electronic filing system as provided for in 199—Chapter 14. The petition shall be attested to by an officer, official, or attorney with authority to represent the pipeline company.    13.8(2)   The procedure for a petition for permit shall be followed with respect to publication of notice, objections, and assessment of costs.    13.8(3)   If there are unresolved issues of fact or law, or if an objection is filed within 20 days of the second publication of the published notice, the board shall set the matter for hearing. If a hearing is not required, and the petition satisfies the requirements of this rule, a renewal permit will be issued upon the filing of the proof of publication as required by rule 199—13.4(479B).    13.8(4)   The board shall set the term of a renewal permit. The term may be less than, but shall not exceed, 25 years from the date of issuance. The same procedure shall be followed in subsequent renewals.       This rule is intended to implement Iowa Code sections 476.2 and 479B.14.

        ITEM 12.    Amend rule 199—13.9(479B) as follows:

    199—13.9(479B) Amendment of permits.      13.9(1)   An amendment ofa pipeline permit by the board is required in any of the following circumstances:    a.    Construction of aan additional pipeline parallelingall or part of an existing linepipeline of petitioner;the pipeline company.    b.    Extension of an existing pipeline of petitioner by more than 660 feet (one-eighth mile);the pipeline company outside of the permitted permanent route easement.    c.    Relocationor replacement of an existing pipeline of petitionerthe pipeline company which:    (1)   Relocates the pipeline more than 660 feet (one-eighth mile) from the routeoutside of the permitted permanent route easement approved by the board; or    (2)   Involves relocationor replacement requiring new or additional interests in property for five miles or more of pipe to be operated at over 150 psig. Informational meetings as provided for by rule 199—13.3(479B) shall be held for these relocations.If the relocation or replacement is for five miles or more of pipe to be operated in excess of 150 pounds per square inch gauge, an informational meeting, as provided in rule 199—13.2(479B), shall be held.    d.    Contiguous extension of an underground storage area of petitioner; orthe pipeline company.    e.    Modification of any condition or limitation placed on the construction or operation of the pipeline in the final order granting the pipeline permitor previous renewal of the permit.    13.9(2)   Petition for amendment.     a.    The petition for amendment shall include the docket number and issue date of the permit for which amendment is sought and shall clearly state the purpose of the petition. If the petition is for construction of additional pipeline facilities, or expansion of an underground storage area, the same exhibits as required for a petition for permit shall be attached.    b.    The applicable procedures for petition for permit, including hearing, shall be followed. Upon appropriate determination by the board, an amendment to a permit willshall be issued. The amendment shall be subject to the same conditions with respect to completioncommencement of construction within two years and the filing of final routing maps as attached to a permitrequired for pipeline permits.

        ITEM 13.    Amend rule 199—13.10(479B) as follows:

    199—13.10(479B) Fees and expenses.  The petitionerpipeline company shall pay the actual unrecovered cost incurred by the board attributable to theinformational meeting, processing, investigation, andhearing, inspection related to a petition requesting a pipeline permit action, and any other activity of the board related to a pipeline permit, pursuant to 199—Chapter 17.Any moneys collected by the board from other sources for chargeable activities will be deducted from billings for actual expenses submitted to the petitioner.

        ITEM 14.    Renumber rule 199—13.12(479B) as 199—13.11(479B).

        ITEM 15.    Amend renumbered rule 199—13.11(479B) as follows:

    199—13.11(479B) Land restoration.  Pipelines shall be constructed in compliance with 199 IAC199—Chapter 9, “Restoration of Agricultural Lands During and After Pipeline Construction.”

        ITEM 16.    Renumber rule 199—13.14(479B) as 199—13.12(479B).

        ITEM 17.    Amend renumbered rule 199—13.12(479B) as follows:

    199—13.12(479B) Crossings of highways, railroads, and rivers.      13.12(1)   Iowa Code chapter 479B gives the Iowa utilities board primary authority over the routing of pipelines. However, highway and railroad authorities and environmental agencies may have a jurisdictional interest in the routing of the pipeline, including requirements that permits or other authorizations be obtained prior to construction for crossings of highway or railroad right-of-way, or rivers or other bodies of water.    13.12(2)   Except for other than approximate right angle crossings of highway or railroad right-of-way, the approvalApproval of other authorities need not be obtained prior to petitioning the board for a pipeline permit. It is recommended the appropriateThe pipeline company shall file with the petition information that shows the pipeline company contacted the othernecessary authorities be contacted well in advance of constructionfiling the petition to determine what restrictions or conditions may be placed on the crossing,by those authorities and to obtain information on any proposed reconstruction or relocation of existing facilities which may impact the routing of the pipeline.Approvals and any restrictions, conditions, or relocations of existing facilities are required to be filed with the board prior to the grant of the permit. A pipeline company may request board approval to begin construction on a segment of a pipeline prior to obtaining all necessary consents for construction of the entire pipeline.    13.(2) 13.12(3)   Pipeline routes which include crossings of highway or railroad right-of-way at other than an approximate right angle, or longitudinally on the right-of-way, shall not be constructed unless a showing of consent by the appropriate authority has been provided by the petitionerpipeline company as required in paragraph 13.2(1)“e.”13.3(1)“e.”

