Bulletin 10-06-2021

Front matter not included
ARC 5934CEducational Examiners Board[282]Notice of Intended Action

Proposing rule making related to license sanctions and response deadlines and providing an opportunity for public comment

    The Educational Examiners Board hereby proposes to amend Chapter 11, “Complaints, Investigations, Contested Case Hearings,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 272.2.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 744.Purpose and Summary    2021 Iowa Acts, House File 744, sets forth new criteria for the denial or revocation of a license based on discrimination against a student or employee in violation of provisions related to protected speech or intellectual freedom. An update to the rules is also needed to change the time period allowable to file a written response to a motion to match the Iowa Rules of Civil Procedure. The proposed rule making implements these changes.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 282—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 Board no later than 4:30 p.m. on October 26, 2021. Comments should be directed to:Kimberly Cunningham Board of Educational Examiners 701 East Court Avenue, Suite A Des Moines, Iowa 50319-0147 Fax: 515.281.7669 Email: kim.cunningham@iowa.govPublic Hearing     A public hearing at which persons may present their views orally or in writing will be held as follows: October 26, 2021 1 p.m. Board Room 701 East Court Avenue, Suite A Des Moines, Iowa    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 11.17(2) as follows:    11.17(2)   Any party may file a written response to a motion within ten15 days after the motion is served, unless the time period is extended or shortened by rules of the agency or the presiding officer.

    ITEM 2.    Adopt the following new paragraph 11.35(2)"c":    c.    Speech and intellectual freedom protections.The board may deny a license to or revoke the license of a person upon the board’s finding by a preponderance of evidence that the person knowingly and intentionally discriminated against a student in violation of Iowa Code section 261H.2(3) as enacted by 2021 Iowa Acts, House File 744, section 1, or Iowa Code section 279.73 as enacted by 2021 Iowa Acts, House File 744, section 5.
ARC 5938CEducational Examiners Board[282]Notice of Intended Action

Proposing rule making related to fees for complaints and hearings involving administrator sanctions and providing an opportunity for public comment

    The Educational Examiners Board hereby proposes to amend Chapter 11, “Complaints, Investigations, Contested Case Hearings,” and Chapter 12, “Fees,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 272.2.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 868.Purpose and Summary    2021 Iowa Acts, House File 868, directs the Board to establish fees for the administrative costs of processing complaints and conducting hearings when the respondent is an administrator and the final Board action results in a sanction. This proposed rule making implements the legislation.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 282—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 Board no later than 4:30 p.m. on October 26, 2021. Comments should be directed to:Kimberly Cunningham Board of Educational Examiners 701 East Court Avenue, Suite A Des Moines, Iowa 50319-0147 Fax: 515.281.7669 Email: kim.cunningham@iowa.govPublic Hearing    A public hearing at which persons may present their views orally or in writing will be held as follows: October 26, 2021 1 p.m. Board Room 701 East Court Avenue, Suite A Des Moines, Iowa     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 rule 282—11.33(272) as follows:

282—11.33(272) Methods of discipline.  The board has the authority to impose the following disciplinary sanctions:
  1. Revoke a practitioner’s license, certificate or authorization.
  2. Suspend a practitioner’s license, certificate or authorization until further order of the board or for a specific period.
  3. Prohibit permanently, until further order of the board, or for a specific period, a practitioner from engaging in specified practices, methods, or acts.
  4. Require additional education or training.
  5. Order a physical or mental evaluation, or order alcohol and drug screening within a time specified by the board.
  6. Issue a public letter of reprimand.
  7. Order any other resolution appropriate to the circumstances of the case.
  8. Impose fees as provided in Iowa Code section 272.2(24) as amended by 2021 Iowa Acts, House File 868, section 29.

    ITEM 2.    Adopt the following new rule 282—12.10(272):

282—12.10(272) Fees for processing complaints and conducting hearings.      12.10(1) Administrator licensure sanction.  If an administrator is a respondent in a complaint for violation of the code of professional conduct and ethics and the final board action results in a sanction, the administrator will be required to pay the fees that were related to processing the complaint and conducting the hearing. Such fees may include a fee for personal service by a sheriff, a fee for legal notice when placed in a newspaper, a fee for transcription service or court reporter fee, and other fees assessed as costs by the board.    12.10(2) Timeline for payment and board order.  Fees must be submitted to the board office within 45 days from the issuance of the letter outlining the required fees. Payment of fees may be imposed as a board order.
ARC 5960CEducational Examiners Board[282]Notice of Intended Action

Proposing rule making related to endorsements and providing an opportunity for public comment

    The Educational Examiners Board hereby proposes to amend Chapter 13, “Issuance of Teacher Licenses and Endorsements,” and Chapter 16, “Statements of Professional Recognition (SPR),” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 272.2.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 272.2.Purpose and Summary    The proposed amendments add STEM (science, technology, engineering, math) endorsements as an option to teach fifth- through eighth-grade algebra for high school credit and remove the requirement that the Iowa Reading Research Center approve the practicum placement for educators seeking the dyslexia endorsement. The proposed amendments also eliminate outdated language and provide consistency for school social worker rules.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 282—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 Board no later than 4:30 p.m. on October 26, 2021. Comments should be directed to: Kimberly Cunningham Board of Educational Examiners 701 East Court Avenue, Suite A Des Moines, Iowa 50319-0147 Fax: 515.281.7669 Email: kim.cunningham@iowa.gov Public Hearing     A public hearing at which persons may present their views orally or in writing will be held as follows: October 26, 2021 1 p.m. Board Room 701 East Court Avenue, Suite A Des Moines, Iowa     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 paragraph 13.28(12)"c" as follows:    c.    5-8 algebra for high school credit.For a 5-8 algebra for high school credit endorsement, hold either thea K-8 mathematics, or middle school mathematics, K-8 STEM, or 5-8 STEM endorsement and complete a college algebra or linear algebra class. This endorsement allows the holder to teach algebra to grades 5-8 for high school credit.

    ITEM 2.    Amend subparagraph 13.28(36)"b" as follows:    (5)   Practicum in dyslexia. The dyslexia specialist will participate in elementary and secondary practicum experiences with instructors who have experience with and are currently serving students who display characteristics of dyslexia. The cooperating teacher must be approved by the Iowa reading research center. The practicum must include:    1.   Supervised administration of norm-referenced literacy assessments.    2.   Practice composing a report of literacy assessment results that will include interpretation of the results and instructional recommendations.    3.   Supervised delivery of systematic, explicit, and multisensory intervention for students with characteristics of dyslexia.    4.   Practice composing a report of students’ response to intervention.

    ITEM 3.    Amend subrule 16.6(2) as follows:    16.6(2) Requirements.  The special education director (or designee) ofAn administrator for the area education agency or local education agency must submit an applicationa form to the board to request that the authorization be issued. The application must include:    a.    An official transcript that reflects the master’s degree in social work; and    b.    The licensed independent social worker (LISW) or licensed master social worker (LMSW) license issued by the Iowa board of social work.; and    c.    A statement of agreement verifying that the applicant will also maintain licensure with the board of social work while employed by or providing services to an accredited public or private school or area education agency.
ARC 5935CEducational Examiners Board[282]Notice of Intended Action

Proposing rule making related to licensure renewal and providing an opportunity for public comment

    The Educational Examiners Board hereby proposes to amend Chapter 20, “Renewals,” and Chapter 27, “Issuance of Professional Service Licenses,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 272.2.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 770.Purpose and Summary    2021 Iowa Acts, House File 770, directs the Board to adopt rules to allow up to one-half of the units needed for licensure renewal to be earned through the successful completion of an individualized professional development plan. This proposed rule making implements the legislation.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 282—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 Board no later than 4:30 p.m. on October 26, 2021. Comments should be directed to:Kimberly Cunningham Board of Educational Examiners 701 East Court Avenue, Suite A Des Moines, Iowa 50319-0147 Fax: 515.281.7669 Email: kim.cunningham@iowa.govPublic Hearing     A public hearing at which persons may present their views orally or in writing will be held as follows: October 26, 2021 1 to 2 p.m. Board Room 701 East Court Avenue, Suite A Des Moines, Iowa    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 paragraph 20.5(2)"f" as follows:    f.    One unitThree units may be earned upon the successful completion of an individualized professional development plan as verified by the supervising licensed evaluator.

    ITEM 2.    Amend paragraph 20.6(2)"f" as follows:    f.    One unitTwo units may be earned upon the successful completion of an individualized professional development plan as verified by the supervising licensed evaluator, or one unit if the applicant holds a specialist’s or doctor’s degree.

    ITEM 3.    Amend paragraph 20.9(2)"e" as follows:    e.    One unitTwo units may be earned upon the successful completion of an individualized professional development plan as verified by the supervising licensed evaluator, or in the case of a superintendent, as verified by the school board president, or one unit if the applicant holds a specialist’s or doctor’s degree.

    ITEM 4.    Adopt the following new paragraph 27.5(2)"e":    e.    Two units may be earned upon the successful completion of an individualized professional development plan as verified by the supervising licensed evaluator, or one unit if the applicant holds a specialist’s or doctor’s degree.
ARC 5937CEducational Examiners Board[282]Notice of Intended Action

Proposing rule making related to day limitation for substitute authorization holders and providing an opportunity for public comment

    The Educational Examiners Board hereby proposes to amend Chapter 22, “Authorizations,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 272.2.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 675.Purpose and Summary    2021 Iowa Acts, House File 675, amends the day limitation for substitute authorization holders. This proposed rule making implements the legislation.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 282—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 Board no later than 4:30 p.m. on October 26, 2021. Comments should be directed to:Kimberly Cunningham Board of Educational Examiners 701 East Court Avenue, Suite A Des Moines, Iowa 50319-0147 Fax: 515.281.7669 Email: kim.cunningham@iowa.govPublic Hearing    A public hearing at which persons may present their views orally or in writing will be held as follows:October 26, 2021 1 p.m. Board Room 701 East Court Avenue, Suite A Des Moines, Iowa     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 action is proposed:

    ITEM 1.    Amend rule 282—22.2(272), introductory paragraph, as follows:

282—22.2(272) Substitute authorization.  A substitute authorization allows an individual to substitute in grades PK-12 for no more than ten10 consecutive daysin a 30-day period in one job assignment for a regularly assigned teacher who is absent, except in the driver’s education classroom. A school district administrator may file a written request with the board for an extension of the ten-day10-day limit in one job assignmentin a 30-day period on the basis of documented need and benefit to the instructional program. The executive director or appointee will review the request and provide a written decision either approving or denying the request.
ARC 5936CEducational Examiners Board[282]Notice of Intended Action

Proposing rule making related to charter school administrator authorization and providing an opportunity for public comment

    The Educational Examiners Board hereby proposes to amend Chapter 22, “Authorizations,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 272.2.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 847.Purpose and Summary    2021 Iowa Acts, House File 847, directs the Board to create a charter school administrator authorization. This proposed rule making implements the legislation.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 282—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 Board no later than 4:30 p.m. on October 26, 2021. Comments should be directed to:Kimberly Cunningham Board of Educational Examiners 701 East Court Avenue, Suite A Des Moines, Iowa 50319-0147 Fax: 515.281.7669 Email: kim.cunningham@iowa.govPublic Hearing    A public hearing at which persons may present their views orally or in writing will be held as follows: October 26, 2021 1 p.m. Board Room 701 East Court Avenue, Suite A Des Moines, Iowa    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 action is proposed:

    ITEM 1.    Adopt the following new rule 282—22.13(272):

282—22.13(272) Charter school administrator authorization.      22.13(1) Authorization.  The charter school administrator authorization is only valid for service or employment as a charter school administrator.    22.13(2) Application process.  Any person interested in the charter school administrator authorization shall submit an application to the board of educational examiners for an evaluation. Application materials are available from the office of the board of educational examiners online at www.boee.iowa.gov.    22.13(3) Requirements.      a.    Background check. The applicant must complete the background check requirements set forth in rule 282—13.1(272).    b.    The applicant must obtain a recommendation from an Iowa charter school governing board verifying that the organization wishes to hire the applicant as a charter school administrator.    22.13(4) Validity.  This authorization is valid for five years. No Class B license or license based on executive director decision may be issued to an applicant holding the charter school administrator authorization. No additional endorsement areas may be added to the charter school administrator authorization, with the exception of evaluator approval.    22.13(5) Renewal.  An applicant for renewal of the charter school administrator authorization must provide verification of completion of child and dependent adult abuse trainings as stated in 282—subrule 20.3(4).
ARC 5961CEducation Department[281]Notice of Intended Action

Proposing rule making related to charter schools and providing an opportunity for public comment

    The State Board of Education hereby proposes to adopt a new Chapter 19, “Charter Schools,” and to amend Chapter 68, “Iowa Public Charter and Innovation Zone Schools,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 256.7.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 813, as amended by 2021 Iowa Acts, House File 847.Purpose and Summary    This proposed rule making modernizes charter schools in Iowa, in light of recent legislative changes.    As part of the rule-drafting process, the Department sought input before publication of this Notice via a public survey; 61 people responded. Some of the responses took issue with the policy decision to allow charter schools or the flexibility recent legislation affords to charter schools. Those comments, although forcefully made, deserve no further comment. Those policy decisions have already been made. Many commenters thought that charter schools deserve flexibility, charter schools must be held accountable for performance, and charter schools must not discriminate. Those three concerns are addressed in the underlying statute and these proposed rules.    In this proposed rule making, cross-references in Chapter 19 to Iowa Code chapter 256E, or sections thereof, and to other new Iowa Code sections, such as 256F.12 and 257.6(1)“a”(9), are to that chapter and those sections as they will be codified in the upcoming 2022 Iowa Code. The content of the yet-to-be codified Iowa Code chapter and sections can be found in 2021 Iowa Acts, House File 813, as amended by 2021 Iowa Acts, House File 847.Fiscal Impact    This rule making has an unknown fiscal impact to the State of Iowa, based on an analysis of 2021 Iowa Acts, House File 813, performed by the Legislative Services Agency (www.legis.iowa.gov/docs/publications/FN/1220089.pdf).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 State Board for a waiver of the discretionary provisions, if any, pursuant to Chapter 281—Chapter 4.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 October 26, 2021. Comments should be directed to: Thomas Mayes Department of Education Grimes State Office Building, Second Floor 400 East 14th Street Des Moines, Iowa 50319-0146 Phone: 515.242.5614 Email: thomas.mayes@iowa.govPublic Hearing     A public hearing at which persons may present their views orally or in writing will be held as follows: October 26, 2021 1 to 3 p.m. State Board Room, Second Floor Grimes State Office Building Des Moines, Iowa Via videoconference: IDOE.zoom.us/j/96227468763? pwd=QVhEQkxKZlVpT1ZCZmZ4QnY3d3Qydz09    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 by calling 515.281.5295.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.    Adopt the following new 281—Chapter 19: CHAPTER 19CHARTER SCHOOLS

281—19.1(256E) Purpose.  It is the purpose of this chapter to give guidance and direction for the establishment, general operating powers and duties, funding, performance, and oversight of charter schools. All charter schools in Iowa are a part of the state’s program of public education. Charter schools established prior to July 1, 2021, shall continue to operate under and be subject to the requirements of Iowa Code chapter 256F and 281—Chapter 68.

281—19.2(256E) Establishment of charter schools.      19.2(1)   A charter school may be established by either of the following methods:    a.    School board-state board model.A school board may create a founding group to apply to the state board for approval to establish and operate a charter school within and as a part of the school district by establishing a new attendance center, creating a new school within an existing attendance center, or converting an existing attendance center to charter status.    b.    Founding group-state board model.A founding group may apply to the state board for approval to establish and operate a charter school within the boundaries of the state that operates as a new attendance center independently from a public school district.    19.2(2)   The state board of education shall be the only authorizer of charter schools under this chapter.

281—19.3(256E) Purpose of a charter school.  The purpose of a charter school established under this chapter shall be to accomplish the following:
  1. Improve student learning, well-being, and postsecondary success.
  2. Increase learning opportunities for students in areas of need, including but not limited to science, technology, engineering, and math (STEM), and science, technology, engineering, arts, and math (STEAM).
  3. Increase opportunities for work-based learning, early literacy intervention, and serving at-risk populations.
  4. Accelerating student learning to prevent learning loss during the COVID-19 pandemic and other significant disruptions to student learning.
  5. Encourage the use of evidence-based practices in innovative environments.
  6. Require the measurement and evaluation of program implementation and learning outcomes.
  7. Establish models of success for Iowa schools.
  8. Create new professional opportunities for teachers and other educators.
  9. Investigate and establish different organizational structures for schools to use to implement a multi-tiered system of supports for students.
  10. Allow greater flexibility to meet the education needs of a diverse student population and changing workforce needs.
  11. Allow for the flexible allocation of resources through implementation of specialized school budgets for the benefit of the schools served.
  12. Allow greater flexibility for districts and schools to focus on closing gaps in student opportunity and achievement for all students from preschool through postsecondary preparation.

281—19.4(256E) Definitions.          "Attendance center" means a school building that contains classrooms used for instructional purposes for elementary, middle, or secondary school students.        "Charter school" means a school established in accordance with this chapter.        "Department" means the department of education.        "Education service provider" means an education management organization, charter school management organization, or other person with whom a charter school contracts for educational program implementation of comprehensive management.         "Founding group" means a person, group of persons, or education service provider that develops and submits an application for a charter school to the state board under this chapter.         "Governing board" means the independent board of a charter school whose members are elected or selected pursuant to the charter school contract, subject to the requirements of Iowa Code section 256E.7(11).         "School board" means a board of directors regularly elected by the registered voters of an accredited public school district.         "State board" means the state board of education.

281—19.5(256E) Department duty to monitor.  The department shall monitor the effectiveness of charter schools and shall implement the applicable provisions of this chapter.

281—19.6(256E) General application provisions.  The following general application provisions apply to both the school board-state board and founding group-state board charter establishment models.    19.6(1) Instructions.  The instructions for completing an application shall include or otherwise inform applicants of all of the following:    a.    The performance framework adopted by the state board for charter school oversight and evaluation requirements in accordance with Iowa Code sections 256E.9 and 256E.10.    b.    The criteria the state board will use in evaluating applications.    c.    The requirements concerning the format and content essential for applicants to demonstrate the capacities necessary to establish and operate a successful charter school.    19.6(2) Review.  In reviewing and evaluating charter school applications, the state board shall employ procedures, practices, and criteria consistent with nationally recognized principles and standards for reviewing charter school applications. Each application review shall include:    a.    A thorough evaluation of the written application.    b.    An in-person interview with the founding group.    c.    An opportunity in a public forum for local residents to learn about and provide input on each application.    19.6(3) State board actions following review.  Following review of a charter school application and completion of the process required under subrule 19.6(2), the state board shall do all of the following:    a.    Approve a charter school application only if the founding group has demonstrated competence in each element of the approval criteria and if the founding group is likely to open and operate a successful charter school.    b.    Make application decisions on documented evidence collected through the application review process.    c.    Adhere to the policies and criteria that are transparent, are based on merit, and avoid conflicts of interest or any appearance thereof.    19.6(4) Application approval.  The state board shall approve a charter school application if the application satisfies the requirements of this chapter.    a.    The state board shall approve or deny a charter school application no later than 75 calendar days after the application is received.     b.    If the state board denies an application, the state board shall provide notice of denial to the founding group in writing within 30 days after the state board’s action. The notice shall specify the exact reasons for denial and provide documentation supporting those reasons.     c.    An approval decision may include, if appropriate, reasonable conditions that the founding group must meet before a charter school contract may be executed pursuant to Iowa Code section 256E.6.     d.    An approved charter application shall not serve as a charter school contract.    e.    A decision of the state board relating to an application under this rule is not appealable.    f.    An unsuccessful applicant under this rule may subsequently reapply to the state board.    19.6(5) Application deadlines and timelines.  For school years on or after the school year beginning on July 1, 2023, applications submitted to the state board on or before August 1 of the preceding school year shall be considered for approval for the establishment of the charter school for the next school year. For the school year beginning on July 1, 2022, applications submitted to the state board on or before February 1, 2022, shall be considered for approval for the establishment of the charter school for the next school year.

281—19.7(256E) School board-state board model.  A school board may create a founding group to apply to the state board for approval to establish and operate a charter school within and as a part of the school district by establishing a new attendance center, creating a new school within an existing attendance center, or converting an existing attendance center. The application shall demonstrate the founding group’s academic and operational vision and plans for the proposed charter school, demonstrate the founding group’s capacity to execute the vision and plans, and provide the state board a clear basis for assessing the founding group’s plans and capacity.    19.7(1) School board-state board model application.  An application submitted under this rule shall include all of the following items related to the proposed charter school:    a.    An executive summary.    b.    The mission and vision of the proposed charter school, including identification of the targeted student population and the community the charter school intends to serve.    c.    The location of the proposed charter school or the proposed geographic area within the school district where the school is proposed to be located.    d.    Identification of the grades to be served each school year during the duration of the charter school contract.    e.    Minimum, planned, and maximum enrollment per grade for each school year during the duration of the charter school contract.    f.    Evidence of need and community support for the proposed charter school.     g.    Background information on the members of the founding group and background information on the governing board, administration, and management personnel of the proposed charter school, if available.    h.    The charter school’s proposed operations calendar and sample daily schedule.    i.    A description of the academic program and identification of ways the program aligns with state academic standards.    j.    A description of the charter school’s instructional model, including the type of learning environment, class size and structure, curriculum overview, and teaching methods.    k.    The charter school’s plan for using internal and external assessments to measure and report student progress on the performance framework in accordance with Iowa Code section 256E.9.    l.    Plans for identifying and serving students with disabilities, students who are limited English proficient, students who are academically failing or below grade level, and gifted students, including but not limited to compliance with applicable laws and regulations.    m.    A description of cocurricular and extracurricular programs and how the programs will be funded and delivered.    n.    Plans and timelines for student recruitment, enrollment and transfers, including enrollment preferences and procedures for conducting transparent admissions selections, including admissions lotteries.    o.    The proposed code of student conduct, including applicable procedures and disciplinary sanctions for both general students and special education students.    p.    A chart or description of the charter school’s organizational structure and the duties and powers of each position or group, including the delineation of authority and reporting between the governing board, administration, staff, and any related bodies or external organizations that have a role in managing the charter school.    q.    A staffing chart for the charter school’s first year and a staffing plan for the duration of the charter school contract.    r.    Plans for recruiting and developing school administrators, staff, and governing board members and the charter school’s employment policies, including performance evaluation plans.    s.    Proposed governing bylaws for the charter school.    t.    Identification and explanation of any partnerships or contractual relationships with the founding group or any of the founding group or school board’s members that are related to the charter school’s operations or mission.    u.    The charter school’s plans for providing transportation services, food service, and all other operational or ancillary services.    v.    Proposed opportunities and expectations for parent involvement.    w.    A detailed school start-up plan and five-year plan, including all relevant assumptions used, identifying timelines for charter school finances, budget, and insurance coverage; facility construction, preparation, and contingencies; and the identification of persons or positions responsible for each such item.    x.    Evidence of anticipated fundraising contributions, if any.    y.    Evidence of the founding group’s success in serving student populations similar to that which is proposed in the application and if the founding group operates other charter schools, evidence of past performance of such other charter schools and evidence of the founding group’s capacity for an additional charter school.    z.    A description of the proposed charter school’s staff performance evaluation measures and compensation structure, methods of contract oversight and dispute resolution, investment disclosures, and conflicts of interest.    aa.    A proposed duration and outline of the charter school contract, including designation of roles, authority, and duties of the governing board and the charter school staff.    ab.    The specific statutes and administrative rules with which the charter school does not intend to comply. The department shall provide technical assistance to the applicant concerning statutes and administrative rules that may be waived under the charter school contract in order to facilitate the goals of the charter school.    19.7(2) Conversion of existing attendance center.  If the founding group proposes to establish a charter school by converting an existing attendance center of the school district, the state board shall not approve the application unless the founding group submits evidence that the attendance center’s teachers and parents or guardians of students enrolled at the existing attendance center voted in favor of the conversion. A vote in favor of conversion under this subrule requires the support of a majority of the teachers employed at the school on the date of the vote and a majority of the parents or guardians voting whose children are enrolled at the school, provided that a majority of the parents or guardians eligible to vote participate in the ballot process. Voting could include the following: signing a petition, a ballot, etc. Electronic voting is permitted, provided that it is secure and creates an auditable record. Voting methods must be accessible, including accessible to individuals with a disability. Regardless of the method, documentation is required and must be maintained for inspection by the state board or the department. A parent or guardian voting in accordance with this subrule must be a resident of this state.

281—19.8(256E) Founding group-state board model.  A founding group may apply to the state board for approval to establish and operate a charter school within the boundaries of the state that operates as a new attendance center independently from a public school district. The application shall demonstrate the founding group’s academic and operational vision and plans for the proposed charter school, demonstrate the founding group’s capacity to execute the vision and plans, and provide the state board a clear basis for assessing the founding group’s plans and capacity.    19.8(1) Founding group-state board model application.  An application submitted under this rule shall include all of the following items related to the proposed charter school:    a.    An executive summary.    b.    The mission and vision of the proposed charter school, including identification of the targeted student population and the community the school intends to serve.    c.    The location of the proposed charter school or the proposed geographic area within the state where the school is proposed to be located.    d.    Identification of the grades to be served each school year during the duration of the charter school contract.    e.    Minimum, planned, and maximum enrollment per grade for each school year during the duration of the charter school contract.    f.    Evidence of need and community support for the proposed charter school.    g.    Background information on the members of the founding group and background information on the governing board, administration, and management personnel of the proposed charter school, if available.    h.    The charter school’s proposed operations calendar and sample daily schedule.    i.    A description of the academic program and identification of ways the program aligns with state academic standards.    j.    A description of the charter school’s instructional model, including the type of learning environment, class size and structure, curriculum overview, and teaching methods.    k.    The charter school’s plan for using internal and external assessments to measure and report student progress on the performance framework in accordance with Iowa Code section 256E.9.    l.    Plans for identifying and serving students with disabilities, students who are limited English proficient, students who are academically failing or below grade level, and gifted students, including but not limited to compliance with applicable laws and regulations.    m.    A description of cocurricular and extracurricular programs and how the programs will be funded and delivered.    n.    Plans and timelines for student recruitment, enrollment, and transfers, including enrollment preferences and procedures for conducting transparent admissions selections, including admissions lotteries.    o.    The proposed code of student conduct, including applicable procedures and disciplinary sanctions for both general students and special education students.    p.    A chart or description of the charter school’s organizational structure and the duties and powers of each position or group, including the delineation of authority and reporting between the governing board, staff, and any related bodies or external organizations that have a role in managing the charter school.    q.    A staffing chart for the charter school’s first year and a staffing plan for the duration of the charter school contract.    r.    Plans for recruiting and developing school administrators, staff, and governing board members and the charter school’s employment policies, including performance evaluation plans.    s.    Proposed governing bylaws for the charter school.    t.    Identification and explanation of any partnerships or contractual relationships with an education service provider that are related to the charter school’s operations or mission.    u.    The charter school’s plans for providing transportation services, food service, and all other operational or ancillary services.    v.    Proposed opportunities and expectations for parent involvement.    w.    A detailed school start-up plan and five-year plan, including all relevant assumptions used, identifying timelines for charter school finances, budget, and insurance coverage; facility construction, preparation, and contingencies; and the identification of persons or positions responsible for each such item.    x.    Evidence of anticipated fundraising contributions, if any.    y.    If the application includes a proposal that the governing board contracts with an education service provider, evidence of the education service provider’s success in serving student populations similar to that which is proposed in the application and if the education service provider operates other charter schools, evidence of past performance of such other charter schools and evidence of the education service provider’s capacity for growth.    z.    If the application includes a proposal that the governing board contracts with an education service provider, a description of the education service provider’s staff performance evaluation measures and compensation structure, methods of contract oversight and dispute resolution, investment disclosures, and conflicts of interest.    aa.    A proposed duration and outline of the charter school contract, including designation of roles, authority, and duties of the governing board and the charter school staff.    ab.    The specific statutes and administrative rules with which the charter school does not intend to comply. The department shall provide technical assistance to the applicant concerning statutes and administrative rules that may be waived under the charter school contract in order to facilitate the goals of the charter school.    19.8(2) Special rule.  A charter school application under this rule shall not be approved if the founding group has another pending application under this rule.

281—19.9(256E) Charter school contract.  Within the later of 30 days following approval of a charter school application or upon the satisfaction of all reasonable conditions imposed on the applicant in the charter school approval, if any, an enforceable and renewable charter school contract shall be executed between the founding group and the state board setting forth the academic and operational performance expectations and measures by which the charter school will be evaluated pursuant to Iowa Code sections 256E.9 and 256E.10, rules 281—19.10(256E) and 281—19.13(256E), and the other rights and duties of the parties.     19.9(1) Initial contract.  An initial charter school contract shall be granted for a term of five school budget years. The charter school contract shall include the beginning and ending dates of the charter school contract term.     19.9(2) Delay of opening.  An approved charter school may delay its opening for a period of time not to exceed one school year in order to plan and prepare for the charter school’s opening. If the charter school requires an opening delay of more than one school year, the charter school may request an extension from the state board.    19.9(3) Signed contract.  Each charter school contract shall be signed by the president of the state board and the president or appropriate officer of the governing body of the founding group.    19.9(4) Notification of charter school.  Within 15 days of the execution of a charter school contract entered into by the state board, the state board shall notify the department and the department of management of the name of the charter school and any applicable education service provider, the proposed location of the charter school, and the charter school’s first year projected enrollment.    19.9(5) Commencing operations.  A charter school approved under this chapter shall not commence operations without a valid charter school contract executed in accordance with this rule and approved in an open session of the state board.    19.9(6) Conditions prior to opening.  The contract may provide for requirements or conditions to govern and monitor the start-up progress of an approved charter school prior to the opening of the charter school including but not limited to conditions to ensure that the charter school meets all building, health, safety, insurance, and other legal requirements.    19.9(7) Contract governing multiple charter schools.  A charter school contract may be amended to govern multiple charter schools operated by the same applicant and approved by the state board. However, each charter school that is part of a charter school contract shall be separate and distinct from any other charter school governed by the contract.

281—19.10(256E) Performance framework.  The performance provisions within the charter school contract shall be based on a performance framework that clearly sets forth the academic and operational performance indicators, measures, and metrics that will guide the evaluation of the charter school by the state board, without compromising individual student privacy.     19.10(1)   The performance framework shall include:     a.    Student academic growth and proficiency in English language arts on statewide outcome assessments.    b.    Student academic growth and proficiency in mathematics on statewide outcome assessments.    c.    Achievement gaps in both proficiency and growth on statewide outcome assessments between specified populations or groups of students, including groups based on gender, race, poverty, special education status, limited English proficiency, and gifted status.    d.    Benchmark status on early literacy approved screening measure(s) in grades kindergarten through 3.    e.    Attendance.    f.    Conditions for learning data.    g.    Enrollment attrition and mobility.    h.    Postsecondary readiness for students in grades 9 through 12.    i.    Goals specified in the charter school’s mission.    j.    Financial performance and sustainability.    k.    Governing board performance and stewardship, including compliance with all applicable laws, regulations, and terms of the charter contract.    19.10(2)   Annual performance targets shall be agreed upon between each charter school and the state board. Such performance targets shall be contained in the charter school contract and shall be designed to help each charter school meet applicable federal, state, and local standards. The performance targets contained in the charter school contract may be amended by mutual agreement after the charter school is operating and has collected initial achievement data for the charter school’s students.    19.10(3)   The state board is responsible for collecting, analyzing, and reporting all data from state assessments and other state data sources in accordance with the performance framework. However, all efforts shall be made by all parties to the charter school contract to eliminate or reduce duplicative data reporting requirements.    19.10(4)   Multiple charter schools operating under a single charter school contract shall be required to report performance data as separate, individual schools, with each charter school held independently accountable for performance.    19.10(5)   Each charter school established under this chapter shall be evaluated and ranked by the department pursuant to the attendance center performance ranking system developed and adopted by the department.

281—19.11(256E) General operating powers and duties.  In order to fulfill the charter school’s public purpose, a charter school established under this chapter shall be organized as a nonprofit education organization.    19.11(1) Operating powers.  A charter school established under this chapter shall have all the powers necessary for carrying out the terms of the charter school contract including but not limited to the following, as applicable:    a.    Receive and expend funds for charter school purposes.    b.    Secure appropriate insurance and enter into contracts and leases.    c.    Contract with an education service provider for the management and operation of the charter school so long as the governing board retains oversight authority over the charter school.    d.    Incur debt in anticipation of the receipt of public or private funds.    e.    Pledge, assign, or encumber the charter school’s assets to be used as collateral for loans or extensions of credit.    f.    Solicit and accept gifts or grants for charter school purposes unless otherwise prohibited by law or by the terms of its charter school contract.    g.    Acquire from public or private sources real property for use as a charter school or a facility directly related to the operations of the charter school.    h.    Sue and be sued in the charter school’s own name.    i.    Operate an education program that may be offered by any noncharter public school or school district.    19.11(2) Exemptions.  A charter school established under this chapter is exempt from all state statutes and rules and any local rule, regulation, or policy, applicable to a noncharter school, except that the charter school shall do all of the following:    a.    Meet all applicable federal, state, and local health and safety requirements and laws prohibiting discrimination on the basis of race, creed, color, sex, sexual orientation, gender identity, national origin, religion, ancestry, or disability. If approved under Iowa Code section 256E.4 and rule 281—19.7(256E), the charter school shall be subject to any court-ordered desegregation in effect for the school district at the time the charter school application is approved, unless otherwise specifically provided for in the desegregation order.    b.    Operate as a nonsectarian, nonreligious school.    c.    Be free of tuition and application fees to Iowa resident students between the ages of 5 and 21 years.    d.    Be subject to and comply with Iowa Code chapters 216 and 216A relating to civil and human rights.    e.    Provide special education services in accordance with Iowa Code chapter 256B.    f.    Be subject to the same financial audits, audit procedures, and audit requirements as a school district. The audit shall be consistent with the requirements of Iowa Code sections 11.6, 11.14, 11.19, and 279.29, and Iowa Code section 256.9(20), except to the extent deviations are necessary because of the program at the school. The department, the auditor of state, or the legislative services agency may conduct financial, program, or compliance audits.    g.    Be subject to and comply with the requirements of Iowa Code section 256.7(21) and the educational standards of Iowa Code section 256.11, unless specifically waived by the state board during the application process.    h.    Provide instruction for at least the number of days or hours required by Iowa Code section 279.10(1), unless specifically waived by the state board as part of the application process.    i.    Comply with the requirements of this chapter.    j.    Conduct governing board meetings in a manner that is open to the public. The governing board shall be a governmental body for purposes of Iowa Code chapters 21 and 22. All records, documents, and electronic data of the charter school and of the governing board shall be public records and shall be subject to the provisions of Iowa Code chapter 22 relating to the examination of public records.    19.11(3) Teachers.  A charter school shall employ or contract with teachers, as defined in Iowa Code section 272.1, who hold valid licenses with an endorsement for the type of instruction or service for which the teachers are employed or under contract.    19.11(4) Administrators.  The chief administrator of the charter school shall be one of the following:    a.    An administrator who holds a valid license under Iowa Code chapter 272.    b.    A teacher who holds a valid license under Iowa Code chapter 272.    c.    An individual who holds an authorization to be a charter school administrator issued by the board of educational examiners under Iowa Code chapter 272. The board of educational examiners shall adopt rules for the issuance of such authorizations not later than December 31, 2021, and such authorizations shall only be valid for service or employment as a charter school administrator.    19.11(5) Admissions.  A charter school shall not discriminate in its student admissions policies or practices on the basis of intellectual or athletic ability, measures of achievement or aptitude, or status as a person with a disability. However, a charter school may limit admission to students who are within a particular range of ages or grade levels or on any other basis that would be legal if initiated by a school district. Enrollment priority shall be given to the siblings of students enrolled in a charter school.    19.11(6) Enrollment.  A charter school shall enroll an eligible student who submits a timely application unless the number of applications exceeds the capacity of a program, class, grade level, or building. In this case, students must be accepted by lot. Upon enrollment of an eligible student, the charter school shall notify the public school district of residence not later than March 1 of the preceding school year.    19.11(7) Governing board.      a.    Each charter school governing board shall be required to adopt a conflict of interest policy and a code of ethics for all board members and employees.    b.    Each charter school governing board shall adopt a policy regarding the hiring of family members to avoid nepotism in hiring and supervision. The policy shall include but is not limited to a disclosure to the governing board of potential nepotism in hiring and supervision. Any person subject to the policy with a conflict shall not be involved in the hiring decision or supervision of a potential employee.    c.    Individuals compensated by an education service provider are prohibited from serving as a voting member on the governing board of any charter school unless the state board waives such prohibition.    d.    If the charter school is operated by an education service provider, the governing board of the charter school shall have access to all records of the education service provider that are necessary to evaluate any provision of the contract or evaluate the education service provider’s performance under the contract.    e.    A majority of the membership of each charter school’s governing board shall be residents of the geographic area served by the charter school. Each member of the governing board who is not a resident of the geographic area served by the charter school must be a resident of this state.    f.    The governing board shall post the charter school’s annual budget on the charter school’s Internet site for public viewing within ten days of approval of the budget. Each posted budget shall continue to be accessible for public viewing on the Internet site for all subsequent budget years.    19.11(8) Rule of construction.  To be exempt from a law or rule pursuant to subrule 19.11(2), a charter school must list that law or rule in its application, pursuant to paragraph 19.7(1)“ab” or 19.8(1)“ab.”

281—19.12(256E) Funding.      19.12(1)   Each student enrolled in a charter school established under this chapter shall be counted, for state school foundation purposes, in the student’s district of residence pursuant to Iowa Code section 257.6(1)“a”(9), including any applicable amounts under Iowa Code section 256B.9. For purposes of this rule, residence means a residence under Iowa Code section 282.1.    19.12(2)   The school district of residence shall pay to the charter school in which the student is enrolled in the manner required under Iowa Code section 282.18, and pursuant to the timeline in Iowa Code section 282.20(3), an amount equal to the sum of the state cost per pupil for the previous school year, plus the teacher leadership supplement state cost per pupil for the previous fiscal year as provided in Iowa Code section 257.9, plus any moneys received for the student as a result of the non-English speaking weighting under Iowa Code section 280.4(3) for the previous school year, multiplied by the state cost per pupil for the previous year. If a student is an eligible pupil under Iowa Code section 261E.6, the charter school shall pay the tuition reimbursement amount to an eligible postsecondary institution as provided in Iowa Code section 261E.7.    19.12(3)   For a student requiring special education, the school district of residence shall pay to the charter school the actual costs incurred in providing the appropriate special education.     19.12(4)   For each student enrolled in the charter school who was not included in the actual enrollment of the district of residence under Iowa Code section 257.6(1) in the previous school year, the amount otherwise required to be paid under subrule 19.12(2) or 19.12(3) shall instead be paid by the department to the charter school for the student’s initial year of enrollment in the charter school.    19.12(5)   There is appropriated annually from the general fund of the state to the department of education an amount necessary to pay all applicable amounts to charter schools under subrule 19.12(4).    19.12(6)   The charter school shall complete and provide to the students’ school districts of residence all documentation necessary to seek Medicaid reimbursement for eligible services.    19.12(7)   If necessary, and pursuant to rules adopted by the state board, funding amounts required under this rule for the first school year of a new charter school shall be based on enrollment estimates for the charter school included in the charter school contract. Initial amounts paid using estimated enrollments shall be reconciled during the subsequent payment based on actual enrollment of the charter school during the first school year.

281—19.13(256E) Oversight—corrective action—contract renewal—revocation.      19.13(1) Monitoring.  The state board shall monitor the performance and compliance of each charter school the state board approves, including collecting and analyzing data according to the charter school contract in order to meet the requirements of this chapter. Such oversight may include inquiries and investigation of the charter school so long as the activities are consistent with the intent of this chapter, adhere to the terms of the charter school contract, and do not unduly inhibit the autonomy granted to the charter school. Any performance report resulting from an inquiry or investigation under this rule shall, upon conclusion of such action, be included in the annual report required under Iowa Code section 256E.12.    19.13(2) Annual report.  As part of the charter school contract, the charter school shall submit an annual report to assist the state board in evaluating the charter school’s performance and compliance with the performance framework.    19.13(3) Noncompliance or unsatisfactory performance.  If a charter school’s performance under the charter school contract or compliance with applicable laws or rules is unsatisfactory, the state board shall notify the charter school of the perceived problem and provide reasonable opportunity for the school to remedy the problem, unless the problem warrants revocation, in which case the revocation provisions of this rule apply.    19.13(4) Corrective actions and sanctions.  The state board may take appropriate corrective actions or impose sanctions, other than revocation, in response to deficiencies in the charter school’s performance or compliance with applicable laws and rules. Such actions or sanctions may include requiring the charter school to develop and execute a corrective action plan within a specified time period.    19.13(5) Renewal.  A charter school contract may be renewed for periods of time not to exceed an additional five years.     19.13(6) Charter school performance report.  Annually, by June 30, the state board shall issue a charter school performance report and charter school contract renewal application guidance to each charter school whose charter school contract will expire during the following school budget year. The performance report shall summarize the charter school’s performance record to date based on the data required by the charter school contract and by this chapter and shall identify concerns that may jeopardize renewal of the charter school contract if not remedied. The charter school shall have 60 days to respond to the performance report and submit any corrections or clarifications for the report.    19.13(7) Renewal application guidance.  The renewal application guidance shall, at a minimum, include the criteria that will be used when assessing charter school contract renewal decisions and provide an opportunity for the charter school to:    a.    Present additional evidence beyond the data contained in the performance report.    b.    Describe improvements undertaken or planned for the charter school.    c.    Describe the charter school’s plans, including any proposed modifications, for the next charter school contract term.    19.13(8) Application deadlines.  No later than October 1, the governing board of a charter school seeking renewal shall submit a renewal application to the state board pursuant to the renewal application guidance. A renewal or denial shall be approved by resolution of the state board within 60 days following the filing of the renewal application.    19.13(9) State board responsibilities.  Unless eligible for expedited renewal under subrule 19.13(13), when reviewing a charter school contract renewal application, the state board shall do all of the following:    a.    Use evidence of the school’s performance over the term of the charter school contract in accordance with the applicable performance framework.    b.    Ensure that data used in making renewal decisions is available to the charter school and the public.    c.    Provide a report summarizing the evidence that served as a basis for the decision.    19.13(10) Revocation or nonrenewal.  A charter school contract may be revoked at any time or not renewed if the state board determines that the charter school did any of the following:    a.    Committed a material violation of any of the terms, conditions, standards, or procedures required under the charter school contract or this chapter.    b.    Failed to meet or make sufficient progress toward the performance expectations set forth in the charter school contract.    c.    Failed to meet generally accepted standards of fiscal management.    d.    Violated a provision of law from which the charter school was not exempted.    19.13(11) Contract revocation and nonrenewal standards and procedures.  The state board shall develop charter school contract revocation and nonrenewal standards and procedures that do all of the following:    a.    Provide the charter school with a timely notice of the possibility of revocation or nonrenewal and of the reasons therefor.    b.    Allow the charter school a reasonable period of time in which to prepare a response to any notice received.    c.    Provide the charter school an opportunity to submit documents and give testimony challenging the decision to revoke the charter school contract or the decision to not renew the contract.    d.    Allow the charter school the opportunity to hire legal representation and to call witnesses.    e.    Permit the audio or video recording of such proceedings described in paragraphs 19.13(11)“c” and “d.”    f.    Require a final decision to be conveyed in writing to the charter school.    19.13(12) Reasons for revocation or nonrenewal.  A decision to revoke or to not renew a charter school contract shall be by resolution of the state board and shall clearly state the reasons for the revocation or nonrenewal.     19.13(13) Expedited renewal.  If a charter school has been evaluated and graded to be in the exceptional category on the attendance center rankings, or the highest rated category under a succeeding evaluation system, under the evaluation and grading required under Iowa Code section 256E.9(5), for the immediately preceding two school years, and the charter school is in compliance with the current charter school contract and all provisions of this chapter, the charter school’s application renewal under subrule 19.13(8) shall be renewed for an additional period of time equal to the length of the original charter school contract or the most recent renewal of the contract, whichever is longer, unless the state board provides written notice to the charter school of the state board’s rejection of the expedited renewal within 60 days of the filing of the application. The state board shall not reject an expedited renewal application unless the state board finds exceptional circumstances for the rejection or seeks material changes to the charter school contract.

281—19.14(256E) Procedures for charter school closure—student enrollment.      19.14(1)   Prior to any charter school closure decision, the state board shall develop a charter school closure protocol to ensure timely notice to parents and guardians, provide for the orderly transition of students and student records to new schools, and provide proper disposition of school funds, property, and assets in accordance with the requirements of this chapter. The protocol shall specify required actions and timelines and identify responsible parties for each such action.    19.14(2)   In the event of a charter school closure, the assets of the charter school shall be used first to satisfy outstanding payroll obligations for employees of the school, then to creditors of the school, then to the public school district in which the charter school operated, if applicable, and then to the state general fund. If the assets of the charter school are insufficient to pay all obligations of the charter school, the prioritization of the distribution of assets shall be consistent with this subrule and otherwise determined by the district court.

281—19.15(256E) Reports.      19.15(1) Annual report.  Each charter school shall prepare and file an annual report with the department. The department shall prescribe by rule the required contents of the report, but each such report shall include information regarding student achievement, including annual academic growth and proficiency, graduation rates, and financial performance and sustainability. The reports are public records, and the examination, publication, and dissemination of the reports are governed by the provisions of Iowa Code chapter 22. The annual report is due to the department October 1 and shall include data for the prior school year. Required content includes:    a.    The charter school’s mission statement, including a vision statement and goals, as well as data measuring goal attainment.    b.    Student demographics, disaggregated by grade level and protected characteristics.    c.    Attendance statistics and dropout rate (average daily attendance, dropout rate, student mobility).    d.    Graduation data, including four-year and five-year graduation rates, credit accrual, and number of students on track for graduation.    e.    Student achievement, including annual academic growth and proficiency, including Iowa statewide assessment of student progress (ISASP) data, other assessment data, and aggregate assessment test scores.    f.    Financial performance, including projections of financial stability.    g.    The number and qualifications of teachers and administrators.    h.    Sustainability data, including enrollment trends, staff satisfaction, and parent and student satisfaction.    19.15(2) Annual financial report.  Each charter school shall submit a Certified Annual Report consistent with the requirements of 281—Chapter 99. The annual financial report is due to the department by September 15.    19.15(3) Report to general assembly.  The state board shall prepare and file with the general assembly by December 1, annually, a comprehensive report with findings and recommendations relating to the charter school program in the state and whether the charter school program under this chapter is meeting the goals and purposes of the program. The report also shall contain, for each charter school, a copy of the charter school’s mission statement, attendance statistics and dropout rate, aggregate assessment test scores, projections of financial stability, and the number and qualifications of teachers and administrators.

281—19.16(256E) Operation of existing charter schools.  Charter schools established pursuant to Iowa Code chapter 256F and 281—Chapter 68 prior to July 1, 2021, shall continue to operate pursuant to those chapters and shall not be subject to the requirements of this chapter and of Iowa Code chapter 256E.       These rules are intended to implement Iowa Code chapter 256E as enacted by 2021 Iowa Acts, House File 813, as amended by 2021 Iowa Acts, House File 847.

    ITEM 2.    Adopt the following new rule 281—68.8(256F):

281—68.8(256F) Transition—operation of existing charter schools.  The state board shall not approve a new charter school under this chapter and Iowa Code chapter 256F on or after July 1, 2021. Charter schools established pursuant to this chapter and Iowa Code chapter 256F prior to July 1, 2021, shall continue to operate pursuant to those chapters and shall not be subject to the requirements of Iowa Code chapter 256E or 281—Chapter 19.

    ITEM 3.    Amend 281—Chapter 68, implementation sentence, as follows:       These rules are intended to implement Iowa Code chapter 256F as amended by 2010 Iowa Acts, Senate File 20332021 Iowa Acts, House File 813.
ARC 5959CLabor Services Division[875]Notice of Intended Action

Proposing rule making related to fact-finding interviews regarding contractor registration revocation and providing an opportunity for public comment

    The Labor Commissioner hereby proposes to amend Chapter 150, “Construction Contractor Registration,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 91C.6.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 91C.5.Purpose and Summary    For a contractor that no longer meets the criteria for registration, Iowa Code section 91C.5 establishes a revocation procedure requiring a fact-finding interview to assure that a contractor is not in compliance with registration requirements. Subrule 150.11(3), which relates to Iowa Code section 91C.5, defaults to an in-person fact-finding interview with an option for a telephone interview. The proposed amendment to subrule 150.11(3) defaults to a telephone fact-finding interview with videoconference as an option, but also provides for a contractor to request an in-person fact-finding interview at least 72 hours before the interview is scheduled to begin.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 Commissioner for a waiver of the discretionary provisions, if any, pursuant to 875—Chapter 1.Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Commissioner no later than 4:30 p.m. on October 27, 2021. Comments should be directed to: Kathleen Uehling Division of Labor Services 150 Des Moines Street Des Moines, Iowa 50309 Email: kathleen.uehling@iwd.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: October 27, 2021 1 p.m. 150 Des Moines Street Des Moines, Iowa    Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.     Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Commissioner and advise of specific needs. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making action is proposed:

    ITEM 1.    Amend subrule 150.11(3) as follows:    150.11(3) Fact-finding interview.  The purpose of the fact-finding interview is to ensure the contractor is not in compliance before the registration is revoked. All fact-finding interviews shall be held in the offices of the division. A telephone interview may be conducted upon request.The contractor may file a request for an in-person fact-finding interview at least 72 hours before the fact-finding interview is scheduled to begin. Otherwise, the fact-finding interview will be conducted by telephone. The contractor may notify the fact finder of a telephone number to use at least 24 hours before the fact-finding interview is scheduled to begin. Otherwise, the fact finder shall call the number on file for the contractor. The fact-finding interview may be conducted via videoconference if the fact finder and the contractor make arrangements in advance.
ARC 5962CLaw Enforcement Academy[501]Notice of Intended Action

Proposing rule making related to jailer training and providing an opportunity for public comment

    The Law Enforcement Academy hereby proposes to amend Chapter 1, “Organization and Administration,” and Chapter 2, “Minimum Standards for Iowa Law Enforcement Officers”; to rescind Chapter 4, “Instructor Certification Criteria for Approved Regional Law Enforcement Training Facilities,” and adopt a new Chapter 4, “Instructor Certification Criteria for the Training of Peace Officers, Reserve Officers, Jailers and Public Safety Telecommunicators”; to amend Chapter 7, “Public Records and Fair Information Practices”; to rescind Chapter 9, “Jailer Training,” and adopt a new Chapter 9 with the same title; to rescind Chapter 10, “Reserve Peace Officers,” and adopt a new Chapter 10 with the same title; and to amend Chapter 11, “Salvage Vehicle Theft Examinations,” and Chapter 13, “Public Safety Telecommunicator Training Standards,” Iowa Administrative Code. Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 80B.11, 80B.11A, 80B.11C, 80D.3, 80D.4 and 321.52.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapters 80B and 80D and 2021 Iowa Acts, Senate File 230.Purpose and Summary    The Iowa Law Enforcement Academy, in consultation with the Iowa Department of Corrections, the Iowa State Sheriffs and Deputies Association and the Iowa Peace Officers Association, has updated the requirements and standards for jailer training. The proposed amendments include formalizing topics for jailer instruction, providing guidance for online vendors, and changing how the Academy certifies instructors for the training of jailers, peace officers and public safety communicators. Additionally, the Academy is proposing amendments to the Peace Officer Reserve Program to provide more guidance to agencies as the Academy introduces its online reserve training program. The proposed amendments to Chapter 11 are a response to the change in the definition of “wrecked or salvage vehicle” made by 2021 Iowa Acts, Senate File 230.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 Academy Council for a waiver of the discretionary provisions, if any, pursuant to 501—Chapter 16.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 Academy no later than 4:30 p.m. on October 26, 2021. Comments should be directed to: Russell Rigdon Iowa Law Enforcement Academy Building 4640 P.O. Box 130 Johnston, Iowa 50131 Email: russell.rigdon@iowa.govPublic Hearing     No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend rule 501—1.1(80B), definition of “General jailer instructors,” as follows:        "General jailer instructors" will be those instructing in subjects clearly related to the operation of a jailmeans peace officers, jailers, jail administrators or public safety telecommunicators instructing in subjects relevant to their profession.

    ITEM 2.    Rescind the definitions of “Guest lecturer,” “Professional jailer instructors” and “Recognized expert” in rule 501—1.1(80B).

    ITEM 3.    Adopt the following new definition of “Subject matter expert” in rule 501—1.1(80B):        "Subject matter expert" means those instructors responsible for a subject requiring a specialized academic degree, certification, licensure or experience.

    ITEM 4.    Amend subrule 2.1(9) as follows:    2.1(9)   Has an uncorrected vision of not less than 20/100 in both eyes, corrected to 20/20. Has, and has color vision consistent with the occupational demands of law enforcement.     a.    Passing any of the following color vision tests indicates that the applicant has color vision abilities consistent with the occupational demands of law enforcement:    (1)   Pseudoisochromatic plates tests such as but not limited to: Tokyo Medical College, Ishihara, Standard Pseudoisochromatic Plates, Dvorine, American Optical HRR Plates, American Optical.    (2)   Panel tests such as:Farnsworth Dichotomous D-15 Test or any other test designed and documented to identify extreme anomalous trichromatic, dichromatic or monochromatic color vision.    b.    Color corrective lenses may not be used by an applicant during the testing process pursuant to the American College of Occupational and Environmental Medicine (ACOEM) Guidance for the Medical Evaluation of Law Enforcement Officers.    c.    Individuals with extreme anomalous trichromatism or monochromasy color vision, as determined through testing, are not eligible to be hired as law enforcement officers in the state of Iowa.

    ITEM 5.    Amend rule 501—2.2(80B), introductory paragraph, as follows:

501—2.2(80B) Mandatory psychological testing and administrative procedures.  In no case shall any person be selected or appointed as a law enforcement officer unless that person has performed satisfactorily in preemployment cognitive or personalitypsychological tests, or both, prescribed by the Iowa law enforcement academy.

    ITEM 6.    Amend subrule 2.2(2) as follows:    2.2(2) Required personalitypsychological test.      a.    The Minnesota Multiphasic Personality Inventory 2 (MMPI-2), Minnesota Multiphasic Personality Inventory 2-Restructured Form (MMPI-2-RF) or Minnesota Multiphasic Personality Inventory 3 (MMPI-3) test shall be taken by all applicants in the final selection process for a law enforcement position.    b.    The prescribed personalitypsychological test for an applicant in the final selection process shall be administered, scored and interpreted by the academy or by an individual who has been approved by the academy. The prescribed personalitypsychological test for an applicant in the final selection process shall be evaluated by the Iowa law enforcement academy. These tests shall be evaluated and test results and evaluations shall be forwarded to a law enforcement agency for selection purposes only by the Iowa law enforcement academy upon proper waiver by the applicant.

    ITEM 7.    Amend paragraph 2.2(3)"c" as follows:    c.    The administration of the Stanard & Associates’ National Police Officer Selection Test (POST)POST test and the Minnesota Multiphasic Personality Inventory 2 (MMPI-2)MMPI-2, MMPI-2-RF or MMPI-3 shall be in accordance with directions of the Iowa law enforcement academy.

    ITEM 8.    Amend subrule 2.2(5) as follows:    2.2(5) PersonalityPsychological tests.      a.    Those law enforcement agencies which choose to administer, score, or interpret the MMPI-2, MMPI-2-RF or MMPI-3 without using the academy’s testing services shall forward to the academy psychological testing information on any individual hired within 14 days of the date hired. Such information shall include, but not be limited to, all scores from MMPI-2, MMPI-2-RF or MMPI-3 scales used in the evaluation,; the MMPI-2, MMPI-2-RF or MMPI-3 answer sheet,; and any resulting reports.    b.    The Minnesota Multiphasic Personality Inventory 2 (MMPI-2)MMPI-2, MMPI-2-RF or MMPI-3 test may be administered to applicants who are not in the final selection process.

    ITEM 9.    Amend paragraph 2.2(7)"b" as follows:    b.    Forwarding of Minnesota Multiphasic Personality Inventory 2 (MMPI-2)MMPI-2, MMPI-2-RF or MMPI-3 test results. The evaluation by the Iowa law enforcement academy of Minnesota Multiphasic Personality Inventory 2MMPI-2, MMPI-2-RF or MMPI-3 tests will be available to any prospective employing agency upon request and proper waiver by the applicant for a minimal handling fee.

    ITEM 10.    Amend paragraph 2.2(8)"a" as follows:    a.    The Iowa law enforcement academy evaluations of the Minnesota Multiphasic Personality Inventory 2MMPI-2, MMPI-2-RF or MMPI-3 may only be used for 12 months to comply with these testing rules. Any applicant who has not been hired or placed upon a civil service certified list within 12 months of taking the Minnesota Multiphasic Personality Inventory 2MMPI-2, MMPI-2-RF or MMPI-3 test must retake the examination and, before the applicant is hired, the results of the examination must be considered by the hiring authority.

    ITEM 11.    Rescind 501—Chapter 4 and adopt the following new chapter in lieu thereof: CHAPTER 4INSTRUCTOR CERTIFICATION CRITERIA FOR THE TRAINING OF PEACE OFFICERS, RESERVE OFFICERS, JAILERS AND PUBLIC SAFETY TELECOMMUNICATORS

501—4.1(80B,80D) Instructors for the training of peace officers, reserve officers, jailers and public safety telecommunicators.      4.1(1) Instructor designation.  All instructors will be designated as either general or a subject matter expert (SME). General instructors will be peace officers, jailers, jail administrators or public safety telecommunicators instructing in subjects relevant to their profession. Subject matter expert instructors will be those instructing subjects in the areas requiring a specialized academic degree, certification, licensure or experience. Final decision as to whether an instructor is in the general or SME area rests with the academy council or the academy director.    4.1(2) Certification of instructors.  All certification of instructors will be the responsibility of the academy council.    4.1(3) Request for instructional certification.      a.    All instructors requesting certification must submit this request to the academy council on an application which can be obtained from the Iowa law enforcement academy. Minimum qualifications for the certification of instructors (general and subject matter expert) apply to all applicants.    b.    All applications for instructors must be submitted to the academy 20 days prior to a regularly scheduled academy council meeting. Any applications not received 20 days prior to a regularly scheduled meeting may not be considered and may be added to the agenda of the next subsequent meeting.    4.1(4) Instructor qualifications.  Instructors will be certified on the basis of minimum qualifications in the areas of education, training, experience and background. The actual evaluation and selection of instructors will remain the responsibility of the administrator who is ultimately responsible for the instruction provided.    4.1(5) Granting or revocation of instructor certification.      a.    All instructor certification will be issued for a period of three years. At the end of a three-year period, certification may be renewed if the instructor has successfully completed renewal training requirements, has instructed in a certified training program during the three-year period, remains in good standing, and is recommended by the administrator under whose supervision the individual has instructed.    b.    The certification may be revoked in writing at the discretion of the academy council or the academy director. In the event of denial of recertification or revocation of certification, the certificate holder may file a written notice of appeal to the academy council within 30 days of notification of the action. The appeal notice should be addressed to Director, Iowa Law Enforcement Academy, P.O. Box 130, Johnston, Iowa 50131. A hearing on this matter will be held by the academy council within 60 days of the receipt of the appeal notice.    c.    Good standing determination is in the sole discretion of the academy council or academy director. A person who has been dismissed for good cause from previous employment; who leaves, who voluntarily quits, or whose position is eliminated when disciplinary action was imminent or pending that could have resulted in removal for good cause as defined in rule 501—1.1(80B); or who is currently involved in the decertification process shall not be considered in good standing.     4.1(6) Responsibility for ensuring instructional excellence.  It is the continuing responsibility of the administrator to ensure that the instructors are assigned only topics that they are qualified to teach and are supervised on a regular basis to ensure that instructional excellence is maintained.    4.1(7) Endorsement of application for instructor certification.  Applications for instructor (general or subject matter expert) certification will be endorsed by the administrator and, where applicable, by the applicant’s department head.

501—4.2(80B,80D) Minimum qualifications for certification of instructor (general).      4.2(1) Experience and training.  The following are minimum experience and training requirements that an instructor (general) must meet in order to become certified:    a.    A minimum of three years’ certified experience (peace officer, jailer or public safety telecommunicator) with a majority portion of this experience in the subject area to be instructed; and     b.    Successful completion of an instructor training course consisting of a minimum of 16 hours of instruction or have provided a minimum of 60 hours of instruction within the past three years and be able to verify the same upon request.    4.2(2) Specific requirements to instruct specialized areas.  Special training or valid certification is required to instruct certain subject areas, including but not limited to those listed below:    a.    Arson and bombing instructor.Must have attended a specialty school in police/military explosives handling and a recognized arson school.    b.    Collision investigation instructor.Must have successfully completed a two-week collision investigation school at the Iowa law enforcement academy or other training recognized by the Iowa law enforcement academy.    c.    Defensive tactics instructor.Must have successfully completed a defensive tactics instructor school at the Iowa law enforcement academy or other training recognized by the Iowa law enforcement academy.    d.    Fingerprint instructor.Must have successfully completed the basic and advanced Federal Bureau of Investigation fingerprint schools or a program approved by the Iowa law enforcement academy.    e.    Firearms instructor.Must have successfully completed a firearms instructor school at the Iowa law enforcement academy or other training recognized by the Iowa law enforcement academy.    f.    Iowa law enforcement emergency care provider instructor.Must be certified as an ILEECP by the Iowa law enforcement academy or maintain current emergency medical care provider, or higher level of medical certification.    g.    Less lethal and chemical munitions instructor.Must have attended a school recognized by the Iowa law enforcement academy in less lethal and chemical munitions.    h.    OWI/implied consent and standardized field sobriety test (SFST) instructor.Must have successfully completed a standardized field sobriety test instructor school at the Iowa law enforcement academy or other training recognized by the Iowa law enforcement academy.    i.    Precision driving instructor.Must have successfully completed a precision driving instructor school at the Iowa law enforcement academy or other training recognized by the Iowa law enforcement academy.

501—4.3(80B,80D) Minimum qualifications for certification (subject matter expert).      4.3(1) Experience, education and background.  The following are minimum experience and training requirements that an instructor (subject matter expert) must meet in order to become certified:    a.    Must have a minimum of three years’ experience in the subject area to be instructed; and    b.    Must have at least a baccalaureate degree in the subject area or related field unless further education is required; a current license or certification in the subject area; and    c.    Must be recommended by the administrator who shall consider the reputation, conduct, stability, and ability of the person being recommended.    4.3(2)   Reserved.

501—4.4(80B,80D) Online vender certification.      4.4(1) Experience, education and background.  Online vendors applying to become certified instructors are required to meet the minimum qualifications in the area of education, training, experience and background as outlined in this chapter.    4.4(2) Jail training.      a.    Vendors seeking certification for annual jailer in-service training will be requested to provide information detailing the extent to which their materials address Iowa-specific topics and reference the following sources:     (1)   Suicide prevention/mental illness (201—subrule 50.15(6)).    (2)   Prison rape elimination act (PREA) (Title 42 U.S.C. 147).    (3)   Bloodborne pathogens (OSHA standard as set out in CFR Part 1910.1030(g)(2)).    (4)   Legal:    1.   Grievance and disciplinary procedures (201—subrule 50.21(4)).    2.   Constitutional rights of inmates (201—Chapter 50).    3.   Introduction to Iowa criminal law as applicable to a jail setting (201—Chapter 50).    4.   Affirmative duty to intervene/intercede (Iowa Code section 80B.11G).    5.   Use of force (Iowa Code sections 704.1, 704.2, 704.2A, 704.2B, 704.8).    (5)   Cultural diversity including implicit bias (Iowa Code section 80B.11G).    (6)   Communication skills including de-escalation (Iowa Code section 80B.11G).    (7)   Medical screening at intake (201—subrule 50.15(6)).    (8)   Medication management (201—subrule 50.15(2)).    (9)   Jail standards (201—Chapter 50).    b.    The jail administrator will verify that the vendors being used for training meet the requirements outlined in subrule 4.4(1) and paragraph 4.4(2)“a.”    4.4(3) Peace officer training.  Vendors seeking certification for annual peace officer in-service training will be requested to provide information detailing the extent to which their materials address Iowa-specific topics and reference the following sources:     a.    Cultural diversity including implicit bias (Iowa Code section 80B.11G).    b.    Communication skills including de-escalation (Iowa Code section 80B.11G).    c.    Use of force (Iowa Code sections 704.1, 704.2, 704.2A, 704.2B, 704.8).    4.4(4) Application.  Online vendors must make application and are subject to council approval. Certifications are valid for one year and may be renewed by the council upon reapplication.       These rules are intended to implement Iowa Code sections 80B.11, 80B.11A, 80B.11C and 80D.4.

    ITEM 12.    Amend subrule 7.13(9) as follows:    7.13(9) Psychological testing.  These files contain information concerning a law enforcement applicant’s test scores regarding cognitive and personalitypsychological tests mandated by Iowa Code section 80B.11(1)“g.” In these files other psychological examinations requested by hiring agencies are also stored by a personal identifier. Some of this information may be confidential pursuant to Iowa Code section 22.7(19). Law enforcement officers interested in the results of their psychological testing should contact the hiring agency that authorized the testing. This information is maintained in both computerized and paper form.

    ITEM 13.    Rescind 501—Chapter 9 and adopt the following new chapter in lieu thereof: CHAPTER 9JAILER TRAINING

501—9.1(80B) Jailer training.      9.1(1) Basic training.  All jail administrators shall meet the following requirements within six months of appointment. Jailers shall meet the following requirements within one year of employment or assignment:    a.    Successful completion of a 40-hour training program approved by the academy or the National Sheriffs’ Association correspondence course. Either course must be appropriately documented to reflect course content, length of session, and instructor(s). All instructors presenting in the 40-hour training program shall be certified by academy personnel utilizing certification standards adopted by the academy (rule 501—4.1(80B,80D)). It shall be the responsibility of the training program administrator to make certain all instructors are certified and the training program is approved.    b.    Approved 40-hour training program curriculums shall include the following topics:    (1)   Suicide prevention/mental illness (201—paragraph 50.15(6)“c”).    (2)   Prison rape elimination act (PREA) (Title 42 U.S.C. 147).    (3)   Bloodborne pathogens (OSHA standard as set out in CFR Part 1910.1030(g)(2)).    (4)   Legal: training topics in paragraphs “1” through “5” below must include references to the Iowa Code, jail standards and relevant case law.    1.   Grievance and disciplinary procedures (201—subrule 50.21(4)).    2.   Constitutional rights of inmates (201—Chapter 50).    3.   Introduction to Iowa criminal law as applicable to a jail setting (201—Chapter 50).    4.   Affirmative duty to intervene/intercede (Iowa Code section 80B.11G).    5.   Use of force (Iowa Code sections 704.1, 704.2, 704.2A, 704.2B, 704.8).    (5)   Cultural diversity including implicit bias (Iowa Code section 80B.11G).    (6)   Communication skills including de-escalation (Iowa Code section 80B.11G).    (7)   Methods of restraining violent inmates.    (8)   Medical screening at intake (201—subrule 50.15(6)).    (9)   Supervision of inmates.    (10)   Report writing.    (11)   DNA submissions.    (12)   Fingerprinting.    (13)   Medication management (201—subrule 50.15(2)).    (14)   Security procedures/cell and area searches.    (15)   Jail standards (201—Chapter 50).    (16)   Juveniles in custody.    c.    First aid and cardiopulmonary resuscitation (CPR).    (1)   The individual shall hold a current course completion card in CPR, automated external defibrillator (AED) and foreign body airway obstruction for adults according to national standards defined by the International Liaison Committee on Resuscitation (ILCOR) and recognized by the Iowa law enforcement academy.    (2)   The individual shall be trained in first aid according to national standards recognized by the Iowa law enforcement academy or shall hold certification as an Iowa law enforcement emergency care provider (ILEECP), emergency medical responder, licensed practical nurse, registered nurse, or medical practitioner or hold other similar certification in the state of Iowa.    (3)   All certification or licensure required by this rule must thereafter be maintained current according to the standards of the certifying or licensing agency.    9.1(2) Annual jailer in-service curriculum.  During each fiscal year of employment following completion of the required basic training as set forth in subrule 9.1(1), jailers and the administrator of a jail shall complete 20 hours of in-service training, not to include proficiency in chemical agents or firearms qualification. All instructors shall be certified by academy personnel utilizing certification standards adopted by the academy.    a.    The following is a list of annually (every year) required topics: 12 hours    (1)   Suicide prevention/mental illness (201—paragraph 50.15(6)“c”) 3 hours minimum    (2)   Prison rape elimination act (PREA) (Title 42 U.S.C. 147) 1 hour minimum    (3)   Emergency evacuation plan (201—subrule 50.9(3))    (4)   Bloodborne pathogens (OSHA standard as set out in CFR Part 1910.1030(g)(2)) 1 hour minimum    (5)   Legal: training topics in paragraphs “1” through “5” must include references to the Iowa Code, jail standards and relevant case law 2 hours    1.   Grievance and disciplinary procedures (201—subrule 50.21(4))    2.   Constitutional rights of inmates (201—Chapter 50)    3.   Introduction to Iowa criminal law as applicable to a jail setting (201—Chapter 50)    4.   Affirmative duty to intervene/intercede (Iowa Code section 80B.11G)    5.   Use of force (Iowa Code sections 704.1, 704.2, 704.2A, 704.2B, 704.8)    (6)   Cultural diversity including implicit bias (Iowa Code section 80B.11G) 2 hours minimum    (7)   Communication skills including de-escalation (Iowa Code section 80B.11G) 1 hour minimum    (8)   Methods of restraining violent inmates 1 hour minimum    (9)   Medical screening at intake (201—subrule 50.15(6)) 1 hour minimum    b.    Required biannually (every two years):CPR/AED/airway obstruction – adult 4 hours    c.    Eight hours of additional training selected by the jail administrator or sheriff.

501—9.2(80B) Holding facility personnel training.      9.2(1) Basic training.  All appointed facility administrators and designees shall meet the following requirements within one year of employment or assignment:    a.    Facility administrators and supervisors employed in holding facilities shall receive ten hours of training within the first year of employment. This training shall include the following required topics or comparable course content:    (1)   Suicide prevention/mental illness (201—paragraph 50.15(6)“c”).    (2)   Prison rape elimination act (PREA) (Title 42 U.S.C. 147).    (3)   Legal: training topics in paragraphs “1” through “5” must include references to the Iowa Code, jail standards and relevant case law.    1.   Grievance and disciplinary procedures (201—subrule 50.21(4)).    2.   Constitutional rights of inmates (201—Chapter 50).    3.   Introduction to Iowa criminal law as applicable to a jail setting (201—Chapter 50).    4.   Affirmative duty to intervene/intercede (Iowa Code section 80B.11G).    5.   Use of force (Iowa Code sections 704.1, 704.2, 704.2A, 704.2B, 704.8).    (4)   Security procedures.    b.    First aid and CPR.    (1)   The individual shall hold a current course completion card in CPR, AED and foreign body airway obstruction for adults according to national standards defined by the ILCOR and recognized by the Iowa law enforcement academy.    (2)   The individual shall be trained in first aid according to national standards recognized by the Iowa law enforcement academy, or shall hold certification as an ILEECP, emergency medical responder, licensed practical nurse, registered nurse, or medical practitioner or hold other similar certification in the state of Iowa.    (3)   All certification or licensure required by this rule must thereafter be maintained current according to the standards of the certifying or licensing agency.    9.2(2) Annual holding facility in-service curriculum.      a.    Administrators and supervisors of holding facilities shall complete five hours of in-service training, not to include hours spent in maintaining required certification or proficiency in first aid, CPR/AED/airway obstruction – adult, chemical agents, or handling of firearms.    b.    Required annually (every year):    (1)   Suicide prevention (201—paragraph 50.15(6)“c”) 1 hour minimum    (2)   Emergency evacuation plan (201—subrule 50.9(3))    (3)   Bloodborne pathogens (OSHA standard as set out in CFR Part 1910.1030(g)(2)) 1 hour minimum       These rules are intended to implement Iowa Code section 80B.11A.

    ITEM 14.    Rescind 501—Chapter 10 and adopt the following new chapter in lieu thereof: CHAPTER 10RESERVE PEACE OFFICERS

501—10.1(80D) General requirements for reserve peace officers.  In no case shall any person hereafter be selected or appointed as a reserve peace officer unless the person:    10.1(1)   Is a citizen of the United States and a resident of Iowa or intends to become a resident of Iowa upon appointment as a reserve peace officer, provided that the state residency requirement under this subrule shall not apply to employees of a city or county that has adopted an ordinance to allow the employees of the city or county to reside in another state and shall not apply to an employee of a city or county that later repeals such an ordinance if the employee resides in another state at the time of the repeal. A city or county that has adopted an ordinance to allow the employees of the city or county to reside in another state shall provide a current copy of the ordinance to the Iowa law enforcement academy.    10.1(2)   Is 18 years of age at the time of selection or appointment.    10.1(3)   Has a valid driver’s or chauffeur’s license issued by the state of Iowa. Reserve peace officers who are allowed to reside in an adjacent state shall be required to possess a valid driver’s or chauffeur’s license of the state of residence of the officer.    10.1(4)   Is not addicted to drugs or alcohol.    10.1(5)   Is of good moral character as determined by a thorough background investigation, including a fingerprint search conducted on local, state and national fingerprint files, and has not been convicted or adjudicated of any offense listed in 501—paragraph 2.1(5)“a.”    10.1(6)   Is not by reason of conscience or belief opposed to the use of force when necessary to fulfill the person’s duties.    10.1(7)   Is a high school graduate with a diploma or possesses a GED equivalency certificate.    10.1(8)   Has an uncorrected vision of not less than 20/100 in both eyes, corrected to 20/20.    a.    The applicant shall have color vision consistent with the occupational demands of law enforcement. An applicant’s passing any of the following color vision tests indicates that the applicant has color vision abilities consistent with the occupational demands of law enforcement:    (1)   Pseudoisochromatic plates tests such as, but not limited to, Tokyo Medical College, Ishihara, Standard Pseudoisochromatic Plates, Dvorine, American Optical HHR Plates, and American Optical.    (2)   Panel tests such as Farnsworth Dichotomous D-15 Test or any other test designed and documented to identify extreme anomalous trichromatic, dichromatic or monochromatic color vision. Color corrective lenses may not be used by an applicant during the testing process per the American College of Occupational and Environmental Medicine (ACOEM) Guidance for the Medical Evaluation of Law Enforcement Officers.    b.    An individual with extreme anomalous trichromatism or monochromasy color vision, as determined through testing, is not eligible to serve as a reserve peace officer in the state of Iowa.    10.1(9)   Has hearing corrected to normal hearing standards. Hearing is considered normal when, tested by an audiometer, hearing sensitivity thresholds are within 25dB measured at 1000Hz, 2000Hz and 3000Hz averaged together. Hearing tests conducted within 12 months before appointment or selection may be used. A person who performs policing duties alone and without the direct supervision of a certified regular law enforcement officer who is physically present with the reserve peace officer at all times must have normal hearing in each ear. Policing duties include but are not limited to responding to calls, making traffic stops, and patrolling the jurisdiction.    10.1(10)   Is examined by a licensed physician or surgeon and meets the physical requirements as defined by the law enforcement agency necessary to fulfill the responsibilities of the reserve peace officer position being filled.

501—10.2(80D) Higher standards not prohibited.  A person who does not meet minimum standards shall not be selected or appointed as an Iowa reserve peace officer. Agencies are not limited or restricted in establishing additional standards.

501—10.3(80D) Certification through training required for all reserve peace officers.      10.3(1)   Each person appointed to serve as a reserve peace officer after July 1, 2007, shall satisfactorily complete a minimum training course established by the academy consisting of at least 80 hours of training and 40 hours of supervised time. Training for individuals appointed as reserve peace officers shall be provided by the Iowa law enforcement academy through the learning management system, through approved regional academies, or through instructors at a law enforcement agency approved by the academy. Reserve peace officers must be certified within 18 months from the date of their appointment.    a.    The training modules will be available through a learning management system online. The modules are self-paced and must be completed in order. The reserve peace officer completing the training module will be given an academy-developed test covering the completed module. The reserve peace officer completing the training module must pass the test with a score of 70 percent or better. If the first test score is below 70 percent, the reserve peace officer may take the test a second time following remediation of the failed topic(s) with an Iowa law enforcement academy instructor. Failure of the test the second time will result in the individual’s not being eligible for certification for a period of one year following the date of the second test failure. At the completion of the training modules, the reserve peace officer will be given an academy-developed test covering all six modules. The reserve peace officer must pass this test with a score of 70 percent or better. If the first test score is below 70 percent, the reserve peace officer may take the test a second time following remediation of the failed topic(s) with an Iowa law enforcement academy instructor.    b.    Supervised time is defined as direct supervision by a regular certified law enforcement officer of the reserve peace officer while the reserve peace officer performing activities consistent with the reserve peace officer’s duties, such as ride-along time, jail time, or other assigned duties.    c.    Upon satisfactory completion of training and supervised time required by the academy, the individual shall be certified by the academy as an Iowa reserve peace officer and shall be issued a certificate by the academy.    10.3(2)   The academy council may, at the council’s discretion, extend the 18-month time period in which a reserve peace officer must become certified for up to 180 days after a showing of undue hardship by the reserve peace officer or the reserve peace officer’s appointing agency. To be considered for an extension of the 18-month certification period, the person or agency requesting the extension must initiate the request in writing not less than ten days prior to the council meeting at which the extension request is to be discussed and must also make a presentation to the council at the next regularly scheduled meeting of the council. An extension shall not be liberally granted and shall only be granted after a showing that all other alternatives to an extension have been considered and rejected.    10.3(3)   The time period within which a person must achieve certification as a reserve peace officer in the state of Iowa shall commence on the day a person is first appointed as a reserve peace officer in the state of Iowa. Any subsequent changes in a reserve peace officer’s appointment status, including transfers to a different appointing agency, shall not toll or otherwise extend the certification period.    10.3(4)   Should a person appointed as a reserve peace officer fail to achieve certification within the time period or under any extension allowed by this rule, that person shall not be eligible for appointment as a reserve peace officer and shall not serve as a reserve peace officer in the state of Iowa for a period of not less than one year from the date the time period in which to achieve certification expired, or from the date that the person was last appointed as a reserve peace officer in the state of Iowa, whichever comes first.

501—10.4(80D) Curriculum for training modules.  Six modules consisting of 12 to 16 hours of required training topics per module will be developed by the academy. The training modules will include curriculum and training materials for each topic. Curriculum and training materials will be provided by the academy to all reserve officer candidates via the online learning management system and to agencies with academy-approved instructors. Training modules will be updated no less than every three years. Approved training module curriculum shall include the following topics:    10.4(1)   Module A.    a.    Implicit bias.    b.    Patrol techniques.    c.    Ethics.    d.    Use of force.    e.    De-escalation.    f.    Defensive tactics.    10.4(2)   Module B.    a.    Law of arrest.    b.    Report writing.    c.    Discretion.    d.    Interviews and interrogations.    e.    Role of emergency communication.    f.    Precision driving.    g.    Traffic direction.    h.    Motor vehicle law.    10.4(3)   Module C.    a.    Vehicle stops.    b.    Collision scene control.    c.    Criminal law.    d.    Current drug trends.    e.    Recognizing impairment.    f.    Community policing.    10.4(4)   Module D.    a.    Search and seizure.    b.    Felony calls.    c.    Introduction to crime scene.    d.    Crisis and conflict.    e.    Domestic abuse.    f.    Juvenile law.    10.4(5)   Module E.    a.    Human trafficking.    b.    Hazmat awareness.    c.    Civil liability.    d.    Bloodborne pathogens.    e.    Weather preparedness.    f.    Court organization.    g.    Testifying in court.    h.    Community relations.    10.4(6)   Module F.    a.    Mandatory reporting.    b.    Practical skills testing in the areas of defensive tactics, vehicle stops, precision driving, and report writing.

501—10.5(80D) Weapons certification.      10.5(1)   Reserve officers must receive council certification in the use of weapons the hiring authority expects and authorizes the reserve peace officers to carry. Weapons training is not required with any weapons the reserve officers are not authorized to carry.    10.5(2)   Individuals who have been certified through training by the Iowa law enforcement academy as regular officers may be certified to carry weapons as reserve officers without repeating the required reserve officer’s weapons training under the following conditions:    a.    The academy certification through training was acquired through a school in which firearms training was required; and    (1)   The individual is serving as a regular officer for another department at the time of appointment as a reserve officer, or    (2)   The individual has served as a regular officer within the two years immediately preceding appointment as a reserve officer.    b.    Verification must also be provided to the council that the officer has fired a qualifying score of 80 percent or higher on a firearm course using targets approved by the academy within the past 12 months. This verification must be provided by an academy-trained and -certified firearms instructor.    10.5(3)   Firearms, striking instruments and chemical weapons training must be provided by an Iowa law enforcement academy-certified instructor before a reserve peace officer can be certified to carry weapons. Reserve officer weapons training requirements are the same as those required of regular law enforcement officers during their basic training.     10.5(4)   Application for weapons certification.    a.    Application for weapons certification must be made in writing to the council on forms provided by the academy.    b.    An applicant for certification to carry weapons as a reserve peace officer must be of good moral character and not have been convicted or adjudicated of any offense listed in 501—paragraph 2.1(5)“a.”    c.    Verification must be received by the council that a fingerprint check has been made with the Federal Bureau of Investigation and the division of criminal investigation of the Iowa department of public safety and that the applicant has not been convicted or adjudicated of any offense listed in 501—paragraph 2.1(5)“a.” Fingerprint check responses from these agencies must be dated not more than one year prior to the date of the receipt by the academy of the application to the council for certification.    d.    Council certification will be granted only where weapons proficiency is documented. Training in support of an application to the Iowa law enforcement academy council to carry weapons as a reserve peace officer shall have been accomplished not more than one year prior to the date of the receipt by the academy of the application to the council for certification. Failure to file the application within one year of the date of training shall require the officer to undergo weapons training anew.    e.    Interim certification to carry weapons may be granted by the chairperson of the council if all requirements for certification have been met by the reserve officer and certified by the appointing authority. All interim certifications to carry weapons shall then be brought before the council at the next regularly scheduled meeting in order that the council can approve or reject the reserve officer’s certification to carry weapons.

501—10.6(80D) Reserve peace officers moving from agency to agency.  A reserve peace officer who has been certified by the Iowa law enforcement academy council to carry weapons and who transfers from one Iowa law enforcement agency to another as a reserve officer without more than a 180-day break in service (affiliation) will not be required to undergo weapons certification training anew, provided that a completed application to carry weapons as a reserve officer for the new agency in compliance with Iowa Code section 80D.7 is filed with the academy within 180 days of the date of transfer. If firearms certification is requested, the application must show that the officer has fired qualifying rounds under the supervision of an academy-certified firearms instructor within 30 days of the date of application. The application shall further state that all training records for the officer have been transferred to the new agency.

501—10.7(80D) Reserve peace officers in agencies under intergovernmental agreements.  When jurisdictions enter into an intergovernmental agreement under the provisions of Iowa Code chapter 28E for the sharing of law enforcement services by those jurisdictions and sharing of reserve peace officers, the compliance of reserve peace officers with rule 501—10.1(80D) does not need to be reverified if the execution, filing and recording of the intergovernmental agreement conform to the requirements of Iowa law and a certified copy of the agreement is provided to the director of the academy. However, this exception from reverification does not apply to the establishment of a unified law enforcement district as defined in Iowa Code section 28E.21, wherein a new legal entity or political subdivision is established.

501—10.8(80D) Reserve peace officers serving more than one agency.      10.8(1)   A reserve peace officer who has previously met all the requirements of rule 501—10.1(80D) and who intends to move reserve peace officer status from one Iowa law enforcement agency to another Iowa law enforcement agency, or who intends to be a reserve peace officer for more than one Iowa law enforcement agency simultaneously, shall be of good moral character as determined by a thorough background investigation by the law enforcement agency, including but not limited to a fingerprint search conducted by the Iowa division of criminal investigation and the Federal Bureau of Investigation. If the results of the fingerprint file checks cannot reasonably be obtained prior to the time of appointment, the appointment shall be considered conditional until such time as the results are received and reviewed by the appointing agency.    10.8(2)   Except as otherwise specified, the provisions of rule 501—10.1(80D) do not need to be verified upon the movement of reserve peace officer status from one Iowa law enforcement agency to another Iowa law enforcement agency or upon the reserve peace officer’s being appointed as a reserve peace officer by more than one Iowa law enforcement agency simultaneously, if the reserve peace officer met all of the requirements of rule 501—10.1(80D) when the person was initially appointed as a reserve peace officer and if, without a break of not more than 180 days from law enforcement service, the person is appointed as a reserve peace officer by another Iowa law enforcement agency.    10.8(3)   A reserve peace officer who serves more than one Iowa law enforcement agency at the same time must be certified by the Iowa law enforcement academy council to carry weapons for each agency that the reserve officer serves in compliance with Iowa Code section 80D.7. It is not necessary for the officer to complete weapons training for each such agency, but all agencies shall maintain duplicate training records for the officer.

501—10.9(80D) Minimum in-service training requirements.  All certified reserve peace officers shall meet the following mandatory minimum in-service training requirements:    10.9(1) Firearms training.  A certified reserve peace officer who is authorized to carry firearms must qualify with all duty firearms annually on a course of fire using targets approved by the Iowa law enforcement academy and must successfully fire a minimum score as established by the Iowa law enforcement academy, using targets approved by the academy under the supervision of an academy-certified firearms instructor. This subrule applies only to those reserve peace officers who are authorized to carry firearms by the officers’ appointing agency.    10.9(2) CPR certification required.  Reserve peace officers shall maintain current course completion in cardiopulmonary resuscitation (CPR), automated external defibrillator (AED) and foreign body airway obstruction for all age groups according to national standards recognized by the Iowa law enforcement academy.    10.9(3) General training.  In addition to the firearms training and CPR training requirements, a certified reserve peace officer must receive a minimum of 12 hours per year, or 36 hours every three years, of law enforcement-related in-service training. Whether training is law enforcement-related shall be determined by the employing agency administrator.    10.9(4) Mental health training.  In addition to the requirements of subrules 10.9(1), 10.9(2) and 10.9(3), a certified reserve peace officer must receive mental health in-service training from a course of study approved by the Iowa law enforcement academy.    a.    Initial in-service training.Effective September 25, 2013, each certified reserve peace officer shall complete within one year a minimum of four hours of mental health training from a course of study approved by the Iowa law enforcement academy council. Successful completion of mental health first aid or crisis intervention (Memphis Model or similar model) training after January 1, 2011, shall satisfy the initial requirement.    b.    Annual in-service training.Effective September 25, 2013, each certified reserve peace officer shall complete a minimum of one hour per year, or four hours every four years, of mental health training from a course of study approved by the Iowa law enforcement academy council. This annual in-service training is separate from and in addition to any other in-service training requirements set forth in this chapter, including the initial in-service mental health training required.    10.9(5) De-escalation training.  In addition to the requirements of subrules 10.9(1), 10.9(2), 10.9(3) and 10.9(4), a certified reserve peace officer must receive a minimum of four hours per year of training that includes all of the following topics:    a.    An emphasis on law enforcement officer understanding and respect for diverse communities and the importance of effective, noncombative methods of carrying out law enforcement activities in a diverse community.    b.    Instruction on diverse communities in order to foster mutual respect and cooperation between law enforcement and members of all diverse communities.    c.    An examination of the patterns, practices, and protocols that cause biased law enforcement actions, and the tools to prevent such actions.    d.    An examination and identification of key indices and perspectives that make up differences among residents in a local community.    e.    Instruction on implicit bias and consideration of the negative impact of bias, whether intentional or implicit, on effective law enforcement, including examination of how historical perceptions of profiling have harmed community relations.    f.    Instruction on the perspectives of diverse local constituency groups from experts on particular cultural and law enforcement-community relations issues in a local area.    g.    A presentation of the history and the role of the civil rights movement and the impact on law enforcement.    h.    Instruction on de-escalation techniques, including verbal and physical tactics to minimize the need for the use of force and nonlethal methods of applying force.    10.9(6) Training and in-service requirements for regular law enforcement officers who become certified reserve peace officers.      a.    An active certified regular law enforcement officer who also serves as a reserve peace officer or a certified regular law enforcement officer who retires or leaves active regular law enforcement and returns within 180 days to an Iowa law enforcement agency as a reserve peace officer needs no further training.    b.    Any individual who leaves an Iowa law enforcement officer position and becomes a certified reserve peace officer shall receive in-service training within one year of the individual’s appointment date as follows:Period Outside of Iowa Law Enforcement In-Service Training Required6 months to 12 months12 hoursMore than 12 months to 24 months24 hoursMore than 24 months to 36 months36 hoursMore than 36 months60 hoursThe subject matter of this training will be determined and approved by the law enforcement agency.    10.9(7) Agency responsibility for record keeping.  It shall be the responsibility of the law enforcement agency administrator to ensure that in-service training records are regularly kept and maintained. The law enforcement administrator shall also ensure that these records are made available for inspection upon request by the Iowa law enforcement academy or its designee.    a.    In-service training records shall include the following:    (1)   The subject matter of the training;    (2)   The name of the instructor conducting the training;    (3)   The name of the individual who completed the training;    (4)   The number of credit hours received from the training;    (5)   The location where the training took place; and    (6)   The scores, if any, achieved by the reserve peace officer to show proficiency in or understanding of the subject matter to include qualifying range scores.    b.    It shall be the responsibility of law enforcement agency administrators to ensure that all certified reserve peace officers under their direction receive the minimum hours of in-service training required by these rules.

501—10.10(80D) Reserve peace officers appointed prior to July 1, 2007—obtaining state certification.      10.10(1)   A reserve peace officer enrolled in an approved minimum course of training prior to July 1, 2007, shall obtain state certification by July 1, 2012. Current reserve peace officers choosing not to be state-certified by examination or by module training established by the academy will continue to hold agency certification only and will not be recognized as reserve peace officers after July 1, 2012.    10.10(2)   If a reserve peace officer appointed prior to July 1, 2007, with agency certification only transfers to another agency, the reserve peace officer will be considered a new reserve peace officer and will be subject to the 18-month training requirements for state certification.

501—10.11(80D) Active law enforcement officer moving to reserve peace officer status.       10.11(1)   An active law enforcement officer who has previously met all the requirements of rule 501—2.1(80B) and who intends to move to reserve peace officer status, or who intends to be a reserve peace officer for more than one Iowa law enforcement agency simultaneously, or who intends to be a reserve peace officer for an Iowa law enforcement agency while also working as an active law enforcement officer shall be of good moral character as determined by a thorough background investigation by the law enforcement agency, including but not limited to a fingerprint search conducted by the Iowa division of criminal investigation and the Federal Bureau of Investigation. If the results of the fingerprint file checks cannot reasonably be obtained prior to the time of appointment, the appointment shall be considered conditional until such time as the results are received and reviewed by the appointing agency.    10.11(2)   Except as otherwise specified, the provisions of rule 501—10.1(80D) do not need to be verified upon the movement of active law enforcement officer status to reserve peace officer status or upon the officer’s being appointed as a reserve peace officer by more than one Iowa law enforcement agency simultaneously, or upon the officer’s being appointed as a reserve peace officer by one Iowa law enforcement agency while serving in active law enforcement status for another agency if the peace officer met all of the requirements of rule 501—2.1(80B) when the person was initially appointed as a peace officer and if, without a break of not more than 180 days from law enforcement service, the person is appointed as a reserve peace officer by another Iowa law enforcement agency.

501—10.12(80D) Time frame—tolled.  The time frame requirements for completion of any mandatory training are tolled during the period a reserve peace officer is called to active military service.       These rules are intended to implement Iowa Code chapter 80D.

    ITEM 15.    Amend subrule 11.4(2) as follows:    11.4(2)   Recertification shall require one of two training courses depending uponwhether the salvage vehicle theft examiner’s experiencecertification has expired.    a.    Salvage vehicle theft examiners who have conducted 48 or more salvage vehicle theft examinations since their certification or recertification date are required to successfully complete a minimum four-hour salvage vehicle theft refresher course approved by the academyprior to the expiration of certification.The refresher course shall be completed no more than 30 days prior to the expiration of certification.    b.    Previously certified salvage vehicle theft examiners who have not conducted a minimum 48 or more salvage vehicle theft examinations since their certification or recertification datean expired certification must retake the initial12-hour in-person salvage vehicle theft examination course to be recertified.    c.    Recertification extensions. The council may grant a recertification extension of time for good cause.

    ITEM 16.    Rescind rule 501—13.5(80B).

    ITEM 17.    Renumber rule 501—13.6(80B) as 501—13.5(80B).
ARC 5957CNatural Resource Commission[571]Notice of Intended Action

Proposing rule making related to lifetime trout fishing license and providing an opportunity for public comment

    The Natural Resource Commission (Commission) hereby proposes to amend Chapter 15, “General License Regulations,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 455A.5(6)“a” and 483A.1(1).State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 234.Purpose and Summary    Chapter 15 establishes hunting, fishing, and trapping license fees and governs license sales and refunds, among other topics. Iowa law requires most persons, whether residents or nonresidents, to obtain an applicable license and pay a fee prior to fishing, hunting, or trapping.    2021 Iowa Acts, House File 234 (signed into law on June 8, 2021), establishes a new lifetime trout fishing license for Iowa residents who are at least 65 years of age. Iowa Code section 483A.1 requires that all license fees be promulgated in rule. Accordingly, this proposed rule making adds this new license to Chapter 15 and establishes its $65 fee.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    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, if any. 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 October 26, 2021. Comments should be directed to: Joe Larscheid Iowa Department of Natural Resources Wallace State Office Building 502 East Ninth Street Des Moines, Iowa 50319 Phone: 515.201.3376 Email: joe.larscheid@dnr.iowa.gov Public Hearing     A public hearing at which persons may present their views orally will be held via conference call as follows. Persons who wish to attend the conference call should contact Joe Larscheid 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 Joe Larscheid prior to the hearing to facilitate an orderly hearing. October 26, 2021 12:30 to 1:30 p.m. 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 action is proposed:

    ITEM 1.    Adopt the following new paragraph 15.12(1)"gg":    gg.    Lifetime trout fishing license — $65.
ARC 5958CSecretary of State[721]Notice of Intended Action

Proposing rule making related to election administration and voting and providing an opportunity for public comment

    The Secretary of State hereby proposes to amend Chapter 21, “Election Forms and Instructions,” and Chapter 28, “Voter Registration File (I-VOTERS) Management,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 17A.4, 47.1 and 53.1A.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, Senate File 413.Purpose and Summary    This proposed rule making adds new rules and amends existing rules, including Iowa Code citations, in accordance with 2021 Iowa Acts, Senate File 413.    This rule making makes necessary adjustments to accommodate for the implementation of a sure count deadline for absentee ballots; updates rules related to the use of Intelligent Mail barcode (IMb) Tracing to reflect its continued use for Safe at Home and Uniformed and Overseas Citizens Absentee Voting Act (UOCAVA) voters; provides for new rules regarding the issuance of technical infractions pursuant to Iowa Code section 39A.6; brings rules regarding the establishment of satellite voting locations into compliance with 2021 Iowa Acts, Senate File 413; creates rules regarding the establishment of drop boxes for voted absentee ballots; puts in place processes for utilizing reports provided by the electronic registration information center (ERIC); and outlines the requirements for voter list maintenance reports.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 Secretary of State for a waiver of the discretionary provisions, if any, pursuant to 721—Chapter 10.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 Secretary of State no later than 4:30 p.m. on October 26, 2021. Comments should be directed to: Molly Widen Office of the Secretary of State Lucas State Office Building, First Floor 321 East 12th Street Des Moines, Iowa 50319 Phone: 515.281.5864 Email: Molly.Widen@sos.iowa.govPublic Hearing     No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend subrule 21.2(2) as follows:    21.2(2) Original absentee ballot applications.  The original absentee ballot application submitted electronically shall also be mailed or delivered to the commissioner. If mailed, the envelope bearing the original absentee ballot application shall be postmarked not later than the voter registration deadline provided in Iowa Code section 48A.9 for the election for which the ballot is requested. This subrule shall not apply to documents submitted electronically by UOCAVA voters pursuant to rule 721—21.320(53).a.    The voter’s absentee ballot shall be rejected by the absentee and special voters precinct board if the original absentee ballot application which was filed electronically is not received by the time the polls close on election day.    b.    The voter’s absentee ballot shall be rejected by the absentee and special voters precinct board if the postmark or Intelligent Mail barcode (IMb) on the envelope containing the original absentee ballot application is either illegible or later than the voter registration deadline provided in Iowa Code section 48A.9 for the election for which the ballot is requested.

    ITEM 2.    Amend rule 721—21.12(47,53) as follows:

721—21.12(47,53) Absentee ballot receipt deadline when the United States post office is closed on the deadline for receipt of absentee ballots.  When the United States post office is closed in observance of a federal holiday and is not delivering mail on the deadline for receipt of absentee ballots as set forth in Iowa Code section 53.17sections 9E.6 and 53.44, the deadline to receive mailed absentee ballots that are determined to have entered the federal mail system timely, as indicated by the postmark or Intelligent Mail barcode (IMb) Tracing, shall move to the next business day on which mail delivery is available.       This rule is intended to implement Iowa Code sections9E.6, 47.1, and 47.4 and sections 53.17 and 52.22 as amended by 2016 Iowa Acts, House File 2273, sections 11 to 1553.44.

    ITEM 3.    Amend rule 721—21.14(53) as follows:

721—21.14(53) Intelligent Mail barcode (IMb) Tracing.  A commissioner may choose toshall use Intelligent Mail barcode (IMb) Tracing (IMb Tracing) to determine when an absentee ballot has entered into the federal mail system as an alternative to a traditional postmark verificationfor the purposes of Iowa Code sections 9E.6 and 53.44.    21.14(1) Notice to state commissioner of elections required.      a.    Prior to a commissioner’s implementation of IMb Tracing for an election, notice must be sent to the state commissioner.    b.    A commissioner may not implement or discontinue the use of IMb Tracing while an election is open once absentee ballots have been mailed pursuant to Iowa Code section 53.8.    c.    The state commissioner may issue a waiver to paragraph “b”21.14(1)“b” if a commissioner’s ability to use IMb Tracing is impacted by issues beyond the commissioner’s control.    21.14(2) Determining the eligibility of IMb-marked absentee ballots.   An absentee ballot shall be counted once it is determined that the absentee ballot arrived in the federal mail system by the deadline specified in Iowa Code chapter 53sections 9E.6 and 53.44. The absentee ballot’s entry into the federal mail system may be verified either by a postmark or by information obtained through IMb Tracing. For absentee ballots received after election day, but before the official canvass:    a.    If the postmark or IMb Tracing information indicates that an absentee ballot was received by the deadline specified in Iowa Code chapter 53sections 9E.6 and 53.44, the ballot shall be included for canvass by the absentee and special voters precinct board (board).    b.    If the postmark is illegible, missing, or dated on or after election day, the commissioner shall attempt to verify the absentee ballot’s entry into the federal mail system by using the IMb Tracing information for the ballot. The commissioner shall provide all of the materials to the board.    c.    If there is a date discrepancy between the postmark and the IMb, the earlier of the two shall determine whether or not the absentee ballot can be counted.    d.    If neither the postmark nor the IMb indicate that the absentee ballot entered the federal mail system by the deadline specified in Iowa Code chapter 53sections 9E.6 and 53.44, the absentee ballot shall not be counted.    e.    The information provided by the commissioner to the board must contain the numeric value assigned to the IMb barcode and a full report from the United States Postal Service.    f.    A board member from each political party for partisan elections or two members from the board for nonpartisan elections shall review the IMb Tracing information provided by the commissioner and shall certify the information by initialing the envelope and report.    g.    If the board concludes that the IMb Tracing information verifies that the absentee ballot entered the federal mail system by the deadline specified in Iowa Code chapter 53sections 9E.6 and 53.44, the absentee ballot shall be counted.    21.14(3) Report to the state commissioner.  A commissioner who makes use of IMb Tracing shall file a report with the state commissioner for each general election no later than the first day of December following each general election. The report shall be on a form prescribed by the state commissioner.       This rule is intended to implement Iowa Code sections 53.17 and 53.22 as amended by 2016 Iowa Acts, House File 2273, sections 11 to 159E.6, 53.17A and 53.44.

    ITEM 4.    Adopt the following new rule 721—21.100(39A):

721—21.100(39A) Issuance of technical infractions.      21.100(1)   If the state commissioner becomes aware of an apparent technical violation of a provision of Iowa Code chapters 39 through 53, the state commissioner may administratively provide a written notice and letter of instruction to the commissioner or other responsible person regarding proper compliance procedures.    21.100(2)   If a commissioner becomes aware of an apparent technical violation of a provision of Iowa Code chapters 39 through 53, the commissioner shall notify the state commissioner in writing for review pursuant to rule 721—21.102(49). The commissioner shall administratively provide a written notice and letter of instruction to the responsible person regarding proper compliance procedures only if the commissioner has direct supervisory authority over the responsible person.     21.100(3)   If the state commissioner sends a notice of such a technical infraction to a commissioner, the state commissioner may require a written explanation of the occurrence and the measures that the person took to redress the issues contained within the notice.    21.100(4)   Upon the issuance of a technical infraction to a commissioner, the state commissioner shall also impose a fine not to exceed $10,000 to be deposited in the general fund. The state commissioner shall impose the fine based on the totality of the circumstances regarding the apparent technical violation of Iowa Code chapters 39 through 53. A commissioner’s party affiliation shall not be considered when determining the amount of a fine. The state commissioner may consider the number of technical infractions previously issued to a commissioner when determining the amount of a fine. The state commissioner shall provide an explanation of the amount of the fine in the written notice and letter of instruction.     a.    The commissioner shall pay a fine issued pursuant to Iowa Code section 39A.6, in full or file an appeal pursuant to chapter 17A within 60 days. The appeals process shall be the same process outlined in 721—Chapter 3.     b.    A commissioner who fails to pay a fine in full that was not dismissed pursuant to chapter 17A shall be suspended from office for a period not to exceed two years pursuant to Iowa Code sections 66.7 and 66.8.     c.    If a commissioner is suspended pursuant to Iowa Code section 39A.6, the state commissioner shall direct the deputy of the county commissioner to oversee the functions of the office until the suspension is revoked or the office is vacated and a successor is elected. The state commissioner may direct the state commissioner’s staff to assist in the performance of the duties of a suspended commissioner.     21.100(5)   Upon issuing a technical infraction, the state commissioner shall immediately inform the attorney general and relevant county attorney if the apparent violation constitutes or may constitute election misconduct under this chapter.       This rule is intended to implement Iowa Code section 39A.6.

    ITEM 5.    Adopt the following new rule 721—21.103(39A):

721—21.103(39A) Election misconduct—investigation.      21.103(1)   The attorney general or county attorney shall investigate allegations of election misconduct reported to the attorney general or county attorney. Election misconduct by an election official shall also be investigated for prosecution under Iowa Code chapter 721.    21.103(2)   Upon the completion of an investigation required by Iowa Code section 39A.7 as enacted by 2021 Iowa Acts, Senate File 413, the attorney general or county attorney shall submit the results of the investigation to the state commissioner in writing and explain whether the attorney general or county attorney will pursue charges. If the attorney general or county attorney will pursue charges, the attorney general or county attorney shall report the result of the final disposition of the case to the state commissioner.       This rule is intended to implement Iowa Code section 39A.7 as enacted by 2021 Iowa Acts, Senate File 413.

    ITEM 6.    Amend subrule 21.300(1) as follows:    21.300(1) Establishment of stations.  Satellite absentee voting stations may be established by the county commissioner of elections or by a petition of eligible electors of the jurisdiction conducting the election.    a.    Satellite absentee voting stations established by the county commissioner.The county commissioner of elections may designate locations in the county for satellite absentee voting stations. Satellite absentee voting stations established by the commissioner shall be accessible to elderly and disabled voters. Satellite absentee voting stations must also be established so as to provide for voting in secret and ballot security.    b.    a.    Satellite absentee voting stations established after receipt of a valid petition.A petition requesting a satellite absentee voting station shall be substantially in the form titled “Petition Requesting Satellite Absentee Voting Station” available on the state commissioner’s website. If the commissioner receives a petition requesting a satellite absentee voting station on or before the petition deadline set forth in Iowa Code section 53.11, the commissioner shall determine the validity of the petition within 24 hours. A petition requesting a satellite absentee voting station is valid if it contains signatures of not less than 100 eligible electors of the jurisdictioncounty conducting the electionwho are eligible to vote in the election that is the subject of the petition. Electors signing the petition must include their signature, house number, street, and date the petition was signed. Signatures on lines not containing all of the required information shall not be counted. The heading on each page of the petition shall include the satellite location requested and the election name or date for which the location is requested. Signatures on petition pages without the required heading shall not be counted.    c.    b.    Mandatory rejection of certain satellite absentee voting stations.Otherwise valid petitions for satellite absentee voting stations shall be rejected within four days of the commissioner’s receipt of the petition if:    (1)   The site requested is not accessible to elderly and disabled voters,    (2)   The site requested has other physical limitations that make it impossible to meet the requirements for ballot security and secret voting, or     (3)   The owner of the site refuses permission to locate the satellite absentee voting station at the site requested on the petition., unless the site is required to serve as a polling place pursuant to Iowa Code section 49.21(2), or    (4)   After reasonable efforts, the commissioner is unable to sufficiently staff the satellite absentee voting station to ensure compliance with the laws of this state.    d.    c.    Discretionary rejection of certain satellite absentee voting stations.Otherwise valid petitions for satellite absentee voting stations may be rejected within four days of the commissioner’s receipt of the petition if:    (1)   A petition is received requesting satellite voting for a city runoff election and a special election is scheduled to be held between the regular city election and a city runoff election., or    (2)   The owner of the site demands payment for its use, unless the site is required to serve as a polling place pursuant to Iowa Code section 49.21(2).    d.    Two or more satellite absentee voting petitions.If the commissioner receives valid petitions to establish two or more satellite absentee voting stations located within the same precinct, the commissioner may choose to establish a satellite absentee voting station at only one of the locations.    e.    Provision of ballots.Only ballots from the county in which the site is located may be provided at the satellite absentee voting station. Ballots must be provided for the precinct in which the satellite absentee voting station is located; however, it is not necessary to provide ballots from all of the precincts in the political subdivision for which the election is being conducted.

    ITEM 7.    Amend rule 721—21.303(53) as follows:

721—21.303(53) Mailing absentee ballots.  The commissioner shall mail the following materials to each person who has requested an absentee ballot:
  1. Ballot. The ballot that corresponds to the voter’s residence, as indicated by the residential address on the absentee ballot application.
  2. Public measure text. The full text of any public measures that are summarized on the ballot, but not printed in full.
  3. Secrecy envelope. Secrecy envelope, if the ballot cannot be folded to cover all of the voting ovals, as required by Iowa Code section 53.8(1).
  4. Affidavit envelope. The affidavit envelope, which shall be marked with the I-Voters-assigned sequence number used to identify the absentee request in the commissioner’s records.
  5. Return envelope. The return envelope, which shall be addressed to the commissioner’s office and bear appropriate return postage or a postal permit guaranteeing that the commissioner will pay the return postage and which shall be marked with the I-Voters-assigned sequence number used to identify the absentee request in the commissioner’s records. All domestic and UOCAVA return envelope flaps or backs shall also be printed or stamped with a notice in substantially the following form: “This ballot will only be eligible for counting if it is received by the auditor’s office before the polls close on election day or postmarked before election day and received by the deadline listed in the voting instructions included with this ballot. Postmarks are not guaranteed! Mail the ballot early to make sure it is received on time. Track the status of your absentee ballot at www.sos.iowa.gov.”
  6. Delivery envelope. The delivery envelope, which shall be addressed to the voter and bear the I-Voters-assigned sequence number used to identify the absentee request in the commissioner’s records. All other materials shall be enclosed in the delivery envelope.
  7. Instructions. Absentee voting instructions, which shall be in the form required by rule 721—22.250(52).
  8. Receipt. The receipt form required by Iowa Code section 53.3, which may be printed on the instructions required by numbered paragraph “7” above.
       This rule is intended to implement Iowa Code sections 53.8 and 53.17.

    ITEM 8.    Rescind rule 721—21.307(49,53) and adopt the following new rule in lieu thereof:

721—21.307(53) Absentee ballot drop boxes.      21.307(1) Video surveillance footage retention.  Video surveillance footage recorded pursuant to Iowa Code section 53.17(1)“c”(4) shall be maintained for a period of 22 months for elections in which a federal office appears on the ballot, and for 6 months for all other elections, or until there are no more pending contests or criminal actions, whichever is later.     21.307(2) Absentee ballot retrieval.  Materials delivered to the ballot drop box shall be retrieved in an expeditious manner, but no less often than four times per day on days in which voters may deposit a voted ballot in the ballot drop box. The ballot drop box does not need to be checked on days in which voters are unable to deposit materials into the drop box.     21.307(3) Notice to voters regarding drop box availability.  If a county is providing a ballot drop box for an election, the county shall include information regarding the ballot drop box’s availability, on a form prescribed by the state commissioner, with materials mailed to voters pursuant to Iowa Code section 53.8.       This rule is intended to implement Iowa Code section 53.17.

    ITEM 9.    Amend rule 721—28.3(48A) as follows:

721—28.3(48A) Duplicate and multiple voter registration record deletion process.      28.3(1)   The state registrar shall provide a search function within the I-VOTERS software to search for likely duplicate or multiple voter registration records. County registrars shall have the capability to activate this function.    28.3(2)   During each calendar quarter, the county registrar shall activate the search function described insubrule 28.3(1) and review the list of likely duplicate or multiple voter registration records. The county registrar shall resolve duplicate or multiple records for the same voter. No voter shall have more than one voter record. The voter record associated with the most recent registration or other voter-initiated activity shall be considered the voter’s current record. The voter shall be registered in the county of current record, and the voter record in any other county shall be merged with the record in the current county. Individual voter history and other voter data shall be transferred to the voter’s record in the current county of registration.    28.3(3)   The state registrar shall periodically engage in interstate checking of voter registration records with cooperating states for the purpose of identifying duplicate or multiple voter registration records. A list of likely matches of records based upon predetermined search criteria shall be timely sent to each county registrarrequest information from the electronic information registration center regarding the existence of duplicate registrations.Within 15 days of a county registrar’s receipt of notification from the state registrar of the existence of a duplicate or multiple record, the county registrar shall follow the process outlined in subrule 28.3(2).    28.3(4)   On an ongoing basis, the state registrar shall request reports from the electronic information registration center for the purpose of engaging in interstate checking of voter registration records with other participating states. The purpose of these interstate checks is to identify duplicate or multiple voter registration records. A report based on information provided by the electronic information registration center shall be timely provided to each county registrar.     28.(4) 28.3(5)   Within 15 days of the receipt of a listreport produced by the state registrar in accordance with 28.3(3)subrule 28.3(4), the county registrar shall review the list of likely duplicate or multiple voter registration records and determine the accuracy of the search results. If the voter is found to be registered to vote in another state more recently thanthe voter’s last voter-initiated activity in Iowa, the commissioner shall make the voter’s status “inactive” and the voter shall be mailed aforwardable National Voter Registration Act-compliant confirmation notice. The notice shall contain a statement in substantially the following form:Information received by this office indicates that you are no longer a resident at the address printed on the reverse side of this card. If this information is not correct, and you still live at that address, please complete and mail the attached postage-paid card at least 10 days before the primary or general election, or at least 1115 days before any other election at which you wish to vote. If the information is correct and you have moved within the county, you may update your registration by listing your new address on the card and mailing it back. If you have moved outside the countyoutside the state of Iowa, you may check the box below requesting cancellation of your Iowa voter registration to ensure you are not registered to vote in more than one state. If you have moved within the state of Iowa, please contact a local officialthe county auditor in your new location for assistance in registering thereupdating your voter registration or visit sos.iowa.gov/register for more information. If you do not mail in the card, you may be required to show identification before being allowed to vote in [name of county] County, Iowa. If you do not return the card and you do not vote in an election in [name of county] County, Iowa, on or before (date of second general election following the date of the notice), your name will be removed from the list of voters in that county.    28.(5) 28.3(6)   County registrars shall cooperate with each other to ensure that voter records are properly merged into the current county file.

    ITEM 10.    Adopt the following new rule 721—28.7(48A):

721—28.7(48A) Voter list maintenance reports.  The reporting requirements in Iowa Code section 48A.40 shall be met by the county registrar entering registration information into I-VOTERS in accordance with guidance prescribed by the state registrar.
ARC 5971CEconomic Development Authority[261]Filed Emergency After Notice

Rule making related to butchery innovation and revitalization loan program

    The Economic Development Authority (IEDA) hereby rescinds Chapter 51, “Self-Employment Loan Program,” and adopts a new Chapter 51, “Butchery Innovation and Revitalization Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 15.106A and 2021 Iowa Acts, House File 857.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 857.Purpose and Summary    2021 Iowa Acts, House File 857, directs IEDA to establish and administer a Butchery Innovation and Revitalization Program. The program will provide grants to eligible businesses to expand, refurbish, or establish new meat processing businesses or for buildings, refrigeration facilities, freezer facilities, or equipment necessary to expand meat processing capacity.    Eligible applicants are Iowa businesses that are licensed by the Iowa Department of Agriculture and Land Stewardship (IDALS) to process meat. The maximum amount of assistance that may be awarded to an eligible applicant is $50,000. Applications for the program will be scored by a review committee appointed by the Director of IEDA and the Secretary of Agriculture.    As directed in 2021 Iowa Acts, House File 857, IEDA developed the program and the rules in consultation with IDALS staff. New Chapter 51 replaces current Chapter 51 relating to the Self-Employment Loan Program created pursuant to Iowa Code section 15.241, which was repealed by 2003 Iowa Acts, chapter 71, section 6.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5851C.    Johnathan Hladik, on behalf of the Center for Rural Affairs, submitted comments suggesting the following:

  • Define “local small-scale farmers.”
  • Specify in paragraph 51.5(2)“b” that applications will score fewer points if they are likely to negatively impact existing small-scale meat processing businesses rather than all existing meat processing businesses.
  • Specify in paragraph 51.5(2)“e” that applications will be evaluated based on both created and maintained jobs as a result of the project.
  •     The following changes from the Notice have been made:
  • Clarify in paragraph 51.3(1)“f” that the business must employ fewer than 50 individuals across all locations.
  • List factors in paragraph 51.3(1)“g” that may be considered in determining whether an applicant is actively working toward licensure.
  • Clarify in paragraph 51.5(2)“b” that application reviewers will grant fewer points to projects that are likely to negatively impact existing meat processing businesses and may also consider the extent of any likely negative impact.
  • Reason for Waiver of Normal Effective Date    Pursuant to Iowa Code section 17A.5(2)“b”(1)(b), IEDA finds that the normal effective date of this rule making, 35 days after publication, should be waived and the rule making made effective on September 17, 2021, because the rules create a new financial assistance program to benefit Iowa meat processing businesses.Adoption of Rule Making    This rule making was adopted by IEDA on September 17, 2021.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa beyond the appropriation made in 2021 Iowa Acts, House File 871. 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 IEDA for a waiver of the discretionary provisions, if any, pursuant to 261—Chapter 199.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 September 17, 2021.    The following rule-making action is adopted:

        ITEM 1.    Rescind 261—Chapter 51 and adopt the following new chapter in lieu thereof: CHAPTER 51BUTCHERY INNOVATION AND REVITALIZATION PROGRAM

    261—51.1(15E) Purpose.  Pursuant to Iowa Code section 15E.370 as enacted by 2021 Iowa Acts, House File 857, section 1, the authority is authorized to provide financial assistance to businesses for projects relating to butchery innovation and revitalization as identified in this chapter.

    261—51.2(15E) Definitions.  For purposes of this chapter, unless the context otherwise requires:        "Agreement" means a contract for financial assistance under the program describing the terms on which the financial assistance is to be provided.        "Applicant" means a business applying for assistance under the program.        "Authority" means the economic development authority created in Iowa Code section 15.105.        "Authority’s website" means the information and related content found at www.iowaeda.com and may include integrated content at affiliate sites.        "Board" means the members of the economic development authority appointed by the governor and in whom the powers of the authority are vested pursuant to Iowa Code section 15.105.        "Business" means a sole proprietorship, partnership, corporation, or other business entity organized for profit under the laws of the state of Iowa or another state, under federal statutes, or under the laws of another country.        "Committee" means the committee of application reviewers appointed by the director and the secretary pursuant to subrule 51.5(1).        "Department" means the department of agriculture and land stewardship.        "Director" means the director of the authority.        "Establishment" means the same as defined in Iowa Code section 189A.2.        "Federal grant of inspection" means a certification issued by the Food Safety and Inspection Service certifying that an establishment is in compliance with the applicable requirements of 9 Code of Federal Regulations Chapter III and has been granted daily inspection services by FSIS.        "Federally inspected small-scale meat processing business" means an establishment that has been issued a federal grant of inspection and meets eligible business criteria in subrule 51.3(1).         "Financial assistance" means assistance provided only from the funds and assets legally available to the authority pursuant to Iowa Code section 15.370 as enacted by 2021 Iowa Acts, House File 857, section 1, and includes assistance in the form of grants, low-interest loans, and forgivable loans.        "Food Safety and Inspection Service" "FSIS" means the agency of the United States Department of Agriculture which regulates establishments.         "Grant" means an award of assistance with the expectation that, with the fulfillment of the conditions, terms and obligations of the contract with the authority for the project, repayment of funds is not required.        "Licensed custom locker" means an establishment that slaughters or prepares livestock exclusively for use by the owners of the livestock, members of their household, and their nonpaying guests and employees, that is periodically inspected by the department, and that meets the eligible business criteria in subrule 51.3(1).         "Mobile slaughter unit" means a self-contained slaughter establishment that can travel from site to site, that operates in compliance with applicable laws, regulations, and the most current mobile slaughter unit compliance guide issued by FSIS, and that meets the eligible business criteria in subrule 51.3(1).         "Program" means the butchery innovation and revitalization program established pursuant to this chapter.        "Project" means an activity or activities undertaken by the applicant to be carried out at an establishment.        "Secretary" means the secretary of agriculture, who is the head of the department.        "State grant of inspection" means a certification issued by the department certifying that an establishment is in compliance with the applicable requirements of 21—Chapter 76 and has been granted daily inspection services by the department.        "State-inspected small-scale meat processing business" means an establishment that has been issued a state grant of inspection and meets the eligible business criteria in subrule 51.3(1).

    261—51.3(15E) Eligibility.      51.3(1) Eligible businesses.  To be eligible for a grant under the program, an applicant shall meet all of the following requirements:    a.    The business must be located in this state. For the purposes of this paragraph, a business is located in this state if at least 98 percent of the business’s employees work at the business’s operations in Iowa or if the employees that are paid at least 98 percent of the business’s payroll work at the business’s operations in Iowa.     b.    The business must be incorporated or organized in Iowa or authorized to do business in Iowa.    c.    The business must not have been subject to any regulatory enforcement action related to federal, state, or local environmental, worker safety, food processing, or food safety laws, rules, or regulations within the last five years. For the purposes of this paragraph, regulatory enforcement actions include, but are not limited to, an administrative order, consent order or similar formal order issued by an applicable enforcement agency or an involuntary withdrawal of a state grant of inspection or federal grant of inspection.    d.    The business must only employ individuals legally authorized to work in the state.    e.    The business must not currently be in bankruptcy.    f.    The business must employ less than 50 individuals across all the business’s locations at the time of application.    g.    The business must be an establishment that holds a current license from the department in accordance with the requirements of Iowa Code chapter 189A or is actively working with the department to obtain a license. Factors the authority may consider in determining whether a business is actively working with the department to obtain a license include, but are not limited to, the number and frequency of contacts the business has had with the department, whether the business has submitted an application for inspection to the department or FSIS, and whether the department or FSIS has conducted a site visit at the business.    51.3(2) Eligible projects.  The applicant must propose one of the following types of projects:     a.    To expand or refurbish an existing, or to establish a new, state-inspected small-scale meat processing business.    b.    To expand or refurbish an existing, or to establish a new, federally inspected small-scale meat processing business.    c.    To expand or refurbish an existing, or to establish a new, licensed custom locker.    d.    To expand or refurbish an existing, or to establish a new, mobile slaughter unit.    e.    To rent or purchase buildings, refrigeration facilities, freezer facilities, or equipment necessary to expand processing capacity, including mobile slaughter or refrigeration units used exclusively for meat or poultry processing by a federally inspected small-scale meat processing business, a licensed custom locker, a mobile slaughter unit, or a state-inspected small-scale meat processing business.    51.3(3) Matching support required.  The applicant shall demonstrate the ability to provide matching financial support for the project on a one-to-one basis in the form of cash. The matching financial support must be obtained from private sources.

    261—51.4(15E) Application submittal and review process.      51.4(1)   The authority will develop a standardized application process and make information on applying available on the authority’s website. To apply for assistance under the program, an eligible business shall submit an application to the authority in the form and manner prescribed by the authority.     51.4(2)   Applications will be accepted only during established application periods as announced on the authority’s website. Applications will be reviewed in the order received by the authority.    51.4(3)   The authority may refuse to accept incomplete applications or may refuse to accept applications because of insufficient funds.    51.4(4)   A scoring committee that includes authority and department staff as described in subrule 51.5(1) will consider, evaluate, and recommend applications for financial assistance under the program. The committee will review applications for financial assistance and score the applications according to the criteria described in subrule 51.5(2). Applications deemed to meet the minimum scoring criteria will be submitted to the board for a final funding decision.    51.4(5)   The board, after considering the recommendations made by the committee, will determine which applications to fund and how much should be awarded to each applicant. The board has final decision-making authority on requests for financial assistance for the program. The director will take final action on all applications for financial assistance, except those rejected pursuant to subrule 51.4(3). The board may approve an award, decline to award, or refer an application back to staff for further review and recommendation.     51.4(6)   The maximum amount of financial assistance awarded to an eligible business for all applications under the program shall not exceed $50,000. The board may increase the maximum amount of financial assistance per eligible business if funds are made available for the program in addition to the funds appropriated by 2021 Iowa Acts, House File 871.     51.4(7)   Successful applicants will be notified in writing of an award of financial assistance, including any conditions and terms of the award.

    261—51.5(15E) Application scoring criteria.      51.5(1) Application scoring.  A scoring committee will be composed of at least one representative of the authority appointed by the director, at least one representative of the department appointed by the secretary, and two additional members mutually agreed upon by the director and the secretary. The committee will evaluate the applications and give them an average numerical score between 0 and 100. The board may not approve a grant for an application that receives an average score of less than 75 points.    51.5(2) Scoring criteria.  The criteria under which each application will be scored are:    a.    The extent to which the project benefits local small-scale farmers by creating or expanding opportunities to market processed meat under private labels or by providing greater flexibility or convenience to have animals processed: 25 points. Projects that increase processing capacity or efficiency will receive more points.     b.    The extent to which the project establishes an essential community asset: 25 points. Projects that are likely to negatively impact existing meat processing businesses will receive fewer points. The committee may also consider the extent of any likely negative impact.     c.    The sufficiency of the proposed project’s financing structure, the feasibility of the sources of funds, and the appropriateness of the proposed uses of the funds: 15 points.    d.    The extent to which the applicant has planned for long-term use of the project and the likelihood of long-term use: 15 points.     e.    The number and quality of jobs to be created by the applicant as a result of the project: 10 points. Projects that create more jobs or higher quality jobs will receive more points. Factors the committee will consider in assessing the quality of jobs include, but are not limited to, wages and benefits.     f.    The financial need of the applicant: 10 points. Applicants that received a business improvement grant from the department for expenses incurred between March 1, 2020, and December 1, 2020, will receive fewer points.

    261—51.6(15E) Funding decisions.  Each application, including its numerical score, will be referred to the board with a recommended funding decision. The board will make the final funding decision on each application, taking into consideration the score and the funding recommendation of the committee.

    261—51.7(15E) Contract administration.      51.7(1)   The authority will prepare a contract for each award approved by the board. The contract will reflect the terms of the award and may include other terms and conditions reasonably necessary for implementation of the program pursuant to this chapter.     51.7(2)   Any substantive change to a proposed project shall require an amendment to the contract. Amendments shall be requested in writing. No amendment shall be valid until approved by the board. The authority may execute nonsubstantive or corrective changes to the contract without board approval.