        ITEM 18.    Renumber rules 199—13.18(479B) and 199—13.19(479B) as 199—13.13(479B) and 199—13.14(479B).

        ITEM 19.    Amend renumbered rule 199—13.13(479B) as follows:

    199—13.13(479B) Reportable changes to pipelines under permit.      13.13(1)   The boardA pipeline company shall receivefile prior noticewith the board of any of the following actions affecting a pipeline under permit:    a.    Abandonment or removal from service.The pipeline company shall also notify the landowners of the abandonment or removal of the pipeline from service.    b.    Relocation of more than 300 feet from the original alignment, or any relocation that would bring the pipeline to within 300 feet of an occupied residence. Relocations of 660 feet (one-eighth mile) or more shall require the filing of a petition for amendment of a permit.Pressure test or increase in maximum allowable operating pressure.    c.    Change in product being transported.    d.    c.    Replacement of a pipeline or significant portion thereof, not including short repair sections of pipe at least as strong as the original pipe.    e.    Extensions of existing pipelines by 660 feet (one-eighth mile) or less.    13.13(2)   The notice shall include the docket and permit numbers of the pipeline, the location involved, a description of the proposed activity, anticipated dates of commencement and completion, revised maps and facility descriptions, where appropriate, and the name and telephone number of a person to contact for additional information.

        ITEM 20.    Amend renumbered rule 199—13.14(479B) as follows:

    199—13.14(479B) Sale or transfer of permit.      13.14(1)   No permit shall be soldor transferred without prior written approval of the board. A petition for approvalof the sale or transfer shall be jointly filed by the buyer, or transferee, andthe seller, or transferor, and shall include assurances that the buyer, or transferee, is authorized to transact business in the state of Iowa; that the buyerand is willing and able to construct, operate, and maintain the pipeline in accordance with these rules; and, if. If the sale, or transfer, is prior to completion of construction of the pipeline, that the buyer, or transferee, shall demonstrate it has the financial ability to pay,up to $250,000 infor damagesassociated with construction or operation of the pipeline, up to $250,000 or any other amount the board determined necessary when granting the permit.    13.14(2)   No transfer of pipeline permit prior to completion of pipeline construction shall be effective until the person to whom the permit was issued files notice with the board of the transfer. The notice shall include the date of the transfer and the name and address of the transferee.    13.14(3)   The board shall receive notice from the transferor of any other transfer of a pipeline permit after completion of construction.    13.14(2)   For the purposes of this rule, reassignment of a pipeline permit as part ofa name change or a corporate restructuring, with no change in pipeline operating personnel or procedures, is considered a transferand requires prior board approval.

        ITEM 21.    Adopt the following new rule 199—13.15(479B):

    199—13.15(479B) Reports to federal agencies.      13.15(1)   Upon submission of any incident, annual, or other report to the U.S. Department of Transportation pursuant to 49 CFR Part 195, a pipeline company shall file a copy of the report with the board. The board shall also be advised of any telephonic incident report made by the pipeline company. The pipeline company shall notify the board, as soon as possible, of any incident by emailing the duty officer at dutyofficer@iub.iowa.gov or, if email is not available, by calling the board duty officer at (515)745-2332.    13.15(2)   Pipeline companies operating in other states shall provide to the board data for Iowa only.

        ITEM 22.    Adopt the following new rule 199—13.16(479B):

    199—13.16(479B) Termination of petition for pipeline permit proceedings.  If a pipeline company fails to correct an identified deficiency within six months after written notification by the board, or after such shorter period as the board may specify in the written notification, to cure an incomplete or deficient permit petition, or a pipeline company fails to publish the official notice within 90 days after the official notice is provided by the board, the board may dismiss the petition.
        [Filed 8/12/21, effective 10/13/21][Published 9/8/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 9/8/21.

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