    261—51.8(15E) Disbursement of funds.  The authority will disburse funds for a project only after a complete application has been received, an award has been approved by the board, a contract has been executed between the applicant and the authority, and all applicable conditions for disbursement have been met, including the submission of documentation pertaining to the eligible expenditures. Disbursement of funds under the contract will be on a reimbursement basis for expenses incurred by the applicant after the date the board approves the award and as provided under the contract.

    261—51.9(15E) Reporting.  An applicant receiving assistance under the program shall submit any information reasonably requested by the authority in sufficient detail to permit the authority to prepare any reports required by the authority, the board, the general assembly or the governor’s office.       These rules are intended to implement Iowa Code section 15E.370 as enacted by 2021 Iowa Acts, House File 857, section 1.
        [Filed Emergency After Notice 9/17/21, effective 9/17/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5972CEconomic Development Authority[261]Filed Emergency After Notice

    Rule making related to the manufacturing 4.0 technology investment program

        The Economic Development Authority (IEDA) hereby adopts a new Chapter 119, “Manufacturing 4.0 Technology Investment Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 15.106A and 15.371 as enacted by 2021 Iowa Acts, Senate File 619.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 15.371 as enacted by 2021 Iowa Acts, Senate File 619.Purpose and Summary    Pursuant to 2021 Iowa Acts, Senate File 619, IEDA is establishing and will administer a Manufacturing 4.0 Technology Investment Program. The purpose of the program is to assist with projects intended to lead to the adoption of, and integration of, smart technologies into existing manufacturing operations located in the state.    Eligible applicants are Iowa manufacturers that derive at least 51 percent of their revenue from the sale of manufactured goods, that have been operational for at least three years, and that have between 3 and 75 employees across all locations. The maximum amount of assistance that may be awarded to an eligible manufacturer is $75,000. Applications for the program will be scored on a competitive basis by IEDA staff and/or a technical review panel. The IEDA Board will approve, defer, or deny applications after reviewing staff and/or review panel recommendations. The program and rules were developed with feedback from the advanced manufacturing workgroup of the Iowa Innovation Council and the Center for Industrial Research and Service (CIRAS) at Iowa State University.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 28, 2021, as ARC 5792C. No public comments were received. The definition of “board” in rule 261—119.3(15) has been edited to be consistent with other rule chapters for IEDA and with Iowa Code chapter 15. Reason for Waiver of Normal Effective Date    Pursuant to Iowa Code section 17A.5(2)“b”(1)(b), IEDA finds that the normal effective date of this rule making, 35 days after publication, should be waived and the rule making made effective on September 17, 2021, because the rules create a new financial assistance program for the benefit of Iowa manufacturers.Adoption of Rule Making    This rule making was adopted by IEDA on September 17, 2021.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. IEDA is currently evaluating potential sources of state and federal funds for the program.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 IEDA for a waiver of the discretionary provisions, if any, pursuant to 261—Chapter 199.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 September 17, 2021.    The following rule-making action is adopted:

        ITEM 1.    Adopt the following new 261—Chapter 119: CHAPTER 119MANUFACTURING 4.0 TECHNOLOGY INVESTMENT PROGRAM

    261—119.1(15) Authority.  The authority for adopting rules establishing the manufacturing 4.0 technology investment program is provided in Iowa Code section 15.371 as enacted by 2021 Iowa Acts, Senate File 619.

    261—119.2(15) Purpose.  The purpose of the manufacturing 4.0 technology investment program is to provide financial assistance to projects intended to lead to the adoption of, and integration of, smart technologies into existing manufacturing operations located in the state.

    261—119.3(15) Definitions.          "Applicant" means a business applying for assistance under the program.        "Authority" means the economic development authority created in Iowa Code section 15.105.        "Authority’s website" means the information and related content found at www.iowaeda.com and may include integrated content at affiliate sites.        "Board" means the members of the economic development authority appointed by the governor and in whom the powers of the authority are vested pursuant to Iowa Code section 15.105.        "Eligible business" means a business meeting the requirements of rule 261—119.4(15).        "Employee" means an individual filling a full-time equivalent job that is part of the payroll of the business receiving financial assistance under this program. “Employee” does not include a business’s part-time, leased, or contract employees.        "Financial assistance" means assistance provided only from the funds, rights, and assets legally available to the authority and includes but is not limited to assistance in the form of grants, loans, forgivable loans, and royalty payments.        "Full-time equivalent job" or "full-time" means the employment of one person:
    1. For 8 hours per day for a five-day, 40-hour workweek for 52 weeks per year, including paid holidays, vacations and other paid leave; or
    2. The number of hours or days per week, including paid holidays, vacations and other paid leave, currently established by schedule, custom, or otherwise, as constituting a week of full-time work for the kind of service an individual performs for an employing unit, provided that the number of hours per week is at least 32 hours per week for 52 weeks per year including paid holidays, vacations, and other paid leave.
    For purposes of this definition, “employment of one person” means the employment of one natural person and does not include “job sharing” or any other means of aggregation or combination of hours worked by more than one natural person.
            "Manufacturing 4.0 technology investments" or "investments" means projects that are intended to lead to the adoption of, and integration of, smart technologies into existing manufacturing operations located in the state by mitigating the risk to the manufacturer of significant technology investments. Projects may include investments in specialized hardware, software, or other equipment intended to assist a manufacturer in increasing the manufacturer’s productivity, efficiency, and competitiveness.        "Program" means the manufacturing 4.0 technology investment program established in this chapter.

    261—119.4(15) Program eligibility.  To be eligible for financial assistance under the program, an applicant shall meet all of the following requirements:    119.4(1)   The applicant must propose a manufacturing 4.0 technology investment that has not been made prior to the date of application.    119.4(2)   The applicant must manufacture goods at a facility located in Iowa.    119.4(3)   The applicant must have a North American industry classification system code within the manufacturing sector range 31-33.    119.4(4)   The applicant must have been an established business for a minimum of three years prior to the date of application to the program. The authority will presume a business was established as of the date of incorporation or organization of the applicant entity unless an applicant demonstrates to the authority’s satisfaction that the business was established earlier.    119.4(5)   The applicant must derive a minimum of 51 percent of the applicant’s overall revenue from the sale of manufactured goods.    119.4(6)   The applicant must employ a minimum of 3 employees and no more than 75 employees across all of the applicant’s locations.    119.4(7)   The applicant must have an assessment of the applicant’s proposed manufacturing 4.0 technology investment completed by the center for industrial research and service at Iowa state university of science and technology prior to submission of an application.    119.4(8)   The applicant shall demonstrate the ability to provide matching financial support for the applicant’s manufacturing 4.0 technology investment on a one-to-one basis in the form of cash. The matching financial support must be obtained from private sources.

    261—119.5(15) Application submittal and review process.      119.5(1)   The authority will develop a standardized application process and make information on applying available on the authority’s website. To apply for assistance under the program, an applicant shall submit an application to the authority in the manner prescribed by the authority. The authority will identify specific types of investments for which it intends to provide financial assistance on the application form or forms.    119.5(2)   Applications will be accepted and processed by authority staff on a continuing basis, or the authority may establish application periods as announced on the authority’s website. The authority may engage an outside technical review panel to complete technical reviews of applications. Applications will be reviewed in the order received by the authority.    119.5(3)   The authority may refuse to accept incomplete applications or may refuse to accept applications because of insufficient funds.    119.5(4)   The board, after considering the recommendations made by authority staff or a technical review panel, will determine the financial assistance award if the board determines that financial assistance should be awarded. The board has final decision-making authority on requests for financial assistance for the program. The board will take final action on all applications for financial assistance, except those rejected pursuant to subrule 119.5(3). The board may approve an award, decline to award, or refer an application back to staff or a technical review panel for further review and recommendation. The board will consider applications on a continuing basis.    119.5(5)   An applicant may submit multiple applications. The maximum amount of financial assistance awarded to any eligible business under the program for all its applications shall not exceed $75,000.    119.5(6)   Applicants will be notified in writing of an award of financial assistance, including any conditions and terms of the award, or of a denial of an award of financial assistance.

    261—119.6(15) Application scoring criteria.      119.6(1)   When applications for financial assistance under the program are reviewed by authority staff or a technical review panel, the criteria below will be considered and the application scored as described. There is no minimum score required for funding under the program. However, a lower score indicates that the authority views the application less favorably than an application with a higher score.    119.6(2)   The criteria under which each application will be scored are:    a.    The percentage of the applicant business’s revenue derived from the sale of manufactured goods: 20 points. Applicants who derive a higher percentage of revenue from the sale of manufactured goods will receive higher scores in this category.    b.    The extent to which the manufacturer’s proposed manufacturing 4.0 technology investment is consistent with the opportunities identified in the assessment completed by the center for industrial research and service at Iowa state university of science and technology pursuant to subrule 119.4(7): 20 points.    c.    The extent to which the investment integrates smart technologies into existing manufacturing operations: 15 points.    d.    The sufficiency of the proposed investment’s financing structure, the feasibility of the sources of funds, and the appropriateness of the proposed uses of the funds: 15 points.    e.    The extent to which the investment will enhance an applicant’s workforce: 10 points.    f.    The extent to which the applicant has planned for long-term use of the manufacturing 4.0 technology investment and an overall transition to smart technologies: 10 points.    g.    The extent to which the investment corresponds to the specific type of investment identified by the authority on the application form or forms: 10 points.

    261—119.7(15) Contract administration.      119.7(1)   The authority will prepare a contract for each award approved by the board. The contract will reflect the terms of the award and may include other terms and conditions reasonably necessary for implementation of the program pursuant to this chapter.    119.7(2)   Any substantive change to a proposed investment shall require an amendment to the contract. Amendments shall be requested in writing. No amendment shall be valid until approved by the board. The authority may execute nonsubstantive or corrective changes to the contract without board approval.

    261—119.8(15) Disbursement of funds.  The authority will disburse funds for an investment only after a complete application has been received, an award has been approved by the board, a contract has been executed between the applicant and the authority, and all applicable conditions for disbursement have been met, including the submission of documentation pertaining to the eligible expenditures. Disbursement of funds under the contract will be on a reimbursement basis for expenses incurred by the applicant after the date of application and as provided under the contract.

    261—119.9(15) Reporting.  An applicant receiving assistance under the program shall submit any information reasonably requested by the authority in sufficient detail to permit the authority to prepare any reports required by the authority, the board, the general assembly or the governor’s office.       These rules are intended to implement Iowa Code section 15.371 as enacted by 2021 Iowa Acts, Senate File 619.
        [Filed Emergency After Notice 9/17/21, effective 9/17/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5963CEconomic Development Authority[261]Filed Emergency After Notice

    Rule making related to funds for the empower rural Iowa program

        The Economic Development Authority (IEDA) hereby adopts Chapter 222, “Empower Rural Iowa Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in 2021 Iowa Acts, House File 871.State or Federal Law Implemented    This rule making implements, in whole or in part, 2021 Iowa Acts, House File 871, section 3.Purpose and Summary    The Empower Rural Iowa Initiative was created by Executive Order Number 3 dated July 18, 2018, which directs IEDA to provide staffing and administrative assistance for the initiative and its associated task forces. Pursuant to 2021 Iowa Acts, House File 871, $700,000 is appropriated to IEDA for the Empower Rural Iowa Program and IEDA is directed to adopt rules to establish criteria for the distribution of the appropriated funds.    The new Chapter 222 outlines uses of the funds appropriated by 2021 Iowa Acts, House File 871, including the Rural Housing Needs Assessment Grant Program administered pursuant to Chapter 220 and the Rural Innovation Grant Program administered pursuant to Chapter 221. The new chapter also allows funds to be used for other priorities identified and published by the task forces associated with the Empower Rural Iowa Initiative.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 28, 2021, as ARC 5789C. No public comments were received. No changes from the Notice have been made.Reason for Waiver of Normal Effective Date    Pursuant to Iowa Code section 17A.5(2)“b”(1)(b), IEDA finds that the normal effective date of this rule making, 35 days after publication, should be waived and the rule making made effective on September 17, 2021, because the rules provide a source of funding for existing financial assistance programs as well as other priorities of the task forces associated with the Empower Rural Iowa Initiative. These uses of funds will benefit rural communities in Iowa and their residents.Adoption of Rule Making    This rule making was adopted by IEDA on September 17, 2021.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa beyond that of the legislation it is intended to implement.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 IEDA for a waiver of the discretionary provisions, if any, pursuant to 261—Chapter 199.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 September 17, 2021.    The following rule-making action is adopted:

        ITEM 1.    Adopt the following new 261—Chapter 222: CHAPTER 222EMPOWER RURAL IOWA PROGRAM

    261—222.1(89GA,HF871) Purpose.  The empower rural Iowa initiative was created by Executive Order Number 3 dated July 18, 2018, which directs the authority to provide staffing and administrative assistance for the initiative and its associated task forces. Pursuant to 2021 Iowa Acts, House File 871, the authority is directed to adopt rules to establish criteria for the distribution of funds appropriated in section 3, subsection 11, of the legislation to the empower rural Iowa program.

    261—222.2(89GA,HF871) Definitions.  As used in this chapter, unless the context otherwise requires:        "Authority" means the economic development authority created in Iowa Code section 15.105.        "Director" means the director of the authority.        "Empower rural Iowa initiative" "initiative" means the initiative created by Executive Order Number 3 dated July 18, 2018.        "Rural community" means either an Iowa city with a population of 20,000 or less and that is not contiguous to a city with a population of 40,000 or greater, or an Iowa county that is one of the 88 least populous counties in the state.

    261—222.3(89GA,HF871) Eligible uses of funds.      222.3(1)   Funds appropriated to the authority for the empower rural Iowa program shall be used to address the challenges and opportunities of rural communities. Uses of funds shall be approved by the director.     222.3(2)   Eligible uses of funds include the following:    a.    The rural housing needs assessment grant program administered pursuant to 261—Chapter 220;     b.    The rural innovation grant program administered pursuant to 261—Chapter 221;    c.    Support for entrepreneurship and cooperative business models for businesses in rural communities;     d.    Leadership development training for representatives of rural communities;    e.    Education and training opportunities relating to succession planning for businesses in rural communities;    f.    Promotion of e-commerce opportunities for businesses in rural communities; and    g.    Implementation of additional recommendations published by the investing in rural Iowa task force, the growing rural Iowa task force, and the connecting rural Iowa task force created by the empower rural Iowa initiative and administered by the authority.        These rules are intended to implement 2021 Iowa Acts, House File 871.
        [Filed Emergency After Notice 9/17/21, effective 9/17/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5933CIowa Finance Authority[265]Filed Emergency After Notice

    Rule making related to local housing trust fund allocation plan

        The Iowa Finance Authority hereby amends Chapter 19, “State Housing Trust Fund,” Iowa Administrative Code. Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 16.5.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 16.181 and 2021 Iowa Acts, Senate File 619.Purpose and Summary    This rule making updates Chapter 19 to incorporate by reference amendments to the trust fund allocation plan (the “allocation plan”) for the Local Housing Trust Fund Program. 2021 Iowa Acts, Senate File 619, increases the amount of real estate transfer taxes that may be transferred into the State Housing Trust Fund (the “Fund”) from $3 million to $7 million. Iowa Code section 16.181 requires that a Local Housing Trust Fund provide a local match that is approved by the Authority, but does not specify the amount of match. The allocation plan currently requires that Local Housing Trust Funds provide a match of 25 percent of the amount requested from the Fund. Awards are made to eligible Local Housing Trust Funds based upon a formula. If the local match requirement were left unchanged, several Local Housing Trust Funds, particularly those serving rural areas, may find it extremely difficult to meet the local match requirement. The Authority is reducing the local match requirement in FY 2022 and plans to gradually step it back up to 25 percent by FY 2025.    The Authority is also adopting amendments to update the Authority’s website address and strike an outdated requirement to deposit program applications and related documents with the Administrative Rules Coordinator and at the State Law Library. The Authority is striking this last requirement because it is not required by statute and does not conform with current program practice.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 28, 2021, as ARC 5793C.     The Authority received comments from Local Housing Trust Funds. The comments were supportive of the amendments overall while requesting a further reduction in the local match rate for FY 2022. Local Housing Trust Funds noted that, in many cases, the local match is provided by county governments whose budgets were set prior to the passage of 2021 Iowa Acts, Senate File 619. Consequently, it would be very difficult for the Local Housing Trust Funds to raise the additional local match for this fiscal year. In response, the Authority has lowered the effective local match rate to 15 percent for FY 2022 and will maintain the schedule proposed for state FY 2023 to 2025.    This rule making has been updated from the Notice to identify the date of the Local Housing Trust Fund allocation plan, which is incorporated by reference in Chapter 19. The allocation plan has been updated to reflect a lower effective local match rate for FY 2022. However, this change is not incorporated in this rule making because the plan is incorporated by reference. Reason for Waiver of Normal Effective Date    Pursuant to Iowa Code section 17A.5(2)“b”(1)(b), the Authority finds that the normal effective date of this rule making, 35 days after publication, should be waived and the rule making made effective on September 13, 2021, because these amendments confer a benefit on the Local Housing Trust Funds that are awarded funds and on the Iowans they serve. These amendments make it more likely that Local Housing Trust Funds will be able to meet the increased local match requirement in the coming years and fully utilize the funding that is available to develop and preserve decent, safe, and affordable housing throughout Iowa.Adoption of Rule Making    This rule making was adopted by the Authority on September 8, 2021.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. 2021 Iowa Acts, Senate File 619, increases by up to $4 million the amount of real estate transfer taxes transferred into the State Housing Trust Fund. Jobs Impact    After analysis and review of this rule making, this rule making may have a positive impact on employment in Iowa, creating jobs in the construction industry. 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 Authority for a waiver of the discretionary provisions, if any, pursuant to 265—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 became effective on September 13, 2021.    The following rule-making action is adopted:

        ITEM 1.    Amend 265—Chapter 19 as follows: CHAPTER 19STATE HOUSING TRUST FUND

    265—19.1(16) Trust fund allocation plans.  The trust fund allocation plan entitled Iowa Finance Authority State Housing Trust Fund Allocation Plan for the Local Housing Trust Fund Program dated March 2019September 2021 shall be the allocation plan for the award, pursuant to the local housing trust fund program, of funds held within the state housing trust fund established in Iowa Code section 16.181. The trust fund allocation plan entitled Iowa Finance Authority State Housing Trust Fund Allocation Plan for the Project-Based Housing Program dated June 2009 shall be the allocation plan for the distribution, pursuant to the project-based housing program, of funds held within the state housing trust fund. The trust fund allocation plans for the local housing trust fund program and the project-based housing program include the plans, applications, and application instructions. The trust fund allocation plans for the local housing trust fund program and the project-based housing program are incorporated by reference pursuant to Iowa Code section 17A.6 and 265—subrules 17.4(2) and 17.12(2).

    265—19.2(16) Location of copies of the plans.  The trust fund allocation plans for the local housing trust fund program and the project-based housing program may be reviewed and copied in their entirety on the authority’s Web sitewebsite at www.iowafinanceauthority.govwww.iowafinance.com. Copies of the trust fund allocation plans for the local housing trust fund program and the project-based housing program, the applications, and all related attachments and exhibits, if any, shall be deposited with the administrative rules coordinator and at the state law library. The plans incorporate by reference Iowa Code section 16.181.       These rules are intended to implement Iowa Code Supplement sections 16.5(1)“r” and 16.181.
        [Filed Emergency After Notice 9/13/21, effective 9/13/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5955CAging, Department on[17]Adopted and Filed

    Rule making related to waivers

        The Department on Aging hereby amends Chapter 1, “Introduction, Abbreviations and Definitions,” and Chapter 11, “Waivers or Variances from Administrative Rules,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 17A.3 and 231.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 17A.9A as amended by 2020 Iowa Acts, House File 2389, section 10.Purpose and Summary    2020 Iowa Acts, House File 2389, made several changes to agency rule-making requirements. Section 10 of the legislation modified the requirements for waiver or variance of rules by agencies by striking references to variances. This adopted rule making brings the Department into compliance with the changes to Iowa Code section 17A.9A.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 28, 2021, as ARC 5791C. 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 Aging on September 9, 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 17—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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 17—1.1(231) as follows:

    17—1.1(231) Authority and purpose.  The rules of the Iowa department on aging are based on the authority of Iowa Code chapters 231, 231E, 235B and 249H. These rules prescribe requirements:
    1. That agencies shall meet to receive grants under the Older Americans Act and other funds administered through the Iowa department on aging;
    2. For planning, administration and service delivery for the department as well as the area agencies on aging;
    3. Of the department’s fiscal policy;
    4. To request waivers or variances from administrative rules;
    5. For monitoring, complaint investigation and penalties for programs under the department’s jurisdiction; and
    6. For operation, administration and planning of the long-term care resident’s advocate/ ombudsman office and other entities under the department’s purview which assist in ensuring quality care and protection of Iowa’s older individuals.

        ITEM 2.    Amend 17—Chapter 11, title, as follows:WAIVERS OR VARIANCES FROM ADMINISTRATIVE RULES

        ITEM 3.    Amend rule 17—11.1(17A,231,ExecOrd11), definition of “Waiver or variance,” as follows:        "Waiver or variance" means action by the department which suspends in whole or in part the requirements or provisions of a rule as applied to an identified person or program on the basis of the particular circumstances of that person or program. For simplicity, the term “waiver” shall include both a “waiver” and a “variance.”

        ITEM 4.    Amend rule 17—11.4(17A,231,ExecOrd11), catchwords, as follows:

    17—11.4(17A,231,ExecOrd11) Criteria for waiver or variance.  
        [Filed 9/15/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5966CCollege Student Aid Commission[283]Adopted and Filed

    Rule making related to the all Iowa opportunity scholarship program

        The College Student Aid Commission hereby amends Chapter 8, “All Iowa Opportunity Scholarship Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 261.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 261; 2021 Iowa Acts, Senate File 285; and 2021 Iowa Acts, House File 868.Purpose and Summary    This rule making implements amendments enacted by 2021 Iowa Acts, Senate File 285, to allow a scholarship recipient to suspend enrollment for a period not to exceed two years in the event of military deployment or temporary medical incapacity, in relation to a national or state declaration of emergency or volunteer service or missionary work, or other exceptional circumstances approved by the Commission.    This rule making also implements amendments enacted by 2021 Iowa Acts, House File 868, by adding stepchildren to each category in the definition of “eligible surviving-child student.” In addition, a new category is added to the definition of “eligible surviving-child student” to provide priority scholarship eligibility to children or stepchildren of an employee of the Iowa Department of Corrections or of a judicial district department of correctional services who was killed in the line of duty.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5854C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commission on September 17, 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 Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7.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 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 283—8.2(261), definition of “Eligible surviving-child student,” as follows:        "Eligible surviving-child student" means a person who is not a convicted felon as defined in Iowa Code section 910.15 and who meets any of the following criteria:
    1. Is the childor stepchild of a peace officer, as defined in Iowa Code section 97A.1, who was killed in the line of duty as determined by the board of trustees of the Iowa department of public safety peace officers’ retirement, accident, and disability system in accordance with Iowa Code section 97A.6(16).
    2. Is the childor stepchild of a police officer or fire fighter, as defined in Iowa Code section 411.1, who was killed in the line of duty as determined by the statewide fire and police retirement system in accordance with Iowa Code section 411.6(15).
    3. Is the childor stepchild of a sheriff or deputy sheriff, as defined in Iowa Code section 97B.49C, who was killed in the line of duty as determined by the Iowa public employees’ retirement system in accordance with Iowa Code section 97B.52(2).
    4. Is the childor stepchild of a fire fighter or police officer included under Iowa Code section 97B.49B, who was killed in the line of duty as determined by the Iowa public employees’ retirement system in accordance with Iowa Code section 97B.52(2).
    5. Is the child or stepchild of an employee of the Iowa department of corrections, or of a judicial district department of correctional services, who was killed in the line of duty.

        ITEM 2.    Adopt the following new definition of “Stepchild” in rule 283—8.2(261):        "Stepchild" means the same as defined in Iowa Code section 450.1.

        ITEM 3.    Adopt the following new subrule 8.3(4):    8.3(4)   If a scholarship recipient suspends enrollment at the eligible college or university after receipt of the scholarship due to military deployment; due to a temporary medical incapacity; in relation to the declaration of a national or state emergency; service in AmeriCorps, Volunteers in Service to America, or the federal Peace Corps; due to a period of religious missionary work conducted by an organization exempt from federal income taxation pursuant to Section 501(c)(3) of the Internal Revenue Service; or other exceptional circumstances approved by the commission, the recipient must apply for a waiver. If the waiver is approved, the recipient is not required to continuously receive the scholarship during the period covered by the waiver.    [Filed 9/17/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5967CCollege Student Aid Commission[283]Adopted and Filed

    Rule making related to health care professional recruitment program

        The College Student Aid Commission hereby amends Chapter 14, “Health Care Professional Recruitment Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 261.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 261 and 2021 Iowa Acts, House File 196.Purpose and Summary    This rule making implements amendments enacted by 2021 Iowa Acts, House File 196. House File 196 expands loan repayment eligibility to health professionals who graduate from Iowa Regents universities and Iowa private colleges and universities, and who agree to practice in rural Iowa. In addition, House File 196 includes athletic trainers and occupational therapists as eligible health care professionals.    This rule making also provides a definition of “eligible rural community,” a term that is consistently used in programs administered by the Commission; implements criteria to prioritize awards in the event that funding is not sufficient to award all new applicants; and ensures that recipients do not receive awards in other loan repayment programs administered by the Commission.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5855C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commission on September 17, 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 Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7.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 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Rescind 283—Chapter 14, preamble.

        ITEM 2.    Amend rule 283—14.1(261), definitions of “Eligible rural community” and “Health care professional,” as follows:        "Eligible rural community" means a medically underserved rural Iowa community which agrees to match state funds on at least a dollar-for-dollar basis for the loan repayment of a health care professional who practices in the communitycity with a population of less than 26,000 that is located more than 20 miles from a city with a population of 50,000 or more. Locations and distances between cities will be consistently measured and verified by calculating the shortest travel distance on paved roads.        "Health care professional" means an individual who holds a practitioner’s license issued by an agency or board under the Iowa department of public health and is employed as aan athletic trainer, occupational therapist, physician, physician assistant, podiatrist, or physical therapist.

        ITEM 3.    Adopt the following new definitions of “Eligible institution” and “Matching funds” in rule 283—14.1(261):        "Eligible institution" means an institution of higher learning governed by the state board of regents or an accredited private institution as defined in Iowa Code section 261.9. Eligible institutions seeking to participate must complete an application provided by the commission and agree to place health care professionals in eligible rural communities.        "Matching funds" means at least a dollar-for-dollar loan repayment match to the state health care professional recruitment program award.

        ITEM 4.    Amend rule 283—14.2(261) as follows:

    283—14.2(261) Health care professional loan repayment program.      14.2(1) Recruitment.  The universityeligible institution shall recruit and place health care professionals in eligible rural communities that agree to provide matching funds forcommunicate the availability of the health care professional loan repayment programto current students training to become health care professionals and alumni who are health care professionals.The commission will ensure, to the extent possible, that an equal number of new agreements are available to health care professionals in each occupation category. Selection of new applicants within each occupation category will be prioritized as follows:    a.    Students in their final year of a degree program leading to a license to practice as a health care professional;    b.    The most recent graduates of a degree program leading to a license to practice as a health care professional, with the most recent academic year graduates given priority;    c.    Date of application.    14.2(2) Health care professional service requirement.  The health care professional service requirement for the health care professional loan repayment program is four years. The health care professional must annually verify, in a format acceptable to the commission, that the health care professional practiced in an eligible rural community for 12 consecutive months for each year of required service. An award will be prorated based on the months of service provided in a state fiscal year if less than 12 months.An award will also be prorated if the individual is employed on a less than full-time basis.    14.2(3) Award.  The health care professional may receive up to $50,000 in state-funded repayment benefits when aan eligible rural community agrees to fund matching benefitsprovide matching funds of an equal or greater amount.At least a dollar-for-dollar match must be provided. Matching funds from an eligible rural community totaling less than $50,000 will result in an equally lower state health care professional recruitment program award.    14.2(4) Eligible loans.  Eligible loans include subsidized and unsubsidized Stafford loans, Grad PLUS loans and consolidated loans. Only the outstanding portion of a Federal Consolidation Loan that was used to repay an eligible subsidized or unsubsidized Federal Stafford Loan, an eligible Direct Subsidized Loan, an eligible Direct Unsubsidized Loan, or an eligible Grad PLUS Loan qualifies for loan repayment. A health care professional who receives loan repayment under this program and who refinances an eligible loan by obtaining a private educational loan may continue to receive loan repayment awards.    14.2(5) Disbursement.  The commission shall disburse the loan payment to the health care professional’s loan holder in return for completion of the service requirements in an eligible rural community.    14.2(6) Restrictions.  A recipient of a loan repayment award under Iowa Code section 261.113, 261.114, or 261.115 shall not be eligible for an award under this chapter.A health care professional who is in default on a Stafford loan, SLS loan, Grad PLUS loan, or a Perkins/National Direct/National Defense student loan or who owes a repayment on any Title IV grant assistance or state award shall be ineligible for repayment benefits. Eligibility for state aid may be reinstated upon payment in full of the delinquent obligation or by commission ruling on the basis of adequate extenuating evidence presented in appeal under the procedures set forth in 283—Chapter 5, Iowa Administrative Code.    14.2(7) Repayment.      a.    If loan repayment funds are applied prior to the health care professional’s completion of the service requirement and the health care professional fails to complete the service requirement, repayment shall begin 30 days following termination of practice in an eligible rural community.    b.    The commission shall prorate the award balance based on the months of service provided.    c.    The health care professional shall repay the prorated balance of the loan repayment benefits and accrued interest at 12 percent per annum. Interest shall accrue on the unpaid principal balance of each loan from the effective date of the loan repayment agreement until the loan is paid in full.    d.    The prorated balance owed by the health care professional must be paid in full within three years from the date the service ends.
        [Filed 9/17/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5964CCollege Student Aid Commission[283]Adopted and Filed

    Rule making related to approval of postsecondary schools

        The College Student Aid Commission hereby amends Chapter 21, “Approval of Postsecondary Schools,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 261.3 and 261B.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapters 261 and 261B and 2021 Iowa Acts, House File 644.Purpose and Summary    This rule making implements amendments enacted by 2021 Iowa Acts, House File 644, sections 1 and 2. House File 644 authorizes the Commission to utilize funding in the postsecondary registration fund to assist Iowans who are negatively impacted by a precipitous school closure. This rule making provides a definition of “school closure,” defines the types of assistance the Commission can provide in the event of a school closure, clarifies student eligibility for assistance, and establishes the claim, approval, and awarding processes for eligible students. In addition, this rule making makes technical amendments to ensure the authorization duties associated to exempt schools are clarified in rule.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5852C. No public comments were received. One change from the Notice has been made to correct an incorrect cross-reference in subrule 21.16(3) in Item 4. Adoption of Rule Making    This rule making was adopted by the Commission on September 17, 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 Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7.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 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 283—21.1(261B,261G) as follows:

    283—21.1(261B,261G) Postsecondary registration, exemption from registration, and participation in the commission-approved reciprocity agreement.  The college student aid commission examines college and university applications for registration to operate in Iowaor authorization to operate under an exemption from registration and monitors schools approved by the commission to operate in the state. The commission also examines Iowa college and university applications for participation in an interstate reciprocity agreement under which the commission is an approved participant.

        ITEM 2.    Amend rule 283—21.2(261B,261G), definition of “School,” as follows:        "School" means a postsecondary educational institution that applies to register or is currently registered to offer all or a portion of a program in Iowa, or applies to operate or is operating under an approved exemption from registration, under Iowa Code chapter 261B. “School” also means a postsecondary educational institution that is seeking to participate in the commission’s approved interstate reciprocity agreement under Iowa Code chapter 261G or that is a “participating resident institution” as defined in Iowa Code section 261G.2. A postsecondary educational institution that maintains a physical location outside of the state of Iowa and that must register under Iowa Code chapter 261B to operate at a physical location in this state is not a school that is eligible to participate in the commission’s approved interstate reciprocity agreement under Iowa Code chapter 261G.

        ITEM 3.    Adopt the following new definition of “School closure” in rule 283—21.2(261B,261G):        "School closure" means a precipitous or abrupt closure of a school during a semester, school period, or term of enrollment that leaves students without an option to complete the courses or program they started and with no ability to receive credit.

        ITEM 4.    Adopt the following new rule 283—21.16(261B,261G):

    283—21.16(261B,261G) School closures.  In the event of a school closure, the commission may use unobligated funds from the postsecondary registration fund, pursuant to Iowa Code section 261B.8, to assist impacted eligible students.    21.16(1) Student eligibility.  The provisions of this rule apply to Iowa resident students who were enrolled in a postsecondary educational program that leads to a recognized educational credential or were on an approved leave of absence when the school abruptly closed.    21.16(2) Assistance to impacted eligible students.  The commission may provide the following forms of assistance to eligible students impacted by a school closure:    a.    Procure, evaluate, and store records needed to establish the validity of claims against a school for failure to faithfully perform all contracts and agreements.    b.    Pay institutional charges on behalf of Iowans who enrolled at the school.     c.    Support an arrangement in which the school provides its current students with the opportunity to complete the students’ courses of study after the school closes, including any activities designed to facilitate the transition of such students to another postsecondary educational institution.    d.    Pay private educational loan debt incurred by Iowans for attendance at the school during the enrollment term that the college closes.    e.    Reimburse Iowans who enrolled at the school for other financial loss, as determined by the commission.     21.16(3) Claims process.  An eligible student making a claim for reimbursement under paragraph 21.16(2)“b,”“d,” or “e” must contact the commission for a claim form and provide the following supporting information and documentation:     a.    Proof of enrollment at the time of school closing.     b.    Proof of attendance at the time of school closing.     c.    Proof of Iowa residency at the time of school closing.    d.    Proof of payment of private educational loan debt, tuition, fees, or other financial loss as determined by the commission.    e.    Any other documentation to support a student’s claim of enrollment, attendance, or payment.    21.16(4) Approval process.  The commission will review a claim and the supporting information and documentation submitted by each eligible student seeking reimbursement under this rule. The commission may delay approval of claims for a period not to exceed one year to ensure all claims related to a school closure are received.    21.16(5) Awarding of approved claims.      a.    All claims for reimbursement shall be submitted and approved within one year of the date of the school closure.    b.    Claims for reimbursement will first be made against the school’s surety bond.    c.    If the school’s surety bond is insufficient to provide reimbursement to all approved claims, the postsecondary registration fund, pursuant to Iowa Code section 261B.8, may be used to reimburse any remaining approved claims.In no case will the total approved claims related to a single school closure exceed one‑half of the unobligated balance in the postsecondary registration fund pursuant to Iowa Code section 261B.8. If the postsecondary registration fund is insufficient to cover the full amount of all approved claims, the commission shall develop a method of allocating the funds.    21.16(6) Appeal process.  The procedures set forth in 283—Chapter 4 will be followed in the event of an appeal to a decision by the commission.
        [Filed 9/17/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5965CCollege Student Aid Commission[283]Adopted and Filed

    Rule making related to rural Iowa primary care loan repayment program

        The College Student Aid Commission hereby amends Chapter 24, “Rural Iowa Primary Care Loan Repayment Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 261.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 261 and 2021 Iowa Acts, Senate File 129.Purpose and Summary    This rule making implements amendments enacted by 2021 Iowa Acts, Senate File 129. Senate File 129 adds OB-GYN as an eligible specialty and expands the eligible practice areas for psychiatrists. In addition, the legislation allows the Commission to amend the service agreement upon request of the recipient to allow the individual to work on a part-time basis.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5853C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commission on September 17, 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 Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7.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 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 283—24.2(261), definitions of “Physician” and “Service commitment area,” as follows:        "Physician" means an individual who holds a practitioner’s license issued by an agency or board under the Iowa department of public health and is employed in the practice of medicine and surgery or osteopathic medicine and surgery, specializing in family medicine, pediatrics, psychiatry, internal medicine,obstetrics and gynecology, or general surgery.        "Service commitment area" means a medically underserved Iowa city with a population of less than 26,000 that is located more than 20 miles from a city with a population of 50,000 or more. Each physician participating in the program must contract with the service commitment area to ensure the service commitment area provides a nonrefundable $20,000 contribution for deposit in the rural Iowa primary care trust fund. Payment of the nonrefundable contribution to the trust fund can be made by, but is not limited to, the following organizations: community agencies, hospitals, medical groups, municipalities, community foundations, local government entities, or other community entities. Locations and distances between cities will be consistently measured and verified by calculating the shortest travel distance on paved roads.which provides a nonrefundable contribution for each physician in the community who is participating in the rural Iowa primary care loan repayment program and which meets any of the following conditions:
    1. Is a city within a federal mental health shortage area, as designated by the Health Resources and Services Administration of the United States Department of Health and Human Services, if the physician participating in the rural Iowa primary care loan repayment program specializes in psychiatry.
    2. Is a city with a population of less than 26,000 that is located more than 20 miles from a city with a population of 50,000 or more. Locations and distances between cities will be consistently measured and verified by calculating the shortest travel distance on paved roads.

        ITEM 2.    Adopt the following new definition of “Contribution” in rule 283—24.2(261):        "Contribution" means a nonrefundable $20,000 contribution paid by the service commitment area to the rural Iowa primary care trust fund for each physician in the community who is participating in the program. Each physician participating in the program must contract with the service commitment area to ensure the service commitment area provides the nonrefundable contribution. Payment of the nonrefundable contribution to the trust fund can be made by, but is not limited to, the following organizations: community agencies, hospitals, medical groups, municipalities, community foundations, local government agencies, or other community entities.

        ITEM 3.    Amend subrule 24.3(5) as follows:    24.3(5)   Within nine months of graduating from the residency program, an applicant must receive a permanent license to practice medicine and surgery or osteopathic medicine and surgery in the state of Iowa and engage in full-time practice, as defined by the service commitment area, of medicine and surgery or osteopathic medicine and surgery specializing in family medicine, pediatrics, psychiatry, internal medicine,obstetrics and gynecology, or general surgery for a period of five consecutive years in a service commitment area.

        ITEM 4.    Amend subrule 24.5(2) as follows:    24.5(2) Full-time employment.  The commission may waive the requirement that the physician be employed full-time if the physician demonstrates exceptional circumstances. The physician must requestrequests a waiver from the commission in writingand is working at least 28 hours per week. If a waiver request is granted by the commission, the agreement will be amended to provide an allowance for part-time employment. The five-year employment obligation will be proportionally extended to ensure the physician is employed in a service commitment area for the equivalent of five full-time years.    [Filed 9/17/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5968CCollege Student Aid Commission[283]Adopted and Filed

    Rule making related to National Guard master’s degree scholarship program

        The College Student Aid Commission hereby adopts new Chapter 29, “Iowa National Guard Master’s Degree Scholarship Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 261.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 261 and 2021 Iowa Acts, House File 428.Purpose and Summary    This rule making implements provisions related to providing scholarships to members of the National Guard who are enrolled in certain master’s degree programs as enacted by 2021 Iowa Acts, House File 428. In the event that the Adjutant General authorizes the expenditure of unencumbered or unobligated funds from Iowa Code section 261.86(6) to provide scholarship awards for the recruitment or retention of individuals who are pursuing completion of science, technology, engineering, and mathematics master’s degree programs, the Iowa National Guard and Commission will utilize this new chapter to guide the administration of those benefits.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5856C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commission on September 17, 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 Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7.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 10, 2021.    The following rule-making action is adopted:

        ITEM 1.    Adopt the following new 283—Chapter 29: CHAPTER 29IOWA NATIONAL GUARD MASTER’S DEGREE SCHOLARSHIP PROGRAM

    283—29.1(261) Scholarships to Iowa national guard members for master’s degree studies at eligible Iowa institutions.  In the event that the adjutant general authorizes the expenditure of unencumbered or unobligated funds from Iowa Code section 261.86(6) for the recruitment or retention of individuals by providing a scholarship award to an eligible member of the Iowa national guard, this chapter shall be used to administer authorized scholarships. The adjutant general shall select program recipients and authorize scholarship awards under this chapter. The decision of the adjutant general is final.    29.1(1) Definitions.  As used in this chapter:        "Eligible program of study" means a master’s degree program in science, technology, engineering, and mathematics-related military occupational specialties or air force specialty codes that is in compliance with the federal Edith Nourse Rogers STEM scholarship program established under 38 United States Code §3320.        "Federal active duty" means military duty performed pursuant to orders issued under Title 10, United States Code, other than for training.        "State-defined payment period" means one of six payment terms and corresponding deadlines as defined by the college student aid commission.    29.1(2) Eligible guard member.  A recipient must:    a.    Be a resident of Iowa, as defined by the adjutant general of Iowa, and a member of an Iowa army or air national guard unit throughout each term for which the member receives benefits.    b.    Have satisfactorily completed required guard training.    c.    Have maintained satisfactory performance of guard duty.    d.    Have applied to the adjutant general of Iowa for program eligibility by the established application deadline date(s) by completing the Free Application for Federal Student Aid (FAFSA) and any other application form required. The adjutant general shall accept an application from an eligible member of the Iowa national guard who was on federal active duty at the time of an application deadline if the application is received within 30 days after the eligible member returns to Iowa from federal active duty. The applicant will be considered for funding for the state-defined payment period in which the application was received and any future state-defined payment periods in that academic year.    e.    Be pursuing an eligible program of study at an institution of higher education governed by the state board of regents or an accredited private institution or eligible institution located in Iowa that meets all eligibility requirements set forth in Iowa Code section 261.9.    f.    Be maintaining satisfactory academic progress.    g.    Have been offered the scholarship incentive either:    (1)   In the military entrance process, or    (2)   Within the final year of the service member’s initial contract obligation, if the individual signs a six-year extension.    29.1(3) Selection criteria.  The adjutant general will select eligible guard members to receive the scholarship benefit. Neither eligibility nor scholarship award determinations shall be based upon an eligible guard member’s unit, the location at which drills are attended, or whether the eligible guard member is a member of the Iowa army or air national guard.    29.1(4) Award limitations.  Awards may be used for tuition and fees; room and board; books, supplies, transportation and personal expenses; dependent care; and disability-related expenses. Individual award amounts shall be determined by the adjutant general and shall neither be less than an amount equal to 50 percent of the resident tuition rate established for students attending the eligible program of study at regent institutions nor exceed the amount of the resident tuition rate established for students attending the eligible program of study at regent institutions.    29.1(5) Restrictions.  An eligible guard member may receive the scholarship award for no more than 36 semester credit hours, or the equivalent, of graduate degree study. All credit hours applicable to the eligible program of study in a term of enrollment in which a scholarship was received must be reported to the commission within the state-defined payment period.    29.1(6) Verification and compliance.      a.    The adjutant general will notify the commission of all eligible guard members. Changes in member eligibility will be sent to the commission within 30 days of the change.    b.    The commission will notify eligible Iowa colleges and universities of guard member eligibility.    c.    The commission will coordinate the collection and dissemination of eligibility and enrollment information received from the adjutant general and colleges and universities.     d.    The institution’s financial aid administrator will be responsible for completing academic progress enrollment verifications and for coordinating other aid to ensure compliance with student eligibility requirements and allowable award amounts. Colleges and universities will report changes in student enrollment to the commission within 30 days after the last day of the enrollment period.        This rule is intended to implement 2021 Iowa Acts, House File 428.
        [Filed 9/17/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5969CCollege Student Aid Commission[283]Adopted and Filed

    Rule making related to National Guard student loan repayment program

        The College Student Aid Commission hereby adopts new Chapter 30, “Iowa National Guard Student Loan Repayment Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 261.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 261 and 2021 Iowa Acts, House File 428.Purpose and Summary    This rule making implements a new loan repayment program enacted by 2021 Iowa Acts, House File 428. In the event that the Adjutant General authorizes the expenditure of unencumbered or unobligated funds from Iowa Code section 261.86(6) to issue loan repayment awards for the recruitment or retention of individuals who have completed or are pursuing completion of science, technology, engineering, and mathematics programs of study, the Iowa National Guard and Commission will utilize this chapter to guide the administration of those benefits.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5857C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commission on September 17, 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 Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7.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 10, 2021.    The following rule-making action is adopted:

        ITEM 1.    Adopt the following new 283—Chapter 30: CHAPTER 30IOWA NATIONAL GUARD STUDENT LOAN REPAYMENT PROGRAM

    283—30.1(261) Loan repayment awards to Iowa national guard members.  In the event that the adjutant general authorizes the expenditure of unencumbered or unobligated funds from Iowa Code section 261.86(6) for the recruitment or retention of individuals by issuing student loan repayment awards to an eligible member of the Iowa national guard, this chapter shall be used to administer authorized awards. The adjutant general shall select program recipients and authorize awards under this chapter.     30.1(1) Definitions.  As used in this chapter:        "Eligible program of study" means a program of study in science, technology, engineering, and mathematics-related military occupational specialties or air force specialty codes that is in compliance with the federal Edith Nourse Rogers STEM Scholarship program established under 38 United States Code §3320.        "Federal active duty" means military duty performed pursuant to orders issued under Title 10, United States Code, other than for training.        "Qualified student loan" means a federally guaranteed Stafford Loan under the Federal Family Education Loan Program or the Federal Direct Loan Program, a federal Grad PLUS Loan, or a federal Perkins Loan, including principal and interest. Only the outstanding portion of a federal consolidation loan that was used to repay a qualified student loan qualifies for loan repayment.     30.1(2) Eligibility requirements.  An eligible guard member must:    a.    Be a resident of Iowa, as defined by the adjutant general of Iowa, and a member of an Iowa army or air national guard unit.    b.    Have satisfactorily completed required guard training.    c.    Have maintained satisfactory performance of guard duty.    d.    Have applied to the adjutant general of Iowa by the established application deadline date(s) by completing any application form required. The adjutant general shall accept an application from an eligible member of the Iowa national guard who was on federal active duty at the time of an application deadline if the application is received within 30 days after the eligible member returns to Iowa from federal active duty. A new application may be required in subsequent years to renew loan repayment eligibility.     e.    Be pursuing or have completed an eligible program of study.    f.    Have been offered the loan repayment incentive either:    (1)   In the military entrance process, or    (2)   Within the final year of the service member’s initial contract obligation, and the individual must sign a six-year extension.    g.    Continue to meet the requirements of the contract with the Iowa national guard and the provisions of this chapter.    30.1(3) Selection criteria.  The adjutant general will select eligible guard members to receive the student loan repayment benefit. Neither eligibility nor loan repayment award determinations shall be based upon an eligible guard member’s unit, the location at which drills are attended, or whether the eligible guard member is a member of the Iowa army or air national guard.    30.1(4) Annual award.  The maximum award shall be the lesser of:    a.    $5,000, or    b.    100 percent of the eligible guard member’s outstanding qualified student loan.     30.1(5) Extent of repayment.  Eligible guard members may receive loan repayment for no more than six consecutive years. Eligible guard members who fail to receive loan repayment awards in consecutive years will not be considered for subsequent years of loan repayment.    30.1(6) Disbursement of loan repayment funds.      a.    Loan repayment awards will be disbursed upon completion of the year for which the award was approved. Prior to issuing the loan repayment award, commission staff will certify that the eligible guard member meets the eligibility requirements.    b.    Following completion of the provisions in paragraph 30.1(6)“a,” loan repayment awards will be distributed to the eligible guard member’s student loan holder and applied directly to qualified student loans.    30.1(7) Loan repayment cancellation.  The adjutant general may cancel future loan repayment benefits for an individual if the individual does not continue to meet the provisions under this chapter or if funding is insufficient to provide future loan repayment awards.    30.1(8) Restrictions.  An eligible guard member who is in default on a qualified student loan or who owes a repayment on any Title IV grant assistance or state award shall be ineligible for loan repayment benefits. Eligibility may be reinstated upon payment in full of the delinquent obligation or by commission ruling on the basis of adequate extenuating evidence presented in appeal under the procedures set forth in 283—Chapters 4 and 5. Changes in eligible guard member eligibility will be sent to the commission within 30 days of the change.       This rule is intended to implement 2021 Iowa Acts, House File 428.
        [Filed 9/17/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5970CEconomic Development Authority[261]Adopted and Filed

    Rule making related to apprenticeship training program

        The Economic Development Authority hereby amends Chapter 12, “Apprenticeship Training Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 15.106A and 15B.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 15B as amended by 2021 Iowa Acts, House File 559.Purpose and Summary    2021 Iowa Acts, House File 559, amends Iowa Code chapter 15B relating to the Apprenticeship Training Program. The amended statute defines “contact hours” as the number of hours of in-person instruction received by an apprentice and provides that an apprenticeship program is eligible for assistance under the Apprenticeship Training Program only if its training includes at least 100 contact hours. The legislation also amends the calculation used to determine the amount of assistance provided to each eligible apprenticeship sponsor or lead apprenticeship sponsor.    This rule making amends Chapter 12 to reflect the changes made to the Iowa Code as well as removes outdated references to legislation and contact information for the Authority.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 28, 2021, as ARC 5787C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Authority on September 17, 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 Authority for a waiver of the discretionary provisions, if any, pursuant to 261—Chapter 199. 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 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Adopt the following new definition of “Contact hours” in rule 261—12.3(15,15B):        "Contact hours" means the number of hours of in-person instruction received by an apprentice participating in an apprenticeship program.

        ITEM 2.    Amend subrule 12.4(1) as follows:    12.4(1)   The authority will provide financial assistance under the program from moneys appropriated for purposes of the program pursuant to Iowa Code section 15.342A and 2014 Iowa Acts, House File 2460, section 3.

        ITEM 3.    Amend subrule 12.5(1) as follows:    12.5(1)   The applicant is an apprenticeship sponsor, or a lead apprenticeship sponsor, that is conductingconducts an apprenticeship programthat is registered with the U.S. Department of Labor, Office of Apprenticeship, through Iowa, for apprentices who will be employed at Iowa worksitesin Iowa.

        ITEM 4.    Renumber subrules 12.5(2) to 12.5(4) as 12.5(3) to 12.5(5).

        ITEM 5.    Adopt the following new subrule 12.5(2):    12.5(2)   The applicant conducts an apprenticeship program that includes a minimum of 100 contact hours per apprentice for each training year of the apprenticeship program.

        ITEM 6.    Amend rule 261—12.6(15,15B) as follows:

    261—12.6(15,15B) Determination of financial assistance grants.  The authority will provide financial assistance in the form of training grants toeligible apprenticeship sponsors or lead apprenticeship sponsors. The maximum amount of financial assistance provided to an eligible apprenticeship sponsor or lead apprenticeship sponsor will be calculated in the following manner:    12.6(1)   By determining the total amount of funding allocated for purposes of training grants for apprenticeship programs as described in rule 261—12.4(15,15B).    12.6(2)   By adding together all of the following:a.    Thedetermining the total number of apprentices trainedduring the most recent training year, as calculated on the last day of the training year, in all apprenticeship programs conducted by all applying apprenticeship sponsors or lead apprenticeship sponsors during the most recent training year as calculated on the last day of the training yeareligible to apply for financial assistance under rule 261—12.5(15,15B).    b.    The total number of contact hours that apprenticeship instructors for all applying apprenticeship sponsors or lead apprenticeship sponsors spent in contact with apprentices during the most recent training year. For purposes of this paragraph, “contact hours” includes the time spent instructing apprentices in person or, in the case of a lead apprenticeship sponsor with programs totaling 100 or more total instructional hours, “contact hours” includes the time spent in online training if the total amount of online instruction does not account for more than 30 percent of the total instructional hours.    12.6(3)   By adding together all of the following:a.    Thedetermining the total number of apprentices trainedduring the training year, as calculated on the last day of the training year, in each apprenticeship program conducted by a singleeach applying apprenticeship sponsor or lead apprenticeship sponsor during the most recent training year as calculated on the last day of the training yeareligible to apply and that applied for financial assistance under rule 261—12.5(15,15B).    b.    The total number of contact hours that apprenticeship instructors for a single applying apprenticeship sponsor or lead apprenticeship sponsor spent in contact with apprentices during the most recent training year. For purposes of this paragraph, “contact hours” includes the time spent instructing apprentices in person or, in the case of a lead apprenticeship sponsor with programs totaling 100 or more total instructional hours, “contact hours” includes the time spent in online training if the total amount of online instruction does not account for more than 30 percent of the total instructional hours.    12.6(4)   By determining the proportion, stated as a percentage, that a singleeach applying apprenticeship sponsor’s or lead apprenticeship sponsor’s total calculated pursuant to subrule 12.6(3) bears to all applying apprenticeship sponsors’ or lead apprenticeship sponsors’ total calculated pursuant to subrule 12.6(2).    12.6(5)   By multiplying the percentage calculated in subrule 12.6(4) by the amount determined in subrule 12.6(1).

        ITEM 7.    Amend rule 261—12.7(15,15B) as follows:

    261—12.7(15,15B) Application submittal and review process.      12.7(1)   The authority will develop a standardized application and make the application available to applicants. To apply for assistance under the program, an applicant shall submit an application to the authority. Applications may be sent to the Economic Development Authority, 200 East Grand Avenue, Des Moines, Iowa 50309. Required forms and instructions are available by contacting the authority at that address or from the authority’s Internet site at www.iowaeconomicdevelopment.comwww.iowaeda.com.    12.7(2)   The director shall have final funding authority on applications for financial assistance under this program. Applications will be reviewed and processed for eligibility by the staff of the authority. The director of the authority will approve, defer or deny applications consistent with the requirements of this chapter.
        [Filed 9/17/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5953CEngineering and Land Surveying Examining Board[193C]Adopted and Filed

    Rule making related to examination and experience requirements

        The Engineering and Land Surveying Examining Board hereby amends Chapter 1, “Administration,” Chapter 2, “Fees and Charges,” Chapter 3, “Application and Renewal Process,” Chapter 4, “Engineering Licensure,” and Chapter 7, “Professional Development,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 542B.6.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 542B; 2020 Iowa Acts, House File 2389; and 2021 Iowa Acts, House File 284.Purpose and Summary    2021 Iowa Acts, House File 284, allows the Board to adopt rules for “decoupling.” Decoupling allows professional engineer applicants to sit for the Principles and Practice of Engineering (PE) examination any time after passing the Fundamentals of Engineering (FE) examination, instead of first acquiring four years of professional engineering experience, as is the current situation. The experience requirement will be verified at the time the applicant applies for a PE license. 2020 Iowa Acts, House File 2389, required the Board to amend rules regarding waivers and variances. The amendments in this rule making are in response to these legislative changes. There are also some updates to rules included in these amendments.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5819C. A public hearing was held on August 31, 2021, at 9 a.m. at 200 East Grand Avenue, Suite 350, Des Moines, Iowa. No one attended the public hearing.    The Notice of Intended Action was sent out to 10,970 active and inactive licensees, plus the Iowa Society of Professional Engineers. No comment was received from the Society. Forty-four written comments were received. Thirty-two comments were in opposition. Nine comments were in favor. Three were not specific. All comments were shared with the Board.    No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Board on September 16, 2021.Fiscal Impact     This rule making removes the chronological component of requirements for a PE license. There is a fiscal impact of less than $100,000 annually or $500,000 over five years.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 193—Chapter 5. 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 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Rescind subrule 1.1(3).

        ITEM 2.    Amend rule 193C—1.4(542B) as follows:

    193C—1.4(542B) Waivers and variances.      1.4(1)   The board’s rules regarding waivers and variances can be found in the uniform rules for the division of professional licensing and regulation at 193—Chapter 5.    1.4(2)   Interim rulings. The board chairperson, or vice chairperson if the chairperson is not available, may rule on a petition for waiver or variance when it would not be timely to wait for the next regularly scheduled board meeting for a ruling from the board.    a.    The executive secretary shall, upon receipt of a petition meeting all applicable criteria established in 193—Chapter 5, present the request to the board chairperson or vice chairperson along with all pertinent information regarding established precedent for granting or denying such requests.    b.    The chairperson or vice chairperson shall reserve the right to hold an electronic meeting of the board when:    (1)   Board precedent does not clearly resolve the request and the input of the board is deemed required; and    (2)   The practical result of waiting until the next regularly scheduled meeting would be a denial of the request due to timing issues.    c.    A waiver report shall be placed on the agenda of the next regularly scheduled board meeting and recorded in the minutes of the meeting.    d.    This subrule on interim rulings does not apply if the waiver or variance was filed in a contested case.

        ITEM 3.    Amend rule 193C—2.1(542B) as follows:

    193C—2.1(542B) General statement.  Fees are fixed in such an amount as will defray the expense of administering board responsibilities. Fees are charged in accordance with the following table:Type of feeAmountRenewal    Active license renewal$100    Inactive license renewal$40    Reinstatement of lapsed license(In addition to the reinstatement fee, the applicant for reinstatement must also pay the appropriate prorated reinstated license fee below.)$100Reinstatement of inactive to active license$60    New or reinstated license(In addition to the appropriate prorated reinstated license fee, the applicant for reinstatement must also pay the reinstatement fee above.)$100 Prorated at six-month intervalsApplication for examinationsexamination    Principles and Practice of Engineering$100    Principles and Practice of Land Surveying$100Examinations    Fees for NCEES examinations are paid directly to the examination service at the rate established by contract based upon cost of the examination materials and processing expenses.Variable    Iowa State Specific Land Surveying Examination$30Application for licensure by comity as a professional engineer or professional land surveyor$150Certificates    Initial professional engineer or professional land surveyor certificate$15    Additional or duplicate certificate$25    Engineer or land surveyor intern certificateNo chargeCheck returned for insufficient funds$15Verification of records for lapsed licensees$15 per verification    Late renewal fee (for renewals postmarkedcompleted after December 31 and before February 1January 31)$25

        ITEM 4.    Amend rule 193C—3.1(542B) as follows:

    193C—3.1(542B) General statement.  A person requesting to be licensed as a professional engineer or professional land surveyor shall submit a completed, standardized, notarized application form, which may be obtained from the board’s office or electronically from the board’s Internet web page.    3.1(1) Application expiration.  On the examination and comity applications due date, the applications are considered current if it has been one year or less since the applications were received by the board office.    3.1(2) Branch licensure.  A list of engineering branches in which licensure is granted can be obtained from the board’s office. Branches conform to those branches generally included in collegiate curricula. An applicant for licensure in Iowa shall be licensed first in the branch or branches indicated by the applicant’s education and experience. A minimum of 50 percent of the required practical experience in which the individual is to be examined shall have been in that same branch of engineering.    3.1(3) Academic transcripts.      a.    United States institutions.Completion of post-high school education shall be evidenced by the board’s receipt of an applicant’s transcripts directly from the office of the registrar of each institution attendedconferring a qualifying degree.    b.    Institutions outside the United States.Transcripts from institutions located outside the boundaries of the United States of America shall be sent directly from the institution to an evaluation service and shall be evaluated for authenticity and substantial equivalency with Accreditation Board for Engineering and Technology, Inc. (ABET) or Engineering Accreditation Commission (EAC) accredited engineering programs. To be readily acceptable, such evaluations shall be from the National Council of Examiners for Engineering and Surveying (NCEES). However, the board may accept evaluations from other recognized foreign credential evaluators satisfactory to the board. The expense of the evaluation is the responsibility of the applicant. Each evaluation shall be sent directly to the board from the evaluation service and shall include a copy of the transcript in the form sent to the evaluation service directly from the educational institution. Each evaluation must address both whether the transcript is authentic and whether the engineering program is equivalent to those accredited by ABET or EAC.

        ITEM 5.    Amend rule 193C—3.2(542B) as follows:

    193C—3.2(542B) Examination applicationApplication components and due dates.      3.2(1) Fundamentals of Engineering examination application components and due dates.  Applications for the Fundamentals of Engineering examination are submitted directly to the examination service selected by the board to administer the examinations.    3.2(2) Fundamentals of Land Surveying examination application components and due dates.  The components of this application include: the completed application form, references pursuant to 193C—paragraph 5.1(5)“b” and transcripts. Fundamentals of Land Surveying examination applications must be submitted to the board office. Applications submitted by the first day of each month will be reviewed by the board at the next regularly scheduled board meeting.    3.2(3) Principles and Practiceof Engineering examination application components and due dates.  Principles and Practice of Engineering and Principles and Practice of Land Surveying examination applications require a detailed review and must, therefore, be submitted to the board office. To facilitate the transition to computer-based testing offered throughout the year, application files with all required components submitted to the board office by the first day of each month will be reviewed at the next regularly scheduled board meeting. The Principles and Practice examination application packet includes the following components: (1) the completed online application form, (2) the required number of references, (3) the project statement, and (4) the ethics questionnaire. In addition, a complete application file must include verification of examination records and transcripts. Examination applications will not be reviewed by the board until the application file is complete. Since the verification of examination records must be sent directly from the jurisdiction where the applicant took the Fundamentals of Engineering examination, the applicant should contact the other jurisdiction well in advance of the deadline for submittal of the application to request this verification. For transcripts, the applicant should contact the university well in advance to ensure that the transcripts are received by the deadlineare submitted directly to the examination service selected by the board. Documentation of a qualifying degree will be required prior to approval to sit for the examination.    3.2(4) Principles and Practice of Land Surveying application components and due dates.  Principles and Practice of Land Surveying examination applications are submitted to the board office. Application files with all required components submitted to the board office by the first day of each month will be reviewed at the next regularly scheduled board meeting. The examination application file includes the following components: (a) the completed online application form, (b) the required number of references, (c) the project statement, and (d) the ethics questionnaire. In addition, a complete application file must include verification of examination records and transcripts. Examination applications will not be reviewed by the board until the application file is complete. Since the verification of examination records must be sent directly from the jurisdiction where the applicant took the Fundamentals of Land Surveying examination, the applicant should contact the other jurisdiction well in advance of the deadline for submittal of the application to request this verification. For transcripts, the applicant should contact the university well in advance to ensure that the transcripts are received by the deadline.    3.2(5) Professional engineer license application.  Professional engineer license applications are submitted to the board office. Application files with all required components submitted to the board office by the first day of each month will be reviewed at the next regularly scheduled board meeting. The professional engineer license application includes the following components: (a) the completed online application form, (b) the required number of references, (c) the project statement, and (d) the ethics questionnaire. In addition, a complete application file must include verification of examination records and transcripts. Professional engineer license applications will not be reviewed until the application file is complete. Since the verification of examination records must be sent directly from the jurisdiction where the applicant took the Fundamentals of Engineering examination, the applicant should contact the other jurisdiction well in advance of the deadline for submittal of the application to request this verification. For transcripts, the applicant should contact the university well in advance to ensure that the transcripts are received by the deadline.

        ITEM 6.    Amend subrule 3.3(1) as follows:    3.3(1)   The components of a comity application include: the completed, notarized application form; the ethics questionnaire; references; transcripts; and verification of examinations, as appropriate. Comity applicants may submit the NCEES record in lieu of providing references, verifications, transcripts, and employment history. Since the verification of examination records must, in most cases, be sent directly from the jurisdiction where the applicant took the Fundamentals of Engineering and Principles and Practice Engineering examinations, the applicant should contact the other jurisdiction in advance of submitting the application to request this verification and make every effort to have the verification sent to the board at the time that the application is submitted. Likewise, for transcripts the applicant should contact the university in advance of submitting the application to make every effort to have the transcripts transmitted to the board at the time that the application is submitted.

        ITEM 7.    Amend subrule 3.4(4) as follows:    3.4(4) Notification of expiration.  The board shall notify licensees whose certificates of licensure have expired. This notification may be provided through publication in the division’s newsletter. The failure of the board to provide this courtesy notification, or the failure of the licensee to receive the courtesy notification, shall not extend the date of expiration.

        ITEM 8.    Amend paragraph 3.4(6)"a" as follows:    a.    Received by the board in paper or electronic form, or postmarked with a nonmetered United States Postal Service postmark on or before the expiration date of the certificatethrough the online renewal process;

        ITEM 9.    Amend subrule 3.5(2) as follows:    3.5(2)   To reinstate a license that has lapsed for less than one year, the applicant for reinstatement must pay the fee required by 193C—2.1(542B) and must satisfy one of the following requirements:    a.    Provide documentation of 30 professional development hours achieved within the current and previous biennium (dual licensees must provide documentation of 20 professional development hours for each profession). Professional development hours used for reinstatement shall not be reused at the next renewal; or    b.    Successfully complete the principles and practice examination within one year immediately prior to application for reinstatement; or    c.    For an applicant for reinstatement who is an out-of-state resident, submit a statement from the resident state’s licensing board as documented evidence of compliance with the resident state’s mandatory continuing education requirement during the period that the licensee’s Iowa license was lapsed. The statement shall bear the seal of the licensing board. An applicant for reinstatement whose resident state has no mandatory continuing education requirement shall comply with the documented evidence requirement as outlined in this subrule and at 193C—subrule 7.8(2).

        ITEM 10.    Amend subrule 3.5(4) as follows:    3.5(4)   To reinstate from inactive status to active status, the applicant for reinstatement must pay the fee required by 193C—2.1(542B) and must provide documentation of 45 professional development hours achieved within the current and previous biennium (dual licensees must provide documentation of 30 professional development hours for each profession).Professional development hours used for a reinstatement shall not be reused at the next renewal.

        ITEM 11.    Amend rule 193C—4.1(542B), introductory paragraph, as follows:

    193C—4.1(542B) Requirements for licensure by examination.  The specific requirements for initial licensing in Iowa are established in Iowa Code section 542B.14, and it is the board’s intention to issue initial licensure only when those requirements are satisfied chronologically as set forth in the statute.

        ITEM 12.    Amend subrules 4.1(1) and 4.1(2) as follows:    4 4.1 1(1)   First, the applicant for initial licensure in Iowa must satisfy the educational requirements as follows:    a.    Graduation from an engineering program of four years or more.    (1)   If an applicant did not graduate from an Accreditation Board of Engineering and Technology/Engineering Accreditation Commission (ABET/EAC)- or Canadian Engineering Accreditation Board (CEAB)-accredited curriculum, the applicant must also complete, in addition to the engineering degree, one extra year of practical experience satisfactory to the board after receiving the engineering degree.The experience must be verified by a professional engineer (PE) supervisory reference.    (2)   An engineering technology curriculum does not constitute an engineering program of four years or more.    b.    If an applicant obtained an associate of science degree or a more advanced degree between July 1, 1983, and June 30, 1988, the board shall only require satisfactory completion of a minimum of two years of postsecondary study in mathematics, physical sciences, engineering technology, or engineering at an institution approved by the board and six years of practical experience which, in the opinion of the board, is of satisfactory character to properly prepare the applicant for the Fundamentals of Engineering examination. (Applicants qualifying under this subrule must successfully complete the Fundamentals of Engineering examination by June 30, 2001.)    c.    The educational requirement may be fulfilled by a master’s degree in engineering from an institution in the United States of America which offers an accredited bachelor’s degree in the same curriculum. The master’s degree candidate must be required to fulfill the requirements for the bachelor’s degree in the same area of specialization. An applicant with a master’s degree in engineering from an institution in the United States of America that does not offer an accredited bachelor’s degree in the same curriculum will be required to have an additional year of qualifying experience obtained after receipt of the qualifying degree. Applicants using a master’s degree as the qualifying degree may not also use the master’s degree for qualifying experience credit.    d.    The educational requirement may be fulfilled by a doctor of philosophy degree in engineering from an institution in the United States of America which offers an accredited bachelor’s degree in the same curriculum. The doctoral candidate must be required to fulfill the requirements for the bachelor’s degree in the same area of specialization. An applicant with a doctor of philosophy degree in engineering from an institution in the United States of America that does not offer an accredited bachelor’s degree in the same curriculum will be required to have an additional year of qualifying experience obtained after receipt of the qualifying degree. Applicants using a doctor of philosophy degree as the qualifying degree may not also use the doctor of philosophy degree for qualifying experience credit or as an exemption for the Fundamentals of Engineering examination (FE exam).    4 4.1 1(2)   Second, the applicant must successfully complete the Fundamentals of Engineering examination (FE exam).    a.    An applicant may take the FE exam any time after the educational requirements as specified above are completed, but the applicant must successfully complete the FE exam prior to taking the Principles and Practice of Engineering examination.    b.    College seniors studying an ABET/EAC- or CEAB-accredited curriculum may take the FE exam during the final academic year. Applicants will be permitted to take the examination during the testing period which most closely precedes anticipated graduation.    c.    An applicant who graduated from a satisfactory engineering program and has 10ten years or more of work experience satisfactory to the board shall not be required to take the FE exam.This experience is in addition to the four or five years of experience required for the PE license.    d.    An applicant who has earned a Doctor of Philosophy degree from an institution in the United States of America with an accredited Bachelor of Science engineering degree program in the same discipline, or a similar doctoral degree in a discipline approved by the board, shall not be required to take the FE exam.    e.    All FE exam candidates will apply directly to the National Council of Examiners for Engineering and Surveying (NCEES) and will self-attest as to the candidate’s eligibility to sit for the FE exam. The board will verify acceptable education and experience at the time an applicant applies to sit for the Principles and Practice of Engineering examination or applies for an Engineer Intern (EI)for an Engineer in Training (EIT) number. The board shall apply the education and experience standards set forth in this rule but will allow reasonable flexibility in timing in the event an applicant sat for and passed the FE exam at a point earlier than provided in this rule. The board will not, however, issue an EIEIT number unless all experience required for candidates who hold engineering degrees from nonaccredited programs has been satisfied at the time of the EIEIT application.

        ITEM 13.    Rescind subrule 4.1(3) and adopt the following new subrule in lieu thereof:    4.1(3)   Third, the applicant must successfully complete the Principles and Practice of Engineering examination (PE exam).    a.    An applicant may take the PE exam any time after passing the FE exam.    b.    All PE exam candidates will apply directly to the NCEES. The applicant will be required to document a qualifying education. The board will verify acceptable experience at the time the applicant applies for a professional engineer license.

        ITEM 14.    Rescind subrule 4.1(4) and adopt the following new subrule in lieu thereof:    4.1(4)   Fourth, the applicant must satisfy the qualifying experience requirements. The purpose of this provision is to ensure that the applicant has acquired the professional judgment, capacity, and competence to design engineering works, structures, and systems. The following criteria will be considered by the board in determining whether an applicant’s experience satisfies the statutory requirements.    a.    Oversight.All applicants must have direct supervision or professional tutelage (instruction, guidance, mentoring, review, and critique) from one or more licensed professional engineers. This experience must be verified by one or more licensed professional engineers who are familiar with the applicant’s work and can attest that the experience was of the required quality and was accurately described. Verification of the qualifying experience is provided through the reference forms. It is the responsibility of the applicant to provide reference forms to the licensed professional engineers to complete and return directly to the board.    (1)   To be readily acceptable, all of the qualifying experience shall be under the direct supervision and tutelage of one or more licensed professional engineers.    (2)   To be considered, a portion of the qualifying experience shall be under the direct supervision or tutelage of one or more licensed professional engineers. In this case, the rest of the qualifying experience shall be under the direct supervision or tutelage of an unlicensed graduate engineer.    b.    Documentation of experience.All applicants must submit references and a work project description. The board reserves the right to contact the employer and the person providing tutelage on the project for information about the project experience acquired by the applicant.    (1)   References. An applicant for the professional engineer license shall submit three references from professional engineers or a combination of professional engineers and graduate engineers on forms provided by the board.    1.   At least one of the licensed professional engineers who provide a reference for the applicant shall have provided direct supervision or professional tutelage in the course of a mentoring relationship on such matters as technical skills; professional development; the exercise of professional judgment, ethics, and standards in the application of engineering principles and in the review of such matters by others; and the professional obligations of assuming responsible charge of professional engineering works and services.    2.   If the applicant has had more than one supervisor, at least two of the references shall be from a supervisor of the applicant. An applicant shall submit supervisor references to verify at least four years of qualifying experience.    3.   If an applicant has had professional experience under more than one employer, the applicant shall provide references from individuals with knowledge of the work performed under a minimum of two employers.    4.   The board reserves the right to contact references, supervisors, or employers for information about the applicant’s professional experience and competence or to request additional references.     5.   The board uses references partially as a means of verifying an applicant’s record of experience. The applicant must distribute a reference form to individuals who are asked to submit references for the applicant. To each reference form, the applicant shall attach a narrative of the applicant’s experience record that is being addressed by the referring individual.    6.   The board may require the applicant to submit other evidence of suitable tutelage and supervision.    7.   The board may require an oral interview with the applicant or other evidence to verify the applicant’s knowledge and experience in the principles and practice of engineering.    8.   The board may conduct interviews with persons providing tutelage or supervision to the applicant.    (2)   Work project description. An applicant for initial licensure as a professional engineer must include with the application a work project statement describing a significant project on which the applicant worked during the previous 12 months. The board will review all work project statements and will approve only those that include all of the components listed below in numbered paragraphs 4.1(4)“b”(2)“1” to “4” and meet the criteria listed in numbered paragraph 4.1(4)“b”(2)“5.”    1.   The statement shall describe the applicant’s degree of responsibility for the project.    2.   The statement shall identify the project’s owner and location.    3.   The statement shall include the name of the supervisor in charge of the project and, if the supervisor is a professional engineer, the license number of the supervisor.    4.   The statement shall be signed and dated by the applicant.    5.   Criteria the board shall use in evaluating the acceptability of the project as qualifying experience for the applicant shall include, but not be limited to, the following:
  • The degree to which the project and the experience described have progressed from assignments typical of initial assignments to those more nearly expected of a licensed professional;
  • The scope and quality of the professional tutelage experienced by the applicant;
  • The technical decisions required of the applicant in the project; and
  • The professional decisions required of the applicant.
  •     c.    Quality.Qualifying experience shall be of such quality as to demonstrate that the applicant has developed technical skill and initiative in the correct application of engineering principles. Such experience should demonstrate the applicant’s capacity to review the application of these principles by others and to assume responsibility for engineering work of professional character.    d.    Scope.Experience shall be of sufficient breadth and scope to ensure that the applicant has attained reasonably well-rounded professional competence in a basic engineering field, rather than highly specialized skill in a narrow and limited field.    e.    Progression.The record of experience shall indicate successive and continued progress from initial, subprofessional work of simpler character to recent, professional work of greater complexity and a higher degree of responsibility, as well as continued interest and effort on the part of the applicant toward further professional development and advancement. In evaluating this progression, the board will consider both subprofessional and professional activity as reported by the applicant. However, only work experience obtained after the applicant’s receipt of the qualifying degree will be considered, except as described in paragraph 4.1(4)“f.” Subprofessional work includes the time spent as an engineering technician, engineering assistant, inspector, or similar under the direct supervision of a licensed professional engineer. Professional work includes the time during which the applicant was occupied in engineering work of higher grade and responsibility than that defined above as subprofessional work. Time spent in teaching engineering subjects in a college or university at the level of assistant professor or higher may be listed as professional work.    f.    Special work experience.Work experience prior to graduation from college may be accepted toward satisfaction of qualifying experience requirements only as follows: Cooperative work programs and internships administered by engineering colleges and verified on the transcript, with a verifying reference from the internship supervisor, will be considered as half-time credit, with a maximum allowance of 6 months (12 months of cooperative work experience or internship) applicable toward the satisfaction of qualifying experience requirements. An applicant’s advanced education, military experience, or both will be reviewed in order to determine if they are applicable toward the statutory requirements for experience.    g.    Advanced education.An applicant who has earned a master of science degree that includes research experience, in addition to writing an associated thesis, from an institution in the United States of America with an accredited bachelor of science engineering degree program in the same discipline and who has fulfilled the requirements for a bachelor of science degree may be granted a maximum of one year’s experience credit. An applicant who has earned a doctor of philosophy degree from an institution in the United States of America with an accredited bachelor of science engineering degree program in the same discipline may be granted a maximum of two years of experience credit in addition to the one-half year’s credit for the master of science degree. An applicant using an advanced degree as experience credit shall not be allowed to also use the advanced degree as the qualifying degree to become licensed.    h.    Teaching experience.Teaching of engineering subjects at the level of assistant professor or higher in an accredited engineering program may be considered as experience, provided the applicant’s immediate supervisor is a licensed professional engineer in the jurisdiction in which the college or university is located. If the applicant’s immediate supervisor is not a licensed professional engineer, a program of mentoring or peer review by a licensed professional engineer acceptable to the board must be demonstrated. Applicants using teaching or research as experience must have a minimum of four years of acceptable experience in research, industry, or consulting. The board shall consider the complexity of the project(s) presented, the degree of responsibility of the applicant within the project, and other factors the board deems relevant. Academic experience must demonstrate increasing levels of responsibility for the conduct and management of projects involving engineering research, development, or application. The board reserves the right to contact employers for information about the applicant’s professional experience and competence.    i.    Joint applications.Applicants requesting licensure both as a professional engineer and a land surveyor must submit a history of professional experience in both fields. Such histories will be considered separately on a case-by-case basis. The board does not grant full credit for concurrent experience in both professions.    j.    Corporate exemption.The purpose of the provisions on qualifying experience which authorize the board to consider some experience that was not acquired under the direct supervision and tutelage of a licensed professional engineer is to provide a path toward licensure for those applicants who gain experience in settings where licensure is not required under the corporate exemption set forth in Iowa Code section 542B.26 or under similar statutory provisions in other jurisdictions. Such applicants may lawfully gain professional engineering experience under the supervision or tutelage of graduate engineers who are not licensed. To aid such applicants, the following guidelines are provided:    (1)   The board shall not consider any experience gained under circumstances where the applicant could not lawfully have practiced professional engineering.    (2)   The board shall not consider any experience the applicant may have attained in compliance with the law but that was not under the supervision or tutelage of a graduate engineer. The fundamental purpose of qualifying experience is professionally guided training to expand and complement engineering education. Self-guided experience does not qualify.    (3)   Persons who desire licensure as professional engineers who are not directly supervised by licensed professional engineers should form tutelage relationships with licensed professional engineers as early in the process of gaining experience as is feasible. Unlicensed graduate engineers are not authorized to offer professional engineering services to the public or to be in responsible charge of such services; nor are they subject to the examinations required for licensure, the professional and ethical standards applicable to licensees, or the regulatory oversight of a licensing authority. Qualifying experience is intended to address both technical competence and the obligations to the public of a licensed professional engineer.    (4)   Because the circumstances of individual applicants in corporate exemption settings are diverse, it is not possible to identify the minimum period of time during which the applicant must receive supervision or tutelage from one or more licensed professional engineers to be eligible for licensure. The board shall take into consideration both the quantity and quality of such experience. In general, an applicant’s exposure to supervision or tutelage by one or more licensed professional engineers should reflect a sustained period of in-depth interaction from which the licensed engineers are in a position to form credible opinions on the applicant’s qualifications to be in responsible charge of engineering services offered to the public as a licensed professional engineer.    (5)   The burden is on the applicant to demonstrate to the board’s satisfaction that the combination of unlicensed and licensed supervision and tutelage satisfies the requirements of qualifying experience described in this rule.    k.    Practical experience.An applicant for a professional engineer license shall have a minimum of one year of practical experience in the United States of America or a territory under its jurisdiction.

        ITEM 15.    Rescind subrule 4.1(5) and adopt the following new subrule in lieu thereof:    4.1(5) Education and experience requirements.  The board will require the minimum number of years set forth on the following chart before an applicant will be eligible for licensure.Experience RequirementsIf the education is:Required years of experienceA 4-year bachelor’s degree in a nonaccredited engineering program5A 4-year bachelor’s degree in an accredited engineering program OR a qualifying master’s degree pursuant to paragraph 4.1(1)“c” OR a qualifying PhD pursuant to paragraph 4.1(1)“d”4A 4-year bachelor’s degree in an accredited engineering program plus a qualifying master’s degree pursuant to paragraph 4.1(4)“g”3A 4-year bachelor’s degree in an accredited engineering program plus a qualifying PhD pursuant to paragraph 4.1(4)“g”2A 4-year bachelor’s degree in an accredited engineering program AND a qualifying master’s degree AND a qualifying PhD pursuant to paragraph 4.1(4)“g”1

        ITEM 16.    Amend subrule 7.5(6) as follows:    7.5(6)   A new licensee shall satisfy one-half the biennial continuing education requirement at the first renewal following initial licensure.A comity license is not an initial license. Professional engineers and professional land surveyors licensed by comity are not eligible for the one-half continuing education requirement.    [Filed 9/16/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5956CHuman Services Department[441]Adopted and Filed

    Rule making related to financial provisions for mental health and disability services

        The Human Services Department hereby amends Chapter 25, “Disability Services Management,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 331.393.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 331.392.Purpose and Summary    2020 Iowa Acts, House File 2643, amended Iowa Code section 331.392 to require mental health and disability services (MHDS) regions to include in their regional governing agreement the method for allocating their cash flow amount if a county leaves the region. This rule making requires a region’s cash flow amount to be divided by the percentage of each county’s population and allocated to the counties.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 14, 2021, as ARC 5779C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Mental Health and Disability Services Commission on September 16, 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 December 1, 2021.    The following rule-making action is adopted:

        ITEM 1.    Amend subrule 25.14(3) as follows:    25.14(3) Financial provisions.  The financial provisions of the regional governance agreement shall include all of the following:    a.    Methods for pooling, managing and expending funds under control of the regional administrative entity. If the agreement does not provide for pooling of the participating county moneys in a single fund, the agreement shall specify how the participating county moneys will be subject to the control of the regional administrative entity.    b.    Methods for allocating administrative funding and resources.    c.    Methods for allocating a region’s cash flow amount in the event a county leaves the region. A region’s cash flow amount shall be divided by the percentage of each county’s population according to the region’s population indicated in the region’s annual service and budget plan and shall be allocated to the counties.    c.    d.    Methods for contributing initial funds to the region.    d.    e.    Methods for acquiring or disposing of real property.    e.    f.    The process for how to use savings achieved for reinvestment.    f.    g.    A process for performance of an annual independent audit of the regional administrator.    [Filed 9/16/21, effective 12/1/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5944CLabor Services Division[875]Adopted and Filed

    Rule making related to emergency temporary standard related to COVID-19

        The Labor Commissioner hereby amends Chapter 10, “General Industry Safety and Health Rules,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 88.5.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 88.Purpose and Summary    The Iowa Labor Commissioner is required to adopt by reference changes to the U.S. Department of Labor’s occupational safety and health standards. This rule making adopts by reference federal OSHA’s emergency temporary standard (ETS) related to the COVID-19 pandemic. The ETS applies only to certain locations where health care services are provided, and it is set to expire after six months.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5846C. This rule making was also adopted and filed emergency and published in the Iowa Administrative Bulletin as ARC 5847C on the same date. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commissioner on September 15, 2021.Fiscal Impact    In the Federal Register, the U.S. Department of Labor published a large amount of data as part of its economic analysis. The analysis concluded the ETS is economically feasible and the benefits far outweigh the costs. However, data specific to Iowa is not available.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 Commissioner for a waiver of the discretionary provisions, if any, pursuant to 875—Chapter 5.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 10, 2021, at which time the Adopted and Filed Emergency rule making is hereby rescinded.    The following rule-making action is adopted:

        ITEM 1.    Amend rule 875—10.20(88) by inserting the following at the end thereof:86 Fed. Reg. 32620 (June 22, 2021)    [Filed 9/15/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5954CLabor Services Division[875]Adopted and Filed

    Rule making related to amusement rides, amusement devices, and concession booths

        The Labor Commissioner hereby amends Chapter 61, “Administration of Iowa Code Chapter 88A,” and Chapter 62, “Safety Rules for Amusement Rides, Amusement Devices, and Concession Booths,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 88A.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 88A as amended by 2021 Iowa Acts, House File 558.Purpose and Summary    This rule making is intended to conform the Iowa Administrative Code with 2021 Iowa Acts, House File 558. These amendments reduce the minimum age for amusement ride staff to 16 years of age, add new topics for required amusement ride staff training, eliminate the distinction between amusement ride assistants and attendants, and make conforming edits.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 5674C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commissioner on September 15, 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 Commissioner for a waiver of the discretionary provisions, if any, pursuant to 875—Chapter 1.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 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Rescind the definition of “Assistant” in rule 875—61.2(88A).

        ITEM 2.    Adopt the following new definition of “Special operation” in rule 875—61.2(88A):        "Special operation" means an unusual condition, interruption in operation, injury, emergency, or evacuation.

        ITEM 3.    Amend paragraph 61.6(2)"j" as follows:    j.    Failure of an operator to provide an adequate number of properly trained and qualified assistants and attendants; or

        ITEM 4.    Amend rule 875—62.6(88A), introductory paragraph, as follows:

    875—62.6(88A) Operations.  Operations shall conform to ANSI B77.1 and ANSI B77.1A-2012 and ASTM F770-15, F1957-99(2011), F2007-12, F2137-15, F2374-10, F2375-09, F2376-13, F2460-11, and F2959-14, as applicable. ASTM F2374-10 shall apply to all air-supported structures notwithstanding the definition and use of the phrase “inflatable amusement device” in ASTM F2374-10.The commissioner will enforce the minimum age requirements set forth below rather than any minimum age requirement set forth in a code adopted by reference in this rule.

        ITEM 5.    Amend subrule 62.6(1) as follows:    62.6(1) Attendants and assistants.  The operator shall provide a sufficient number of competent, trained workers, who shall be recognizable by their uniforms. Covered equipment shall have continuous, direct supervision while in use by a patron.    a.    Each attendant of a concession booth, except a shooting gallery or dart game, shall be at least 14 years of age. All other attendants shall be at least 1816 years of age.    b.    Each assistant shall be at least 16 years of age.    c.    b.    Each attendant and assistant shall be trained according to ANSI B77.1 and ANSI B77.1A-2012 and ASTM F770-15, F2007-12, F2460-11, and F2959-14, as applicable.In addition, training must cover procedures for normal operations and special operations specific to each ride the attendant will control, specific duties for each assigned position for each ride the attendant will control, and the operator’s general procedures for normal operations and special operations. Training documentation shall be available to the commissioner.    d.    c.    An attendant shall have control of the covered equipment when it is in operation. When the covered equipment is shut down, provision shall be made to prevent unauthorized operation.    e.    Under normal operations, the duties of an assistant shall be limited to securing or removing seat restraints; checking height compliance; and loading and unloading patrons. In case of emergency, an assistant who has received appropriate training may terminate operations.

        ITEM 6.    Amend subrule 62.7(3) as follows:    62.7(3) Emergency procedure.  When lightning, high wind, tornado warning, severe storm warning, fire, violence, riot or civil disturbance creates a direct threat to patrons, the operators, assistants, and attendants shall cease operation of covered equipment and evacuate all patrons. Operation shall not resume until conditions have returned to a normal, safe operating environment.    [Filed 9/16/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5945CLabor Services Division[875]Adopted and Filed

    Rule making related to special inspector commissions

        The Labor Commissioner hereby amends Chapter 90, “Administration of the Boiler and Pressure Vessel Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 89.7(2).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 89.Purpose and Summary    These amendments change the expiration date of all special inspector commissions from June 30 to December 31 and require an applicant for a new special inspector commission to meet with the chief boiler inspector.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 5595C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Commissioner on September 15, 2021.Fiscal Impact    It is anticipated that about $3,000 in special inspector fees will be lost in the transition to December expirations.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 Commissioner for a waiver of the discretionary provisions, if any, pursuant to 875—Chapter 1.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 10, 2021.    The following rule-making action is adopted:

        ITEM 1.    Amend subrules 90.9(2) and 90.9(3) as follows:    90 90.9 9(2) Application.      a.    A person applying for anew or renewed commission shall complete, sign, and submit to the division with the required fee the form entitled “Application for Boiler and Pressure Vessel Special Inspector Commission” provided by the division. Additionally, the applicant shall submit a copy of the applicant’s current National Board work card with each application.    b.    An applicant for a new Iowa special inspector commission shall schedule a meeting with the chief boiler inspector to discuss Iowa law and the responsibilities, expectations, and requirements for a special inspector.    90 90.9 9(3) Expiration.      a.    The commission is for no more than one year and ceases when the special inspector leaves employment with the insurance company, or when the commission is suspended or revoked by the labor commissioner. Each commission shall expire no later than June 30December 31 of each year.    b.    Notwithstanding paragraph 90.9(3)“a” and in order to transition from an expiration date of June 30 to an expiration date of December 31, a commission issued between June 1, 2022, and November 30, 2022, shall expire on December 31, 2023.    [Filed 9/15/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5939CProfessional Licensure Division[645]Adopted and Filed

    Rule making related to telehealth appointments

        The Board of Hearing Aid Specialists hereby amends Chapter 123, “Practice of Hearing Aid Dispensing,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 147.76.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 154A.Purpose and Summary    This rule making provides the minimum standards of care for hearing aid specialists when providing hearing aid testing or adjustment services during a telehealth appointment. This rule making adds new rule 645—123.5(154A) to Chapter 123 and instructs that when a hearing aid specialist seeks to provide testing or adjustment services to a client remotely, the services must be provided in accordance with rule 645—123.5(154A) in order to adequately protect the public during a telehealth appointment.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on April 7, 2021, as ARC 5554C. A public hearing was held on April 28, 2021, at 8:30 a.m. in the Fifth Floor Board Conference Room 526, Lucas State Office Building, Des Moines, Iowa. Four comments were received, all of which were supportive of the rule making. One change from the Notice has been made. New paragraph 123.4(1)“g” in Item 1 has been revised to allow for a client’s verbal or written consent to a service or services through a telehealth appointment.Adoption of Rule Making    This rule making was adopted by the Board on September 13, 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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Adopt the following new paragraph 123.4(1)"g":    g.    A notation that the client consented, either verbally or in writing, to a service or services provided through a telehealth appointment, if applicable.

        ITEM 2.    Adopt the following new rule 645—123.5(154A):

    645—123.5(154A) Telehealth appointments.  A licensee may conduct a telehealth appointment so long as the services are provided in accordance with this rule.    123.5(1)   A “telehealth appointment” is one wherein the licensee provides testing or adjustment services to a client using technology where the hearing aid specialist and the client are not at the same physical location during the appointment.    123.5(2)   Conducting a telehealth appointment with a client who is physically located in Iowa during the appointment, regardless of the location of the hearing aid specialist, shall require Iowa licensure.    123.5(3)   When conducting a telehealth appointment, a licensee shall utilize technology that is secure, HIPAA-compliant, and that includes, at a minimum, audio and video equipment that allows for two-way, real-time interactive communication between the licensee and the client. The licensee may use non-real-time technologies to prepare for an appointment or to communicate with clients between appointments.    123.5(4)   A licensee who conducts a telehealth appointment shall be held to the same standard of care as a licensee who provides in-person services. A licensee shall not utilize a telehealth appointment if the standard of care for the particular service cannot be met using telehealth technology.    123.5(5)   Prior to the first telehealth appointment with a client, the licensee shall obtain informed consent from the client that is specific to the service or services that will be provided in the telehealth appointment. The informed consent shall specifically inform the client of, at a minimum, the following:    a.    The risks and limitations of the use of technology to the specific service;    b.    The potential for unauthorized access to protected health information; and    c.    The potential for disruption of technology during a telehealth appointment.    123.5(6)   A licensee shall only conduct a telehealth appointment if the licensee is competent to provide the particular service using telehealth technology. A licensee’s competence to provide a particular service using telehealth technology shall be established by the licensee’s education, training, and experience.    123.5(7)   A licensee who conducts a telehealth appointment shall note in the client’s record that the service or services were provided through a telehealth appointment.
        [Filed 9/14/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5931CPublic Health Department[641]Adopted and Filed

    Rule making related to radiation therapy standards

        The Public Health Department hereby amends Chapter 203, “Standards for Certificate of Need Review,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 135.62(2)“e”(5).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 135.61(18)“m”(4) and 135.61(18)“g” to “j.”Purpose and Summary    Rule 641—203.3(135) sets out radiation therapy standards for the purpose of writing and reviewing Certificate of Need applications for the initiation of external beam radiation therapy services or the purchase of associated equipment (e.g., a linear accelerator). The rules related to radiation therapy were originally promulgated in the late 1970s when the Certificate of Need program was implemented in Iowa. Based on research conducted on the history of rule 641—203.3(135), this rule has not been updated since it was written. The rule is outdated, and parts no longer apply in review of applications. The amendments to the rule eliminate those portions that are completely outdated and are no longer needed or used, and update the remaining portions to modern radiation therapy standards.      After consultation with and approval from the State Health Facilities Council, a stakeholder group of individuals was created representing various health systems—University of Iowa Hospitals and Clinics, MercyOne, UnityPoint Health, Methodist Jennie Edmundson Hospital—and radiation therapy-related occupations including radiation physicists, health physicists, radiation oncologist (retired), and others involved in radiation oncology services. Additional participants included two attorneys who represent health facilities on Certificate of Need-related issues, a hospital president, the director of operations for the Iowa Cancer Registry, and the Iowa Hospital Association. The stakeholder group had several meetings from February 2020 through October 2020 to review the contents of the rule and propose changes/updates as needed. The State Health Facilities Council, pursuant to Iowa Code section 135.62(2)“e”(5), has the duty to review and approve, prior to promulgation, all rules adopted by the Department under this subchapter and is also fulfilling this role through this rule-making process.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 5633C. One letter of support for the amendments was received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the State Board of Health on September 8, 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 the Department’s waiver provisions contained in 641—Chapter 178.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 10, 2021.    The following rule-making action is adopted:

        ITEM 1.    Amend rule 641—203.3(135) as follows:

    641—203.3(135) Radiation therapy or radiotherapy standards.      203.3(1) Purpose and scope.      a.    These standards are measures of some of thoseprovide guidelines to assist the council in applying those criteria 1 (a to q) and 3 found in Iowa Code section 135.64sections 135.64(1)“a” to “r” and 135.64(3). Criteria which are measured by a standard are cited in parentheses following each standard.    b.    Certificate of need applications which are to be evaluated against these radiation therapy standards include:    (1)   Proposals to commence or expand the kind or capacity of megavoltage radiation therapy services.    (2)   Proposals to replace amegavoltage radiation therapy unit.    (3)   Any other applications which relate tomegavoltage radiation therapy.    203.3(2) Definitions.      a.    Radiation modality.The method of applying ionizing radiation in the treatment of patients with malignant disease. Externally applied modes.Superficial X-ray therapy. The use of a conventional X-ray machine, which generates X-rays of up to 150 kilovolts (150 kv), to treat superficial lesions, such as skin cancer.Orthovoltage X-ray therapy. The use of a conventional X-ray machine which generates X-rays between 150 kv up to and including 800 kvs. (These X-rays are of insufficient energy to avoid preferential bone absorption or to be “skin sparing”.)Megavoltage therapy. The use of ionizing radiation in excess of one million electron volts. Energies above one million electron volts cause considerably less skin damage, increase depth dose markedly, and result in much less scatter from the therapeutic beam. Megavoltage machines are classified as follows:
    1. Particle accelerators. These machines use a supply of electrons, which are accelerated into high energy beams. These beams are either caused to strike a target resulting in high energy X-ray production, or are used themselves as the treatment beam. Particle accelerators generate from 4 million up to as many as 45 million electron volts. Most common particle accelerators are the linear accelerator and the betatron.
    2. Isotope sources (gamma ray teletherapy units).
    Cobalt 60 units—emit gamma rays of approximately 1.2 million electron volts.Cesium teletherapy units—utilize gamma rays of approximately 650 kv.
        b.    Megavoltage therapy unit.A piece of megavoltage therapeutic radiologic equipment.    c.    Radiation therapy facility.A piece of megavoltage therapeutic radiologic equipment, the accompanying support equipment, and the physical space which houses the equipment.    d.    Treatment (procedure).All those radiation fields applied in a single patient visit. Interstitial/intracavitary treatment counts as one visit.    e.    Dosimetrist.A technologist who calculates, verifies, and develops maps for the dose distribution of radiation within the patient. The technologist is an essential member of the treatment planning team.    f.    Radiation therapist (radiation oncologist).A physician who is board certified or board eligible in therapeutic radiology or in general radiology and who devotes full time to the practice of radiation therapy.    g.    Radiation therapy technologist.An individual registered or eligible for registration by the American Board of Radiologic Technologists, or its equivalent, in radiation therapy.    h.    Transverse tomograms.A special diagnostic X-ray procedure to determine the depth of the tumors inside the body.    i.    Conjoint radiation oncology center (cancer center).A multi-institution, multidisciplinary network to provide radiation therapy for cancer patients. Each institution has an equal voice in decision making and direction of the work of the center. Integration of patient care management, common utilization of personnel and equipment, and a single system of records between center institutions assures optimal care regardless of entry portal. A common cancer registry of all patients treated by center hospitals is maintained.    j.    Simulator.Used to reproduce the geometry of the external beam treatment technique, and consists of an isocentrically mounted X-ray source with X-rays passing per a collimation system to reproduce the therapy beam.    k.    New patient.A patient receiving treatment for the first time at a given radiation therapy facility.        "Conjoint radiation oncology center" or "cancer center" means a multi-institution, multidisciplinary network to provide radiation therapy for cancer patients. Integration of patient care management, common utilization of personnel and equipment, and a single system of records between center institutions ensures optimal care regardless of entry portal.        "Dosimetrist" means a staff member who calculates, verifies, and develops treatment plans for the radiation dose distributions that will be delivered to patients. The dosimetrist is an essential member of the treatment planning team and works closely with radiation oncologists and radiation physicists.        "Megavoltage therapy" means the use of ionizing radiation in excess of one million electron volts. Energies above one million electron volts cause considerably less skin damage, increase depth dose markedly, and result in much less scatter from the therapeutic beam. Megavoltage machines are classified as follows:
    1. Electron accelerator. A machine such as a linear accelerator that uses a supply of electrons, which are accelerated into high energy beams. These electron beams are either caused to strike a target resulting in high energy X-ray production or are used themselves as the treatment beam. Electron accelerators generate over one million electron volts.
    2. Heavy Particle Accelerator. A machine such as a cyclotron which produces beams of high energy particles such as protons, neutrons, pions, carbon ions, or other heavy ions with masses greater than that of an electron.
    3. Isotope sources (gamma ray teletherapy units).
    Cobalt 60 units—emit gamma rays of approximately 1.2 million electron volts.
            "Megavoltage therapy unit" means a piece of megavoltage therapeutic radiologic equipment that provides megavoltage therapy.        "New occurrence" means a course of treatment for a new occurrence on a given patient at a given radiation therapy facility. First-time radiation therapy at a new facility is based on each round of treatment.        "Radiation modality" means the method of applying ionizing radiation in the treatment of patients with malignant disease using megavoltage external beam equipment.        "Radiation oncologist" means a physician authorized user trained in accordance with 641—subrule 41.3(5).        "Radiation therapy facility" or "facility" means the physical space which houses a megavoltage therapy unit and accompanying support equipment.        "Radiation therapy physicist" means an individual who works closely with radiation oncologists and is responsible for the safe and accurate delivery of radiation to patients. A radiation therapy physicist conducts quality control programs for the equipment and procedures, as well as calibrating the equipment. A radiation therapy physicist shall practice in accordance with 641—subrule 41.3(6).        "Radiation therapy technologist" means an individual who possesses an Iowa permit to practice as a radiation therapist in accordance with rule 641—42.7(136C).        "Service area" means the county in which the facility is located and any other counties from which the applicant expects to draw patients with a cancer diagnosis who are in need of radiation therapy treatment.        "Simulation" means the precise mock-up of a patient treatment with an apparatus that uses planar X-rays, magnetic resonance imaging device, or computed tomography scanner, which is used in reproducing the two-dimensional or three-dimensional internal or external geometry to the patient, for use in treatment planning and delivery.        "Superficial X-ray therapy" means the use of a conventional X-ray machine, which generates X-rays of up to 150 kilovolts (150 kv), to treat superficial lesions, such as skin cancer.        "Treatment" means radiation fields applied in a single patient visit fraction or delivery session.
        203.3(3) Availability.      a.    Minimum utilization.(Sections 135.64(1)“c,” “g,” “h”)    (1)   A megavoltage radiation therapy unit which is of relatively low energy, including small linear accelerators (4-10 MEVs),and cobalt units and cesium teletherapy units, should serve a population of at least 200,000 persons, andshould treat at least 300250 new patientsoccurrences annually within three years after initiation of the service.    (2)   A megavoltage radiation therapy unit which is of medium energy, including linear accelerators of 12-20 MEVs should only be placed in facilities which are currently treating with megavoltage radiation therapy a minimum of 500 new patients annually.    (3)   A megavoltage radiation therapy unit which is of high energy, including those linear accelerators of greater than 20 MEVs, should only be placed in facilities which are currently treating at least 750 new patients annually with megavoltage radiation therapy.    (4)   (2)   To determine theThe expected number of new patientsoccurrences needing megavoltage radiation therapy annually in a service area, the following formula shall be appliedshould be calculated as follows:    1.   Multiply the service area population times .003040.00582 (3.04/1,0005.82/1,000 population was the mean cancer incidence rate in 19762017 in Iowa as filed by the Surveillance, Epidemiology, and End Results(SEER) Program—SEER). A service area population is determined by each facility’s catchment area as reported in the most recent patient origin study of the Iowa department of public health.    2.   Multiply this product times .5 (50 percent of all new cancer patients requireoccurrences receive radiation therapy).    (3)   The expected volume of utilization sufficient to support the need for a new megavoltage therapy unit should be calculated as follows: each unit shall provide a minimum of 5,000 treatments per annum. Megavoltage treatments should be projected by multiplying the number of projected new occurrences needing megavoltage therapy times 20, which will result in no fewer than 5,000 treatments per annum.    (4)   Applicants shall account for other providers of radiation therapy in the service area including, but not limited to, factors such as technological capability and quality. Applicants shall address in their application other providers and the impact on those providers in the service area and compare technological capability and quality.    (5)   Applicants should provide a map of the expected service area.    (5)   (6)   Institutions which form a conjoint oncology center should have at least 500 new patientsoccurrences annually who are amenable to megavoltage therapy.    b.    Expansions.(Sections 135.64(1)“c,” “d,” “e,” “g,” “h”)    (1)   There should be no additional megavoltage units of comparable size approved unless each existing megavoltage unit of that size within 90 minutes travel time of the proposed unit is performing at least 6,000 treatments per annum.    (2)   Proposed new small megavoltage units within 90 minutes travel time of other small units must identify an unserved population base of 200,000 apart from that 200,000 currently served by institutions in the service area.    (3)   Megavoltage treatments per annum should be projected by multiplying the number of projected new patients needing megavoltage therapy times 20.    (4)   There should be no additional megavoltage radiation therapy units of comparable size within 90 minutes surface travel time of existing units which would reduce the projected volume of treatments per annum in existing units of comparable size to less than 6,000 treatments per annum and which would result in less than 300 projected new patients per annum for that existing unit. The applicant will attempt and demonstrate that an attempt was made to determine with the cooperation of existing providers whether such a reduction would occur.    (5)   New conjoint centers should be justified if more than 3,000 new patients are currently being treated by radiation therapy in an existing center.    c.    b.    Simulator availability.A simulator which can accurately reproduce the geometry of each external beam technique should be available for every two megavoltage units inshould be available within a radiation oncology department.    203.3(4) Costs.      a.    Financial feasibility.(Sections 135.64(1)“f,” “i,” “p”)    (1)   Megavoltage radiation therapy units should be depreciated over a period no shorter than that indicated by “Estimated Useful Lives of Depreciable Hospital Assets” published by the American Hospital Association. Associated remodeling should be depreciated according to generally accepted accounting principles and over a period no shorter than indicated in the above-named publication.    (2)   Recognizing anticipated volume rate structure, and third party reimbursement, the applicant should present a breakeven analysis for the service. If the analysis shows breakeven will fail to occur after three years of the service’s initiation, the applicant should demonstrate why operating a service with the revenues below costs appears desirable.    (3)   Charges will be based on actual or projected yearly treatments, but not less than 6,000 treatments.    b.    Cost-effectiveness.(Section 135.64(1)“e”) Costs per unit of service should not exceed 10 percent of the state average unit cost for the service. If costs exceed 10 percent of that average the applicant shall demonstrate how the proposal represents the most cost-effective way to deliver the service and explain why the project was chosen instead of alternative ways of meeting the need for the service.    203.(5) 203.3(4) Accessibility.  (SectionsIowa Code section 135.64(1)“c,” “d”)    a.    Travel distance shall be within 90 minutes auto travel time for the projected service area population.b.    Radiation therapy services should be provided regardless of ability to pay, in consideration of those programs available in the state which serve the medically indigent.    203.(6) 203.3(5) Quality.  (SectionsIowa Code section 135.64(1)“i,” “k”)    a.    Minimum staffing requirements for radiation therapy facilities:    (1)   Each facility shall have the services ofat least one radiation therapists which should be staffed at a level of one therapist per 400 new cancer patients needing treatmentoncologist.    (2)   Each facility shall have the services ofat least one radiation physicists which should be staffed at a level of one physicist per 800 new patientstherapy physicist.    (3)   Each facility shall have the services of radiation therapy technologists which should be staffed at a level of two technologists per megavoltage unit.    (4)   Each facility should have the services of nurses.    (5)   Each facility should have the services of dosimetrists which should be staffed at a level of one dosimetrist per 500 new patientsat least one dosimetrist.    (6)   Each facility should have the services of one radiation therapist or radiation technologist competent to operate a CT simulator.    b.    Reserved.    c.    b.    Each conjoint center shall have at least two cancer biologists available.    d.    c.    Each conjoint center shall have one radiation technologist available for each simulator.    e.    Replacement or development of orthovoltage treatment should not occur.    f.    d.    The long-range plans for radiation therapy services shall be submitted to the Iowa department of public health.    g.    e.    Multidisciplinary tumor boards should be established in all institutions housing megavoltage or orthovoltage machines.    h.    f.    A source of continuing education should exist within each conjoint center to reach participating community referral hospitals and physicians.    i.    g.    Each conjoint center should have a unified training program in radiation therapy for radiation therapistsoncologists.    j.    h.    Each radiation therapy facility should offer psychosocial counseling services and nutritional counseling.    203.(7) 203.3(6) Continuity.  (SectionsIowa Code section 135.64(1)“g,” “h,” “i,” “k”)a.    The applicant should demonstrate that an attempt was made to solicit letters and establish referral agreements from area hospitals and physicians to indicate their willingness to participate in a cooperative endeavor to refer to the proposed service.    b.    A minimum of 75 percent of all radiation therapy procedures should be projected to be done on an outpatient basis. If the applicant believes that 75 percent is inappropriate for its facility, then documentation which shows how its facility is different and why it sufficiently justifies not meeting this 75 percent outpatient rate, shall be provided.    203.3(8) Acceptability.  (Section 135.64(1)“c”) Facilities with radiation therapy services shall document a willingness to observe and respect the rights of patients as stated in the “Patients Bill of Rights” adopted by the American Hospital Association February 6, 1973, and reprinted in 1975. Provisions for counseling services shall be available.
        [Filed 9/9/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5946CRegents Board[681]Adopted and Filed

    Rule making related to admission

        The Board of Regents hereby amends Chapter 1, “Admission Rules Common to the Three State Universities,” and rescinds Chapter 2, “Supplemental Specific Rules for Each Institution,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 262.9(3).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 262.9(3).Purpose and Summary    The amendments to Chapter 1 remove outdated information related to the regent admission index (RAI), remove “regional” terminology, update residency rules regarding domicile, and clarify that application fees for admission are subject to Board approval. In addition, Chapter 2 is 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 5694C. No public comments were received.    In the Notice of Intended Action, the term “regionally accredited” was amended to “accredited.” Upon further review, the term “regionally accredited” has been changed to “accredited by an entity recognized by the U.S. Department of Education.” This terminology is consistent with changes recently made by the Iowa Department of Education.Adoption of Rule Making    This rule making was adopted by the Board on September 16, 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 rule 681—19.18(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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend subrule 1.1(2) as follows:    1.1(2)   Admission criteria.    a.    Effective for students who seek admission in fall 2009 and thereafter through spring 2020.    (1)    A primary regent admission index (RAI) will be calculated for each freshman applicant using the formula below when the high school has provided a class rank. For purposes of calculating the primary RAI, the ACT composite score has a top value of 36 (SAT scores will be converted to ACT composite equivalents), high school rank is expressed as a percentile with 99 percent as the top value, high school GPA is expressed on a four-point scale, and number of high school courses completed in the core subject areas is expressed in terms of years or fractions of years of study.RAI=(2 × ACT composite score)+(1 × high school rank expressed as a percentile)+(20 × high school grade point average)+(5 × number of high school courses completed in the core subject areas)    (2)   An alternative RAI will be calculated for each freshman applicant using the equation identified in paragraph 1.1(2)“b” when the high school has not provided a class rank.    b.    a.    Effective for students who seek admission in summer 2020 and thereafter. An RAIA regent admission index (RAI) will be calculated for each freshman applicant using the equation below. For purposes of calculating the RAI, the ACT composite score has a top value of 36 (SAT scores will be converted to ACT composite equivalents), high school GPA is expressed on a four-point scale, and number of high school courses completed in the core subject areas is expressed in terms of years or fractions of years of study.RAI=(3 × ACT composite score)+(30 × high school grade point average)+(5 × number of high school courses completed in the core subject areas)    c.    b.    Freshman applicants from Iowa high schools who have an RAI of at least 245 and who meet the minimum requirements of the regent universities will qualify for automatic admission to any of the three regent universities. Freshman applicants who have an RAI below 245 may also be admitted to a specific regent university; however, each regent university will review these applications on an individual basis, and admission decisions will be specific to each institution.

        ITEM 2.    Amend subrule 1.2(1), introductory paragraph, as follows:    1.2(1)   Transfer applicants with a minimum of 24 semester hours of graded credit from regionally accredited colleges or universitiesaccredited by an entity recognized by the U.S. Department of Education, who have achieved for all college work previously attempted the grade point required by each university for specific programs, will be admitted. Higher academic standards may be required of students who are not residents of Iowa.

        ITEM 3.    Amend subrule 1.2(4) as follows:    1.2(4)   Transfer applicants from colleges and universities not regionally accreditedby an entity recognized by the U.S. Department of Education will be considered for admission on an individual basis taking into account all available academic information.

        ITEM 4.    Amend rule 681—1.3(262) as follows:

    681—1.3(262) Transfer credit practices.  The regent universities endorse the Joint Statement on Transfer and Award of Academic Credit approved in 1978 by the American Council on Education (ACE), the American Association of Collegiate Registrars and Admissions Officers (AACRAO), and the Council on Postsecondary Accreditation (COPA). The current issue of Transfer Credit Practices of Selected Educational Institutions, published by the American Association of Collegiate Registrars and Admissions Officers (AACRAO), and publications of the Council on Postsecondary Accreditation (COPA) are examples of references used by the universities in determining transfer credit. The acceptance and use of transfer credit is subject to limitations in accordance with the educational policies operative at each university.    1.3(1) Students from regionally accredited colleges and universitiesaccredited by an entity recognized by the U.S. Department of Education.  Credit earned at regionally accredited colleges and universitiesaccredited by an entity recognized by the U.S. Department of Education is acceptable for transfer except that credit in courses determined by the receiving university to be of a remedial, vocational, or technical nature, or credit in courses or programs in which the institution granting the credit is not directly involved, may not be accepted, or may be accepted to a limited extent.Of the coursework earned at a two-year college, students may apply up to one-half but no more than 65 hours of the credits required for a bachelor’s degree toward that degree at a regent university. This policy becomes effective September 29, 1993.    1.3(2) Students from colleges and universities which have candidate status.  Credit earned at colleges and universities which have become candidates for accreditation by a regional associationan entity recognized by the U.S. Department of Education is acceptable for transfer in a manner similar to that from regionally accredited colleges and universitiesaccredited by an entity recognized by the U.S. Department of Education if the credit is applicable to the bachelor’s degree at the receiving university.Credit earned at the junior and senior classification from an accredited two-year college which has received approval by a regional accrediting associationan entity recognized by the U.S. Department of Education for change to a four-year college may be accepted by a regent university.    1.3(3) Students from colleges and universities not regionally accreditedby an entity recognized by the U.S. Department of Education.  When students are admitted from colleges and universities not regionally accreditedby an entity recognized by the U.S. Department of Education, they may validate portions or all of their transfer credit by satisfactory academic study in residence, or by examination. Each university will specify the amount of the transfer credit and the terms of the validation process at the time of admission.In determining the acceptability of transfer credit from private colleges in Iowa which do not have regional accreditation, the regent committee on educational relations, upon request from the institutions, evaluates the nature and standards of the academic program, faculty, student records, library, and laboratories.In determining the acceptability of transfer credit from colleges in states other than Iowa which are not regionally accreditedby an entity recognized by the U.S. Department of Education, acceptance practices indicated in the current issue of Transfer Credit Practices of Selected Educational Institutions will be used as a guide. For institutions not listed in the publication, guidance is requested from the designated reporting institution of the appropriate state.    1.3(4) Students from foreign colleges and universities.  Transfer credit from foreign educational institutions may be granted after a determination of the type of institution involved and after an evaluation of the content, level, and comparability of the study to courses and programs at the receiving university. Credit may be granted in specific courses, but is frequently assigned to general areas of study. Extensive use is made of professional journals and references which describe the education systems and programs of individual countries.       This rule is intended to implement Iowa Code section 262.9(3).

        ITEM 5.    Amend paragraph 1.4(2)"a" as follows:    a.    The following general guidelines are used in determining the resident classification of a student for admission, tuition, and fee purposes:    (1)   A financially dependent student whose parents move from Iowa after the student is enrolled remains a resident provided the student maintains continuous enrollment. A financially dependent student whose parents move from Iowa during the senior year of high school will be considered a resident provided the student has not established domicile in another state.    (2)   In deciding why a person is in the state of Iowa, the person’s domicile will be considered.A person’s domicile is presumed to be that of the parent(s) or legal guardian unless the person is independent and establishes a separate domicile. A person who comes to Iowa from another state and enrolls in any institution of postsecondary education for a full program or substantially a full program shall be presumed to have come to Iowa primarily for educational reasons rather than to establish a domicile in Iowa.    (3)   A student who was a former resident of Iowa may continue to be considered a resident provided absence from the state was for a period of less than 12 months and provided domicile is reestablished. If the absence from the state is for a period exceeding 12 months, a studentformer resident may be considered a resident if evidence can be presented showing that the student has long-term ties to Iowa and reestablishes an Iowa domicile.A person or the dependent of a person whose domicile is permanently established in Iowa, who has been classified as a resident for admission, tuition, and fee purposes, may continue to be classified as a resident so long as domicile is maintained, even though circumstances may require extended absence of the person from the state. It is required that a person who claims Iowa domicile while living in another state or country will provide proof of the continual Iowa domicile.as evidence that the person:
    1. Has not acquired a domicile in another state,
    2. Has maintained a continuous voting record in Iowa, and
    3. Has filed regular Iowa resident income tax returns during absence from the state.
        (4)   A student who moves to Iowa may be eligible for resident classification at the next registration following 12 consecutive months in the state provided the student is not enrolled as more than a half-time student (6 credits for an undergraduate or professional student, 5 credits for a graduate student) in any academic year termat any postsecondary institution, is not enrolled for more than 4 credits in a summeror winter termat any postsecondary institution for any classification, and provides sufficient evidence of the establishment of an Iowa domicile.    (5)   A student who has been a continuous student and whose parents move to Iowa may become a resident at the beginning of the next term provided the student is dependent upon the parents for a majority of financial assistance.    (6)   A person who has been certified as a refugee or granted asylum by the appropriate agency of the United States who enrolls as a student at a university governed by the Iowa state board of regents may be accorded immediate resident status for admission, tuition, and fee purposes when the person:
    1. Comes directly to the state of Iowa from a refugee facility or port of debarkation, or
    2. Comes to the state of Iowa within a reasonable time and has not established domicile in another state.
    Any refugee or individual granted asylum not meeting these standards will be presumed to be a nonresident for admission, tuition, and fee purposes and thus subject to the usual method of proof of establishment of Iowa residency.
        (7)   An alien who has immigrant status establishes Iowa residency in the same manner as a United States citizen.    (8)   At the regent institutions, American Indians who have origins in any of the original people of North America and who maintain a cultural identification through tribal affiliation or community recognition with one or more of the tribes or nations connected historically with the present state of Iowa, including the Iowa, Kickapoo, Menominee, Miami, Missouri, Ojibwa (Chippewa), Omaha,Oneida (Narragansett), Otoe(Otto), Ottawa (Odawa), Potawatomi, Sac and Fox (Sauk, Meskwaki), Sioux, and Winnebago (HoCak,Ho Chunk), will be assessed Iowa resident tuition and fees.    (9)   Individuals who have received a homeless youth determination may be classified as residents for tuition and fee purposes.

        ITEM 6.    Rescind subrule 1.4(3).

        ITEM 7.    Rescind and reserve rule 681—1.5(262).

        ITEM 8.    Amend subrule 1.6(2) as follows:    1.6(2) Policy on college-bound program.      a.    The regent institutions will cooperate with other state and local agencies, including the department of education, the college aid commission, and educational institutions in implementing the college-bound programto provide Iowa minority students with information and experiences relating to opportunities offered at the regents’ universities.    b.    The universities will develop programs for elementary, middle and secondary school students and their families in the following areas:    (1)   Encouragement to consider attending a postsecondary institution;    (2)   Enrichment and academic preparation;    (3)   Information about how to apply for admission.    c.    College-bound program vouchers will be awarded to students on the basis of the participation of the student and the student’s family in the college-bound program. One voucher will be awarded for participation in each college-bound program sponsored by a university.    (1)   Each university will maintain records concerning those students who participate in the college-bound program, according to its established policies and procedures. The records will include information on those students who have received college-bound program vouchers which are described in Iowa Code section 262.92(2). The University of Iowa will maintain a central record on all students who have received college-bound program vouchers on behalf of all regent institutions and will make appropriate information available to the college aid commission.    (2)   College-bound program vouchers may be used by students enrolled at a regent institution or at a private college or university in Iowa.    (3)   A student holding vouchers and enrolling at a regent institution will receive priority in the award of funds under the Iowa minority academic grants for economic success (IMAGES) program. Awards under the IMAGES program are made on the basis of financial need. A student may be eligible for an additional award from the institution in which the student is enrolled.    (4)   A student holding vouchers and enrolling at a private college or university in Iowa will receive priority in the award of funds under the Iowa minority academic grants for economic success program as provided by the rules of the college aid commission.    (5)   The presidents, or their designees, will administer and coordinate the college-bound program at the universities. As part of the coordination, they will establish liaison with the appropriate state and local agencies, serve as the university contact and promote collaborative efforts among the regent universities and other appropriate agencies and institutions. Annual reports to the board of regents shall be prepared by each regent university. The reports shall contain relevant information as to the accomplishments of the program in the past year and a plan of action with goals and objectives for the forthcoming year. Reports shall be submitted to the board of regents on OctoberDecember 1 of each year.

        ITEM 9.    Rescind rule 681—1.7(262) and adopt the following new rule in lieu thereof:

    681—1.7(262) Application fees.  Mandatory application fees for admission to the University of Iowa, Iowa State University and the University of Northern Iowa shall be approved by the board of regents and shall be based on reasonable costs anticipated to be incurred by the institution in processing the application, unless otherwise approved by the board of regents.

        ITEM 10.    Rescind and reserve 681—Chapter 2.    [Filed 9/16/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5947CRegents Board[681]Adopted and Filed

    Rule making related to compensation and probation

        The Board of Regents hereby amends Chapter 3, “Regents Human Resources Management—Merit System Rules,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 262.9(3).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 262.9(3).Purpose and Summary    The amendments to Chapter 3 update language for clarification and add an emergency pay practice. 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 5695C. 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 September 16, 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 rule 681—19.18(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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Adopt the following new definition of “Premium pay” in rule 681—3.14(8A):        "Premium pay" means a sum of money paid for specific work in addition to the salary or hourly rate.

        ITEM 2.    Amend rule 681—3.14(8A), definition of “Probationary period,” as follows:        "Probationary period" is a six-month period to determine an employee’s fitness for the position. A probationary period is required for an original appointment, reinstatement,or reemployment to a classification not previously held, promotion, voluntary demotion out of series or lateral transfer out of classification.Employees hired on term appointments, as defined by rule 681—3.85(8A), are also subject to a probationary period.

        ITEM 3.    Amend rule 681—3.39(8A) as follows:

    681—3.39(8A) Administration of the pay plan.  Within the provisions of these rules, the pay plan will be uniformly administered by the resident directors under the direction of the merit system director for all classifications in the system. Except as otherwise provided in these rules and in the pay plan, all employees will be paid between the minimum and maximum of the pay grade to which the employee’s classification is assigned and such pay will constitute the total cash remuneration the employee receives for the employee’s work in that position. Any employee who is approved for participation in a phased retirement program as provided for by state law and regent policy shall have the salary provided under these rules adjusted as specified by such law and regent policy.In instances where more than one rule for pay is applicable, the resident director may apply the rule that is most appropriate for the situation.    3.39(1) Entrance salaries.  The entrance salary for an employee in any position under this system will be the minimum salary of the pay grade to which that classification is assigned or in accordance with the approved pay plan, except as provided for the following:    a.    Appointment based on a scarcity of qualified applicants.At the request of an institution and on the basis of economic or employment conditions which make it difficult or impossible to recruit at the minimum rate of the pay grade to which a classification of position is assigned, a resident director, subject to approval by the merit system director, may authorize for a designated period of time recruitment for that classification at a rate higher than the minimum. Where such a higher entrance rate is authorized all employees in the same classification and in the same geographical area, who are earning less than the higher entrance rate, will be increased to that higher rate.    b.    Appointment based on exceptional qualifications.Employees whose qualifications substantially exceed the minimum required for the classification or who possess outstanding experience relative to the demands of the position may, at the request of an employing department and upon approval by the resident director, be appointed at a rate higher than the minimum, provided that the pay of all other employees in the same classification as defined in 3.104(4)“e” with similar qualifications working under the same conditionsas defined in 3.104(4)“h” at the same institution are raised to that higher rate. These appointments along with any salary adjustments required of other employees other than the appointee must be reported to the merit system director. Increases authorized and granted to other employees as the result of appointments based on the scarcity of qualified applicants, 3.39(1)“a,” or appointments based on exceptional qualifications, 3.39(1)“b,” will establish new merit review dates for affected employees.In the event that a substantial inequity is created due to a change to a merit review date, the resident director may determine that no change should be made to the merit review date or that an alternate merit review date should be established.    c.    Appointments based on prior service at the institution.Employees who were employed by an appointing institution in a nonmerit system position and who performed duties of the same character and responsibility as the merit classification to which they are being appointed may be paid at a rate higher than the minimum reflecting prior service in a comparable position. Such appointments must be approved by the resident director and reported to the merit system director.    3.39(2) Merit increases.   Employees with satisfactory performance shall be eligible to receive a merit increase upon completion of their minimum pay increase eligibility period. The minimum pay increase eligibility period for employees shall be 12 months from their last performance review, except that it shall be 6 months for an employee who is appointed, promoted, or reclassified and paid at the minimum rate for the employee’s assigned pay grade. Failure to conduct a performance review shall result in the employee being deemed to have performed satisfactorily during this period. No merit increase will be granted above the maximum of the pay grade. Merit increases in pay will not be made retroactively but may be denied or deferred by the employing department on the basis of work performance. Employees whose merit increases are denied or deferred will be informed of such action by a written statement from their employing department which specifies the reason(s) for the action. Deferrals of a merit increase for six months or less for reason of unsatisfactory work performance will not result in the establishment of a revised merit review date.Deferrals resulting from leaves of absence without pay or layoff exceeding 30 calendar days will cause a change of the merit review date equal to the time away from work.    3.39(3) Pay on promotion.  An employee who is promoted will be moved to the minimum rate of the new grade, or to an equal or higher rate in the new grade that is no greater than 5 percent higher than the employee’s current base pay without approval of the merit system director. In no event will the adjustment result in pay above the maximum of the new grade.If the promotion involves movement to a new grade that is three or more grades higher than the employee’s present grade, the resident director may approve, on written request from the employing department, an increase to the employee’s present base pay of no greater than 10 percent without the approval of the merit system director.For the purpose of calculating the promotional increase, any extra pay such as shift differential pay, pay for special assignment, pay for lead worker status, on-call pay, pay for overtime, or pay for call back shall be excluded as part of the employee’s present base pay. The minimum pay increase eligibility period will be computed from the effective date of promotion and in accordance with 3.39(2). Pay on promotion in accordance with the provisions of 3.39(1)“b” may be authorized by a resident director and will be reported to the merit system director.    3.39(4) Pay on demotion.  Upon recommendation by the department head, and with the prior approval of the resident director, the pay of an employee who is demoted will be set at any rate within the new pay grade that does not exceed the rate at which the employee was paid in the position from which the employee was demoted except as provided in 3.39(1)“b.” Minimum increase eligibility period will not change.If the salary of an employee who is demoted as the result of the reclassification of the employee’s position exceeds the maximum salary of the pay range to which the new classification is assigned, at the discretion of the employing department and with the approval of the resident director, the salary may be “red-circled” for a period not to exceed one year. The resident director may request an extension be approved by the merit system director due to extraordinaryspecial circumstances for a designated period of time.If an employee accepts voluntary demotion in lieu of layoff, the salary shall be retained providing funding is available. In no event will the salary exceed the maximum of the new pay grade.    3.39(5) Pay on reinstatement, reemployment or return from leave.      a.    An employee who is reinstated will be paid at a rate no greater than what the employee was last paid, plus any across-the-board increases that would have occurred during the time of nonemployment, and between the minimum and maximum of the pay grade. An employee who is returned to a merit system position from a professional position, will be paid in accordance with subrule 3.39(4), pay on demotion. The date of reinstatement will be the merit review date.    b.    An employee who is reemployed to the previously occupied class will be paid at a rate no greater than what the employee was last paid, plus any across-the-board increases that would have occurred during the time of nonemployment, and between the minimum and maximum of the pay grade. When a merit increase has been granted to an employee in a position taken through voluntary demotion in lieu of layoff and the merit increase results in a higher rate of pay than last paid to the employee prior to the voluntary demotion in lieu of layoff, the employee may be reemployed to the previously occupied class with the higher rate of pay. Reemployment to the previously occupied class from a position taken as a voluntary demotion in lieu of layoff will not be considered a promotion. The merit review date will not change as a result of the voluntary demotion in lieu of layoff, nor as a result of reemployment to the previously occupied class from a position taken as a voluntary demotion in lieu of layoff.    c.    An employee who is reappointed to the previously occupied position or a position in the same class on conclusion of a leave without pay will be paid in accordance with the provisions concerning pay on reemployment as provided above.    3.39(6) Pay for special assignment.  Provided an employee is granted special assignment in accordance with 3.102(2), the employee will be paid for the duration of such assignment consistent with:    a.    3.39(3) Pay on promotion if assigned to a classification having a higher pay grade;    b.    3.39(7) Pay on transfer if assigned to a classification having the same pay grade;    c.    The present base pay if assigned to a classification having a lower pay grade.    3.39(7) Pay on lateral transfer.      a.    Employees who are transferred from one position to another position in the same classification shall receive no adjustment in base pay except as provided in 3.39(1)“b”;    b.    Employees who are transferred from one position to another position in a different classification but in the same pay grade shall receive no adjustment in base pay except as provided in 3.39(1)“b” or as set forth in 3.39(7)“c” and “d” below;    c.    Employees who are transferred from one classification with a lower or no advanced starting rate to a classification with a higher advanced starting rate shall receive:    (1)   An adjustment to the higher advanced starting rate if the base pay prior to lateral transfer is less than the higher advanced starting rate. When the base pay adjustment is the salary equivalent of the value of a step or greater, an adjustment in merit review date will result and be computed from the effective date of lateral transfer and in accordance with 3.39(2); or    (2)   There will be no adjustment in base pay if the employee’s base pay prior to lateral transfer is not less than the higher advanced starting rate.    d.    Employees who are transferred from one position in a classification with a higher advanced starting rate to a position in a classification in the same pay grade but with a lower or no advanced starting rate shall be paid in accordance with subrule 3.39(4), pay on demotion.    e.    In no case may an employee be paid below the minimum or above the maximum for a classification.    3.39(8) Pay upon change in pay grade of class.  If the class is revised and reassigned to a higher pay grade, subrule 3.39(3), pay on promotion, will apply.If the class is revised and reassigned to a lower pay grade, subrule 3.39(4), pay on demotion, will apply.    3.39(9) Pay for part-time employment.  Pay for part-time employment will be proportionately equivalent to the rate for full-time employment.    3.39(10) Pay for exceptional performance.  An employee may be given pay for exceptional performance, not to exceed 510 percent of an employee’s current annual salary, at the written request of the employee’s department head with appropriate administrative approval and the prior approval of the resident director. The request will describe the nature of the exceptional job performance for which additional pay is requested, indicate the amount proposed, and specify the source of funds. The award may be based on sustained superior performance or an exceptional achievement or contribution during the period since the employee’s last performance review. To qualify for an exceptional performance award, an employee must have a cumulative performance evaluation exceeding standards and have no individual rating below satisfactory. Payment will be made as a lump sum award and will not change the employee’s established salary rate. An employee will be eligible to receive multiple rewards per fiscal year but not to cumulatively exceed 510 percent of the employee’s current annual salary.    3.39(11) Pay for call back.  Employees who are called back to work after completing their regular work schedule will be paid for a minimum period of three hours, regardless of the time worked. Employees who are called back and work in excess of three hours will be paid the actual time worked.    3.39(12) Pay for lead worker status.  On request of an employing department and with approval of the resident director, an employee who is assigned and performs limited supervisory duties (such as distributing work assignments, maintaining a balanced workload within a group, and keeping attendance and work records) in addition to regular duties may be designated as lead worker in the classification assigned, and paid during the period of such designation the employee’s base salary plus, at the discretion of the institution, a percentage of the employee’s base pay no greater than 5 percent without the approval of the merit system director.    3.39(13) Pay for trainees and apprentices.  The schedule of wages for trainees and apprentices will be set at the minimum of the entrance rate of the journey classification and decreased by 4.5 percent for every year of the program. Each employee whose performance is satisfactory as determined by the employing department will progress by half of the annual increase every six months from the first step of the schedule to the entrance rate established for the journey classification at the completion of time established for training or apprenticeship.    3.39(14) Pay for returning veterans.  Veterans who return from military leave will have their pay set by applicable federal law.    3.39(15) Discretionary pay increases for permanent employees.   Permanent employees paid within the designated pay grade may be eligible for a discretionary increase to their present base pay as a result of a market analysis, equity analysis, employment offer or other employment situation. In no circumstance will the adjustment result in pay above the maximum of the pay grade. A resident director shall present the rationale for a discretionary pay increase to the merit system director for approval by the merit system director.    3.39(16) Payment of a shift differential.  All employees will be paid a shift differential for any shift of which four or more hours occur between 6 p.m. and midnight and a shift differential for any shift of which four or more hours occur between midnight and 6 a.m. The amount of the shift differential paid shall be determined by the merit system directorand may vary between or within institutions based on geographical or market differences.    3.39(17) Pay for time on-call.  At the request of the employer, employees who are off duty and free to engage in their own pursuits shall be considered on-call, provided (a) that they leave word with the employer where to be reached if needed, and (b) that they are able to report ready for work within a specified time after being contacted by the employer. The rate for on-call pay shall be determined by the merit system director.    3.39(18) Pay on reclassification of position.  If a position is reclassified, the incumbent’s pay will be fixed in accordance with the rules governing pay on demotion, reemployment, transfer, or promotion, whichever is applicable.    3.39(19) Recruitment or retention payments.  A payment to a job applicant or an employee may be made for recruitment or retention reasons. The resident director shall first submit a written explanation to the merit system director prior to any payment being made.As a condition of receiving recruitment or retention pay, the recipient must sign an agreement to continue employment with the employing department to be commensurate with the amount of the payment. If the recipient is terminated for cause or voluntarily leaves state employment, the recipient will be required to repay the employing department for the proportionate amount of the payment for the time remaining and it will be recouped from the final paycheck. When the recipient changes employment to another state agency, a repayment schedule must be approved by the employing department and the state agency. Recoupment will be coordinated between the state agency and the institution to ensure the proper reporting of taxes.    3.39(20) Emergency payments.  When a state of emergency has been declared to exist at an institution, an employee may be given emergency pay at the written request of the employee’s department head with appropriate administrative approval and the prior approval of the merit system director and executive director. The request will describe the nature of the state of emergency, the services provided by the employee in support of the management of or response to the state of emergency, the amount proposed, and the source of funds. Payment will be made as a lump sum award and will not change the employee’s established salary rate.       This rule is intended to implement Iowa Code section 8A.413.

        ITEM 4.    Amend rule 681—3.85(8A) as follows:

    681—3.85(8A) Term appointment.  When it is known that a particular job, project, grant or contract will require the services of an employee for a limited duration or where funding must be renewed periodically, a term appointment may be made. The initial appointment will not be made for more than one year. Renewals beyond one year may be approved by the resident director on the basis of funding availability or institutional limits on term appointments.Employees on a term appointment are subject to a probationary period. An employee on term appointment subsequently hired as a regular employee in the same classification is not required to complete an additional probationary period.Such appointments will not confer to the individual any right of position, transfer, demotion, promotion, or recall, but incumbents shall be eligible for vacation and sick leave, except that a term appointment made for less than 780 hours will be considered a temporary appointment under rule 681—3.82(8A) without conferring rights or eligibility for vacation or sick leave.       This rule is intended to implement Iowa Code section 8A.413(9).
        [Filed 9/16/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5948CRegents Board[681]Adopted and Filed

    Rule making related to traffic and parking at universities

        The Board of Regents hereby rescinds Chapter 4, “Traffic and Parking at Universities,” Iowa Administrative Code, and adopts a new Chapter 4 with the same title.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 262.9 and 262.69.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 262.69.Purpose and Summary    This rule making rescinds Chapter 4 and creates a new Chapter 4 for traffic and parking that consolidates the three separate institutional rules into a single rule and clarifies that citation schedules are subject to Board approval.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 5696C. The Board received one comment inquiring as to the rationale for removing the schedule of traffic and parking fees from the administrative rules. The Board provided comment in response to this inquiry during the July 13, 2021, meeting of the Administrative Rules Review Committee. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Board on September 16, 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 rule 681—19.18(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 November 10, 2021.    The following rule-making action is adopted:

        ITEM 1.    Rescind 681—Chapter 4 and adopt the following new chapter in lieu thereof: CHAPTER 4TRAFFIC AND PARKING AT UNIVERSITIES

    681—4.1(262) Purpose.  The purpose of these rules is to provide for the policing, control and regulation of traffic and of parking vehicles on the campuses of the state University of Iowa, Iowa State University and the University of Northern Iowa.

    681—4.2(262) Definitions.  For the purpose of these rules, the following definitions shall apply unless the context clearly requires otherwise, and all other words shall have meaning according to their common usage.        "Appointed authority" means the person or entity designated by the president of a university to perform any function or duty required or permitted hereunder.        "Bicycle" means any vehicle having two or three wheels and fully operable pedals that is a traditional bicycle designed solely to be pedaled by the rider. An electric/battery-powered bicycle designed not only to be pedaled by the rider but also propelled by an electric motor of less than 750 watts (one horsepower) may be treated as a bicycle and may be parked at bicycle racks.        "Campus" means all property under the control of a university.        "Employee" means any person regularly employed by a university who is not a student.        "Guest" means any person other than a person living at the designated residence hall.        "Handrail" means any railing intended to provide physical support to a pedestrian.        "Immobilization" of a bicycle consists of restricting the bicycle’s use by detaining it at the point of infraction with a university locking device.        "Impoundment" of a bicycle consists of removing the owner’s locking device, transporting the bicycle to a university facility, and detaining it with a university locking device.        "In-line skates" means any frame or shoe with a single row of wheels that is used for gliding or skating. In-line skates are also known as roller blades.        "Motorcycle" "moped" or "motorized bicycle" means any vehicle that is self-propelled, has fewer than four wheels in contact with the ground, and is not a bicycle or an electric bicycle. For purposes of these rules, a moped or motorized bicycle is considered a motorcycle.        "Motor vehicle" means any vehicle that is self-propelled and has four or more wheels in contact with the ground.        "Roller skates" means any frame or shoe with a pair of small wheels near the heel and near the toe that is used for gliding or skating.        "Skateboard" means any board or platform with attached wheels used for individual transportation. For purposes of these rules, a nonmotorized scooter (a board with a handle) is considered a skateboard.        "Street furniture" is any structure or accessory in a university pedestrian area or slow zone designed for the benefit of pedestrians. This includes, but is not limited to, benches, tables, lampposts, and trash receptacles.        "Student" means any person registered with the university for academic credit who is not employed by the university on a full-time salaried or equivalent basis.        "University," unless specifically indicated herein, means the state University of Iowa, Iowa State University or the University of Northern Iowa.        "Vehicle" means any wheeled or treaded device used or designed for use as a means of transportation or conveyance of persons or property.        "Visitor" means any person who owns, operates or parks a vehicle on the university campus who is not a student or an employee.

    681—4.3(262) General traffic.      4.3(1)   The appointed authority shall establish rules governing traffic violations and the safe operation of all vehicles, including motor vehicles, motorcycles, skateboards, in-line skates, roller skates and bicycles, on institutional roads and property as the director deems necessary. Such traffic rules shall be available for inspection during business hours at the office of the appointed authority and the board of regents. Traffic violations may also be charged and prosecuted as violations of Iowa Code chapter 321 and section 262.68. All state of Iowa motor vehicle laws are in effect on campus.    4.3(2)   The appointed authority shall erect speed limit signs in conformity with maps of the institutional roads and property of the university designating such speed limits as adopted by the board of regents. The maps will be available for inspection during business hours at the office of the appointed authority and the board of regents.    4.3(3)   The appointed authority is delegated authority to make temporary changes in traffic patterns, including establishment of one-way roads and road closures, where necessary because of construction or special events being held on campus.    4.3(4)   The appointed authority is delegated authority to erect traffic control signs and devices, and to designate pedestrian crosswalks and bicycle lanes, as well as no bicycling and no skateboard, in-line skating and roller skating areas; bicycle dismount zones and pedestrian-only areas. All vehicle operators must obey all signs directing traffic flow on campus.    4.3(5)   Pedestrians shall be given the right-of-way at all crosswalks or when in compliance with existing traffic controls.    4.3(6)   Driving of vehicles, motor vehicles, and motorcycles on university property other than roads is prohibited, unless specific areas have been designated for such use by the appointed authority or special permission has been granted by the appointed authority for emergency conditions.    4.3(7)   Driving of vehicles, motor vehicles, and motorcycles on parts of institutional roads marked as bicycle lanes or on designated bicycle paths is prohibited.    4.3(8)   The appointed authority is delegated authority to have the university public safety department investigate accidents which occur on university property.    4.3(9)   Every person riding a bicycle on a street or highway on campus is granted all the privileges and is subject to all the regulations applicable to a driver of any motor vehicle on that street or highway and to the special regulations of this subrule.     a.    A bicycle rider on campus must:    (1)   Obey the instructions of official traffic control devices, signs and signals applicable to motor vehicles, unless otherwise directed by a peace officer or other authorized traffic director;    (2)   Obey the direction of any sign whenever authorized signs are erected indicating that no right, left or U-turn is permitted;    (3)   Obey the regulations applicable to pedestrians when the bicycle rider dismounts from the bicycle;    (4)   Yield the right-of-way to all vehicles approaching on a street whenever a rider is on a separate bicycle path that intersects the street;    (5)   Not use campus sidewalks except those specifically designated as bicycle paths;    (6)   Yield the right-of-way to any pedestrian in a designated crosswalk;    (7)   Not ride on lawns.    b.    This subrule does not apply to peace officers of the university’s department of public safety while they are acting within the scope of their regularly assigned duties.    4.3(10)   Roller skates, roller blades and skateboards are permitted on campus sidewalks. Roller skates, roller blades and skateboards are not permitted on or in university structures or buildings; on stairways, sub-walks, elevated sidewalks, access ramps, steps, retaining walls, handrails or other architectural elements; on or in planting, grass or seeded areas; or where otherwise prohibited by sign, peace officer or other authorized traffic director. Any person on roller skates, roller blades or a skateboard must yield the right-of-way to any wheelchair or other mobility assistance device for the disabled, pedestrian or bicycle.

    681—4.4(262) Registration.  Motor vehicles and motorcycles shall be registered as follows:    4.4(1) Students.  Any student who operates, maintains or owns a motor vehicle or motorcycle on university property is responsible for the proper registration of the vehicle and the display of the university registration identification thereon. Every motor vehicle and motorcycle which is operated or maintained by a student on campus must be registered with the university, and a registration identification must be displayed on the vehicle in the manner prescribed by the appointed authority. A student must register the vehicle within 48 hours of initial operation of the vehicle on campus.     4.4(2) Employees.  Motor vehicles and motorcycles owned or operated by employees may be registered with the university if the employee so desires, but registration of such vehicles is not required unless the employee desires parking privileges on the campus. A registration identification may be issued for display on vehicles registered by employees.    4.4(3) Visitors.  Vehicles owned or operated by visitors may be registered with the university if the visitor so desires, but registration of these vehicles is not required unless the visitor desires parking privileges on campus or the visitor needs temporary or extended access to parking lots. A registration identification shall be displayed on vehicles registered by visitors in the manner prescribed by the university.    4.4(4) Procedure.  Applications for registration shall be submitted to the appointed authority in the manner the appointed authority prescribes. No student shall register any vehicle owned or actually maintained by another student. No fee shall be charged for registration without parking privileges.    4.4(5) Bicycles.  Each university may prescribe additional policies regarding the registration of bicycles.

    681—4.5(262) Parking facilities.  The university may set aside and designate certain areas of the campus for the parking of motor vehicles, motorcycles, and bicycles, and the use of any lot, ramp, or part of the parking facilities so established may be restricted to students, employees, or visitors. The appointed authority shall cause signs to be erected and maintained clearly identifying those areas of the university campus designated for vehicle parking, and any restrictions applicable thereto shall be conspicuously posted.    4.5(1) Parking control devices.  Gates and other devices may be installed and maintained to control access to any parking facility.    4.5(2) Parking meters.  Parking meters, toll houses, and other devices may be installed and maintained to regulate the use of any parking facility.    4.5(3) Hours of operation.  Reasonable hours shall be established by the university for the normal operation of the parking facilities, and a schedule of hours of operation shall be published and available for public inspection in the office of the appointed authority.    4.5(4) Closing.  The appointed authority may temporarily close any parking facility for cleaning, maintenance or other university purpose, or may temporarily restrict or reassign the use of any facility as may be necessary or convenient. The appointed authority shall give advance notice of such temporary closing, restriction, or reassignment by posting or otherwise when practical. No parking fees will be refunded during the temporary closing of a parking facility.     4.5(5) Restricted areas.  The appointed authority is delegated authority to restrict access to campus streets, parking lots and other facilities by means of gates or other barriers. Streets or portions of streets may be closed to vehicle traffic or limited to specific vehicles. Access to restricted areas is limited to established gate openings or designated entrances, and no other means of access is permitted. Moving or driving around authorized barriers is prohibited.    4.5(6) Restricted zones.  The appointed authority may designate areas of the campus as restricted zones, such as loading zones or service vehicle zones, and such restricted zones shall be conspicuously posted. No parking shall be permitted in such restricted zones except as authorized.    4.5(7) No parking.  Motor vehicle and motorcycle parking on the campus shall be restricted to designated parking facilities, and no parking for motor vehicles and motorcycles shall be permitted at any other place on the campus.     a.    Vehicles shall not be parked in such a manner as to block or obstruct sidewalks, crosswalks, driveways, roadways, or designated parking stalls.     b.    No parking is permitted in prohibited zones, such as in the vicinity of fire hydrants or fire lanes, and such zones shall be conspicuously posted or marked by painted curbs or other standard means.     c.    No parking is permitted on grass or other vegetation or in pedestrian areas.     d.    Motor vehicles are not allowed in university buildings except:     (1)   Where a shop or garage is designated as a vehicle repair or storage area;    (2)   Where there is a designated vehicle loading area; or    (3)   Where there is a parking ramp or deck.    e.    Improper parking is parking in any place on campus other than those areas designated for parking.     f.    Improper parking is parking incorrectly in designated parking areas. Improper parking includes, but is not limited to:     (1)   Parking in an area restricted by signs;    (2)   Parking without an appropriate permit;    (3)   Parking in an area designated for persons with disabilities;    (4)   Parking in a loading zone over the time limit; and    (5)   Parking over a stall marker line.    4.5(8) Motorcycle and moped parking.  The appointed authority may designate areas of the parking facilities for motorcycle parking, and such areas shall be conspicuously posted. Motorcycles shall be parked only in areas designated for motorcycle parking, and no other vehicles shall be parked in such areas. The university may require that a parking permit be displayed on all motorcycles and mopeds.    4.5(9) Bicycle parking.  The appointed authority may install and maintain bicycle parking racks or designate other facilities for bicycle parking. Bicycles shall be parked only in bicycle racks or other facilities designated for bicycle parking. Improperly or illegally parked and abandoned bicycles may be impounded. Locking devices may be cut and removed when necessary. Bicycles may not be taken inside university buildings except as approved by the appointed authority.    4.5(10) Violations.  Bicycles attached to, or rested against, trees, shrubs, handrails, or handicapped parking meters, or limiting access to, or use of, any university facility may be impounded, the owners fined, or both. Bicycles parked inside a university building that is not designated for bicycle parking may be impounded or the owners fined, or both. Bicycles bearing proper registration decals that are attached to, or rested against, street furniture may be ticketed or immobilized and the owners fined. If the bicycles interfere with the use of the furniture, they may be impounded. Bicycles considered abandoned may be labeled for impending impoundment by placing impoundment tags on the bicycles. If the bicycles display the proper registration decals, an attempt will be made to contact the owners to remove the bicycles. If the bicycles do not display the proper registration decals, the owners have two weeks to contact the parking and transportation office from the time the bicycles are tagged until the bicycles may be impounded.

    681—4.6(262) Parking privileges.  Students and employees may be granted parking privileges on the campus in accordance with these rules and upon such other reasonable terms and conditions as may be established by the university.    4.6(1) Students.  Students may be granted parking privileges in parking facilities designated for student use. Optional plans and facilities may be offered as determined by the appointed authority. Reasonable classifications may be established on the basis of a student’s age, class, college or department, course load, proximity of the student’s residence to the campus, physical disability, employment, the availability of facilities, or any other relevant criterion to determine the eligibility of students for parking privileges or any optional plan or facility.    4.6(2) Employees.  Employees may be granted parking privileges in parking facilities designated for employee use. Optional plans and facilities may be offered as determined by the appointed authority. Reasonable classifications may be established on the basis of an employee’s job classification, length of service, place of work or the nature thereof, or physical disability; the availability of facilities; or any other relevant criterion to determine the priority of employees for assignment of parking privileges or any optional plan or facility.    4.6(3) Visitors.  Visitors may be granted parking privileges in parking facilities designated for visitor parking. Optional plans and facilities may be offered as determined by the appointed authority. Reasonable classifications may be established on the basis of the time, duration or purpose of the visit; physical disability; the availability of facilities; or any other relevant criterion to determine the eligibility of visitors for parking privileges or any optional plan or facility.    4.6(4) Persons with disabilities.  Persons with disabilities will be granted parking privileges in parking facilities designated for use by persons with disabilities.     4.6(5) Procedure.  Applications for parking privileges shall be submitted to the appointed authority in the manner the appointed authority prescribes. No student shall apply for parking privileges for any vehicle owned or actually maintained by another student. The appointed authority shall determine the eligibility and priority of each applicant for parking privileges within the classifications established in subrules 4.6(1), 4.6(2) and 4.6(3) and shall make all parking assignments. A parking permit or other means of identification may be issued to each applicant who is granted parking privileges, and such permit or other identification must be displayed on the vehicle in the manner prescribed by the appointed authority. Parking permits are not transferable. Parking privileges shall not be granted to a student and to an employee or visitor for the same vehicle, and a student parking permit and an employee or visitor parking permit shall not be displayed on the same vehicle. The unauthorized possession, use, alteration, forging or counterfeiting of a parking permit, or any portion thereof, is prohibited. The appointed authority shall adopt a procedure to replace lost, stolen and destroyed parking permits and controlled access entry cards.     4.6(6) Parking fees.  The university may assess and collect from students, employees, and visitors reasonable fees or charges for parking privileges and the use of parking facilities. The amount of such fees and charges shall be established by the university and approved by the board of regents, and a schedule of all parking fees and charges shall be published and available for inspection during normal business hours in the office of the appointed authority and in the office of the board of regents. Parking fees and charges may be assessed and collected on an annual, semester, monthly, or hourly basis. Parking fees and charges may be added to student tuition bills and may by agreement be withheld from the salaries or wages of employees by payroll deduction. Parking fees and charges may be collected by means of parking meters or toll houses. Use of any parking facility constitutes an implied agreement to pay the prescribed fee or charge therefor.    4.6(7) University business.  Special parking privileges may be granted for vehicles being used on official university business on the conditions and in the manner prescribed by the appointed authority.    4.6(8) Responsibility.  Any person who maintains, owns or operates a vehicle that is parked on the campus or in whose name the vehicle is registered or to whom parking privileges have been granted is responsible for the proper parking of the vehicle at all times when it is on the campus and for all parking violations involving the vehicle.    4.6(9) Liability.  Parking privileges granted hereunder constitute a license to use university parking facilities and do not constitute a lease of such facilities or a bailment of the vehicle by the university. Use of university parking facilities is at the owner’s or applicant’s risk, and the university shall not be liable or responsible for loss of or damage to any vehicle parked on the campus.    4.6(10) Revocation.  Parking privileges on the campus may be revoked by the university for good cause at any time upon five days’ written notice and refund of any advance payment of parking fees or charges on a pro rata basis for the revoked period.

    681—4.7(262) Violations.  Sanctions may be imposed for violation of traffic, registration and parking rules as follows:    4.7(1) Notice of violations.  The university shall give written notice of all parking violations. Such notice may be given by means of a notice of parking violation placed conspicuously on the offending vehicle or provided in an alternative manner as determined by the appointed authority, and such notice shall constitute constructive notice of the violation to the owner and operator of the vehicle and to any person in whose name the vehicle is registered or parking privileges have been granted.    4.7(2) Sanctions.  Reasonable monetary sanctions may be imposed upon students, employees, and visitors for violation of university traffic, vehicle registration or parking rules. The amount of such sanctions shall be established by the university and approved by the board of regents, except sanctions established by statute will be imposed at the current statutory amount. A schedule of all sanctions for traffic violations, improper registration and parking shall be published and available for public inspection during normal business hours in the office of the appointed authority and in the office of the board of regents. Traffic, registration, and parking sanctions may be assessed against the owner or operator of the vehicle involved in each violation or against any person in whose name the vehicle is registered or parking privileges have been granted and charged to the person’s university account. Registration and parking sanctions may be added to student tuition bills or may be deducted from student deposits or from the salaries or wages of employees or from other funds in the possession of the university.    4.7(3) Impoundment and immobilization.  Any vehicle parked on the campus in violation of parking rules may be impounded, removed or immobilized. The university shall give written notice of impoundment to the owner of the vehicle or to the person in whose name the vehicle is registered or parking privileges have been granted or notice may be provided in an alternative manner as determined by the appointed authority. A reasonable fee may be charged for the cost of impoundment and storage, which fee must be paid prior to the release of the vehicle by the university or by contract with private operators. Impounded vehicles that are not claimed within 60 days will be deemed abandoned property and may be sold under procedures set forth in Iowa Code chapter 579, and the proceeds of the sale will be applied to the payment of the costs of impoundment, storage and sale. The balance, if any, shall be sent to the owner.    a.    Immobilization.Immobilized bicycles bearing proper registration permits may be claimed by proving ownership and payment of immobilization fees and any fines. Immobilized bicycles not bearing proper registration permits may be claimed by proving ownership, registering the bicycle under a valid name and address, and paying the appropriate fines and immobilization fees. Immobilization fees for first-time offenders may be waived after immobilized bicycles have been registered. Immobilized bicycles not reclaimed after two working days may be impounded.    b.    Impoundment.Impounded bicycles bearing proper registration permits may be claimed by proving ownership and paying the impoundment fees and any fines. Impounded bicycles not bearing proper registration permits may be claimed by proving ownership, registering the bicycles under a valid name and address, and paying the appropriate fines and impoundment fees. Impoundment fees for first-time offenders may be waived after impounded bicycles have been registered. All impounded bicycles will be held for 60 days, during which time they may be claimed by the owners upon payment of all outstanding fines and charges. After 60 days, all unclaimed impounded bicycles will be deemed abandoned property and sold pursuant to Iowa law, and the proceeds applied to the costs of impoundment, storage and sale. The balance, if any, shall be sent to the owner, if known.    4.7(4) Administrative hearing.  Students and employees may request a hearing and administrative ruling concerning a controversy, based on the imposition of a sanction for a registration or parking violation, or an impoundment procedure, by the appropriate university official or hearing body as set forth in university policy. Visitors may request the appointed authority to conduct a hearing and issue an administrative ruling in such cases.    4.7(5) Judicial review.  Judicial review of an administrative ruling may be sought in an Iowa district court in accordance with the terms of the Iowa administrative procedure Act.

    681—4.8(262) Administration of rules.  The president of the university shall be responsible for the proper administration of these rules. The president is authorized to establish traffic and parking procedures not inconsistent with these rules as may be reasonably necessary and convenient for the effective administration of presidential duties hereunder, and any procedure so established shall be published and available for public inspection during normal business hours in the office of the appointed authority and in the office of the board of regents. The president may delegate authority under these rules to the appointed authority or to any other person designated by the president to perform any function or duty hereunder.

    681—4.9(262) Effect of rules.  These rules constitute a condition of registration as a student at the university and a condition of employment as an employee of the university. Registration as a student or acceptance of employment constitutes an acceptance of these rules and an agreement to pay all prescribed fees and monetary fines imposed in accordance with these rules.        Rules 681—4.1(262) to 681—4.9(262) are intended to implement Iowa Code section 262.69.
        [Filed 9/16/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5949CRegents Board[681]Adopted and Filed

    Rule making related to equal employment opportunity

        The Board of Regents hereby amends Chapter 7, “Equal Employment Opportunity, Affirmative Action, and Targeted Small Business,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 262.9(3).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 19B.3.Purpose and Summary    The amendments to Chapter 7 update references to be consistent with the Iowa Civil Rights Act and current institutional practice and rescind language related to targeted small business.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 5697C. 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 September 16, 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 rule 681—19.18(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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend 681—Chapter 7, title, as follows:EQUAL EMPLOYMENT OPPORTUNITY, AFFIRMATIVE ACTION, AND TARGETED SMALL BUSINESS

        ITEM 2.    Amend rule 681—7.1(262), introductory paragraph, as follows:

    681—7.1(262) Equal opportunity policy.  It is the policy of the board of regents, hereinafter board, to provide equal opportunity in all aspects of regent operations to all persons without regard to race, creed, color, religion, sex,gender identity, sexual orientation, national origin, age, or status as aprotected veteran of the Vietnam era, or physical or mental disability except where it relates to a bona fide occupational qualification. The board of regents and all officials who are responsible to the board of regents shall take affirmative action in personnel administration to overcome the effects of past or present practices, policies, or other factors which serve as barriers to equal employment opportunity. Contractors doing business with the board of regents shall take affirmative action to ensure that all persons without regard to race, creed, color, religion, sex,gender identity, sexual orientation, national origin, age, or status as aprotected veteran of the Vietnam era, or physical or mental disability except where it relates to a bona fide occupational qualification above are effectively afforded equal employment opportunities. Institutions under the governance of the board of regents shall provide opportunities for minority and women businesses in the awarding of contracts through a procurement set-aside program as authorized by statute.

        ITEM 3.    Rescind and reserve subrule 7.1(2).

        ITEM 4.    Amend paragraph 7.2(2)"a" as follows:    a.    Each institution and the board office shall regularly review its personnel practices and procedures with a view to correcting personnel practices and procedures which may contribute to discrimination in appointment, assignment, or advancement. Each institution shall conduct programs of job orientation and provide training and organizational structure for upward mobility and shall place emphasis upon fair practices in employment. Each institution shall also bar from all employment application forms any inquiry as to race, creed, color, religion, sex,gender identity, sexual orientation, national origin, age, or status as aprotected veteran of the Vietnam era, or physical or mental disability, except for statistical purposes, unless it relates to a bona fide occupational qualification. The employment practices of the board of regents shall be in strict conformity to the provisions of all federal and state laws, executive orders, and rules and regulations of the board of regents and of its institutions which pertain to equal employment opportunity and affirmative action.

        ITEM 5.    Amend rule 681—7.4(262) as follows:

    681—7.4(262) State educational, counseling, and training programs.  All educational and vocational guidance programs and their essential components, counseling and testing and all on-the-job training programs for the employees of regent institutions and the board office shall be administered in accordance with the provisions of all federal and state laws, executive orders, and rules and regulations of the board of regents and of its institutions which pertain to equal employment opportunity and affirmative action. Every official responsible for the implementation of such programs shall be charged with the duty of seeking to provide equal opportunity for all, regardless of race, creed, color, religion, sex,gender identity, sexual orientation, national origin, age, or status as aprotected veteran of the Vietnam era, or physical or mental disability except where it relates to a bona fide occupational qualification.       This rule is intended to implement Executive Order number 15 of 1973.

        ITEM 6.    Amend rule 681—7.6(262) as follows:

    681—7.6(262) Contract compliance.      7.6(1) Equal employment opportunity.  The state board of regents and the institutions under its jurisdiction are responsible for the administration and promotion of equal opportunity in contracts and services and the prohibition of discriminatory and unfair practices within any program administered by institutions under the board of regents receiving or benefiting from state financial assistance in whole or in part. Every official responsible to the board of regents who is authorized to make contracts or subcontracts for public worksconstruction or for goods or services shall cause to be inserted into every such contract or subcontract a clause in which the contractor or subcontractor is prohibited from engaging in discriminatory employment practices forbidden by federal and state laws, executive orders, and rules and regulations of the board of regents and of its institutions which pertain to equal employment opportunity and affirmative action. Contractors, vendors, and suppliers shall further be required to submit or have on file with the board of regents’ equal employment opportunity compliance office a copy of their affirmative action program containing goals and time specifications. These contractual provisions shall be fully monitored and enforced. Any breach of them shall be regarded as a material breach of contract.    a.    Compliance shall be determined by a comprehensive review andan evaluation of a contractor’s employment policies and practices and shall depend on an analysis of all relevant factors, including the following:    (1)   The contractor’s publicly stated and posted policy regarding equal opportunity employment.    (2)   The contractor’s external dealings with unions, employment agencies, newspapers, and other sources of employees.    (3)   The methods by which and places where the contractor seeks to recruit employees.    (4)   The contractor’s use of tests and qualifications for positions which are job relatedjob-related and not culturally biased.    (5)   Classification and compensation plans which apply equally to all employees.    (6)   Training programs which provide all persons including those in the protected classes with an equal opportunity to qualify for employment and advancement.    (7)   The contractor’s active support of local and national community action programs.    (8)   The effectiveness of the contractor’s affirmative action program as evidenced, in part, by the number or percentage of persons of the protected classes employed at all levels, taking into account the geographical locations of the contractor’s work force.    b.    The judgment regarding compliance shall be favorable if it is determined that the contractor is working affirmatively toward extending opportunities for members of the protected classes and is not discriminating against these persons. Contractors must be able to demonstrate to the satisfaction of the compliance officer that their affirmative action program is productive.    7.6(2) Procedures.  Any individual aggrieved by a contractor’s alleged noncompliance with the board of regents equal opportunity policy may file a complaint with the institutional office designated for receiving and investigating complaints of discrimination. Complaints shall be investigated in accordance with established institutional policies and procedures and shall take into consideration the compliance factors in subrule 7.6(1).    a.    Contractors will be sent periodically an informative statement explaining the regents’ equal employment opportunity policy. In the case of construction contracts, the statement constitutes part of the general conditions and bid specifications, and compliance with these is a condition of doing business with regent institutions. It is the intention of the regents to be fair and to avoid harassment and unnecessary reporting requirements and to be clear and firm about policy and expectations.    b.    Contractors are to submit periodic reports as requested by the compliance office. The report forms shall be as brief as possible and designed to elicit relevant information about employment practices. The compliance office may request other relevant information from a contractor at any time.    c.    The compliance office will solicit and compile additional information about present and prospective contractors from any reliable source including regent institutions, the Iowa civil rights commission, department of economic development, and other state and federal agencies.    d.    The compliance office shall systematically review the reports and all other available information concerning the employment practices of present and prospective contractors. Whenever there is reasonable doubt, based on such reports and information, as to whether or not a contractor is discriminating or is failing to take affirmative action in compliance with the regents’ policy, the compliance office shall undertake a compliance review of the contractor. Every reasonable effort shall be made to secure compliance through conciliation and persuasion. The burden shall be on the contractor to demonstrate compliance and eligibility to do business with the regents.    e.    The compliance office will receive written and signed complaints against a contractor from any person aggrieved by the contractor’s alleged discrimination. The compliance office shall promptly notify the institution involved of a complaint. The burden shall be on the complainant to prove the truth of the allegations. Cognizance will also be taken of verbal complaints, newspaper reports, and any other legitimate source, and these will be followed up if investigation appears to be justified. Award of contracts may be deferred while an investigation is pending, but executed contracts will not be suspended except in compelling situations.    f.    If an investigation or compliance evaluation discloses that a contractor has discriminated or has failed to take affirmative action, the executive director in consultation with regent institutions may declare the contractor ineligible unless it can otherwise be affirmatively determined that the contractor is able to comply. The executive director shall issue a written notice of ineligibility to the contractor, and give the contractor 30 days to show cause why enforcement proceedings should not be instituted. During the 30-day show cause period, every effort shall be made to effect compliance through the processes of conciliation, mediation, and persuasion.    g.    If the contractor fails to show good cause for failure to comply or fails to remedy that failure, the executive director in consultation with regent institutions may issue a written notice of proposed cancellation or termination of the existing contract or subcontract and debarment from future contracts and subcontracts, giving the contractor ten days to request a hearing. If a request for hearing has not been received within ten days from the notice, the contractor may be declared ineligible for future contracts and current contracts may be terminated for default following the approval of the state board of regents.    h.    Hearings shall be conducted by a hearing examiner appointed by the executive director of the board from a panel for hearing examiners selected and approved by the board. The hearing examiner shall submit findings of fact and conclusions to the executive director who shall make final recommendations for final action to the board of regents.    i.    The equal opportunity compliance officer shall promptly notify the board of regents and regent institutions when such action is pending regarding the suspension, cancellation, or termination of existing contracts or subcontracts and debarment from future contracts and subcontracts.    7.6(3) Bidding requirement.  All construction specifications shall include, in the “instruction to bidders,” the following paragraph: “Bidders shall file with each bid a completed board of regents equal employment opportunity data reporting form as included in the specifications or certify on the certificate of reporting that they have filed their annual equal employment opportunity data reporting form with the board of regents equal opportunity compliance office.”

        ITEM 7.    Rescind and reserve rule 681—7.7(73GA,ch315).    [Filed 9/16/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5950CRegents Board[681]Adopted and Filed

    Rule making related to purchasing, policies, practice, and procedures

        The Board of Regents hereby rescinds Chapter 8, “Purchasing,” and amends Chapter 9, “Policies, Practices and Procedures,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 262.9.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 23A and section 262.9(18).Purpose and Summary    Item 1 rescinds Chapter 8. The amendments to Chapter 9 implement 2020 Iowa Acts, Senate File 2284, section 5, by removing the reference to “on campus”; amend competition policy with private enterprise to be consistent with current law; rescind the telecommunication policies and procedures not required by the Iowa Code; remove outdated language; and add the procurement policy transferred from Chapter 8.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 5698C.     Two comments were received questioning whether the proposed procurement policy, contained in new rule 681—9.8(262), encompasses procurement of contracts for capital improvements.  The purpose of the rule is to establish the Board’s policy for the procurement of goods and services.  The bidding of contracts for capital improvements is governed by Iowa Code section 262.34.    In response to this comment, the Board made minor adjustments to provide clarity to the amendments. Additionally, “on campus” was stricken in Item 2. This amendment was noted in the purpose and summary section in the preamble for the Notice of Intended Action but was not included in Item 2 as published. Adoption of Rule Making    This rule making was adopted by the Board on September 16, 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 rule 681—19.18(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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Rescind and reserve 681—Chapter 8.

        ITEM 2.    Amend subrule 9.4(5) as follows:    9.4(5) Exceptions provided by statute.  This prohibition does not apply to the on-campus activities of an institution under the control of the state board of regents as provided in Iowa Code section 23A.2(10)“k”(1) to (10)or any other applicable provision of Iowa law.

        ITEM 3.    Amend paragraph 9.4(6)"i" as follows:    i.    Sales of books, records, tapes, software, educational equipment and supplies offered primarily to students, faculty, and staff of the institution; sales of, and personal computers and associated hardware pursuant to institutional policy and limited to students, faculty, and staff.

        ITEM 4.    Adopt the following new paragraph 9.4(6)"j":    j.    Goods and services provided to other state board of regents institutions; affiliates of state board of regents institutions; federal, state, and local government entities; nonprofit organizations; entities established pursuant to Iowa Code chapter 28E; and student organizations.

        ITEM 5.    Rescind and reserve rule 681—9.5(262).

        ITEM 6.    Rescind and reserve rule 681—9.6(262).

        ITEM 7.    Rescind and reserve rule 681—9.7(262).

        ITEM 8.    Adopt the following new rule 681—9.8(262):

    681—9.8(262) Procurement policy for goods and services.  The best interests of the state of Iowa and of the regent institutions are served through implementation of a full and free competitive purchasing system for the procurement of goods and services fostered by the use of open specifications, competitive bids or quotations, and awards to the lowest responsible bidder or to the bidder that submits the bid or quotation that provides the best overall value. The name of the successful bidder and all other bidders and the amounts bid shall be supplied to any person upon oral or written request following the execution of the prime contract(s) or agreement(s) related to the procurement.
        [Filed 9/16/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5951CRegents Board[681]Adopted and Filed

    Rule making related to terminology, addresses, and meetings

        The Board of Regents hereby amends Chapter 11, “Board of Regents Organization and General Rules,” Chapter 12, “University of Iowa Organization and General Rules,” Chapter 13, “Iowa State University of Science and Technology Organization and General Rules,” Chapter 14, “The University of Northern Iowa Organization and General Rules,” and Chapter 16, “Iowa School for the Deaf Organization and General Rules,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 262.9.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 17A.3.Purpose and Summary    Item 1 updates terminology and the Board’s address, removes outdated and unnecessary language, and clarifies the Board’s procedures for conducting meetings. Items 2 to 10 update university links to websites and update terminology. Items 11 to 23 update university links to websites and update terminology. Items 24 and 25 update the university mission statement and update terminology. Item 26 implements 2020 Iowa Acts, House File 2585, by replacing the term “hearing impaired” with “deaf and hard of hearing.” Items 4 and 27 reference the Regents Policy Manual instead of Chapter 8, which was rescinded in ARC 5950C, IAB 10/6/21. Item 27 also adds an implementation sentence to rule 681—16.7(262).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 5699C.     One comment was received questioning whether proposed subrule 13.13(3) was required to be contained in the Board’s administrative rules. The proposed subrule stated that Iowa State University’s policy concerning chalking on campus may be found in the ISU policy library. Upon further consideration, the Board determined that this, and similar references to institutional policy and procedure documents, are not required to be contained in the administrative rules.    In response to this comment, the Board did not adopt subrule 13.13(3) and the language regarding where to find the activities policy in Item 15 has been stricken. Item 19 of the Notice has been removed, and the subsequent items have been renumbered.Adoption of Rule Making    This rule making was adopted by the Board on September 16, 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 rule 681—19.18(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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 681—11.1(262) as follows:

    681—11.1(262) Organization.      11.1(1) President and president pro tem.  Prior to May 1 in even-numbered years, a president shall be elected by the board of regents from its members for a two-year term to commence on May 1 in even-numbered years. A president pro tem shall be elected at the same meeting at which the board president is elected. If a vacancy occurs in the office of board president, the president pro tem shall serve as president until such time as a new president is elected by the board. If a vacancy occurs in the office of president pro tem, a successor shall be elected by the board of regents from its members as soon as practicable.    11.1(2) Duties of the president.  The duties of the president include presiding at all meetings of the board, appointing members of all committees and task forces with the consent of the board of regents, executing, with the executive director, such instruments and contracts as may be ordered by the board, and performing such other duties as may be assigned by the board. The president of the board shall serve as an ex officio, nonvoting member of all standing committees.    11.1(3) Executive director.  The executive director is electedappointed by the board. The duties of the executive director include recording proceedings of the board, preserving the documents and records of the board, providing a meeting agenda to the board, administering the board office, providing such staff work as may be necessary to assist the board in its planning and decision making, participating in budget preparation and presentation to the board, maintaining liaison between the board and other state agencies, providing information to the general assembly and the public, participating in the preparation and completion of matters relating to financing of capital improvements, and such other duties as may be assigned by the board.Agendas containing matters to be brought before the board together with supporting material will be assembled by the executive director. Such agendas will be indexed and included in a binder for easy reference. Assembled agendas will be forwarded to members of the board by the executive director about a week prior to any scheduled meeting.The agenda for the board meeting also will be made available to students, faculty, staff, and the general public through the board office and the public information offices at each institution prior to each board meeting.    11.1(4) Submissions and requests.  Inquiries, submissions, petitions, and other requests directed to the board of regents may be made by letteror electronic message addressed to the Executive Director, Board of Regents, 11260 Aurora Avenue, Urbandale, Iowa 50322-7905executive director using the contact information available on the board of regents website.Any person may petition for a written or oral hearing before the board. All requests for a hearing must be in writing and state the specific subject to be discussed and the reasons why a personal appearance is necessary if one is requested.Students, faculty, and other employees of institutions under the control of the board must route their petitions through the chief executive officer of the institution concerned. The chief executive officer will forward the petition, with the chief executive officer’s comments, to the executive director of the board. The executive director of the board will place the item on the agenda for consideration by the board.All other persons may request hearings by written petition directly to the executive director of the board. The executive director shall cause the subject matter of the petition to be investigated, make a written report to the board, and place the item on the agenda for consideration by the boardand determine whether a request is to be granted.If the board grants a hearing, it shall be conducted in the manner prescribed by the board. The board may decide to grant a written hearing, an oral hearing, or both.    11.1(5) Adoption of rules and policies.  The board of regents is the policymaking body representing the citizens of Iowa. It establishes goals and monitors progress toward those goals to ensure that the institutions under its governance accomplish their mission.The board of regents adopts rules and policies having general application to the institutions subject to its governance. The president of each institution is delegated the authority to adopt policies as may be appropriate for the operation of the individual institution and which are not inconsistent with the general rules and policies adopted by the board. The board of regents retains the authority to rescind any institutional policy.    11.1(6) Meetings.  The board meets regularly throughout the year. The schedule of meetings is available frommay be established by the executive director at the address given in 11.1(4). The advance schedule of meetings is shown in each agenda that is distributed to the press and the public at the board meeting. The meeting schedule is to be set several months in advance and indicate the site at which the meetings will be held and the date(s) of the meetings. Formal notification of meeting details is given to the press about a week prior to each board meetingand will be made available to the public at the office of the board of regents and on the board of regents website.Six members of the board shall constitute a quorum for a meeting of the full board of regents. The number of votes required to constitute a majority for a given purpose shall be a majority of those present, assuming a quorum. Except where otherwise required by statute or these rules, the board shall conduct its meetings according to Robert’s Rules of Order.Members of the public are permitted to attend meetings of the board of regents to the fullest extent required by Iowa Code chapter 21, the Iowa open meetings Act. The president of the board of regents reserves the right to have individual attendees removed from any board meeting if the attendee engages in behavior that materially interferes with the board’s ability to conduct the meeting or other attendees’ ability to observe or hear the proceedings.    11.1(7) General role and scope of regent institutions.  The universities under the control of the board of regents, State University of Iowa, Iowa State University, and the University of Northern Iowa, strive to offer diversified and high quality programs of undergraduate and postgraduate study at reasonable cost to a major segment of those seeking postsecondary education in this state. Educational programs are designed to allow the individual student a wide range of subject selection and the greatest freedom to fulfill potentialities in pursuit of knowledge and in preparation for a role in society.These universities are the primary Iowa training ground for the professions including medical doctors, dentists, pharmacists, nurses, lawyers, veterinarians, educators, architects, agriculturists, engineers and others who will achieve advanced degrees in various fields of the arts and sciences. The state universities are deeply committed to research which expands knowledge and benefits society. They make educational programs and the results of research available through extension services and will offer services to the public appropriate to the role of each university.General role and scope of the two specialized schools under the board of regents, Iowa School for the Deaf and Iowa Braille and Sight Saving School, are to provide residential, educational, and training programs for the blind and the deaf through grade 12.The board of regents is the policymaking body representing the citizens of Iowa. It establishes goals and monitors progress toward those goals to ensure that the institutions under its governance accomplish their mission.    11.(8) 11.1(7) Committees.  The board of regents may establish standing committees of the board, interinstitutional committees of professional educatorsprofessionals drawn from the institutions and staff under its governance, and special committees or task forces. The function of all committees and task forces is to advise the board on matters related to development of policy. An additional goal of interinstitutional committees is to ensure cooperation among the several institutions and promote efficiency of operation.The function of any committee or task force shall be set by the president of the board of regents.       This rule is intended to implement Iowa Code sections 262.9 and 262.12.

        ITEM 2.    Amend subrule 12.3(2) as follows:    12.3(2)   A detailed listing of the university’s administrative units is shown on the organizational chart at the following Web sitewebsite: http://www.uiowa.edu/~our/opmanual/app/a01ui.pdfopsmanual.uiowa.edu/governance/university-iowa/organizational-charts-and-mission-statements.

        ITEM 3.    Amend rule 681—12.4(262) as follows:

    681—12.4(262) University operations manual.  The university’s operations manual contains policies and procedures governing the internal operations of the university. It is available for review at the following Web sitewebsite: http://www.uiowa.edu/~our/opmanual/opsmanual.uiowa.edu. The operations manual is printed annually, and a copy is available for public review at the university’s main library.The university archivist maintains prior versions of the operations manual at wayback.archive-it.org/org-120/*/http://www.uiowa.edu/~our/opmanual/.

        ITEM 4.    Amend rule 681—12.5(262) as follows:

    681—12.5(262) Contracting authority.  Except for authority retained by the board of regents in 681—8.2(262) or in the Regents Policy Manualregents policy manual, the board of regents has delegated to the president authority to make contracts and agreements as specified in 681—Chapter 8the regents policy manual. Pursuant to and in accordance with that delegation, the president has further delegated contracting authority as outlined in the university’s operations manual, part V, chapter 6. This delegated contracting authority is available for review at the following Web sitewebsite: http://www.uiowa.edu/~our/opmanual/v/06.htmopsmanual.uiowa.edu/administrative-financial-and-facilities-policies/contracting.

        ITEM 5.    Amend rule 681—12.6(262) as follows:

    681—12.6(262) No-smokingTobacco-free campus policy.  In accordance with the Iowa smokefree air Act (Iowa Code chapter 142D), the University of Iowa has adopted a smoke-freetobacco-free campus policy, which is incorporated by reference herein. The policy, together with campus boundary maps, is available at the following Web sitewebsite: http://www.uiowa.edu/~our/opmanual/v/35.htm#355opsmanual.uiowa.edu/community-policies/tobacco-free-campus.

        ITEM 6.    Amend rule 681—12.7(262) as follows:

    681—12.7(262) Alcoholic beverage policy.  Alcoholic beverages may be consumed, served and sold in those areas of the University of Iowa as may be designated by the university but only in compliance with all existing university policies which are incorporated by reference herein, including, but without limitation, the alcoholic beverage service guidelines and procedures at the following Web sitewebsite: http://www.uiowa.edu/~our/opmanual/v/26.htm and the guidebook for university housing at the following Web site: http://housing.uiowa.edu/res-hall-guidebook/opsmanual.uiowa.edu/administrative-financial-and-facilities-policies/alcoholic-beverage-service- guidelines-and.

        ITEM 7.    Amend rule 681—12.8(262) as follows:

    681—12.8(262) Communication, marketing, and public relations.  Inquiries, submissions, and requests should be addressed to the Office of the Vice President for Strategic Communication, The University of Iowa, 300 Plaza Centre One, Iowa City, Iowa 52242, or to the Board of Regents, State of Iowa, 11260 Aurora Avenue, Urbandale, Iowa 50322-7905. Generally, inquiries, submissions, and requests from the public (other than applications for admission or employment) should be submitted either in writing or by e-mailemail: sitenow.uiowa.edu/contact-us.

        ITEM 8.    Amend rule 681—12.9(262) as follows:

    681—12.9(262) Merit system employee grievances.  For purposes of the grievance procedure set forth in 681—12.10(262) and 681—12.11(262), “employee” means a merit system employee who has completed the six-month probationary period and is presently employed or who has been dismissed within the previous one-year period. Disputes or complaints by permanent employees regarding the interpretation or application of institutional rules governing terms of employment or working conditions (other than general wage levels) or the provisions of the merit system rules, other than disputes whose resolution is provided for in 681—3.127(19A8A) and 681—3.128(19A8A), will be resolved in accordance with this procedure, which has been approved by the merit system director in accordance with 681—subrule 3.129(1). Employees in an initial probationary period will be allowed access to the grievance procedure with the right to appeal orally at Step 1 and in writing at Steps 2 and 3. The university may permit an oral presentation at Steps 2 and 3 if deemed necessary.

        ITEM 9.    Amend paragraph 12.10(4)"a" as follows:    a.    Any request for time off for a grievant’s representative is made in writing to theassociate vice president for human resources or a designee, who will convey the request to the representative’s supervisor, with an informational copy sent to the director of personnel, and should contain. The written request must contain an indication of the reason released time is necessary. The representative’s supervisor shall provide a reasonable bona fide amount of released time for the investigation, such time being scheduled as soon as reasonably possible and preferably within the same work day, consistent with the normal functioning of the employee’s department.

        ITEM 10.    Amend subrule 12.10(5) as follows:    12.10(5)   Steps in the grievance procedure.    a.    The grievance procedure consists of the following four steps:    (1)   Step 1. An aggrieved employee states in writing that a grievance is being presented and then presents the grievance orally, providing to the employee’s immediate supervisor the pertinent circumstances of the complaint or dispute and the actions requested. The supervisor responds in writing to the grievance within seven calendar days. In the response, the supervisor states the supervisor’s understanding of the grievance, the response to the grievance, and justification for the response. If a satisfactory settlement is not reached, the employee has seven calendar days to request Step 2.    (2)   Step 2. If the employee requests Step 2, a written grievance is forwarded by the aggrieved employee to the administrative head of the unit or department within seven calendar days. The administrative head of the unit or department or designee has ten calendar days to reply in writing. If satisfactory settlement is not reached, the employee has seven calendar days to request Step 3.    (3)   Step 3. If the employee decides to request Step 3, the written grievance is forwarded by the aggrieved employee to the head of the major functional or administrative unit of the university with a copy sent to the office ofassociate vice president for human resources. A meeting shall be held within ten calendar days after the grievance has been submitted to the head of the major functional or administrative unit. The university may be represented by the office ofassociate vice president for human resources, the head of the major functional or administrative unit or designee, and the administrative personnel involved in Steps 1 and 2. The aggrieved employee has the right to be accompanied by representatives. The head of the major functional or administrative unit shall respond in writing within seven calendar days. If a satisfactory settlement is not reached, the employee has seven calendar days to proceed to Step 4.    (4)   Step 4. If the employee is not satisfied with the decision rendered under Step 3, a hearing before an arbitrator may be requested within seven calendar days following receipt of the Step 3 decision.
    1. Such a request shall be in writing and include all of the information included in the initial grievance and subsequent appeals, all of the decision related thereto, and any other pertinent information the employee wishes to submit.
    2. The appeal shall be signed and dated by the employee and shall be directed to the Merit System Director, State Board of Regents, 11260 Aurora Avenue, Urbandale, Iowa 50322-7905, who will arrange for a hearing before an arbitrator. The arbitrator will be expected to render a decision within 30 calendar days following the conclusion of the hearing.
        b.    A written grievance shall contain a brief description of the complaint or dispute and the pertinent circumstances and dates of occurrence. It shall specify the university or merit system rule which has allegedly been violated and shall state the corrective action desired by the employee.    c.    Presentations, reviews, investigations and hearings held under this procedure may be conducted during working hours, and employees who participate in such meetings shall not suffer loss of pay as a result thereof.    d.    If an employee does not appeal a decision rendered at any step of this procedure within the time prescribed by this rule, the decision shall become final. If a university representative does not reply to an employee’s grievance or appeal within the prescribed time, the employee may proceed to the next step. WithNotwithstanding the foregoing, with the consent of both parties, any of the time limits prescribed by this rule may be extended.

        ITEM 11.    Amend subrule 13.1(1) as follows:    13.1(1) Statement of university mission.  Iowa State University of science and technology is a public land-grant institution serving the people of Iowa, the nation, and the world through its interrelated programs of instruction, research, extension and professional service. With an institutional emphasis in areas related to science and technology, the university carries out its traditional mission of discovering, developing, disseminating and preserving knowledge. The university’s mission and vision may be found in the strategic plan at www.president.iastate.edu/planning/strategic/plan.phpwww.president.iastate.edu/projects/mission.

        ITEM 12.    Amend subrule 13.1(2) as follows:    13.1(2) Officers.  The university has three statutory officers: president, secretary, and treasurer. The president is the chief administrative officer of the university and has authority and duties as have been delegated by the board of regents.A detailed listing of the university units is shown on the organizational chart at the following Web sitewebsite: www.president.iastate.edu/org/univorg.pdfwww.president.iastate.edu/sites/default/files/org/univorg.pdf.

        ITEM 13.    Amend paragraphs 13.1(3)"d" and 13.1(3)"f" as follows:    d.    The vice president for research and economic development oversees the university’s broad range of research, which contributes to economic development in the state and the nation.    f.    The senior vice president for businessoperations and finance oversees the various business-related functions of the university, including physical plant, safety, accounting and purchasing.

        ITEM 14.    Amend subrule 13.1(4) as follows:    13.1(4) Communications.  Inquiries, submissions, and requests should be addressed to the Office of University RelationsStrategic Relations and Communications. Contact information for the Office of University RelationsStrategic Relations and Communications may be found online at the following address: www.ur.iastate.edu. Communications may also be addressed to the office of the Board of Regents, 11260 Aurora Avenue, Urbandale, Iowa 50322-7905. Generally, inquiries, submissions, and requests by the public may be submitted by informal letter or e-mailemail. However, application for some purposes is to be made on a specified form. Rule 681—13.6(262) provides an address for obtaining forms.

        ITEM 15.    Amend rule 681—13.10(262) as follows:

    681—13.10(262) General priority for facilities and grounds use.  University facilities and grounds are primarily dedicated to the university’s missions of teaching, research and service. While facilities and grounds are generally open to noncommercial use by the public, students, student organizations and staff, use for other than university-related purposes must not substantially interfere with university activities and must be in conformity with the requirements of this chapter. University-related activities, including the activities of recognized campus and student organizations, will be given priority. (The ISU facilities and grounds use activities policy may be found in the policy library.)    13.10(1)   Except as specifically indicated, the policies stipulated in rules 681—13.11(262) to 681—13.19(262)681—13.13(262) are applicable to noncommercial uses.     13.10(2)   Commercial uses, including solicitation, advertising and sales, are subject to the university’s rule on commercial and charitable uses in rule 681—13.15(262).

        ITEM 16.    Amend subrule 13.11(2) as follows:    13.11(2)   The following facilities and grounds are restricted areas. Access requires express permission of the relevant building supervisor, superintendent or other person in charge of the facility: individual residences or dwellings; research laboratories or facilities; farms and associated buildings; animal storage and confinement facilities; utility and maintenance closets; mechanical rooms; utility facilities; utility tunnels; storage areas; hazardous materials waste storage and handling areas; marked or fenced construction areas; institutional food preparation areas; private offices; workrooms; shops; areas where medical, psychological or other consultation takes place; radio and television studios; intercollegiate athletics competition facilities; or areas which bear signs indicating that access is restricted. The university has leased some of its facilities and grounds to other parties for use related to university purposes (for example, the Ames Laboratory and the National Laboratory for Agriculture and the Environment). Such areas are not open to public use except as provided by the lessee of the property or facility. The buildings at the Iowa State Center (Scheman Continuing Education Building, Stephens Auditorium and Fisher Theater) and the Iowa State University Research Park are managed bya separate organizationsorganization that regulateregulates the use of these facilities and grounds.

        ITEM 17.    Amend subrule 13.11(3) as follows:    13.11(3)   Access to facilities and grounds may be denied when they are closed to the public for special university events or when access would conflict with an approved use of the facilities or grounds. The university may limit or control access to areas of the campus for ceremonial events and celebrations such as graduation and VEISHEA.

        ITEM 18.    Amend paragraph 13.12(1)"c" as follows:    c.    Uses that require approval.A public event not at a designated public forum, and which does not meet the above criteria, requires prior approval by the filing of an Online Event Authorization Request Form with the Student Activities Center when recognized student organizations make the request and with Facilities Planning and Management when university departments and nonuniversity entities make the request. It is preferred that the online request be made at least ten business days and not less than four business days in advance of the proposed event. The Student Activities Center or Facilities Planning and Management will make every effort to provide approval or nonapproval, with a statement of the reasons for nonapproval, in a timely manner. The sponsors of the event may request a waiver of the four-day requirement. A waiver may be granted if the Student Activities Center or Facilities Planning and Management determines that there are good reasons for an exception.    (1)   Approval of events will be based upon whether the event meets the general rules indicated in rule 681—13.14(262) and whether the event is appropriate for the location. Approval may be conditioned upon sponsors making reasonable assurances that the event will comply with the general rules. In addition, reasonable time, place and manner restrictions may be required. Unless the event will violate the law, events will not be disapproved based upon the content of proposed speaking or expressive activity. Persons denied authorization may appeal to the senior vice president for business and finance.    (2)   Following approval of the event, the organization shall make particular arrangements regarding location, electrical power needs, custodial services, and provision for liability insurance as directed by the Student Activities Center or Facilities Planning and Management. If parking lots will be involved, the organization must receive clearance from the Parking Division, (515)294-3388. If streets will be involved, the organization must receive clearance from the office of the senior vice president for businessoperations and finance, (515)294-6162. Preferred locations for outdoor events covered under this subrule are the areas south or north of the Campanile, west of Curtiss Hall, south of MacKay Hall, south of the Hub, south of the Parks Library, and west of Marston Hall provided the events do not conflict with university classes or scheduled activities and provided the events conform to appropriate uses for the area.

        ITEM 19.    Amend subrule 13.14(2) as follows:    13.14(2)   No person shall engage in harassment or stalking as defined by Iowa criminal law or engage in sexual or racial harassment in violation of university policy.

        ITEM 20.    Amend subrule 13.14(7) as follows:    13.14(7)   Vehicles are not permitted off roadways or parking areas without permission from Manager, CampusFacilities Services, 152 General Services Building, telephone (515)294-0692 or from the Manager of Parking DivisionDirector of the Parking Department, 27 Armory, telephone (515)294-1987.

        ITEM 21.    Amend subrule 13.14(8) as follows:    13.14(8)   For reasons of safety, sanitation, and preservation of campus property, camping is not permitted except for special events approved by the senior vice president for businessoperations and finance or senior vice president for student affairs.

        ITEM 22.    Amend rule 681—13.15(262) as follows:

    681—13.15(262) Commercial and charitable uses.  This rule applies to commercial and charitable uses other than those of university units, of university-affiliated entities or of recognized campus organizations.    13.15(1) Commercial solicitation, advertising and sales.  Commercial solicitation, advertising and sales are not permitted on the campus except as follows:    a.    Newspapers and periodicals may be distributed in established locations in accordance with the university’s periodical distribution policy, which is available from the senior vice president for businessoperations and finance.    b.    Commercial advertising or displays on bulletin boards must conform to the provisions of subrule 13.13(1).    c.    Commercial sales or solicitation may be approved by the senior vice president for businessoperations and finance. Such activity may be approved for academic areas of the campus if the activity directly relates to the academic program. Otherwise, such commercial activity may be approved only in the area directly to the north of the Memorial Union, with priority being given to all other campus-related uses.    13.15(2) Charitable solicitation.  Use of university mail systems and related facilities may be approved by the senior vice president for businessoperations and finance for the solicitation of employees by charitable organizations when the following criteria are met.    a.    The charitable organization presents documentation of its tax-exempt status as provided in Section 501(c)(3) of the Internal Revenue Code;    b.    The solicitation is conducted once a year through an on-campus coordinated campaign of all eligible organizations meeting the conditions and giving written notice to the university of the desire to participate at least 120 days prior to the campaign period;    c.    The organization may be expected to pay the administrative and out-of-pocket costs associated with using the university mail system or other university facilities and grounds;    d.    The solicitation by any one charitable organization may occur once in any calendar year; and    e.    Any eligible charitable organization acting pursuant to the authority of this rule may also make use of the payroll deduction system described in Iowa Code sections 70A.14 and 70A.15, if qualified under the terms of those provisions.

        ITEM 23.    Amend rule 681—13.19(262) as follows:

    681—13.19(262) Authority to order persons off the campus.  Any person violating university regulations may have the person’s permission to remain in or on university premises revoked. A person who does not voluntarily leave, or who immediately returns, is subject to arrest for trespassing under state law. A person who has engaged in serious or repeat violations of university regulations, who has committed crimes, or who has endangered other persons may be banned by the director of public safety or the director’s designee from all or part of the campus. Such orders shall be issued in writing. Any person who is subject to such an order may appeal such action to the senior vice president for businessoperations and finance, who shall promptly handle the appeal. A person who violates such orders is subject to arrest and prosecution for trespassing.

        ITEM 24.    Amend rule 681—14.1(262) as follows:

    681—14.1(262) Organization.      14.1(1) Statement of university mission.  The University of Northern Iowa at Cedar Falls is recognized as having a mission of sufficient scope to enable it to be a distinguished arts and sciences university with outstanding professional programs in education and business. It provides leadership in the development of programs for the preservice and in-service preparation of teachers and other educational personnel for schools, colleges, and universities. The institution offers undergraduate and graduate programs and degrees in the liberal arts and sciences, including selected areas of technology. It offers preprofessional programs and conducts research and community outreach programs to strengthen the educational, social, cultural, and economic development of Iowa and the larger community.The University of Northern Iowa is a comprehensive public university with the mission to provide the state and region with the highest quality undergraduate education, as well as professional, graduate, and continuing education programs. Along with being a distinguished arts and sciences university, it maintains outstanding professional programs in areas such as education and business. It provides leadership in the preservice and in-service preparation of teachers, administrators and other educational personnel for schools, colleges, and universities. It offers programs and conducts research and community outreach programs to strengthen the educational, social, cultural, and economic development of Iowa and the larger community.It is imperative that the quality of the university’s instruction be maintained and enhanced through increasingly strong emphasis on: (1) general or liberal arts education as the most essential ingredient for the undergraduate student; (2) the central importance and complementary relationship of teaching and research; (3) enrichment of instruction through extensive clinical, laboratory and field experiences and through experiential learning, community engagement, and independent study; and (4) development of the life of the university community itself as an effective educational force. In order to serve students of all ages and to be responsive to their needs and preferences and to the needs of society, it is imperative that the university offer a variety of programs in such areas as liberal arts, education, business, social work, and technology. It will offer no major programs in agriculture, architecture, dentistry, engineering, forestry, hospital administration, law, pharmacy, medicine, or veterinary medicine.In the area of teacher preparation, the university must remain at the forefront of developments in the field of education and be prepared to offer instruction in new areas required by society. Furthermore, UNI should be more than merely responsive to changing needs and interests of its students and society. It must provide leadership in educational innovations, programs, and research.Future programs will be determined by the continuing study of existing programs and of developing needs. Programs will be curtailed or eliminated when the assessment of need and resources indicates that resources could better be devoted to other programs. The university approaches the addition of new programs with considerable caution. Generally, new programs are fashioned out of existing programs in response to developing needs. However, if the university is to remain vital, it must consider at the appropriate time the development of some new programs that fall within its general mission and meet the new needs of students and of society.    14.1(2) Officers.  The university has three statutory officers: president, secretary, and treasurer. The president is the chief administrative officer of the university and has such authority and duties as have been delegated by the board of regents.The president has nominated and the board of regents has appointed threefour vice presidents. Theprovost and executive vice president and provost is acting president in the president’s absence and is the chief academic officer of the university, having general administrative responsibility under the president for the educational program of the university. The vice president for student affairs is responsible for the administration of all student services. The vice president for administration and financial servicesfinance and operations serves as the chief fiscal officer of the university.A detailed listing of the university units is shown on the organizational chart contained in the policies and proceduresdirectory of the university.    14.1(3) Operation.  In order to fulfill the academic mission of the university, the following academic units have been established: college of business administration, college of education, graduate college, college of humanities and fine arts, college of natural sciences, and, arts and sciences, college of social and behavioral sciences, office of continuing education and the library.The dean of each collegeor unit is its chief administrative officer. Academic departments function within the organizational structure of colleges. The executive officer of a department is the head, who is the chief administrative officer of an academic department.    14.1(4) Policies and procedures.  The university policies and procedures govern the internal academic and administrative operations of the university. The policies and procedures are available for public inspection on the university Web sitewebsite.

        ITEM 25.    Amend rule 681—14.2(262) as follows:

    681—14.2(262) General rules.      14.2(1)   Sales persons or agents for any product, proposition, or cause are prohibited from soliciting employees or students in any building or part of the university property, except with the permission of the vice president for administration and financial servicesfinance and operations in the case of employees or the vice president for student affairs in the case of the students.    14.2(2)   Permission is granted in limited cases by the vice president for administration and financial servicesfinance and operations for the solicitation of employees by charitable organizations under all of the following circumstances:    a.    The charitable organization presents documentation of its tax-exempt status as provided in Section 501(C)(3) of the Internal Revenue Code.    b.    The solicitation is conducted through the university’s campus mail system or once a year through an on-campus coordinated campaign of all eligible organizations meeting the conditions and giving written notice to the university of the desire to participate at least 120 days prior to the campaign period.    c.    The organization may be expected to pay the administrative and out-of-pocket costs associated with using the university campus mail system or other university facilities.    d.    The solicitation by any one charitable organization may occur once in any calendar year and must not interfere with normal operations.    e.    No solicitation using the university’s facilities may occur except as described above; however, any eligible charitable organization may arrange to conduct information sessions at which no solicitation occurs, at times and places and in a manner the university deems reasonable.    f.    Any eligible charitable organization acting pursuant to the authority of this rule may also make use of the payroll deduction system described in Iowa Code sections 70A.14 and 70A.15, if qualified under the terms of those provisions.       These rules are intended to implement Iowa Code sections 70A.14, 70A.15, and 262.9.

        ITEM 26.    Amend subrule 16.1(1) as follows:    16.1(1) Statement of mission.  The mission of the Iowa School for the Deaf (ISD) has two primary components: to provide direct educational services to hearing-impaireddeaf and hard-of-hearing children and youth of the state of Iowa and to serve a leadership and resource role in statewide efforts to meet the needs of the hearing impaireddeaf and hard of hearing. In fulfilling its stated mission, ISD will coordinate its efforts with all appropriate state agencies, area education agencies, and local education agencies. Such coordination will be accomplished in the spirit of cooperation reflected in the agreements with these agencies.Consistent with various sections of the Iowa Code, the educational mission of the Iowa School for the Deaf is to provide an appropriate individual education program for hearing-impaireddeaf and hard-of-hearing children and youth who require the comprehensive programs provided by the school.The educational programs of the Iowa School for the Deaf will be consistent with the philosophy, reflected in federal and state legislation, that disabled and nondisabled children and youth be educated together to the greatest extent possible. Thus, ISD assumes responsibility for providing an education for those hearing-impaireddeaf and hard-of-hearing children and youth, including those with additional disabilities, for whom the comprehensive educational programs of the school are most appropriate.The educational programs of the Iowa School for the Deaf are based on the premise that the school exists to serve its students by providing a learning environment which, to the greatest extent possible, maximizes each child’s potential to become a contributing member of society by enhancing the development of communication, knowledge, self-realization, human relationships, economic independence, and a sense of civic and social responsibility. The child-centered programs include learning activities and experiences that appropriately and specifically meet the needs of each child.The scope of the educational program includes provisions for the hearing impaireddeaf and hard of hearing from infancy through secondary education. Program formats include full-time residential, day school, summer and other short-term residential programs to meet specific needs, vocational, and on- and off-campus individual assessment and evaluation services. For residential students, activities and experiences on a 24-hour basis, not restricted to the traditional academic day, are an integral part of the program.The Iowa School for the Deaf also serves as a state resource and dissemination center for education of the hearing impaireddeaf and hard of hearing. In this role, the school has a central and vital mission in the statewide education of the hearing impaireddeaf and hard of hearing and provides a resource center for educators, related field professionals, parents, the deafand hard-of-hearing community, and all interested citizens. Such a role affords the opportunity for the community-at-large to draw upon the specialized programs and services available at ISD.The Iowa School for the Deaf will make its special resources available to regent universities, area education agencies, local education agencies, and other public and private agencies. Resource services would provide support in such activities as:
    1. Assessment, counseling, and educational planning for hearing-impaireddeaf and hard-of-hearing children and youth;
    2. Programs for development of specialized communications skills;
    3. Parent education;
    4. Extended educational programming for hearing-impaireddeaf and hard-of-hearing adults;
    5. Research;
    6. Preservice and continuing education of teachers and related professionals;
    7. Curriculum development and evaluation; and
    8. Development and dissemination of instructional materials and technology.
    Within the scope of the school’s mission, future programs will be determined by the ongoing evaluation of existing programs and an analysis of developing needs. Programs will be added, curtailed, or eliminated based on assessment of need and the most effective use of resources. The school remains flexible so as to respond quickly and effectively to unmet needs of hearing-impaireddeaf and hard-of-hearing children and youth of Iowa.

        ITEM 27.    Amend rule 681—16.7(262) as follows:

    681—16.7(262) Contracting authority.  The board of regents has delegated to the superintendent authority to make contracts and agreements as specified in 681—subrule 8.2(3)the regents policy manual. The superintendent has delegated authority for signing such agreements and contracts to the business manager in all cases except the following:
    1. Employment matters involving directors, principals, and faculty are reserved to the office of the superintendent.
    2. Application for grants for educational development and research from all sources are signed by the superintendent.
    3. Supplies, equipment, and services to be ordered from sources outside the school in compliance with board of regents rules, 681—Chapter 8, are purchased only by means of purchase orders or purchase contracts approved and signed by the business manager and based on requisitions submitted to the business manager.
           This rule is intended to implement Iowa Code section 262.9.
        [Filed 9/16/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5952CRegents Board[681]Adopted and Filed

    Rule making related to addresses and waivers

        The Board of Regents hereby amends Chapter 18, “Declaratory Orders,” and Chapter 19, “Procedure for Rule Making,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 262.9(3).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 17A.Purpose and Summary    These amendments update addresses for the Board of Regents and Iowa State University and implement 2020 Iowa Acts, House File 2389, by removing references to “variances.”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 5700C. No public comments were received. Additional amendments were added since publication of the Notice to remove the address of the former campus of the Iowa Braille and Sight Saving School in Items 4 and 8, since the Board is no longer the owner of the property. No other changes from the Notice have been made. Adoption of Rule Making    This rule making was adopted by the Board on September 16, 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 rule 681—19.18(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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend subrule 18.4(3), introductory paragraph, as follows:    18.4(3)   A petition for intervention shall be filed at the office of the Board of Regents, 100 Court Avenue, Des Moines, Iowa 5031911260 Aurora Avenue, Urbandale, Iowa 50322, or, in the case of a matter assigned to an institution, to the person and address indicated in the notice of assignment of the petition. Such a petition is deemed filed when it is received by that office. The board of regents will provide the petitioner with a file-stamped copy of the petition for intervention if the petitioner provides an extra copy for this purpose. A petition for intervention must be typewritten or legibly handwritten in ink and must substantially conform to the following form:

        ITEM 2.    Amend rule 681—18.6(17A) as follows:

    681—18.6(17A) Inquiries.  Inquiries concerning the status of a declaratory order proceeding may be made to the Executive Director of the Board of Regents, 100 Court Avenue, Des Moines, Iowa 5031911260 Aurora Avenue, Urbandale, Iowa 50322, or, in the case of a matter assigned to an institution, to the person and address indicated in the notice of assignment of the petition.

        ITEM 3.    Amend subrule 18.7(2) as follows:    18.7(2) Filing—when required.  All petitions for declaratory orders, petitions for intervention, briefs, or other papers in a proceeding for a declaratory order shall be filed with the Board of Regents, 100 Court Avenue, Des Moines, Iowa 5031911260 Aurora Avenue, Urbandale, Iowa 50322, or, in the case of a matter assigned to an institution, to the person and address indicated in the notice of assignment of the petition. All petitions, briefs, or other papers that are required to be served upon a party shall be filed simultaneously with the board of regents or, in the case of a matter assigned to an institution, the president or superintendent.

        ITEM 4.    Amend subrule 19.3(1) as follows:    19.3(1) Docket maintained.  The board of regents shall maintain a current public rule-making docket. The board of regents designates its director of legal affairs, human resources and information technology as its agency rules coordinator. Persons interested in information about rules being considered by the board of regents should contact the following office:Board of RegentsLegal Affairs100 Court Avenue11260 Aurora AvenueDes Moines, IA 50319Urbandale, IA 50322Persons interested in information about rules being considered at each regent institution should contact the following offices:University of IowaOffice of University Relations5 Old CapitolIowa City, IA 52242Iowa State UniversityUniversity Legal ServicesOffice of University Counsel3053550 Beardshear Hall515 Morrill RoadAmes, IA 5001050011University of Northern IowaOffice of the Operations Auditor242 Gilchrist HallCedar Falls, IA 50614Iowa School for the DeafSuperintendent1600 S. Highway 275Council Bluffs, IA 51503Iowa Braille and Sight Saving SchoolSuperintendent1002 G AvenueVinton, IA 52349

        ITEM 5.    Amend subrule 19.5(1) as follows:    19.5(1) Written comments.  For at least 20 days after publication of the Notice of Intended Action, persons may submit argument, data, and views, in writing, on the proposed rule. Such written submissions should identify the proposed rule to which they relate and should be submitted to the office of the Board of Regents, 100 Court Avenue, Des Moines, Iowa 5031911260 Aurora Avenue, Urbandale, Iowa 50322, or the person designated in the Notice of Intended Action.

        ITEM 6.    Amend subrule 19.5(5) as follows:    19.5(5) Accessibility.  The board of regents shall schedule oral proceedings in rooms accessible to and functional for persons with physical disabilities. Persons who have special requirements should contact the office of the Board of Regents, 100 Court Avenue, Des Moines, Iowa 5031911260 Aurora Avenue, Urbandale, Iowa 50322, telephone (515)281-3934, in advance to arrange access or other needed services.

        ITEM 7.    Amend subrule 19.6(2), introductory paragraph, as follows:    19.6(2) Mailing list.  Small businesses or organizations of small businesses may be registered on the board of regents small business impact list by making a written application addressed to the office of the Board of Regents, 100 Court Avenue, Des Moines, Iowa 5031911260 Aurora Avenue, Urbandale, Iowa 50322. The application for registration shall state:

        ITEM 8.    Amend rule 681—19.18(17A) as follows:

    681—19.18(17A) Waiver or variance from rule.      19.18(1) Applicability.  Waiver or variance from board of regents rules may be requested but only in the event that:    a.    The board of regents has exclusive rule-making authority to promulgate the rule from whicha waiver or variance is requested or has final decision-making authority over a contested case in whicha waiver or variance is requested; and    b.    No federal or state statute or rule otherwise controls the grant of a waiver or variance from the rule from whicha waiver or variance is requested.    19.18(2) Authority.  The board of regents, the president or superintendent of a regent institution, or designee, or the presiding officer as part of the decision in a contested case, may grant a waiver of, or variance of, or variance from, all or part of a rule to the extent allowed by these rules.    19.18(3) Compliance with law.  No waiver or variance may be granted from a requirement that is imposed by state or federal statute. Any waiver or variance must be consistent with state or federal statute.    19.18(4) Criteria.  A waiver or variance under this chapter may be granted only upon a showing that:    a.    The waiver or variance will not harm other persons and will not adversely affect the public interest; and    b.    There are exceptional circumstances which justify an exception to the general rule to the extent that the requester is unable to comply with the particular rule without undue hardship or compliance with the particular rule would be unnecessarily and unreasonably costly and serve no public benefit.    19.18(5) Request.  All requests fora waiver or variance must be in writing and shall include the following information:    a.    The name, address, and telephone number of the person requesting the waiver or variance and the person’s representative, if any;    b.    The specific rule from which a waiver or variance is requested;    c.    The nature of the waiver or variance requested, including any alternative means or other proposed condition or modification proposed to achieve the purpose of the rule;    d.    An explanation of the reason for the waiver or variance, including all material facts relevant to the grant of the waiver or variance in question;    e.    Any information known to the requester regarding the board of regents, or any regent institution’s, treatment of similar cases;    f.    The name, address and telephone number of any person(s) with knowledge of the matter with respect to which the waiver or variance is requested; and    g.    Any necessary release of information authorizing persons with knowledge to disclose relevant information necessary to a decision.    19.18(6) With whom filed.  A request fora waiver or variance which pertains to a rule applicable to only a specific regent institution shall be submitted to the president or superintendent of that institution. A request fora waiver or variance which pertains to a matter involving more than one regent institution, or the board of regents or its staff, shall be submitted to the Executive Director, Board of Regents, 100 Court Avenue, Des Moines, Iowa 5031911260 Aurora Avenue, Urbandale, Iowa 50322. A request for waiver or variance which pertains to a pending contested case shall be filed in the contested case proceedings.    19.18(7) Ruling.  Rulings on requests shall be in writing. The ruling shall include the reason for granting or denying the request and, if approved, the time period during which the waiver or variance is effective. Rulings on a waiver or variance shall be made in the following manner:    a.    Requests submitted to the president or superintendent of a regent institution shall be decided by the president or superintendent, or designee.    b.    Requests submitted to the board of regents shall be decided by the board, unless the board determines that the request was inappropriately submitted to it, in which case it shall forward the request to the appropriate decision maker as designated by these rules.    c.    Requests submitted in a contested case shall be decided by the presiding officer in the contested case proceeding.    19.18(8) Public availability.  All final rulings in response to requests for waiver or varianceswaivers shall be indexed and available to members of the public at the offices listed below:Board of RegentsLegal Affairs100 Court Avenue11260 Aurora AvenueDes Moines, IA 50319Urbandale, IA 50322University of IowaOffice of University Relations5 Old CapitolIowa City, IA 52242Iowa State UniversityUniversity Legal ServicesOffice of University Counsel3053550 Beardshear Hall515 Morrill RoadAmes, IA 5001050011University of Northern IowaOffice of the Operations Auditor242 Gilchrist HallCedar Falls, IA 50614Iowa School for the DeafSuperintendent1600 S. Highway 275Council Bluffs, IA 51503Iowa Braille and Sight Saving SchoolSuperintendent1002 G AvenueVinton, IA 52349    19.18(9) Conditions.  The board of regents, or other designated decision maker allowed pursuant to these rules, may condition the grant of a waiver or variance on such reasonable conditions as appropriate to achieve the objectives of the particular rule in question through alternative means.    19.18(10) Voiding or cancellation.  A waiver or variance is void if the material facts upon which the request is based are not true or if material facts have been withheld. The decision maker may at any time cancel a waiver or variance upon appropriate notice and hearing if it is determined that the facts as stated in the request are not true, material facts have been withheld, the alternative means of compliance provided in the waiver or variance have failed to achieve the objectives of the statute, or the requester has failed to comply with conditions set forth in the waiver or variance approval.    19.18(11) Violations.  Violation of conditions in the waiver or variance approval is the equivalent of violation of the particular rule for which the waiver or variance is granted and is subject to the same remedies or penalties.    19.18(12) Appeals.  Any request for an appeal from a decision on a waiver or variance request made by the board of regents, the president or superintendent of a regent institution, or designee, shall be in accordance with the procedures provided in Iowa Code chapter 17A.Any request for an appeal from a decision by the presiding officer in a contested case proceeding which grants or denies a wavier or variance shall be made pursuant to the procedures provided in rule 681—20.26(17A) or rule681—20.27(17A), as applicable.
        [Filed 9/16/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5932CRevenue Department[701]Adopted and Filed

    Rule making related to motions to redact certain information

        The Revenue Department hereby amends Chapter 6, “Organization, Public Inspection,” and Chapter 7, “Practice and Procedure Before the Department of Revenue,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 421.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 422.20 and 422.72.Purpose and Summary    In its 2020 Legislative Session, the Legislature amended Iowa Code sections 422.20 and 422.72 to explicitly allow those filing protests with the Department to move for certain information to be redacted prior to release in response to a public records request. These amendments outline the procedure a taxpayer will follow to file the motion and the requirements thereof.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 14, 2021, as ARC 5781C. No public comments were received. Since publication of the Notice, Items 3 and 4 have been updated to reflect renumbering in ARC 5940C, IAB 10/6/21.Adoption of Rule Making    This rule making was adopted by the Department on September 9, 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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend paragraph 6.1(3)"b" as follows:    b.    Regional offices.Regional offices do not have facilities for making available all matters that are available for public inspection under 701—6.2(17A)Iowa Code chapter 17A or 22. The regional offices and auditors do have copies of all rules and will make them available to the public. Members of the public needing forms or needing assistance in filling out forms are encouraged to contact the principal office.

        ITEM 2.    Rescind and reserve rule 701—6.2(17A).

        ITEM 3.    Amend rule 701—7.8(17A) as follows:

    701—7.8(17A) Identifying details, requests for redaction.      7.8(1) Information redacted by the department, subject to certain exceptions.  Any person may file a motion to delete identifying details concerning the person from any document relating to any proceeding as defined in rule 701—7.2(421,17A) prior to disclosure to members of the public. Such a motion must be filed with the clerk if the motion is filed prior to the commencement of a contested case, which is before the notice for hearing is issued. If the motion is filed during a contested case proceeding pending before an administrative law judge and before the administrative law judge has entered a proposed decision on the case or has entered a closing order, the motion must be filed with and ruled upon by the administrative law judge. Otherwise, the motion must be filed with the clerk and ruled upon by the director. The motion shall be filed simultaneously with the presentation of the privacy or trade secret information under circumstances whereby the information may be disclosed to the public and before the issuance of any opinion, order or decision.Prior to being made available for public inspection, the department shall redact from an appeal or contested case the information required to be redacted in Iowa Code sections 422.20(5) and 422.72(8). “Make available for public inspection” means disclosure to the public by the department pursuant to Iowa Code section 17A.3 or chapter 22.    7.8(2) Process for requesting redaction of other details from a pleading, exhibit, attachment, motion, or written evidence.  If the motion concerns information which is not a part of a contested case, the motion shall be in the form of a request to delete identifying details; if part of a contested case, the motion shall be in the form of a motion to delete identifying details. All motions to delete identifying details shall conform to subrule 7.19(5).If a taxpayer desires information contained in a record, other than the information described in Iowa Code sections 422.20(5)“a” and 422.72(8)“a,” to be redacted prior to public inspection, the taxpayer must file a motion and affidavit meeting the requirements below.    a.    Process for filing a motion for redaction of other details during a contested case.Motions for redaction of other details from a pleading, exhibit, attachment, motion or written evidence filed after the notice of hearing is issued in a contested case must follow the requirements in subrule 7.17(5).     b.    Process for filing a motion for redaction of other details prior to the commencement of a contested case.Motions for redaction of other details from a pleading, exhibit, attachment, motion or written evidence filed prior to a contested case must be filed with the clerk of the hearings section of the department. The motion must be filed separately from the protest described in subrule 7.8(6).     a.    c.    Contents of motion.The motionMotions filed under this rule, including those filed during contested cases, shall contain the following:    (1)   The name of the person requesting deletionredaction and the docket number of the proceeding, if applicable;.    (2)   The legal basis for the motion for deletion, which is either that release of the material would be a clearly unwarranted invasion of personal privacy or the material is a trade secret. A corporation may not claim an unwarranted invasion of privacy;Clear and convincing evidence that the disclosure would reveal a trade secret or would constitute a clear, unwarranted invasion of personal privacy. Corporations, limited liability companies, other business entities (including but not limited to partnerships and joint ventures), and trusts do not have protectible personal privacy interests.    (3)   AAn unredacted copy of the document containing the information at issue and also a copy of the document with the desired redaction made. If a copy of the document is not in the possession of the taxpayer, the motion must contain a precise description of the document, report, or other material in the possession of the department from which the deletionredaction is sought and a precise description of the information to be deletedredacted. If deletionredaction is sought from more than one document, each document and the materialsinformation sought to be deleted from itredacted shall be listed in separate paragraphs. Also contained in each separate paragraph shall be a statement of the legal basis for the deletion requested in that paragraph, which is that release of the material sought to be deleted is a clearly unwarranted invasion of privacy or the material is a trade secret and the material serves no public purpose.    (4)   For each item for which redaction is requested, an explanation of the legal basis for the redaction requested, including an explanation of why the release of the information sought to be redacted is a clear, unwarranted invasion of personal privacy or a trade secret.    b.    (5)   An affidavit in support of deletion must accompany each motionredaction. The affidavit must be:    1.   Besworn to by a person familiar with the facts asserted within it and shall contain a clear and concise explanation of the facts justifying deletionredaction, not merely the legal basis for deletionredaction or conclusionaryconclusory allegations.    c.    2.   All affidavits shall containContain a general and truthful statement that the information sought to be deletedredacted is not available to the public from any source or combination of sources, direct or indirect, and a general statement that the release would serve no public purpose.    d.    Burden of proof.The burden of showing that deletionredaction is justified shall be on the movant. The burden is not carried by mere conclusionaryconclusory statements or allegations, for example, that the release of the material would be a clearlyclear, unwarranted invasion of personal privacy or that the material is a trade secret.    e.    Contested case proceeding.That the matterinformation sought to be deletedredacted is part of the pleadings, motions, evidence, and the record in a contested case proceeding otherwise open for public inspection and that the matter would otherwise constitute confidential tax information shall not be grounds for deletion (1992 Op. IA Att’y Gen. 1)redaction.    f.    The ruling on the motion shall be strictly limited to the facts and legal bases presented by the movant, and the ruling shall not be based upon any facts or legal bases not presented by the movant.    7.8(3) Process for requesting redaction of other details in a final order, decision, or ruling.  Motions to redact information from a final order, decision, or ruling cannot be made until the order is issued and must be made within 30 days of the date of the order, decision, or ruling. The taxpayer must follow the requirements in paragraph 7.9(2)“c” and subrule 7.17(5). The department shall have 30 days to respond to the motion from the date the department’s representatives receive notice from the presiding officer, unless otherwise ordered by the presiding officer.    7.8(4) Rulings.  Motions filed with the clerk of the hearings section will be ruled on by the director. Motions filed with the administrative law judge will be ruled on by the administrative law judge. In the case of motions before the director prior to contested case proceedings, the department may respond in writing to a motion on the request of the director or upon the initiative by department staff.    7.8(5) Limitation on motions.  If the motion or request is denied, the movant may not submit a motion to redact the same identifying details unless the movant is in possession of new information that may support the requested redaction(s) that the movant was not or could not have been aware of at the time of the original motion.    7.8(6) Handling of the file while the motion is pending.  During the pendency of a motion, unless otherwise required or permitted by law, the department will treat the motion as if it has been granted and will not publicly release any information pursuant to Iowa Code chapter 22 or 17A sought to be kept confidential by the taxpayer.       This rule is intended to implement Iowa Code chapter 17Aand sections 422.20(5) and 422.72(8).

        ITEM 4.    Amend subparagraph 7.19(5)"e" as follows:    (4)   Motion to redactfor redaction of identifying details in the decision.For more information, see rule 701—7.9(17A).    [Filed 9/9/21, effective 11/10/21][Published 10/6/21]Editor’s Note: For replacement pages for IAC, see IAC Supplement 10/6/21.
    ARC 5940CRevenue Department[701]Adopted and Filed

    Rule making related to GovConnectIowa and administration

        The Revenue Department hereby amends Chapter 7, “Practice and Procedure Before the Department of Revenue,” Chapter 8, “Forms and Communications,” Chapter 38, “Administration,” Chapter 51, “Administration,” and Chapter 57, “Administration,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code chapter 17A and section 421.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 17A and sections 421.9, 421.10, 421.14, 421.17, 421.60 and 422.68.Purpose and Summary    These amendments accomplish a variety of objectives. Many of the amendments are related to the implementation of the Department’s modernized tax management system and e-services portal, GovConnectIowa. The new system and portal will be phased in beginning in November 2021. GovConnectIowa will offer taxpayers and taxpayer representatives the ability to submit many filings to the Department through the portal and will also allow the Department to issue many items to taxpayers and taxpayer representatives through the portal. Amendments have been made to reflect GovConnectIowa throughout Chapter 7. In addition, a new rule has been added in Chapter 8 to describe how taxpayers and taxpayer representatives will be able to opt out of paper mail if they have accounts in GovConnectIowa.    These amendments also clarify various aspects of the appeals process. Provisions on expedited procedures and demanding contested case procedures were moved from various subrules to their own new rule, 701—7.13(17A,421), to eliminate inconsistencies between rules; more closely align the procedure to Iowa Code section 421.60(2)“g”; and make it easier to find information on the topic. Provisions on dismissals of protests were moved from subrule 7.11(2) to new rule 701—7.12(17A,421) to better highlight the topic. Additional amendments more closely align the dismissal rules on untimely protests with the narrow statutory grounds for waiving the statute of limitations on filing appeals under Iowa Code section 421.60. Additional amendments align the grounds for reinstating protests following a failure to pursue with the grounds for default judgments described in Iowa Code section 17A.12. Many other rules in the chapter have been renumbered to place these two new rules in a logical location in relation to other information on appeals. The term “protester” has been updated to “taxpayer” and “protest” has been updated to “appeal” to improve consistency of terminology used in the rules and elsewhere in materials created by the Department.    Amendments have also been made to the rules on petitions for rule waiver and rule making to implement 2020 Iowa Acts, House File 2389. Other amendments have been made to the rule on rule making to incorporate provisions of the Uniform Rules on Agency Procedure for Rule Making directly into the text of the rule rather than relying on a cross-reference to the PDF of the document on the Legislature’s website. Some modifications were made from the Uniform Rules to reflect current practices and the existence of the Legislature’s website on administrative rules.    Other changes throughout Chapter 7 improve clarity and address issues that have been areas of uncertainty in the past. Amendments to Chapter 7 are also adopted in ARC 5932C, IAB 10/6/21.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 11, 2021, as ARC 5849C. No public comments were received. Since publication of the Notice, two typos have been corrected, the name of an Iowa Code chapter has been updated, and a pronoun in numbered paragraph 7.9(6)“b”(2)“9” has been clarified. No other changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Department on September 15, 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 November 10, 2021.    The following rule-making actions are adopted:

        ITEM 1.    Amend 701—Chapter 7, title, as follows:PRACTICE AND PROCEDURE BEFORE THE DEPARTMENT OF REVENUEAPPEALS, TAXPAYER REPRESENTATION, AND OTHER ADMINISTRATIVE PROCEDURES

        ITEM 2.    Amend rules 701—7.1(421,17A) to 701—7.4(17A) as follows:

    701—7.1(421,17A) Applicability and scope of rules.  These rules pertain to practice and procedure and are designed to implement the requirements of theIowa administrative procedure Act and aid in the effective and efficient administration and enforcement of the tax laws of this state and other activities of the department. These rules shall govern the practice, procedure, and conduct of the informal proceedings, contested case proceedings, licensing, rule making,requests for waiver of rules, and declaratory orders involving taxation and other areas within the department’s jurisdiction., which includes the following:
    1. Sales and use tax—Iowa Code chapter 423;
    2. Individual and fiduciary income tax—Iowa Code sections 422.4 to 422.31 and 422.110 to 422.112;
    3. Franchise tax—Iowa Code sections 422.60 to 422.66;
    4. Corporate income tax—Iowa Code sections 422.32 to 422.41 and 422.110 to 422.112;
    5. Withholding tax—Iowa Code sections 422.16 and 422.17;
    6. Estimated tax—Iowa Code sections 422.16, 422.17 and 422.85 to 422.92;
    7. Motor fuel tax—Iowa Code chapter 452A;
    8. Property tax—Iowa Code chapters 421, 425 to 428A and 433 to 441;
    9. Cigarette and tobacco tax—Iowa Code chapters 421B and 453A;
    10. Inheritance tax and qualified use inheritance tax—Iowa Code chapters 450 and 450B;
    11. Local option taxes—Iowa Code chapter 423B;
    12. Hotel and motel tax—Iowa Code chapter 423A;
    13. Drug excise tax—Iowa Code chapter 453B;
    14. Automobile rental excise tax—Iowa Code chapter 423C;
    15. Environmental protection charge—Iowa Code chapter 424;
    16. Replacement taxes—Iowa Code chapter 437A;
    17. Statewide property tax—Iowa Code chapter 437A;
    18. Equipment tax—Iowa Code chapter 423D;
    19. Other taxes and activities as may be assigned to the department from time to time; and
    20. The taxpayer’s bill of rights—Iowa Code section 421.60.
    As the purpose of these rules is to facilitate business and advance justice, any rule contained herein, pursuant to statutory authority, may be suspended or waived by the department to prevent undue hardship in any particular instance or to prevent surprise or injustice.       This rule is intended to implement Iowa Code chapter 17A.

    701—7.2(421,17A) Definitions.  These definitions apply to this chapter, unless the text otherwise states to the contraryotherwise:        "Act" means the Iowa administrative procedure Act.        "Affiliate or subsidiary of an entity dominant in its field of operation" means an entity which is at least 20 percent owned by an entity that is dominant in its field of operation, or by a partner, officer, director, majority stockholder or the equivalent, of an entity dominant in that field of operation.        "Agency" means each board, commission, department, officer, or other administrative office or unit of the state.        "Appeal" means a dispute of a notice of assessment, refund denial, or other department action which may culminate in a contested case proceeding. “Protest” has the same meaning as appeal.        "Appeals section" means the section of the department designated by the director to administer the informal stage of the appeals process and participate in contested case proceedings for appeals before the department.        "Clerk of the hearings section" means the clerk of the hearings section of the departmentlegal services and appeals division or the clerk’s designee.        "Contested case" means a proceeding, including licensing, in which the legal rights, duties or privileges of a party are required by constitution or statute to be determined by an agency after an opportunity for an evidentiary hearing. This term also includes any matter defined as a no factual dispute contested case as provided in Iowa Code section 17A.10A.        "Declaratory order" means an order issued pursuant to Iowa Code section 17A.9.        "Department" means the Iowa department of revenue.        "Department of inspections and appeals" means the state department created by Iowa Code chapter 10A.        "Director" means the director of the department or the director’s authorized representative.        "Division of administrative hearings" means the division of the department of inspections and appeals responsible for holding contested case proceedings pursuant to Iowa Code chapter 10A.        "Dominant in its field of operation" means having more than 20 full-time equivalent positions and more than $1 million in annual gross revenues.        "Entity" means any taxpayer other than an individual or sole proprietorship.        "GovConnectIowa" means the e-services portal of the department.        "Informal stage" means the procedures of the appeals process described in rule 701—7.11(17A).        "Intervene" means to file with the department a petition requesting that the petitioner be allowed to intervene in the proceedings for a declaratory order currently under the department’s consideration.        "Issuance" means thedate specified in the decision or order, the date of mailing of a decision, or order or date of deliveryof the decision or order if service is by other means unless another date is specified in the order.        "Last-known address" does not necessarily mean the taxpayer’s actual address but instead means the last address that the taxpayer makes known to the department by tax typemeans the last address associated with a taxpayer by tax type, as determined pursuant to rule 701—7.33(421). Thus, for instance, receipt by the department of a taxpayer’s change of address from a third person not authorized to act on behalf of the taxpayer (e.g., an employer who had filed a Form W-2 showing a new taxpayer address) is not notice to the department of a change of address of the taxpayer. However, the filing by the taxpayer of a tax return for a year subsequent to the year for which a notice is required would be notification to the department of a change of address, provided a reasonable amount of time is allowed to process such information and transfer it to the department’s central computer system. Taxpayers should be aware of their need to update their address with the department in order to receive refunds of tax and notices of assessments and denial of a claim for refund. When such a notice is sent to a “taxpayer’s last-known address,” the notice is legally effective even if the taxpayer never receives it.        "License" means the whole or a part of any permit, certificate, approval, registration, charter, or similar form of permission required by statute.        "Licensing" means the department process respecting the grant, denial, renewal, revocation, suspension, annulment, withdrawal, or amendment of a license.        "Motion" has the same meaning as the term is defined in Iowa R. Civ. P. 1.431.        "Party" means each person or agency named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, including intervenors.        "Person" means any individual; estate; trust; fiduciary; partnership, including limited liability partnership; corporation;, including limited liability corporationcompany; association; governmental subdivision; or public or private organization of any character or any other person covered by the Act other than an agency.        "Petition" means application for declaratory order, request to intervene in a declaratory order under consideration,or application for initiation of proceedings to adopt, amend or repeal a rule or document filed in licensing.        "Pleadings" means protestappeal, answer, reply or other similar document filed in a contested case proceeding, including contested cases involving no factual dispute.        "Presiding officer" means the person designated to preside over a proceeding involving the department. A presiding officer of a contested case involving the department will be either the director or a qualified administrative law judge appointed, pursuant to Iowa Code chapter 17A, by the division of administrative hearings established pursuant to Iowa Code section 10A.801. In cases in which the department is not a party, at the director’s discretion, the presiding officer may be the director or the director’s designee. The presiding officer of an administrative appeal is the director of the department.        "Proceeding" means informal, formal and contested case proceedings.        "Proposed decision" means the presiding officer’s recommended findings of fact, conclusions of law, decision, and order in a contested case in which the director did not preside.        "Protester" means any person entitled to file a protest which may culminate in a contested case proceeding.        "Provision of law" means the whole or part of the Constitution of the United States of America or the Constitution of the State of Iowa, or of any federal or state statute, court rule, executive order of the governor, or rule of the department.        "Review unit" means the unit composed ofthe appeals section of the department employees designated by the director andany of the attorney general’s staff who have been assigned to review protestsappeals filed by taxpayers.        "Rule" means a department statement of general applicability that implements, interprets, or prescribes law or policy, or that describes the organization, procedure, or practice requirements of the department. Notwithstanding any other statute, the term includes an executive order or directive of the governor which creates an agency or establishes a program or which transfers a program between agencies established by statute or rule. The term includes the amendment or repeal of an existing rule, but does not include the excluded items set forth in Iowa Code section 17A.2(11).        "Small business" means any entity including, but not limited to, an individual, partnership, corporation, joint venture, association, or cooperative. A small business is not an affiliate of an entity dominant in its field of operation. A small business has either 20 or fewer full-time equivalent positions or less than $1 million in annual gross revenues in the preceding fiscal year.the same as defined in Iowa Code section 17A.4A(8)“a.”        "Taxpayer interview" means any in-person contact between an employee of the department and a taxpayer or a taxpayer’s representative which has been initiated by a department employee.        "Taxpayer’s representative" "authorized taxpayer’s representative" means an individual authorized to practice before the department under rule 701—7.6(17A)Iowa Code section 421.59; an individual who has been named as an authorized representative on a fiduciary return of income form filed under Iowa Code section 422.14, or a tax return filed under Iowa Code chapter 450, “Inheritance Tax,” or chapter 450B, “QualifiedUse Inheritance Tax”; or for proceedings before the department, any other individual the taxpayer designates who is named on a valid power of attorney if appearing on behalf of another.Unless otherwise specifically stated, the terms used in these rules promulgated by the department shall have the meanings defined by the Act.       This rule is intended to implement Iowa Code chapter 17A.

    701—7.3(17A) Business hoursHow to submit an appeal, petition or related documents; service.  Appeals, petitions, and other documents governed by this chapter may be filed electronically, by mail, or in person, in accordance with the limits described below.The principal office of the department in the Hoover State Office Building in Des Moines, Iowa, shallgenerally be open between the hours of 8 a.m. and 4:30 p.m. each weekday, except Saturdays, Sundays, and legal holidays as prescribed in Iowa Code section 4.1(34), for the purpose of receiving protests, pleadings, petitions, motions, or requests for public information or copies of official documents or for the opportunity to inspect public records.    7.3(1) Ways to submit an appeal, petition, or related document.  All documents or papers required to be filed with the department by these rules shall be filed with the designated clerk of the hearings section in the principal office of the department in the Hoover State Office Building, Des Moines, Iowa 50319. Requests for public information or copies of official documents or for the opportunity to inspect public records shall be made in the director’s office at the department’s principal office.Unless otherwise specified in another rule in this chapter, a person may submit an appeal, petition, related document, or document filed during an appeal or pending petition:    a.    By submitting through GovConnectIowa. As of November 15, 2021, GovConnectIowa is available for filing petitions for declaratory order, petitions for rule making, and petitions for rule waiver for all tax types, but is only available for filing appeals for the following tax types: sales, consumers/retailers use, E911, withholding, motor fuel, hotel/motel, local option sales, automobile rental, and water service excise, and tax credits and distributions associated with these tax types.    b.    By email to idrhearings@iowa.gov.    c.    By mail to Legal Services and Appeals Division, Iowa Department of Revenue, P.O. Box 14457, Des Moines, Iowa 50306-3457.    d.    By hand delivery to the department’s customer service desk in the Hoover State Office Building, First Floor, 1305 East Walnut Street, Des Moines, Iowa 50319, during regular business hours.    7.3(2) Filings with the department of inspections and appeals and service upon the department during contested case proceedings.  All documents or papersrequired or permitted to be filed with an administrative law judge appointed by the division of administrative hearings to be a presiding officerin a contested case shall be filed with the Department of Inspections and Appeals, Administrative Hearings Division, Third Floor, Wallace State Office Building, Des Moines, Iowa 50319department of inspections and appeals in accordance with rule 481—10.12(17A). All papers or documents required or permitted by this chapter to be filed with the department or the director and served upon the opposing party or other person in a contested case shall be served by ordinary mail unless another rule specifically refers to another method.    7.3(3) Service by the department.  All notices required by this chapter to be served on parties or persons by the department or presiding officer that are not currently pending before an administrative law judge shall be served by ordinary mail unless the taxpayer has elected to receive communications exclusively through GovConnectIowa, pursuant to rule 701—8.6(421). For taxpayers registered in GovConnectIowa, posting the document in the taxpayer’s GovConnectIowa account constitutes service or notice of the document. For taxpayer representatives registered in GovConnectIowa, posting the document in the taxpayer representative’s GovConnectIowa account constitutes service or notice of the document. For nonregistered taxpayers or taxpayer representatives, documents will be served by ordinary mail. When this nonregistered mailing is required, however, the department may note on the docket the parties served and the method of service instead of filing a certificate of service. With respect to any notice, correspondence, or communication served electronically, response deadlines shall be calculated from the date the taxpayer is notified electronically of the correspondence or the item is mailed, whichever is earlier.       This rule is intended to implement Iowa Code chapter 17A.

    701—7.4(17A) Computation of time, filing of documentsTime requirements for filings.  In computing any period of time prescribed or allowed by these rules or by an applicable statute, the day of the act, event or default from which the designated period of time begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, Sunday or legal holiday, in which event the period runs until the end of the next day which is not a Saturday, Sunday or legal holiday. Legal holidays are prescribed in    7.4(1) Computing time.  Time shall be computed in accordance withIowa Code section 4.1(34).For electronic submissions, in addition to the requirements described in Iowa Code section 4.1(34), local time for the state of Iowa applies.    7.(1) 7.4(2) Date of filing.  All documents or papers required to be filed with the department shall be considered as timely filed if they are either received by the department’s principal office or are postmarked for delivery to the department’s principal office within time limits as prescribed by law or by rules or orders of the department.The date of filing for appeal requests, petitions, or other related documents shall be:    a.    If sent electronically either through GovConnectIowa or as described on the department’s website, determined by the date on which the electronic submission was completed.     b.    If sent by regular mail, the date postmarked on the envelope sent to the department’s principal office or, if the postmark is not available, on the date the appeal is stamped as received by the department.    c.    If hand delivered, the date the appeal is stamped as received by the department.     7.4(2)   In all cases where the time for the filing of a protest or the performance of any other act shall be fixed by law, the time so fixed by law shall prevail over the time fixed in these rules.       This rule is intended to implement Iowa Code chapter 17A.

        ITEM 3.    Rescind rule 701—7.5(17A) and adopt the following new rule in lieu thereof:

    701—7.5(17A) Form and style of documents.      7.5(1) Requirements applicable to all filings under this chapter.      a.    Signatures.Signatures must meet the requirements of 701—subrule 8.2(6). The signature shall constitute a certification that the signer has read the document; that, under penalty of perjury, the signer declares that to the best of the signer’s knowledge and belief, the information contained in the document is true, correct, and complete; and that no statement contained in the document is misleading.    b.    Citations.Citations may be italicized or underlined.     7.5(2) Paper.  Any paper documents that are allowed or required to be submitted by this chapter must:    a.    Be clear and legible.    b.    Be on white paper.    c.    Be on the applicable department appeal, application for reinstatement, or petition form available on the department’s forms website tax.iowa.gov/forms under the category “Applications and Other” or, if not on the department’s form, include a proper caption on the first page.    d.    Include a signature.    e.    Include copies as herein provided or as specified in other applicable rules.     7.5(3) Email.  Any documents allowed or required to be filed by email under this chapter must be:     a.    A document in PDF, Microsoft Word, Microsoft Excel, or image format that complies with subrules 7.5(1) and 7.5(2), or    b.    The body of an email that meets all of the requirements of subrules 7.5(1) and 7.5(2).     7.5(4) GovConnectIowa.  Any documents allowed or required to be filed through GovConnectIowa under this chapter must be:    a.    A document in PDF, Microsoft Word, Microsoft Excel, or image format that complies with subrules 7.5(1) and 7.5(2) that is properly uploaded and properly submitted through GovConnectIowa.    b.    Completed and submitted on the applicable form provided on GovConnectIowa.       This rule is intended to implement Iowa Code chapters 17A and 554D and sections 421.17 and 421.27A.

        ITEM 4.    Amend rules 701—7.7(17A) to 701—7.10(17A) as follows:

    701—7.7 701—7.10(17A) Resolution of tax liability.  Unless a proper protest has been filed as provided hereinafter, persons interested in any tax liability, refund claim, licensing or any other tax matters shall discuss the resolution of such matters with appropriate personnel.In the event that a proper protestappeal has been filed as provided hereinafter, the appropriateother department personnel, when authorized by the review unitappeals section, shall have the authority to discuss the resolution of any matter in the protestappeal either with the protestertaxpayer or the protester’staxpayer’s representative. The appropriate personnel shall report their activities in this regard to the review unitappeals section, and the unitsection shall be authorized to approve or reject any recommendations made by the appropriate personnel to resolve a protestan appeal.       This rule is intended to implement Iowa Code chapter 17A.

    701—7.8 701—7.9(17A) ProtestAppeals.  Any person wishing to contest an assessment, denial of refund claim, or any other department action, except licensing, which may culminate in a contested case proceeding, shall file a protestan appeal, in writing, with the department within the time prescribed by the applicable statute or rule for filing notice of application to the director for a hearing. The protestappeal must either be delivered to the department by electronic means or by United States Postal Service or a common carrier, by ordinary, certified, or registered mail, directed to the attention of the clerk of the hearings section at P.O. Box 14457, Des Moines, Iowa 50306, or be personally delivered to the clerk of the hearings section or served on the clerk of the hearings section by personal service during business hours. For the purpose of mailing, a protest is considered filed on the date of the postmark. If a postmark date is not present on the mailed article, then the date of receipt of protest will be considered the date of mailing. Any document, including a protest, is considered filed on the date personal service or personal delivery to the office of the clerk of the hearings section for the department is made. See Iowa Code section 622.105 for the evidence necessary to establish proof of mailingfiled as described in rule 701—7.3(17A).    7.8(1) 7.9(1) Deadlines.  The period for appealing department action relating to refund claims is the same statutory period as that for contesting an assessment. Failure to timely file a written protestproper appeal will be construed as a waiver of opposition to the matter involved unless, on the director’s own motion, pursuant to statutory authority, the powers of abatement or settlement are exercised. The review unit created within the department by the director to review protests as provided in rule 701—7.11(17A) may seek dismissal of protestsappeals which are not in the proper form as provided by this rule. See subrule 7.11(2)7.12(2) for dismissals.    7.8(2) 7.9(2) Appealing refund claims that have not been reviewed within six months.  If the department has not granted or denied a filed refund claim within six months of the filing of the claim, the refund claimant may file a protestan appeal. Even though a protestan appeal is so filed, the department is entitled to examine and inspect the refund claimant’s records to verify the refund claim.    7.8(3) 7.9(3) Paying assessment in order to appeal refund claim denial.  Notwithstanding the above, the taxpayer who fails to timely protestappeal an assessment may contest the assessment by paying the whole assessed tax, interest, and penalty, and by filing a refund claim within the time period provided by law for filing such claim. However, in the event that such assessment involves divisible taxes which are not timely protestedappealed, namely, an assessment which is divisible into a tax on each transaction or event, the taxpayer may contest the assessment by paying a portion of the assessment and filing a refund claim within the time period provided by law. In this latter instance, the portion paid must represent any undisputed portion of the assessment and must also represent the liability on a transaction or event for which, if the taxpayer is successful in contesting the portion paid, the unpaid portion of the assessment would be canceled. Flora v. United States, 362 U.S. 145, 4 L.Ed. 2d 623, 80 S.Ct.630 (1960); Higginbotham v. United States, 556 F.2d 1173 (4th Cir. 1977); Steele v. United States, 280 F.2d 89 (8th Cir. 1960); Stern v. United States, 563 F. Supp. 484 (D. Nev. 1983); Drake v. United States, 355 F. Supp. 710 (E.D. Mo. 1973). Any such protestappeal filed is limited to the issues covered by the amounts paid for which a refund was requested and denied by the department. Thereafter, if the department does not grant or deny the refund within six months of the filing of the refund claim or if the department denies the refund, the taxpayer may file a protestan appeal as authorized by this rule.    7.8(4) 7.9(4) Divisible taxes.  All of the taxes administered and collected by the department can be divisible taxes, except individual income tax, fiduciary income tax, corporation income tax, franchise tax, and statewide property tax. The following noninclusive examples illustrate the application of the divisible tax concept.    7.8(5) 7.9(5) Who may be named in an appeal.  The protestappeal shall be broughtin the name of the aggrieved taxpayer. The appeal may be filed by and in the name of the interested or affected personaggrieved taxpayer or by and in the full descriptive name of the fiduciaryauthorized representative described in Iowa Code section 421.59(2), Iowa Code chapter 633B, or subrule 7.6(6) legally entitled to institute a proceeding on behalf of the person, or by an intervenor in contested case proceedings. In the event of a variance indiscrepancy between the name set forth in the protestappeal and the correct name, a statement of the reason for the discrepancy shall be set forth in the protestappeal.    7.8(6) 7.9(6) Form and content of the appeal.      a.    Department forms.Appeals may be filed using the form available on GovConnectIowa or the form available on the department’s website, tax.iowa.gov/forms.    b.    Manually created appeals.Persons who do not use GovConnectIowa or the form available on the department’s website shall use the following format:    (1)   The protestappeal shall contain a caption in the following form:BEFORE THE DEPARTMENT OF REVENUEHOOVER STATE OFFICE BUILDINGDES MOINES, IOWAIN THE MATTER OF _________________*(state taxpayer’s name and address and*PROTESTAPPEALdesignate type of proceeding, e.g.,*Docket No. ___________________income tax refund claim)*(filled in by Department)    (2)   The protestappeal shall substantially state in separate numbered paragraphs the following:    a.    1.   Proper allegations showing:(1)   Date of department action, such as the assessment noticeof assessment, refund denial, etc.;(2)   Whether the protestertaxpayer failed to timely appeal the assessment and, if so, the date of payment and the date of filing of the refund claim;(3)   Whether the protestappeal involves the appeal of a refund claim after six months from the date of filing the refund claim because the department failed to deny the claim;(4)   Copies of the documented department action, such as the assessment noticeof assessment, refund claim, and refund denial letter;(5)   Other items that the protestertaxpayer wishes to bring to the attention of the department; and(6)   A request for attorney fees, if applicable.    b.    2.   The type of tax, the taxable period or periods involved, and the amount in controversy.    c.    3.    Each error alleged to have been committed, listed in a separate paragraph. For each error listed, an explanation of the error and all relevant facts related to the error shall be provided.    d.    4.   Reference to any particular statute or statutes and any rule or rules involved, if known.    e.    5.   Description of records or documents that were not available or were not presented to department personnel prior to the filing of the protestappeal, if any. Copies of any records or documents that were not previously presented to the department shall be provided.    f.    6.   Any other matters deemed relevant and not covered in the above paragraphs.    g.    7.   The desire of the protestertaxpayer to waive informal or contested case proceedings if waiver is desired. Unless the protester so indicates a waiver, informal procedures will be initiatedexpedite proceedings.See rule 701—7.13(17A,421) for more details on expedited proceedings.    h.    8.   A statement setting forth the relief sought by the protestertaxpayer.    i.    9.   The signature of the protestertaxpayer or that of the protester’staxpayer’s representative, the addresses of the protester and of the protester’s representative, and the telephone number of the protester or the protester’s representative. A copy of the power of attorney for the protester’s representative shall be attached.If the appeal is signed by the taxpayer, include the address and telephone number of the taxpayer in the signature block. If it is signed by a taxpayer representative, include the address and telephone number of the taxpayer representative in the signature block. Appeals submitted by a taxpayer’s representative must have a valid IDR power of attorney form or representative certification form, as applicable in accordance with rule 701—7.6(17A), on file with the department, or one should be included with the appeal.    7.9(8)   An original and two copies of the protest shall be filed with the clerk of the hearings section. Upon receipt of the protest, the clerk of the hearings section shall register receipt of the protest, docket the protest, and assign a number to the case. The assigned number shall be placed on all subsequent pleadings filed in the case.     7.8(9) 7.9(7) Amendments.  The protestertaxpayer may amend the protestappeal at any time prior to the commencement of the evidentiary hearingbefore a responsive pleading is filed. Amendments to the appeal after a responsive pleading has been filed may be allowed with the consent of the other parties or at the discretion of the presiding officer who may impose terms or grant a continuance. The department may request that the protestertaxpayer amend the protestappeal for purposes of clarification.    7.9(10)   Upon the filing of an answer or if a demand for contested case is made by the protester, the clerk of the hearings section will transfer the protest file to the division of administrative hearings within 30 days of the date of the filing of the answer or the demand for contested case, unless the director determines not to transfer the case. If a party objects to a determination under rule 701—7.17(17A), the transfer, if any, would be made after the director makes a ruling on the objection.    7.8(11) 7.9(8) Denial of renewal of vehicle registration or denial of issuance or renewal, or suspension, of a driver’s license.      a.    A person who has had an application for renewal of vehicle registration denied, has been denied the issuance of a driver’s license or the renewal of a driver’s license, or has had a driver’s license suspended may file a protestan appeal with the clerk of the hearings section if the denial of the issuance or renewal or the suspension is because the person owes delinquent taxes.    b.    The issues raised in a protestan appeal by the person, which are limited to a mistake of fact, may include but are not limited to:    (1)   The person has the same name as the obligor but is not the correct obligor;    (2)   The amount in question has been paid; or    (3)   The person has made arrangements with the department to pay the amount.       This rule is intended to implement Iowa Code chapter 17A.

    701—7.9 701—7.8(17A) Identifying details.      7.9(1) 7.8(1)   Any person may file a motion to delete identifying details concerning the person from any document relating to any proceeding as defined in rule 701—7.2(421,17A) prior to disclosure to members of the public. Such a motion must be filed with the clerk of the hearings section if the motion is filed prior to the commencement of a contested case, which is before the notice for hearing is issued. If the motion is filed during a contested case proceeding pending before an administrative law judge and before the administrative law judge has entered a proposed decision on the case or has entered a closing order, the motion must be filed with and ruled upon by the administrative law judge. Otherwise, the motion must be filed with the clerk of the hearings section and ruled upon by the director. The motion shall be filed simultaneously with the presentation of the privacy or trade secret information under circumstances whereby the information may be disclosed to the public and before the issuance of any opinion, order or decision.    7.9(2) 7.8(2)   If the motion concerns information which is not a part of a contested case, the motion shall be in the form of a request to delete identifying details; if part of a contested case, the motion shall be in the form of a motion to delete identifying details. All motions to delete identifying details shall conform to subrule 7.17(5)7.19(5).    a.    The motion shall contain the following:    (1)   The name of the person requesting deletion and the docket number of the proceeding, if applicable;    (2)   The legal basis for the motion for deletion, which is either that release of the material would be a clearly unwarranted invasion of personal privacy or the material is a trade secret. A corporation may not claim an unwarranted invasion of privacy;    (3)   A precise description of the document, report, or other material in the possession of the department from which the deletion is sought and a precise description of the information to be deleted. If deletion is sought from more than one document, each document and the materials sought to be deleted from it shall be listed in separate paragraphs. Also contained in each separate paragraph shall be a statement of the legal basis for the deletion requested in that paragraph, which is that release of the material sought to be deleted is a clearly unwarranted invasion of privacy or the material is a trade secret and the material serves no public purpose.    b.    An affidavit in support of deletion must accompany each motion. The affidavit must be sworn to by a person familiar with the facts asserted within it and shall contain a clear and concise explanation of the facts justifying deletion, not merely the legal basis for deletion or conclusionary allegations.    c.    All affidavits shall contain a general and truthful statement that the information sought to be deleted is not available to the public from any source or combination of sources, direct or indirect, and a general statement that the release would serve no public purpose.    d.    The burden of showing that deletion is justified shall be on the movant. The burden is not carried by mere conclusionary statements or allegations, for example, that the release of the material would be a clearly unwarranted invasion of personal privacy or that the material is a trade secret.    e.    That the matter sought to be deleted is part of the pleadings, motions, evidence, and the record in a contested case proceeding otherwise open for public inspection and that the matter would otherwise constitute confidential tax information shall not be grounds for deletion (1992 Op. IA Att’y Gen. 1).    f.    The ruling on the motion shall be strictly limited to the facts and legal bases presented by the movant, and the ruling shall not be based upon any facts or legal bases not presented by the movant.       This rule is intended to implement Iowa Code chapter 17A.

    701—7.10 701—7.7(17A) Docket.  The clerk of the hearings section shall maintain a docket of all proceedings, and each of the proceedings shall be assigned a number. Every matter coming within the purview of these rulesthis chapter shall be assigned a docket number which shall be the officialidentification numberof the matter for the purposes of identification. Upon receipt of a protest, a petition for declaratory order or a petition to initiate rule-making proceedings, the proceeding will be docketed and assigned a number, and the parties notified thereof.The parties will be notified of the docket number. The number shall be placed by the parties on all papersdocuments thereafter filed in the proceeding. After the transfer of a case to the division of administrative hearings for contested case proceedings, that division may assign aanother docket number to the case and, in that event, theboth docket numbernumbers shall be placed by the parties on all papersdocuments thereafter filed in the proceeding.       This rule is intended to implement Iowa Code chapter 17A.

        ITEM 5.    Amend rule 701—7.11(17A) as follows:

    701—7.11(17A) Informal procedures and dismissals of protestsstage of the appeals process.   Informal procedures. PersonsWhen an appeal is filed, the parties are encouraged to utilize the informal procedures provided herein so thatdescribed in this rule to reach a settlement may be reachedresolution between the parties without the necessity of initiating contested case proceedings. Therefore, unlessThat resolution may be the granting of the appeal in full or in part, the denial of the appeal in full or in part, or an agreement to settle the matter. Unless, in accordance with rule 701—7.13(17A,421), the protester indicates a desire to waive the informal procedures in the protesttaxpayer demands a contested case proceeding or an expedited hearing is agreed to or the department waives informal procedures upon notification to the protestertaxpayer, such informal procedures will be initiated as herein provided upon the filing of a proper protestappeal.    7.() 7.11(1) Appeals section review.  a.    Review unit. A review unit is created within the department andWhen an appeal is filed, the review unit, subject to the control of the directoror the division administrator of the legal services and appeals division, the unit will:    (1)   a.    Review and evaluate the validity of all protests made by taxpayers from the department actionthe appeal.    (2)   b.    Determine the correct amount of tax owing or refund due.    (3)   c.    Determine the best method of resolving the dispute between the protestertaxpayer and the department.    (4)   d.    Take further action regarding the protestappeal, including any additions and deletions to the audit, as may be warranted by the circumstances to resolve the protestappeal, including a request for an informal conference.    (5)   e.    Determine whether the protestappeal complies with rule 701—7.8(17A)701—7.9(17A) and request any amendments to the protestappeal or additional information.    7.() 7.11(2) Determinations, conferences.  b.    The review unit may concede any items contained in the protestappeal which it determines should not be controverted by the department. If the protestertaxpayer has not waived informal procedures, the review unit may request that the protestertaxpayer and the protester’staxpayer’s representative, if any, attend an informal conference with the review unit to explore the possibility of reaching a settlement without the necessity of initiating contested case proceedings orthe possibility of narrowing the issues presented in the protestappeal if no settlement can be made. The review unit may request clarification of the issues from the protestertaxpayer or further information from the protestertaxpayer or third persons.    7.() 7.11(3) Findings.  c.    Findings dealing withA position letter addressing the issues raised in the protestappeal may be issuedto the taxpayer or taxpayer’s representative unless the issues may be more expeditiously determined in another manner or it is determined that findings aresuch a letter is unnecessary. The protester will be notified of the decision on the issues in controversy.    7.() 7.11(4) Format of review.  d.    Nothing herein will prevent the review unit and the protestertaxpayer from mutually agreeing on the manner in which the protestappeal will be informally reviewed.    7.() 7.11(5) Settlements.  e.    Settlements.Only the director, the deputy director, or the division administrator of the legal services and appeals division may approve and sign settlements of appeals. If a settlement is reached during informal procedures, the clerk of the hearings section must be notified. Aa closing order stating that a settlement was reached by the parties and that the case is terminated shall be issued by the director and served uponprovided to all parties.    7.11(2) Dismissal of protests.      a.    Whether informal procedures have been waived or not, the failure of the protester to timely file a protest or to pursue the protest may be grounds for dismissal of the protest by the director or the director’s designee. If the protest is so dismissed, the protester may file an application for reinstatement of the protest for good cause as provided in paragraph 7.11(2)“c.” Such application must be filed within 30 days of the date of the dismissal notice. Thereafter, the procedure in paragraph 7.11(2)“c” should be followed. If informal procedures have not been waived, the failure of the protester to present evidence or information requested by the review unit shall constitute grounds for the director or the director’s designee to dismiss the protest. For purposes of this subrule, an evasive or incomplete response will be treated as a failure to present evidence or information. The failure of the protester to file a protest in the format required by rule 701—7.8(17A) may be grounds for dismissal of the protest by the director or the director’s designee.    b.    If the department seeks to have the protest dismissed, the review unit shall file a motion to dismiss with the clerk of the hearings section and serve a copy of the motion on the protester. The protester may file a resistance to the motion within 20 days of the date of service of the motion. If no resistance is so filed, the director or the director’s designee shall immediately enter an order dismissing the protest. If a resistance is filed, the review unit has 10 days from the date of the filing of the resistance to decide whether to withdraw its motion and so notify the protester and the clerk of the hearings section. If no such notice is issued by the review unit within the 10-day period, the protest file will be transferred to the division of administrative hearings, which shall issue a notice for a contested case proceeding on the motion as prescribed by rule 701—7.14(17A), except that the issue of the contested case proceeding shall be limited to the question of whether the protest shall be dismissed. Thereafter, rule 701—7.17(17A) pertaining to contested case proceedings shall apply in such dismissal proceedings.    c.    If a motion to dismiss is filed and is unresisted, a protest so dismissed may be reinstated by the director or the director’s designee for good cause as interpreted by the Iowa supreme court in the case of Purethane, Inc. v. Iowa State Board of Tax Review, 498 N.W.2d 706 (Iowa 1993) if an application for reinstatement is filed with the clerk of the hearings section within 30 days of the date the protest was dismissed. The application shall set forth all reasons and facts upon which the protester relies in seeking reinstatement of the protest. The review unit shall review the application and notify the protester whether the application is granted or denied. If the review unit denies the application to reinstate the protest, the protester has 30 days from the date the application for reinstatement was denied in which to request, in writing, a formal hearing on the reinstatement. When a written request for formal hearing is received, the protest file will be transferred to the division of administrative hearings, which shall issue a notice as prescribed in rule 701—7.14(17A), except that the issue of the contested case proceeding shall be limited to the question of whether the protest shall be reinstated. Thereafter, rule 701—7.17(17A) pertaining to contested case proceedings shall apply in such reinstatement proceedings.    d.    Once contested case proceedings have been commenced, whether informal proceedings have been waived or not, it shall be grounds for a motion to dismiss that a protester has either failed to diligently pursue the protest or refuses to comply with requests for discovery set forth in rule 701—7.15(17A). Such a motion must be filed with the presiding officer.    e.    Notwithstanding other provisions of this subrule, if the director finds that a protest is not timely filed, including a failure within a reasonable time to file a protest in proper form after notice to the protester by the hearings section, the director, without the filing of a motion to dismiss, may dismiss the protest and shall notify the protester that the protest has been dismissed. With respect to a protest so dismissed, thereafter the provisions of paragraph 7.11(2)“c” shall apply.       This rule is intended to implement Iowa Code section 17A.10.

        ITEM 6.    Renumber rules 701—7.12(17A) to 701—7.20(17A) as 701—7.14(17A) to 701—7.22(17A).

        ITEM 7.    Adopt the following new rules 701—7.12(17A,421) and 701—7.13(17A,421):

    701—7.12(17A,421) Dismissal of appeals.      7.12(1) Untimely appeals.  Appeals that are not filed by the deadlines described in statute or rule shall be dismissed by the director or the department employee designated by the director. Such dismissals do not require the filing of a motion to dismiss as described in subrule 7.12(3). If the appeal is so dismissed, the taxpayer may file an application for reinstatement of the appeal as provided in paragraph 7.12(1)“b.” Such application must be filed within 30 days of the date of the dismissal notice. Thereafter, the procedure in subrule 7.12(4) should be followed.     a.    Grounds for reinstatement of an untimely appeal.Grounds for reinstating an untimely appeal are limited to the following:     (1)   The department fails to do at least one of the following:    1.   Mail the notice of assessment, refund denial, or other notice of department action as required by Iowa Code section 421.60(2)“c”(1) through 421.60(2)“c”(3); or    2.   Personally deliver such notice as required by Iowa Code section 421.60(2)“c”(1) through 421.60(2)“c”(3).For purposes of this rule, “last-known address” and “personal delivery” mean the same as described in rule 701—7.33(421).     (2)   If the department fails to comply with the requirements of Iowa Code section 421.60(2)“b.”    b.    Content of the application for reinstatement.The application shall set forth all reasons and facts upon which the taxpayer relies in seeking reinstatement of the appeal and the grounds that are relevant. Supporting documentation must be supplied. The review unit shall review the application and notify the taxpayer whether the application is granted or denied.    7.12(2) Failure to follow the required format.  The failure of the taxpayer to file an appeal in the format required by rule 701—7.9(17A) may also be grounds for dismissal of the appeal by the director or the department employee designated by the director. Such dismissals do not require the filing of a motion to dismiss as described in subrule 7.12(3). The director or the department employee designated by the director shall notify the taxpayer of the format issue and provide the taxpayer with 30 days to correct the deficiencies. If the taxpayer fails to correct the format issues within 30 days, the protest may only be reinstated under the process and grounds described in subrule 7.12(3).     7.12(3) Failure to pursue the appeal at the informal stage.  If the protest was filed timely and informal procedures were initiated, the failure of the taxpayer to present evidence or information requested by the review unit, including the failure to respond to a position letter or information request, shall constitute grounds for the director or the director’s designee to dismiss the appeal. For purposes of this subrule, an evasive or incomplete response will be treated as a failure to present evidence or information. Such dismissals require a motion to be filed by the review unit.    a.    Procedures for motions to dismiss.If the department seeks to dismiss the appeal, the review unit shall file a motion to dismiss with the clerk and serve a copy of the motion on the taxpayer. The taxpayer may file a resistance to the motion within 20 days of the date of service of the motion. If no resistance is so filed, the director or the director’s designee shall immediately enter an order dismissing the appeal. If a resistance is filed, the review unit has ten days from the date of the filing of the resistance to decide whether to withdraw its motion and so notify the taxpayer and the clerk. If no such notice is received by the clerk within the ten-day period, the appeal file will be transferred to the division of administrative hearings, which shall issue a notice for a contested case proceeding on the motion as prescribed by rule 701—7.16(17A), except that the issue of the contested case proceeding shall be limited to the question of whether the appeal shall be dismissed. Thereafter, rule 701—7.19(17A) pertaining to contested case proceedings shall apply in such dismissal proceedings.    b.    Grounds for reinstatement of dismissed appeals.If a motion to dismiss is filed and is unresisted, the appeal that was dismissed may be reinstated by the director or the director’s designee for good cause if an application for reinstatement is filed with the clerk within 30 days of the date the appeal was dismissed and following the conclusion of the procedure in subrule 7.12(4). For purposes of this rule, “good cause” shall mean the same as “good cause” in Iowa Rule of Civil Procedure 1.977.     c.    Content and review of the application for reinstatement.The application shall set forth all reasons and facts upon which the taxpayer relies in seeking reinstatement of the appeal and the grounds that are relevant. Supporting documentation must be supplied. The director shall refer the application to the review unit for review and notify the taxpayer whether the application is granted or denied. Thereafter, the procedure in subrule 7.12(4) should be followed.     7.12(4) Denial of the application.  If the review unit denies the application to reinstate the appeal, the taxpayer has 30 days from the date the application for reinstatement was denied in which to request, in writing, a formal hearing on the reinstatement. The taxpayer shall send the written request to the clerk. When a written request for formal hearing is received, the appeal file will be transferred to the division of administrative hearings, which shall issue a notice as prescribed in rule 701—7.16(17A), except that the issue of the contested case proceeding shall be limited to the question of whether the appeal shall be reinstated. Thereafter, rule 701—7.19(17A) pertaining to contested case proceedings shall apply in such reinstatement proceedings. If the taxpayer does not respond to a denial of the application for reinstatement within 30 days of the denial, the appeals section may file a motion to dismiss the application for reinstatement for failure to pursue, in accordance with the procedures described in subrule 7.12(3) above.     7.12(5) Failure to file timely application for reinstatement.  If an application for reinstatement is filed after the 30-day deadline, the application shall be dismissed by the director or the department employee designated by the director.     7.12(6) Dismissal of appeals during contested case proceedings.  Once contested case proceedings have been commenced, whether informal proceedings have been waived or not, it shall be grounds for a motion to dismiss that a taxpayer has either failed to diligently pursue the appeal or has refused to comply with requests for discovery set forth in rule 701—7.17(17A). Such a motion must be filed with the presiding officer.       This rule is intended to implement Iowa Code sections 17A.12, 421.10, 421.60, and 422.28.

    701—7.13(17A,421) Expedited hearings and demands to waive informal proceedings.  Taxpayers that desire to demand a contested case prior to the conclusion of informal proceedings have two options described in detail below.     7.13(1) Expedited cases.  If an appeal is filed that is not of precedential value and the parties desire a prompt resolution of the dispute, the department and the taxpayer may agree to have the case designated as an expedited case. A request for expedited proceedings may be made at any time prior to the commencement of a contested case.     a.    Agreement.The department and the taxpayer shall execute an agreement to have the case treated as an expedited case. In this expedited case, discovery is waived. The provisions of the expedited case agreement shall constitute a waiver of the rights set forth in Iowa Code chapter 17A for contested case proceedings.     b.    Procedures.Upon execution of the expedited case agreement, the department shall file its answer to the appeal with the clerk within 14 days. Within 30 days of the filing of the answer, the clerk shall transfer the appeal file, including a copy of the agreement for expedited proceedings, to the division of administrative hearings. The case shall be docketed for hearing as promptly as the presiding officer can reasonably hear the matter.    c.    Finality of decision.A decision entered in an expedited case proceeding shall not be reviewed by the director or any other court and shall not be treated as a precedent for any other case.    d.    Discontinuance of proceedings.Any time prior to a decision, the taxpayer or the department may request that expedited case proceedings be discontinued.    7.13(2) Waiver of informal proceedings.  Pursuant to Iowa Code section 421.60(2)“g,” a taxpayer may make a written demand for a contested case proceeding after a period of six months from the filing of a proper appeal. Demands made prior to six months will be treated as premature and must be resubmitted six months or later from the filing of the appeal. Upon receipt of a timely written demand, the department shall file its answer within 30 days after receipt of the demand. If the department fails to file its answer within this 30-day period, interest shall be applied in the manner described in the introductory paragraph to rule 701—7.14(17A).        This rule is intended to implement Iowa Code sections 17A.12 and 421.60.

        ITEM 8.    Amend renumbered rules 701—7.14(17A) to 701—7.16(17A) as follows:

    701—7.14(17A) Answer.  TheIf the parties are unable to resolve the appeal informally, or if the parties waive informal proceedings as described in rule 701—7.13(17A,421), the department may, in lieu of findings,shall file an answer to the protestappeal. When findings are issued, theSubject to the limitations in rule 701—7.13(17A,421), the department will file an answer within 30 days of receipt of written notificationdemand for a contested case hearing from the protester stating disagreement with the findingstaxpayer. The answer shall be filed with the clerk of the hearings section.In the case of an appeal of an assessment, failure to answer within the 30-day time period and after a demand for hearing has been made shall result in the suspension of interest from the time that the department was required to answer until the date that the department files its answer. In the case of an appeal of a refund denial, failure to answer within the 30-day time period after a demand for hearing has been made shall result in the accrual of interest payable to the taxpayer at double the rate in effect under Iowa Code section 421.7 from the time the department was required to answer until the date that the department files its answer. Failure to file an answer within 30 days after the demand for contested case will not result in a default judgment for the taxpayer.     7.14(1)   In the event that the protester does not so respond in writing to the findings issued on matters covered by paragraph 7.11(1)“c” within 30 days after being notified, the department may seek dismissal of the protest pursuant to subrule 7.11(2).    7.(2) 7.14(1)   The answer of the department shall be drawn in a manner as provided by the Iowa Rules of Civil Procedure for answers filed in Iowa district courts.    7.(3) 7.14(2)   Each paragraph contained in the answer shall be numbered or lettered to correspond, where possible, with the paragraphs of the protestappeal. An original copy only of theThe answer shall be filed with the clerk of the hearings section for the department and shall be signed by the department’s counsel or representative.    7.(4) 7.14(3)   The department shall forthwithpromptly serve a copy of the answer upon the representative of record or, if there is no representative of record, then upon the protester and shall file proof of service with the clerk of the hearings section at the time of filing of the answertaxpayer when the answer is filed. The department may amend its answer at any time prior to the commencement of the evidentiary hearing.    7.(5) 7.14(4)   The provisions of rule 701—7.12(17A)this rule shall be considered as a part of the informal procedures since a contested case proceeding, at the time of the filing of the answer, has not yet commenced. However, an answer shall be filed pursuant to this rule whether or not informal procedures have been waived by the protestertaxpayer or the department.    7.14(6)   Notwithstanding subrules 7.12(1) through 7.12(5), if a taxpayer makes a written demand for a contested case proceeding, as authorized by rule 701—7.14(17A), after a period of six months from the filing of a proper protest, the department shall file its answer within 30 days after receipt of the demand. If the department fails to file its answer within this 30-day period, interest shall be suspended, if the protest involves an assessment, from the time that the department was required to answer until the date that the department files its answer and, if the protest involves a refund, interest shall accrue on the refund at double the rate from the time the department was required to answer until the date that the department files its answer.    7.(7) 7.14(5)   The department’s answer may contain a statement setting forth whether the case should be transferred to the division of administrative hearings or the director should retain the case for hearing.    7.(8) 7.14(6)   The department’s answer should set forth the basis for retention of the case by the director as provided in subrule 7.17(1)7.19(1). If the answer fails to allege that the case should be retained by the director, the case should be transferred to the division of administrative hearings for contested case proceedings, unless the director determines on the director’s own motion that the case should be retained by the director.    7.14(7)   Upon the filing of an answer, the clerk will transfer the appeal file to the division of administrative hearings within 30 days of the date of the filing of the answer, unless the director determines not to transfer the case. If a party objects to a determination under rule 701—7.19(17A), the transfer, if any, would be made after the director makes a ruling on the objection.       This rule is intended to implement Iowa Code chapter 17A and section 421.60.

    701—7.15(17A) Subpoenas.  Prior to the commencement of a contested case, the department shall have the authority to subpoena books, papers, and records and shall have all other subpoena powers conferred upon it by law. Subpoenas in this case shall be issued by the director or the director’s designee. Once a contested case is commenced, subpoenas must be issued by the presiding officer.       This rule is intended to implement Iowa Code sectionsections 17A.13, 421.9, 421.17, and 422.70.

    701—7.16(17A) Commencement of contested case proceedings.  A demand or request by the protestertaxpayer for the commencement of contested case proceedings must be in writing and filed with the clerk of the hearings section by electronic means,email to the address provided in paragraph 7.3(1)“b,” by mail via the United States Postal Service or common carrier by ordinary, certified, or registered mail in care of the clerk of the hearings section,to the address listed in paragraph 7.3(1)“c,” or by personal service on the office of the clerk of the hearings section during business hours.to the department’s customer service desk as described in paragraph 7.3(1)“d.” The demand or request is considered filed on the date of the postmarkmust be made no sooner than six months or more after the filing of the protest. If the demand or request does not indicate a postmark date, then the date of receipt or the date personal service is made is considered the date of filing. See Iowa Code section 622.105 for the evidence necessary to establish proof of mailing.    7.16(1)   When requesting a contested case hearing with the department of inspections and appeals, the department shall complete a transmittal form consistent with rule 481—10.4(10A).     7.(1) 7.16(2)   At the request of a party or the presiding officer made prior to the issuance of the hearing notice, the presiding officer shall hold a telephone conference with the parties for the purpose of selecting a mutually agreeable hearing date, which date shall be the hearing date contained in the hearing notice. The notice shall be issued within one week after the mutually agreeable hearing date is selected.    7.(2) 7.16(3)   Contested case proceedings will be commenced by the presiding officer by delivery of notice by ordinary mail directed to the parties after a demand or request is made (a) by the protestertaxpayer and the filing of the answer, if one is required, which demand or request may include a date to be set for the hearing, or (b) upon filing of the answer, if a request or demand for contested case proceedings has not been made by the protestertaxpayer. The notice will be given by the presiding officer.    7.(3) 7.16(4)   The presiding officer may grant a continuance of the hearing. Any change in the date of the hearing shall be set by the presiding officer. EitherAny party may apply to the presiding officer for acontinuance or a specific date for the hearing.The presiding officer may grant or deny such requests. The notice shall include:    a.    A statement of the time (which shall allow for a reasonable time to conduct discovery), place and nature of the hearing;    b.    A statement of the legal authority and jurisdiction under which the hearing is held;    c.    A reference to the particular sections of the statutes and rules involved; and    d.    A short and plain statement of the matters asserted, including the issues.    7.(4) 7.16(5)   After the delivery of the notice commencing the contested case proceedings, the parties may file further pleadings or amendments to pleadings as they desirein accordance with this chapter. However, any pleading or amendment thereto which is filed within seven14 days prior to the date scheduled for the hearing or filed on the date of the hearing shall constitute good cause for the party adversely affected by the pleading or amendment to seek and obtain a continuance.       This rule is intended to implement Iowa Code section 17A.12.

        ITEM 9.    Amend renumbered rules 701—7.18(17A) and 701—7.19(17A) as follows:

    701—7.18(17A) Prehearing conference.      7.18(1)   Upon the motion of the presiding officer, or upon the written request of a party, the presiding officer shall direct the parties to appear at a specified time and place before the presiding officer for a prehearing conference to consider:    a.    The possibility or desirability of waiving any provisions of the Act relating to contested case proceedings by written stipulation representing an informed mutual consent;    b.    The necessity or desirability of setting a new date for hearing;    c.    The simplification of issues;    d.    The necessity or desirability of amending the pleadings either for the purpose of clarification, amplification or limitation;    e.    The possibility of agreeing to the admission of facts, documents or records not controverted, to avoid unnecessary introduction of proof;    f.    The procedure at the hearing;    g.    Limiting the number of witnesses;    h.    The names and identification of witnesses and the facts each party will attempt to prove at the hearing;    i.    Conduct or schedule of discovery; and    j.    Such other matters as may aid, expedite or simplify the disposition of the proceeding.    7.18(2)   Any action taken at the prehearing conference shall be recorded in an appropriate order, unless the parties enter uponinto a written stipulation as to such matters or agree to a statement thereof made on the record by the presiding officer.    7.18(3)   When an order is issued at the termination of the prehearing conference, a reasonable time shall be allowed for the parties to present objections on the grounds that the order does not fully or correctly embody the agreementsmade at such conference. Thereafter, the terms of the order or modification thereof shall determine the subsequent course of the proceedings relative to matters the order includes, unless modified to prevent manifest injustice.    7.18(4)   If either party to the contested case proceeding fails to appear at the prehearing conference, fails to requestwithout requesting a continuance, or fails to submitand without submitting evidence or arguments which the party wishes to be considered in lieu of appearance, the opposing party may move for dismissal. The motion shall be made in accordance with subrule 7.17(5)7.19(5).       This rule is intended to implement Iowa Code section 17A.12.

    701—7.19(17A) Contested case proceedings.      7.19(1) Evidentiary hearing.  Unless the parties to a contested case proceeding have, by written stipulation representing an informed mutual consent, waived the provisions of the Act relating to such proceedings, contested case proceedings shall be initiated and culminate in an evidentiary hearing open to the public.    a.    Evidentiary hearings in which the presiding officer is an administrative law judge employed by the division of administrative hearings shall be held at the location designated in the notice of evidentiary hearing. Generally, the location for evidentiary hearings in such cases will be at the principal office of the Department of Inspections and Appeals, Administrative Hearings Division, Third Floor, Wallace State Office Building, Des Moines, Iowa 50319.    b.    If the director retains a contested case, the location for the evidentiary hearing will generally be at the main office of the department at the Hoover State Office Building, FourthFirst Floor, Des Moines, Iowa 5030950319. However, the department retains the discretion to change the location of the evidentiary hearing if necessary. The location of the evidentiary hearing will be designated in the notice of hearing issued by the director.    7.19(2) Determination of presiding officer.  If the director retains a contested case for evidentiary hearing and the department is a party, the initial presiding officer will be the director. If the department is not a party to the contested case retained by the director, the presiding officer may be the director or the director’s designee. Upon determining that a case will be retained and not transferred to the division of administrative hearings, the director shall issue to the parties written notification of the determination which states the basis for retaining the case for evidentiary hearing.    a.    The director may determine to retain a contested case for evidentiary hearing and decision upon the filing by the department of its answer under rule 701—7.12(17A)701—7.14(17A). If the answer failed to allege that the case should be retained by the director and the case was transferred to the division of administrative hearings for contested case proceedings, either party may, within a reasonable time after the issuance of the hearing notice provided in rule 701—7.14(17A)701—7.16(17A), make application to the director to recall and retain the case for hearing and decision. Any such application shall be served upon the assigned administrative law judge or presiding officer.    b.    A protestertaxpayer may file a written objection to the director’s determination to retain the case for evidentiary hearing and may request that the contested case be heard by an administrative law judge or presiding officer and request a hearing on the objection. Such an objection must be filed with the clerk of the hearings sectionby email to the address provided in paragraph 7.3(1)“b,” by mail via the United States Postal Service or common carrier by ordinary, certified, or registered mail in care of the clerk to the address listed in paragraph 7.3(1)“c,” or by personal service to the department’s customer service desk as described in paragraph 7.3(1)“d” within 20 days of the notice issued by the director of the director’s determination to retain the case. The director may retain the case only upon a finding that one or more of the following apply:    (1)   There is a compelling need to expedite issuance of a final decision in order to protect the public health, safety and welfare;    (2)   A qualified administrative law judge is unavailable to hear the case within a reasonable time;    (3)   The case involves significant policy issues of first impression that are inextricably intertwined with the factual issues presented;    (4)   The demeanor of the witnesses is likely to be dispositive in resolving the disputed factual issues;    (5)   The case involves an issue or issues the resolution of which would create important precedent;    (6)   The case involves complex or extraordinary questions of law or fact;    (7)   The case involves issues or questions of law or fact that, based on the director’s discretion, should be retained by the director;    (8)   Funds are unavailable to pay the costs of an administrative law judge and an interagency appeal;    (9)   The request was not timely filed;    (10)   The request is not consistent with a specified statute; andor    (11)   Assignment of an administrative law judge will result in lengthening the time for issuance of a proposed decision, after the case is submitted, beyond a reasonable time as provided in subrule 7.17(8)7.19(8). In making this determination, the director shall consider whether the assigned administrative law judge has a current backlog of submitted cases for which decisions have not been issued for one year after submission.    c.     The director shall issue a written rulingorder specifying the grounds for the decision within 20 days after a request for an administrative law judge is filed. If a party objects to the director’s determination to retain a case for evidentiary hearing, transfer of the protestappeal file, if any, will be made after the director makes a final determination on the objection. If the ruling is contingent upon the availability of a qualified administrative law judge, the parties shall be notified at least ten days prior to the hearing whether a qualified administrative law judge will be available.    d.    If there is no factual conflict or credibility of evidence offered in issue, either party, after the contested case has been heard and a proposed decision is pending with a presiding officer other than the director for at least one year, may make application to the director to transfer the case to the director for decision. In addition, if the aforementioned criteria existone or more criteria listed in paragraph 7.19(2)“b” exist, the director, on the director’s own motion, may issue a notice to the parties of the director’s intention to transfer the case to the director for decision. The opposing party may file, within 20 days after service of such application or notice by the director, a resistance setting forth in detail why the case should not be transferred. If the director approves the transfer of the case, the director shall issue a final contested case decision. The director or a party may request that the parties be allowed to submit proposed findings of fact and conclusions of law.    e.    The director has the right to require that any presiding officer, other than the director, be a licensed attorney in the state of Iowa, unless the contested case only involves licensing. In addition, any presiding officer must possess, upon determination by the director, sufficient technical expertise and experience in the areas of taxation and presiding over proceedings to effectively determine the issues involved in the proceeding.    f.    Except as provided otherwise by another provision of law, all rulings by an administrative law judge acting as presiding officer are subject to appeal to the director.    7.19(3) Conduct of proceedings.      a.    A proceeding shall be conducted by a presiding officer who shall:    (1)   Open the record and receive appearances;    (2)   Administer oaths and issue subpoenas;    (3)   Enter the notice of hearing into the record;    (4)   Receive testimony and exhibits presented by the parties;    (5)   In the presiding officer’s discretion, interrogate witnesses;    (6)   Rule on objections and motions;    (7)   Close the hearing; and    (8)   Issue an order containing findings of fact and conclusions of law.    b.    The presiding officer may resolve preliminary procedural motions by telephone conference in which all parties have an opportunity to participate. Other telephone proceedings may be held with the consent of all parties. The presiding officer will determine the location of the parties and witnesses for telephone hearing. The convenience of the witnesses or parties, as well as the nature of the case, will be considered when location is chosen. Parties shall be notified at least 30 days in advance of the date and place of the hearing.    c.    Evidentiary proceedings shall be oral,and open to the public, and shall be recorded either by electronic means or by certified shorthand reporters. Parties requesting that the hearing be recorded by certified shorthand reporters shall bear the appropriate costsof reporting. The record of the oral proceedings or the transcription thereof shall be filed with and maintained by the department for at least five years from the date of the decision. An opportunity shall be afforded to the parties to respond and present evidence and argument on all issues involved and to be represented by counsel at their own expense. Unless otherwise directed by the presiding officer, evidence will be received in the following order: (1) protestertaxpayer, (2) intervenor (if applicable), (3) department, (4) rebuttal by protestertaxpayer, (5) oral argument by parties (if necessary).    d.    If the protestertaxpayer or the department appears without counsel or other representative who can reasonably be expected to be familiar with these rules, the presiding officer shall explain to the parties the rules of practice and procedure and generally conduct a hearing in a less formal manner than that used when the parties have such representatives appearing upon the parties’ behalfcounsel or representation. It should be the purpose of the presiding officer to assist any party appearing without such representative to the extent necessary to allow the party to fairly present evidence, testimony, and argumentsargument on the issues. The presiding officer shall take whatever steps may be necessary and proper to ensure that all evidence having probative value is presented and that each party is accorded a fair hearing.    e.    If the parties have mutually agreed to waive the provisions of the Act in regard to contested case proceedings, the hearing will be conducted in a less formal manner than when an evidentiary hearing is conducted.    f.    If a party fails to appear in a contested case proceeding after proper service of notice, the presiding officer may, upon the presiding officer’s own motion or upon the motion of the party who has appeared, adjourn the hearing, enter a default decision, or proceed with the hearing and make a decision on the merits in the absence of the party.    g.    Contemptuous conduct by any person appearing at a hearing shall be grounds for the person’s exclusion from the hearing by the presiding officer.    h.    A stipulation by the parties of the issues or a statement of the issues in the notice commencing the contested case cannot be changed by the presiding officer without the consent of the parties. The presiding officer shall not, on the presiding officer’s own motion, change or modify the issues agreed upon by the parties. Notwithstanding the provisions of this paragraph, a party, within a reasonable time prior to the hearing, may request that a new issue be addressed in the proceedings, except that the request cannot be made after the parties have stipulated to the issues.    7.19(4) Rules of evidence.  In evaluating evidence, the department’s experience, technical competence, and specialized knowledge may be utilized.    a.    Oath.All testimony presented before the presiding officer shall be given under oath, which the presiding officer has authority to administer.    b.    Production of evidence and testimony.The presiding officer may issue subpoenas to a party on request, as permitted by law, compelling the attendance of witnesses and the production of books, papers, records, or other real evidence.    c.    Subpoena.When a subpoena is desired after the commencement of a contested case proceeding, the proper party shall indicate to the presiding officer the name of the case, the docket number, and the last-knownmailing addresses of the witnesses to be called. If evidence other than oral testimony is required, each item to be produced must be adequately described. When properly prepared by the presiding officer, the subpoena will be returned to the requesting party for service. Service may be made in any manner allowed by law before the hearing date of the case which the witness is required to attend. No costs for serving a subpoena will be allowed if the subpoena is served by any person other than the sheriff. Subpoenas requested for discovery purposes shall be issued by the presiding officer.    d.    Admissibility of evidence.    (1)   Evidence having probative value.     1.   Although the presiding officer is not bound to follow the technical common law rules of evidence, a finding shall be based upon the kind of evidence on whicha reasonably prudent persons are accustomed toperson would rely for the conduct of theirthe person’s serious affairs, and may be based upon such evidence even if it would be inadmissible in a jury trial. Therefore, the presiding officer may admit and give probative effect to evidence on whicha reasonably prudent persons are accustomed toperson would rely for the conduct of theirthe person’s serious affairs. Irrelevant, immaterial, or unduly repetitious evidence shall be excluded. The presiding officer shall give effect to the rules of privilege recognized by law. Evidence not provided to a requesting party through discovery shall not be admissible at the hearing. Subject to these requirements, when a hearing will be expedited and the interests of the parties will not be prejudiced, substantially any part of the evidence may be required to be submitted in verified written form by the presiding officer.    2.   Objections to evidentiary offers may be made at the hearing, and the presiding officer’s ruling thereon shall be noted in the record.    (2)   Evidence of a federal determination. Evidence of a federal determination such as a treasury department ruling, regulation or determination letter,; a federal court decision; or an Internal Revenue Service assessment relating to issues raised in the proceeding shall be admissible, and the protestertaxpayer shall be presumed to have conceded the accuracy of the federal determination unless the protestertaxpayer specifically states wherein it is erroneous.    (3)   Copies of evidence. A copy of any book, record, paper or document may be offered directly in evidence in lieu of the original, if the original is not readily available or if there is no objection. Upon request, the parties shall be given an opportunity to compare the copy with the original, if available.    (4)   Stipulations. Approval of the presiding officer is not required for stipulations of the parties to be used in contested case proceedings. In the event the parties file a stipulation in the proceedings, the stipulation shall be binding on the parties and the presiding officer.    e.    ExhibitsIdentification of exhibits.(1)   Identification of exhibits. Exhibits which are offered by protesterstaxpayers and attached to a stipulation or entered in evidence shall be numbered serially, i.e., 1, 2, 3, etc.; whereas, exhibits offered by the department shall be lettered serially, i.e., A, B, C, etc.; and those offered jointly shall be numbered and lettered, i.e., 1-A, 2-B, 3-C, etc.    (2)   Disposition of exhibits. After an order has become final, either party desiring the return, at the party’s expense, of any exhibit belonging to the party shall make application in writing to the clerk of the hearings section within 30 days suggesting a practical manner of delivery; otherwise, exhibits may be disposed of as the clerk of the hearings section deems advisable.    f.    Official notice.The presiding officer may take official notice of all facts of which judicial notice may be takenand of other facts within the specialized knowledge of the department. Parties shall be notified at the earliest practicable time, either before or during the hearing, or by reference in preliminary reports, preliminary decisions, or otherwise, of the facts proposed to be noticed and their source, including any staff memoranda or data. The parties shall be afforded an opportunity to contest such facts prior to the issuance of the decision in the contested case proceeding unless the presiding officer determines as a part of the record or decision that fairness to the parties does not require an opportunity to contest such facts.    g.    Evidence outside the record.Except as provided by these rules, the presiding officer shall not consider factual information or evidence in the determination of any proceeding unless the same shall have been offered and made a part of the record in the proceeding.    h.    Presentation of evidence and testimony.In any hearing, each party theretoin attendance shall have the right to present evidence and testimony of witnesses and to cross-examine any witness who testifies on behalf of an adverse party. A person whose testimony has been submitted in written form shall, if available, also be subject to cross-examination by an adverse party. Opportunity shall be afforded each party for re-direct examination and re-cross-examination and to present evidence and testimony as rebuttal to evidence presented by another party, except that unduly repetitious evidence shall be excluded.    i.    Offer of proof.An offer of proof may be made through the witness or by statement of counsel. The party objecting may cross-examine the witness without waiving any objection.    7.19(5) Motions.      a.    Filing of motions after commencement of contested case proceedings.After commencement of contested case proceedings, appropriate motions may be filedwith the presiding officer by any party with the presiding officer when facts requiring such motion come to the knowledge of the party. All motions shall state the relief sought and the grounds upon which the motions are based.    b.    Service, rulings.Motions made prior to a hearing shall be in writing and a copy thereof served on all parties and attorneys of record. Such motions shall be ruled on by the presiding officer. The presiding officer shall rule on the motion by issuing an order. A copy of the order containing the ruling on the motion shall be mailed to the parties and authorized representatives. A motion may be made orally during the course of a hearing; however, the presiding officer may request that the motion be reduced to writing and filed with the presiding officer.    c.    Consent of the opposing party, burden.To avoid a hearing on a motion, it is advisable to secure the consent of the opposing party prior to filing the motion. If consent of the opposing party to the motion is not obtained, a hearing on the motion may be scheduled and the parties notified. The burden will be on the party filing the motion to show good causeas to why the motion should be granted.    d.    Affidavits.The party making the motion may affix thereto such affidavits as are deemed essential to the disposition of the motion, which shall be served with the motion and to which the opposing party may reply with counter affidavits.    e.    Types of motions.Types of motions. Types of motions include, but are not limited to:    (1)   Motion for continuance. Motions for continuance should be filed no later than ten days before the scheduled date of the contested case hearing unless the grounds for the motion are first known to the moving party within ten days of the hearing, in which case the motion shall be promptly filed and shall set forth why it could not be filed at least ten days prior to the hearing. Grounds for motion for continuance include, but are not limited to, the unavailability of a party, a party’s representative, or a witness,; the incompletion of discovery,; and the possibility of settlement of the case.    (2)   Motion for dismissal.    (3)   Motion for summary judgment.    (4)   Motion to deleteredact identifying details in the decision.    (5)   Motion for default.    (6)   Motion to vacate default.    f.    Hearing on motions.Hearing on motions. Motions subsequent to the commencement of a contested case proceeding shall be determined by the presiding officer.    g.    Summary judgment procedure.Summary judgment procedure. Summary judgment may be obtained under the following conditions and circumstances:    (1)   A party may, after a reasonable time to complete discovery, after completion of discovery, or by agreement of the parties, move, with or without supporting affidavits, for a summary judgment in the party’s favor upon all or any part of a party’s claim or defense.    (2)   The motion shall be filed not less than 45 days prior to the date the case is set for hearing, unless otherwise ordered by the presiding officer. Any party resisting the motion shall filethe following within 30 days from the time of service of the motion: a resistance;a statement of disputed facts, if any; anda memorandum of authorities supporting the resistance. If affidavits supporting the resistance are filed, they must be filed with the resistance. The time fixed for hearing or normal submission on the motion shall be not less than 35 days after the filing of the motion, unless another time is ordered by the presiding officer. The judgment sought shall be rendered forthwith if the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law.    (3)   Upon any motion for summary judgment pursuant to this rule, there shall be affixed to the motion a separate, short, and concise statement of the material facts as to which the moving party contends there is no genuine issue to be tried, including specific reference to those parts of the pleadings, depositions, answers to interrogatories, admissions on file, and affidavits which support such contentions and a memorandum of authorities.    (4)   Supporting and opposing affidavits shall set forth such facts as would be admissible in evidence and shall show affirmatively that the affiant is competent to testify to the matters stated therein. The presiding officer may permit affidavits to be supplemented or opposed by depositions, answers to interrogatories, further affidavits, or oral testimony. When a motion for summary judgment is made and supported as provided in this rule, an adverse party may not rest upon the mere allegations or denials of the party’s pleading, but the party’s response must set forth specific facts, by affidavits or as otherwise provided in this rule, showing that there is a genuine issue for hearing. If the party does not so respond, summary judgment, if appropriate, shall be entered against the party.    (5)   If, on motion under this rule, judgment is not rendered upon the whole case or for all the relief asked and a hearing is necessary, the presiding officer at the hearing of the motion, by examining the pleadings and the evidence before the presiding officer and by interrogating counsel, shall, if practicable, ascertain what material facts exist without substantial controversy and what material facts are actually, and in good faith, controverted. The presiding officer shall thereupon make an order specifying the facts that appear without substantial controversy, including the extent to which the amount or other relief is not in controversy, and directing such further proceedings in the action as are just. Upon the hearing of the contested case, the facts so specified shall be deemed established, and the hearing shall be conducted accordingly.    (6)   Should it appear from the affidavits of a party opposing the motion that the party cannot for reasons stated present, by affidavit, facts essential to justify the party’s opposition, the presiding officer may refuse the application for judgment, may order a continuance to permit affidavits to be obtained, may order depositions be taken or discovery be completed, or may make any other order appropriate.    (7)   An order on summary judgment that disposes of less than the entire case is appealable to the director at the same time that the proposed order is appealable pursuant to subrule 7.17(8)7.19(8).    7.19(6) Briefs and oral argument.      a.    At any time, upon the request of any party or in the presiding officer’s discretion, the presiding officer may require the filing of briefs on any of the issues before the presiding officer prior to or at the time of hearing, or at a subsequent time. At the hearing, the parties should be prepared to make oral arguments as to the facts and law at the conclusion of the hearing if the presiding officer so directs.    b.    An originalA copy only of all briefs shall be filed. Filed briefs shall conform to the requirements of rule 701—7.5(17A)subrules 7.5(1) and 7.5(2).    c.    If the parties agree on a schedule for submission of briefs, the schedule shall be binding on the parties and the presiding officer except that, for good cause shown, the time may be extended upon application of a party.    7.19(7) Defaults.  If a party fails to appear or participate in a contested case proceeding after proper service of notice, the presiding officer may, if no adjournment is granted, enter a default decision or proceed with the hearing and render a decision in the absence of the party.    a.    Where appropriate and not contrary to law, any party may move for default against a party who has failed to file a required pleading or has failed to appear after proper service.    b.    A default decision or a decision rendered on the merits after a party failed to appear or participate in a contested case proceeding becomes a final department action unless, within 15 days after the date of notification or mailing of the decision, a motion to vacate is filed and served on all parties or an appeal of a decision on the merits is timely initiated within the time provided in subrule 7.17(8)7.19(8). A motion to vacate must state all facts relied upon by the moving party which establish that good cause existed for that party’s failure to appear or participate at the contested case proceeding. Each fact so stated must be substantiated by at least one sworn affidavit of a person with personal knowledge of each such fact, and such affidavit(s) must be attached to the motion.    c.    The time for further appeal of a decision for which a timely motion to vacate has been filed is stayed pending a decision on the motion to vacate.    d.    Properly substantiated and timely filed motions to vacate shall be granted only for good cause shown. The burden of proof as to good cause is on the moving party. Adverse parties shall have ten days to respond to a motion to vacate. Adverse parties shall be allowed to conduct discovery as to the issue of good cause and to present evidence on the issue prior to a decision on the motion, if a request to do so is included in that party’s response.    e.    “Good cause” for purposes of this rule shall have the same meaning as “good cause” as interpreted in the case of Purethane, Inc. v. Iowa State Board of Tax Review, 498 N.W.2d 706 (Iowa 1993)For purposes of this rule, “good cause” shall mean the same as “good cause” in Iowa Rule of Civil Procedure 1.977.    f.    A decision denying a motion to vacate is subject to further appeal within the time limit allowed for further appeal of a decision on the merits in the contested case proceeding. A decision granting a motion to vacate is subject to interlocutory appeal by the adverse party as provided in subrule 7.17(13)7.19(13).    g.    If a motion to vacate is granted and no timely interlocutory appeal has been taken, the presiding officer shall issue another notice of hearing and the contested case shall proceed accordingly.    h.    A default decision may award any relief consistent with the request for relief by the party in whose favor the default decision is made and embraced in the contested case issues; but unless the defaulting party has appeared, the relief awarded cannot exceed the relief demanded.    i.    A default decision may provide either that the default decision is to be stayed pending a timely motion to vacate or that the default decision is to take effect immediately, subject to a request for a stay.    7.19(8) Orders.      a.    At the conclusion of the hearing, the presiding officer, in the presiding officer’s discretion, may request the parties to submit proposed findings of fact and conclusions of law. Upon the request of any party, the presiding officer shall allow the parties an opportunity to submit proposed findings of fact and conclusions of law. In addition to or in lieu of the filing of briefs, upon the request of all of the parties waiving any contrary contested case provisions of law or of these rules, the presiding officer shall allow the parties to submit proposed findings of fact and conclusions of law, and the presiding officer may sign and adopt as the decision or proposed decision one of such proposed findings of fact and conclusions of law without any changes.    b.    The decision in a contested case is an order which shall be in writing or stated in the record. The order shall include findings of fact prepared by the person presiding at the hearingofficer, unless the personpresiding officer is unavailable, and based solely on the evidence in the record and on matters officially noticed in the record, and shall include conclusions of law. The findings of fact and conclusions of law shall be separately stated. If a party has submitted proposed findings of fact, the order shall include a ruling upon each proposed finding. Each conclusion of law shall be supported by cited authority or by a reasoned opinion. The decision must include an explanation of why the relevant evidence in the record supports each material finding of fact. If the issue of reasonable litigation costs was held in abeyance pending the outcome of the substantive issues in the contested case and the proposed order decides substantive issues in favor of the protestertaxpayer, the proposed order shall include a notice of time and place for a hearing on the issue of whether reasonable litigation costs shall be awarded and on the issue of the amount of such award, unless the parties agree otherwise. All decisions and orders in a contested case proceeding shall be based solely on the legal bases and arguments presented by the parties. In the event that the presiding officer believes that a legal basis or argument for a decision or order exists, but has not been presented by the parties, the presiding officer shall notify the parties and give them an opportunity to file a brief that addresses such legal basis or argument.    c.    When a motion has been made to deleteredact identifying details in an order on the basis of personal privacy or trade secrets, the justification for such deletionredaction or refusal to deleteredact shall be made by the moving party and shall appear in the order.    d.    When the director initially presides at a hearing or considers decisions on appeal from or review of a proposed decision by the presiding officer other than the director, the order becomes the final order of the department for purposes of judicial review or rehearing unless there is an appeal to or review on motion of a second agency within the time provided by statute or rule. When a presiding officer other than the director presides at the hearing, the order becomes the final order of the department for purposes of judicial review or rehearing unless there is an appeal to or review on motion of the director within 30 days of the date of the order, including Saturdays, Sundays, and legal holidays, or 10 days, excluding Saturdays, Sundays, and legal holidays, for a revocation order pursuant to rule 701—7.23(17A)701—7.39(17A). However, if the contested case proceeding involves a question of an award of reasonable litigation costs, the proposed order on the substantive issues shall not be appealable to or reviewable by the director on the director’s motion until the issuance of a proposed order on the reasonable litigation costs. If there is no such appeal or review within 30 days or 10 days, whichever is applicable, from the date of the proposed order on reasonable litigation costs, both the proposed order on the substantive issues and the proposed order on the reasonable litigation costs become the final orders of the department for purposes of judicial review or rehearing. On an appeal from, review of, or application for rehearing concerning the presiding officer’s order, the director has all the power which the director would initially have had in making the decision; however, the director will consider only those issues or selected issues presented at the hearing before the presiding officer or any issues of fact or law raised independently by the presiding officer, including the propriety of and the authority for raising issues. The parties will be notified of those issues which will be considered by the director.    e.    Notwithstanding the provisions of this rule, where a presiding officer other than the director issues an interlocutory decision or ruling which does not dispose of all the issues, except reasonable litigation costs, in the contested case proceeding, the party adversely affected by the interlocutory decision or ruling may apply to the director within 20 days (10 days for a revocation proceeding) of the date of issuance of the interlocutory decision or ruling to grant an appeal in advance of the proposed decision. The application shall be served on the parties and the presiding officer. The party opposing the application shall file any resistance within 15 days of the service of the application unless, for good cause, the director extends the time for such filing. The director, in the exercise of discretion, may grant the application on finding that such interlocutory decision or ruling involves substantial rights and will materially affect the proposed decision and that a determination of its correctness before hearing on the merits will better serve the interests of justice. The order of the director granting the appeal may be on terms setting forth the course of proceedings on appeal, including advancing the appeal for prompt submission, and the order shall stay further proceedings below. The presiding officer, at the request of the director, shall promptly forward to the director all or a portion of the file or record in the contested case proceeding.    f.    In the event of an appeal to or review of the proposed order by the director, the administrative hearings division shall be promptly notified of the appeal or review by the director. The administrative hearings division shall, upon such notice, promptly forward the record of the contested case proceeding and all other papers associated with the case to the director.    g.    A decision by the director may reverse or modify any finding of fact if a preponderance of the evidence will support a determination to reverse or modify such a finding of fact, or may reverse or modify any conclusion of law that the director finds to be in error.    h.    Orders will be issued within a reasonable time after termination of the hearing. Parties shall be promptly notified of each order by delivery to them of a copy of the order by personal service, regular mail, certified mail, return receipt requested, or any other method to which the parties may agree. For example, a copy of the order can be submitted by electronic mail if both parties agree.    i.    A cross-appeal may be taken within the 30-day period for taking an appeal to the director or in any event within 5 days after the appeal to the director is taken. If a cross-appeal is taken from a revocation order pursuant to rule 701—7.23(17A)701—7.39(17A), the cross-appeal may be taken within the 10-day period for taking an appeal to the director or in any event within 5 days after the appeal to the director is taken.    j.    Upon issuance of a closing order or the proposed decision by a presiding officer other than the director, such presiding officer no longer has jurisdiction over the contested case. Thereafter, any further proceedings associated with or related to the contested case must occur before the director.    7.19(9) Stays.      a.    During the pendency of judicial review of the final contested case order of the department, the party seeking judicial review may file with the director an application for a stay. The application shall set forth in detail the reasons why the applicant is entitled to a stay and shall specifically address the following four factors:    (1)   The extent to which the applicant is likely to prevail when the court finally disposes of the matter;    (2)   The extent to which the applicant will suffer irreparable injury if the stay is not granted;    (3)   The extent to which the granting of a stay to the applicant will substantially harm the other parties to the proceedings; and    (4)   The extent to which the public interest relied on by the department is sufficient to justify the department’s actions in the circumstances.    b.    The director shall consider and balance the previously mentioned four factors and may consult with department personnel and the department’s representatives in the judicial review proceeding. The director shall expeditiously grant or deny the stay.    7.19(10) Expedited cases—when applicable.  In case a protest is filed where the case is not of precedential value and the parties desire a prompt resolution of the dispute, the department and the protester may agree to have the case designated as an expedited case.    a.    Agreement.The department and the protester shall execute an agreement to have the case treated as an expedited case. In this case, discovery is waived. The provisions of this agreement shall constitute a waiver of the rights set forth in Iowa Code chapter 17A for contested case proceedings. Within 30 days of written notice to the clerk of the hearings section sent by the parties stating that an agreement to expedite the case has been executed, the clerk of the hearings section must transfer the protest file to the division of administrative hearings.    b.    Finality of decision.A decision entered in an expedited case proceeding shall not be reviewed by the director or any other court and shall not be treated as a precedent for any other case.    c.    Discontinuance of proceedings.Any time prior to a decision’s being rendered, the taxpayer or the department may request that expedited case proceedings be discontinued if there are reasonable grounds to believe that the issues in dispute would be of precedential value.    d.    Procedure.Upon return of an executed agreement for this procedure, the department shall within 14 days file its answer to the protest. The case shall be docketed for hearing as promptly as the presiding officer can reasonably hear the matter.    7.(11) 7.19(10) Burden of proof.  The burden of proof with respect to assessments or denials of refunds in contested case proceedings is as follows:    a.    The department must carry the burden of proof by clear and convincing evidence as to the issue of fraud with intent to evade tax.    b.    The burden of proof is on the department for any tax periods for which the assessment was not made within six years after the return became due, excluding any extension of time for filing such return, except where the department’s assessment is the result of the final disposition of a matter between the taxpayer and the Internal Revenue Service or where the taxpayer and the department signed a waiver of the statute of limitations to assess.    c.    The burden of proof is on the department as to any new matter or affirmative defense raised by the department. “New matter” means an adjustment not set forth in the computation of the tax in the assessment or refund denial, as distinguished from a new reason for the assessment or refund denial. “Affirmative defense” is a defense resting on facts not necessary to support the taxpayer’s case.    d.    In all instances where the burden of proof is not expressly placed upon the department by this subrule, the burden of proof is upon the protestertaxpayer.    7.(12) 7.19(11) Costs.      a.    A prevailing taxpayer in a contested case proceeding related to the determination, collection, or refund of a tax, penalty, or interest may be awarded by the department reasonable litigation costs incurred subsequent to the issuance of the notice of assessment or refund denial that are based upon the following:    (1)   The reasonable expenses of expert witnesses.    (2)   The reasonable costs of studies, reports, and tests.    (3)   The reasonable fees of independent attorneys or independent accountants retained by the taxpayer. No such award is authorized for accountants or attorneys who represent themselves or who are employees of the taxpayer.    b.    An award for reasonable litigation costs shall not exceed $25,000 per case.    c.    No award shall be made for any portion of the proceeding which has been unreasonably protracted by the taxpayer.    d.    For purposes of this subrule, “prevailing taxpayer” means a taxpayer who establishes that the position of the department in the contested case proceeding was not substantially justified and who has substantially prevailed with respect to the amount in controversy, or has substantially prevailed with respect to the most significant issue or set of issues presented. If the position of the department in issuance of the assessment or refund denial was not substantially justified and if the matter is resolved or conceded before the contested case proceeding is commenced, there cannot be an award for reasonable litigation costs.    e.    The definition of “prevailing taxpayer” is taken from the definition of “prevailing party” in 26 U.S.C. §7430. Therefore, federal cases determining whether the Internal Revenue Service’s position was substantially justified will be considered in the determination of whether a taxpayer is entitled to an award of reasonable litigation costs to the extent that 26 U.S.C. §7430 is consistent with Iowa Code section 421.60(4).    f.    The taxpayer has the burden of establishing the unreasonableness of the department’s position.    g.    Once a contested case has commenced, a concession by the department of its position or a settlement of the case either prior to the evidentiary hearing or any order issued does not, per se, either authorize an award of reasonable litigation costs or preclude such award.    h.    If the department relied upon information provided or action conducted by federal, state, or local officials or law enforcement agencies with respect to the tax imposed by Iowa Code chapter 453B, an award for reasonable litigation costs shall not be made in a contested case proceeding involving the determination, collection, or refund of that tax.    i.    The taxpayer who seeks an award of reasonable litigation costs must specifically request such award in the protestappeal, or the request for award will not be considered.    j.    A request for an award of reasonable litigation costs shall be held in abeyance until the concession or settlement of the contested case proceeding, or the issuance of a proposed order in the contested case proceeding, unless the parties agree otherwise.    k.    At the hearing held for the purpose of deciding whether an award for reasonable litigation costs should be awarded, consideration shall be given to the following points:    (1)   Whether the department’s position was substantially justified;    (2)   Whether the protestertaxpayer is the prevailing taxpayer;    (3)   Whether the taxpayer has established how the alleged reasonable litigation costs were incurred.The burden is upon the protestertaxpayer to establish how the alleged reasonable litigation costs were incurred. This requires a detailed accounting of the nature of each cost, the amount of each cost, and to whom the cost was paid or owed;    (4)   Whether alleged litigation costs are reasonable or necessary;    (5)   Whether the protestertaxpayer has met the protester’staxpayer’s burden of demonstrating all of these points.    7.(13) 7.19(12) Interlocutory appeals.      a.    Upon written request of a party or on the director’s own motion, the director may review an interlocutory order of the presiding officer. In determining whether to do so, the director shall weigh the extent to which granting the interlocutory appeal would expedite final resolution of the case and the extent to which review of that interlocutory order by the director at the time of the review of the proposed decision of the presiding officer would provide an adequate remedy. Any request for interlocutory review must be filed within 14 days of issuance of the challenged order, but no later than the time for compliance with the order or the date of hearing, whichever is first.    b.    Interlocutory appeals do not apply to licensing.    7.(14) 7.19(13) Consolidation and severance.      a.    Consolidation.Consolidation. The presiding officer may consolidate any or all matters at issue in two or more contested case proceedings where:    (1)   The matters at issue involve common parties or common questions of fact or law;    (2)   Consolidation would expedite and simplify consideration of the issues involved; and    (3)   Consolidation would not adversely affect the rights of any of the parties to those proceedings.    b.    Severance.Severance. The presiding officer may, for good cause shown, order any contested case proceedings or portions thereof severed.    c.    Stipulations.Since stipulations are encouraged, it is expected and anticipated that the parties proceeding to a hearing will stipulate to evidence to the fullest extent to which complete or qualified agreement can be reached including all material facts that are not, or should not be, fairly in dispute.    d.    Informal disposition.Without the necessity of proceeding to an evidentiary hearing in a contested case, the parties may agree in writing to informally dispose of the case by stipulation, agreed settlement, or consent order or by another method agreed upon. If such informal disposition is utilized, the parties shall so indicate to the presiding officer that the case has been settled. Upon request, the presiding officer shall issue a closing order to reflect such a disposition. The contested case is terminated upon issuance of a closing order.    e.    Mutual waivers.Unless otherwise precluded by law, the parties in a contested case proceeding may mutually agree to waive any provision under this rule governing contested case proceedings.       This rule is intended to implement Iowa Code sections 17A.12, 17A.14, 17A.15, 421.60 and 452A.68.

        ITEM 10.    Rescind rule 701—7.21(17A).

        ITEM 11.    Renumber existing rule 701—7.22(17A) as 701—7.23(17A).

        ITEM 12.    Amend renumbered rules 701—7.21(17A) and 701—7.22(17A) as follows:

    701—7.21(17A) Record and transcript.      7.21(1)   The record in a contested case shall include:    a.    All pleadings, motions, and rulings;    b.    All evidence received or considered and all other submissions;    c.    A statement of all matters officially noticed;    d.    All questions and offers of proof, objections, and rulings thereon;    e.    All proposed findings and exceptions;    f.    All orders of the presiding officer; and    g.    The order of the director on appeal or review.    7.21(2)   Oral hearings regarding proceedings on appeal to or considered on motion of the director which are recorded by electronic means shall not be transcribed for the record of such appeal or review unless a party, by written notice, or the director, orally or in writing, requests such transcription. Such a request must be filed with the clerk of the hearings section who will be responsible for making the transcript. A transcription will be made only of that portion of the oral hearing relevant to the appeal or review, if so requested and if no objection is made by any other party to the proceeding or the director. Upon request, the department shall provide a copy of the whole record or any portion of the record at cost. The cost of preparing a copy of the record or of transcribing the hearing record shall be paid by the requesting party.    7.21(3)   Parties who request that a hearing be recorded by certified shorthand reporters rather than by electronic means shall bear the cost of that recordationrecording, unless otherwise provided by law.    7.21(4)   Upon issuance of a proposed decision which leaves no issues open for further consideration or upon issuance of a closing order, the administrative hearings division shall promptly forward the record of a contested case proceeding to the director. However, the administrative hearings division may keep the tapes of any evidentiary proceeding in case a transcript of the proceeding is required and, if one is required, the administrative hearings division shall make the transcription and promptly forward the tapes and the transcription to the director.       This rule is intended to implement Iowa Code section 17A.12.

    701—7.22(17A) Application for rehearing.  Any party to a contested case may file an application with the director for a rehearing in the contested case, stating the specific grounds therefor and the relief sought. The application must be filed within 20 days after the final order is issued. See subrule 7.17(8)7.19(8) as to when a proposed order becomes a final order. A copy of such application shall be timely mailed by the applicant to all parties in conformity with rule 701—7.21(17A)701—7.3(17A). The director shall have 20 days from the filing of the application for rehearing to grant or deny the application. If the application for rehearing is granted, a notice will be served on the parties stating the time and place of the rehearing. An application for rehearing shall be deemed denied if not granted by the director within 20 days after filing.    7.22(1)   The application for rehearing shall contain a caption in the following form:BEFORE THE DEPARTMENT OF REVENUEHOOVER STATE OFFICE BUILDINGDES MOINES, IOWAIN THE MATTER OF _________________*(state taxpayer’s name and address and designate type of proceeding, e.g., income tax refund claim)*APPLICATION FOR REHEARING*Docket No. ___________________*    7.22(2)   The application for rehearing shall substantially state in separate numbered paragraphs the following:    a.    Clear and concise statements of the reasons for requesting a rehearing and each and every error which the party alleges to have been committed during the contested case proceedings;    b.    Clear and concise statements of all relevant facts upon which the party relies;    c.    Reference to any particular statute or statutes and any rule or rules involved;    d.    The signature of the party or that of the party’s representative, the address of the party or of the party’s representative, and the telephone number of the party or the party’s representative.    7.22(3)   No applications for rehearing shall be filed with or entertained by an administrative law judge.       This rule is intended to implement Iowa Code section 17A.16.

        ITEM 13.    Amend renumbered rule 701—7.23(17A) as follows:

    701—7.23(17A) Ex parte communications and disqualification.      7.23(1) Ex parte communication.  A party that has knowledge of a prohibited communication by any party or presiding officer should file a copy of the written prohibited communication or a written summary of the prohibited oral communication with the clerk of the hearings section. The clerk of the hearings section will transfer to the presiding officer the filed copy of the prohibited communication.    a.    Prohibited communications.Unless required for the disposition of ex parte matters specifically authorized by statute, following issuance of the notice of hearing, there shall be no communication, directly or indirectly, between the presiding officer and any party or representative of any party or any other person with a direct or indirect interest in such case in connection with any issue of fact or law in the case except upon notice and opportunity for all parties to participate. This does not prohibit persons jointly assigned such tasks from communicating with each other. Nothing in this provision is intended to preclude the presiding officer from communicating with members of the department or seeking the advice or help of persons other than those with a personal interest in, or those engaged in personally investigating as defined in this rule, prosecuting, or advocating in, either the case under consideration or a pending factually related case involving the same parties as long as those persons do not directly or indirectly communicate to the presiding officer any ex parte communications they have received of a type that the presiding officer would be prohibited from receiving or that furnish, augment, diminish, or modify the evidence in the record. Prohibitions on ex parte communications commence with the issuance of the notice of hearing in a contested case and continue for as long as the case is pending.    b.    “Ex parte” communication defined.Written, oral or other forms of communication are “ex parte” if made without notice and opportunity for all parties to participate.    c.    How to avoid prohibited communications.To avoid prohibited ex parte communications, notice must be given in a manner reasonably calculated to give all parties a fair opportunity to participate. Notice of written communications shall be provided in compliance with this chapter and may be supplemented by telephone, facsimile, electronic mail, or other means of notification. Where permitted, oral communications may be initiated through conference telephone calls including all parties or their representatives.    d.    Joint presiding officers.Persons who jointly act as presiding officer in a pending contested case may communicate with each other without notice or opportunity for parties to participate.    e.    Advice to presiding officer.Persons may be present in deliberations or otherwise advise the presiding officer without notice or opportunity for parties to participate as long as the parties are not disqualified from participating in the making of a proposed or final decision under any provision of law and the parties comply with these rules.    f.    Procedural communications.Communications with the presiding officer involving uncontested scheduling or procedural matters do not require notice or opportunity for parties to participate. Parties should notify other parties prior to initiating such contact with the presiding officer when feasible and shall notify other parties when seeking to continue hearings or other deadlines.    g.    Disclosure of prohibited communications.A presiding officer who receives a prohibited ex parte communication during the pendency of a contested case must initially determine if the effect of the communication is so prejudicial that the presiding officer should be disqualified. If the presiding officer determines that disqualification is warranted, a copy of any prohibited written communication, all written responses to the communication, a written summary stating the substance of any prohibited oral or other communication not available in written form for disclosure, all responses made, and the identity of each person from whom the presiding officer received a prohibited ex parte communication, shall be submitted for inclusion in the record under seal by protective order. If the presiding officer determines that disqualification is not warranted, such documents shall be submitted for inclusion in the record and served on all parties. Any party desiring to rebut the prohibited communication must be allowed the opportunity to do so upon written request filed within ten days after notice of the communication.    h.    Disclosure by presiding officer.Promptly afterreceiving the communication or being assigned to serve as presiding officer at any stage in a contested case proceeding, a presiding officer shall disclose to all parties material factual information received through ex parte communication prior to such assignment unless the factual information has already been or shortly will be disclosed pursuant to Iowa Code section 17A.13(2) or through discovery. Factual information contained in an investigative report or similar document need not be separately disclosed by the presiding officer as long as such documents have been or will shortly be provided to the parties.    i.    Sanction.The presiding officer may render a proposed or final decision imposing appropriate sanctions for violations of this rule, including default, a decision against the offending party, censure, suspension, or revocation of the privilege to practice before the department or the administrative hearings division. Violation of ex parte communication prohibitions by department personnel or their representatives shall be reported to the clerk of the hearings section for possible sanctions including censure, suspension, dismissal, or other disciplinary action.    7.23(2) Disqualification of a presiding officer.  Request for disqualification of a presiding officer must be filed in the form of a motion supported by an affidavit asserting an appropriate ground for disqualification. A substitute presiding officer may be appointed by the division of administrative hearings if the disqualified presiding officer is an administrative law judge. If the disqualified presiding officer is the director, the governor must appoint a substitute presiding officer.    a.    Grounds for disqualification.Grounds for disqualification. A presiding officer or other person shall withdraw from participation in the making of any proposed or final decision in a contested case if that person:    (1)   Has a personal bias or prejudice concerning a party or a representative of a party;    (2)   Has personally investigated, prosecuted, or advocated in connection with that case the specific controversy underlying that case, another pending factually related contested case, or a pending factually related controversy that may culminate in a contested case involving the same parties;    (3)   Is subject to the authority, direction, or discretion of any person who has personally investigated, prosecuted, or advocated in connection with that contested case the specific controversy underlying that contested case or a pending factually related contested case or controversy involving the same parties;    (4)   Has acted as counsel to any person who is a private party to that proceeding within the past two years;    (5)   Has a personal financial interest in the outcome of the case or any other significant personal interest that could be substantially affected by the outcome of the case;    (6)   Has a spouse or relative within the third degree of relationship that:
    1. Is a party to the case or an officer, director, or trustee of a party to the case;
    2. Is a lawyer in the case;
    3. Is known to have an interest that could be substantially affected by the outcome of the case; or
    4. Is likely to be a material witness in the case; or
        (7)   Has any other legally sufficient cause to withdraw from participation in the decision making in that case.
        b.    Personally investigated.“Personally investigated” means taking affirmative steps to interview witnesses directly or to obtain documents or other information directly. The term “personally investigated” does not include general direction and supervision of assigned investigators, unsolicited receipt of information which is relayed to assigned investigators, review of another person’s investigative work product in the course of determining whether there is probable cause to initiate a proceeding, or exposure to factual information while performing other department functions, including fact gathering for purposes other than investigation of the matter which culminates in a contested case. Factual information relevant to the merits of a contested case received by a person who later serves as presiding officer in that case shall be disclosed if required by Iowa Code section 17A.17 and these rules.    c.    Disqualification and the record.Disqualification and the record. In a situation where a presiding officer or other person knows of information which might reasonably be deemed to be a basis for disqualification and decides voluntary withdrawal is unnecessary, that person shall submit the relevant information for the record by affidavit and shall provide for the record a statement of the reasons for the determination that withdrawal is unnecessary.    d.    Motion asserting disqualification.Motion asserting disqualification.    (1)   If a party asserts disqualification on any appropriate ground, the party shall file a motion supported by an affidavit pursuant to Iowa Code section 17A.17. The motion must be filed as soon as practicable after the reason alleged in the motion becomes known to the party. If, during the course of the hearing, a party first becomes aware of evidence of bias or other grounds for disqualification, the party may move for disqualification but must establish the grounds by the introduction of evidence into the record.    (2)   If the presiding officer determines that disqualification is appropriate, the presiding officer or other person shall withdraw. If the presiding officer determines that withdrawal is not required, the presiding officer shall enter an order to that effect. A party asserting disqualification may seek an interlocutory appeal and seek a stay as provided under this chapter.
           This rule is intended to implement Iowa Code section 17A.17.

        ITEM 14.    Renumber existing rule 701—7.23(17A) as 701—7.39(17A).

        ITEM 15.    Amend rule 701—7.24(17A) as follows:

    701—7.24(17A) Declaratory order—in general.  Any oral or written advice or opinion rendered to members of the public by department personnel not pursuant to a petition for declaratory order is not binding upon the department. However, department personnel, including field personnel, ordinarily will discuss substantive tax issues with members of the public or their representatives prior to the receipt of a petition for a declaratory order, but such oral or written opinions or advice are not binding on the department. This should not be construed as preventing members of the public or their representatives from inquiring whether the department will issue a declaratory order on a particular question. In these cases, however, the name of the taxpayer shall be disclosed. The department will also discuss questions relating to certain procedural matters such as, for example, submittal of a request for a declaratory order or submittal of a petition to initiate rule-making procedures. Members of the public may, of course, seek oral technical assistance from a departmental employee in regard to the proper preparation of a return or report required to be filed with the department. Such oral advice is advisory only, and the department is not bound to recognize the advice in the examination of the return, report or records.    7.24(1) PetitionFiling a petition for declaratory order.      a.    How to submit a petition.Any person may file with the Clerk of the Hearings Section, Department of Revenue, Fourth Floor, Hoover State Office Building, Des Moines, Iowa 50319, a petition seeking a declaratory order as to the applicability to specified circumstances of a statute, rule, or order within the primary jurisdiction of the departmentusing the methods described in rule 701—7.3(17A).     b.    When a petition is considered filed.A petition is deemed filed when it is received by the clerk of the hearings sectiondepartment as described in rule 701—7.4(17A). The clerk of the hearings sectiondepartment shall provide the petitioner with a file-stamped copy of the petition if the petitioner provides the clerk of the hearings sectiondepartment with an extra copy for this purpose. The    c.    Department forms.Petitioners may use the form provided on GovConnectIowa or the form provided on the department’s website, tax.iowa.gov/forms, to submit a petition.    d.    Manually created petitions.    (1)   If not submitted using the department-provided formats, thepetition must be typewritten or legibly handwritten in ink and must substantially conform to the following form:DEPARTMENT OF REVENUEPetition by (Name of Petitioner) *PETITION FORfor a Declaratory Order on (Cite *DECLARATORY ORDERprovisions of law involved).*Docket No. ___________________*    b.    (2)   The petition must provide the following information:    (1)   1.   A clear and concise statement of all relevant facts on which the order is requested;    (2)   2.   A citation and the relevant language of the specific statutes, rules, policies, decisions, or orders, whose applicability is questioned, and any other relevant law;    (3)   3.   The questions the petitioner wants answered, stated clearly and concisely;    (4)   4.   The answers to the questions desired by the petitioner and a summary of the reasons urged by the petitioner in support of those answers;    (5)   5.   The reasons for requesting the declaratory order and disclosure of the petitioner’s interest in the outcome;    (6)   6.   A statement indicating whether the petitioner is currently a party to another proceeding involving the questions at issue and whether, to the petitioner’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity;    (7)   7.   The names and addresses of other persons, or a description of any class of persons, known by petitioner to be affected by, or interested in, the questions presented in the petition;    (8)   8.   Any request by petitioner for a meeting provided for by this rule; and    (9)   9.   Whether the petitioner is presently under audit by the department.; and    c.    10.   The petition must be dated and signed bysignature of the petitioner or the petitioner’s representativeand date of signature. It must also include the name, mailing address, and telephone number of the petitioner and of the petitioner’s representative and a statement indicating the person to whom communications concerning the petition should be directed.Petitions submitted by a representative must have a valid IDR power of attorney form or representative certification form, as applicable in accordance with rule 701—7.6(17A), on file with the department.    7.24(2) Notice of petition.  Within 15 days after receipt of a petition for a declaratory order, the clerk of the hearings sectiondepartment shall give notice of the petition to all persons not served by the petitioner to whom notice is required by any provision of law. The clerk of the hearings sectiondepartment may also give notice to any other persons.    7.24(3) Intervention.      a.    Nondiscretionary intervention.Persons who qualify under any applicable provision of law as an intervenor and who file a petition for intervention within 20 days of the filing of a petition for declaratory order, shall be allowed to intervene in a proceeding for a declaratory order.    b.    Discretionary intervention.Any person who files a petition for intervention at any time prior to the issuance of an order may be allowed to intervene in a proceeding for a declaratory order at the discretion of the department.    c.    Filing and form of petition for intervention.A petition for intervention shall be filed with the Clerk of the Hearings Section, Department of Revenue, Fourth Floor, Hoover State Office Building, Des Moines, Iowa 50319.in accordance with paragraph 7.3(1)“b,”“c,” or “d.” Such a petition is deemed filed when it is received by the clerk of the hearings sectionin accordance with rule 701—7.4(17A). The clerk of the hearings sectiondepartment will provide the petitioner with a file-stamped copy of the petition for intervention if the petitioner provides an extra copy for this purpose. A petition for intervention must be typewritten or legibly handwritten in ink and must substantially conform to the following form:DEPARTMENT OF REVENUEPetition by (Name of Original *PETITION FORPetitioner) for a Declaratory Order *INTERVENTIONon (Cite provisions of law cited in *Docket No. ___________________original Petition).*    d.    The petition for intervention must provide the following information:    (1)   Facts supporting the intervenor’s standing and qualifications for intervention;    (2)   The answers urged by the intervenor to the question or questions presented and a summary of the reasons urged in support of those answers;    (3)   Reasons for requesting intervention and disclosure of the intervenor’s interest in the outcome;    (4)   A statement indicating whether the intervenor is currently a party to any proceeding involving the questions at issue and whether, to the intervenor’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity;    (5)   The names and addresses of any additional persons, or a description of any additional class of persons, known by the intervenor to be affected by, or interested in, the questions presented;    (6)   Whether the intervenor consents to be bound by the determination of the matters presented in the declaratory order proceeding;    (7)   Whether the intervenor is presently under audit by the department; and    (8)   Consent of the intervenor to be bound by the declaratory order.    e.    (9)   The petition must be dated and signed by the intervenor or the intervenor’s representative. It must also include the name, mailing address, and telephone number of the intervenor and of the intervenor’s representative and a statement indicating the person to whom communications should be directed.Petitions for intervention submitted by a representative must have a valid IDR power of attorney form or representative certification form, as applicable in accordance with rule 701—7.6(17A), on file with the department.    f.    e.    Standing.For a petition for intervention to be allowed, the petitioner must have consented to be bound by the declaratory order and the petitioner must have standing regarding the issues raised in the petition for declaratory order.Facts described in the petition for intervention must be those supporting intervention, not related to the substantive issues in the petition. The petition for intervention must not correct facts that are in the petition for declaratory order or raise any additional facts. To have standing, the intervenor must have a legally protectible and tangible interest at stake in the petition for declaratory order under consideration by the director for which the party wishes to petition to intervene. Black’s Law Dictionary, Centennial Edition, p. 1405, citing Guidry v. Roberts, 331 So. 44, 50 (La.App.). Based on Iowa case law, the department may refuse to entertain a petition from one whose rights will not be invaded or infringed. Bowers v. Bailey, 237 Iowa 295, 21 N.W.2d 773 (1946). The department may, by rule, impose a requirement of standing upon those that seek a declaratory order at least to the extent of requiring that they be potentially aggrieved or adversely affected by the department action or failure to act. Arthur Earl Bonfield, “The Iowa Administrative Procedure Act: Background, Construction, Applicability, Public Access to Agency Law, The Rule making Process,” 60 Iowa Law Review 731, 812-13 (1975). The department adopts this requirement of standing for those seeking a petition for a declaratory order and those seeking to intervene in a petition for a declaratory order.    g.    f.    Associations.An association or a representative group is not considered to be an entity qualifying for filing a petition requesting a declaratory order on behalf of all of the association or group members. Each member of an association may not be similarly situated or represented by the factual scenario set forth in such a petition.    h.    g.    Factually distinct matters.If a party seeks to have an issue determined by declaratory order, but the facts are different from those in a petition for declaratory order that is currently under consideration by the director, the interested party should not petition as an intervenor in the petition for declaratory order currently under the director’s consideration. Instead, the party should file a separate petition for a declaratory order, and the petition should include all of the relevant facts. The director may deny a petition for intervention without denying the underlying petition for declaratory order that is involved.    7.24(4) Briefs.  The petitioner or any intervenor may file a brief in support of the position urged. The department may request a brief from the petitioner, any intervenor, or any other person concerning the questions raised in the petition.    7.24(5) Inquiries.  Inquiries concerning the status of a declaratory order proceeding may be made to the Policy and Communications DivisionLegal Services Section,Iowa Department of Revenue, Fourth Floor, Hoover State Office BuildingP.O. Box 14457, Des Moines, Iowa 50319.50306-3457; or by email to the address provided in paragraph 7.3(1)“b.”    7.24(6) Service and filing of petitions and other papers.      a.    When serviceis required.Except where otherwise provided by law, every petition for declaratory order, petition for intervention, brief, or other paper filed in a proceeding for a declaratory order shall be served upon each of the parties of record to the proceeding, and on all other persons identified in the petition for declaratory order or petition for intervention as affected by or interested in the questions presented, simultaneously with its filing. The party filing a document is responsible for service on all parties and other affected or interested persons.    b.    Filing—when required.All petitions for declaratory orders, petitions for intervention, briefs, or other papers in a proceeding for a declaratory order shall be filed with the Clerk of the Hearings Section, Department of Revenue, Hoover State Office Building, Fourth Floor, Des Moines, Iowa 50319in the same manner described in subrule 7.24(1). All petitions, briefs, or other papers that are required to be served upon a party shall be filed simultaneously with the department.    c.    Method of service, time of filing, and proof of mailing.Method of service, time of filing, and proof of mailing shall be as provided in rules 701—7.8(17A) and 701—7.21(17A)701—7.3(17A) and 701—7.4(17A).    7.24(7) Department consideration.      a.    Informal meetings.Upon request by petitioner in the petition, the department may schedule a brief and informal meeting between the original petitioner, all intervenors, and the department, a member of the department, or a member of the staff of the department to discuss the questions raised.     b.    Requests for additional information.The department may solicit additional information from the petitioner and establish a time frame for response.The department mayalso solicit comments or information from anyother person on the questions raised. Also, comments or information on the questions raised may be submitted to the department by any person.    7.24(8) Action on petition.      a.    Within 30 days after receipt of a petition for a declaratory order, the director shall take action on the petition.That action may include issuing an order, issuing a refusal, or scheduling the issuance of a decision for a later date.    b.    The date of issuance of an order or of a refusal to issue an order is as defined in rule 701—7.2(17A)the date of mailing of the order or refusal or date of delivery if service is by other means.    7.24(9) Refusal to issue order.      a.    Reasons for refusal to issue order.The department shall not issue a declaratory order where prohibited by Iowa Code section 17A.9 and may refuse to issue a declaratory order on some or all questions raised forany of the following reasons:    (1)   The petition does not substantially comply with the required form;    (2)   The petition does not contain facts sufficient to demonstrate that the petitioner will be aggrieved or adversely affected by the failure of the department to issue an order;    (3)   The department does not have jurisdiction over the questions presented in the petition;    (4)   The questions presented by the petition are also presented in a current rule making, contested case, or other department or judicial proceeding that may definitively resolve them;    (5)   The questions presented by the petition would more properly be resolved in a different type of proceeding or by another body with jurisdiction over the matter;    (6)   The facts or questions presented in the petition are unclear, overbroad, insufficient, or otherwise inappropriate as a basis upon which to issue an order;    (7)   There is no need to issue an order because the questions raised in the petition have been settled due to a change in circumstances;    (8)   The petition is not based upon facts calculated to aid in the planning of future conduct but is, instead, based solely upon prior conduct, in an effort to establish the effect of that conduct or to challenge a department decision already made;    (9)   The petition requests a declaratory order that would necessarily determine the legal rights, duties, or responsibilities of other persons who have not joined in the petition, intervened separately, or filed a similar petition and whose position on the questions presented may fairly be presumed to be adverse to that of petitioner;    (10)   The petitioner requests the department to determine whether a statute is unconstitutional on its face; or    (11)   The petition requests a declaratory order on an issue presently under investigation or audit or in rule-making proceedings or in litigation in a contested case or court proceedings.; or    (12)   The petition requests a declaratory order on an issue that would substantially prejudice the rights of a person who would be a necessary party and who does not consent in writing to the determination of the matter by a declaratory order proceeding.    b.    Action on refusal.A refusal to issue a declaratory order must indicate the specific grounds for the refusal and constitutes final department action on the petition.    c.    Filing of new petition.Refusal to issue a declaratory order pursuant to this rule does not preclude the filing of a new petition that seeks to eliminate the grounds for the department’s refusal to issue an order.    7.24(10) Contents of declaratory order, refusal; effective date.      a.    In addition to the orderruling itself, a declaratory orderor refusal must contain the date of its issuance, the name of petitioner and all intervenors, the specific statutes, rules, policies, decisions, or orders involved, the particular facts upon which it is based, and the reasons for its conclusion.    b.    A declaratory order is effective on the date of issuance.    7.24(11) Copies of orders.  A copy of all orders issued in response to a petition for a declaratory order shall be maileddelivered promptly to the original petitioner and all intervenorsor otherwise served in accordance with rule 701—7.3(17A).    7.24(12) Effect of a declaratory order.  A declaratory order has the same status and binding effect as a final order issued in a contested case proceeding. A declaratory order is binding on the department, the petitioner, and any intervenors. As to all other persons, a declaratory order serves only as precedent and is not binding on the department. The issuance of a declaratory order constitutes final department action on the petition. A declaratory order, once issued, will not be withdrawn at the request of the petitioner.    7.24(13) Prejudice or no consent.Withdrawal of the petition.  The department will not issue a declaratory order that would substantially prejudice the rights of a person who would be a necessary party and who does not consent in writing to the determination of the matter by a declaratory order proceeding.The petitioner may voluntarily dismiss its petition by notifying the department in writing at any time before the order is issued. The petitioner may not dismiss the petition after the order is issued.       This rule is intended to implement Iowa Code section 17A.9.

        ITEM 16.    Amend rule 701—7.25(17A) as follows:

    701—7.25(17A) Department procedure for rule making.      7.25(1) Applicability.  The department hereby adopts and incorporates by reference the following Uniform Rules on Agency Procedure for Rule Making, which may be found on the general assembly’s website at www.legis.iowa.gov/DOCS/Rules/Current/UniformRules.pdf and which are printed in the first volume of the Iowa Administrative Code, with the additions, changes, and deletions to those rules listed below:Except to the extent otherwise expressly provided by statute, all rules adopted by the department are subject to the provisions of Iowa Code chapter 17A, the Iowa administrative procedure Act, and the provisions of this chapter.    7.25(2) Advice on possible rules before notice of proposed rule adoption.  X.2(17A) Advice on possible rules before notice of proposed rule adoption.In addition to seeking information by other methods, the department may, before publication of a Notice of Intended Action under Iowa Code section 17A.4(1)“a,” solicit comments from the public on a subject matter of possible rule making by the department by causing notice to be published in the Iowa Administrative Bulletin of the subject matter and indicating where, when, and how persons may comment.The department may send notices of proposed rule making and a request for comments to any agency, organization, or association known to the department to have a direct interest or expertise pertaining to the substance of the proposed rule.    7.25(3) Public rule-making docket.  The department utilizes the public rule-making docket available to all agencies on the Iowa legislature’s website.    7.25(4) Notice of proposed rule making.  X.4(1) Notice of proposed rule making—contents.    a.    Contents.Except for rules filed through emergency rule making, at least 35 days before the adoption of a rule the department shall cause Notice of Intended Action to be published in the Iowa Administrative Bulletin. The Notice of Intended Action shall include:    (1)   A brief explanation of the purpose of the proposed rule.     (2)   The specific legal authority for the proposed rule.     (3)   Except to the extent impracticable, the text of the proposed rule.     (4)   Where, when, and how persons may present their views on the proposed rules.     (5)   Where, when, and how persons may demand an oral proceeding on the proposed rule if the Notice does not already provide for one.Where the inclusion of the complete text of a proposed rule in the Notice of Intended Action is impracticable, the department shall include in the Notice a statement fully describing the specific subject matter of the omitted portion of the text of the proposed rule, the specific issues to be addressed by that omitted text of the proposed rule, and the range of possible choices being considered by the department for the resolution of each of those issues.    b.    Incorporation by reference.A proposed rule may incorporate other materials by reference only if it complies with all of the requirements applicable to the incorporation by reference of other materials in an adopted rule that are contained in subrule 7.25(12).    c.    Registration for Notices of Intended Action.X.4(3) Copies of notices. In addition to the text of this subrule, the department adds that the payment for the subscription and the subscription term is one year.Any person may register on the department’s website to receive announcements related to rules from the department. Persons registered to receive announcements from the department will be notified of the publication of the department’s Notices of Intended Action and Adopted and Filed rules. Persons who desire to request a paper copy of any rule filing shall make a request to the department’s administrative rules coordinator, in writing or by email. The request must specify the rules requested and specify the number of copies. The requester will be required to reimburse the department for the actual costs incurred in providing copies.    7.25(5) Public participation.  X.5(17A) Public participation. In addition to the text of this rule, the department adds that written submissions should be submitted to the Administrator of the Policy and Communications Division, Department of Revenue, Hoover State Office Building, Fourth Floor, Des Moines, Iowa 50319. Also, any requests for special requirements concerning accessibility are to be made to the Clerk of the Hearings Section, Department of Revenue, Hoover State Office Building, Fourth Floor, Des Moines, Iowa 50319; telephone (515)281-3204.    a.    Written comments.For at least 20 days after publication of the Notice of Intended Action, persons may submit argument, data, and views, in writing or via email, on the proposed rule. These submissions should identify the proposed rule to which they relate and should be submitted to the person designated on the Notice of Intended Action, or to the attention of the department’s administrative rules coordinator, at the address provided in paragraph 7.3(1)“c” or by email to the address provided in paragraph 7.3(1)“b.”    b.    Oral proceedings.The department may, at any time, schedule an oral proceeding on a proposed rule. The department shall schedule an oral proceeding on a proposed rule if, within 20 days after the published Notice of Intended Action, a written request for an opportunity to make oral presentations is submitted to the department by the administrative rules review committee, a governmental subdivision, a state agency, an association having not less than 25 members, or at least 25 persons. That request must contain the following information:    (1)   A request by one or more individual persons must be signed by each of them and include the address and telephone number of each of them.    (2)   A request by an association must be signed by an officer or designee of the association and must contain a statement that the association has at least 25 members and the address and telephone number of the person signing that request.    (3)   A request by a state agency or governmental subdivision must be signed by an official having authority to act on behalf of the entity and must contain the address and telephone number of the person signing the request.    c.    Conduct of oral proceedings.    (1)   Applicability. This subrule applies only to those oral rule-making proceedings in which an opportunity to make oral presentations is authorized or required by Iowa Code section 17A.4(1)“b” or this chapter.    (2)   Scheduling and notice. An oral proceeding on a proposed rule may be held in person, virtually, or both. The proceeding shall not be held earlier than 20 days after the related Notice of Intended Action is published in the Iowa Administrative Bulletin.    (3)   Presiding officer. An employee of the department shall preside at the oral proceeding on a proposed rule.    (4)   Conduct of proceeding. At an oral proceeding on a proposed rule, persons may make oral statements and make documentary and physical submissions, which may include data, views, comments, or arguments concerning the proposed rule. Persons wishing to make oral presentations at such a proceeding are encouraged to notify the department at least one business day prior to the proceeding and indicate the general subject of their presentations. At the proceeding, those who participate shall indicate their names and addresses, identify any persons or organizations they may represent, and provide any other information relating to their participation deemed appropriate by the presiding officer. Oral proceedings shall be open to the public and shall be recorded by stenographic or electronic means.    1.   The presiding officer may place time limitations on individual oral presentations when necessary to ensure the orderly and expeditious conduct of the oral proceeding. To encourage joint oral presentations and to avoid repetition, additional time may be provided for persons whose presentations represent the views of both themselves and other individuals.    2.   Persons making oral presentations are encouraged to avoid restating matters which have already been submitted in writing.    3.   To facilitate the exchange of information, the presiding officer may, where time permits, open the floor to questions or general discussion.    4.   The presiding officer shall have the authority to take any reasonable action necessary for the orderly conduct of the meeting.    5.   Physical and documentary submissions presented by participants in the oral proceeding shall be submitted to the presiding officer. Such submissions become the property of the department.    6.   The oral proceeding may be continued by the presiding officer to a later time without notice other than by announcement at the hearing.    7.   Participants in an oral proceeding shall not be required to take an oath or to submit to cross-examination. However, the presiding officer in an oral proceeding may question participants and permit the questioning of participants by other participants about any matter relating to that rule-making proceeding, including any prior written submissions made by those participants in that proceeding. However, no participant shall be required to answer any question.    8.   The presiding officer in an oral proceeding may permit rebuttal statements and request the filing of written statements subsequent to the adjournment of the oral presentations.    d.    Additional information.In addition to receiving written comments and oral presentations on a proposed rule according to the provisions of this rule, the department may obtain information concerning a proposed rule through any other lawful means deemed appropriate under circumstances.    e.    Accessibility.The department shall schedule oral proceedings in rooms accessible to and functional for persons with physical disabilities. Persons who have special requirements should contact the person listed on the Notice of Intended Action or the department’s administrative rules coordinator in advance to arrange access or other needed services.    7.25(6) Regulatory analysis.  X.6(17A) Regulatory analysis. In addition to the text of this rule, the department adds that small businesses or organizations of small businesses may register on the department’s small business impact list by making a written application to the Administrator of the Policy and Communications Division, Department of Revenue, Hoover State Office Building, Fourth Floor, Des Moines, Iowa 50319.    a.    Small business impact mailing list.Small businesses or organizations of small businesses may be registered on the department’s small business impact list by making a written application addressed to the department’s administrative rules coordinator by ordinary mail or email to the address provided in paragraph 7.3(1)“b.” The application for registration shall state:     (1)   The name of the small business or organization of small businesses;    (2)   The address of the small business or organization of small businesses;    (3)   The name of a person authorized to transact business for the applicant;    (4)   A description of the applicant’s business or organization. An organization representing 25 or more persons who qualify as a small business shall indicate that fact;    (5)   Whether the registrant desires copies of Notices of Intended Action at cost or desires advance notice of the subject of all or some specific category of proposed rule making affecting small business.The department may at any time request additional information from the applicant to determine whether the applicant is qualified as a small business or as an organization of 25 or more small businesses. The department may periodically send a letter to each registered small business or organization of small businesses asking whether that business or organization wishes to remain on the registration list. The name of a small business or organization of small businesses shall be removed from the list if a negative response is received, or if no response is received within 30 days after the letter is sent.    b.    Time of distribution.Within seven days after submission of a Notice of Intended Action to the legislative services agency’s administrative rules coordinator for publication in the Iowa Administrative Bulletin, the department shall mail to all registered small businesses or organizations of small businesses, in accordance with their request, either a copy of the Notice of Intended Action or notice of the subject of that proposed rule making. In the case of a rule that may have an impact on small business adopted in reliance upon Iowa Code section 17A.4(3), the department shall mail notice of the adopted rule to registered businesses or organizations prior to the time the adopted rule is published in the Iowa Administrative Bulletin.    c.    Qualified requestors for regulatory analysis—economic impact.The department shall issue a regulatory analysis of a proposed rule that conforms to the requirements of Iowa Code section 17A.4A(2)“a” after a proper request from:     (1)   The legislative services agency’s administrative rules coordinator, or     (2)   The administrative rules review committee.    d.    Qualified requestors for regulatory analysis—business impact.The department shall issue a regulatory analysis of a proposed rule that conforms to the requirements of Iowa Code section 17A.4A(2)“b” after a proper request from:    (1)   The administrative rules review committee;    (2)   The legislative services agency’s administrative rules coordinator;    (3)   At least 25 or more persons who sign the request provided that each represents a different small business, or    (4)   An organization representing at least 25 small businesses. That organization shall list the name, address and telephone number of not less than 25 small businesses it represents.    e.    Time period for analysis.Upon receipt of a timely request for a regulatory analysis, the department shall adhere to the timelines described in Iowa Code section 17A.4A(4).     f.    Contents of request.A request for a regulatory analysis is made when it is mailed or delivered to the department. The request shall be in writing and satisfy the requirements of Iowa Code section 17A.4A(1).     g.    Contents of concise summary.The contents of the concise summary shall conform to the requirements of Iowa Code sections 17A.4A(4) and 17A.4A(5).     h.    Publication of a concise summary.The department shall make available, to the maximum extent feasible, copies of the published summary in conformance with Iowa Code section 17A.4A(5).    i.    Regulatory analysis contents—rules review committee or rules coordinator.When a regulatory analysis is issued in response to a written request from the administrative rules review committee, or the legislative services agency’s administrative rules coordinator, the regulatory analysis shall conform to the requirements of Iowa Code section 17A.4A(2)“a,” unless a written request expressly waives one or more of the items listed in the section.    j.    Regulatory analysis contents—substantial impact on small business.When a regulatory analysis is issued in response to a written request from the administrative rules review committee, the legislative services agency’s administrative rules coordinator, at least 25 persons signing that request who each qualify as a small business or by an organization representing at least 25 small businesses, the regulatory analysis shall conform to the requirements of Iowa Code section 17A.4A(2)“b.”    7.25(7) Fiscal impact statement.  X.7(17A,25B) Fiscal impact statement.A rule that mandates additional combined expenditures exceeding $100,000 or combined expenditures of at least $500,000 within five years, by all affected political subdivisions, or by agencies and entities which contract with political subdivisions to provide services, must be accompanied by a fiscal impact statement outlining the costs associated with the rule. A fiscal impact statement must satisfy the requirements of Iowa Code section 25B.6.If the department determines at the time it adopts a rule that the fiscal impact statement upon which the rule is based contains errors, the department shall, at the same time, issue a corrected fiscal impact statement and publish the corrected fiscal impact statement in the Iowa Administrative Bulletin.    7.25(8) Time and manner of rule adoption.  X.8(17A) Time and manner of rule adoption.    a.    Time of adoption.The department shall not adopt a rule until the period for making written submissions and oral presentations has expired. Within 180 days after the later of the publication of the Notice of Intended Action, or the end of oral proceedings thereon, the department shall adopt a rule pursuant to the rule-making proceeding or terminate the proceeding by publication of a notice to that effect in the Iowa Administrative Bulletin.    b.    Consideration of public comment.Before the adoption of a rule, the department shall consider fully all of the written submissions and oral submissions received in that rule-making proceeding or any written summary of the oral submissions and any regulatory analysis or fiscal impact statement issued in that rule-making proceeding.    c.    Reliance on department expertise.Except as otherwise provided by law, the department may use its own experience, technical competence, specialized knowledge, and judgment in the adoption of a rule.    7.25(9) Variance between adopted rule and published notice of proposed rule adoption.  X.9(17A) Variance between adopted rule and published notice of proposed rule adoption.    a.    Allowable variances.The department shall not adopt a rule that differs from the rule proposed in the Notice of Intended Action on which the rule is based unless:     (1)   The differences are within the scope of the subject matter announced in the Notice of Intended Action and are in character with the issues raised in that Notice; and     (2)   The differences are a logical outgrowth of the contents of that Notice of Intended Action or the comments submitted in response thereto; and     (3)   The Notice of Intended Action provided fair warning that the outcome of that rule-making proceeding could be the rule in question.     b.    Fair warning.In determining whether the Notice of Intended Action provided fair warning that the outcome of that rule-making proceeding could be the rule in question, the department shall consider the following factors:    (1)   The extent to which persons who will be affected by the rule should have understood that the rule-making proceeding on which it is based could affect their interests.    (2)   The extent to which the subject matter of the rule or the issues determined by the rule are different from the subject matter or issues contained in the Notice of Intended Action.    (3)   The extent to which the effects of the rule differ from the effects of the proposed rule contained in the Notice of Intended Action.    c.    Petition for rule making.The department shall commence a rule-making proceeding within 60 days of its receipt of a petition for rule making seeking the amendment or repeal of a rule that differs from the proposed rule contained in the Notice of Intended Action upon which the rule is based, unless the department finds that the differences between the adopted rule and the proposed rule are so insubstantial as to make such a rule-making proceeding wholly unnecessary. A copy of any such finding and the petition to which it responds shall be sent to the petitioner, the legislative services agency’s administrative rules coordinator, and the administrative rules review committee, within three days of its issuance.    d.    Concurrent rule-making proceedings.Nothing in this rule disturbs the discretion of the department to initiate, concurrently, several different rule-making proceedings on the same subject with several different published Notices of Intended Action.    7.25(10) Exemptions from public rule-making procedures, emergency rule making.  X.10(17A) Exemptions from public rule-making procedures. In addition to the text of this rule, the department adds that exempt categories are generally limited to rules for nonsubstantive changes to a rule, such as rules for correcting grammar, spelling or punctuation in an existing or proposed rule.    a.    Omission of notice and comment.To the extent the department for good cause finds that public notice and participation are unnecessary, impracticable, or contrary to the public interest in the process of adopting a particular rule, the department may adopt that rule without publishing advance Notice of Intended Action in the Iowa Administrative Bulletin and without providing for written or oral public submissions prior to its adoption. The department shall incorporate the required finding and a brief statement of its supporting reasons in each rule adopted in reliance upon this subrule.    b.    Category exempt.Rule makings for nonsubstantive changes to a rule, such as rules for correcting grammar, spelling or punctuation in an existing or proposed rule, are exempted from the usual public notice and participation requirements because those requirements are unnecessary, impracticable, and contrary to the public interest.    c.    Public proceedings on rules adopted without them.The department may, at any time, commence a standard rule-making proceeding for the adoption of a rule that is identical or similar to a rule it adopts in reliance upon paragraph 7.25(10)“a.” Upon written petition by a governmental subdivision, the administrative rules review committee, a state agency, the legislative services agency’s administrative rules coordinator, an association having not less than 25 members, or at least 25 persons, the department shall commence a standard rule-making proceeding for any rule specified in the petition that was adopted in reliance upon paragraph 7.25(10)“a.” This petition must be filed within one year of the publication of the specified rule in the Iowa Administrative Bulletin as an adopted rule. The rule-making proceeding on that rule must be commenced within 60 days of the receipt of the petition. After a standard rule-making proceeding commenced pursuant to this subrule, the department may either readopt the rule it adopted without benefit of all usual procedures on the basis of paragraph 7.25(10)“a” or may take any other lawful action, including the amendment or repeal of the rule in question, with whatever further proceedings are appropriate.    7.25(11) Concise statement of reasons.  X.11(17A) Concise statement of reasons. In addition to the text of this rule, the department adds that a request for a concise statement of reasons for a rule must be submitted to the Administrator of the Policy and Communications Division, Department of Revenue, Hoover State Office Building, Fourth Floor, Des Moines, Iowa 50319.    a.    General.When requested by a person, either prior to the adoption of a rule or within 30 days after its publication in the Iowa Administrative Bulletin as an adopted rule, the department shall issue a concise statement of reasons for the rule. Requests for such a statement must be in writing and be delivered by mail to the address listed in paragraph 7.3(1)“c” or by email to the person listed on the adopted rule filing or to the department’s administrative rules coordinator at the address provided in paragraph 7.3(1)“b.” The request should indicate whether the statement is sought for all or only a specified part of the rule. Requests shall be considered made on the date received in accordance with rule 701—7.4(17A).     b.    Contents.The concise statement of reasons shall contain:     (1)   The reasons for adopting the rule;    (2)   An indication of any change between the text of the proposed rule contained in the published Notice of Intended Action and the text of the rule as finally adopted, with the reasons for any change;    (3)   The principal reasons urged in the rule-making proceeding for and against the rule, and the department’s reasons for overruling the arguments made against the rule.    c.    Time of issuance.After a proper request, the department shall issue a concise statement of reasons by the later of the time the rule is adopted or 35 days after receipt of the request.    7.25(12) Contents, style, and form of rule.  X.12(1) Contents, style, and form of rule—contents.    a.    Contents.Each rule adopted by the department shall contain the text of the rule and, in addition:     (1)   The date the department adopted the rule;    (2)   A brief explanation of the principal reasons for the rule-making action if the reasons are required by Iowa Code section 17A.4(2), or the department in its discretion decides to include the reasons;    (3)   A reference to all rules repealed, amended, or suspended by the rule;    (4)   A reference to the specific statutory or other authority authorizing adoption of the rule;    (5)   Any findings required by any provision of law as a prerequisite to adoption or effectiveness of the rule;    (6)   A brief explanation of the principal reasons for the failure to provide for waivers to the rule if no waiver provision is included and a brief explanation of any waiver or special exceptions provided in the rule if the reasons are required by Iowa Code section 17A.4(2), or the department in its discretion decides to include the reasons; and    (7)   The effective date of the rule.    b.    Incorporation by reference.X.12(4) Contents, style, and form of rule—style and form.The department may incorporate by reference in a proposed or adopted rule, and without causing publication of the incorporated matter in full, all or any part of a code, standard, rule, or other matter if the department finds that the incorporation of its text in the department proposed or adopted rule would be unduly cumbersome, expensive, or otherwise inexpedient. The reference in the department proposed or adopted rule shall fully and precisely identify the incorporated matter by location, title, citation, date, and edition, if any; shall briefly indicate the precise subject and the general contents of the incorporated matter; and shall state that the proposed or adopted rule does not include any later amendments or editions of the incorporated matter. The department may incorporate such matter by reference in a proposed or adopted rule only if the department makes copies of it readily available to the public. The rule shall state how and where copies of the incorporated matter may be obtained at cost from the department, and how and where copies may be obtained from the department or an agency of the United States, this state, another state, or the organization, association, or persons, originally issuing that matter. The department shall retain permanently a copy of any materials incorporated by reference in a rule of the department. If the department adopts standards by reference to another publication, it shall provide a copy of the publication containing the standards to the administrative rules coordinator for deposit in the state law library and may make the standards available electronically.    c.    References to materials not published in full.When the administrative code editor decides to omit the full text of a proposed or adopted rule because publication of the full text would be unduly cumbersome, expensive, or otherwise inexpedient, the department shall prepare and submit to the administrative code editor for inclusion in the Iowa Administrative Bulletin and Iowa Administrative Code a summary statement describing the specific subject matter of the omitted material. This summary statement shall include the title and a brief description sufficient to inform the public of the specific nature and subject matter of the proposed or adopted rules, and of significant issues involved in these rules. The summary statement shall also describe how a copy of the full text of the proposed or adopted rule, including any unpublished matter and any matter incorporated by reference, may be obtained from the department. The department will provide a copy of that full text (at actual cost) upon request and shall make copies of the full text available for review at the state law library and may make the standards available electronically. At the request of the administrative code editor, the department shall provide a proposed statement explaining why publication of the full text would be unduly cumbersome, expensive, or otherwise inexpedient.    7.25(14) Filing of rules.  X.14(17A) Filing of rules.The department shall file each rule it adopts in the office of the legislative services agency’s administrative rules coordinator. The filing shall be executed as soon after adoption of the rule as is practicable. At the time of filing, each rule shall have included with it any fiscal impact statement and any concise statement of reasons that was issued with respect to that rule. If a fiscal impact statement or statement of reasons for that rule was not issued until a time subsequent to the filing of that rule, the note or statement must be attached to the filed rule within five working days after the fiscal impact statement or concise statement is issued. In filing a rule, the department shall use the standard form prescribed by the legislative services agency’s administrative rules coordinator.     7.25(15) Effectiveness of rules prior to publication, emergency rule making.  X.15(17A) Effectiveness of rules prior to publication.    a.    Grounds.The department may make a rule effective after its filing at any stated time prior to 35 days after its indexing and publication in the Iowa Administrative Bulletin if it finds that a statute so provides, the rule confers a benefit or removes a restriction on some segment of the public, or that the effective date of the rule is necessary to avoid imminent peril to the public health, safety, or welfare. The department shall incorporate the required finding and a brief statement of its supporting reasons in each rule adopted in reliance upon this subrule.     b.    Special notice.When the department makes a rule effective prior to its indexing and publication in reliance upon the provisions of Iowa Code section 17A.5(2)“b,” the department shall employ all reasonable efforts to make its contents known to the persons who may be affected by that rule prior to the rule’s indexing and publication. The term “all reasonable efforts” requires the department to employ the most effective and prompt means of notice rationally calculated to inform potentially affected parties of the effectiveness of the rule that is justified and practical under the circumstances considering the various alternatives available for this purpose, the comparative costs to the department of utilizing each of those alternatives, and the harm suffered by affected persons from any lack of notice concerning the contents of the rule prior to its indexing and publication. The means that may be used for providing notice of such rules prior to their indexing and publication include, but are not limited to, any one or more of the following means: radio, newspaper, television, signs, mail, telephone, personal notice, or electronic means.A rule made effective prior to its indexing and publication in reliance upon the provisions of Iowa Code section 17A.5(2)“b” shall include in that rule a statement describing the reasonable efforts that will be used to comply with the requirements of paragraph 7.25(15)“b.”X.16(17A) General statement of policy.    7.25(16) Review of rules by department.  X.17(17A) Review by agency of rules.    a.    Request for review.Any interested person, association, agency, or political subdivision may submit a written request to the administrative rules coordinator for the department to conduct a formal review of a specified rule. Upon approval of that request by the department’s administrative rules coordinator, the department shall conduct a formal review of a specified rule to determine whether a new rule should be adopted instead or the rule should be amended or repealed. The department may refuse to conduct a review if it has conducted a review of the specified rule within five years prior to the filing of the written request.    b.    Conduct of review.In conducting the formal review, the department shall prepare within a reasonable time a written report summarizing its findings, its supporting reasons, and any proposed course of action. The report shall include a concise statement of the department’s findings regarding the rule’s effectiveness in achieving its objectives, including a summary of any available supporting data. The report shall also concisely describe significant written criticisms of the rule received during the previous five years, including a summary of any requests for exceptions to the rule received by the department or granted by the department. The report shall describe alternative solutions to resolve the criticisms of the rule, the reasons any were rejected, and any changes made in the rule in response to the criticisms as well as the reasons for the changes. A copy of the department’s report shall be sent to the administrative rules review committee and the legislative services agency’s administrative rules coordinator. The report shall also be available for public inspection.     7.25(2)   The department hereby states that the following cited Uniform Rules on Agency Procedure for Rule Making are not adopted by the department:X.1(17A) Applicability.X.3(17A) Public rule-making docket.X.4(2) Notice of proposed rule making—incorporation by reference.X.12(2) Contents, style, and form of rule—incorporation by reference.X.12(3) Contents, style, and form of rule—references to materials not published in full.X.13(17A) Agency rule-making record.       This rule is intended to implement Iowa Code chapter 17Aand section 421.14.

        ITEM 17.    Amend rule 701—7.26(17A) as follows:

    701—7.26(17A) Public inquiries on rule making and the rule-making records.  The department maintains records of information obtained and all actions taken and criticisms received regarding any rule within the past five years. The department also keeps a record of the status of every rule within the rule-making procedure. Inquiries concerning the status of rule making may be made by contacting the Administrator of the Policy and Communications Division, Department of Revenue, Hoover State Office Building, Fourth Floor, Des Moines, Iowa 50319.department’s administrative rules coordinator by mail at the address listed in paragraph 7.3(1)“c” or by email to the address provided in paragraph 7.3(1)“b.” For additional information regarding criticism of rules, see rule 701—7.27(17A).       This rule is intended to implement Iowa Code section 17A.3.

        ITEM 18.    Amend rule 701—7.27(17A) as follows:

    701—7.27(17A) Criticism of rules.  The Administrator of the Policy and Communications Division, Department of Revenue, Hoover State Office Building, Fourth Floor, Des Moines, Iowa 50319, is designated as the office where interestedInterested persons may submit by electronic means or by mail criticisms, requests for waivers, or comments regarding a rule.to the department’s administrative rules coordinator by mail at the address listed in paragraph 7.3(1)“c” or by email to the address provided in paragraph 7.3(1)“b.” A criticism of a specific rule must be more than a mere lack of understanding of a rule or a dislike of the rule. To constitute a criticism of a rule, the criticism must be in writing, indicate it is a criticism of a specific rule, and have a valid legal basis for support. All requests for waivers, comments, or criticisms received on any rule will be kept in a separate record for a period of five years by the department.       This rule is intended to implement Iowa Code sections 17A.7 and 421.60.

        ITEM 19.    Amend rule 701—7.28(17A) as follows:

    701—7.28(17A) Waiver or variance of certain department rules.  All discretionary rules or discretionary provisions in a rule over which the department has jurisdiction, in whole or in part, may be subject to waiver or variance. See subrules 7.28(3) and 7.28(4).    7.28(1) Definitions.  The following terms apply to the interpretation and application of this rule:        "Discretionary rule" "discretionary provisions in a rule" means rules or provisions in rules resulting from a delegation by the legislature to the department to create a binding rule to govern a given issue or area. The department is not interpreting any statutory provision of the law promulgated by the legislature in a discretionary rule. Instead, a discretionary rule is authorized by the legislature when the legislature has delegated the creation of binding rules to the department and the contents of such rules are at the discretion of the department. A rule that contains both discretionary and interpretive provisions is deemed to be a discretionary rule to the extent of the discretionary provisions in the rule.        "Interpretive rules" "interpretive provisions in rules" means rules or provisions in rules which define the meaning of a statute or other provision of law or precedent where the department does not possess the delegated authority to bind the courts to any extent with its definition.        "Waiver or variance" means an agencya department action which suspends, in whole or in part, the requirements or provisions of a rule as applied to an identified person on the basis of the particular circumstances of that person.    7.28(2) Scope of rule.      a.    This rule creates generally applicable standards and a generally applicable process for granting individual waivers or variances from the discretionary rules or discretionary provisions in rules adopted by the department in situations where no other specifically applicable law provides for waivers or variances. To the extent another more specific provision of law purports to govern the issuance of a waiver or variance from a particular rule, the more specific waiver or variance provision shall supersede this rule with respect to any waiver or variance from that rule.    b.    The waiver or variance provisions set forth in this rule do not apply to rules over which the department does not have jurisdiction or when issuance of the waiver or variance would be inconsistent with any applicable statute, constitutional provision or other provision of law.    7.28(3) Applicability of this rule.      a.    This rule applies only to waiver or variance of those departmental rules that are within the exclusive rule-making authority of the department. This rule shall not apply to interpretive rules that merely interpret or construe the meaning of a statute, or other provision of law or precedent, if the department does not possess statutory authority to bind a court, to any extent, with its interpretation or construction. Thus, this waiver or variance rule applies to discretionary rules and discretionary provisions in rules, and not to interpretive rules.    b.    The application of this rule is strictly limited to petitions for waiver or variance filed outside of a contested case proceeding. Petitions for waiver or variance from a discretionary rule or discretionary provisions in a rule filed after the commencement of a contested case as provided in rule 701—7.14(17A)701—7.16(17A) will be treated as an issue of the contested case to be determined by the presiding officer of the contested case.    7.28(4) Authority to grant a waiver or variance.  The director may not issue a waiver or variance under this rule unless:    a.    The legislature has delegated authority sufficient to justify the action; and    b.    The waiver or variance is consistent with statutes and other provisions of law. No waiver or variance from any mandatory requirement imposed by statute may be granted under this rule.    7.28(5) Criteria for waiver or variance.  In response to a petition, the director may, in the director’s sole discretion, issue an order granting a waiver or variance from a discretionary rule or a discretionary provision in a rule adopted by the department, in whole or in part, as applied to the circumstances of a specified person, if the director finds that the waiver or variance is consistent with subrules 7.28(3) and 7.28(4) and if all of the following criteria are also met:    a.    The waiver or variance would not prejudice the substantial legal rights of any person;    b.    The rule or provisions of the rule are not specifically mandated by statute or another provision of law;    c.    The application of the rule or rule provision would result in an undue hardship or injustice to the petitioner; and    d.    Substantially equal protection of public health, safety, and welfare will be afforded by means other than that prescribed in the rule or rule provision for which the waiver or variance is requested.    7.28(6) Director’s discretion.  The final decision to grant or deny a waiver or variance shall be vested in the director. This decision shall be made at the sole discretion of the director based upon consideration of relevant facts.    7.28(7) Burden of persuasion.  The burden of persuasion shall be on the petitioner to demonstrate by clear and convincing evidence that the director should exercise discretion to grant the petitioner a waiver or variance based upon the criteria contained in subrule 7.28(5).    7.28(8) ContentsForm and contents of petition.      a.    Department forms.A petition for waiver or variance must be in the followingmay be filed using the form available on the department’s portal, GovConnectIowa. Alternatively, a petition for waiver may be filed using the form available on the department’s website, tax.iowa.gov/forms.     b.    Manually created petitions.    (1)   Persons that do not use the department’s portal, GovConnectIowa, or the form available on the department’s website shall follow the followingformat:IOWA DEPARTMENT OF REVENUEName of Petitioner*PETITION FORAddress of Petitioner*WAIVERType of Tax at Issue*Docket No. ___________________*    b.    (2)   Amanually created petition for waiver or variance must contain all of the following, where applicable and known to the petitioner:    (1)   1.   The name, address,email address, telephone number, and case number or state identification number of the entity or person for whom a waiver or variance is being requested;    (2)   2.   A description and citation of the specific rule or rule provisions from which a waiver or variance is being requested;    (3)   3.   The specific waiver or variance requested, including a description of the precise scope and operative period for which the petitioner wants the waiver or variance to extend;    (4)   4.   The relevant facts that the petitioner believes would justify a waiver or variance. This statement shall include a signed statement from the petitioner attesting to the accuracy of the facts represented in the petition, and a statement of reasons that the petitioner believes will justify a waiver or variance;    (5)   5.   A complete history of any prior contacts between the petitioner and the department relating to the activity affected by the proposed waiver or variance, including audits, notices of assessment, refund claims,appeals, contested case hearings, or investigative reports relating to the activity within the last five years;    (6)   6.   Any information known to the petitioner relating to the department’s treatment of similar cases;    (7)   7.   The name, address, and telephone number of any public agency or political subdivision which might be affected by the granting of a waiver or variance;    (8)   8.   The name, address, and telephone number of any person or entity that would be adversely affected by the granting of the waiver or variance;    (9)   9.   The name, address, and telephone number of any person with knowledge of the relevant facts relating to the proposed waiver or variance;    (10)   10.   Signed releases of information authorizing persons with knowledge of relevant facts to furnish the department with information relating to the waiver or variance;and(11)   If the petitioner seeks to have identifying details deleted, which deletion is authorized by statute, such details must be listed with the statutory authority for the deletion; and    (12)   11.   Signature by the petitioner at the conclusion of the petition attesting to the accuracy and truthfulness of the information set forth in the petition.    7.28(9) Filing of petition.  A petition for waiver or variance must be filed with the Clerk of the Hearings Section, Department of Revenue, Hoover State Office Building, Fourth Floor, Des Moines, Iowa 50319using one of the methods described in subrule 7.3(1).    7.28(10) Additional information.  Prior to issuing an order granting or denying a waiver or variance, the director may request additional information from the petitioner relating to the petition and surrounding circumstances. The director may, on the director’s own motion, or at the petitioner’s request, schedule a telephonic or in-person meeting between the petitioner or the petitioner’s representative, or both, and the director to discuss the petition and surrounding circumstances.    7.28(11) Notice of petition for waiver or variance.  The petitioner shall provide, within 30 days of filing the petition for waiver or variance, a notice consisting of a concise summary of the contents of the petition for waiver or variance and stating that the petition is pending. Such notice shall be mailed by the petitioner to all persons entitled to such notice. Such persons to whom notice must be mailed include, but are not limited to, the director and all parties to the petition for waiver or variance, or the parties’ representatives. The petitioner must then file written notice with the clerk of the hearings section (address indicated above)to the department’s legal services section by mail to the address listed in paragraph 7.3(1)“c” or by email to the address provided in paragraph 7.3(1)“b,” attesting that the notice has been mailed. The names, addresses and telephone numbers of the persons to whom the notices were mailed shall be included in the filed written notice. The department has the discretion to give such notice to persons other than those persons notified by the petitioner.    7.28(12) Ruling on a petition for waiver or variance.  An order granting or denying a waiver or variance must conform to the following:    a.    An order granting or denying a waiver or variance shall be in writing and shall contain a reference to the particular person and rule or rule provision to which the order pertains, a statement of the relevant facts and reasons upon which the action is based, and a description of the narrow and precise scope and operative time period of a waiver or variance, if one is issued.    b.    If a petition requested the deletion of identifying details, then the order must either redact the details prior to the placement of the order in the public record file referenced in subrule 7.28(17) or set forth the grounds for denying the deletion of identifying details as requested.    c.    b.    Conditions. The director may condition the grant of a waiver or variance on any conditions which the director deems to be reasonable and appropriate in order to protect the public health, safety and welfare.    7.28(13) Time period for waiver or variance; extension.  Unless otherwise provided, an order granting a petition for waiver or variance will be effective for 12 months from the date the order granting the waiver or variance is issued. Renewal of a granted waiver or variance is not automatic. To renew the waiver or variance beyond the 12-month period, the petitioner must file a new petition requesting a waiver or variance. The renewal petition will be governed by the provisions in this rule and must be filed prior to the expiration date of the previously issued waiver or variance or extension of waiver or variance. Even if the order granting the waiver or variance was issued in a contested case proceeding, any request for an extension shall be filed with and acted upon by the director. However, renewal petitions must request an extension of a previously issued waiver or variance. Granting the extension of the waiver or variance is at the director’s sole discretion and must be based upon whether the factors set out in subrules 7.28(4) and 7.28(5) remain valid.    7.28(14) Time for ruling.  The director shall grant or deny a petition for waiver or variance as soon as practicable but, in any event, shall do so within 120 days of its receipt, unless the petitioner agrees in writing to a later date or the director indicates in a written order that it is impracticable to issue the order within the 120-day period.    7.28(15) When deemed denied.  Failure of the director to grant or deny a waiver or variance within the 120-day or the extended time period shall be deemed a denial of that petition.    7.28(16) Service of orders.  Within seven days of its issuance, any order issued under this rule shall be transmitted to the petitioner or the person to whom the order pertains and to any other person entitled to such notice by any provision of law.    7.28(17) Record keeping.  The department is required to maintain a record of all petitions for waiver or variance and rulings granting or denying petitions for waiver or variance.    a.    Petitions for waiver or variance.The department shall maintain a record of all petitions for waiver or variance available for public inspection. Such records will be indexed and filed and made available for public inspection at the office of the clerk of the hearings section at the address set forth in subrule 7.28(9).    b.    Report of orders granting or denying a waiver or variance.All orders granting or denying a waiver or variance shall be summarized in a semiannual report to be drafted by the department and submitted to the administrative rules coordinator and the administrative rules review committeesubmitted on the Internet site as prescribed in Iowa Code section 17A.9A.    7.28(18) Cancellation of waiver or variance.  A waiver or variance issued pursuant to this rule may be withdrawn, canceled, or modified if, after appropriate notice, the director issues an order finding any of the following:    a.    The person who obtained the waiver or variance order withheld or misrepresented material facts relevant to the propriety or desirability of the waiver or variance; or    b.    The alternative means for ensuring that public health, safety, and welfare will be adequately protected after issuance of the waiver or variance order have been demonstrated to be insufficient, and no other means exist to protect the substantial legal rights of any person; or    c.    The person who obtained the waiver or variance has failed to comply with all of the conditions in the waiver or variance order.    7.28(19) Violations.  A violation of a condition in a waiver or variance order shall be treated as a violation of the particular rule or rule provision for which the waiver or variance was granted. As a result, the recipient of a waiver or variance under this rule who violates a condition of the waiver or variance may be subject to the same remedies or penalties as a person who violates the rule or rule provision at issue.    7.28(20) Defense.  After an order granting a waiver or variance is issued, the order shall constitute a defense, within the terms and the specific facts indicated therein, for the person to whom the order pertains in any proceeding in which the rule in question is sought to be invoked, unless subrules 7.28(18) and 7.28(19) are applicable.    7.28(21) Hearing and appeals.      a.    Appeals from a decision granting or denying a waiver or variance in a contested case proceeding shall be in accordance with the rules governing hearings and appeals from decisions in contested cases. These appeals shall be taken within 30 days of the issuance of the ruling granting or denying the waiver or variance request, unless a different time is provided by rule or statute, such as provided in the area of license revocation (see rule 701—7.23(17A)701—7.39(17A)).    b.    The provisions of Iowa Code sections 17A.10 to 17A.18A and rule 701—7.17(17A)701—7.19(17A) regarding contested case proceedings shall apply to any petition for waiver or variance of a rule or provisions in a rule filed within a contested case proceeding. A petition for waiver or variance of a provision in a rule outside of a contested case proceeding will not be considered under the statutes or rule 701—7.17(17A)701—7.19(17A). Instead, the director’s decision on the petition for waiver or variance is considered to be “other agency action.”       This rule is intended to implement Iowa Code section 17A.9A.

        ITEM 20.    Amend rule 701—7.29(17A) as follows:

    701—7.29(17A) Petition for rule making.      7.29(1) FormFiling, form, and contents of petition.      a.    Filing.Any person or agency may file a petition for rule making at the Office of the Director, Department of Revenue, Hoover State Office Building, Fourth Floor, 1305 East Walnut Street, Des Moines, Iowa 50319using one of the methods described in subrule 7.3(1). A petition is deemed filed when it is received by the director. The department will provide the petitioner with a file-stamped copy of the petition if the petitioner provides the department an extra copy for this purpose. The petition must be typewritten or legibly handwritten in ink and must substantially conform to the following form:    b.    Department forms.A petition may be filed using the form available on GovConnectIowa or the form available on the department’s website, tax.iowa.gov/forms.    c.    Manually created petitions.    (1)   Persons that do not use the form available on GovConnectIowa, or the form available on the department’s website, shall follow the following format:DEPARTMENT OF REVENUEPetition by (Name of Petitioner)*PETITION FORfor the (adoption, amendment, or*RULE MAKINGrepeal) of rules relating to (state *subject matter).*    b.    (2)   The petition must provide the following information:    (1)   1.   A statement of the specific rule-making action sought by the petitioner including the text or a summary of the contents of the proposed rule or amendment to a rule and, if it is a petition to amend or repeal a rule, a citation and the relevant language to the particular portion or portions of the rule proposed to be amended or repealed.    (2)   2.   A citation to any law deemed relevant to the department’s authority to take the action urged or to the desirability of that action.    (3)   3.   A brief summary of the petitioner’s arguments in support of the action urged in the petition.    (4)   4.   A brief summary of any data supporting the action urged in the petition.    5.   A complete history of any prior contacts between the petitioner and the department relating to the activity affected by the proposed rule making, including audits, notices of assessment, refund claims, appeals, contested case hearings, or investigative reports relating to the activity within the last five years.    (5)   6.   The names and addresses of other persons, or a description of any class of persons, known by the petitioner to be affected by or interested in the proposed action which is the subject of the petition.    (6)   7.   Any request by the petitioner for a meeting.    (7)   8.   Any other matters deemed relevant that are not covered by the above requirements.    d.    File-stamped copy.The department will provide the petitioner with a file-stamped copy of the petition if the petitioner provides the department an extra copy for this purpose.    7.29(2) Form signed and dated.  The petition must be signed and dated by the petitioner or the petitioner’s representative. It must also include the name, mailing address, telephone number, and, if requested, the email address of the petitioner and of the petitioner’s representative and a statement indicating the person to whom communications concerning the petition should be directed.    7.29(3) Denial by department.  The department may deny a petition because it does not substantially conform to the required form or because all the required information has not been provided.    7.29(4) Briefs.  The petitioner may attach a brief to the petition in support of the action urged in the petition. The department may request a brief from the petitioner or from any other person concerning the substance of the petition.    7.29(5) Status of petition.  Inquiries concerning the status of a petition for rule making may be made to the Office of the Director, Department of Revenue, Hoover State Office Building, Fourth Floor, 1305 East Walnut Street, Des Moines, Iowa 50319.department’s administrative rules coordinator by mail at the address listed in paragraph 7.3(1)“c” or by email to the address provided in paragraph 7.3(1)“b.”    7.29(6) Informal meeting.  If requested in the petition by the petitioner, the department may schedule an informal meeting between the petitioner and the department, or a member of the staff of the department, to discuss the petition. The department may request that the petitioner submit additional information or argument concerning the petition. The department may also solicit comments from any person on the substance of the petition. Also, comments on the substance of the petition may be submitted to the department by any person.    7.29(7) Action required.  Within 60 days after the filing of the petition, or within an extended period as agreed to by the petitioner, the department must, in writing, either: (a) deny the petition and notify the petitioner of the department’s action and the specific grounds for the denial; or (b) grant the petition and notify the petitioner that the department has instituted rule-making proceedings on the subject of the petition. The petitioner shall be deemed notified of the denial of the petition or the granting of the petition on the date that the department mails or delivers the required notification to the petitioner.All orders granting or denying a petition shall be submitted on the Internet site as prescribed in Iowa Code section 17A.9A.    7.29(8) New petition.  Denial of a petition because the petition does not substantially conform to the required form does not preclude the filing of a new petition on the same subject when the new petition contains the required information that was the basis for the original denial.       This rule is intended to implement Iowa Code chapter 17A.

        ITEM 21.    Amend rule 701—7.30(9C,91C) as follows:

    701—7.30(9C,91C) Procedure for nonlocal business entity bond forfeitures.  Upon the failure of a transient merchant or an out-of-state contractor to pay any taxes payable, the amount of bond posted with the secretary of state by the transient merchant or out-of-state contractor necessary to pay the tax shall be forfeited. The following subrules shall govern the procedure for that forfeiture.    7.30(1) Definitions.      a.    “Nonlocal business entity” is either an out-of-state contractor or a transient merchant as those terms are defined in paragraphs 7.30(1)“b” and “f.”    b.    “Out-of-state contractor” means a general contractor, subcontractor, architect, engineer, or other person who contracts to perform in this state construction or installation of structures or other buildings or any other work covered by Iowa Code chapter 103A and whose principal place of business is outside Iowa.    c.    “Taxes payable by a transient merchant” refers to all taxes administered by the department, and penalties, interest, and fees which the department has previously determined to be due by assessment or due as a result of an appeal from an assessment.    d.    “Taxes payable by an out-of-state contractor” means tax, penalty, interest, and fees which the department, another state agency, or a subdivision of the state, has determined to be due by assessment or due as a result of an appeal from an assessment. The tax assessed must accrue as the result of a contract to perform work covered by Iowa Code chapter 103A.    e.    “Taxes payable” means any amount referred to in paragraphs 7.30(1)“c” and “d” above.    f.    “Transient merchant” shall be defined, for the purposes of this rule, as that term is defined in Iowa Code section 9C.1.    7.30(2) Increases in existing bonds.  If an out-of-state contractor has on file with the secretary of state a bond for any particular contract and for that particular contract the contractor has tax due and owing but unpaid and this tax is greater than the amount of the bond, the department shall require the out-of-state contractor to increase the bond on file with the secretary of state in an amount sufficient to pay tax liabilities which will become due and owing under the contract in the future.    7.30(3) Responsibility for notification.  Concerning taxes which are payable by an out-of-state contractor but which are not administered by the department of revenue, it shall be the duty of the department or subdivision of Iowa state government to which the taxes are owed to notify the department of revenue of the taxes payable by the out-of-state contractor in order to institute bond forfeiture proceedings or an increase in the amount of the bond which the out-of-state contractor must post.    7.30(4) Initial notification.  After it is determined that a bond ought to be forfeited, notice of this intent shall be sent to the nonlocal business entity and its surety of record, if any. Notice sent to the nonlocal business entity or its surety shall be sent to the last-known address as reflected in the records of the secretary of state. The notice sent to an out-of-state contractor shall also be mailed to the contractor’s registered agent for service of process, if